Foundations of Rigid Geometry I

Kazuhiro Fujiwara Monographs in Mathematics
Foundations of Rigid Geometry I

Kazuhiro Fujiwara and Fumiharu Kato
Fumiharu Kato
Rigid geometry is one of the modern branches of algebraic and arithmetic geometry. It
has its historical origin in J. Tate’s rigid analytic geometry, which aimed at developing an
Kazuhiro Fujiwara
analytic geometry over non-archimedean valued fields. Nowadays, rigid geometry is a
discipline in its own right and has acquired vast and rich structures, based on discoveries
Fumiharu Kato
of its relationship with birational and formal geometries.
Foundations of
In this research monograph, foundational aspects of rigid geometry are discussed,
putting emphasis on birational and topological features of rigid spaces. Besides the rigid
geometry itself, topics include the general theory of formal schemes and formal algebraic
Rigid Geometry I
spaces, based on a theory of complete rings which are not necessarily Noetherian. Also
included is a discussion on the relationship with Tate‘s original rigid analytic geometry,
V.G. Berkovich‘s analytic geometry and R. Huber‘s adic spaces. As a model example of
applications, a proof of Nagata‘s compactification theorem for schemes is given in the
appendix. The book is encyclopedic and almost self-contained.
ISBN 978-3-03719-135-4
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Monographs / Fujiwaro/Kato | Font: Rotis Semi Sans | Farben: Pantone 116, Pantone 287 | RB 41.7 mm
EMS Monographs in Mathematics
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Gerard van der Geer (University of Amsterdam, The Netherlands)
Thomas Kappeler (University of Zürich, Switzerland)
Paul Seidel (Massachusetts Institute of Technology, Cambridge, USA)
EMS Monographs in Mathematics is a book series aimed at mathematicians and scientists. It publishes
research monographs and graduate level textbooks from all fields of mathematics. The individual volumes are
intended to give a reasonably comprehensive and selfcontained account of their particular subject.
They present mathematical results that are new or have not been accessible previously in the literature.
Previously published in this series:
Richard Arratia, A.D. Barbour and Simon Tavaré, Logarithmic Combinatorial Structures: A Probabilistic Approach
Demetrios Christodoulou, The Formation of Shocks in 3-Dimensional Fluids
Sergei Buyalo and Viktor Schroeder, Elements of Asymptotic Geometry
Demetrios Christodoulou, The Formation of Black Holes in General Relativity
Joachim Krieger and Wilhelm Schlag, Concentration Compactness for Critical Wave Maps
Jean-Pierre Bourguignon, Oussama Hijazi, Jean-Louis Milhorat, Andrei Moroianu and Sergiu Moroianu,
A Spinorial Approach to Riemannian and Conformal Geometry
Kazuhiro Fujiwara
Fumiharu Kato
Foundations of
Rigid Geometry I
Authors:
Kazuhiro Fujiwara Fumiharu Kato

Graduate School of Mathematics Department of Mathematics
Nagoya University Tokyo Institute of Technology
Nagoya 464-8602 Tokyo 152-8551
Japan Japan
fujiwara@math.nagoya-u.ac.jp bungen@math.titech.ac.jp
2010 Mathematics Subject Classification: Primary: 11G99, Secondary: 06E99, 13F30, 13J07, 14A15, 14A20
Key words: Rigid geometry, formal geometry, birational geometry
ISBN 978-3-03719-135-4
The Swiss National Library lists this publication in The Swiss Book, the Swiss national bibliography, and the
detailed bibliographic data are available on the Internet at http://www.helveticat.ch.
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the copyright owner must be obtained.
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∞ Printed on acid free paper
987654321
To the memory of Professor Masayoshi Nagata
and Professor Masaki Maruyama
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . XV
0 Preliminaries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1 Basic Languages . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
1.1 Sets and ordered sets . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
1.2 Categories . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
1.3 Limits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
1.4 Several stabilities for properties of arrows . . . . . . . . . . . . . . . . . . 6
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
2 General topology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
2.1 Some general prerequisites . . . . . . . . . . . . . . . . . . . . . . . . . 14
2.2 Coherent spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
2.3 Valuative spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
2.4 Reflexive valuative spaces . . . . . . . . . . . . . . . . . . . . . . . . . . 37
2.5 Locally strongly compact valuative spaces . . . . . . . . . . . . . . . . . . 42
2.6 Valuations of locally Hausdorff spaces . . . . . . . . . . . . . . . . . . . . 47
2.7 Some generalities on topoi . . . . . . . . . . . . . . . . . . . . . . . . . 56
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64
3 Homological algebra . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67
3.1 Inductive limits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68
3.2 Projective limits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79
3.3 Coherent rings and modules . . . . . . . . . . . . . . . . . . . . . . . . . 91
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93
4 Ringed spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93
4.1 Generalities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 94
4.2 Sheaves on limit spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . 98
4.3 Cohomologies of sheaves on ringed spaces . . . . . . . . . . . . . . . . . . 103
4.4 Cohomologies of module sheaves on limit spaces . . . . . . . . . . . . . . . 106
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107
VIII Contents
5 Schemes and algebraic spaces . . . . . . . . . . . . . . . . . . . . . . . . 108

5.1 Schemes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 109
5.2 Algebraic spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110
5.3 Derived category calculus . . . . . . . . . . . . . . . . . . . . . . . . . . 111
5.4 Cohomology of quasi-coherent sheaves . . . . . . . . . . . . . . . . . . . . 114
5.5 More basics on algebraic spaces . . . . . . . . . . . . . . . . . . . . . . . 118
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 121
6 Valuation rings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 121

6.1 Prerequisites . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 122
6.2 Valuation rings and valuations . . . . . . . . . . . . . . . . . . . . . . . . 125
6.3 Spectrum of valuation rings . . . . . . . . . . . . . . . . . . . . . . . . . 128
6.4 Composition and decomposition of valuation rings . . . . . . . . . . . . . . 130
6.5 Center of a valuation and height estimates for Noetherian domains . . . . . . . 132
6.6 Examples of valuation rings . . . . . . . . . . . . . . . . . . . . . . . . . 133
6.7 a-adically separated valuation rings . . . . . . . . . . . . . . . . . . . . . 134
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 136
7 Topological rings and modules . . . . . . . . . . . . . . . . . . . . . . . . 137

7.1 Topology defined by a filtration . . . . . . . . . . . . . . . . . . . . . . . 137
7.2 Adic topology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 144
7.3 Henselian rings and Zariskian rings . . . . . . . . . . . . . . . . . . . . . 154
7.4 Preservation of adicness . . . . . . . . . . . . . . . . . . . . . . . . . . . 158
7.5 Rees algebra and I -goodness . . . . . . . . . . . . . . . . . . . . . . . . 165
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 167
8 Pairs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 169
8.1 Pairs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 170
8.2 Bounded torsion condition and preservation of adicness . . . . . . . . . . . . 173
8.3 Pairs and flatness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 178
8.4 Restricted formal power series ring . . . . . . . . . . . . . . . . . . . . . . 183
8.5 Adhesive pairs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 187
8.6 Scheme-theoretic pairs . . . . . . . . . . . . . . . . . . . . . . . . . . . 197
8.7 I -valuative rings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 199
8.8 Pairs and complexes . . . . . . . . . . . . . . . . . . . . . . . . . . . . 208
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 214
Contents IX
9 Topological algebras of type (V) . . . . . . . . . . . . . . . . . . . . . . . 216

9.1 a-adic completion of valuation rings . . . . . . . . . . . . . . . . . . . . . 216
9.2 Topologically finitely generated V -algebras . . . . . . . . . . . . . . . . . 221
9.3 Classical affinoid algebras . . . . . . . . . . . . . . . . . . . . . . . . . . 226
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 231
A Appendix: Further techniques for topologically of finite type algebras . . . . . 231

A.1 Nagata’s idealization trick . . . . . . . . . . . . . . . . . . . . . . . . . . 231
A.2 Standard basis and division algorithm . . . . . . . . . . . . . . . . . . . . 232
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 235
B Appendix: f-adic rings . . . . . . . . . . . . . . . . . . . . . . . . . . . 236

B.1 f-adic rings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 236
B.2 Modules over f-adic rings . . . . . . . . . . . . . . . . . . . . . . . . . . 242
C Appendix: Addendum on derived categories . . . . . . . . . . . . . . . . . 244

C.1 Prerequisites on triangulated categories . . . . . . . . . . . . . . . . . . . . 244
C.2 The category of complexes . . . . . . . . . . . . . . . . . . . . . . . . . 246
C.3 The triangulated category K.A/ . . . . . . . . . . . . . . . . . . . . . . . 249
C.4 The derived category D.A/ . . . . . . . . . . . . . . . . . . . . . . . . . 251
C.5 Subcategories of D.A/ . . . . . . . . . . . . . . . . . . . . . . . . . . . 254
I Formal geometry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 257
1 Formal schemes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 258

1.1 Formal schemes and ideals of definition . . . . . . . . . . . . . . . . . . . 259
1.2 Fiber products . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 267
1.3 Adic morphisms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 270
1.4 Formal completion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 272
1.5 Categories of formal schemes . . . . . . . . . . . . . . . . . . . . . . . . 276
1.6 Quasi-compact and quasi-separated morphisms . . . . . . . . . . . . . . . . 280
1.7 Morphisms of finite type . . . . . . . . . . . . . . . . . . . . . . . . . . 286
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 288
2 Universally rigid-Noetherian formal schemes . . . . . . . . . . . . . . . . . 289

2.1 Universally rigid-Noetherian and universally adhesive formal schemes . . . . . 290
2.2 Morphisms of finite presentation . . . . . . . . . . . . . . . . . . . . . . . 294
2.3 Relation with other notions . . . . . . . . . . . . . . . . . . . . . . . . . 296
3 Adically quasi-coherent sheaves . . . . . . . . . . . . . . . . . . . . . . . 297

3.1 Complete sheaves and adically quasi-coherent sheaves . . . . . . . . . . . . 298
3.2 A.q.c. sheaves on affine formal schemes . . . . . . . . . . . . . . . . . . . 301
X Contents
3.3 A.q.c. algebras of finite type . . . . . . . . . . . . . . . . . . . . . . . . . 306

3.4 A.q.c. sheaves as projective limits . . . . . . . . . . . . . . . . . . . . . . 307
3.5 A.q.c. sheaves on locally universally rigid-Noetherian formal schemes . . . . . 308
3.6 Complete pull-back of a.q.c. sheaves . . . . . . . . . . . . . . . . . . . . . 312
3.7 Admissible ideals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 314
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 319
4 Several properties of morphisms . . . . . . . . . . . . . . . . . . . . . . . 320

4.1 Affine morphisms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 320
4.2 Finite morphisms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 324
4.3 Closed immersions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 326
4.4 Immersions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 331
4.5 Surjective, closed, and universally closed morphisms . . . . . . . . . . . . . 333
4.6 Separated morphisms . . . . . . . . . . . . . . . . . . . . . . . . . . . . 336
4.7 Proper morphisms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 341
4.8 Flat and faithfully flat morphisms . . . . . . . . . . . . . . . . . . . . . . 342
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 350
5 Differential calculus on formal schemes . . . . . . . . . . . . . . . . . . . 350

5.1 Differential calculus for topological rings . . . . . . . . . . . . . . . . . . . 351
5.2 Differential invariants on formal schemes . . . . . . . . . . . . . . . . . . . 356
5.3 Étale and smooth morphisms . . . . . . . . . . . . . . . . . . . . . . . . 358
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 365
6 Formal algebraic spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . 366

6.1 Adically flat descent . . . . . . . . . . . . . . . . . . . . . . . . . . . . 367
6.2 Étale topology on adic formal schemes . . . . . . . . . . . . . . . . . . . . 374
6.3 Formal algebraic spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . 379
6.4 Several properties of morphisms . . . . . . . . . . . . . . . . . . . . . . . 390
6.5 Universally adhesive and universally rigid-Noetherian formal algebraic spaces . 394
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 395
7 Cohomology theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 396

7.1 Cohomologies of a.q.c. sheaves . . . . . . . . . . . . . . . . . . . . . . . 397
7.2 Coherent sheaves . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 398
7.3 Calculus in derived categories . . . . . . . . . . . . . . . . . . . . . . . . 399
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 400
8 Finiteness theorem for proper algebraic spaces . . . . . . . . . . . . . . . . 401

8.1 Finiteness theorem: formulation . . . . . . . . . . . . . . . . . . . . . . . 401
8.2 Generalized Serre’s theorem . . . . . . . . . . . . . . . . . . . . . . . . . 402
8.3 The carving method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 405
Contents XI
8.4 Proof of Theorem 8.1.3 . . . . . . . . . . . . . . . . . . . . . . . . . . . 409

8.5 Application to I -goodness . . . . . . . . . . . . . . . . . . . . . . . . . . 410
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 411
9 GFGA comparison theorem . . . . . . . . . . . . . . . . . . . . . . . . . 411

9.1 Formulation of the theorem . . . . . . . . . . . . . . . . . . . . . . . . . 412
9.2 The classical comparison theorem . . . . . . . . . . . . . . . . . . . . . . 414
9.3 Proof of Theorem 9.1.3 . . . . . . . . . . . . . . . . . . . . . . . . . . . 417
9.4 Comparison of Ext modules . . . . . . . . . . . . . . . . . . . . . . . . . 418
10 GFGA existence theorem . . . . . . . . . . . . . . . . . . . . . . . . . . 419

10.1 Statement of the theorem . . . . . . . . . . . . . . . . . . . . . . . . . . 419
10.2 Proof of Theorem 10.1.2 . . . . . . . . . . . . . . . . . . . . . . . . . . 420
10.3 Applications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 426
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 427
11 Finiteness theorem and Stein factorization . . . . . . . . . . . . . . . . . . 427

11.1 Finiteness theorem for proper morphisms . . . . . . . . . . . . . . . . . . . 427
11.2 Proof of Theorem 11.1.1 . . . . . . . . . . . . . . . . . . . . . . . . . . 428
11.3 Stein factorization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 432
A Appendix: Stein factorization for schemes . . . . . . . . . . . . . . . . . . 435

A.1 Pseudo-affine morphisms of schemes . . . . . . . . . . . . . . . . . . . . . 435
A.2 Cohomological criterion . . . . . . . . . . . . . . . . . . . . . . . . . . . 439
B Appendix: Zariskian schemes . . . . . . . . . . . . . . . . . . . . . . . . 440

B.1 Zariskian schemes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 440
B.2 Fiber products . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 443
B.3 Ideals of definition and adic morphisms . . . . . . . . . . . . . . . . . . . 443
B.4 Morphism of finite type and morphism of finite presentation . . . . . . . . . . 444
C Appendix: FP-approximated sheaves and GFGA theorems . . . . . . . . . . . 445

C.1 Finiteness up to bounded torsion . . . . . . . . . . . . . . . . . . . . . . . 445
C.2 Global approximation by finitely presented sheaves . . . . . . . . . . . . . . 447
C.3 Finiteness theorem and GFGA theorems . . . . . . . . . . . . . . . . . . . 451
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 453
XII Contents
II Rigid spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 455
1 Admissible blow-ups . . . . . . . . . . . . . . . . . . . . . . . . . . . . 457

1.1 Admissible blow-ups . . . . . . . . . . . . . . . . . . . . . . . . . . . . 457
1.2 Strict transform . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 465
1.3 The cofiltered category of admissible blow-ups . . . . . . . . . . . . . . . . 469
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 470
2 Rigid spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 471

2.1 Coherent rigid spaces and their formal models . . . . . . . . . . . . . . . . 472
2.2 Admissible topology and general rigid spaces . . . . . . . . . . . . . . . . . 477
2.3 Morphism of finite type . . . . . . . . . . . . . . . . . . . . . . . . . . . 485
2.4 Fiber products of rigid spaces . . . . . . . . . . . . . . . . . . . . . . . . 486
2.5 Examples of rigid spaces . . . . . . . . . . . . . . . . . . . . . . . . . . 487
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 488
3 Visualization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 488
3.1 Zariski–Riemann spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . 490
3.2 Structure sheaves and local rings . . . . . . . . . . . . . . . . . . . . . . . 495
3.3 Points on Zariski–Riemann spaces . . . . . . . . . . . . . . . . . . . . . . 503
3.4 Comparison of topologies . . . . . . . . . . . . . . . . . . . . . . . . . . 508
3.5 Finiteness conditions and consistency of terminologies . . . . . . . . . . . . 510
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 513
4 Topological properties . . . . . . . . . . . . . . . . . . . . . . . . . . . . 514

4.1 Generization and specialization . . . . . . . . . . . . . . . . . . . . . . . 514
4.2 Tubes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 517
4.3 Separation map and overconvergent sets . . . . . . . . . . . . . . . . . . . 520
4.4 Locally quasi-compact and paracompact rigid spaces . . . . . . . . . . . . . 523
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 524
5 Coherent sheaves . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 525

5.1 Formal models of sheaves . . . . . . . . . . . . . . . . . . . . . . . . . . 525
5.2 Existence of finitely presented formal models (weak version) . . . . . . . . . 531
5.3 Existence of finitely presented formal models (strong version) . . . . . . . . . 534
5.4 Integral models . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 537
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 539
6 Affinoids . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 540
6.1 Affinoids and affinoid coverings . . . . . . . . . . . . . . . . . . . . . . . 540
6.2 Morphisms between affinoids . . . . . . . . . . . . . . . . . . . . . . . . 543
6.3 Coherent sheaves on affinoids . . . . . . . . . . . . . . . . . . . . . . . . 547
Contents XIII
6.4 Comparison theorem for affinoids . . . . . . . . . . . . . . . . . . . . . . 548

6.5 Stein affinoids . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 550
6.6 Associated schemes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 552
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 556
7 Basic properties of morphisms of rigid spaces . . . . . . . . . . . . . . . . . 556

7.1 Quasi-compact and quasi-separated morphisms . . . . . . . . . . . . . . . . 557
7.2 Finite morphisms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 558
7.3 Closed immersions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 561
7.4 Immersions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 567
7.5 Separated morphisms and proper morphisms . . . . . . . . . . . . . . . . . 568
7.6 Projective morphisms . . . . . . . . . . . . . . . . . . . . . . . . . . . . 578
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 580
8 Classical points . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 580

8.1 Spectral functors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 581
8.2 Classical points . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 585
8.3 Noetherness theorem . . . . . . . . . . . . . . . . . . . . . . . . . . . . 594
9 GAGA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 598
9.1 Construction of GAGA functor . . . . . . . . . . . . . . . . . . . . . . . 599
9.2 Affinoid valued points . . . . . . . . . . . . . . . . . . . . . . . . . . . . 605
9.3 Comparison map and comparison functor . . . . . . . . . . . . . . . . . . . 608
9.4 GAGA comparison theorem . . . . . . . . . . . . . . . . . . . . . . . . . 610
9.5 GAGA existence theorem . . . . . . . . . . . . . . . . . . . . . . . . . . 613
9.6 Adic part for non-adic morphisms . . . . . . . . . . . . . . . . . . . . . . 614
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 618
10 Dimension of rigid spaces . . . . . . . . . . . . . . . . . . . . . . . . . . 618

10.1 Dimension of rigid spaces . . . . . . . . . . . . . . . . . . . . . . . . . . 619
10.2 Codimension . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 629
10.3 Relative dimension . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 629
11 Maximum modulus principle . . . . . . . . . . . . . . . . . . . . . . . . 630

11.1 Classification of points . . . . . . . . . . . . . . . . . . . . . . . . . . . 630
11.2 Maximum modulus principle . . . . . . . . . . . . . . . . . . . . . . . . 635
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 643
A Appendix: Adic spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . 644

A.1 Triples . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 644
A.2 Rigid f-adic rings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 647
A.3 Adic spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 649
XIV Contents
A.4 Rigid geometry and affinoid rings . . . . . . . . . . . . . . . . . . . . . . 655

A.5 Rigid geometry and adic spaces . . . . . . . . . . . . . . . . . . . . . . . 663
B Appendix: Tate’s rigid analytic geometry . . . . . . . . . . . . . . . . . . . 665

B.1 Admissibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 665
B.2 Rigid analytic geometry . . . . . . . . . . . . . . . . . . . . . . . . . . . 669
C Appendix: Non-archimedean analytic spaces of Banach type . . . . . . . . . . 675

C.1 Seminorms and norms . . . . . . . . . . . . . . . . . . . . . . . . . . . 675
C.2 Graded valuations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 677
C.3 Filtered valuations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 687
C.4 Valuative spectrum of non-archimedean Banach rings . . . . . . . . . . . . . 699
C.5 Non-archimedean analytic space of Banach type . . . . . . . . . . . . . . . 726
C.6 Berkovich analytic geometry . . . . . . . . . . . . . . . . . . . . . . . . 738
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 748
D Appendix: Rigid Zariskian spaces . . . . . . . . . . . . . . . . . . . . . . 749

D.1 Admissible blow-ups . . . . . . . . . . . . . . . . . . . . . . . . . . . . 749
D.2 Coherent rigid Zariskian spaces . . . . . . . . . . . . . . . . . . . . . . . 750
E Appendix: Classical Zariski–Riemann spaces . . . . . . . . . . . . . . . . . 753

E.1 Birational geometry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 753
E.2 Classical Zariski–Riemann spaces . . . . . . . . . . . . . . . . . . . . . . 760
F Appendix: Nagata’s embedding theorem . . . . . . . . . . . . . . . . . . . 766

F.1 Statement of the theorem . . . . . . . . . . . . . . . . . . . . . . . . . . 766
F.2 Preparation for the proof . . . . . . . . . . . . . . . . . . . . . . . . . . 767
F.3 Proof of Theorem F.1.1 . . . . . . . . . . . . . . . . . . . . . . . . . . . 773
F.4 Application: Removing the Noetherian hypothesis . . . . . . . . . . . . . . 775
F.5 Nagata embedding for algebraic spaces . . . . . . . . . . . . . . . . . . . . 776
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 777
Solutions and hints for exercises . . . . . . . . . . . . . . . . . . . . . . . . . . 779
Bibliography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 797
List of notations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 811
Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 819
Introduction
In the early stage of its history, rigid geometry has been first envisaged in an at-
tempt to construct a non-Archimedean analytic geometry, an analogue over non-
Archimedean valued fields, such as p-adic fields, of complex analytic geometry.
Later, in the course of its development, rigid geometry has acquired several rich
structures, considerably richer than being merely ‘copies’ of complex analytic
geometry, which endowed the theory with a great potential of applications.
This theory is nowadays recognized by many mathematicians in various research
fields to be an important and independent discipline in arithmetic and algebraic ge-
ometry. This book is the first volume of our prospective book project, which aims to
discuss the rich overall structures of rigid geometry, and to explore its applications.
Before explaining our general perspective on this book project, we first provide
an overview of the past developments of the theory.
0. Background. After K. Hensel introduced p-adic numbers by the end of the
19th century, the idea arose of constructing p-adic analogues of already existing
mathematical theories that were formerly considered only over the field of real or
complex numbers. One such analogue was the theory of complex analytic func-
tions, which had by then already matured into one of the most successful and rich
branches of mathematics. Complex analysis saw further developments and innova-
tions later on. Most importantly, from extensive works on complex analytic spaces
and analytic sheaves by H. Cartan and J. P. Serre in the mid-20th century, after the
pioneering work by K. Oka, arose the new idea that the theory of complex analytic
functions should be regarded as part of complex analytic geometry. According to
this view, it was only natural to expect the emergence of p-adic analytic geometry,
or more generally, non-Archimedean analytic geometry.
However, all first attempts encountered essential difficulties, especially in estab-
lishing a reasonable link between the local and global notions of analytic functions.
Such a naive approach is, generally speaking, characterized by its inclination to
produce a faithful imitation of complex analytic geometry, which can be already
seen at the level of point sets and topology of the putative analytic spaces. For ex-
ample, for the ‘complex plane’ over Cp (D the completion of the algebraic closure
Qx p of Qp ), one takes the naive point set, that is, Cp itself, and the topology simply
induced by the p-adic metric. Starting from a situation like the one described, one
XVI Introduction
goes on to construct a locally ringed space X D .X; OX / by introducing the sheaf

OX of ‘holomorphic functions,’ a conventional definition of which is something
like this: OX .U / for any open subset U is the set of all functions on U that admit
a convergent power series expansion at every point. But this leads to an extremely
cumbersome situation. Indeed, since the topology of X is totally disconnected,
there are too many open subsets, and this causes the patching of functions to be
extremely ‘wobbly,’ so much so that one fails to have good control of the global
behavior of analytic functions. For example, if X is the ‘p-adic Riemann sphere’
Cp [f1g, one would expect that OX .X/ consists only of constant functions, which,
however, is far from being true in this situation.
Let us call the problem described above the Globalization Problem.1 Although
in its essence it may be seen, inasmuch as being concerned with patching of analytic
functions, as a topological problem, as it will turn out, it deeply links with the
issue of how to define the notion of points. In the prehistory of rigid geometry,
this Globalization Problem has been one, and perhaps the most crucial one, of the
obstacles in the quest for a good non-Archimedean analytic geometry.2
1. Tate’s rigid analytic geometry. The Globalization Problem found its funda-
mental solution when J. Tate introduced his rigid analytic geometry [94] in a semi-
nar at Harvard University in 1961. Tate’s motivation was to justify his construction
of the so-called Tate curves, a non-Archimedean analogue of 1-dimensional com-
plex tori, build by means of an infinite quotient [95].3 Tate’s solution to the problem
consists of the following items:
a ‘reasonable’ and ‘sufficiently large’ class of analytic functions and
a ‘correct’ notion of analytic coverings.
Here, one can find behind this idea the influence of A. Grothendieck in at least two
ways: first, Tate introduced spaces by means of local characterization in terms of
their function rings, as typified by scheme theory; second, he used the machinery
of Grothendieck topology to define analytic coverings.
Let us briefly review Tate’s theory. First of all, Tate introduced the category
AffK of so-called affinoid algebras over a complete non-Archimedean valuation
field K. Each affinoid algebra A, which is a K-Banach algebra, is considered to be
the ring of ‘reasonable’ analytic functions over the ‘space’ Sp A, called the affinoid,
opp
which is the corresponding object in the dual category AffK of AffK . Moreover,
based on the notion of admissible coverings, he introduced a new ‘topology,’ in
fact, a Grothendieck topology, on Sp A, which we call the admissible topology.
1
This problem is, in classical literature, usually referred to as the problem in analytic continuation.
2
In his pioneering works [73] and [74], M. Krasner studied in deep the problem and gave a first general
recipe for a meaningful analytic continuation of non-Archimedean analytic functions.
3
Elliptic curves and elliptic functions over p-adic fields have already been studied by É. Lutz at the
suggestion of A. Weil, who was inspired by classical works of Eisenstein (cf. [103], p. 538).
Introduction XVII
The admissibility imposes, most importantly, a strong finiteness condition on ana-

lytic coverings, which establishes close ties between the local and global behaviors
of analytic functions, as is well described by the famous Tate’s acyclicity theo-
rem (II.B.2.3). An important consequence of this nice local-to-global connection
is the good notion of ‘patching’ of affinoids, by means of which Tate was able to
solve the Globalization Problem, and thus to construct global analytic spaces.
In summary, Tate overcame the difficulty by ‘rigidifying’ the topology itself by
imposing the admissibility condition, a strong restriction on the patching of local
analytic functions. It is for this reason that this theory is nowadays called rigid
analytic geometry.
Aside from the fact that it gave a beautiful solution to the Globalization Prob-
lem, it is remarkable that Tate’s rigid analytic geometry proved that it is possible
to apply Grothendieck’s way of constructing geometric objects in the setting of
non-Archimedean analytic geometry. Thus, rather than complex analytic geometry,
Tate’s rigid analytic geometry resembles scheme theory. There seemed to be, how-
ever, one technical difference between scheme theory and rigid analytic geometry,
which was considered to be quite essential at the time when rigid analytic geometry
appeared: rigid analytic geometry had to use Grothendieck topology, not classical
point set topology.
There is yet another aspect of rigid analytic geometry reminiscent of algebraic
geometry. In order to have a better grasp of the abstractly defined analytic spaces,
Tate introduced a notion of points. He defined points of an affinoid Sp A to be
maximal ideals of the affinoid algebra A; viz., his affinoids are visualized by the
maximal spectra, that is, the set of all maximal ideals of affinoid algebras, just like
affine varieties in the classical algebraic geometry are visualized by the maximal
spectra of finite type algebras over a field. Note that this choice of points is es-
sentially the same as the naive one that we have mentioned before. This notion of
points was, despite its naivety, considered to be natural, especially in view of his
construction of Tate curves, and practically good enough as far as being concerned
with rigid analytic geometry over a fixed non-Archimedean valued field.4
2. Functoriality and topological visualization. Tate’s rigid analytic geometry
has, since its first appearance, proven itself to be useful for many purposes, and
been further developed by several authors. For example, H. Grauert and R. Rem-
mert [49] laid the foundations of topological and ring theoretic aspects of affinoid
algebras, and R. Kiehl [69] and [70] promoted the theory of coherent sheaves and
their cohomologies on rigid analytic spaces.
However, it was widely perceived that rigid analytic geometry still has some
essential difficulties, some of which are listed below.
4
One might be apt to think that Tate’s choice of points is an ‘easygoing’ analogue of the spectra of
complex commutative Banach algebras, for which the justification, Gelfand–Mazur theorem, is, however,
only valid in complex analytic situation, and actually fails in p-adic situation (see below).
XVIII Introduction
Functoriality of points does not hold. If K 0 =K is an extension of complete

non-Archimedean valuation fields, then one expects to have, for any rigid analytic
space X over K, a mapping from the points of the base change XK 0 to the points
of X, which, however, does not exist in general in Tate’s framework.
Let us call this problem the Functoriality Problem. The problem is linked with
the following more fundamental one.
The analogue of the Gelfand–Mazur theorem does not hold. The Gelfand–
Mazur theorem states that there exist no Banach field extension of C other than C
itself. In the non-Archimedean case, in contrast, there exist many Banach K-fields
other than finite extensions of K. This would imply that there should be plenty of
‘valued points’ of an affinoid algebra not factoring through the residue field of a
maximal ideal; in other words, there should be much more points than those that
Tate has introduced.
It is clear that in order to overcome the difficulties of this kind one has to change
the notion of points. More precisely, the problem lies in what to choose as the
spectrum of an affinoid algebra. To this, there are at least two solutions:
(I) Gromov–Berkovich style spectrum;
(II) Stone–Zariski style spectrum.
The spectrum of the first style, which turns out to be the ‘smallest’ spectrum
allowing to solve the Functoriality Problem in the category of Banach algebras,
consists of height-one valuations, that is, seminorms (of a certain type) on affinoid
algebras. The resulting point sets carry a natural topology, the so-called Gelfand
topology. This kind of spectra was adopted by V. G. Berkovich in his approach to
non-Archimedean analytic geometry, so-called Berkovich analytic geometry [11].
A nice feature of this approach is that, in principle, it can deal with a wide class
of Banach K-algebras, including affinoid algebras, and thus solve the Functoriality
Problem (in the category of Banach algebras). Moreover, the spectra of affinoid al-
gebras in this approach are Hausdorff, thereby providing intuitively familiar spaces
as the underlying topological spaces of the analytic spaces.
However, the Gelfand topology differs from the admissible topology; it is even
weaker, in the sense that, as we will see later, the former topology is a quotient
of the latter. Therefore, this topology does not solve the Globalization Problem
for affinoid algebras compatibly with Tate’s solution, and, in order to do analytic
geometry, one still has to use the Grothendieck topology just imported from Tate’s
theory.
It is thus necessary, in order to simultaneously solve the Globalization Problem
(for affinoids) and the Functoriality Problem, to further improve the notion of points
and the topology. In the second style, the Stone–Zariski style, which we will take up
in this book, each spectrum has more points by valuations, not only of height one,
Introduction XIX
but of higher height.5 It turns out that the topology on the point set thus obtained
coincides with the admissible topology on the corresponding affinoid, thus solving
the Globalization Problem without using the Grothendieck topology. Moreover, the
spectra have plenty of points to solve the Functoriality Problem as well.
As we have seen, to sum up, both the Globalization Problem and the Functorial-
ity Problem are closely linked with the more fundamental issue concerned with the
notions of points and topology, that is, the problem of the choice of spectra. What
lies behind all this is the philosophical tenet that every notion of space in commuta-
tive geometry should be accompanied with ‘visualization’ by means of topological
spaces, which we call the topological visualization (Figure 1). It can be stated,
therefore, that the original difficulties in the early non-Archimedean analytic geom-
etry in general, Globalization and Functoriality, are rooted in the lack of adequate
topological visualizations. We will dwell on more on this topic later.
Commutative +3 Topological
geometry spaces
Figure 1. Topological visualization.
3. Raynaud’s approach to rigid analytic geometry. To adopt the spectra as in

the Stone–Zariski style, in which points are described in terms of valuation rings
of arbitrary height, one more or less inevitably has to deal with finer structures,
somewhat related to integral structures, of affinoid algebras.6 The approach is, then,
further divided into the following two branches:
(II-a) R. Huber’s adic spaces7 [59], [60], and [61];
(II-b) M. Raynaud’s viewpoint via formal geometry8 as a model geometry [88].
The last approach, which we will adopt in this book, fits in the general frame-
work in which a geometry as a whole is a package derived from a so-called model
geometry. Here is a toy model that exemplifies the framework. Consider, for ex-
ample, the category of finite-dimensional Qp -vector spaces. We observe that this
5
Note that this height tolerance is necessary even for rigid spaces defined over complete valuation
fields of height one.
6
Such a structure, which we call a rigidification, will be discussed in detail in II, ÷A.2. (c). In the
original Tate rigid analytic geometry, the rigidifications are canonically determined by classical affinoid
algebras themselves, and this fact explains why Tate’s rigid analytic geometry, unlike the more general
Huber’s adic geometry, could work without reference to integral models of affinoid algebras.
7
Note that Huber’s theory is based on the choice of integral structures of topological rings. We will
give, mainly in II, ÷A, a reasonably detailed account of Huber’s theory.
8
By formal geometry, we mean in this book the geometry of formal schemes, developed by
A. Grothendieck.
XX Introduction
category is equivalent to the quotient category of the category of finitely generated

Zp -modules modulo the Serre subcategory consisting of p-torsion Zp -modules,
since any finite-dimensional Qp -vector space has a Zp -lattice, that is, a ‘model’
over Zp . This suggests that the overall theory of finite-dimensional Qp -vector
spaces is derived from the theory of models, in this case, the theory of finitely
generated Zp -modules.
In our context, what Raynaud discovered on rigid analytic geometry consists of
the following statements.
Formal geometry, which has already been established by Grothendieck prior
to Tate’s work, can be adopted as a model geometry for Tate’s rigid analytic
geometry.
The overall theory of rigid analytic geometry arises from Grothendieck’s
formal geometry (Figure 2), which leads to the extremely useful idea that,
between formal geometry and Tate’s rigid analytic geometry, one can use
theorems in one setting to prove theorems in the other.
Formal +3 Rigid analytic

geometry geometry
Figure 2. Raynaud’s approach to rigid geometry.
To make more precise the assertion that formal geometry can be a model ge-
ometry for rigid analytic geometry, consider, just as in the toy model as above, the
category of rigid analytic spaces over K. Raynaud showed that the category of
Tate’s rigid analytic spaces (with some finiteness conditions) is equivalent to the
quotient category of the category of finite type formal schemes over the valuation
ring V of K. Here the ‘quotient’ means inverting all ‘modifications’ (especially,
blow-ups) that are ‘isomorphisms over K,’ the so-called admissible modifications
.blow-ups/.
There are several important consequences of Raynaud’s discovery; let us men-
tion a few of them. First, guided by the principle that rigid analytic geometry is
derived by formal geometry, one can build the theory afresh, starting from defining
the category of rigid analytic spaces as the quotient category of the category of for-
mal schemes modulo all admissible modifications.9 Second, Raynaud’s theorem
says that rigid analytic geometry can be seen as the birational geometry of formal
schemes, a novel viewpoint, which motivates one to explore the link with traditional
birational geometry. Third, as already mentioned above, the bridge between formal
9
The rigid spaces obtained in this way are, more precisely, what we call coherent (D quasi-compact
and quasi-separated) rigid spaces, from which general rigid spaces are constructed by patching.
Introduction XXI
schemes and rigid analytic spaces, established by Raynaud’s viewpoint, gives rise
to fruitful interactions between these theories. Especially useful is the fact that
theorems in the rigid analytic side can be deduced, at least when one works over
complete discrete valuation rings, from theorems in the formal geometry side, avail-
able in EGA and SGA works by Grothendieck et al., at least in the Noetherian case.
4. Rigid geometry of formal schemes. We can now describe, along the line of
Raynaud’s discovery, the basic framework of our rigid geometry that we promote
in this book project. For us rigid geometry is a geometry obtained from a birational
geometry of model geometries. This being so, the main purpose of this book project
is to develop such a theory for formal geometry, thus generalizing Tate’s rigid ana-
lytic geometry and building a more general analytic geometry. Thus to each formal
scheme X we associate an object of a resulting category, denoted by X rig , which
itself should already be regarded as a rigid space. Then we define general rigid
spaces by patching these objects. Note that, here, the rigid spaces are introduced as
an ‘absolute’ object, without reference to a base space.
Among several classes of formal schemes we start with, one of the most im-
portant is the class of what we call locally universally rigid-Noetherian formal
schemes; see I.2.1.7. The rigid spaces obtained from this class of formal schemes
are called locally universally Noetherian rigid spaces, see II.2.2.23, which cover
most of the analytic spaces that appear in contemporary arithmetic geometry. Note
that the formal schemes of the above kind are not themselves locally Noetherian.
A technical point resulting from the demand of removing Noetherian hypothesis is
that one has to treat non-Noetherian adic rings of fairly general kind, for which
classical theories, including EGA, do not give us enough tools; for example, val-
uation rings of arbitrary height are necessary in order to describe points on rigid
spaces, and we accordingly need to treat fairly wide class of adic rings over them
for describing fibers of finite type morphisms.
Besides, we would like to propose another viewpoint, which classical theory
does not offer. Among what Raynaud’s theory suggests, the most inspiring is,
we think, the idea that rigid geometry should be a birational geometry of formal
schemes. We would like to adopt this perspective as one of the core ideas of our
theory. In fact, as we will see soon below, it tells us what should be the most nat-
ural notion of point of a rigid space, and thus leads to an extremely rich structure
concerned with visualizations (that is, spectra), whereby to obtain a satisfactory
solution to the above-mentioned Globalization and Functoriality problems. We ex-
plain this in the sequel.
5. Revival of Zariski’s approach. The birational geometric aspect of our rigid ge-
ometry is best explained by means of O. Zariski’s classical approach to birational
geometry as a model example. Around 1940’s, in his attempt to attack the desin-
XXII Introduction
gularization problem for algebraic varieties, Zariski introduced abstract Riemann

spaces for function fields, which we call Zariski–Riemann spaces, generalizing the
classical valuation-theoretic construction of Riemann surfaces by Dedekind and
Weber. This idea has been applied to several other problems in algebraic geometry,
including, for example, Nagata’s compactification theorem for algebraic varieties.
Let us briefly overview Zariski’s idea. Let Y ,! X be a closed immersion
of schemes (with some finiteness conditions), and set U D X n Y . We consider
U -admissible modifications of X, which are by definition proper birational maps
X 0 ! X that are isomorphisms over U . This class of morphisms contains the
subclass consisting of U -admissible blow-ups, that is, blow-ups along closed sub-
schemes contained in Y . In fact, U -admissible blow-ups are cofinal in the set of all
U -admissible modifications (due to the flattening theorem; cf. II, ÷E.1. (b)). The
Zariski–Riemann space, denoted by hXiU , is the topological space defined as the
projective limit taken along the ordered set of all U -admissible modifications, or
equivalently, U -admissible blow-ups, of X. Especially important is the fact that the
Zariski–Riemann space hXiU is quasi-compact (essentially due to Zariski [107];
cf. II.E.2.5), a fact that is crucial in proving many theorems, for example, the above-
mentioned Nagata’s theorem.10
As is classically known, points of the Zariski–Riemann space hXiU are de-
scribed in terms of valuation rings. More precisely, these points are in one-to-one
correspondence with the set of all morphisms, up to equivalence by ‘domination,’
of the form Spec V ! X, where V is a valuation ring (possibly of height 0), that
map the generic point to points in U (see II, ÷E.2. (e) for details). Since the spectra
of valuation rings are viewed as ‘long paths’ (cf. Figure 1 in 0, ÷6), one can say in-
tuitively that the space hXiU is like a ‘path space’ in algebraic geometry (Figure 3).
Now, what we have meant by adopting birational geometry as one of the core
ingredients in our theory is that we apply Zariski’s approach to birational geometry
to the main body of our rigid geometry. Our basic dictionary for doing this, e.g.,
for rigid geometry over the p-adic field, is as follows:
X ! formal scheme of finite type over Spf Zp ;
Y ! the closed fiber, that is, the closed subscheme defined by ‘p D 0.’
In this dictionary, the notion of U -admissible blow-ups corresponds precisely to
the admissible blow-ups of formal schemes.
6. Birational approach to rigid geometry. As we have already mentioned above,

our approach to rigid geometry, called the birational approach to rigid geometry,
is, so to speak, the combination of Raynaud’s algebro-geometric interpretation of
10
Zariski–Riemann spaces are also used in O. Gabber’s unpublished works in 1980’s on algebraic ge-
ometry problems. Their first appearance in literature in the context of rigid geometry seems to be in [38].
Introduction XXIII
Figure 3. Set-theoretical description of hX iU .
rigid analytic geometry, which regards rigid geometry as a birational geometry of

formal schemes, and Zariski’s classical birational geometry (Figure 4). Most no-
tably, it will turn out that this approach naturally gives rise to the Stone–Zariski
style spectrum, which we have already mentioned before.
Raynaud’s viewpoint of Zariski’s viewpoint of

C
rigid geometry birational geometry
Figure 4. Birational approach to rigid geometry.
A nice point in combining Raynaud’s viewpoint and Zariski’s viewpoint is that,

while the former gives the fundamental recipe for defining rigid spaces, the latter
endows them with a ‘visualization.’ Let us make this more precise, and alongside
explain what kind of visualization we attach here to rigid spaces.
As already described earlier, from an adic formal scheme X (of finite ideal
type; cf. I.1.1.16), we obtain the associated rigid space X D X rig . Then, suggested
by what we have seen in the previous section, we define the associated Zariski–
Riemann space hXi as the projective limit
hXi D lim X 0 ;
taken in the category of topological spaces, of all admissible blow-ups X 0 ! X

(Definition II.3.2.11). We adopt this space hXi as the topological visualization
of the rigid space X. In fact, this space is exactly what we have expected as the
topological visualization in the case of Tate’s theory, since it can be shown that the
canonical topology (the projective limit topology) of hXi actually coincides with
the admissible topology.
XXIV Introduction
To explain more about the visualization of rigid spaces, we would like to in-
troduce three kinds of visualizations in a general context. One is the topological
visualization, which we have already discussed. The second one, which we name
standard visualization, is the one that appears in ordinary geometries, as typified by
scheme theory; that is, visualization by locally ringed spaces. Recall that an affine
scheme, first defined abstractly as an object of the dual category of the category
of all commutative rings, can be visualized by a locally ringed space supported on
the prime spectrum of the corresponding commutative ring. The third visualization,
which we call the enriched visualization, or just visualization in this book, is given
by what we call triples:11 these are objects of the form .X; OXC ; OX / consisting of a
topological space X and two sheaves of topological rings together with an injective
ring homomorphism OXC ,! OX that identifies OXC with an open subsheaf of OX
such that the pairs X D .X; OX / and X C D .X; OXC / are locally ringed spaces; in
this setting, OX is regarded as the structure sheaf of X, while OXC represents the
enriched structure, such as an integral structure (whenever it makes sense) of OX .
The enriched visualization is typified by rigid spaces. The Zariski–Riemann
int
space hXi has two natural structure sheaves, the integral structure sheaf OX , de-
fined as the inductive limit of the structure sheaves of all admissible blow-ups of X,
int
and the rigid structure sheaf OX , obtained from OX by ‘inverting the ideal of defi-
nition.’ What is intended here is that, while the rigid structure sheaf OX should, as
in Tate’s rigid analytic geometry, normally come as the ‘genuine’ structure sheaf of
int
the rigid space X, the integral structure sheaf OX represents its integral structure.
These data comprise the triple
int
ZR.X/ D .hXi; OX ; OX /;
called the associated Zariski–Riemann triple, which gives the enriched visualiza-
tion of the rigid space X. That the rigid structure sheaf should be the structure sheaf
of X means that the locally ringed space .hXi; OX / visualizes the rigid space in
an ordinary sense, that is, in the sense of standard visualization.
Note that the Zariski–Riemann triple ZR.X/ for a rigid space X coincides with
Huber’s adic space associated to X; in fact, the notion of Zariski–Riemann triple
gives not only an interpretation of adic spaces, but also a foundation for them via
formal geometry, which we establish in this book; see II, ÷A.5 for more details.
Figure 5 illustrates the basic design of our birational approach to rigid geometry,
summarizing all what we have discussed so far.
The figure shows a ‘commutative’ diagram, in which the arrow .1/ is
Raynaud’s approach to rigid geometry (Figure 2), and the arrow .2/ is the en-
riched visualization by Zariski–Riemann triples, coming from Zariski’s viewpoint.
The other visualizations are also indicated in the diagram, the standard visualization
11
See II, ÷A.1 for the generalities of triples.
Introduction XXV
by .3/, and the topological visualization by .4/; the right-hand vertical arrows
represent the respective forgetful functors.
Formal .1/
+3 .2/
+3
Rigid geometry Triples
geometry

.3/ Locally ringed
>
spaces
.4/

Topological
>
spaces
Figure 5. Birational approach to rigid geometry.

All this is the outline of what we will discuss in this volume. Here, before
finishing this overview, let us add a few words on the outgrowth of our theory.
Our approach to rigid geometry, in fact, gives rise to a new perspective of rigid
geometry itself: rigid geometry in general is an analysis along a closed subspace
in a ringed topos. This idea, which tells us what the concept of rigid geometry in
mathematics should ultimately be, is linked with the idea of tubular neighborhoods
in algebraic geometry, already discussed in [38]. From this viewpoint, Raynaud’s
choice, for example, of formal schemes as models of rigid spaces can be interpreted
as capturing the ‘tubular neighborhoods’ along a closed subspace by means of the
formal completion. Now that there are several other ways to capture such structures,
e.g., Henselian schemes etc., there are several other choices for the model geometry
of rigid geometry.12 This yields several variants, e.g., rigid Henselian geometry,
rigid Zariskian geometry, etc., all of which are encompassed within our birational
approach.13
7. Relation with other theories. In the first three sections II, ÷A, II, ÷B, and II, ÷C
of the appendices to Chapter II, we compare our theory with other theories related
to rigid geometry. Here we give a digest of the contents of these sections for the
reader’s convenience.14
12
There is, in addition to formal geometry and Henselian geometry, the third possibility for the model
geometry, by Zariskian schemes. We provide a general account of the theory of Zariskian schemes and
the associated rigid spaces, the so-called rigid Zariskian spaces, in the appendices I, ÷B and II, ÷D.
13
The reader might note that this idea is also related to the cdh-topology in the theory of motivic
cohomology.
14
A. Abbes has recently published another foundational book [1] on rigid geometry, in which, similarly
to ours, he developed and generalized Raynaud’s approach to rigid geometry.
XXVI Introduction
Relation with Tate’s rigid analytic geometry. Let V be an a-adically com-

plete valuation ring of height one, and set K D Frac.V / (the fraction field), which
is a complete non-Archimedean valued field with a non-trivial valuation
k kW K ! R0 . In II, ÷8.2. (c) we will define the notion of classical points
(in the sense of Tate) for rigid spaces of a certain kind, including locally of
finite type rigid spaces over D .Spf V /rig . If X is a rigid space of the latter
kind, it will turn out that the classical points of X are reduced zero-dimensional
closed subvarieties in X (cf. II.8.2.6).
We define X0 to be the set of all classical points of X. The assignment X 7! X0
has several nice properties, some of which are incorporated into the notion of
.continuous/ spectral functor (cf. II, ÷8.1). Among them is the important prop-
erty that classical points detect quasi-compact open subspaces: for quasi-compact
open subspaces U; V X, U0 D V0 implies U D V . In view of all this, one
can introduce on X0 a Grothendieck topology 0 and sheaf of rings OX0 , which
are naturally constructed from the topology and the structure sheaf of X; for exam-
ple, for a quasi-compact open subspace U X, U0 is an admissible open subset
of X0 , and we have OX0 .U0 / D OX .hUi/. It will turn out that the resulting triple
X0 D .X0 ; 0 ; OX0 / is a Tate rigid analytic variety over K, and thus one has the
canonical functor
X 7 ! X0
from the category of locally of finite type rigid spaces over to the category of
rigid analytic varieties over K.
Theorem (Theorem II.B.2.5, Corollary II.B.2.6). The functor X 7! X0 is a cate-
gorical equivalence from the category of quasi-separated locally of finite type rigid
spaces over D .Spf V /rig to the category of quasi-separated Tate analytic vari-
eties over K. Moreover, under this functor, affinoids .resp. coherent spaces/ corre-
spond to affinoid spaces .resp. coherent analytic spaces/.
Note that Raynaud’s theorem (the existence of formal models) gives the canon-
ical quasi-inverse functor to the above functor.15
Relation with Huber’s adic geometry. As we have already remarked above,

the Zariski–Riemann triple ZR.X/, at least in the situation as before, is an adic
space. This is true in much more general situation, for example, in case X is
locally universally Noetherian (II.2.2.23). In fact, by the enriched visualization,
we have the functor
ZRW X 7 ! ZR.X/
15
To show the theorem, we need the Gerritzen–Grauert theorem [45], which we assume whenever
discussing Tate’s rigid analytic geometry. Note that, when it comes to the rigid geometry over valuation
rings, this volume is self-contained only with this exception. We will prove Gerritzen–Grauert theorem
without a circlular argument in the next volume.
Introduction XXVII
from the category of locally universally Noetherian rigid spaces to the category of
adic spaces (Theorem II.A.5.1), which gives rise to a categorical equivalence in the
most important cases. In particular, we have the following theorem.
Theorem (Theorem II.A.5.2). Let be a locally universally Noetherian rigid
space. Then ZR establishes a categorical equivalence from the category of locally
of finite type rigid spaces over to the category of adic spaces locally of finite type
over ZR./.
Relation with Berkovich analytic geometry. Let V and K be as before. We
will construct a natural functor
X 7 ! XB
from the category of locally quasi-compact16 (II.4.4.1) and locally of finite type
rigid spaces over D .Spf V /rig to the category of strictly K-analytic spaces (in
the sense of Berkovich).
Theorem (Theorem II.C.6.12). The functor X 7! XB establishes a categorical
equivalence from the category of all locally quasi-compact locally of finite type
rigid spaces over .Spf V /rig to the category of all strictly K-analytic spaces. More-
over, XB is Hausdorff .resp. paracompact Hausdorff, resp. compact Hausdorff/ if
and only if X is quasi-separated .resp. paracompact and quasi-separated, resp.
coherent/.
The underlying topological space of XB is what we call the separated quo-
tient (II, ÷4.3. (a)) of hXi, denoted by ŒX, which comes with the quotient map
sepX W hXi ! ŒX
(separation map). In particular, the topology of XB is the quotient topology of the

topology of hXi.
Figure 6 illustrates the interrelations among the theories we have discussed so
far. In the diagram,
the functors .1/ and .2/ are fully faithful; the functor .3/, defined on
locally quasi-compact rigid analytic spaces, is fully faithful to the category
of strictly K-analytic spaces;
the functor .4/W X ! X0 , defined on locally of finite type rigid spaces
over .Spf V /rig , is quasi-inverse to (1) restricted on quasi-separated spaces;
16
Note that, if X is quasi-separated, then X is locally quasi-compact if and only if hXi is taut in the
sense of Huber, 5.1.2 in [61] (cf. 0.2.5.6).
XXVIII Introduction
the functor .5/ is given by the enriched visualization, defined on locally

universally Noetherian rigid spaces; it is fully faithful in practical situations,
including those of locally of finite type rigid spaces over a fixed locally uni-
versally Noetherian rigid space, and of rigid spaces of type (N) (II.A.5.3);
the functor .6/W X 7! XB , defined on locally quasi-compact locally of
finite type rigid spaces over .Spf V /rig , establishes a categorical equivalence
with the category of strictly K-analytic spaces.
3 Rigid spaces
.1/ (in our sense)
.4/
| .5/

Tate’s rigid analytic / Adic spaces .6/
varieties .2/
.3/ Berkovich
+
spaces
Figure 6. Relation with other theories.
Finally, we would like to mention that it has recently become known to experts
in the field that it is possible that some of the non-Archimedean spaces that arise
naturally in contemporary arithmetic geometry cannot be handled in Berkovich’s
analytic geometry (see e.g. [57], 4.4). This state of affair makes it important to
investigate in detail the relationship between Berkovich’s analytic geometry and
rigid geometry (or adic geometry). In II, ÷C.5, we will study a spectral theory
of filtered rings and introduce a new category of spaces, the so-called metrized
analytic spaces. This new notion of spaces generalizes Berkovich’s K-analytic
spaces, and gives a clear picture of the comparison; see II, ÷C.6. (d). Also, the
newly introduced spaces turn out to be equivalent to Kedlaya’s reified adic spaces
[67], to which our filtered ring approach in this book offers a new perspective.
8. Applications. We expect that our rigid geometry will have rich applications, not
only in arithmetic geometry, but also in various other fields. A few of them have
already been sketched in [42], which include
arithmetic moduli spaces (e.g. Shimura varieties) and their compactifica-
tions;
trace formula in characteristic p > 0 (Deligne’s conjecture).
Introduction XXIX
In addition to these, since our theory has set out from Zariski’s birational ge-
ometry, applications to problems in birational geometry, modern or classical, are
also expected. For example, this volume already contains Nagata’s compactifica-
tion theorem for schemes and a proof of it (II, ÷F), as an application of the general
idea of our rigid geometry to algebraic geometry.
Some other prospective applications may be to p-adic Hodge theory (cf. [91]
and [92]) and to rigid cohomology theory for algebraic varieties in positive char-
acteristic. Here the visualization in our sense of rigid spaces will give concrete
pictures for tubes and the dagger construction. As one application in this direction
one can mention
p-adic Hodge theory vs. rigid cohomology.
Finally, let us mention that the applications to
moduli of Galois representations,
mirror symmetry,
the second of which has been first envisaged by M. Kontsevich, should be among
the future challenges.
9. Contents of this book. We followed two basic rules in designing the contents
of this book, both of which may justify its length. First, in addition to being a
front-line exposition presenting new theories and results, we hope that this book
will serve as an encyclopedic source. It contains, consequently, as many notions
and concepts, hopefully with only few omission, that should come about as basic
and important ones for present and future use, as possible.
Second, we have aimed at making this book as self-contained as possible. All
results that sit properly inside the main body of our arguments are always followed
by proofs, except for some minor or not-too-difficult lemmas, some of which are
placed at the end of each section as exercises; even in this case, if the result is
used in the main text, we give a detailed hint in the end of the book, which, in
many cases, almost proves the assertion. Note that, because of several laborious
requirements on the groundwork, such as removing the Noetherian hypothesis, are
also self-contained many of the preliminary parts.
This volume consists of the following three chapters:
Chapter 0. Preliminaries
Chapter I. Formal geometry
Chapter II. Rigid spaces
Let us briefly sketch the contents of each chapter. More detailed summaries will be
given at the beginning of each chapter.
XXX Introduction
Chapter 0 collects preliminaries, which, however, contain also new results. Sec-
tions 0, ÷1 to 0, ÷7 give necessary preliminaries on set theory, category theory,
general topology, homological algebra, etc. In the general topology section, we put
emphasis on Stone duality between topological spaces and lattices. In 0, ÷8 and 0,
÷9, we will conduct thorough study of topological and algebraic aspects of topolog-
ical rings and modules. This part of the preliminaries will be the bases of the next
chapter, the general theory of formal geometry.
Chapter I is devoted to formal geometry. The essential task here is to treat non-
Noetherian formal schemes of a certain kind, e.g., finite type formal schemes over
an a-adically complete valuation ring of arbitrary height, for reasons of functoriality
(as stated in 4. above). Since this kind of generalities seem to be missing in the past
literature, we provide a self-contained and systematic theory of formal geometry,
generalizing many of the theorems in [54], III. To this end, we introduce several
new notions of finiteness condition outside the ideal of definition and show that they
allow one to build a versatile theory of formal schemes.
Chapter II is the main part of this volume, in which we develop rigid geometry,
based on the foundational work done in the previous chapter. The geometrical
theory of rigid spaces that we treat in this chapter includes
cohomology theory of coherent sheaves (II, ÷5, ÷6); finiteness (II.7.5.19);
local and global study of morphisms (II, ÷7);
classification of points (II, ÷8, ÷11.1);
GAGA (II, ÷9);
relations with other theories (II, ÷A, ÷B, ÷C).
There are of course many other important topics that are not dealt with in this
volume. Some of them, including several important applications, will be contained
in the future volumes.
10. Use of algebraic spaces. In I, ÷6 we develop a full-fledged theory of formal
algebraic spaces. It is, in fact, one of the characteristic features of our approach to
rigid geometry that we allow formal algebraic spaces, not only formal schemes, to
be formal models of rigid spaces. The motivation mainly comes from the applica-
tions to algebraic geometry.
In algebraic geometry, while it is often difficult to show that spaces, such as
moduli spaces, are represented by schemes, the representability by algebraic spaces
is relatively easy to establish, thanks to M. Artin’s formal algebraization theo-
rem [6]. Therefore, taking algebraic spaces into the scope increases the flexibility
of the theory. In order to incorporate algebraic spaces into our rigid geometry, one
first needs to discuss formal algebraic spaces, some of which appear as the formal
Introduction XXXI
completion of algebraic spaces, and then proceed to the rigid spaces associated
to them. Now the important fact is that, although formal algebraic spaces seem
to constitute, via Raynaud’s recipe, a new category of rigid spaces that enlarges
the already existing category of rigid spaces derived from formal schemes, they
actually do not; viz., we do not have to enlarge the category of rigid spaces by this
generalization. This is explained by the following theorem, which we shall prove
in the future volume.
Theorem (equivalence theorem). Let X be a coherent adic formal algebraic space

of finite ideal type. Then there exists an admissible blow-up X 0 ! X from a formal
scheme X 0 . Therefore, the canonical functor
8̂ 9
8 9 coherent adic >
< coherent adic = ˆ
< >
=
formal algebraic
formal schemes of 8 9 ! spaces of
: finite ideal type ; < admissible ˆ >
;< admissible
>
= 8 9
:̂ finite ideal type =
: blow-ups ;
: blow-ups ;
is a categorical equivalence.
The theorem shows that, up to admissible blow-ups, formal algebraic spaces

simply fall into the class of formal schemes, and thus define the associated rigid
space X rig just ‘as usual.’ As for GAGA, we can generalize the definition of GAGA
functor for algebraic spaces (using a compactification theorem of Nagata type for
algebraic spaces).17
11. Properness in rigid geometry. In rigid geometry, we have the following three
natural definitions of properness. A morphism 'W X ! Y of coherent rigid spaces
is proper if either one of the following conditions is satisfied.
(1) ' is universally closed (II.7.5.4), separated, and of finite type.
(2) Raynaud properness. There exists a proper formal model f W X ! Y of '.
(3) Kiehl properness. ' is separated of finite type, and there exist an affinoid
covering fUi gi 2I and, for each i 2 I , a pair of finite affinoid coverings
fVij gj 2Ji and fVij0 gj 2Ji of ' 1 .Ui / indexed by a common set Ji such that,
for any j 2 Ji , Vij Vij0 and Vij is relatively compact in Vij0 over Ui
(in the sense of Kiehl).
17
This ‘analytification of algebraic spaces’ was already considered in depth and developed by B. Conrad
and M. Temkin [31] over complete non-Archimedean valued fields.
XXXII Introduction
Historically, properness in Tate’s rigid geometry has been first defined by

R. Kiehl by condition (3) in his work [69] on finiteness theorem. This condi-
tion, existence of affinoid enlargements, stems from the general idea by Cartan
and Serre and by H. Grauert for proving finiteness of cohomologies of coherent
sheaves. While the equivalence of (1) and (2) is an easy exercise, the equiva-
lence of (2) and (3), especially the implication (2) H) (3), is a very deep theo-
rem. Lütkebohmert’s 1990 paper [78] proves this for rigid spaces of finite type
over .Spf V /rig , where V is a complete discrete valuation ring. In this book, we
temporarily define properness by condition (1) (and hence equivalently by (2)), and
postpone the proof of the equivalence of these three conditions, especially the im-
plication (2) H) (3), in the so-called adhesive case (II.2.2.23), to the next volume,
in which we will show the Enlargement Theorem by expanding Lütkebohmert’s
technique.
12. Contents of the future volumes. Our project will continue in future volumes.
The next volume will contain the following chapters.
Chapter III. Formal flattening theorem

This chapter will also contain several applications of the formal flattening
theorem, such as Gerritzen–Grauert theorem.
Chapter IV. Enlargement theorem

This chapter will contain the proof of the equivalence of the three ‘defini-
tions’ of properness.
Chapter V. Equivalence theorem and analytification

of algebraic spaces
This chapter will give the proof of the equivalence theorem stated above and
the definition of the GAGA functor for algebraic spaces.
13. General conventions. Chapter numbers are bold-face Roman, while for sec-
tions and subsections we use Arabic numbers; subsubsections are numbered by
letters in parentheses; for example, ‘I, ÷3.2. (b)’ refers to the second subsubsection
of the second subsection in ÷3 of Chapter I. Cross-references will be given by se-
quences of numerals, like I.3.2.1, which specify the places of the statements in the
text. The chapter numbers are omitted when referring to places in the same chapter.
Almost all sections are equipped with some exercises at the end, which are
selected in order to help the reader understand the content. We insert hints for
some of the exercises at the end of this volume.
Introduction XXXIII
Let us list some mathematical conventions.

We fix once for all a Grothendieck universe U ([8], Exposé I, 0); cf. 0,
÷1.1. (a).
By a Grothendieck topology (or simply by a topology) on a category C we
always mean a functor J W x 7! J.x/, assigning to each x 2 obj.C / a col-
lection of sieves, as in [80], III, ÷2, Definition 1. In many places, however,
Grothendieck topologies are introduced by means of a base (covering fami-
lies) as in [80], III, ÷2, Definition 2, (prétopologie in the terminology in [8],
Exposé II, (1.3)); in this situation, we consider, without explicit mentioning,
the Grothendieck topology generated by the base.
A site will always mean a U-site (cf. [8], Exposé II, (3.0.2)), that is, a pair
.C ; J / consisting of a U-category C ([8], Exposé I, Definition 1.1) and a
Grothendieck topology on C .
All compact topological spaces are assumed to be Hausdorff; that is, we
adopt the Bourbaki convention
quasi-compact C Hausdorff D compact:
However, we sometimes use the term ‘compact Hausdorff’ just for empha-
sis. Other conventions, in which we do not follow Bourbaki, are the follow-
ing ones.
Locally compact spaces are only assumed to be locally Hausdorff;18
A topological space X is said to be locally compact if every point of
X has a compact neighborhood contained in a Hausdorff neighbor-
hood.
Paracompact spaces are not assumed to be Hausdorff; see 0, ÷2.5. (c).
Whenever we say A is a ring, we always mean, unless otherwise stipulated
that A is a commutative ring having the multiplicative unit 1 D 1A . We also
assume that any ring homomorphism f W A ! B is unital, that is, maps 1A
to 1B . Moreover,
for a ring A we denote by Frac.A/ the total ring of fractions of A;
for a ring A the Krull dimension of A is denoted by dim.A/;
when A is a local ring, its unique maximal ideal is denoted by mA .
Let A be a ring and I A an ideal. When we say A is I -adically complete
or complete with respect to the I -adic topology, we always mean, unless
otherwise stipulated that A is Hausdorff complete with respect to the I -adic
topology.
18
Note that, in [24], Chapter I, ÷9.7, Definition 4, locally compact spaces are assumed to be Hausdorff.
XXXIV Introduction
By an exact functor between derived categories (of any sort) we always

mean an exact functor of triangulated categories that preserves the canoni-
cal t -structures (hence also the canonical cohomology functors), which are
clearly specified by the context.
We will often use, by abuse of notation, the equality symbol ‘D’ for ‘iso-
morphic by a canonical morphism.’
Acknowledgements. There are so many people and institutions to whom we are

deeply indebted for help with this work. We first of all would like to thank Ofer
Gabber for many valuable and inspiring discussions and results, partly obtained by
collaboration, which improved very much our original results and initial blue-prints
of this project. We thank Ahmed Abbes, Yves André, Matt Baker, Ken-ichi Ban-
nai, Francesco Baldassarri, Vladimir Berkovich, Siegfried Bosch, Bruno Chiarel-
lotto, Gunther Cornelissen, Quentin Guignard, Michel Gros, Bernard Le Stum,
Yoichi Mieda, Johannes Nicaise, Frans Oort, Michel Raynaud, Takeshi Saito, Peter
Ullrich, and Gerard van der Geer for valuable discussions and friendly encourage-
ment. We are grateful to Institut des Hautes Études Scientifiques, Research Insti-
tute for Mathematical Sciences, Centre de Recerca Matemàtica, École Normale
Supérieure, Université de Rennes 1, Universiteit Utrecht, and Nagoya University
for their hospitality. Finally, let us mention that this work was supported by JSPS
KAKENHI Grant Numbers 13440004, 17340002, 21340004, 17740014, 20540015,
23540015, 26400050, and 15H03607.
Chapter 0
Preliminaries
This chapter collects basic notions and results from various fields, which are pre-
pared not only for the rest of this volume, but also for later volumes. In spite of its
preliminary nature, the chapter contains new notions, results and techniques. Sec-
tions 1–7 are devoted to the background concepts and results in set theory, category
theory, general topology, homological algebras, ringed spaces, schemes and alge-
braic spaces, valuation rings, and topological rings and modules. One of the new
items that come into play in these sections is the notion of valuative spaces, dis-
cussed in ÷2.3. It will be shown later, in Chapter II, that valuative spaces provide
a nice topological visualization (cf. Introduction) of rigid spaces; viz., the Zariski–
Riemann spaces associated to rigid spaces are all valuative. In this sense, valua-
tive spaces should be regarded as an abstraction, in non-Archimedean geometry, of
spectral spaces, leading to a spectral geometry that arises from non-Archimedean
geometries. We will see that valuative spaces have many rich topological structures,
such as separated quotients, overconvergent subsets, tube subsets, etc.
In Sections 8 and 9 we give a general treatment of adically topologized rings
and modules. The main object of these sections is commutative rings equipped
with an adic topology defined by a finitely generated ideal. At first, we develop
the theory of these objects in the most general setting, and later, we will consider
various kinds of finiteness conditions imposed outside the ideal of definition. This
‘finiteness conditions outside I ’ will form the central part of our discussion. For
example, I -adically complete and Noetherian-outside-I rings form a nice class
of adic rings that enjoy many of the pleasant properties known to be satisfied by
Noetherian topological rings (due to a theorem by Gabber, Theorem 8.2.19), such
as ‘preservation of adicness,’ a property similar to the Artin–Rees property. Of
particular importance among these topological rings are what we call topologically
universally pseudo-adhesive and topologically universally adhesive (abbr. t.u. ad-
hesive) rings. All these new notions and techniques will provide the basis for the
next chapter, in which we develop the general theory of formal schemes.
In Section 9 we focus on topologically of finite type algebras over V , a valu-
ation ring that is a-adically complete by a non-zero a 2 mV . It will be shown,
using another theorem by Gabber, that such an algebra is always t.u. adhesive
(Corollary 9.2.7). Note that here we do not assume that the valuation ring V
2 Chapter 0. Preliminaries
is of height one. We will moreover show several ring-theoretically important re-

sults, such as the Noether normalization theorem in the height-one situation (Theo-
rem 9.2.10).
In the end of this chapter, we provide appendices on further concepts and tech-
niques including Huber’s f-adic rings and basics on derived categories.
1 Basic Languages
This section gives a short glossary of set theory and category theory. Like in
the modern approaches to algebraic geometry, we postulate Grothendieck’s ax-
iom (UA) in [8], Exposé I, 0, on existence of Grothendieck universe and fix one
universe once for all. Some of the related technical notions, such as U-small sets
and U-categories, are briefly reviewed in ÷1.1 and ÷1.2. In ÷1.3 we discuss limits
and colimits, especially filtered (cofiltered) and essentially small limits (colimits).
The final subsection gives an overview of general categorical frameworks for sev-
eral stabilities of properties of arrows, which are mainly taken from [72], I, and
further developed.
1.1 Sets and ordered sets

1.1. (a) Sets. In this book, we entirely work in the ZFC set theory (cf. [36], Chap-
ter 1, ÷3) with the language of classes (cf. [36], Chapter 1, ÷5.3), assuming Grothen-
dieck’s axiom (UA) for existence of Grothendieck universes ([8], Exposé I, 0).
We fix once for all a Grothendieck universe U containing at least one infinite or-
dinal. As in [8], Exposé I, 1.0, a set x is said to be U-small, if it is isomorphic to a
member of U.
1.1. (b) Ordered sets and order types. Recall that an ordering on a (not neces-
sarily U-small) set X is a relation on X satisfying the following conditions:
(O1) x x, for any x 2 X;
(O2) x y and y x imply x D y, for any x; y 2 X;
(O3) x y and y z imply x z, for any x; y; z 2 X.
As usual, we write x < y if x y and x ¤ y.
A ( partially) ordered set ( poset) is a pair .X; / consisting of a set and an
ordering. It is clear that an ordered set .X; / is U-small (resp. a member of U) if
and only if so is the set X.
For an ordered set X D .X; /, we denote by X opp D .X; opp / the ordered
set having the same underlying set X with all the inequalities reversed, that is, for
x; y 2 X, x opp y if and only if y x.
1. Basic Languages 3
Let .X; / and .Y; / be ordered sets. A map f W X ! Y is said to be ordered

if, for any x; y 2 X with x y, we have f .x/ f .y/.
An ordered set .X; / is said to be totally ordered if, for any x; y 2 X, either
one of x < y, x D y, or x > y holds. For example, any ordinal (cf. [36], Chapter 2,
÷2) is a totally ordered set by the membership relation 2.
Consider the set U-Ord of all isomorphism classes of totally ordered sets be-
longing to U. For a totally ordered set .X; / in U, the unique element 2 U-Ord
such that .X; / 2 is called the order type of .X; /. Any finite ordinal n D
f0; 1; : : : ; n 1g defines a unique order type, denoted again by n. Order types of
this form are said to be finite.
1.2 Categories
1.2. (a) Conventions. In this book, categories are always considered within set
theory; our standard reference on category theory is [79]. For a category C we
denote by obj.C / the class of objects of C , and for each pair .x; y/ of objects
of C , we denote by HomC .x; y/ the class of arrows from x to y. A category C is
called a U-category if HomC .x; y/ is U-small for any x; y 2 obj.C / ([8], Exposé I,
Definition 1.1). Almost all categories in this book are U-categories; moreover, they
most of the time satisfy the following conditions ([8], Exposé I, 1.1.2):
(C1) the class of objects obj.C / is a subset of U;
(C2) for any x; y 2 obj.C /, the set HomC .x; y/ is a member of U.
Let C be a U-category. For each pair .x; y/ of objects, we denote by IsomC .x; y/
the subset of HomC .x; y/ consisting of all isomorphisms. Also, for an object x, we
write EndC .x/ D HomC .x; x/ and AutC .x/ D IsomC .x; x/.
For a category C , we denote by C opp the opposite category of C ([79], Chap-
ter II, ÷2), that is, the category such that
obj.C opp / D obj.C / and
HomC opp .x; y/ D HomC .y; x/ for any x; y 2 obj.C /.
By a functor C ! D we always mean a covariant functor, unless otherwise
clearly stated. Contravariant functors will be written as a covariant functor from
the opposite category of the domain category.
1.2. (b) Frequently used categories. The following categories are frequently used
in this book:
Sets D the category of all sets in U;
Top D the category of all topological spaces in U;
Ab D the category of all abelian groups in U.
For a ring (commutative with unit) A:

ModA D the category of all A-modules in U;
AlgA D the category of all A-algebras in U.
These are U-categories satisfying (C1) and (C2) in 1.2. (a).
1.2. (c) Functor category. Let C and D be categories. We denote by C D the

category of functors from D to C and natural transformations. Note that (cf. [8],
Exposé I, 1.1.1):
(1) if both C and D are members of U (resp. U-small), then so is C D ;
(2) if D is U-small and C is a U-category, then C D is a U-category.
1.2. (d) Groupoids and discrete categories. A category C is a groupoid if all

arrows are isomorphisms. C is discrete if the set HomC .x; y/ is empty unless
x D y and, for each object x, we have EndC .x/ D fidx g. Note that a discrete
category C is completely determined by its class of objects.
1.2. (e) Category associated to an ordered set. To an ordered set X D .X; /

one canonically associates a category, denoted again by X, whose objects are the
elements of X, and for x; y 2 X,
´
¹.x; y/º if x y,
HomX .x; y/ D
; otherwise.
If the set X is a member of U (resp. U-small), then so is the associated category.

Note that the category associated to the inverse ordered set X opp (÷1.1. (b)) is the
opposite category of the category associated to X (÷1.2. (a)).
1.3 Limits
1.3. (a) Definition and universal property. Let C and D be categories. The di-
agonal functor
W C ! C D
is the functor defined as follows: .x/W D ! C for x 2 obj.C / is the constant
functor given by .x/.y/ D x for any object y of D, and .x/.f / D idx for any
arrow f of D. We denote the right (resp. left) adjoint to , if it exists, by lim (resp.
lim). For a functor F W D ! C , the object lim F (resp. lim F ) is called the limit
! !
(resp. colimit) of F .
To describe the mapping universality of the limit lim F , consider a morphism

.x/ ! F of functors, which amounts to the same as a collection of arrows
x ! F .y/ in C for all y 2 obj.D/, such that for any arrow f W y ! z in D
the resulting triangle
8
F .y/
qq
qqq
x ▼▼▼ F .f /
▼▼&
F .z/
is commutative. Replacing x by lim F , and considering the adjunction morphism
.lim F / ! F , one gets the compatible collection of arrows lim F ! F .y/
(y 2 obj.D/). The limit lim F is then characterized up to isomorphism by the
following universal mapping property: whenever a collection of arrows x ! F .y/
as above is given, there exists a unique arrow x ! lim F such that the diagram
lim F
♦♦7
♦♦♦
x ◗◗◗
◗◗(
F .y/
is commutative for any y 2 obj.D/.

The mapping universality of the colimit lim F can be described similarly; the
!
details are left to the reader.
1.3. (b) Limits over ordered sets. We will most frequently deal with limits and
colimits with the index category being an ordered set (÷1.2. (e)). If I is an ordered
set, then the functor F W I ! C as above amounts to the same as what is usually
called an inductive system (synonym: direct system) fXi ; fij g of objects and arrows
in C . Similarly, a functor of the form GW I opp ! C corresponds to what is called a
projective system (synonym: inverse system). The corresponding limits, inductive
and projective, are respectively written in the usual way as
lim Xi and lim Xi :
!
i 2I i 2I
1.3. (c) Final and cofinal functors. A category I is said to be filtered if it is non-
empty and satisfies the following conditions:
(a) for any x; x 0 2 obj.I /, there exist y 2 obj.I / and arrows x ! y and
x 0 ! y;
(b) given two arrows f; f 0 W x ! y, there exists gW y ! z such that g ı f D
g ı f 0.
An ordered set I is said to be directed if any finite subset has an upper bound.
If I is a directed set, then it is, viewed as a category as in ÷1.2. (e), a filtered cate-
gory.
A functor LW J ! I between filtered categories is said to be final if
(F) for any i 2 obj.I /, there exist j 2 obj.J / and an arrow i ! L.j /.
Proposition 1.3.1 ([79], Chapter IX, ÷3, Theorem 1). Let LW J ! I be a final
functor between filtered categories, and F W I ! C a functor. If lim F ı L exists,
!
then so does lim F , and the canonical morphism
!
lim.F ı L/ ! lim F
! !
is an isomorphism.
Thus, when taking the colimit, one can replace the index category I by a cate-
gory J that admits a final functor J ! I . If such a category J can be chosen as
a directed set, the index category I is said to be essentially small. In this case, the
limit ‘along category’ can be replaced by a limit ‘along set,’ which is, needless to
say, easier to handle.
Similarly, by duality, one has the notions of cofiltered categories and cofinal
functors LW J ! I . For example, if I is a directed set, the category I opp is cofil-
tered. A cofiltered category I is said to be essentially small if it admits a cofinal
functor J opp ! I , where J is a directed set. The dual statement of 1.3.1 holds
alike.
Proposition 1.3.2. Let LW J ! I be a cofinal functor between cofiltered categories,
and F W I ! C a functor. If lim F ı L exists, then so does lim F , and the canonical
morphism
lim F ! lim.F ı L/
is an isomorphism.
1.4 Several stabilities for properties of arrows

1.4. (a) Base-change stability. Let C be a category. We consider a subcategory D
of C containing all isomorphisms of C (hence, in particular, obj.D/ D obj.C /).
Typically, such a subcategory comes about in the following way. Let P be a prop-
erty of arrows in the category C such that
(I) any isomorphism satisfies P and
(C) if aW x ! y and bW y ! z satisfy P , then the composite b ı a satisfies P .
Then the subcategory consisting of all arrows satisfying P , denoted by DP , is a
subcategory of the above type.
Proposition 1.4.1. Let D and E be subcategories of C containing all isomor-

phisms. We assume that
if aW x ! y belongs to E, then for any bW z ! y, the fiber product x y z is
representable in C , and the arrow x y z ! z belongs to E.
Consider the following conditions.
a / 0 b / 0
.B1 / Suppose x ✽ x and y ✼ y are commutative diagrams in C such
✽✽ ☎☎ ✼✼ ✝✝
☎☎ ✝
z z
that (i) the arrows a and b are in D, and (ii) either the arrows x ! z and
x 0 ! z or the arrows x ! z and y 0 ! z belong to E. Then the induced
arrow
a z bW x z y ! x 0 z y 0
belongs to D.
a / y in C and an arrow z 0 ! z in
.B2 / Suppose a commutative diagram x ✽
✽ ✽ ✝✝✝
z
C are given such that the arrow a belongs to D. Suppose, moreover, that
either one of the following holds: (i) the arrows x ! z and y ! z belong
to E, or (ii) the arrow z 0 ! z belongs to E. Then the induced arrow
az 0 W x z z 0 ! y z z 0
belongs to D.
a
.B3 / Suppose a diagram x ! y y 0 in C is given such that (i) the arrow a
belongs to D, and (ii) either the arrow x ! y or the arrow y 0 ! y belongs
to E. Then the induced arrow
ay 0 W x y y 0 ! y 0
belongs to D.
Then we have the implications
.B1 / () .B2 / H) .B3 /:
If we assume, moreover, that

for arrows aW x ! y and bW y ! z in C , if b ı a and b belong to E, then a
belongs to E,
then it also holds the implication .B3 / H) .B2 /.
Proof. First let us show .B1 / H) .B2 /. In the situation as in .B2 /, if the arrows
x ! z and y ! z belong to E, apply .B1 / with y D y 0 replaced by z 0 and
x 0 replaced by y. If the arrow z 0 ! z belongs to E, apply .B1 / with x D x 0
replaced by z 0 and with y and y 0 by x and y, respectively. Conversely, to show
.B2 / H) .B1 /, we use the fact that the arrow a z b coincides with the composites
x z y ! x 0 z y ! x 0 z y 0 and x z y ! x z y 0 ! x 0 z y 0 ;
cf. [53], (0, 1.3.9). In either case where the arrows x ! z and x 0 ! z or the arrows
x ! z and y 0 ! z belong to E, one can apply .B2 / to show that the arrow a z b
belongs to D.
Implication .B2 / H) .B3 / follows easily, since .B3 / is the special case of .B2 /
with z D y. To show .B3 / H) .B2 /, we use the fact that the arrow az 0 is isomor-
phic to
x y .y z z 0 / ! y z z 0
(cf. [53], (0, 1.3.4)). If the arrows x ! z and y ! z belong to E, then one
can apply .B3 / with y 0 replaced by y z z 0 , since x ! y belongs to E. If the
arrow z 0 ! z belongs to E, one can apply .B3 / with y 0 replaced by y z z 0 , since
y z z 0 ! y belongs to E.
Definition 1.4.2. Suppose C has all fiber products. Then the subcategory D, or
the property P with D D DP , is base-change stable in C if the conditions in 1.4.1
with E D C are satisfied.
1.4. (b) Topology associated to a base-change stable subcategory. We insert

here a brief review of the Grothendieck topology1 associated to a base-change sta-
ble subcategory (cf. [72], I.1). Let C be a category with all fiber products.
Definition 1.4.3. (1) A family fu˛ ! ug˛2L of arrows in C is said to be uni-
versally effectively epimorphic if, for any arrow w ! u in C and for any object
v 2 obj.C /, the induced sequence of maps
Y Y
HomC .w; v/ ! HomC .w u u˛ ; v/ ! ! HomC .w u u˛ˇ ; v/; ()
˛2L ˛;ˇ 2L
where u˛ˇ D u˛ u uˇ , is exact.

(2) An arrow aW v ! u is called a universally effectively epimorphism if fag is
a universally effectively epimorphic family.
Definition 1.4.4. Let D be a base-change stable subcategory of C (1.4.2). The
topology associated to D (or to P when D D DP ) is the Grothendieck topology
on C , denoted by JD (or by JP ), such that the covering families are given by all
universally effectively epimorphic families in C consisting of arrows in D.
1
See General conventions in the introduction for our convention for Grothendieck topologies.
Proposition 1.4.5. The topology J D JD satisfies the condition

.A0 / any representable presheaf on the site CJ D .C ; J / is a sheaf.
In other words, the topology J is coarser than the canonical topology on C
(see [8] Exposé II, (2.5), and [80], p. 126).
Convention. Throughout this book, whenever a site CJ D .C ; J / satisfies .A0 /,
the sheaf on CJ associated to an object x 2 obj.C / is simply denoted by the same
symbol x.
There are several other useful conditions for the topology J D JD , some of
which come from properties of the subcategory D. It will be convenient for us to
formulate some of them as axioms.
Definition 1.4.6. Let C be a category with all fiber products.
(1) An object ; 2 obj.C / is said to be strictly initial if it is an initial object
and for any x 2 obj.C / the set HomC .x; ;/ is empty unless x is isomorphic to
;. (It can be shown that if a strictly initial object exists, then any initial object is
strictly initial.)
`
(2) Let fx˛ g˛2L be a family of objects in C . The coproduct ˛ x˛ is called the
disjoint sum if each x˛ x xˇ for .˛; ˇ/ 2 L L is a strictly initial object.
Now the axioms for the base-change stable subcategory D that we will use in
the sequel are listed as follows.
For a family fx˛ ! yg˛2L of arrows in C such that the disjoint sum x D
.S1 / `
˛2L x˛ exists, the induced arrow x ! y belongs to D if and only if each
x˛ ! x belongs to D.
.S2 / An arrow in D is a universally effectively epimorphism in C if and only if
it is an epimorphism in C .
a / y in C such that c belongs to D,
.S3 / For a commutative diagram x ✻
✻ ✻✻ ✟✟✟
c ✟ b
z
.S3 .a// if a is a covering of JD , then b belongs to D;
.S3 .b// if b belongs to D, then so does a.
1.4. (c) Stability and effective descent. Let C be a category with all fiber prod-
ucts, and J a Grothendieck topology on C satisfying .A0 / in 1.4.5.
Definition 1.4.7. A subclass of objects in C is said to be stable (under J / if, for
any covering family fu˛ ! ug˛2L , the object u belongs to if and only if all u˛
for ˛ 2 L belong to .
Definition 1.4.8. Let D C be a subcategory of C containing all isomorphisms

in C .
(1) The subcategory D (or P when D D DP ) is said to be local on the target
(under J / if, for any aW x ! y in C and for any covering family fy˛ ! yg˛2L ,
the arrow a belongs to D if the base change a˛ W y˛ y x ! y˛ belongs to D for
each ˛ 2 L. If it is, moreover, base-change stable, then D (or P when D D DP )
is said to be stable (under J /.
(2) The subcategory D (or P when D D DP ) is said to be local on the domain
(under J / if it is stable under J and, for any aW x ! y in C and for any covering
family fx˛ ! xg˛2L , the arrow a belongs to D if and only if the composite x˛ !
x ! y belongs to D for each ˛ 2 L.
(3) The subcategory D is called an effective descent class (with respect to J /
if it is stable under J and the following condition is satisfied. Let fu˛ ! ug˛2L
be a covering family, and F a set-valued sheaf on CJ together with a map F ! u
of sheaves; if each sheaf fiber product u˛ u F is represented by an object w˛ 2
obj.C /, and if all arrows w˛ ! u˛ for ˛ 2 L belong to D, then F is representable
(consequently, if w represents F , the resulting arrow w ! u belongs to D).
Definition 1.4.9. Let x 2 obj.C /.
.1/ A local construction ˆ on x consists of the following data:
(a) a cofinal set V D ffx˛ ! xg˛ 2ƒ˛ g˛2L of covering families of x;
(b) an arrow ˆ˛ ! x˛ in C for each x˛ ! x in a covering family in V ;
(c) an arrow ˆ˛ ! ˆˇ in C for any arrow x˛ ! xˇ over x such that
ˆ˛ / ˆ
ˇ

x˛ / x
ˇ
is Cartesian in C .
.2/ A local construction ˆ on x is said to be effective if there exist an arrow
y ! x and isomorphisms x˛ x y Š ˆ˛ for all ˛ 2 L and 2 ƒ˛ that are
compatible with the arrows ˆ˛ ! ˆˇ as in (c) above.
Proposition 1.4.10 ([72], (1.12)). Let ˆ be a local construction on x 2 obj.C /,
and D a stable subcategory of C that is an effective descent class. Suppose that,
for any x˛ ! x in a covering family in the cofinal set V of ˆ as above, the arrow
ˆ˛ ! x˛ belongs to D. Then ˆ is effective, and the arrow y ! x as in 1.4.9 (2)
belongs to D.
1.4. (d) Categorical equivalence relations. Finally, let us include some generali-
ties of categorical equivalence relations (cf. [72], I.5).
Let CJ D .C ; J / be a site with the underlying category C with a final object
and all fiber products.
Definition 1.4.11. A J -equivalence relation in C is a diagram

p1
//
R Y
p2
consisting of arrows in C such that

(a) for any object Z of C , the induced map
HomC .Z; R/ ! HomC .Z; Y / HomC .Z; Y /
is injective and defines an equivalence relation on the set HomC .Z; Y /;

(b) the maps p1 ; p2 are covering maps with respect to the topology J .
Let C be a category with a final object and all fiber products, and B a base-
change stable subcategory of C enjoying .S1 /, .S3 .a//, and .S3 .b// in ÷1.4. (b).
We consider the associated topology J D JB (1.4.4).
As usual, a map F ! G of sheaves on the site CJ is said to be representable if,
for any map z ! G of sheaves from a representable sheaf, the sheaf fiber product
z G F is representable. Let D be a base-change stable subcategory of C . We say
that a map F ! G of sheaves is represented by a map in D if it is representable
and, for any map z ! G of sheaves from a representable sheaf, the morphism
w ! z in C representing the base-change z G F ! z belongs to D. If, moreover,
D D B and all morphisms w ! z as above are covering maps, then we say that
F ! G is represented by a covering map.
Proposition 1.4.12 ([72], I.5.5). Let p1 ; p2 W R ! Y be a J -equivalence relation

in the site CJ D .C ; J /, and qW Y ! F the cokernel of p1 ; p2 in the category of
sheaves on CJ . Then for any map of sheaves ˛W T ! F from a representable sheaf,
there exists a covering map W U ! T in CJ sitting in a commutative diagram
pr1

U T U // U /T
pr2
ˇ ˛
p1
R // Y q
/F.
p2
Here, by the commutativity of the left-hand square, we mean ˇ ı pr1 D p1 ı and

ˇ ı pr2 D p2 ı .
Proposition 1.4.13. Let p1 ; p2 W R ! Y be a J -equivalence relation in the site

CJ D .C ; J /, and suppose that the induced arrow R ! Y Y belongs to an
effective descent class D (cf. 1.4.8 (3)). Let qW Y ! F be the cokernel of .p1 ; p2 /
in the category of sheaves on CJ . Then
(1) the map q is represented by a covering map;
(2) the canonical map R ! Y F Y of sheaves is an isomorphism;
(3) the diagonal map F W F ! F F is representable by an arrow in D.
Proof. Assertion (1) follows from [72], I.5.9, while (2) follows from [72], I.5.4.
Finally, (3) follows easily from [72], I.5.10.
Exercises
Exercise 0.1.1. Let C be a category with all essentially small filtered colimits, and
I a directed set. We consider an inductive system fJi ; hij gi 2I of directed sets.
Suppose we are given the following data:
(a) for any i 2 I , an inductive system fXi;˛ g˛2Ji consisting of objects and
arrows in C indexed by Ji ;
(b) for any i j , an arrow Xi;˛ ! Xj;hij .˛/ in C such that, whenever ˛ ˇ
in Ji , the diagram
Xi;˛0 / Xj;h .˛0 /
O ij
O
Xi;˛ / Xj;h .˛/

ij
commutes.
(1) For any i j , there exists a canonical arrow
lim Xi;˛ ! lim Xj;ˇ ;

! !
˛2Ji ˇ 2Jj
by which one can consider the double inductive limit lim lim X .
!i 2I !˛2Ji i;˛
(2) Set ƒ D f.i; ˛/W i 2 I; ˛ 2 Ji g, and consider the order on ƒ defined as
follows: .i; ˛/ .j; ˇ/ if i j and hij .˛/ ˇ. Then ƒ is a directed set, and
fXi;˛ g.i;˛/2ƒ is an inductive system indexed by ƒ.
(3) There exists a canonical isomorphism

lim lim Xi;˛ ! lim Xi;˛ :
! ! !
i 2I ˛2Ji .i;˛/2ƒ
2. General topology 13
Exercise 0.1.2. Let I be a non-empty directed set that admits a final and at most
countable subset. Show that there exists an ordered final map LW N ! I .
Exercise 0.1.3. Let CJ D .C ; J / be a site, where C has a final object and all fiber
products, and
p1
R // Y ()
p2
a diagram of arrows in C such that for any Z 2 obj.C / the induced map
HomC .Z; R/ ! HomC .Z; Y / HomC .Z; Y /
is injective and that p1 and p2 are covering maps with respect to J . Define T by
the Cartesian diagram
p12
T /R
p23 p2

R /Y
p1
Show that diagram ./ gives a J -equivalence relation if and only if the following
conditions are satisfied.
(a) There exists an arrow W Y ! R such that p1 ı D p2 ı D idY .

(b) There exists an automorphism W R ! R such that p1 ı D p2 and
p2 ı D p1 (in particular, we have 2 D idR ).
(c) There exists an arrow p13 W T ! R such that p1 ı p13 D p1 ı p12 and
p2 ı p13 D p2 ı p23 .
2 General topology
In this section, we discuss generality of the topological spaces that appear typi-
cally (if not generally) in algebraic geometry. One kind of such typical ‘algebraic
topological spaces’ are the so-called (locally) coherent2 topological spaces, intro-
duced in ÷2.2. For example, the underlying topological spaces of schemes are al-
ways locally coherent. Coherent and sober topological spaces can be regarded as
an algebraic analogue of compact Hausdorff spaces, as indicated by the following
important fact: the filtered projective limit of a family of coherent sober topologi-
cal spaces by quasi-compact transition maps is again a coherent sober topological
space. This fact, which we will prove in ÷2.2. (c) by means of Stone duality between
topological spaces and lattices, contains the famous theorem by Zariski, proved in
his 1944 paper [107], which asserts that his ‘generalized Riemann space’ is quasi-
compact.
2
‘Coherent’ means ‘quasi-compact and quasi-separated.’
The topological spaces that appear in rigid geometry as a topological visual-

ization (cf. Introduction) are locally coherent topological spaces of a special kind,
called valuative spaces, which we will introduce in ÷2.3. Already at the general
topology level, valuative spaces have several interesting special features, such as
overconvergent subsets, separated quotients, etc., all of which will play significant
roles in rigid geometry. Moreover, by means of a certain class of valuative spaces,
the so-called reflexive (2.4.1) locally strongly compact (2.5.1) valuative spaces, one
can develop an interesting variant of Stone duality, given in ÷2.6, which will be use-
ful in understanding the relationship between our rigid geometry and Berkovich’s
analytic geometry.
This section ends with a brief exposition of topos theory with special emphasis
on the so-called coherent topoi and their limits.3
In the sequel, we will follow the following conventions:
compact spaces are always assumed to be Hausdorff; that is, being compact
is, by definition, equivalent to being quasi-compact and Hausdorff;
locally compact spaces are always assumed to be locally Hausdorff;
paracompact spaces, however, are not assumed to be Hausdorff (cf.
÷2.5. (c)).
2.1 Some general prerequisites

2.1. (a) Generization and specialization. Let X be a topological space. We say
that y 2 X is a generization of x 2 X or, equivalently, that x is a specialization of
y, if x belongs to the closure fyg of fyg in X or, equivalently, if y is contained in
any open subset containing x. Let us denote by Gx the set of all generizations of x,
that is, the intersection of all open neighborhoods of x:
\
Gx D U:
x2U
Clearly, if z is a generization of y and y is a generization of x, then z is a

generization of x. If X is a T0 -space,4 then the set Gx is an ordered set with respect
to the following order: for y; z 2 Gx , y z if z is a generization of y. A point x is
maximal (resp. minimal) if there exists no other generization (resp. specialization)
of x than x itself. For a point x to be minimal it is necessary and sufficient that
the singleton set fxg is a closed subset of X; for this reason, minimal points are
also called closed points. Note that x is the unique closed point of the subspace
Gx X (that is, the topological subspace endowed with the subspace topology).
3
Due to lack of space, we limit ourselves to a brief overview of the theory of locales and localic topoi.
For these subjects, the reader is advised to consult [63] and [64].
4
A topological space X is said to be a T0 -space (or Kolmogorov space) if, for any pair of two distinct
points x ¤ y of X , there exists an open neighborhood of one of them that does not contain the other.
2.1. (b) Sober spaces. Recall that a topological space X is said to be irreducible
if it is non-empty and cannot be written as the union of two closed subsets distinct
from X. If X is not irreducible, it is said to be reducible. Let us list some of
the basic facts on irreducible spaces and irreducible subsets (cf. [27], Chapter II,
÷4.1):
a non-empty topological space X is irreducible if and only if any non-empty
open subset is dense in X, and in this case, any non-empty open subset is
again irreducible (and hence is connected);
a subset Y of a topological space is irreducible if and only if its closure Yx
is irreducible;
the image of an irreducible subset under a continuous mapping is again
irreducible.
Let X be a topological space, Z X an irreducible closed subset, and U X
an open subset such that Z \ U ¤ ;. Then Z \ U is an irreducible closed subset
of U , and the closure Z \ U of Z \ U in X coincides with Z. In particular, if Z1
and Z2 are irreducible closed subsets of X, and if U is an open subset such that
Zi \ U ¤ ; for i D 1; 2, then Z1 \ U D Z2 \ U implies Z1 D Z2 .
For a topological space X and a point x 2 X, the subset fxg consisting of all
specializations of x is an irreducible closed subset. For a closed subset Z X, a
point x 2 Z is called a generic point of Z if Z D fxg. A topological space X is
said to be sober if it is a T0 -space and any irreducible closed subset has a (unique)
generic point.5 Note that any T2 -space (D Hausdorff space) is sober, since any
irreducible T2 -space is just a singleton set (with the unique topology). Thus we
have
T2 H) sober H) T0 ;
while T1 -ness6 and soberness are not comparable (cf. Exercise 0.2.1).
The proofs of the following propositions are straightforward and left to the
reader.
Proposition 2.1.1. Every locally closed 7 subspace of a sober space is sober.
S
Proposition 2.1.2. If a topological space X admits an open covering X D ˛2L U˛
such that each U˛ is sober, then X is sober.
We denote by STop the full subcategory of the category Top of topological
spaces consisting of the sober spaces.
5
The uniqueness of the generic point follows from T0 -ness.
6
A topological space X is said to be a T1 -space (or Kuratowski space) if for any pair of distinct points
x ¤ y of X there exist an open neighborhood U of x and an open neighborhood V of y such that x 62 V
and y 62 U .
7
A subset of a topological space X is said to be locally closed if it is the intersection of an open subset
and a closed subset.
Proposition 2.1.3. The inclusion functor i W STop ,! Top admits the left-adjoint
functor
sob W Top ! STop; X 7 ! X sob :
Briefly, X sob is the set of all irreducible closed subsets of X endowed with the
topology with respect to which open subsets are of the form Uz , each associated
to an open subset U X, consisting of the irreducible closed subsets of X that
intersect U . For more detail (and the proof of 2.1.3), see [53], 0, ÷2.9.
2.1. (c) Completely regular spaces. Recall that a completely regular space is a
T1 -space X that enjoys the following property: for any point x 2 X and a closed
subset Z X not containing x, there exists a continuous function f W X ! Œ0; 1
R such that f .x/ D 0 and f .C / D f1g. By Urysohn’s lemma, normal (that is, T1
and8 T4 ) topological spaces and locally compact Hausdorff spaces are completely
regular (consider the one-point compactification for the latter).
2.1. (d) Quasi-compact spaces and quasi-separated spaces

Definition 2.1.4. (1) A topological space X is said to be quasi-compact if for any
open covering fU˛ g˛2L of X there exists a finite subset L0 L of indices such
that fU˛ g˛2L0 already covers X.
(2) A continuous map f W X ! Y of topological spaces is said to be quasi-
compact if for any quasi-compact open subset V of Y its pull-back f 1 .V / is a
quasi-compact open subset of X.
The set of all quasi-compact open subsets of a topological space is closed under
finite union. The composition of two quasi-compact maps is again quasi-compact.
If X is a quasi-compact space and Z X is a closed subset, then Z is quasi-
compact, and the inclusion map i W Z ,! X is quasi-compact.
Proposition 2.1.5. Let X be a topological space, and Y X a subspace. Suppose
that X admits an open basis consisting of quasi-compact open subsets. Then for
any quasi-compact open subset V of Y , there exists a quasi-compact open subset
U of X such that V D Y \ U .
Corollary 2.1.6. Under the assumptions of 2.1.5, let gW Z ! Y be a continuous
map. If j ı gW Z ! X is quasi-compact, then so is gW Z ! Y .
Definition 2.1.7. Let X be a topological space. A subset Z X is said to be
retrocompact if for any quasi-compact open subset U X the intersection Z \ U
is quasi-compact.
8
A topological space X is said to be a T4 -space if for any disjoint pair F1 ; F2 of closed subsets of X
there exists a disjoint pair U1 ; U2 of open neighborhoods of F1 ; F2 , respectively.
That is, Z is retrocompact if and only if the inclusion map Z ,! X, where Z

is endowed with the subspace topology, is quasi-compact (2.1.4 (2)). The union
of finitely many retrocompact subsets is again retrocompact. The intersection of
finitely many retrocompact open subsets is again a retrocompact open subset.
Definition 2.1.8. A topological space X is said to be quasi-separated if, for any

two quasi-compact open subsets U; V X, the intersection U \ V is again quasi-
compact.
In other words, X is quasi-separated if and only if any quasi-compact open

subset of X is retrocompact (2.1.7). The set of all quasi-compact open subsets in
a quasi-separated space is closed under finite intersection. Any open subset of a
quasi-separated space is again quasi-separated.
2.2 Coherent spaces

2.2. (a) Definition and first properties
Definition 2.2.1. A topological space X is said to be coherent if the following

conditions are satisfied:
(a) X has an open basis consisting of quasi-compact open subsets;
(b) X is quasi-compact and quasi-separated.
(See ÷2.7. (d) for the topos-theoretic interpretation.)
Examples 2.2.2. (1) The empty set and singleton sets (endowed with the unique
topology) are coherent; more generally, any finite space is coherent. Any continu-
ous mapping from a finite space to an arbitrary coherent space is quasi-compact.
(2) The underlying topological space of a scheme admits an open basis consist-
ing of quasi-compact open subsets. Hence, the underlying topological space of a
quasi-compact and quasi-separated scheme (e.g., a Noetherian schemes) is coher-
ent (due to [54], IV, (1.2.7)); in particular, the underlying topological space of any
affine scheme is coherent.
For the reason mentioned in (2), quasi-compact and quasi-separated schemes

are often called coherent schemes.
Proposition 2.2.3. Let X be a coherent topological space. Then any quasi-compact

locally closed subset Z X, endowed with the subspace topology, is coherent, and
is retrocompact in X.
Proof. By 2.1.5, any quasi-compact locally closed subset of X is the intersection

of a closed subset and a quasi-compact open subset. Hence, it suffices to check the
assertion in the cases where Z is closed, and where Z is quasi-compact open. Both
cases are easy to verify.
Remark 2.2.4. (1) Coherent and sober spaces are also called spectral spaces by
some authors.
(2) Hochster [58] has shown that any coherent sober space is homeomorphic to
the prime spectrum Spec A of a commutative ring A.
One of the most remarkable features of coherent spaces is that, as we will see
soon (2.2.10 (1)), the small filtered projective limit of a projective system consisting
of coherent sober topological spaces with quasi-compact transition maps is again
coherent and sober. In connection with this, the reader is invited, before proceeding
to the next paragraph, to try out Exercise 0.2.3, which deals with an analogous topic
on filtered projective limits of schemes.
2.2. (b) Stone’s representation theorem. For the reader’s convenience, we in-
clude basic facts on the relationship between distributive lattices and coherent sober
spaces. Our basic reference to the theory of distributive lattices is [64].
Let A be a distributive lattice (we use the binary symbols _, ^, and as in [64]
and always assume that A has 0 and 1). We view A as a category with respect to
the partial order of A in the manner mentioned in ÷1.2. (e). Then, as a category,
A is stable under finite limits and finite colimits, and any finite disjoint sum is
universally disjoint ([8], Exposé II, 4.5). A lattice homomorphism A ! B is, in
the categorical language, a functor that commutes with finite limits and colimits.
Let DLat be the category of distributive lattices with lattice homomorphisms.
Example 2.2.5. For a topological space X we denote by Ouv.X/ the set of all open
subsets of X. Ouv.X/ is a distributive lattice with the structure .0; 1; _; ^; / D
.;; X; [; \; /. If X is coherent, then the set QCOuv.X/ of all quasi-compact
open subsets of X forms a distributive sublattice of Ouv.X/.
There are notions of ideals and filters, which are dual to each other.
Definition 2.2.6. Let A be a distributive lattice.
(1) A subset I A is called an ideal if (a) 0 2 I , (b) a; b 2 I implies a _ b 2 I ,

and (c) a 2 I and b a imply b 2 I .
(2) A subset F A is called a filter if (a) 1 2 F , (b) a; b 2 F implies a ^ b 2 F ,

and (c) a 2 F and b a imply b 2 F .
Accordingly, by an ideal (resp. a filter) of a topological space X, we mean an

ideal (resp. a filter) of the complete distributive lattice Ouv.X/.
For A 2 obj.DLat/ the lattice Id.A/ of all ideals of A forms a complete Heyting
algebra, which admits the embedding A ,! Id.A/ of lattices that maps a to the
principal ideal fxW x ag generated by a. The image of A in Id.A/ consists exactly
of the sets of finite elements ([64], Chapter II, ÷3.1).
Definition 2.2.7. An ideal P is said to be prime if (a) 1 62 P , and (b) a ^ b 2 P
implies a 2 P or b 2 P .
In other words, an ideal P is prime if and only if A n P is a filter. A filter of
the form A n P (where P is a prime ideal) is called a prime filter. Here is another
description of prime ideals. Let 2 D f0; 1g be the Boolean lattice consisting of two
elements. Then any prime ideal is the kernel of a surjective lattice homomorphism
A ! 2.
Any non-zero distributive lattice has at least one prime ideal (one needs, simi-
larly to the case of commutative rings, the axiom of choice to prove this).
Let Spec A denote the set of prime ideals of A. For any ideal I A we define
V .I / to be the set of prime ideals containing I . The Zariski topology on Spec A is
the topology for which fV .I /gI 2Id.A/ is the system of closed sets. We set D.I / D
Spec A n V .I /.
Theorem 2.2.8 (Stone’s representation theorem; cf. [64], Chapter II, ÷3.4). (1) For
any distributive lattice A, the topological space Spec A is coherent and sober, and
we have the functor
SpecW DLatopp ! CSTop; ()
where CSTop denotes the category of coherent sober topological spaces and quasi-
compact maps. The distributive lattice Ouv.Spec A/ consisting of all open subsets
of Spec A is isomorphic to Id.A/ by I 7! D.I /. Moreover, the lattice A is iden-

tified, by means of the embedding A ,! Id.A/ and the isomorphism Id.A/ !
Ouv.Spec A/, with the distributive lattice of all quasi-compact open subsets of
Spec A.
(2) The functor ./ is an equivalence of categories. The quasi-inverse functor
is given by X 7! QCOuv.X/ (2.2.5).
2.2. (c) Projective limit of coherent sober spaces. The category Top is closed
under small projective limits. For a projective system fXi ; pij g of topological
spaces indexed by an ordered set I (cf. [24], Chapter I, ÷4.4), the projective limit
X D lim Xi has, as its underlying set, the set-theoretic projective limit of the
i 2I
underlying sets of Xi ’s, endowed with the coarsest topology for which all projec-
tion maps pi W X ! Xi are continuous, or equivalently, the topology generated by
the subsets of the form pi 1 .U / for i 2 I and open subsets U Xi .
Proposition 2.2.9. Let fXi ; pij W Xj ! Xi g be a projective system of topologi-

cal spaces, indexed by a directed set .I; /. Suppose that the topology of each
Xi (i 2 I ) is generated by quasi-compact open subsets, and that each transition
map pij .i j / is quasi-compact (2.1.4 (2)). Set X D lim Xi , and let U X
i 2I
be a quasi-compact open subset. Then there exist an i 2 I and a quasi-compact
open subset Ui Xi such that pi 1 .Ui / D U , where pi W X ! Xi is the canonical
projection map.
Proof. By the definition of the topology of X and by the quasi-compactness of U ,

there exist finitely many i1 ; : : : ; in 2 I and,
S for each k D 1; : : : ; n, a quasi-compact
open subset Uik Xik , such that U D nkD1 pik1 .Uik / (cf. [24], Chapter I, ÷4.4,
S
Proposition 9). Take i 2 I such that i i1 ; : : : ; in , and set Ui D nkD1 pik1i .Uik /.
Then Ui is quasi-compact and U D pi 1 .Ui /, as desired.
Theorem 2.2.10. Let .I; / be a directed set, and fXi ; pij gi 2I a projective system
of coherent sober spaces with quasi-compact transition maps pij for i j . Set
X D lim Xi .
i 2I
(1) The topological space X is coherent and sober, and the canonical projection
maps pi W X ! Xi for i 2 I are quasi-compact.
(2) If, moreover, each Xi .i 2 I / is non-empty, then X is non-empty.
By (1) one finds, in particular, that the category CSTop is closed under small
filtered projective limits. Note that the first assertion implies that the projective
limit space X is, in particular, quasi-compact.
Proof. Set Ai D QCOuv.Xi / for each i 2 I . The transition maps pij , i j ,

induce lattice homomorphisms uij W Ai ! Aj , which form an inductive system
fAi gi 2I of lattices. Let A D lim Ai be the inductive limit. By 2.2.8, the topolog-
!i 2I
ical space X 0 D Spec A is the projective limit of fXi ; pij g in the category CSTop.
If all Xi ’s are non-empty, each distributive lattice Ai is non-zero, that is, 0 ¤ 1 in
Ai . This implies that 0 ¤ 1 also in A, hence X 0 ¤ ;.
Hence, to prove the assertions, it remains to show that X and X 0 are homeomor-
phic. By the mapping universality of projective limits, we have the canonical map
gW X 0 D Spec A ! X. We are first going to check that g is bijective. To see this,
note that each point x of X is uniquely represented by a sequence fxi 2 Xi gi 2I
of points such that pij .xj / D xi for i j , which is, furthermore, uniquely inter-
preted as a system fhi W Ai ! 2gi 2I of surjective lattice homomorphisms such that
hj ı uij D hi for i j (hi is defined as follows: it maps U 2 Ai D QCOuv.Xi /
to 1 2 2 if xi 2 U , and to 0 otherwise). Giving the last data is then equivalent to
giving a surjective lattice homomorphism hW A ! 2, whose kernel corresponds to
a point x 0 2 X 0 D Spec A. It is easy to see that x 7! x 0 thus constructed gives the

inverse mapping of gW X 0 ! X, and hence g is a continuous bijection. Moreover,
quasi-compact open subsets of X 0 are of the form pi0 1 .U / for a quasi-compact
open subset U of some Xi (2.2.9). Since g is bijective, g.pi0 1 .U // D pi 1 .U /,
and hence g maps any quasi-compact open subset of X 0 to an open subset of X.
Since quasi-compact open subsets of X 0 form an open basis of the topology on X 0 ,
we conclude that gW X 0 ! X is a homeomorphism.
Remark 2.2.11. The above theorem can be more properly formulated in topos the-
ory, where the projective system fXi gi 2I is translated into the projective system of
corresponding coherent topoi ftop.Xi /gi 2I . Under this interpretation, the theorem
follows from [9], Exposé VI, (8.3.13), and Deligne’s theorem [9], Exposé VI, (9.0);
see 2.7.17 below.
Theorem 2.2.10 is not only important in its own right, but has many useful
consequences.
Corollary 2.2.12. Let fXi ; pij gi 2I be a filtered projective system of coherent sober
topological spaces and quasi-compact maps indexed by a directed set I . Let i 2 I
be an index, and U; V Xi open subsets, where U is quasi-compact. Then the
following conditions are equivalent.
(a) pi 1 .U / pi 1 .V /, where pi W X D lim Xj ! Xi is the canonical
j 2I
mapping.
(b) There exists an index j with i j such that pij 1 .U / pij 1 .V /.
Proof. Implication (b) H) (a) is clear. To show (a) H) (b), set
Zj D pij 1 .U / n pij 1 .V /; j 2 I; i j:
We need to show that Zj is empty for some j . Suppose that all Zj are non-empty.
By 2.2.3 and 2.1.1, each Zj is coherent and sober. Applying 2.2.10 (2), we deduce
that the projective limit Z D lim Zj is non-empty. On the other hand, since
j i
pi 1 .U / D lim pij 1 .U / and pi 1 .V / D lim pij 1 .V /;

j i j i
we have Z D pi 1 .U / n pi 1 .V /. But then Z ¤ ; contradicts the assumption

pi 1 .U / pi 1 .V /, whence the result.
Theorem 2.2.13. Let fXi ; pij gi 2I and fYi ; qij gi 2I be two filtered projective sys-
tems of coherent sober topological spaces with quasi-compact transition maps in-
dexed by a common directed set I , and ffi gi 2I a map of the systems, that is, a
collection of continuous maps fi W Xi ! Yi such that the diagram
fj
Xj / Yj
pij qij

Xi / Yi
fi
commutes for any i j . Let

f D lim fi W X D lim Xi ! Y D lim Yi
i 2I i 2I i 2I
be the induced map.

(1) If fi is quasi-compact for all i 2 I , then f is quasi-compact.
(2) If fi is quasi-compact and surjective for all i 2 I , then f is surjective.
(3) If fi is quasi-compact and closed for all i 2 I , then f is closed.
Before proving the theorem, let us present a useful corollary of it.
Corollary 2.2.14. Let fXi ; pij gi 2I be a projective system of coherent sober spaces
with quasi-compact transition maps indexed by a directed set I . Suppose that all
transition maps pij are surjective (resp. closed). Then for any j 2 I the canonical
projection pj W X D lim Xi ! Xj is surjective (resp. closed).
Proof. For each j 2 I , replace I by the cofinal subset fi 2 I W i j g and ap-
ply 2.2.13 (2) and (3) to the constant projective system fYi ; qij g with Yi D Xj .
The rest of this subsection is devoted to the proof of 2.2.13. We denote by
pi W X ! Xi and qi W Y ! Yi the canonical projections for i 2 I .
Proof of Theorem 2.2.13 (1). We need to show that, for any quasi-compact open
subset V of Y , its pull-back f 1 .V / is quasi-compact. In view of 2.2.9 one can
choose i 2 I and a quasi-compact open subset Vi of Yi such that V D qi 1 .Vi /.
Then f 1 .V / D pi 1 .fi 1 .Vi //, which is quasi-compact by 2.2.10 (1), and this
shows (1) of 2.2.13.
To show the other assertions of the theorem, we need a few lemmas.
Lemma 2.2.15. Let X be a coherent sober topological space, and F a filter of
the distributive lattice Ouv.X/
T (2.2.6 (2)) generated by quasi-compact open sub-
sets.
T Then the subspace U 2F U is coherentT and sober, and the inclusion map
U 2F U ,! U for any U 2 F (in particular, U 2F U ,! X/ is quasi-compact.
Proof. Consider the subfilter F 0 D F \ QCOuv.X/ of F . Since the topology on X

is generated
T by quasi-compact open subsets, the inclusion map F 0 ,! F is cofinal.
Since U 2F U D lim 0
U , the lemma follows from 2.2.10 (1).
U 2F
Corollary 2.2.16. Let X be a coherent sober space, and x 2 X. Then the sub-
set Gx of all generizations of x with the subspace topology is coherent and sober,
and the inclusion map Gx ,! X is quasi-compact.
Proof. Since X has an open basis consisting of quasi-compact open subsets, and
any quasi-compact open subset is coherent (2.2.3) and sober, the subset Gx coin-
cides with the intersection of all coherent open neighborhoods of x (cf. ÷2.1. (a)),
and hence the assertion follows from 2.2.15.
Lemma 2.2.17. Let f W X ! Y be a quasi-compact map between coherent sober
topological spaces.
(1) Let C be a closed subset of Y . Then C and f 1 .C / are coherent and sober.
The map f 1 .C / ! C induced by f is quasi-compact.
T F be a filter 1ofT
(2) Let Ouv.Y / generated by quasi-compact open sets. Then
U 2F U and f . U 2F U / are coherent and sober, and the map
T T
f 1 . U 2F U / ! U 2F U
induced by f is quasi-compact.
1
T
In particular, it follows from (2) and 2.2.15 that the map f . U 2F U/ ! X
is quasi-compact.
Proof. The first assertion follows immediately from 2.2.3, while the second follows
from 2.2.15.
Lemma 2.2.18. (1) Let f W X ! Y be a quasi-compact map between coherent
sober topological spaces. Then for any y 2 Y the set f 1 .y/ with the subspace
topology is coherent and sober, and the inclusion f 1 .y/ ,! X is quasi-compact.
(2) Consider a commutative diagram of coherent sober spaces and quasi-com-
pact maps
f0
X0 / Y0

X / Y.
f
Let y 0 2 Y 0 and let y 2 Y be the image of y 0 by the map Y 0 ! Y . Then the natural
map f 0 1 .y 0 / ! f 1 .y/ is quasi-compact.
Proof. (1) By 2.2.16, the subset Gy of all generizations of y is coherent and sober,
and the inclusion map Gy ,! Y is quasi-compact. By 2.2.17, f 1 .Gy / is coherent
and sober, and the inclusion map f 1 .Gy / ,! X is quasi-compact. Since y is
the closed point of Gy , f 1 .y/ is a closed subset of f 1 .Gy /. Hence, by 2.2.3,
f 1 .y/ is coherent and sober, and the inclusion map f 1 .y/ ,! f 1 .Gy / is quasi-
compact. Then the inclusion f 1 .y/ ,! X D f 1 .y/ ,! f 1 .Gy / ,! X is
quasi-compact.
(2) It suffices to show the following: if (i) gW X 0 ! X is a quasi-compact map
between coherent sober spaces, (ii) Z 0 X 0 and Z X are subspaces such that
g.Z 0 / Z, and (iii) the inclusions Z 0 ,! X 0 and Z ,! X are quasi-compact, then
the map gW Z 0 ! Z is quasi-compact (indeed, Z 0 D f 0 1 .y 0 / and Z D f 1 .y/
give our original situation). This follows from 2.1.6.
Now, we can prove the second part of 2.2.13.
Proof of Theorem 2.2.13 (2). Take y 2 Y and set yi D qi .y/ for each i 2 I . By
our assumptions and 2.2.18, the set Zi D fi 1 .yi / is coherent, sober, and non-
empty, and the map Zj ! Zi induced by pij is quasi-compact. Then it follows
from 2.2.10 (2) that
f 1 .y/ D lim Zi ¤ ;;
i 2I
which verifies the claim.
For the proof of the third part, we need the following lemma; the proof is
straightforward and left to the reader.
Lemma 2.2.19. Let fXi ; pij gi 2I be a projective system of topological spaces in-
dexed by a directed set I . We set X D lim Xi and denote the projection X ! Xi
i 2I
by pi .
(1) Suppose we are given a projective system fCi ; pij jCi gi 2I consisting of sub-
spaces Ci Xi for i 2 I . Then we have
\
lim Ci D pi 1 .Ci /:
i 2I i 2I
(2) For any subset C X we have

\
Cx D lim pi .C / D pi 1 .pi .C //:
i 2I i 2I
Proof of Theorem 2.2.13 (3). We need to show that for any closed subset C X
the image f .C / is closed. Set Ci D pi .C / and Di D fi .Ci /. These are closed
subsets of Xi and Yi , respectively. By 2.2.19 we have C D lim Ci . On the
T i 2I
other hand, lim Di D i 2I qi 1 .Di / is a closed subset of Y . Hence it suffices
i 2I
to show the equality
f .C / D lim Di :
i 2I
It is clear that the left-hand side is contained

T in the right-hand side. In order to
show the converse, take y 2 lim Di D i 2I qi 1 .Di /. For each i , the set Zi D
fi 1 .qi .y// \ Ci is non-empty, and fZi gi 2I forms a projective system of coherent
sober spaces with quasi-compact transitions maps by 2.2.18 and 2.2.17 (1). Then
it follows that lim Zi ¤ ;, and any point x in this projective limit, regarded as a
point of C , is mapped to y by construction.
Here we include a theorem, known as Steenrod’s theorem (cf. [102]), commu-

nicated to the authors by O. Gabber, as well as the proof suggested by him, on
quasi-compactness of the projective limit spaces, although we will not use it in our
ensuing discussion. Later in ÷2.7. (g), we will indicate a topos-theoretic proof.
Theorem 2.2.20. Let .I; / be a directed set, and fXi ; pij g a projective system
indexed by I consisting of quasi-compact sober topological spaces. (Here we do
not assume that the transition maps pij are quasi-compact.)
(1) The projective limit X D lim Xi is quasi-compact and sober.
i 2I
(2) If each Xi .i 2 I / is non-empty, then so is the limit X.
Proof. First we show (2). Let ˆ be the set of all projective systems consisting of
non-empty closed subsets of Xi ’s; that is, each element of ˆ is a collection fYi gi 2I
of non-empty closed subsets Yi Xi for i 2 I such that pij .Yj / Yi for any
i j . We define a partial order on the set ˆ as follows: for y D fYi g and
y 0 D fYi0 g,
y y 0 () Yi0 Yi ; i 2 I :
One deduces from quasi-compactness of each Xi that any totally ordered subset
of ˆ has an upper bound, and thus, by Zorn’s lemma, that there exists a maximal
element z D fZi g.
Claim 1. Let i 2 I , and consider a non-empty closed subset W Zi . Suppose

there exists a cofinal subset J of Ii D fj 2 I W j i g such that pij 1 .W /\Zj ¤ ;
for any j 2 J . Then W D Zi .
To show this, set

\
Zk D pkj .pij 1 .W / \ Zj /;
j 2J \Ik
for any k 2 I , and consider the collection Ci;W;J D fZk0 gk2I . Note that for any
cofinal subset J 0 of J we have Ci;W;J 0 D Ci;W;J ; in particular, for k l, Zl0
coincides with the l-th component of Ci;W;J \Ik , and thus we have pkl .Zl0 / Zk0 .
Moreover, by our assumption and the quasi-compactness of each Xk , the closed
subsets Zk0 are non-empty for any k 2 I . Hence we have Ci;W;J 2 ˆ, and thus
Ci;W;J D z by the minimality of z. Since the i -th component of Ci;W;J is a closed
subset of Y , we conclude that Y D Zi , as desired.
Claim 2. Each Zi for i 2 I is irreducible.
Indeed, if Zi D W1 [ W2 , where W1 ; W2 are closed subsets, then at least one

of the subsets J t D fj 2 Ii W pij 1 .W t / \ Zj ¤ ;g .t D 1; 2/ is cofinal in Ii ;
by Claim 1 we have Zi D W1 or Zi D W2 .
One can similarly show that pij .Zj / D Zi for i j . Since Xi is sober, Zi ad-
mits a unique generic point i , and then the collection of points fi gi 2I determines
a point in the limit X D lim Xi . Hence X is non-empty, as desired.
i 2I
Next,
T we show (1). Let fZ˛ g˛2L be a collection of closed subsets of X such
that ˛2LTZ˛ D ;. We want to show that there exists a finite subset L0 L
such that ˛2L0 Z˛ D ;. We may assume that each Z˛ is of the form pi 1 .W /
for a closed subset W Xi for some i (where pi W X ! Xi is the canonical
projection). We choose by the axiom of choice a function ˛ 7! .i.˛/; Wi.˛/ / such
1
that Z˛ D pi.˛/ .Wi.˛/ /. Now, for any i 2 I , we set
\
1
Li D f˛ 2 LW i.˛/ i g; Zi D pi.˛/ i .Wi.˛/ /:
˛2Li
Then we have pij .Zj / Zi for any T i j , and hence fZi gi 2I forms a pro-
jective system such that lim Zi D ˛2L Z˛ D ;. Since each Zi is quasi-
i 2I
compact and sober (2.1.1), there exists i 2 I such that Zi D ; (due to (2) proved
0
above).
T 1
T exists a finite subset L Li such that
Since Xi is quasi-compact, there
˛2L0 pi.˛/ i .Wi.˛/ / D ;, and hence
i ˛2L0 Z˛ D ;, as desired.
2.2. (d) Locally coherent spaces
Definition 2.2.21. A topological space X is locally coherent if X admits an open

covering by coherent subspaces.
Since any coherent space admits an open basis of quasi-compact open subsets,
and since quasi-compact open subsets of a coherent space are again coherent (2.2.3),
a locally coherent topological space admits an open basis consisting of coherent
open subsets. It follows that for a locally coherent space X and a point x 2 X the
set Gx of all generizations of x coincides with the intersection of all coherent open
neighborhoods of x (cf. ÷2.1. (a)); in particular, if X is sober, then Gx is coherent
by 2.2.16.
Note that by 2.2.2 (2) the underlying topological space of any scheme is locally
coherent.
Proposition 2.2.22. Let X be a topological space. Then the following conditions

are equivalent.
(a) X is locally coherent.
(b) Every open subset of X is locally coherent.
S
(c) X admits an open covering X D ˛2L U˛ by locally coherent spaces.
(d) The topology on X is generated by coherent open subsets.
The proof is straightforward and left to the reader. The following proposition
follows immediately from 2.2.3.
Proposition 2.2.23. Any locally closed subspace of a locally coherent space is

again locally coherent.
In particular, any open subset of a coherent space is locally coherent.
For a locally coherent space X to be coherent it is necessary and sufficient

that X is quasi-compact and quasi-separated. But note that a quasi-compact
locally coherent space is not necessarily coherent. Indeed, if Y is a coherent space,
and U Y is an open subset that is not quasi-compact, then X D Y qU Y
(the gluing of two copies of Y along U ) is quasi-compact and locally coherent, but
is not coherent.
As the Stone duality (÷2.2. (b)) indicates, quasi-compact maps give a good no-
tion for morphisms between coherent topological spaces. The appropriate notion
of maps for locally coherent spaces is similarly defined as follows.
Definition 2.2.24. A continuous map f W X ! Y between locally coherent spaces

is said to be locally quasi-compact if, for any pair .U; V / consisting of coherent
open subsets U X and V Y with f .U / V , the map f jU W U ! V is
quasi-compact (2.1.4 (2)).
The following facts are easy to check.

A continuous map f W X ! Y between coherent spaces is locally quasi-
compact if and only if it is quasi-compact.
A continuous map f W X ! Y between locally coherent spaces is locally
quasi-compact if and only if there exist an open covering fV˛ g˛2L of Y by
coherent open subsets and, for each ˛ 2 L, an open covering fU˛; g2ƒ˛
of f 1 .V˛ / by coherent open subsets, such that each f jU˛; W U˛; ! V˛ is
quasi-compact.
Proposition 2.2.25. Let f W X ! Y be a locally quasi-compact map between lo-

cally coherent spaces. If V Y is a retrocompact open subset of Y , then f 1 .V /
is retrocompact in X.
Proof. It suffices to show that, for any coherent open subset U X, f 1 .V / \
U is quasi-compact; here we use the fact that the topology of X is generated by
coherent open subsets. Since f .U / is quasi-compact, there exists a coherent open
subset W Y such that f .U / W . Since f jU W U ! W is quasi-compact,
f 1 .V / \ U D .f jU / 1 .V \ W / is quasi-compact.
Theorem 2.2.26. Let X be a locally coherent sober space, Y a locally coherent
space, and f W X ! Y a quasi-compact continuous map. Then
[
f .X/ D fyg:
y2f .X/
In other words, the closure f .X/ is the set of all specializations of points of f .X/.
S
Proof. The inclusion f .X/ y2f .X/ fyg is clear. Let us show the converse.
Considering an open covering of Y by quasi-compact open subsets, one reduces to
the case where Y is quasi-compact. In this case, as the map f is quasi-compact,
Sn
X is also quasi-compact. Hence, there exists a finite open covering `n X D i D1 Vi
by coherent open subsets. Replacing X by the disjoint union i D1 Vi , we may
assume that X is coherent and sober.
For any y 2 f .X/, let CNy be the set of coherent open neighborhoods of y.
We view CNy as a directed set with respect to the reversed inclusion order. For any
U 2 CNy , since f is quasi-compact, the set f 1 .U / is non-empty and coherent.
Moreover, for U U 0 , the inclusion f 1 .U / ,! f 1 .U 0 / is quasi-compact.
By 2.2.10 (2), we have
\
lim f 1 .U / D f 1 U ¤ ;:
U 2CNy U 2CNy
T
On the other hand, U 2CNy U is the set Gy of all generizations of y. This means
that there is a generization of y in f .X/, and hence the claim follows.
Corollary 2.2.27. Let X be a locally coherent sober space, and U X a retro-

compact (2.1.7) open subset of X. Then
[
Ux D fxg:
x2U
In other words, the closure Ux is the set of all specializations of points in U .

Corollary 2.2.28. In the situation as in (2.2.26), the following conditions are equiv-
alent.
(a) f is a closed map.
(b) f .fxg/ D ff .x/g for any x 2 X.
Proof. (a) H) (b) is clear. Suppose (b) holds, and let C be a closed subset of X.
S S
By 2.2.26, f .C / D x2C ff .x/g D x2C f .fxg/. Since fxg C , one has
f .C / f .C /.
2.3 Valuative spaces

2.3. (a) Valuative spaces
Definition 2.3.1. A topological space X is said to be valuative if the following
(a) X is locally coherent (2.2.21) and sober (÷2.1. (b));
(b) for any point x 2 X the ordered set Gx of all generizations of x (÷2.1. (b))
is totally ordered;
(c) every point x 2 X has a maximal generization xQ 2 Gx .
Note that, in view of (b), the maximal generization of x as in (c) is uniquely
determined. The order type (÷1.1. (b)) of the totally ordered set Gx is called the
height of the point x.
Remark 2.3.2. (1) Note that, under the axiom of choice, (c) follows automatically
from (a). Indeed, to show this, we may assume that X is coherent and sober, hence
is of the form X D Spec A for a distributive lattice A D QCOuv.X/ by Stone
duality (÷2.2. (b)). In this situation, points of Gx correspond to prime filters Fy D
fU 2 AW Sy 2 U g .y 2 Gx /. Any totally ordered subset I of Gx admits an upper
bound F 2I F in Gx ; here, note that y 2 X is a generization of z 2 X if and
only if Fy Fz . Hence Zorn’s lemma implies that there exists a maximal element
in Gx .
(2) It follows that any locally coherent and sober subspace of a valuative space
is again valuative. In particular, by 2.2.23 and 2.1.1, any locally closed subspace of
a valuative space is a valuative space.
The following proposition follows easily from 2.2.22.

Proposition 2.3.3. Let X be a topological space. Then the following conditions
are equivalent:
(a) X is valuative;
(b) every open subset of X is valuative;
(c) X admits an open covering by valuative spaces.
An important example of valuative spaces, which motivates the terminology
‘valuative,’ is the underlying topological space of the spectrum Spec V of a valu-
ation ring V ; cf. 6.3.1. In this case, the height of the closed point of Spec V is
nothing but the height of the valuation ring V (6.2.6 (1)).
2.3. (b) Closures and tubes

Definition 2.3.4. Let X be a valuative space. A tube closed subset of X is a closed
subset of the form Ux for a retrocompact (2.1.7) open subset U . The complement of
a tube closed subset is called a tube open subset. Tube closed and tube open subsets
are collectively called tube subsets.
The following proposition is an immediate consequence of 2.2.27.
Proposition 2.3.5. Let X be a valuative space and U X a retrocompact open
subset. Then for x 2 X to belong to the tube closed subset Ux it is necessary and
sufficient that the maximal generization xQ of x belongs to U .
Corollary 2.3.6. Let X be a valuative space and C D .X n U /ı (where U X
is retrocompact open) a tube open subset. Then for x 2 X to belong to C it is
necessary and sufficient that the maximal generization xQ of x does not belong to U .
Recall the following general-topology fact: for two open subsets U1 ; U2 X ,
we have
U1 [ U2 D Ux1 [ Ux2 ;
but not in general the intersections; in our situation, however, we have
Proposition 2.3.7. Let X be a valuative space, and fU˛ g˛2L a family of retrocom-
pact open subsets of X. Then we have
\ \
U˛ D Ux˛ :
˛2L ˛2L
T T
x
Proof. The inclusion
T ˛2L U˛ ˛2L U˛ is clear. To show the converse, take
x
any point y 2 ˛2L U˛ . Then by 2.3.5 the maximal generization yQ of y belongs
T
to U˛ for any ˛ 2 L. Consequently y 2 fyg
Q ˛2L U˛ , as desired.
Corollary 2.3.8. (1) Any finite union of tube closed (resp. tube open) subsets is a
tube closed (resp. tube open) subset.
(2) Any finite intersection of tube closed (resp. tube open) subsets is a tube
closed (resp. tube open) subset.
Proof. In view of 2.3.7, the closure operator x commutes with finite intersections
and finite unions of retrocompact open subsets. Hence, to show the corollary, it
suffices to show that finite intersections and the finite unions of retrocompact open
subsets are retrocompact, which is clear.
2.3. (c) Separated quotients and separation maps. Let X be a valuative space,
and let ŒX denote the subset of X consisting of all maximal points of X. We have
the canonical retraction map
sepX W X ! ŒX; x 7 ! the maximal generization of x;
which we call the separation map. The separation map sepX is clearly surjective.
We endow ŒX with the quotient topology induced from the topology on X. Then
ŒX is a T1 -space (Exercise 0.2.10). The topological space ŒX thus obtained is
called the separated quotient (or T1 -quotient) of X.
Note that, with this topology, the inclusion map ŒX ,! X is not continuous
in general.
Proposition 2.3.9 (universality of separated quotients). Let X be a valuative space.

Suppose we are given a continuous mapping 'W X ! T to a T1 -space T . Then
there exists a unique continuous map W ŒX ! T such that the diagram
'
X /T
⑥⑥>
sepX ⑥⑥
⑥⑥⑥
⑥
ŒX
commutes.
Proof. Let x 2 X, and y the maximal generization of x. We need to show that

'.x/ D '.y/. Since T is T1 , the subset ' 1 .'.y// is closed and hence contains
fyg. But this means x 2 ' 1 .'.y//, that is, '.x/ D '.y/.
Corollary 2.3.10 (functoriality). Any continuous map f W X ! Y between valua-

tive spaces induces a unique continuous map
Œf W ŒX ! ŒY
such that diagram

f
X /Y
sepX sepY

ŒX / ŒY
Œf
commutes. (Hence, in particular, the mapping X 7! ŒX is functorial.)
2.3. (d) Overconvergent sets
Definition 2.3.11. Let X be a valuative space. A closed (resp. an open) subset S

of X is said to be overconvergent if for any x 2 S any generization (resp. special-
ization) of x belongs to S .
For example, if x is a maximal point of X, then fxg is an overconvergent closed

subset. Note that if S X is overconvergent, then so is the complement X n S .
Moreover, if S is an overconvergent closed or open subset and x 2 S , then both
Gx (the set of all generizations of x) and fxg (the set of all specializations of x) are
contained in S .
The following propositions are easy to establish.
S
Proposition 2.3.12. Let X be a valuative space and X D ˛2L U˛ an open cov-
ering. Then S X is an overconvergent closed (resp. open) subset if and only if
S \ U˛ is an overconvergent closed (resp. open) subset of U˛ for every ˛ 2 L.
Proposition 2.3.13. Let X be a valuative space, and S a closed or an open subset

of X. Then S is overconvergent if and only if S D sepX 1 .sepX .S //. Hence, in par-
ticular, T 7! sepX 1 .T / gives a bijection between the set of all open (resp. closed)
subsets of ŒX and the set of all overconvergent open (resp. closed) subsets of X.
Corollary 2.3.14. (1) Any finite intersection of overconvergent open subsets is an

overconvergent open subset. Any union of open subsets is an overconvergent open
subset.
(2) Any finite union of overconvergent closed subsets is an overconvergent
closed subset. Any intersection of overconvergent closed subsets is an overcon-
vergent closed subset.
By 2.3.5 and 2.3.6, we have the following result.
Proposition 2.3.15. Any tube closed (resp. tube open) subset of a valuative space X
is overconvergent closed (resp. overconvergent open) in X.
Definition 2.3.16. Let X be a valuative space, and consider the separated quotient
ŒX of X. A subset T of ŒX is said to be a tube closed (resp. tube open) subset if
sepX 1 .T / is a tube closed (resp. tube open) subset of X .2.3.4/.
Thus, by 2.3.13, S 7! sepX .S / gives a canonical order preserving bijection

between the sets of all tube closed (resp. tube open) subsets of X and of tube closed
(resp. tube open) subsets of ŒX.
Proposition 2.3.17. Let X be a coherent valuative space.

(1) For any overconvergent closed set F , the set of all tube open subsets con-
taining F is a fundamental system of neighborhoods of F .
(2) For any overconvergent closed subsets F1 ; F2 with F1 \ F2 D ;, there exist
tube open subsets U1 and U2 such that Fi Ui .i D 1; 2/ and U1 \ U2 D ;.
Proof. (1) Take a quasi-compact open neighborhood U of F . We want to find a

tube open subset C such that F C U . Take a quasi-compact open set V such
that X n U V X n F . Since F is overconvergent, V X n F by 2.3.15, and
U and V cover X. This implies F X n V U .
(2) Since X D .X n F1 / [ .X n F2 /, there exist quasi-compact open subsets Ui0
(i D 1; 2) such that U10 [ U20 D X and Ui0 \ Fi D ;. As Fi is overconvergent, we
have U 0 i \ Fi D ; for i D 1; 2 by 2.2.27. Set Ui D X n U 0 i for i D 1; 2, which are
tube open subsets. We have Fi Ui .i D 1; 2/ and U1 \ U2 D ;, as desired.
Corollary 2.3.18. Let X be a coherent valuative space.

(1) The separated quotient ŒX is a normal topological space.
(2) The space ŒX is compact (and hence is Hausdorff ).
Proof. (1) follows from 2.3.17 (2), because ŒX is a T1 -space (Exercise 0.2.10).
(2) follows from (1) and the quasi-compactness of X.
Corollary 2.3.19. Let X be a coherent valuative space. Then the set of all tube
open subsets of ŒX forms an open basis of the topological space ŒX.
Proof. This follows from 2.3.17 (1) and the fact that, as ŒX is T1 , any singleton
set fxg for x 2 ŒX is a closed subset.
Recall here that a continuous map f W X ! Y between topological spaces is

said to be proper if for any topological space Z the induced map
f idZ W X Z ! Y Z
is closed (cf. [24], Chapter I, ÷10.1, Definition 1).

Corollary 2.3.20. Let X be a coherent valuative space. Then sepX is a proper
map.
Proof. By [24], Chapter I, ÷10.2, Corollary 2, every continuous map from a quasi-
compact space to a Hausdorff space is proper. The corollary follows from 2.3.18 (2).

2.3. (e) Valuative maps

Definition 2.3.21. A continuous map f W X ! Y between valuative spaces is said
to be valuative if f .ŒX/ ŒY , that is, f maps maximal points to maximal points.
For example, open immersions between valuative spaces are valuative. Clearly,
if f W X ! Y is valuative, then Œf .x/ D f .x/ for any x 2 ŒX ( X).
Proposition 2.3.22. Let f W X ! Y be a valuative map between valuative spaces.
1
(1) For any subset C Y that is stable under generization, f .C / is stable
under generization in X, and the diagram
1 / ŒX
f .C / \ ŒX
Œf

C \ ŒY / ŒY
is Cartesian.
(2) We have f 1
.sepY 1 .C \ ŒY // D sepX 1 .f 1
.C / \ ŒX/.
Proof. (1) is obvious by the definition of valuative maps. To show (2), first observe
that the set F D f 1 .sepY 1 .C \ ŒY // is stable under specialization and generiza-
tion in X and that F \ ŒX D Œf 1 .C \ ŒY /. By (1), F \ ŒX D f 1 .C / \ ŒX,
that is, F coincides with the set of all specializations of points in f 1 .C / \ ŒX,
whence the desired equality.
Corollary 2.3.23. Let f W X ! Y be a valuative map between valuative spaces.
Then, for any overconvergent closed (resp. overconvergent open) subset C Y ,
f 1 .C / is overconvergent closed (resp. overconvergent open) in X.
Corollary 2.3.24. Let f W X ! Y be a locally quasi-compact (2.2.24) valuative

map between valuative spaces.
(1) For any retrocompact open subset U of Y , we have
f 1
.Ux / D f 1 .U /:
1
(2) For any tube closed (resp. tube open) (2.3.4) subset S of Y , f .S / is a tube
closed (resp. tube open) subset of X.
Proof. (1) Since U and f 1 .U / are retrocompact by 2.2.25, it follows from 2.2.27
that Ux D sepY 1 .ŒU / and f 1 .U / D sepX 1 .Œf 1 .U //. Then the desired equality
follows from 2.3.22 (2).
(2) follows immediately from (1).
2.3. (f) Structure of separated quotients. Let X be a valuative space, and U

X an open subset. Then U is again a valuative space (2.3.3), and U ,! X induces
a continuous injection ŒU ,! ŒX with the image sepX .U / (2.3.10).
The continuous bijection ŒU ! sepX .U /, where sepX .U / is endowed with
the subspace topology from ŒX, may not be a homeomorphism; it is home-
omorphic if, for example, U is overconvergent, or X and U are coherent; cf. Exer-
cise 0.2.12.
If U X is overconvergent open, then ŒU D sepX .U / is open in ŒX. But,

in general, sepX .U / for an open U X is not necessarily in ŒX. Note
that if X is coherent and U is quasi-compact, then ŒU is compact in the Hausdorff
space ŒX (2.3.18 (2)), and hence is closed.
Proposition 2.3.25 (continuity of Œ ). Let C be a U-small category, and let

F W C ! Top
be a functor. Suppose that F .X/ is a valuative space for any object X in C and
that F .f / is an open immersion for any morphism f in C .
(1) The colimit X D lim F is representable by a valuative space.
!C
(2) ŒX Š lim .Œ ı F /.
!C
Proof. (1) is clear. To show (2), observe first that the limit Q D lim ŒF .Z/ is
!C
a T1 -space (easy to see). The maps F .x/ ! X for x 2 obj.C ) induce the maps
ŒF .x/ ! ŒX, and hence the canonical map ˛W Q ! ŒX. On the other hand, the
composition F .x/ ! ŒF .x/ ! Q for x 2 obj.C / gives rise to X ! Q. As Q is
a T1 -space, we have ˇW ŒX ! Q by the universality of separated quotients (2.3.9).
It is easy to see that ˛ and ˇ are inverses to each other.
Let X be a valuative space, and fU˛ g˛2L an open covering of X. Consider the
coequalizer sequence
a
R ! ! U˛ ! X;
˛2L
`
where R D ˛;ˇ 2L U˛ \ Uˇ , and the induced sequence
a
ŒR !
! ŒU˛ ! ŒX:
˛2L
The functor X 7! ŒX commutes with disjoint unions and with finite intersection
` subsets. One sees easily that, in fact, ŒR defines an equivalence relation
of open
on ˛2L ŒU˛ (cf. Exercise 0.1.3). By 2.3.25 we immediately have the following
corollary.
`
Corollary 2.3.26. The topological space ŒX is the quotient of ˛2L ŒU˛ by the
equivalence relation ŒR.
Proposition 2.3.27. Let f W X ! Y be a quasi-compact valuative map of valuative

spaces. Then the induced map Œf is proper as a map of topological spaces.
Proof. First we assume Y is coherent. Then ŒX is a quasi-compact space. Since

ŒY is Hausdorff (2.3.18 (2)), Œf is proper by [24], Chapter I, ÷10.2, Corollary 2,
and the claim is shown in this case.
In general, we take an open covering fU˛ g˛2L of Y by coherent spaces. We
claim that Œf is a closed map. Let F ŒX be a closed subset. By 2.3.12, to
show that Œf .F / is closed in ŒY , it suffices to show that Œf .F / \ ŒU˛ is closed
in ŒU˛ for each ˛ 2 L. First observe that, since f is valuative, Œf 1 .ŒU˛ / D
Œf 1 .U˛ /; similarly, Œf .F / \ ŒU˛ D Œf .F \ Œf 1 .U˛ //. Since Œf jŒf 1 .U˛ /
is the separated quotient of the map f jf 1 .U˛ / W f 1 .U˛ / ! U˛ , it follows from
the coherent case that Œf .F / \ ŒU˛ is closed in ŒU˛ for any ˛ 2 L, as desired.
To finish the proof, in view of [24], Chapter I, ÷10.2, Theorem 2, it suffices
to show that Œf 1 .y/ is quasi-compact for any y 2 ŒY . But this is reduced to
showing the properness of Œf jŒf 1 .U˛ / with y 2 ŒU˛ , since fyg is closed both in
ŒY and ŒU˛ , and hence follows again from the coherent case.
2.3. (g) Overconvergent interior
Definition 2.3.28. Let X be a valuative space, and F a subset of X. The maximal

overconvergent open subset in X contained in F , of which the existence is guaran-
teed by 2.3.14 (1), is called the overconvergent interior of F in X and denoted by
intX .F /.
Proposition 2.3.29. Let X be a valuative space and U X a quasi-compact open

subset. Suppose that
./ there exists a coherent open subset V X such that Ux V .
Let y 2 X be a maximal point. Then y 2 intX .U / if and only if fyg U .
Note that condition ./ is automatic if X is quasi-separated and locally strongly

compact (2.5.1); cf. 2.5.5 below.
Proof. Suppose fyg U . Since fyg is overconvergent, there exists by 2.3.17 (1)
an open subset W V , overconvergent in V , such that fyg W U . Since
W Ux V , W is also overconvergent in X. Hence y 2 intX .U /, as desired.
The converse is clear.
Corollary 2.3.30. In the situation as in 2.3.29,
intX .U / D sepX 1 .ŒU n sepX .@U //;
where @U D Ux n U .
Proof. A point y 2 X lies in sepX 1 .ŒU n sepX .@U // if and only if the maximal
generization yQ of y satisfies yQ 2 U and fyg\@U
Q D ;. By 2.3.29, this is equivalent
to y 2 intX .U /.
Corollary 2.3.31. Let X be a quasi-separated valuative space, U a quasi-compact

open subset of X, and y 2 X a maximal point. Assume Ux is quasi-compact. Then
y 2 intX .U / if and only if fyg U .
Proof. Since X is quasi-separated, any quasi-compact open subset of X is coherent.

Since Ux is quasi-compact, there exists a coherent open subset V such that Ux V .
Now the assertion follows from 2.3.29.
2.4 Reflexive valuative spaces

2.4. (a) Reflexive valuative spaces
Definition 2.4.1. A valuative space (2.3.1) X is said to be reflexive if for any two
coherent open subsets U V of X, ŒU D ŒV implies U D V .
Example 2.4.2. Let V be an a-adically complete valuation ring .a 2 mV n f0g/.

Then the formal spectrum Spf Vp(cf. I, ÷1.1. (b)) of V is a valuative space with
the unique maximal point pV D .a/, the associated height-one prime (cf. 6.7.4).
It is reflexive if and only if V is of height one (cf. 6.2.6 (1)).
Note that reflexiveness is a local property on X.

Proposition 2.4.3. A valuative space X is reflexive if and only if, for any pair
of open subsets U V of X such that the inclusion U ,! V is quasi-compact,
ŒU D ŒV implies U D V .
Proof. The ‘if’ part is clear. Suppose X is reflexive, and let U ,! V be as above.
For any coherent open subset W of V , U \ W is coherent. Since ŒU \ W D
ŒU \ ŒW D ŒV \ ŒW D ŒW , we have U \ W D W . Since V has an open basis
consisting of coherent open subsets, this implies that U D V .
Proposition 2.4.4. Let X be a reflexive valuative space. Then any retrocompact
(2.1.7) open subset U X is regular, that is, .Ux /ı D U .
Proof. Considering an open covering of X by coherent open subsets, one can eas-
ily reduce to the case where X and U are coherent. Since U .Ux /ı trivially
holds, we only need to show that U .Ux /ı . By 2.2.27, sepX 1 .ŒU / D Ux . In
particular, we have ŒU D Œ.Ux /ı . For any quasi-compact open subset V .Ux /ı ,
U \ V is coherent, and we have ŒU \ V D ŒU \ ŒV D Œ.Ux /ı \ ŒV D ŒV .
Hence U \ V D V . Since this holds for any quasi-compact open subsets of .Ux /ı ,
U D .Ux /ı , as desired.
Proposition 2.4.5. Let X; Y be coherent valuative spaces, and f; gW X ! Y two
valuative quasi-compact maps. Suppose X is reflexive. Then Œf D Œg implies
f D g.
Proof. In view of the Stone duality (2.2.8), it suffices to show that for any quasi-
compact open subset V Y , we have f 1 .V / D g 1 .V /. By 2.3.24 (1), we get
f 1 .V / D f 1 .Vx / and g 1 .V / D g 1 .Vx /. Since we have Vx D sepY 1 .V /, and
since sepY ıf D sepY ıg by the assumption, f 1 .V / D g 1 .V /. Then by 2.4.4
we have f 1 .V / D g 1 .V /, as desired.
2.4. (b) Reflexivization. Let us denote by Vsp the category of valuative spaces
and valuative and locally quasi-compact maps, and by RVsp the full subcategory
of Vsp consisting of the reflexive valuative spaces.
Theorem 2.4.6. The canonical inclusion I W RVsp ,! Vsp admits a left adjoint
functor . /ref W Vsp ! RVsp, which has the following properties:
(a) . /ref preserves open immersions;
(b) the adjunction map X ref ! X induces a homeomorphism ŒX ref Š ŒX;
(c) the adjunction map X ref ! X is quasi-compact;
(d) if X is quasi-separated, then so is X ref .
The rest of this subsection will be devoted to showing this theorem.
2.4. (c) Coherent case. First, we construct X ref for a coherent valuative space X.
Let A D QCOuv.X/ be the distributive lattice of quasi-compact open subsets of X.
We have X Š Spec A by Stone duality (2.2.8). Consider the map
'W A ! 2ŒX
to the power-set lattice of ŒX given by U 7! sepX .U / D ŒU . This is a lattice

homomorphism, for we have sepX .U / D U \ ŒX set-theoretically. Hence the
image B is a distributive lattice, giving a coherent sober space Spec B, which we
denote by X ref . It is then easy to see that the surjective homomorphism 'W A ! B
gives rise to a quasi-compact map iX W X ref ! X, which induces a homeomorphism
from X ref to its image with the subspace topology. We thereby identify X ref with
its image in X.
Proposition 2.4.7. X ref is a valuative space, and the map iX W X ref ,! X is valua-
tive, inducing a homeomorphism ŒX ref ŒX.
To show this, we need the following lemma.
Lemma 2.4.8. Let S be a compact space, and D a distributive sublattice of 2S
consisting of closed subspaces of S . Suppose that D satisfies the following condi-
tions:
(a) for any x 2 S , there exists C 2 D such that x 2 C ;
(b) for any x; y 2 S with x ¤ y, there exists C 2 D such that x 2 C and
y 62 C .
For any x 2 S , set Fx D fC 2 DW x 2 C g (non-empty due to (a)).
(1) Any prime filter (cf. 2.2. (b)) is contained in a filter of the form Fx for some
x 2 S , and, for any x 2 S , Fx is a maximal filter (2.2.6 (2)) of D.
(2) The map x 7! Fx gives a bijection between S and the set of all maximal
filters of D.
Proof. (1) It is easy to see that Fx for x 2 S is a prime filter. Let F D be a prime
filter. For any finitely many elements C1 ; : : : ; Cr 2 F , we have C1 \ \ Cr 2 F ,
and since ; 62 F , we have C1 \ \ Cr ¤ ;. This implies, since S is compact,
that the intersection of all C ’s in F is non-empty, containing a point x 2 S . This
shows F Fx .
To show that Fx is maximal, suppose Fx is contained in a prime filter F .
By what we have seen above, there T exists y 2 S such that F Fy , hence Fx Fy .
But the assumption (b) implies C 2Fx C D fxg, from which we deduce x D y,
and thus F D Fx . Hence Fx is a maximal filter.
Tthe map x 7! Fx maps S surjectively onto the set of all maximal
(2) By (1),
filters. Since C 2Fx C D fxg, it is injective, too.
Proof of Proposition 2.4.7. Let us first confirm that the distributive lattice B satis-
fies the hypotheses of 2.4.8. Condition (a) clearly holds. For x; y 2 ŒX (x ¤ y),
since ŒX is Hausdorff (2.3.18 (2)), sepX 1 .fyg/ is closed, and hence there exists a
coherent open neighborhood U of x such that y 62 ŒU and also (b) holds.
To show that X ref is valuative, since the topology of X ref is the subspace topol-
ogy induced by X, which is valuative, we only need to show that any x 2 X ref has
a maximal generization (as in 2.3.2, this is automatic, but allows a direct proof as
follows). By 2.4.8, X ref D Spec B contains all points in ŒX, in which any point
has a maximal generization. This means that X ref is valuative, that the map iX is
valuative, and that ŒiX gives a continuous bijection from ŒX ref to ŒX. Since both
ŒX ref and ŒX are compact (Hausdorff) (2.3.18 (2)), ŒiX is a homeomorphism.
Proposition 2.4.9. For any quasi-compact valuative map f W Z ! X defined
on a reflexive coherent valuative space Z, there exists uniquely a valuative map
hW Z ! X ref such that f D iX ı h.
Proof. For any subset S ŒX ref , set H.S / D .sepZ1 .Œf 1 .S ///ı, where ./ı
denotes the interior kernel. For S D ŒU with U 2 A, since f is valuative, we
have H.ŒU / D .f 1 .sepX 1 .ŒU ///ı D .f 1 .Ux //ı (due to 2.2.27), which is equal
to f 1 .U / by 2.3.24 (1) and 2.4.4. Since f is quasi-compact, the map H gives
a lattice homomorphism from B D QCOuv.X ref / to QCOuv.Z/, which defines a
quasi-compact map hW Z ! X ref . Since f is valuative, so is h. Next, since the
composition H ı 'W A D QCOuv.X/ ! QCOuv.Z/ clearly coincides with the
homomorphism corresponding to f W Z ! X, we have f D iX ı h. Finally, the
uniqueness of h follows from 2.4.5 and the fact that iX is a homeomorphism.
By the last proposition, X 7! X ref for X coherent is functorial, giving the
left adjoint functor of the inclusion functor from the category of coherent reflexive
valuative spaces with quasi-compact maps to the category of coherent valuative
spaces with quasi-compact maps.
2.4. (d) General case. Let X be a valuative space, and consider the functor
FX W RVspopp ! Sets
defined as follows: for any reflexive valuative space Z, we set
FX .Z/ D HomC .Z; X/;
the set of all locally quasi-compact valuative maps from Z to X. Let us consider
the category D of quasi-separated reflexive valuative space with quasi-compact
valuative maps, and the category CRVsp of coherent reflexive valuative space with
quasi-compact valuative maps. The discussion in the previous paragraph shows
that the functor FX jCRVspopp is representable for any coherent valuative space X.
Lemma 2.4.10. Suppose that the functor FX jCRVspopp is representable by a coherent

reflexive valuative space X 0 . Then FX itself is representable by X 0 .
Proof. Let us first show that FX jD opp is representable by X 0 . For any quasi-sepa-
rated reflexive valuative space Z, write Z as a filtered inductive limit lim Zi of
!i 2I
coherent open subspaces. Then giving f W Z ! X is equivalent to giving the col-
lection ffi D f jZi W Zi ! Xgi 2I of maps satisfying fj jZi D fi for i j . By the
assumption, each fi factors through X 0 by fi0 W Zi ! X 0 , and by the functoriality,
we have fj0 jZi D fi0 for i j . We thus obtain f 0 W Z ! X 0 , which shows the
representability of FX jD opp .
In general, given a reflexive valuative space Z, we take an open covering
fZ˛ g˛2L of Z by coherent open subspaces. Then giving f W Z ! X is equiv-
alent to giving the collection of maps ff˛ W Z˛ ! Xg˛2L in such a way that
f˛ jZ˛ \Zˇ D fˇ jZ˛ \Zˇ . By the assumption, each f˛ is canonically factored
through X 0 by f˛0 W Z˛ ! X 0 . Since Z˛ \ Zˇ are quasi-separated, what we have al-
ready shown above implies f˛0 jZ˛ \Zˇ D fˇ0 jZ˛ \Zˇ . Hence we obtain f 0 W Z ! X 0
by patching f˛0 ’s, which verifies the representability of FX by X 0 .
By the lemma, we have already shown that the functor FX is representable for
any coherent valuative space X, and whence the existence of . /ref as a functor
CVsp ! CRVsp of coherent valuative spaces with quasi-compact maps.
The following lemma shows that the reflexivization functor . /ref, if it exists,
commutes with open immersions.
Lemma 2.4.11. Suppose that FX for a valuative space X is representable by

.X ref ; iX /. Then for any open subset U X, .iX 1 .U /; iX ji 1 .U / / represents FU .
X
Proof. It is enough to invoke that any open subspace of a reflexive valuative space
is again reflexive, which is trivial.
Now we are going to construct X ref for any valuative space. Take an open
covering fX˛ g˛2L of X by coherent open subspaces. For each ˛ 2 L, we have
.X˛ref ; iX˛ /. By 2.4.11, iX˛1 .X˛ \ Xˇ / gives the reflexivization of X˛ \ Xˇ , hence
being equal to iXˇ1 .X˛ \ Xˇ /, which one can consistently denote by .X˛ \ Xˇ /ref .
One can then patch X˛ref ’s along .X˛ \ Xˇ /ref ’s to obtain a valuative space X 0 ,
which is easily seen to be reflexive, and a map iX W X 0 ! X.
In order to see that X 0 gives the reflexivization of X, it remains to show that
0
X enjoys the desired functoriality (which at the same time also confirms that the
formation of X 0 is independent, up to canonical isomorphism, of all choices we
have made).
For a given f W Z ! X, where Z is reflexive, define Z˛ D f 1 .X˛ / and

f˛ D f jZ˛ for any ˛ 2 L. For each ˛ 2 L, we have the canonical factorization
f˛ref iX˛
Z˛ ! X˛ref ! X˛
of the map f˛ . By the functoriality, f˛ref jZ˛ \Zˇ is equal to .f˛ jZ˛ \Zˇ /ref , and
hence is equal to fˇref jZ˛ \Zˇ . Hence, by patching, we obtain a map f 0 W Z ! X 0
such that iX ı f 0 D f . The map f is valuative and locally quasi-compact, since it
is obtained by patching local maps having these properties. Since the representabil-
ity holds locally and the above construction is functorial, it follows that .X 0 ; iX /
represents the functor FX , and that X ref D X 0 gives the reflexivization of X.
To conclude the proof of Theorem 2.4.6, it remains to verify (a) (d). Con-
dition (a) follows immediately from 2.4.11. For (b), note that the functor Œ has
the continuity (2.3.25), and, by our construction of X ref , the functor . /ref has the
similar continuity. Hence checking (b) is reduced to that in the case where X is co-
herent, which has already been shown in 2.4.7. Condition (c) follows from (a) and
the fact that X ref is coherent if X is coherent. Finally, (d) follows from (a) and (c).
Corollary 2.4.12. Let X; Y be valuative spaces, and f; gW X ! Y two valuative

locally quasi-compact maps. Suppose X is reflexive. Then Œf D Œg implies
f D g.
2.5 Locally strongly compact valuative spaces

2.5. (a) Locally strongly compact valuative spaces
Definition 2.5.1. A valuative space X is said to be locally strongly compact if for

any x 2 X there exists a pair .Wx ; Vx / consisting of an overconvergent open subset
Wx and a coherent open subset Vx such that x 2 Wx Vx .
If X is coherent, then one can take Wx D Vx D X for any x 2 X. Hence we

have the following result.
Proposition 2.5.2. Any coherent valuative space is locally strongly compact.
Proposition 2.5.3. Let X be a locally strongly compact valuative space. Then for
any x 2 X the closure fxg of fxg in X is quasi-compact.
Proof. Take .Wx ; Vx / as in 2.5.1. Since Wx is overconvergent, fxg is contained

in Wx , and hence in Vx . Thus fxg is a closed subset of the quasi-compact space Vx ,
and hence is quasi-compact.
Proposition 2.5.4. Let X be a quasi-separated valuative space. Then X is lo-

cally strongly compact if and only if the following condition is satisfied: for any
x 2 X there exists a pair .Ux ; Vx / of coherent open neighborhoods of fxg such
that Ux Vx .
Proof. Suppose X is locally strongly compact, and let x 2 X. Take .Wx ; Vx / as

in 2.5.1. Since fxg is quasi-compact, one can take a quasi-compact open neighbor-
hood Ux of fxg inside Wx ; since X is quasi-separated, Ux is coherent. By 2.2.27,
we have Ux Wx Vx .
Conversely, suppose X satisfies the condition in the assertion. For x 2 X, take
.Ux ; Vx / as above. We may assume without loss of generality that x is a maximal
point. Then, by 2.3.31, the pair .Wx ; Vx / with Wx D intX .Ux / gives a pair as
in 2.5.1.
Proposition 2.5.5. Let X be a quasi-separated valuative space. Then the following

conditions are equivalent:
(a) X is locally strongly compact;
(b) the closure Ux of any quasi-compact open subset U X is quasi-compact;
(c) there exists an open covering fU˛ g˛2L of X such that U˛ and Ux˛ are quasi-
compact for any ˛ 2 L.
Proof. First we prove (a) H) (c). By 2.5.4, X has an open covering fU˛ g˛2L such
that each U˛ is coherent and its closure Ux˛ is contained in a coherent open subset
V˛ . Since V˛ is quasi-compact, each Ux˛ is quasi-compact.
Next we show (c) H) (b). Since
S U is quasi-compact, there exist finitely many
˛1 ; : : : ; ˛n 2 L such that U D jnD1 U \ U˛j . By 2.3.7,
n
[
Ux D Ux \ Ux˛j :
j D1
Since each Ux \ Ux˛j is quasi-compact, we deduce that Ux is quasi-compact.

Finally, let us show (b) H) (a). For any x 2 X, take a quasi-compact open
neighborhood W of x. We have fxg W x . Since W
x is quasi-compact, so is fxg.
Then one has a quasi-compact (hence coherent) open subset U that contains fxg.
Since Ux is again quasi-compact, it is further contained in a quasi-compact open
subset V . In view of 2.5.4, this shows (a).
Remark 2.5.6. Proposition 2.5.5 shows that, if X is a quasi-separated valuative

space, then X is locally strongly compact if and only if it is taut in the sense of [61],
5.1.2.
2.5. (b) Characteristic properties

Theorem 2.5.7. Let X be a locally strongly compact valuative space.
(a) The separated quotient ŒX is locally compact (hence locally Hausdorff ).
(b) The separation map sepX W X ! ŒX is proper.
(c) Each x 2 ŒX admits an open neighborhood Zx ŒX such that sepX 1 .Zx /
is quasi-separated.
Conversely, if a valuative space X satisfies (b) and (c), then X is locally strongly
compact.
Proof. For any x 2 ŒX, take .Wx ; Vx / as in 2.5.1. Since Wx is overconvergent also
in Vx , we have sepX .Wx / D sepVx .Wx /, which is open both in ŒVx and ŒX. Now,
by 2.3.18 (2), we know that ŒVx is compact. Hence Wx D sepX .Wx / D sepVx .Wx /
is a Hausdorff open neighborhood of x both in ŒVx and ŒX, and ŒVx gives a com-
pact neighborhood of x in ŒX. This shows that Wx is a locally compact Hausdorff
space, whence (a). For (b), it suffices to show that Wx D sepX 1 .Wx / ! Wx is
proper for any x 2 ŒX. Since Wx D sepVx1 .Wx /, this follows from the properness
of Vx ! ŒVx (2.3.20). One verifies (c) with Zx D Wx ; indeed, Wx D sepVx1 .Wx /
is an open subspace of the coherent space Vx , and hence is quasi-separated.
Now we show the converse. Suppose X is a valuative space that satisfies (b)
and (c). For any point x 2 X, we need to find a pair .Wx ; Vx / as in 2.5.1. To this
end, we may assume that x is a maximal point, that is, x 2 ŒX. Take an open neigh-
borhood Zx of x in ŒX such that Zx D sepX 1 .Zx / is quasi-separated. It follows
from (b) that the closure fxg of fxg in X, being equal to the pull-back sepX 1 .fxg/,
is quasi-compact. Since fxg is contained in Zx , we have a quasi-compact open
subset Ux Zx that contains fxg. Since Zx is quasi-separated, in view of 2.2.27,
the closure Ux of U in Zx is equal to sepX 1 .sepX .Ux //. This shows that ŒUx is
closed in ŒX, and hence Uxx is quasi-compact by the properness of sepX . Thus
there exists a quasi-compact open neighborhood Vx of Uxx in Zx . By 2.3.31, we
have x 2 intZx .Ux /. Set Wx D intZx .Ux /. Since Wx is overconvergent in Zx and
Zx is overconvergent in X, Wx is overconvergent in X. Hence the pair .Wx ; Vx / is
a desired one.
Corollary 2.5.8. Let X be a valuative space. The following conditions are equiva-
lent:
(a) X is locally strongly compact;
(b) any overconvergent open subset W X is locally strongly compact;
(c) there exists an open covering fW˛ g˛2L of X consisting of overconvergent
open subsets such that each W˛ .˛ 2 L/ is locally strongly compact.
Corollary 2.5.9. The separated quotient ŒX of a locally strongly compact val-
uative space X is locally compact (hence locally Hausdorff ). Moreover ŒX is
Hausdorff, whenever X is quasi-separated.
Proof. The first assertion is already proven in 2.5.7. Suppose X is quasi-separated.

Take two points x1 ¤ x2 in ŒX and, for each i D 1; 2, a pair .Wxi ; Vxi / as
in 2.5.1. Since U D Vx1 [ Vx2 is quasi-compact open and X is quasi-separated, U
is coherent open. Using 2.3.17 (2), take for each i D 1; 2 an open neighbourhood
Wi0 of yi that is contained and overconvergent in U , such that W10 \ W20 D ;. Then
Wi \ Wi0 for i D 1; 2 are overconvergent in X and separate fy1 g and fy2 g.
Corollary 2.5.10. Let X be a quasi-separated locally strongly compact valuative

space. Then ŒX is a completely regular topological space (cf. ÷2.1. (c)).
Proposition 2.5.11. Let X be a reflexive valuative space (2.4.1). Suppose there

exists a family fU˛ g˛2L of open subsets X such that
(a) each U˛ is locally strongly compact and retrocompact (2.1.7) in X and
S
(b) ŒX D ˛2L ŒU˛ ı , where ./ı denotes the interior kernel.
Then X is locally strongly compact.
Proof. Set U˛ D ŒU˛ ı and W˛ D sepX 1 .U˛ / for ˛ 2 L. We have
W˛ .sepX 1 .ŒU˛ //ı D .U˛ /ı I
see 2.2.27. By 2.4.4, W˛ U˛ for any ˛ 2 L. Thus we have the diagram

W˛ / U˛ /X
sepX jW˛ sepU˛ sepX

/ ŒU˛ / ŒX:
U˛
By Exercise 0.2.12, the topology of ŒU˛ coincides with the subspace topology
induced by ŒX. Since W˛ is overconvergent in U˛ , it is locally strongly compact
due to 2.5.8. Since fW˛ g˛2L covers X, again by 2.5.8, we deduce that X is locally
strongly compact.
Corollary 2.5.12. Let X be a reflexive and quasi-separated valuative

S space having
a family fU˛ g˛2L of coherent open subsets such that ŒX D ˛2L ŒU˛ ı . Then X
is locally strongly compact.
2.5. (c) Paracompact spaces

Definition 2.5.13. Let X be a topological space.
(1) An open covering fU˛ g˛2L of X is said to be locally finite if any x 2 X has
an open neighborhood V such that V \ U˛ ¤ ; for at most finitely many
indices ˛ 2 L.
(2) The space X is said to be paracompact if any open covering admits an open
locally finite refinement.
Note that our definition of ‘paracompact’ differs from that in [24], Chapter I,
÷9.10, Definition 6, in that we do not assume Hausdorffness.
The following lemma is easy to see, and the proof is left to the reader.
Lemma 2.5.14. Let X be a locally coherent space.
(1) The space X is paracompact if there is a locally finite covering by quasi-

compact open subsets.
(2) Let fU˛ g˛2L be a locally finite covering of X consisting of quasi-compact

open subsets. Then for any ˛ 2 L the set of all indices ˇ 2 L such that Uˇ
intersects U˛ is finite.
Proposition 2.5.15. Let X be a paracompact quasi-separated valuative space.

Then X is locally strongly compact.
Proof. By 2.5.5, it suffices to show that for any quasi-compact open subset U its
closure Ux is again quasi-compact. Let fV˛ g˛2L be a covering of Ux , that is, Ux
S
x
˛2L V˛ . Together with X n U this gives an open covering of X, and hence,
there exists a locally finite refinement fW g2ƒ of fV˛ g˛2L by quasi-compact open
subsets. Let ƒ0 be the subset of ƒ consisting of all such that Ux \ W ¤ ;. Since
0 0
U \ V ¤ S ; for any 2 ƒ and U is quasi-compact, S the set ƒ is actually finite,
and thus 2ƒ0 V is quasi-compact. Since Ux 2ƒ0 V , Ux is quasi-compact,
as desired.
The following proposition can be shown by an argument similar to that in [24],
Chapter 1, ÷9.10, Theorem 5.
Proposition 2.5.16. Let X be a paracompact quasi-separated locally
`strongly com-
pact valuative space. Then X can be written as a disjoint sum X D 2ƒ X such
that for each 2 ƒ there exists an increasing sequence U;0 U;1 of
quasi-compact open subsets satisfying
(a) Ux;n U;nC1 for any n 0 and

S
(b) X D n0 U;n .
Proposition 2.5.17. Let X be a quasi-separated locally strongly compact valuative
space. Then X is paracompact if and only if ŒX is paracompact (in the sense
as in [24], Chapter I, ÷9.10, Definition 6); note that, due to 2.5.9, ŒX is locally
compact and Hausdorff ).
Proof. Suppose X is paracompact. We may assume in view of 2.5.16 that there
exists an increasing sequence U0 U1 : : : of quasi-compact open subsets
satisfying conditions similar to (a) and (b) in 2.5.16. For each n 0 let Vn be
the interior kernel of ŒUn in ŒX. Since Uxn is overconvergent (2.2.27), we have
sepX 1 .Vxn / Uxn and hence sepX 1 .Vxn / intX .UnC1 / (cf. 2.3.31). Thus we have
Vxn VnC1 for any n 0, and hence ŒX is paracompact, by [24], Chapter 1, ÷9.10,
Theorem 5.
Conversely, suppose ŒX is paracompact, and take three open coverings
[ [ [
XD U˛ D V˛ D W˛
˛2L ˛2L ˛2L
of X by quasi-compact open subsets such that for any ˛ 2 L we have Ux˛ V˛

and Vx˛ W˛ (this is possible due to 2.5.5 (b)). By 2.3.31,
[ [
ŒX D ŒV˛ ı D ŒW˛ ı
˛2L ˛2L
(where ./ı denotes the interior kernel). Take locally finite open coverings ŒX D
S S
z
i 2I Vi and ŒX D
z ı ı
j 2J Wj that refine fŒV˛ g˛2L and fŒW˛ g˛2L , respectively.
Since for each i 2 I there exists an ˛ 2 L such that sep 1 .Vzi / Vx˛ , we
X
deduce that the closure of sepX 1 .Vzi / is quasi-compact. Moreover, since ŒX D
S
z 1 z 1 z
j 2J Wj is a locally finite covering, sepX .Vi / \ sepX .Wj / is non-empty for
only finitely many j 2 J , say, ji;1 ; : : : ; ji;mi . One can take a finite collection
Smi
fUi1 ; : : : ; Uini g of quasi-compact open subsets contained in kD1 sepX 1 .Wzj /
i;k
1 z
S ni
such that sep .Vi /
X kD1
Ui . Then fUi gi 2I;1kn is a locally finite cov-
k k i
ering of X by quasi-compact open subsets.
2.6 Valuations of locally Hausdorff spaces

In this subsection, we give a description of the category of reflexive (2.4.1) locally
strongly compact (2.5.1) valuative spaces with valuative (2.3.21) and locally quasi-
compact (2.2.24) maps. We will show, in 2.6.19 below, that this category is com-
pletely described, via separated quotients (÷2.3. (c)), by locally compact (and lo-
cally Hausdorff) spaces with an extra structure, which we call a valuation. The
description we give here can be regarded as a variant of Stone duality (cf. ÷2.2. (b)).
2.6. (a) Nets and coverings
Definition 2.6.1 (cf. [12] and [13]). Let X be a topological space.
(1) A collection of subsets of X is called a quasi-net on X if for each x 2 X

there exists finitely many U1 ; : : : ; Un 2 such that x 2 U1 \ \ Un and
that U1 [ [ Un is a (possibly not open) neighborhood of x.
(2) A quasi-net is called a net on X if for any U; U 0 2 the subset jU \U 0 D

fU 00 2 W U 00 U \ U 0 g of is a quasi-net on the subspace U \ U 0 .
Note that if X is Hausdorff, then one can omit the condition ‘x 2 U1 \ \ Un ’

in (1). Let us recall some of the basic properties of quasi-nets and nets (cf. [12],
÷1.1). Let be a quasi-net on a topological space X.
A subset W X is open if and only if for any U 2 the intersection

U \ W is open in U .
If any element of is compact, then X is Hausdorff if and only if for any
U; V 2 the intersection U \ V is again compact.
Suppose, moreover, that X is locally Hausdorff and is a net consisting of

compact subsets. Then
for any U; V 2 , the intersection U \ V is locally closed in U and V .
Proposition 2.6.2. Let S X be a locally strongly compact (2.5.1) valuative space,

see 2.3.1, and X D ˛2L U˛ an open covering by quasi-compact open subsets.
Then the collection D fŒU˛ g˛2L gives a quasi-net on the separated quotient
ŒX (÷2.3. (c)). It is a net if and only if for any ˛; ˇ 2 L the collection fU jU
U˛ \ Uˇ g is a covering of U˛ \ Uˇ .
Note that, due to 2.5.9, the separated quotient ŒX is a locally compact, hence
locally Hausdorff, space.
Proof. Let x 2 ŒX be a maximal point of X, and consider the closure fxg in X
of the singleton set fxg. Since fxg is quasi-compact due to 2.5.3, there exists an
overconvergent open neighborhood W of fxg such that W x is quasi-compact. Re-

placing, if necessary, W by a smaller overconvergent open neighborhood of fxg,
one can take ˛1 ; : : : ; ˛n 2 L such that W x U˛1 [ [ U˛n and fxg \ U˛ ¤ ;
i
for each i D 1; : : : ; n. Then ŒU˛1 [ [ ŒU˛n is a neighborhood of x in ŒX, since
it contains ŒW , which is open in ŒX. Moreover, since fxg \ U˛i ¤ ; for each
i D 1; : : : ; n, we have x 2 ŒU˛1 \ \ ŒU˛n , showing that D fŒU˛ g˛2L is a
quasi-net on ŒX. The other assertion is clear.
2.6. (b) Valuations of compact spaces. If X is a coherent reflexive valuative

space, then X Š X ref is completely determined by the distributive lattice QCOuv.X/
of coherent open subsets, which is isomorphic to the distributive lattice
v D fŒU W U 2 QCOuv.X/g
consisting of compact subsets of ŒX (cf. ÷2.4. (c)). This motivates the following
definition.
Definition 2.6.3. Let S be a compact (in particular, Hausdorff) space.
(1) A distributive sublattice v of 2S is called a valuation of S if there exists a

continuous map W X ! S from a coherent reflexive valuative space X such
that
(a) the map ŒX ! S induced by (cf. 2.3.9) is a homeomorphism and
(b) v coincides, through the identification ŒX Š S , with the lattice fŒU W
U X 2 QCOuv.X/g.
(2) If v is a valuation of S , then the pair .S; v/ is called a valued compact

space.
Note that if .S; v/ is a valued compact space, then the coherent reflexive valua-
tive space X is uniquely determined up to canonical homeomorphisms and isomor-
phic to Spec v by Stone duality (cf. 2.2.8). Note also that if v is a valuation of S ,
then every member T 2 v of v is a compact (and hence closed) subset of S .
Example 2.6.4. The distributive lattice 2S for a singleton set S D fg with the
obvious compact topology is a valuation of S , for one has the obvious continuous
map Spf V ! S from the formal spectrum of an a-adically complete valuation ring
.a 2 mV n f0g/ of height one (cf. 2.4.2).
Proposition 2.6.5. Let S be a compact (hence Hausdorff ) space, and v a distribu-

tive lattice consisting of compact subspaces of S . Then v is a valuation of S if and
only if
(a) Spec v is a valuative space and

(b) for any x 2 S and any neighborhood U of x, there exists T 2 v such that
x 2 T U.
Moreover, in this situation, there exists a canonical continuous map W Spec v ! S

that induces ŒSpec v Š S .
Proof. The ‘only if’ part is clear. For any p 2 Spec v, consider the prime filter
Fp corresponding
T to p, that is, the complement of p in v. As in the proof of 2.4.8,
points in T 2Fp T canonically correspond to maximal filters F 0 that contain Fp .
T
Condition (a) implies that such F 0 is unique, and hence T 2Fp T D f.p/g for
some .p/ 2 S . This gives a map
W Spec v ! S; p 7 ! .p/;
which is surjective due to 2.4.8. For each T 2 v, set UT D fp 2 Spec vW T 2 Fp g.

Then UT is open in Spec v, and its image under is contained in T . Since
fUT W T 2 vg forms an open basis of Spec v, the map is continuous by (b). More-
over, restricted on ŒSpec v is the inverse of the map x 7! Fx as in 2.4.8 (2), and
thus induces the continuous bijection ŒSpec v ! S between compact Hausdorff
spaces. Hence v is gives a valuation of S , and the proposition is proved.
Corollary 2.6.6. Let S be a compact space, and v and v 0 distributive lattices con-
sisting of compact subsets of S . Suppose that v v 0 , that v is a valuation of S ,
and that Spec v 0 is valuative. Then v 0 is a valuation of S .
Let S be a compact space, v a valuation of S , and T D ŒU 2 v, where
U X D Spec v is a quasi-compact open subset. Then the following statements
are easy to verify.
The collection
vjT D fT 0 2 vW T 0 T g
is a net on T (thanks to 2.6.2), and is a valuation of T ; in particular, v is a
net on S .
The homomorphism
v ! vjT ; T0 7 ! T0 \T
gives rise to the open immersion Spec vjT ,! Spec v corresponding to the
inclusion map U ,! X.
Definition 2.6.7. A morphism f W .S; v/ ! .S 0 ; v 0 / between valued compact spaces

is a continuous mapping f W S ! S 0 such that
(a) f induces f W v 0 ! v by T 7! f 1
.T / and
(b) ŒSpec f D f .
Note that a morphism of valued compact spaces f W .S; v/ ! .S 0 ; v 0 / induces a
valuative map
Spec f W X D Spec v ! X 0 D Spec v 0
of coherent reflexive valuative spaces such that the diagram
Spec f
X / X0

S / S0
f
commutes. Now the following proposition is easy to see, essentially due to Stone
duality (÷2.2. (b)).
Proposition 2.6.8. The functor
.S; v/ 7 ! Spec v
gives a categorical equivalence from the category of valued compact spaces (with
the above-defined morphisms) to the category of coherent reflexive valuative spaces
with valuative quasi-compact maps. The quasi-inverse to this functor is given by
X 7 ! .ŒX; v/;
where
v D fŒU W U 2 QCOuv.X/g:
2.6. (c) Valuations of locally Hausdorff spaces

Definition 2.6.9. Let X be a locally Hausdorff space.
(1) A pre-valuation v D . .v/; fvS gS 2.v/ / of X consists of
(a) a net (2.6.1 (2)) .v/ of compact subspaces of X and
(b) a valuation (2.6.3 (1)) vS of S for each S 2 .v/,
satisfying
for any S; S 0 2 .v/ with S S 0 , we have vS D fT 2 vS 0 W T S g.

S (2) A pre-valuation v D . .v/; fvS gS 2.v/ / of X is said to be saturated if

S 2.v/ vS D .v/.
(3) A pre-valuation v D . .v/; fvS gS 2.v/ / is called a valuation
S if it is satu-
rated and, for any finitely many elements S1 ; : : : ; Sn 2 .v/, niD1 Si again be-
longs to .v/ whenever it is Hausdorff as a subspace of X.
(4) If v is a valuation of X, then the pair .X; v/ is called a valued locally Haus-
dorff space.
Note that
a locally Hausdorff space that admits a pre-valuation is locally compact;

if a pre-valuation v of X is saturated, then v is determined by the net .v/;
indeed, for any S 2 .v/, one has vS D fT 2 .v/W T S g;
if X is compact, then the notion of valuations defined here coincides with
the previous one (2.6.3 (1)) (whence the abuse of terminology); indeed, if
v is a valuation of X in the sense of 2.6.3 (1), then .v; fvjS gS 2v / gives a
valuation in the sense of 2.6.9; conversely, given a valuation v of X in the
latter sense, since X is a finite union of elements of .v/, X itself belongs
to the net .v/.
Remark 2.6.10. Note that if .X; v/ is a valued locally Hausdorff space, the net
.v/ does not, in general, give a distributive lattice, for it may fail to contain X
(the unit element). In other words, .v/ is a distributive lattice if and only if X
is compact, in which case the valued locally Hausdorff space .X; v/ is a valued
compact space.
Definition 2.6.11. A morphism f W .X; v/ ! .X 0 ; v 0 / between valued locally Haus-

dorff spaces is a continuous mapping f W X ! X 0 such that, for any S 2 .v/ and
S 0 2 .v 0 / such that f .S / S 0 , the map f jS W S ! S 0 with the valuations vS and
vS 0 of S and S 0 , respectively, is a morphism of valued compact spaces (2.6.7).
2.6. (d) Saturation and associated valuations
Definition 2.6.12. Let X be a locally Hausdorff space X, and v1 ; v2 pre-valuations

of X. We say that v2 is an extension of v1 , or that v1 is a restriction of v2 , and
we write
v1 v2 ;
if .v1 / .v2 / and .v1 /S D .v2 /S for any S 2 .v1 /.

Proposition 2.6.13. Any pre-valuation of a compact space extends uniquely to a

valuation.
Proof. Let X be a compact space, and v D . .v/; fvS gS 2.v/ / a pre-valuation of X.

Let vQ be the distributive sublattice of 2X generated by all vS ’s. More precisely, a
S T X belongs to vQ if it is a finite union of finite intersections of elements
subset
in S 2.v/ vS . Then vQ is a valuation of X such that vj Q S D vS for any S 2 .v/; in-
deed, one can glue the valuative spaces Spec vS by open immersions (cf. ÷2.6. (b)).
It is then clear that vQ D .v;
Q fvj
Q T gT 2vQ / extends v. The uniqueness is also clear.
Proposition 2.6.14. Let X be a locally Hausdorff space, and let
v D . .v/; fvS gS 2.v/ /
be a pre-valuation of X. Set
[
.v sat / D vS
S 2.v/
and for any T 2 .v sat /
vTsat D fT 0 2 .v sat /W T 0 T g:
Then v sat D . .v sat /; fvSsatgS 2.vsat / / gives the smallest saturated extension of v
(called the saturation of v/.
Proof. It is clear that .v sat / is a quasi-net. To show that it is a net, take S1 ; S2 2

.v sat / and set S D S1 \ S2 . We want to show that .v sat /jS is a quasi-net. Since
X is locally compact, S is locally closed both in S1 and S2 , and also in X. This
allows one to discuss locally on X and to assume that S is compact. Similarly to
the proof of 2.6.13, consider the distributive sublattice vS0 of 2S generated by all
T 0 2 vT for T 2 .v/ and T S . Then vS0 gives a valuation of S , and hence
is a net. Since each element of vS0 is a finite union of finite intersections of T ’s as
above, one verifies the conditions in 2.6.1 for any x 2 S , showing that .v sat /jS is
a quasi-net, as desired. The rest of the proof is obvious.
Let X be a locally Hausdorff space, v D . .v/; fvS gS 2.v/ / a pre-valuation

of X, and C X a subset. Set
vC D .fS 2 .v/W S C g; fvS gS 2.v/;S C /:
If vC defines a pre-valuation of C , we call it the restriction of v to C . The following

assertions are easy to verify; cf. Exercise 0.2.18.
Proposition 2.6.15. Let X be a locally Hausdorff space, v D . .v/; fvS gS 2.v/ /

a pre-valuation of X. Define .v val / to be the set of all compact subsets S X
such that the restriction of v sat to S , denoted consistently by vSsat , exists. For any
S 2 .v val /, set vSval to be the unique valuation of S that extends vSsat (2.6.13). Then
the data
v val D . .v val /; fvSvalgS 2.vval / /
give the minimal valuation that extends v (called the valuation associated to v/.
Theorem 2.6.16. Let X be a locally Hausdorff space, v D . .v/; fvS gS 2.v/ / a
pre-valuation of X. Define
Spec v D lim Spec vS :

!
S 2.v/
Then Spec v is a reflexive valuative space with a canonical homeomorphism
ŒSpec v Š X:
Moreover, .v val / coincides with the set of all subsets of X that are images under
the separation map sep of coherent open subsets of Spec v.
Corollary 2.6.17. Any pre-valuation v of a locally Hausdorff space X has an ex-
tension to a valuation. Moreover, such an extension is unique.
2.6. (e) Reflexive locally strongly compact valuative spaces. For a valued lo-
cally Hausdorff space .X; v/, we have constructed the reflexive valuative space
X D Spec v together with the canonical map X ! X inducing a homeomorphism
ŒX X; see 2.6.16.
Proposition 2.6.18. The valuative space X D Spec v is locally strongly compact.
Moreover, if X is Hausdorff (resp. compact), then X is quasi-separated (resp. co-
herent).
Proof. Since .v/ D fŒU W U X coherentg, for any open subset W ŒX the re-
striction vjW of v to W exists, giving Spec vjW sepX1 .W / (cf. Exercise 0.2.18).
Hence, to show that X is locally strongly compact, we may assume that X is Haus-
dorff.
S covering fU˛ g˛2L consisting of coher-
Since .v/ is a net, there exists an open
ent open subsets of X such that ŒX D ˛2L ŒU˛ ı , where ./ı denotes the interior
kernel. Moreover, since v is a valuation, we have ŒU˛ 2 .v/ for any ˛ 2 L.
For any ˛; ˇ 2 L, the restriction .v/jŒU˛ \Uˇ of .v/ to ŒU˛ \ Uˇ D ŒU˛ \ ŒUˇ
is a quasi-net. Hence there exists aSfamily fV g2ƒ of coherent open subsets of
U˛ \ Uˇ such that ŒU˛ \ Uˇ D 2ƒ ŒV ı . Then U˛ \ Uˇ is, since it is re-
flexive and quasi-separated valuative space, locally strongly compact due to 2.5.12.
Now by Exercise 0.2.12, the topology on ŒU˛ \ Uˇ coincides with the subspace
topology induced by ŒU˛ . Since ŒU˛ and ŒUˇ are compact, and since X D ŒX
is Hausdorff, we deduce that ŒU˛ \ Uˇ D ŒU˛ \ ŒUˇ is compact, and hence,
by 2.5.7 (b), U˛ \ Uˇ is quasi-compact. This shows that X is quasi-separated, and
hence is locally strongly compact by 2.5.12.
Finally, if ŒX is compact, then by 2.5.7 (b), X is quasi-compact, hence coherent.

Theorem 2.6.19. The functor .X; v/ 7! Spec v gives a categorical equivalence
from the category of valued locally Hausdorff spaces (with the morphisms defined
as in 2.6.11) to the category of reflexive locally strongly compact valuative spaces
with valuative locally quasi-compact maps. The quasi-inverse to this functor is
given by
X 7 ! .ŒX; v D . .v/; fvS gS 2.v/ //;
where
.v/ D fŒU W U X coherentg
and, for any ŒU 2 .v/,
vŒU D fŒV ŒU W V 2 QCOuv.U /g:
Moreover, X in .X; v/ is Hausdorff (resp. compact) if and only if Spec v is quasi-

separated (resp. coherent).
Proof. We first show that any morphism f W .X; v/ ! .X 0 ; v 0 / of valued locally
Hausdorff spaces induces a valuative locally quasi-compact map
Spec f W Spec v ! Spec v 0 :
Since we already know from 2.6.16 that .v/ (resp. .v 0 /) is the set of all ŒU ’s for
coherent open subsets U of X D Spec v (resp. X 0 D Spec v 0 ), f induces, for any
ŒU 2 .v/ and ŒU 0 2 .v 0 / with f .ŒU / ŒU 0 , a valuative quasi-compact map
Spec f jŒU W U D Spec vŒU ! U 0 D Spec vŒU

0
0
such that
ŒSpec f jŒU D f jŒU :
Hence, in view of 2.4.12, the desired map
Spec f W Spec v ! Spec v 0
is provided by
Spec f D lim Spec f jS ;
!
S 2.v/
which is valuative and locally quasi-compact. In view of 2.6.18,
.X; v/ 7 ! Spec v
provides the desired functor between the indicated categories.

Now, for a reflexive locally strongly compact valuative space X, consider the
data .ŒX; v D . .v/; fvS gS 2.v/ // as above. By 2.5.7, ŒX is a locally Hausdorff
space. Moreover, due to 2.6.8, each vŒU gives the valuation of ŒU that corresponds
to U . Hence v gives a pre-valuation of ŒX, and one can easily verify that it is a
valuation. It is clear, then, that
X 7 ! .ŒX; v D . .v/; fvS gS 2.v/ //
gives a functor. By 2.6.8 and a straightforward patching argument, this gives a

quasi-inverse functor to the above functor.
Finally, the last statement follows from 2.6.18, 2.5.9, and 2.3.18 (2).
2.7 Some generalities on topoi

In this book, a site will always mean a U-site ([8], Exposé II, (3.0.2)).9 Topos in
this book is always a Grothendieck topos; a Grothendieck topos, or more precisely,
Grothendieck U-topos is the category of U-sheaves of sets ([8], Exposé II, (2.1)) on
a site ([8], Exposé IV, (1.1)). Our general reference to topos theory is [8], Exposé IV,
and [80]. We denote by TOPOI the 2-category of topoi, that is, the 2-category in
which the objects are topoi, 1-morphisms are morphisms of topoi, and for two 1-
morphisms f; gW X ! Y the 2-morphisms are the natural transformations from f
to g (see [55], Chapter I, ÷1, for generalities on 2-categories).
2.7. (a) Spacial topoi. For a topological space X, we denote by top.X/ the asso-
ciated topos, that is, the category of U-sheaves of sets over X 10 ; we call top.X/ the
sheaf topos of X. The category Sets of sets in U (÷1.2. (b)) is a topos, as it is identi-
cal with the sheaf topos of the topological space consisting of one point (endowed
with the unique topology).
The sheaf topos construction gives rise to a 2-functor
topW Top ! TOPOI:

9
We sometimes employ such commonly-used expressions as ‘large’ sites and ‘small’ sites, which, as
usual, have nothing to do with the set-theoretic size, such as U-small.
10
Note that since we only deal with the topological spaces in U (cf. 1.2. (b)), the topos top.X / is
actually a U-topos.
A topos that belongs to the essential image of top is said to be spacial; that is, a
topos E is spacial if it is equivalent to the sheaf topos of a topological space. Note
that the canonical map X ! X sob (÷2.1. (b)) induces an equivalence of topoi

top.X/ ! top.X sob /:
Thus a spacial topos is always equivalent to the sheaf topos of a sober topological
space.
Theorem 2.7.1 ([8], Exposé IV, (4.2.3)). The 2-functor
topW STop ! TOPOI
is 2-faithful, that is, for any sober topological spaces X and Y , the functor
HomSTop .X; Y / ! HomTOPOI .top.X/; top.Y //
is an equivalence of categories, where the left-hand side is considered to be a dis-

crete category (÷1.2. (d)).
2.7. (b) Points. Let E be a topos. A point of E is a morphism of topoi
W Sets ! E
or, equivalently, a functor (so-called fiber functor)
W E ! Sets
that commutes with finite projective limits and arbitrary inductive limits. A topos E
has enough points if, for any arrow u in E, u is a monomorphism (resp. an epimor-
phism) if and only if .u/ is injective (resp. surjective) for any point .
For a U-small topos E we denote by pts.E/ and ouv.E/ the set of all isomor-
phism classes of points of E and, respectively, the set of all isomorphism classes of
subobjects of a fixed final object of E. For any U 2 ouv.E/ we set
jU j D f 2 pts.E/W .U / ¤ ;g:
Then the collection fjU jW U 2 ouv.E/g is stable under finite intersections and un-
der arbitrary unions and hence gives a topology on the set pts.E/. We denote
the resulting topological space by sp.E/. The topological space sp.E/ is sober;
if E D top.X/ for a topological space X, then
X sob Š sp.top.X//
([8], Exposé IV, (7.1.6)).

2.7. (c) Localic topoi. A spacial topos E satisfies (cf. [63], ÷5.3)
(SG) E is generated by subobjects of a fixed final object.
A (Grothendieck) topos that satisfies (SG) is said to be localic. Note that localic
topoi are not always spacial.
Theorem 2.7.2 (cf. [63], Theorem 7.25). A localic topos E is spacial if and only if
E has enough points.
Proof. Here we give a sketch of the proof of the ‘if’ part; see loc. cit. for the details.
Since E has enough points, any open set U of X D sp.E/ corresponds bijectively
to an element UE of ouv.E/. For any object u of E, U 7! HomE .UE ; u/ gives
a sheaf on X. The construction gives a functor E ! top.X/. Since UE ’s for any
open U X generate E, it follows that the functor gives a categorical equivalence.

Let us finally remark that the notion of localic topoi is closely related with the
theory of locales; cf. [64], Chapter II.
2.7. (d) Coherent topoi. In this subsection all topoi are considered with the canon-
ical topology ([8], Exposé II, (2.5)), whenever considered as a site.
Definition 2.7.3. (1) An object X of a site (or a topos; cf. [9], Exposé VI, (1.2)) is
said to be quasi-compact if any covering family fXi ! Xgi 2I has a finite covering
subfamily.
(2) An object X of a topos E is said to be quasi-separated if, for any arrows
S ! X and T ! X in E with S and T quasi-compact, the fiber product S X T
is quasi-compact.
(3) An object X of a topos E is said to be coherent if it is quasi-compact and
quasi-separated.
Definition 2.7.4. Let E be a topos.

(1) An arrow f W X ! Y in E is quasi-compact if, for any arrow Y 0 ! Y in E
with Y 0 quasi-compact, the fiber product X Y Y 0 is quasi-compact.
(2) An arrow f W X ! Y in E is quasi-separated if the diagonal arrow X !
X Y X is quasi-compact.
(3) An arrow f W X ! Y in E is coherent if it is quasi-compact and quasi-
separated.
We next define basic notions for topoi based on finiteness conditions for objects
and morphisms listed above.
Definition 2.7.5. A topos E is quasi-separated (resp. coherent) if it satisfies the

following conditions:
(a) there exists a generating full subcategory consisting of coherent objects;
(b) every object X of E is quasi-separated over the final object, that is, the
diagonal morphism X ! X X is quasi-compact;
(c) the final object of E is quasi-separated (resp. coherent).
Let E be a topos, and consider the conditions: E admits a generating full sub-
category C consisting of quasi-compact objects such that C is
(a) stable under fiber products,

(b) stable under fiber products and by products of two objects, and
(c) stable under any finite projective limits.
Then
(b) () E is quasi-separated;
(c) () E is coherent.
Definition 2.7.6. We say that the topos E is locally coherent if it admits a generat-
ing full subcategory C consisting of quasi-compact objects satisfying (a).
Note that, in this situation, any object of C is coherent ([9], Exposé VI, (2.1)).
Definition 2.7.7. Let f W E 0 ! E be a morphism of topoi. We say that f is quasi-

compact (resp. quasi-separated) if, for any quasi-compact (resp. quasi-separated)
object X of E, f .X/ is quasi-compact (resp. quasi-separated). If f is quasi-
compact and quasi-separated, we say that f is coherent.
Proposition 2.7.8. Let X be a topological space that admits an open basis con-
sisting of quasi-compact open subsets, and consider the associated topos top.X/.
Then top.X/ is quasi-separated (resp. locally coherent, resp. coherent) if and only
if X is quasi-separated (resp. locally coherent, resp. coherent).
We state an important result by Deligne.
Theorem 2.7.9 ([9], Exposé VI, (9.0)). A locally coherent topos E has enough
points.
By 2.7.2 and 2.7.9, we have the following corollary.
Corollary 2.7.10. Any coherent localic topos is spacial.

2.7. (e) Fibered topoi and projective limits

Definition 2.7.11 ([9], Exposé VI, (7.1.1)). Let I be a category. A fibered category
(considered with a cleavage)
pW E ! I
over I is said to be a fibered topos or an I -topos if every fiber Fi .i 2 obj.I //
is a topos and for any arrow f W i ! j of I there exists a morphism of topoi
Ef W Ei ! Ej such that the pull-back morphism f W Ej ! Ei by f coincides
with Ef .
Hence, by the cleavage construction of fibered categories ([52], Exposé VI, ÷8),
giving a fibered topos is equivalent to giving a functor
E W I ! TOPOI:
We denote by TOPOI=I the 2-category of I -topoi.

Recall that for a fibered category pW E ! I a morphism 'W x ! y over a map
f W i ! j is said to be Cartesian if, for any object z with p.z/ D i , the canonical
map
Homi .z; x/ ! Homf .z; y/; ˛ 7 ! ' ı ˛;
is a bijection, where the left-hand set consists of arrows z ! x over idi , and the
right-hand set consists of arrows z ! y over f . An I -functor E ! F of fibered
categories over I is said to be Cartesian if it maps Cartesian arrows to Cartesian
arrows. The category of Cartesian functors from E to F is denoted by
Cart=I .E; F /:
Definition 2.7.12 ([9] Exposé VI, (8.1.1)). Let pW E ! I be a fibered topos. A cou-
ple .F; m/ consisting of a topos F and a Cartesian morphism mW F I ! E of
topoi over I a projective limit of the fibered topos F if for any topos D the functor
HomTOPOI .D; F / ! CartTOPOI=I .D I; E/
obtained by the composition of HomTOPOI .D; F / ! HomTOPOI=I .D I; F I /

followed by m is an equivalence of categories.
The projective limit is determined up to natural equivalences. We denote it by
Lim E D Lim I E:
In case I is cofiltered and is essentially small (cf. ÷1.3. (c)), we have the follow-
ing more down-to-earth description of the projective limit. Let pW E ! I be an
I -topos, and S the set of all Cartesian arrows in E. We denote by Lim I opp E the
!
category obtained from E by inverting all arrows in S (see [9], Exposé VI, (6.2),
for details of the construction). We endow Lim I opp E with the weakest topology so
!
that the canonical functor Ei ! Lim I opp E for each i 2 obj.I / is continuous. Then
!
Lim I opp E becomes a site, and we have the natural equivalence
!
Lim I E Š .Lim I opp E/

!
([9], Exposé VI, (8.2.3)).

What we have described here can be further boiled down to the following de-
scription, which starts from a simple observation. Assuming Lim I E exists as a
topos, there is, for each i 2 obj.I /, a projection pi W Lim I E ! Ei of topoi. Then,
for any object F of Lim I E, Fi D pi F satisfies .Ef / Fi D Fj for any arrow
f W i ! j of I . Thus it is natural to define Lim I E to be the category whose ob-
jects are collections fFi gi 2obj.I / of objects Fi of Ei that satisfy the compatibility
conditions .Ef / Fi D Fj for any f W i ! j . The verification of the equivalence
with the above construction is left to the reader.
Theorem 2.7.13 ([9], Exposé VI, (8.3.13)). Let pW E ! I be an I -topos, where I

is cofiltered and essentially small. Suppose that
each fiber Ei .i 2 obj.I // is a coherent topos (2.7.5) and

for any f W i ! j the morphism Ef W Ei ! Ej of topoi is coherent (2.7.7).
Then the projective limit Lim I E is a coherent topos, and for each i 2 obj.I / the
canonical projection Lim I E ! Ei is coherent. Moreover, if we denote by Ecoh
the full subcategory of E consisting of objects that are coherent in their fibers, then
Ecoh is a fibered category over I , and Lim I opp Ecoh (defined similarly as above) is
!
canonically equivalent to the category .Lim I E/coh , the full subcategory of Lim I E
consisting of coherent objects.
2.7. (f) Projective limit of spacial topoi. Let I be a cofiltered and essentially
small category, and consider a functor X W I ! STop, which we denote by i 7! Xi .
Then one can consider the projective limit X1 D lim Xi in the category STop
I
(in fact, it is easy to see that the projective limit of sober spaces taken in the category
Top is sober). We are interested in comparing the topos top.X1 / and the topos-
theoretic projective limit Lim I top.Xi /; note that the functor X yields the I -topos
top.X / ! I with the fiber over i being top.Xi /. Note that these two topoi may
not be equivalent in general, for Lim I top.Xi / may not be spacial in general.
Let us first discuss the topos theoretic limit.

Theorem 2.7.14. Let I be a cofiltered and essentially small category, and consider
a functor X W I ! STop.
(1) The topos Lim I top.Xi / is localic.
(2) The topological space sp.Lim I top.Xi // is homeomorphic to
X1 D lim Xi :
I
Proof. Set E D Lim I top.Xi /.

(1) By the definition of the Grothendieck topology of E, E is generated by
all pi .Ui / for all i 2 obj.I / and subobjects Ui of a final object of top.Xi /, where
pi W E ! top.Xi / is the canonical projection. Thus E is localic.
(2) Consider the canonical map
F W sp.E/ ! lim sp.top.Xi //;
i 2obj.I /
where each sp.top.Xi // is, since Xi is sober, identified with Xi and the right-hand
side is endowed with the projective limit topology. We claim that F is bijective.
Indeed, since each category of the points of top.Xi / is discrete, any elements in the
right-hand side lifts to a projective system of points of topoi top.Xi /, and hence to
a point of E. Thus F is surjective, and the injectivity is shown in a similar way.
With the same notations as above, subobjects of the form pi .Ui / of the final object
of E generate the topology of sp.E/, and so the map F gives a homeomorphism
with respect to this topology.
Remark 2.7.15. Note that the above proof of (1) shows that the projective limit of
localic topoi is again localic.
Corollary 2.7.16. For a projective system of sober spaces X W I ! STop, the limit
Lim I top.Xi / is spacial if and only if it has enough points. If it is spacial, the limit
is equivalent to top.lim I Xi /.
An important case is the following one. Suppose, in addiction, that
each Xi is coherent and sober, and each transition map Xi ! Xj is quasi-
compact.
Then, by 2.7.13, Lim I top.Xi / is coherent; applying 2.7.10, 2.7.13, and 2.7.16, we
conclude that Lim I top.Xi / is canonically equivalent to top.lim I Xi /, and lim I Xi
is coherent. Thus we have given a topos-theoretic proof of the first half of the
following statement, which recasts 2.2.10.
Corollary 2.7.17. Let fXi gi 2I be a projective system of topological spaces indexed

by a directed set such that each Xi is coherent and sober and each transition map
Xi ! Xj is quasi-compact. Set
X1 D lim Xi :
i 2I
Then X1 is coherent and sober. If, moreover, each Xi is non-empty, then X1 is

non-empty.
Proof. The first assertion has been already shown above. For the second, we
use 3.1.10 shown later independently:
.X; Z/ D lim .Xi ; Z/:
!
I
Note that, if each Xi is non-empty, then the inductive limit is clearly non-zero,
whence the non-emptiness of X follows.
Remark 2.7.18. There is the ‘ringed’ version of the above argument, that is, we
have the notion of ringed I -topoi and their projective limits as a ringed topos. The
argument is quite similar to as above. For the details, see [9], Exposé VI, (8.6).
2.7. (g) Quasi-compact topoi and projective limits. Finally, let us include a few
facts on quasi-compact topoi and their projective limits.
Definition 2.7.19. A topos E is said to be quasi-compact if it admits a quasi-
compact final object.
Remark 2.7.20. In the literature (e.g., [65]), quasi-compact topoi are called com-
pact topoi. In this book, however, we prefer to use the terminology quasi-compact,
which is consistent with the standard usage in algebraic geometry.
Consider the 2-category LocTOPOI of localic topoi (÷2.7. (c)) and the inclusion
functor LocTOPOI ,! TOPOI. By collecting objects generated by subobjects of
a fixed final objects for each topos E, we have a right 2-adjoint functor E 7! E loc
from TOPOI to LocTOPOI. This implies that the process of forming projective
limits in TOPOI and LocTOPOI are compatible, and that, in particular, projective
limits of localic topoi are again localic. Note that a topos E is quasi-compact if and
only if so is E loc .
Theorem 2.7.21. Let pW E ! I be an I -topos, where I is cofiltered and essentially
small. Suppose that each fiber Ei .i 2 obj.I // is a quasi-compact topos.
(1) The projective limit Lim I E is a quasi-compact topos.
(2) If each Ei is non-empty, Lim I E is non-empty.
Proof. If each Ei for i 2 obj.I / is localic, then the claim is proven in [102], Theo-
rem 2.3 and Corollary 2.4. The general case, by what we have remarked above, can
be reduced to this case.
It follows from the adjunction between the functors topW STop ! LocTOPOI
and spW LocTOPOI ! STop that sp preserves projective limits. Hence, as a corol-
lary of the theorem and the following easy lemma, we obtain a topos-theoretic proof
of 2.2.20.
Lemma 2.7.22. Let E be a quasi-compact localic topos.

(1) If E is non-empty, then sp.E/ is non-empty.
(2) The topological space sp.E/ is quasi-compact.
Exercises
Exercise 0.2.1. Let X be an infinite set, and topologize it in such a way that a
subset Y X is closed if and only if either it is X itself, or is a finite subset. Show
that the topological space X is T1 , but is not sober.
Exercise 0.2.2. Show that a topological space X is quasi-separated if and only if
the diagonal mapping W X ! X X is quasi-compact.
Exercise 0.2.3. Let fXi ; pij gi 2I be a projective system of topological spaces in-
dexed by a directed set I . We assume that
(a) each Xi is the underlying topological space of a coherent (D quasi-compact

and quasi-separated) scheme and
(b) each transition map pij W Xj ! Xi for i j is the underlying continuous
mapping of an affine morphism of schemes.
Show that the projective limit X D lim Xi (taken in Top) is a coherent sober
i 2I
topological space.
Exercise 0.2.4. Let A be a distributive lattice.
W
(1) A covering of ˛ 2 A is a finite subset C of A such that ˇ 2C ˇ D ˛. Show
that A with this notion of coverings is a site. The associated topos is denoted
by Spec A.
(2) Show that the topos Spec A is coherent.
(3) Show that the topos associated to Spec A is canonically equivalent to Spec A.
Exercise 0.2.5. Show that any coherent sober space is homeomorphic to a projec-
tive limit of finite sober spaces.
Exercise 0.2.6. (1) Let A be a Boolean distributive lattice. Show that Spec A is a
profinite set and is homeomorphic to the spectrum of A regarded as a commutative
ring.
(2) Show that A 7! Spec A gives a categorical equivalence between the cat-
egory of Boolean distributive lattices and the opposite category of totally discon-
nected Hausdorff spaces.
Exercise 0.2.7. Let X be a coherent sober space.
(1) Let fxi gi 2I be a system of points of X indexed by a directed set I such that,
if i j , xj is a generization of xi . Show that there exists a point x 2 X that
is a generization of all xi ’s.
(2) Show that for any x 2 X the set Gx of all generizations of x contains a
maximal element.
Exercise 0.2.8. Let fXi ; pij gi 2I be a filtered projective system of coherent sober
topological spaces and quasi-compact maps, indexed by a directed set I , X D
lim Xi , and i 2 I an index. Let U1 ; : : : ; Un be a finite collection of quasi-
i 2I S
compact open subsets of Xi such that X D nkD1 pi 1 .Uk /, where pi W X ! Xi
is the projection map. Show that there exists j 2 I with i j such that Xj D
S n 1
kD1 pij .Uk /.
Exercise 0.2.9. Let fXi ; pij gi 2I be a projective system of coherent sober spaces
with quasi-compact surjective transition maps indexed by a directed set I . Show
that X D lim Xi is connected if and only if Xi is connected for all i 2 I .
i 2I
Exercise 0.2.10. Show that for any valuative space X the separated quotient ŒX is
a T1 -space.
Exercise 0.2.11. Let X be a locally strongly compact valuative space.
(1) Show that any overconvergent open subset U X is locally strongly com-
pact.
(2) Show that for any quasi-compact open immersion U ,! X and any locally
strongly compact open subset V X, U \ V is locally strongly compact. In
particular, an open subset U X is locally strongly compact if the inclusion
U ,! X is quasi-compact.
Exercise 0.2.12. (1) Let X be a locally compact (hence locally Hausdorff) space,
Y a locally Hausdorff space, and f W X ! Y a continuous injective map. Show that
f induces a homeomorphism onto its image endowed with the subspace topology
induced from the topology of Y .
(2) Suppose, moreover, that Y is locally compact. Show that f .X/ is locally
closed in Y .
(3) Let X be a locally strongly compact valuative space, and U X a locally
strongly compact open subset. The injective map ŒU ! ŒX maps ŒU homeomor-
phically onto a locally closed subspace of ŒX.
Exercise 0.2.13 (structure theorem). Let X be a locally strongly compact valuative
space, and U X a locally strongly compact open subset.
(1) The inclusion map j W U ! X is quasi-compact if and only if

Œj W ŒU , ! ŒX
is a closed immersion.
(2) There exists an overconvergent open subset Z X containing U such that

the inclusion map U ,! Z is quasi-compact.
Exercise 0.2.14. Show that any finite intersection of locally strongly compact open
subsets of a locally strongly compact valuative space is again locally strongly com-
pact.
Exercise 0.2.15. Let X be a locally strongly compact valuative space such that ŒX
is Hausdorff. Show that X is quasi-separated. In particular, X is coherent if and
only if ŒX is compact.
Exercise 0.2.16. Show that a distributive sublattice v of 2S for a compact space S
gives a valuation of S if and only if the following conditions are satisfied:
(a) ;; S 2 v and all element of v are compact;
(b) for any x 2 S the family fT 2 vW x 2 T ı g forms a fundamental system of
neighborhoods of x;
(c) for any prime filter (cf. ÷2.2. (b)) F v, there exists a unique maximal
prime filter containing F ;
T
for two distinct maximal prime filters F; F 0 v, we have T 2F T ¤
(d) T
T 2F 0 T ;
(e) for any prime filter F v and a maximal filter F e containing F , the set
z
of all prime filters between F and F is totally ordered with respect to the
inclusion order.
3. Homological algebra 67
Exercise 0.2.17. Let v D . .v/; fvS gS 2.v/ / be a pre-valuation

Tn of a locally Haus-
Tn space X, and S1 ; : : : ; Sn 2 .v/. Show that if i D1 Si is Hausdorff, then
dorff
i D1 Si 2 .v/.
Exercise 0.2.18. Let X be a locally Hausdorff space, v D . .v/; fvS gS 2.v/ / a

pre-valuation of X.
T collection S1 ; : : : ; Sn 2 .v/, the restriction of v to

(1) Show that for any finite
the intersection C D niD1 Si exists.
Sn
(2) Show that, for any finitely many S1 ; : : : ; Sn 2 .v/, the union C D i D1 Si
is locally compact, and the restriction of v to C exists.
(3) Suppose v is saturated. Show that, for any open subset U X, the restriction
of v to U exists.
3 Homological algebra
In this section, we discuss two topics on homological algebra. The first topic
concerns inductive and projective limits of sheaves and their cohomologies (÷3.1
and ÷3.2). Given a projective system of topological spaces and an inductive sys-
tem of sheaves on them, one has the inductive limit sheaf on the projective limit
space. In this situation, we will give a general recipe to calculate the cohomologies
of the inductive limit sheaf (÷3.1. (d) and ÷3.1. (g)). This subsection also discusses
Noetherness of inductive limit rings (÷3.1. (b)). As for projective limit sheaves, we
discuss the so-called Mittag–Leffler condition and some of its consequences.
The second topic, discussed in ÷3.3, concerns coherent rings and modules. Here,
a ring A is said to be coherent if every finitely generated ideal is finitely presented,
or equivalently, the full subcategory of the category of A-modules consisting of
finitely presented modules is an abelian subcategory (3.3.3).
Convention. Throughout this book, whenever we say A is a ring, we always mean
that A is a commutative ring with multiplicative unit 1 D 1A , unless otherwise
clearly stated; we also assume that any ring homomorphism f W A ! B is unitary,
that is, maps 1 to 1. Here are other conventions:
for a ring A we denote by Frac.A/ the total ring of fractions of A;

for a ring A the Krull dimension of A is denoted by dim.A/;
when A is a local ring, we denote by mA the unique maximal ideal of A;
a ring homomorphism f W A ! B between local rings is said to be local if
f .mA / mB .
3.1 Inductive limits

3.1. (a) Preliminaries. First, we collect basic known facts on inductive limits of
rings and modules, which we quote, without proofs, mainly from [28].
Proposition 3.1.1 ([28], Chapter I, ÷10.3, Proposition 3). Let fAi ; ij gi 2I be an
inductive system of rings indexed by a directed set I , and set A D lim Ai .
!i 2I
(1) If Ai ¤ 0 for each i 2 I , then A ¤ 0.
(2) If each Ai is an integral domain, then so is A.
(3) If each Ai is a field, then so is A.

Note that (1) is a direct consequence of our convention: since each transition
map ij maps 1Ai to 1Aj , we immediately conclude that the inductive limit A has
the element 1A not equal to 0. Note also that (1) is the basis for the following well-
known fact (somewhat similar to 2.2.10): if fXi ; fij gi 2I is a projective system
of non-empty affine schemes indexed by a directed set, then the projective limit
X D lim Xi in the category of schemes exists and is affine and non-empty
i 2I
(cf. Exercise 0.2.3).
Proposition 3.1.2 ([27], Chapter II, ÷3, Exercise 16). Let fAi ; ij gi 2I be an induc-
tive system of local rings and local homomorphisms indexed by a directed set I .
(1) The inductive limit A D lim Ai is a local ring with the maximal ideal
!i 2I
mA D lim mAi .
! i 2I
(2) Let ki D Ai =mAi be the residue field of Ai , i 2 I . Then k D lim ki is the

!i 2I
residue field of A.
(3) If, moreover, mAj D mAi Aj for j i , then mA D mAi A for any i 2 I .
Let A D fAi ; ij gi 2I be an inductive system of rings. By an inductive system

of A-modules we mean an inductive system M D fMi ; fij gi 2I such that each Mi
is an Ai -module and that each fij W Mi ! Mj is compatible with ij W Ai ! Aj ,
that is, for x 2 Mi and a 2 Ai we have fij .ax/ D ij .a/fij .x/. For another
inductive system M 0 of A-modules, we can define the notion of homomorphism
M ! M 0 in an obvious manner.
Proposition 3.1.3 ([28], Chapter II, ÷6.2, Proposition 3). Let M D fMi ; fij gi 2I ,
M 0 D fMi0 ; fij0 gi 2I , and M 00 D fMi00 ; fij00 gi 2I be filtered inductive systems of
A-modules indexed by a directed set I . Consider an exact sequence
M 0 ! M ! M 00
(that is, Mi0 ! Mi ! Mi00 is exact for every i /. Then the induced sequence
lim Mi0 ! lim Mi ! lim Mi00

! ! !
i 2I i 2I i 2I
is exact.
The following proposition is a consequence of the fact that the inductive limit
functor has a right adjoint (cf. ÷1.3. (a)).
Proposition 3.1.4 (cf. [28], Chapter II, ÷6.4, Proposition 7). Let M D fMi ; fij gi 2I ,
M 0 D fMi0 ; fij0 gi 2I , and M 00 D fMi00 ; fij00 gi 2I be inductive systems of A-modules,
and suppose we are given homomorphisms
M0 M ! M 00
of A-modules. Then the canonical map
lim Mi0 ˝Mi Mi00 ! .lim Mi0 / ˝ lim Mi .lim Mi00 /

! ! ! !
i 2I i 2I i 2I i 2I
is an isomorphism.
3.1. (b) Inductive limits and Noetherness. Let us include here a useful tech-
nique, invented by M. Nagata (cf. [84], (43.10)), to show that an inductive limit
ring in a certain situation is Noetherian.
Proposition 3.1.5. Let fR˛ g˛2L be a filtered inductive system of rings, and R D
lim R . Suppose that the following conditions are satisfied:
!˛2L ˛
(a) R˛ is a Noetherian local ring for any ˛ 2 L;
(b) for any ˛ ˇ the transition map R˛ ! Rˇ is local and flat;
(c) for any ˛ ˇ we have m˛ Rˇ D mˇ (where m˛ denotes the maximal ideal
of R˛ /.
Then R is Noetherian.
Proof. By (c), the maximal ideal m of R coincides with m˛ R for any ˛ 2 L; in

particular, m is a finitely generated ideal of R. Hence the m-adic completion R y of R
exists (cf. 7.2.16 below); moreover, since mR y is finitely generated, R y is Noetherian
kC1 kC1
(cf. [81], (29.4)). Since R˛ =m˛ ! R=m is faithfully flat for any ˛ 2 L
and k 0, by the local criterion of flatness (cf. ÷8.3. (b) below), we deduce that
Ry˛ ! R y is faithfully flat for any ˛ 2 L.
Now to prove the proposition it suffices to show that any increasing sequence
J0 J1 J2
of finitely generated ideals of R is stationary. Since R y is Noetherian, the induced
sequence
J0 Ry J1 R y J2 R
y
is stationary, that is, there exists N 0 such that Jn R y D Jm Ry whenever n; m N .
We want to show the equality Jn D Jm for n; m N . It suffices to establish the
following fact: if J; J 0 are finitely generated ideals of R such that J J 0 and
JR y D J 0 R,
y then J D J 0 . Take ˛ 2 L sufficiently large so that we have ideals
J˛ ; J˛ R˛ with J˛ R D J and J˛0 R D J 0 . Since J˛ R
0 y D JR y D J 0R y D J˛0 R,
y we
have J˛ D Jˇ (since R y is faithfully flat over R˛ ), and thus J D J 0 , as desired.
Corollary 3.1.6. Let fR˛ g˛2L be a filtered inductive system of rings, and R D
lim R . Suppose that the following conditions are satisfied:
!˛2L ˛
(a) R˛ is a Noetherian local ring for any ˛ 2 L;
(b) for any ˛ ˇ the transition map R˛ ! Rˇ is local and formally smooth
(that is, Rˇ is mRˇ -smooth over R˛ , in the terminology of [81], ÷28);
(c) the set of integers fdim.R˛ /g˛2L is bounded.
Then R is Noetherian.
Proof. Replacing fR˛ g˛2L by a cofinal subsystem if necessary, we may assume
that the numbers dim.R˛ / are all equal. Then for any ˛ ˇ the closed fiber of
Spec Rˇ ! Spec R˛ is of dimension 0. Since Spec Rˇ ! Spec R˛ is formally
smooth, it is flat [54], IV, (19.7.1), and hence we deduce that Rˇ =m˛ Rˇ are fields,
that is, m˛ Rˇ D mˇ . Now the assertion follows from 3.1.5.
3.1. (c) Inductive limit of sheaves. Let X be a topological space, and consider
a filtered inductive system fFi ; ij gi 2I of sheaves (of sets, abelian groups, rings,
etc.) on X indexed by a directed set I . The inductive limit sheaf lim Fi in the
!i 2I
category of sheaves (of sets, abelian groups, rings, etc.) is described as follows (cf.
e.g., [47], II, 1.11). Define a presheaf F by
F .U / D lim Fi .U /
!
i 2I
for any open subset U X; then the desired sheaf is the sheafification of the
presheaf F . By construction,
lim Fi;x D .lim Fi /x
! !
i 2I i 2I
for any point x 2 X. From this and 3.1.2 (1) we deduce the following proposition.
Proposition 3.1.7. Let X be a topological space, and fFi ; ij gi 2I a filtered induc-
tive system consisting of sheafs of local rings (that is, every stalk Fi;x is a local
ring) and local homomorphisms (that is, ij;x is a local homomorphism). Then the
inductive limit F D lim Fi is a sheaf of local rings.
!i 2I
Proposition 3.1.8. Let X be a topological space, and fFi ; 'ij gi 2I a filtered induc-
tive system of sheaves on X indexed by a directed set I . Consider the canonical
map
ˆW lim .X; Fi / ! .X; lim Fi /:
! !
i 2I i 2I
(1) If X is quasi-compact (2.1.4 (1)), then ˆ is injective.
(2) If X is coherent (2.2.1), then ˆ is bijective.
This proposition can be seen as a special case of a topos-theoretic result [9],
Exposé VI, Théorème 1.23. We give here a proof for the reader’s convenience. The
ringed space version will be given in 4.1.6.
Proof. Set F D lim Fi .
!i 2I
(1) Let fsi gi 2I and fti gi 2I be inductive systems of sections si ; ti 2 Fi .X/
whose images under ˆ in F .X/ coincide. (Here, if necessary, we replace I by a
cofinal subset.) We need to show that sk and tk coincide for k sufficiently large.
Since Fx D lim Fi;x for any x 2 X, there exists j (depending on x) such
!i 2I
that sk;x D tk;x for any k j . There exists an open neighborhood U of x such
jU D tj jU . Since X is quasi-compact, there exist a finite open covering
that sj S
X D n˛D1 U˛ and indices j˛ such that sk and tk coincide on U˛ for k j˛ .
Taking j to be the maximum of fj1 ; : : : ; jn g, we deduce that sk and tk coincide
over X for k j , as desired.
(2) We only need to show that ˆ is surjective. Take s 2 F .X/. The germ
sx at x 2 X can be written as an inductive system fsx;i gi 2I in fFi;x gi 2I . (Here,
again, we replace I by a cofinal subset if necessary.) Take an index i 2 I and
a section ti 2 Fi .U / over a quasi-compact open neighborhood U of x such that
sx;i D ti;x . Then for any j i one sets tj D 'ij .U /.ti / so that one gets an
inductive system ftj gj i in fFj .U /gj i . Replacing U by a smaller quasi-compact
open neighborhood if necessary, we may assume that the system ftj gj i is mapped
by ˆ.U / to sjU .
Sn Thus, replacing I by a cofinal subset, we get a finite open covering X D
˛D1 U˛ consisting of quasi-compact open subsets, and for each ˛ an inductive
system ft˛;i gi 2I sitting in fFi .U˛ /gi 2I that is mapped by ˆ.U˛ / to sjU˛ . Since
X is coherent, each U˛ˇ D U˛ \ Uˇ is quasi-compact, and hence by (1) there
exists j˛ˇ 2 I such that t˛;k and tˇ ;k coincide over U˛ˇ for k j˛ˇ . Taking j
to be the maximum of all j˛ˇ , the local sections t˛;k glue together to a section tk
on X for each k j . Then the inductive system ftk gkj thus obtained is mapped
by ˆ to s.
Corollary 3.1.9. Let f W X ! Y be a continuous mapping between topological

spaces. Suppose that the following conditions are satisfied:
(a) X is quasi-separated (2.1.8) and has an open basis consisting of quasi-

compact open subsets;
(b) Y has an open basis consisting of quasi-compact open subsets;
(c) f is quasi-compact (2.1.4 (2)).
Then for any filtered inductive system fFi ; 'ij gi 2I of sheaves on X indexed by a
directed set I , the canonical morphism
ˆW lim f Fi ! f .lim Fi /
! !
i 2I i 2I
is an isomorphism.
In other words, the direct image functor f commutes with arbitrary small fil-
tered inductive limits.
Proof. The sheaf lim f Fi is the sheafification of
!i 2I
1
V 7 ! lim .f .V /; Fi /I
!
i 2I
here, by the assumption, it is enough to consider only quasi-compact V ’s. Since

f is quasi-compact, and since X is quasi-separated, f 1 .V / is coherent (2.1.1).
Hence we may apply 3.1.8 (2) to deduce that the map
1 1
lim .f .V /; Fi / ! .f .V /; lim Fi /
! !
i 2I i 2I
is bijective. This means, in particular, that the map ˆ is stalkwise bijective, since
taking stalks commutes with the inductive limit lim , and hence that ˆ is an
!i 2I
isomorphism.
3.1. (d) Sheaves on limit spaces. Here we consider

a filtered projective system of topological spaces fXi ; pij W Xj ! Xi gi 2I
indexed by a directed set I
such that
(a) for any i 2 I the topological space Xi is coherent (2.2.1) and sober
(÷2.1. (b)) and
(b) for any i j the transition map pij W Xj ! Xi is quasi-compact (2.1.4 (2)).
Note that by 2.2.10 (1) the limit space X D lim Xi is coherent and sober, and
i 2I
that the canonical projection maps pi W X ! Xi for i 2 I are quasi-compact. Sup-
pose, moreover, that we are given the following data:
for each i 2 I a sheaf Fi (of sets, abelian groups, etc.) on Xi ;

for each pair .i; j / of indices in I with i j , a morphism
'ij W pij 1 Fi ! Fj
of sheaves such that 'i k D 'j k ı pj k1 'ij whenever i j k.
Then one has the inductive system fpi 1 Fi gi 2I of sheaves on X indexed by I , and
thus the sheaf
F D lim pi 1 Fi
!
i 2I
on X.
Proposition 3.1.10. The canonical map
lim .Xi ; Fi / ! .X; F /

!
i 2I
is an isomorphism.
Proof. We already know by 3.1.8 that .X; F / Š lim .X; pi 1 Fi /. We want
!i 2I
to show that the map lim .Xi ; Fi / ! lim .X; pi 1 Fi / is bijective.
!i 2I !i 2I
Step 1. We first claim that the canonical map
lim .Xi ; Fi / ! lim lim .U; Fi /;

! ! !
i 2I i 2I U
where U in the right-hand side runs through the open subsets of Xi such that
pi .X/ U , is an isomorphism. By Exercise 0.1.1, the double inductive limit in
the right-hand side is canonically isomorphic to the inductive limit taken over the
directed set
ƒ D f.i; U /W i 2 I; pi .X/ U Xi g;
where .i; U / .j; V / if and only if i j and pij 1 .U / V . Hence the desired
result follows if one shows that the subset of ƒ consisting of elements of the form
.i; Xi / is cofinal.
To see this, take any .i; U / 2 ƒ. Since pi .X/ is quasi-compact and Xi is
coherent, we may assume that U is quasi-compact. The condition pi .X/ U is
equivalent to pi 1 .U / D X. Then by 2.2.12 there exists j 2 I with i j such
that pij 1 .U / D Xj . Hence, .i; U / .j; Xj /, as desired.
Step 2. Take fsi gi 2I 2 lim .X; pi 1 Fi /. By 2.2.9, there exist a finite open
S !i 2I
covering X D ˛2L U˛ by quasi-compact open subsets and an index i 2 I such
that
each U˛ is of the form U˛ D p˛ 1 .U˛i / for a quasi-compact open subset
U˛i of Xi and
for each ˛, si jU˛ lies in lim .V; Fi /, where V runs through all open
!V
subsets of Xi containing pi .U˛ /.
Then fsj jU˛ gj i defines a section in lim lim .V; Fj /, where U runs
!j i !V
through all open subsets of U˛j D pij 1 .U˛i / containing pj .U˛ /. By Step 1, this de-
fines a unique section in lim .U˛j ; Fj /. Since the spaces of the form U˛j \Uˇj
!j i
(˛; ˇ 2 L, j i ) are all coherent, these sections glue together to a unique section
in lim .Xi ; Fi /, as desired.
!i 2I
Corollary 3.1.11. Let fXi ; pij gi 2I and pi W X ! Xi for i 2 I be as above, and
Z a topological space. Suppose we are given a system of continuous mappings
fgi W Xi ! Zgi 2I such that gj D gi ı pij whenever i j . Then for any sheaf G
on Z the canonical map
lim .Xi ; gi 1 G / ! .X; g 1
G /;
!
i 2I
where g D lim gi , is an isomorphism.

i 2I
Proof. Apply 3.1.10 to the situation where Fi D gi 1 G for i 2 I .
Corollary 3.1.12. Let fXi ; pij gi 2I and pi W X ! Xi for i 2 I be as above, and F
be a sheaf on X. Then the canonical morphism
lim pi 1 pi F !F
!
i 2I
is an isomorphism.
Proof. By a similar reasoning as in the proof of 3.1.9, it suffices to show that the
morphism in question induces an isomorphism between the sets of sections over
each quasi-compact open subset U X. By 2.2.9, there exist an index i0 2 I
and quasi-compact open subset U0 of Xi0 such that pi01 .U0 / D U . Since each
pi i01 .U0 / with i i0 is a coherent sober space, and since U D lim p 1 .U0 /,
i i0 i i0
we may assume, without loss of generality, that U D X. (Here we replace the
index set I by the cofinal subset fi 2 I W i i0 g.) Then we have
.X; lim pi 1 pi F / Š lim .Xi ; pi F / D lim .X; F / D .X; F /;
! ! !
i 2I i 2I i 2I
where the first isomorphism is due to 3.1.10.

Next, in addition to the data fixed in the beginning of this subsection, we con-
sider the following data:
another filtered projective system of topological spaces fYi ; qij gi 2I , indexed

by the same directed set I , that satisfies the conditions similar to (a) and (b)
in the beginning of this subsection;
a map ffi gi 2I of projective systems from fXi ; pij gi 2I to fYi ; qij gi 2I , that
is, a collection of continuous maps fi W Xi ! Yi such that qij ıfj D fi ıpij
for any i j .
We set Y D lim Yi and denote the canonical projection by qi W Y ! Yi for each

i 2I
i 2 I . Moreover, we have the continuous map
f D lim fi W X ! Y:
i 2I
We assume that
(c) for any i 2 I the map fi is quasi-compact.
Note that f is quasi-compact thanks to 2.2.13 (1).
Corollary 3.1.13. The canonical morphism of sheaves
lim qi 1 fi Fi ! f F
!
i 2I
is an isomorphism.
Proof. By a similar reasoning as in the proof of 3.1.9, we may restrict ourselves to

showing that the map
lim .V; qi 1 fi Fi / ! .f 1

.V /; F /
!
i 2I
is an isomorphism for any quasi-compact open subset V of Y . Similarly to the

proof of 3.1.12, we may assume, without loss of generality, that V D Y . In this
situation, one can replace the left-hand side by the double inductive limit
1
lim lim .fi .U /; Fi /;
! !
i 2I U
where U runs through the open subsets of Yi containing qi .Y /. By an argument

similar to that in the proof of 3.1.10, one sees that this limit is isomorphic to
lim .Xi ; Fi /. Then the desired result follows from 3.1.10.
!i 2I
Corollary 3.1.14. Let fXi ; pij gi 2I and pi W X ! Xi for i 2 I be as above, and

let Z be a coherent sober space. Suppose we are given a system of quasi-compact
maps fgi W Xi ! Zgi 2I such that gj D gi ı pij whenever i j . Then for any
sheaf G on Z the canonical morphism
lim gi gi 1 G ! g g 1
G;
!
i 2I
where g D lim gi , is an isomorphism.

i 2I
Proof. Apply 3.1.13 to the case when fYi ; qij gi 2I is the constant system (Yi D Z)
and Fi D gi 1 G .
Corollary 3.1.15. Let fXi ; pij gi 2I , fYi ; qij gi 2I , and ffi gi 2I be as above, and F
a sheaf on X. Then the canonical morphism
lim qi 1 fi pi F ! f F
!
i 2I
is an isomorphism.
Proof. By 3.1.12, lim qi 1 fi pi F D lim qi 1 qi f F Š f F .

!i 2I !i 2I
3.1. (e) Canonical flasque resolution. Let us recall the canonical flasque reso-
lution for abelian sheaves; we only recall its basic properties, and refer to [47],
II.4.3, for the construction. Let X be a topological space. We denote by AShX the
abelian category of sheaves of abelian groups on X and by CC .AShX / the abelian
category of complexes bounded below consisting of objects and arrows in AShX
(cf. ÷C.2. (a)). The canonical flasque resolution is a functor
C .X; /W AShX ! CC .AShX /
such that for any abelian sheaf F on X

(a) C q .X; F / D 0 for q < 0;
(b) C q .X; F / for q 2 Z is flasque;
(c) C .X; F / is equipped with the augmentation F ! C .X; F / such that the
sequence
0 !F ! C 0 .X; F / ! C 1 .X; F / ! C 2 .X; F / !
is exact.
Moreover, the functor C .X; / is exact.
The importance of the canonical flasque resolution lies in its canonicity. For
I
instance, given an ordered set I , one can consider the category AShX of inductive
systems of abelian sheaves on X; the canonicity of the canonical flasque resolution
allows one to construct the exact functor
C .X; /W AShX
I
! CC .AShX /I ;
which maps each inductive system fFi ; 'ij gi 2I of abelian sheaves to the inductive
system of complexes fC .X; Fi /; 'ij g consisting of canonical flasque resolutions
of Fi ’s.
3.1. (f) Inductive limit and cohomology

Proposition 3.1.16. Let X be a coherent topological space (2.2.1), and fFi ; 'ij gi 2I
a filtered inductive system of sheaves of abelian groups on X indexed by a directed
set I . Then the canonical map
ˆq W lim Hq .X; Fi / ! Hq .X; lim Fi /
! !
i 2I i 2I
is bijective for any q 0.

Proof. First note that the case q D 0 has already been proved in 3.1.8 (2). In order
to show the general case, let us take the filtered inductive system of complexes
fC .X; Fi /; 'ij g as above. By 3.1.3
0 ! lim Fi ! lim C .X; Fi /
! !
i 2I i 2I
is exact. This gives a quasi-flasque resolution of lim Fi (cf. Exercise 0.3.1),

!i 2I
and hence the desired result follows from 3.1.8 (2) and the exactness of inductive
limits.
Corollary 3.1.17. Let f W X ! Y be a continuous mapping between topological
spaces. Suppose that the following conditions are satisfied:
(a) X is quasi-separated (2.1.8) and has an open basis consisting of quasi-
compact open subsets;
(b) Y has an open basis consisting of quasi-compact open subsets;
(c) f is quasi-compact (2.1.4 (2)).
Then for any filtered inductive system fFi ; 'ij gi 2I of sheaves of abelian groups on
X indexed by a directed set, the canonical morphism
ˆq W lim Rq f Fi ! Rq f .lim Fi /
! !
i 2I i 2I
is an isomorphism.
The proof is similar to that of 3.1.9, where we now use 3.1.16 instead of 3.1.8.
3.1. (g) Cohomology of sheaves on limit spaces. Let us now return to the situa-
tion as in ÷3.1. (d).
Lemma 3.1.18. Suppose that each Fi is a flasque sheaf on Xi . Then the sheaf
F D lim pi 1 Fi is quasi-flasque.
!i 2I
This follows easily from Exercise 0.3.1 and the fact that each pi 1 Fi is flasque.
In the following statements, all sheaves are supposed to be sheaves of abelian
groups, and morphisms of sheaves are morphisms of abelian sheaves.
lim Hq .Xi ; Fi / ! Hq .X; F /
!
i 2I
is an isomorphism for q 0.
This follows from 3.1.10 and 3.1.18 as in the proof of 3.1.16. Combining this
result and 3.1.12 we obtain the following corollary.
Corollary 3.1.20. Let fXi ; pij gi 2I and pi W X ! Xi for i 2 I be as in the begin-
ning of ÷3.1. (d), and F a sheaf on X. Then the canonical morphism
lim Hq .Xi ; pi F / ! Hq .X; F /
!
i 2I
Corollary 3.1.21. Let fXi ; pij gi 2I and pi W X ! Xi for i 2 I be as in the begin-
ning of ÷3.1. (d), and Z a topological space. Suppose we are given a system of con-
tinuous maps fgi W Xi ! Zgi 2I such that, whenever i j , we have gj D gi ı pij .
Then for any sheaf G on Z the canonical map
lim Hq .Xi ; gi 1 G / ! Hq .X; g 1
G /;
!
i 2I
where g D lim gi , is an isomorphism for q 0.

i 2I
This follows from 3.1.19 applied to the situation where Fi D gi 1 G for i 2 I .
Similarly to 3.1.13 and its subsequent results, one can show the following state-
ments.
Corollary 3.1.22. Let fXi ; pij gi 2I , fYi ; qij gi 2I , and ffi gi 2I be as in ÷3.1. (d).
Then the canonical morphism of sheaves
lim qi 1 Rq fi Fi ! Rq f F
!
i 2I
Corollary 3.1.23. Let fXi ; pij gi 2I be as in ÷3.1. (d), and Z a coherent sober space.
Suppose we are given a system of quasi-compact maps fgi W Xi ! Zgi 2I such that
gj D gi ı pij whenever i j . Then for any sheaf G on Z the canonical morphism
lim Rq gi .gi 1 G / ! Rq g .g 1
G /;
!
i 2I

i 2I
Corollary 3.1.24. Let fXi ; pij gi 2I , fYi ; qij gi 2I , and ffi gi 2I be as in ÷3.1. (d), and
F a sheaf on X. Then the canonical morphism
lim qi 1 Rq fi .pi F / ! Rq f F
!
i 2I
3.2 Projective limits

3.2. (a) The Mittag-Leffler condition. Let C be either the category of sets or
Q (that is, for any family fAi gi 2I of
an abelian category that has all small products
objects indexed by a small set, the product i 2I Ai is representable). Then the
category C is small complete, that is, the limit lim F for a functor F W D ! C
exists whenever D is essentially small ([79], Chapter V, ÷2, Corollary 2).
Let A D fAi ; fij W Aj ! Ai g be a projective system of objects in C indexed by
a directed set I , and set A D lim Ai .
i 2I
Definition 3.2.1. (1) The projective system A is said to be strict if all transition
maps fij for i j are epimorphic.
(2) Suppose I D N, the ordered set of all natural numbers. Then the projective
system A is said to be essentially constant, if there exists N such that for N i
j the transition maps fij are isomorphisms.
For each i 2 I we set

A0i D inf fij .Aj /;
i j
and call it the universal image in Ai ; note that here the infimum is nothing but the
projective limit of ffij .Aj /gj i and hence is a subobject of Ai . Clearly, we have
fij .Aj0 / A0i for any i j , and fi .A/ A0i for any i 2 I . Thus we have the
projective system A 0 D fA0i ; fij jAj0 g such that A D lim A0i . Note that if A is
i 2I
strict, then A 0 D A.
The Mittag-Leffler condition for a projective system A D fAi ; fij g is:

(ML) for any i 2 I there exists j i such that fi k .Ak / D fij .Aj / for any
k j.
Clearly, any strict projective system satisfies (ML). Conversely, if A satisfies (ML),
then the induced projective system A 0 of universal images is strict. Condition (ML)
is closely related to the non-emptiness of projective limits; by Exercise 0.1.2 and
[26], Chapter III, ÷7.4, Proposition 5, we have the following result.
Proposition 3.2.2. Let X D fXi ; fij g be a projective system of sets indexed by
a directed set I , and X D lim Xi . Suppose that I has a cofinal and at most
i 2I
countable subset and that the system X satisfies (ML). Then for any i 2 I the
canonical projection fi W X ! Xi maps X surjectively onto the universal image
Xi0 . (Hence, in particular, if X D fXi ; fij g is strict, then all maps fi for i 2 I are
surjective.)
Proposition 3.2.3 ([54], 0III , (13.2.1)). Let
0 ! M 0 ! M ! M 00 ! 0; ()
opp
where M D fMi g etc., be an exact sequence in AbI consisting of projective
systems of abelian groups indexed by a common directed set I .
.1/ If M satisfies (ML), then so does M 00 .
.2/ If M 0 and M 00 satisfy (ML), then so does M .
Since the functor lim has a left-adjoint, we have the following result.
i 2I
opp
Proposition 3.2.4. The functor lim W AbI ! Ab is left-exact.
i 2I
Hence one can consider the right derived functors lim.q/ for q 0.
i 2I
Lemma 3.2.5. Let I be a directed set that contains a cofinal and at most countable
subset. Consider an exact sequence
q 1 dq
1 d
! Mq ! M q ! M qC1 !
of projective system of abelian groups indexed by I , where M q D fMiq ; fijq g. Sup-

pose that for any q the projective system M q satisfies (ML). Then the induced
sequence
q 1 q
1 d1 d1
! lim Miq ! lim Miq ! lim MiqC1 !
i 2I i 2I i 2I
is exact.
q q 1
Proof. It is easy to see that d1 ı d1 D 0. Let fxi g 2 lim Miq be such that
i 2I
q
d1 .fxi g/ D 0. We consider the following diagram with exact rows for i j :
q 2 q 1 q
dj dj dj
Mjq 2 / Mq
j
1 / Mq
j
/ M qC1
j
q 2 q 1 q qC1
fij fij fij fij

Miq 2
q 2
/ Mq
i
1
q 1
/ Mq
i q
/ M qC1 .
i
di di di
For each i we have diq .xi / D 0. Hence the subset Si D .diq 1

/ 1
.xi / of Miq 1
is
non-empty, and fSi ; fijq 1 jSj g is a projective system of sets.
Claim. The projective system fSi ; fijq 1

jSj g satisfies (ML).
Let Ti be the image of diq 2

. The projective system fTi ; fijq 1
jTj g satisfies
(ML) (3.2.3 (1)). Hence for any i 2 I there exists j i such that fijq .Tj / D 1
fiqk 1 .Tk / for any j k. We want to show that fijq 1 .Sj / q 1

D fi k .Sk / for any
j k. Fix yk 2 Sk , and set yj D fjqk 1 .yk / and yi D fiqk 1 .yk /. Take any
q 1 q 1
zi 2 fij .Sj /, and put zi D fij .zj /. We have zj yj 2 Tj , and hence there
exists wk 2 Tk such that zi yi D fiqk 1 .wk /. Hence zi D fiqk 1 .wk / C yi D
fiqk 1 .wk C yk / 2 fiqk 1 .Sk /, which shows that fijq 1 .Sj / fiqk 1 .Sk /. As the
q 1 q 1
other inclusion is clear, we have fij .Sj / D fi k .Sk /, and the claim follows.
Now, by 3.2.2 and the fact that the universal images of the system fSi g are
q 1 q 1
non-empty, there exists fyi g 2 lim Mi such that d1 .fyi g/ D fxi g.
i 2I
opp
Corollary 3.2.6. The functor lim maps any acyclic complex in CC .AbI / con-
i 2I
sisting of objects satisfying (ML) to an acyclic complex in CC .Ab/.
3.2. (b) Canonical strict resolution. Let M D fMi ; fij gi 2N be a projective sys-
tem of abelian groups indexed by N. We are going to construct a short exact se-
quence
0 ! M ! J0 ! J1 ! 0
opp
in AbN such that J 0 and J 1 are strict.
The system J 0 D fJi0 gi 2N is constructed as follows. For i 2 N we set
Ji0 D M0 ˚ ˚ Mi
and define the transition map Jj0 ! Ji0 for i j by
j
X
M0 ˚ ˚ Mj 3 .x0 ; : : : ; xj / 7 ! x0 ; : : : ; xi1 ; fki .xk / 2 M0 ˚ ˚ Mi :
kDi
We have the obvious inclusion M ,! J 0 . The system J 1 D fJi1 gi 2N is defined

to be the cokernel of this map. Explicitly, it is given by Ji1 D Ji0 1 for i > 0 and
J01 D 0; the transition maps are the canonical projections. Clearly, with the sys-
tems J 0 and J 1 thus constructed, we have the desired exact sequence of projective
systems as above.
Note that, by the construction, the formation of the resolution 0 ! M ! J is
functorial and hence defines a functor
opp opp
AbN ! CŒ0;1 .AbN /;
which is also exact.

We call this resolution 0 ! M ! J the canonical strict resolution of M .
In view of 3.2.5, we can use the canonical strict resolution to compute the right
derived functors lim.q/ for q 0 attached to lim .
i 2I i 2I
Proposition 3.2.7. Let M D fMi ; fij gi 2N be a projective system of abelian groups

indexed by a directed set I that has a cofinal and at most countable subset.
.1/ lim.q/ Mi D 0 for q 2.
i 2I
.2/ If M satisfies (ML), then lim.1/ Mi D 0.

i 2I
Proof. By Exercise 0.1.2, we may assume that I D N. Since the canonical

strict resolution is of length 1, (1) follows immediately. If M satisfies (ML), then
by 3.2.5 the induced sequence of projective limits is exact, whence (2).
Corollary 3.2.8 ([54], 0III , (13.2.2)). Consider the exact sequence of projective
systems of abelian groups ./ in 3.2.3 with I a directed set that has a cofinal and
at most countable subset. If M 0 satisfies (ML), then the induced sequence
0 ! lim Mi0 ! lim Mi ! lim Mi00 ! 0

i 2I i 2I i 2I
of abelian groups is exact.

3.2. (c) Projective limit of sheaves. Let X be a topological space, and consider a
projective system fFi ; pij gi 2I of sheaves (of sets, abelian groups, rings, etc.) on X
indexed by an ordered set I . The projective limit sheaf lim Fi in the category of
i 2I
sheaves (of sets, abelian groups, rings, etc.) is described as follows. For any open
subset U X set
F .U / D lim Fi .U /:
i 2I
This defines a presheaf F , which is easily seen to be a sheaf. The desired projective
limit lim Fi is given by the sheaf F with the canonical maps pi W F ! Fi for
i 2I
i 2 I . Note that, unlike the case of inductive limits, the canonical map
.lim Fi /x ! lim Fi;x

i 2I i 2I
for x 2 X is in general neither surjective, nor injective.
Proposition 3.2.9. .1/ For a topological space X and an ordered set I , we have
the canonical isomorphism
lim ıX Š X ı lim

i 2I i 2I
I opp
of functors from AShX to Ab, where X is the global section functor
X .F / D .X; F /:
.2/ For a continuous map f W X ! Y between topological spaces and an or-

dered set I , we have the canonical isomorphism
lim ıf Š f ı lim

i 2I i 2I
I opp
of functors from AShX to AShY .
Finally, note that the projective limit functor

I opp
limW AShX ! AShX
i 2I
is, as one can show similarly to 3.2.4, left-exact.

3.2. (d) Canonical s-flasque resolution. Let X be a topological space.

Definition 3.2.10. A projective system fFi ; pij gi 2I of abelian sheaves on X (that
I opp
is, an object of AShX ) is said to be s-flasque if
(a) each Fi for i 2 I is flasque and

(b) for each i < j the map pj i W Fj ! Fi is surjective and has a flasque kernel.
Let fFi ; pij gi 2N be a projective system of abelian sheaves on X indexed by N.
We are going to construct an s-flasque resolution
0 ! fFi gi 2N ! fGi gi 2N :
First, we construct a resolution
0 ! fFi gi 2N ! fJi0 gi 2N ! fJi1 gi 2N ! 0
where
Ji0 D F0 ˚ ˚ Fi
and 8
<0 if i D 0,
Ji1 D
:F ˚ ˚ F if i > 0,
0 i 1
for each i and define the maps similarly to that for canonical strict resolutions
(cf. ÷3.2. (b)). Next we take the canonical flasque resolutions of sheaves in fJi0 gi 2N
and in fJi1 gi 2N . Thus we get the double complex fC .X; Ji /gi 2N of projective
systems. The desired resolution fGi gi 2N is the single complex associated to this
double complex; therefore,
8
<¹C 0 .X; J 0 /ºi 2N if q D 0,
q i
fGi gi 2N D
:¹C q .X; J 0 / ˚ C q 1 .X; J 1 /º
i i i 2N if q > 0.
We want to show that this resolution is s-flasque. Condition (a) in 3.2.10 is clear.
Condition (b) in 3.2.10 follows from the fact that the formation of the canonical
flasque resolution of sheaves is an exact functor (÷3.1. (e)). Indeed, if
0 ! K ! Jjk ! Jik ! 0
is exact for k D 0; 1 and i < j , then we have the induced exact sequence
0 ! C q .X; K/ ! C q .X; Jjk / ! C q .X; Jik / ! 0:
Condition (b) follows from this.

By the construction, one sees that forming the above resolution defines a functor
opp opp
N
AShX ! CC .AShX
N
/;
which, moreover, is exact. We call the resolution 0 ! fFi gi 2N ! fGi gi 2N the
canonical s-flasque resolution.
Proposition 3.2.11. Consider the exact sequence
! fFip 1
gi 2N ! fFip gi 2N ! fFipC1 gi 2N !
of projective systems of abelian sheaves on X indexed by N. Suppose that for any
p
p the projective system fFi gi 2N is s-flasque. Then the induced sequence
! F p 1
.X/ ! F p .X/ ! F pC1 .X/ !
of abelian groups is exact, where F p D lim Fip .
i 2N
Proof. The only non-trivial part of the proof is to show that any section s 2 F p .X/
that is mapped to 0 in F pC1 .X/ lies in the image of F p 1 .X/ ! F p .X/. Let
si be the image of s by the projection F p .X/ ! Fip .X/ for each i 2 N. Since
p 1
F p 1 .X/ D lim Fi .X/, we want to construct the compatible system fti gi 2N
i 2N
of liftings ti 2 Fip 1 .X/ of si . By [47], Chapter II, 3.1.3, s0 has a lifting t0 2
F0p 1 .X/. Suppose one has already constructed compatible liftings up to tk 1 2
p 1
Fk 1 .X/. Take any lifting tk0 of sk (which exists according to [47], Chapter II,
3.1.3). The image tk0 1 of tk0 in Fkp 11 .X/ has the same image in Fkp 1 .X/ as tk 1 ,
and hence there exists an element uk 1 2 Fkp 12 .X/ that is mapped to tk 1 tk0 1 .
Since fFip 2 gi 2N is s-flasque, the projection Fkp 2 .X/ ! Fkp 12 .X/ is surjective,
and hence we have an element uk 2 Fkp 2 .X/ that lifts uk 1 . Let vk be the image
of uk in Fkp 1 .X/, and set tk D tk0 C vk . Then tk is a lifting of both tk 1 and sk .
By induction, we get the desired system of liftings.
The proposition shows that the canonical s-flasque resolution can be used to
compute the right derived functors of the left-exact functor
X ı lim (Š lim ıX )
i 2N i 2N
(cf. 3.2.9 (1)), that is, if

0 ! fFi gi 2N ! fGi gi 2N
is the canonical s-flasque resolution, then we have
Rq .X ı lim /.fFi gi 2N / D Hq ..X; G //;
i 2N

where G D lim G .
i 2N i
Proposition 3.2.12. (1) If fGi gi 2N is an s-flasque projective system of abelian

sheaves, then G D lim Gi is flasque.
i 2N
(2) Suppose
is an s-flasque resolution, and set F D lim Fi and G D lim G . Then the
i 2N i 2N i
induced sequence
0 ! F ! G
gives a flasque resolution of F .
Proof. (1) can be shown by an easy diagram similar to that in the proof of 3.2.11.
By an argument similar to that in the proof of 3.2.11, one can see that for any open
subset U the induced sequence
0 ! F .U / ! G .U /
is exact. Taking stalks at every point, one concludes the exactness of 0 ! F ! G ,

as desired.
3.2. (e) Projective limits and cohomology. Let X be a topological space, and I
a directed set containing a countable cofinal set. We consider the following condi-
tions for a projective system fFi gi 2I of sheaves of abelian groups on X indexed
by I :
(E1) there exists an open basis B of X such that for any U 2 B and q 0 the
projective system fHq .U; Fi /gi 2I satisfies (ML);
(E2) for any x 2 X and any q > 0,
lim lim Hq .U; Fi / D 0;

!
x2U 2B i 2I
where U varies over the set of open neighborhoods of x in B.

Remark 3.2.13. (1) In practice, these conditions are considered in the situation
where X has an open basis B such that Hq .U; Fi / D 0 for any U 2 B, i 2 I , and
q > 0. In this case, (E1) for q > 0 and (E2) are trivially satisfied, and hence one
only need to check that the projective system fH0 .U; Fi /gi 2I satisfies (ML).
(2) If X is a scheme, and if fFi gi 2I is a projective system consisting of quasi-
coherent sheaves, then one can choose as B the set of all affine open subsets of X
(see [54], III, (1.3.1)). In this case, for example, if fFi gi 2I is strict, then fFi gi 2I
satisfies (E1) and (E2); indeed, for i j and U 2 B, since the kernel of the sur-
jective map Fj ! Fi is quasi-coherent, we deduce that H0 .U; Fj / ! H0 .U; Fi /
is surjective, and hence fH0 .U; Fi /gi 2I is strict.
Proposition 3.2.14. Let X be a topological space, and I a directed set containing

a countable cofinal subset. Let fFi gi 2I be a projective system of sheaves of abelian
groups on X indexed by I , and set F D lim Fi . Suppose fFi gi 2I satisfies (E1)
i 2I
and (E2).
.1/ For any q > 0 we have
lim.q/ Fi D 0: ./q
i 2I
.2/ For any q 0 there exist canonical isomorphisms
Hq .X; F / Š Rq .X ı lim/.fFi gi 2I / Š Rq .lim ıX /.fFi gi 2I /:

i 2I i 2I
Remark 3.2.15. Combined with 3.2.11, the last statement (in the case I D N)
shows that one can use s-flasque resolutions (÷3.2. (d)) to compute the cohomolo-
gies Hq .X; F /. Indeed, if
is the canonical s-flasque resolution, we have
Hq .X; F / Š Hq ..X; G //;
where G D lim Gi .

i 2N
Proof of Proposition 3.2.14. We assume without loss of generality that I D N

(Exercise 0.1.2 and Exercise 0.3.2). Let U be an open subset of X. Since
U ı lim Š lim ıU , we have the following two spectral sequences that
i 2N i 2N
converge to the same infinity terms:
p;q
E2 .U / D lim.p/ Hq .U; Fi / H) IE1
I pCq
.U / D RpCq .lim ıU /.fFi gi 2N /
i 2N i 2N
and
E2p;q .U / D Hp .U; lim.q/ Fi / H) IIE1

II pCq
.U / D RpCq .U ı lim /.fFi gi 2N /;
i 2N i 2N
pCq pCq
with IE1 .U / D IIE1 .U /. For any point x 2 X we set
I I
Ex D lim E.U /;
!
x2U 2B
where U runs through all open neighborhoods of x in B. Since the inductive limit
functor is exact, this defines a spectral sequence that converges to the inductive
limits of the corresponding 1-terms. A similar notation will be used for IIE.U /.
From (E1) and (E2) we have

p;q
(E1) H) IE2;x D 0 for p > 0;
p;q
(E2) H) IE2;x D 0 for p D 0 and q > 0.
0;0
Hence, the only non-zero E2 -term of the spectral sequence IEx is IE2;x . This shows
that 8
<lim lim .U; Fi / if p C q D 0,
I pCq pCq
E1;x D IIE1;x D !x2U i 2N
()
:0 otherwise.
p;0
Now we claim that IIE2;x D 0 for p > 0. Take the canonical s-flasque resolu-
tion 0 ! fFi gi 2N ! fGi gi 2N . By 3.2.11
p
0 D IIE1;x D lim Hp ..U; G //;
!
x2U
where G D lim G . But then, since 0 ! F ! G gives a flasque resolution

i 2N i
(3.2.12 (2)), we deduce that
p;0
E2;x D lim Hp .U; F / D lim Hp ..U; G // D 0;
II
! !
x2U x2U
as desired.
Now we start proving (1). We proceed by induction with respect to q. Since
d d
0 D IIE2;x2;2 ! IIE2;x
0;1 2;0
! IIE2;x D 0;
0;1 0;1 0;1 1

one has IIE2;x D IIE1;x . But IIE1;x is a subquotient of IIE1;x , which is zero by
.1/ II 0;1
./, and hence we have .lim Fi /x D E2;x D 0. Since this is true for any point
i 2N
x 2 X, we get the desired vanishing ./1 . By induction, we assume that ./k is
p;k
true for k D 1; : : : ; q 1. Then for k q 1 we have IIE2;x D 0. Since
d d
0 D IIE2;x2;qC1 ! IIE2;x
0;q 2;q
! IIE2;x 1
D 0;
0;q 0;q
one has IIE2;x D IIE1;x . Arguing in much the same way as above, one sees the last
term is zero for any x 2 X, and hence ./q holds as desired.
Now we look at the global spectral sequence IIE.X/. Since (1) holds, this spec-
tral sequence degenerates at E2 -terms. By this and (1), we get (2).
Corollary 3.2.16 (cf. [54], 0III , (13.3.1)). Let X be a topological space, I a di-
rected set containing a countable cofinal subset, and fFi gi 2I a projective system of
abelian sheaves on X indexed by I . Suppose fFi gi 2I satisfies (E1) and (E2). Then
for any q > 0 the canonical morphism
Hq .X; F / ! lim Hq .X; Fi / ./q

i 2I
is surjective. If, moreover, the projective system fHq 1

.X; Fi /gi 2I satisfies (ML),
then ./q is bijective.
Remark 3.2.17. (1) Note that the fact that ./0 is an isomorphism, not mentioned
in the above statement, is always true due to 3.2.9 (1).
(2) In [54], 0III , (13.3.1), it is assumed in addiction that the projective system
fFi gi 2I is strict. But this assumption is not necessary, since one can always replace
fFi gi 2I by a complex of strict systems.
Proof of Corollary 3.2.16. We use the spectral sequence E D IE.X/ as in the
pCq
proof of 3.2.14. By 3.2.14 (2), this spectral sequence converges to E1 D
pCq
H .X; F /. By 3.2.7 (1), the spectral sequence degenerates at E2 -terms. Hence
we have the exact sequence
0 ! E21;q 1
! Hq .X; F / ! E20;q ! 0;
which shows, in particular, the surjectivity of ./q . If fHq 1 .X; Fi /gi 2N sat-
isfies (ML), then by 3.2.7 (2) we have E21;q 1 D 0, whence the isomorphism
Hq .X; lim Fk / Š E20;q .
k
Proposition 3.2.18. Consider the situation as in 3.2.14 with I D N, and let q 0

be an integer. For each i 2 N set Ni D ker.F ! Fi /, and let F i be the image of
the map Hq .X; Ni / ! Hq .X; F /. Then the following conditions are equivalent:
(a) the map ./q in 3.2.16 is injective;
(b) the map ./q in 3.2.16 is bijective;
T
(c) i 2N F i D 0. In other words, Hq .X; F / is separated with respect to the
filtration F D fF i gi 2N .
Proof. The equivalence of (a) and (b) follows from 3.2.16. Since the map
Hq .X; F /=F i ! Hq .X; Fi /
is injective, we have the injective homomorphism
lim Hq .X; F /=F i , ! lim Hq .X; Fi /: ()

i 2N i 2N
The canonical map ./q clearly factors through lim Hq .X; F /=F i by using
k2N
the canonical map
Hq .X; F / ! lim Hq .X; F /=F i ()
i 2N
followed by the map ./, and hence ./ is bijective. Therefore, ./q is injective if
and only if ./ is injective, and the last condition is equivalent to (c).
Proposition 3.2.19. Let f W X ! Y be a continuous mapping between topological
spaces, I a directed set containing a countable cofinal subset, and fFi gi 2I a pro-
jective system of abelian sheaves on X indexed by I . Set F D lim Fi . Suppose
i 2I
that
fFi gi 2I satisfies (E1) and (E2) and
the projective systems fRq f Fi gi 2I .q 0/ of abelian sheaves on Y satis-
fies (E1) and (E2).
Then the canonical morphism
R q f F ! lim Rq f Fi
i 2I
is an isomorphism.
By what we have seen in 3.2.13, the hypotheses in the proposition are satisfied
in the following situation: f W X ! Y is a coherent (D quasi-compact and quasi-
separated) morphism of schemes, and fFi gi 2I is a strict projective system consist-
ing of quasi-coherent sheaves on X such that the induced system fRq f Fi gi 2I
is also strict for q 0. Indeed, by a well-known fact in the theory of schemes
(cf. 5.4.6 below), the sheaves Rq f Fi for q 0 and i 2 I are quasi-coherent.
Proof of Proposition 3.2.19. We consider the spectral sequences
I p;q
E2 D lim .p/ Rq f Fi H) IE1
pCq
D RpCq .lim ıf /.fFi gi 2N /;
i 2N i 2N
and
II p;q
E2 D Rp f lim .q/ Fi H) IIE1
pCq
D RpCq .f ı lim /.fFi gi 2N /.
i 2N i 2N
By 3.2.9 (2), we have
I pCq pCq
E1 D IIE1 :
By 3.2.14 (1), we have
II pCq
E1 Š RpCq f F
and
I pCq
E1 Š lim RpCq f Fi :
i 2I
3.3 Coherent rings and modules

Definition 3.3.1 (cf. [27], Chapter I, ÷3, Exercise 11). Let A be a ring.
(1) A finitely generated A-module M is said to be coherent if every finitely
generated A-submodule of M is finitely presented. We denote by CohA the full
subcategory of ModA consisting of coherent A-modules.
(2) A is coherent if it is coherent as an A-module or, what amounts to the same,
every finitely generated ideal of A is finitely presented.
For example, any Noetherian ring is a coherent ring, and any finitely generated
module over a Noetherian ring is a coherent module. It is easy to see that, if A
is a coherent ring and S A is a multiplicative subset, then S 1 A is again a
coherent ring. In Exercise 0.3.3 we will see that the integral closure Zz of Z in the
x
ring of algebraic numbers Q is a coherent ring, which, however, is not Noetherian
(Exercise 0.3.4).
Let us first state here an easy proposition; the second part follows immediately
from [27], Chapter I, ÷3.6, Proposition 11.
Proposition 3.3.2. .1/ Let A and B be rings, M a finitely generated A-module,
and N a finitely generated B-module. Then M N is a coherent A B-module if
and only if M and N are coherent over A and B, respectively. In particular, A B
is coherent if and only if A and B are coherent.
.2/ Let A be a ring, and B a faithfully flat A-algebra. Then a finitely gener-
ated A-module M is coherent if and only if M ˝A B is a coherent B-module. In
particular, A is coherent if B is coherent.
Proposition 3.3.3. The following conditions for a ring A are equivalent:
(a) A is coherent;
(b) any finitely presented A-module is coherent;
(c) the category of finitely presented A-modules is an abelian subcategory of
the abelian category ModA of A-modules;
(d) if f W M ! N is a homomorphism between finitely presented A-modules,
then ker.f / is finitely presented;
(e) if the A-modules M and N sitting in the exact sequence
0 !L !M !N !0 ()
of A-modules are finitely presented, then so is L;

(f) if two of L, M , and N in the exact sequence ./ are finitely presented, so is
the rest.
(g) for any exact sequence of A-modules
M1 ! M2 ! M3 ! M4 ! M5 ;
if M1 is finitely generated, and if M2 , M4 , and M5 are finitely presented,

then M3 is finitely presented.
(h) for any complex
M D . ! M k 1
! M k ! M kC1 ! /
of A-modules, if every M k is finitely presented, then Hq .M / is finitely

presented for any q.
The proof is easy with the aid of the following elementary lemma.
Lemma 3.3.4. Let A be a ring, and
0 !L !M !N !0 ()
an exact sequence of A-modules.
(1) If L is a finitely generated and M is a finitely presented, then N is finitely

presented.
(2) If L and N are finitely presented, then M is finitely presented.
Corollary 3.3.5. Let A be a coherent ring. Then an A-module M is coherent if

and only if it is finitely presented.
If A is a coherent ring, then any coherent A-module has a free resolution; hence
we have the following corollary.
Corollary 3.3.6. Let A be a coherent ring. Then for any coherent A-modules
M and N , ExtAp .M; N / and TorpA .M; N / are coherent for p 0.
The following notion will be particularly important later.
Definition 3.3.7. A ring A is said to be universally coherent if every finitely pre-

sented A-algebra is coherent.
Clearly, if A is universally coherent, then any finitely presented A-algebra is

again universally coherent. Note also that if A is universally coherent, then any
localization of A is again universally coherent.
4. Ringed spaces 93
Exercises
Exercise 0.3.1. Let X be a coherent topological space. A sheaf F of sets on X is
said to be quasi-flasque ([68]) if, for any quasi-compact open subset U X, the
restriction map F .X/ ! F .U / is surjective.
(1) Let 0 ! F 0 ! F ! F 00 ! 0 be an exact sequence of abelian sheaves

on X, and suppose F 0 is quasi-flasque. Then show that
0 ! .X; F 0 / ! .X; F / ! .X; F 00 / ! 0
is exact.
(2) Show that, for a quasi-flasque sheaf of abelian groups F , Hq .X; F / D 0 for
q > 0.
(3) Let fGi ; 'ij gi 2I be a filtered inductive system of quasi-flasque sheaves of sets
indexed by a directed set I . Show that the inductive limit G D lim Gi is
!i 2I
quasi-flasque.
Exercise 0.3.2. Let fAi ; fij gi 2I be a projective system of sets indexed by a directed
set I , and J ! I a cofinal ordered map. Show that, if fAi ; fij gi 2I satisfies (ML),
then so does fAi ; fij gi 2J .
Exercise 0.3.3. Let fAi ; ij gi 2I be an inductive system of rings indexed by a di-
rected set. Assume that each Ai is coherent (resp. universally coherent) and that
each transition map is flat. Show that A D lim Ai is coherent (resp. universally
!i 2I
coherent).
x is coherent, but
Exercise 0.3.4. Show that the subring of all algebraic integers in Q
not Noetherian.
Exercise 0.3.5. Let k be a field, and consider the polynomial ring kŒx1 ; x2 ; : : : in
countably many variables. Set J D .x1 x2 ; x1 x3 ; : : : ; x1 xn ; : : :/. Show that the
ring A D kŒx1 ; x2 ; : : :=J is not coherent.
4 Ringed spaces
In most ordinary commutative geometries, spaces are ‘visualized’ by means of
locally ringed spaces (as referred to as standard visualization in Introduction).
Homological algebra of OX -modules, especially that of quasi-coherent and coher-
ent sheaves, is an important tool for analyzing the spaces. Coherent sheaves are
particularly useful if the structure sheaf OX itself is coherent. So the coherence of
the structure sheaf is one of the fundamental conditions for (locally) ringed spaces.
In ÷4.1 we discuss ringed spaces satisfying this condition in general, which we call
cohesive ringed spaces.
In ÷4.2 we begin the study of sheaves of modules and their cohomologies in the
context of filtered projective limits. Note that most of the results in these sections
are, in fact, rehashes of what are already done in [9], Exposé VI, in the topos-
theoretic language.
4.1 Generalities
4.1. (a) Ringed spaces and locally ringed spaces. A ringed space is a couple
.X; OX / consisting of a topological space X and a sheaf of rings OX on X, called
the structure sheaf. Given two ringed spaces X D .X; OX / and Y D .Y; OY /,
a morphism of ringed spaces from X to Y is a pair .f; '/ consisting of a continuous
map f W X ! Y and a morphism 'W f 1 OY ! OX of sheaves of rings on X or,
equivalently by adjunction, a morphism OY ! f OX of sheaves of rings on Y .
We denote by Rsp the category of ringed spaces.
A ringed space .X; OX / is said to be a locally ringed space if for any point
x 2 X the ring OX;x is a local ring. In this case we denote by mX;x the maximal
ideal of the local ring OX;x . A morphism .f; '/W .X; OX / ! .Y; OY / of ringed
spaces, where X D .X; OX / and Y D .Y; OY / are locally ringed spaces, is said to
be local if for any x 2 X the map 'x W OY;f .x/ ! OX;x is a local homomorphism
(that is, 'x .mY;f .x/ / mX;x ). We denote by LRsp the category of locally ringed
spaces and local morphisms.
Convention. In the sequel, whenever we deal with locally ringed spaces, by a

morphism we mean simply a local morphism, unless otherwise clearly stated.
Let .X; OX / be a ringed space. An open (ringed) subspace of .X; OX / is a

ringed space of the form .U; OX jU /, where U is an open subset of X. An open
immersion is a morphism of ringed spaces .Y; OY / ! .X; OX / that factors through
the canonical map from an open subspace .U; OU / of .X; OX / by an isomorphism

.Y; OY / ! .U; OU /.
A ringed space .X; OX / is said to be reduced if for any point x 2 X the
ring OX;x has no non-zero nilpotent element; in other words, if NX is the subsheaf
of OX consisting of nilpotent sections, we have NX D 0.
4.1. (b) Generization map. Let X be a topological space, and F a sheaf (of sets)
on X. If y 2 Gx is a generization of a point x 2 X, then any open neighborhood
of x is an open neighborhood of y. Hence we have a canonical map
Fx ! Fy
4. Ringed spaces 95
between the stalks, which we call the generization map. In particular, if X D

.X; OX / is a ringed space, then the generization map
OX;x ! OX;y
is a ring homomorphism. If, moreover, X is a locally ringed space, then the gener-
ization map induces a local homomorphism
.OX;x /qy ! OX;y ; ()
where qy is the pull-back of the maximal ideal mX;y at y.

Examples 4.1.1. (1) If X is a scheme, then ./ is an isomorphism.
(2) If X is a locally Noetherian formal scheme ([54], I, (10.4.2)) or, more gen-
erally, a locally universally rigid-Noetherian formal scheme (defined later in I.2.1.7
below), then ./ is faithfully flat (Exercise 0.4.1).
4.1. (c) Sheaves of modules. For a ringed space X D .X; OX / we denote by

ModX the category of OX -modules. This is an abelian category with tensor prod-
ucts and internal Hom’s. Any morphism
.f; '/W .X; OX / ! .Y; OY /
of ringed spaces induces two functors, adjoint to each other:

f
/
ModX o ModY ;
f
here f G for an OY -module G is defined as
f G D f 1
G ˝f 1O
Y ;' OX :
Definition 4.1.2. Let .f; '/W .X; OX / ! .Y; OY / be a morphism of ringed spaces,
and J an ideal sheaf of OY . The ideal pull-back of J is the ideal sheaf of OX
generated by the image of f 1 J by the map '.
1
The ideal pull-back is denoted by .f J/OX or more simply by JOX .
Definition 4.1.3. (1) Let F be an OX -module, and n 2 Z a non-negative integer.
We say that F is of (finite) n-presentation or n-presented, if for any point x 2 X
there exists an open neighborhood U of x on which there exists an exact sequence
of OU -modules
E n ! ! E 1 ! E 0 ! F jU ! 0;
where each E i .0 i n/ is a free OU -module of finite rank.

(2) An OX -module F is said to be of finite type if it is of 0-presentation. If it

is of 1-presentation, we say that F is of finite presentation or finitely presented.
Finally, if F is n-presented for any non-negative integer n, we say that F is of
1-presentation or 1-presented.
Note that if .f; '/W .X; OX / ! .Y; OY / is a morphism of ringed spaces, then
the functor f W ModY ! ModX maps OY -modules of finite type (resp. of finite
presentation) into OX -modules of finite type (resp. of finite presentation).
Definition 4.1.4. (1) An OX -module F is said to be quasi-coherent, if for any

x 2 X there exists an open neighborhood U of x on which we have an exact
sequence of OX jU -modules of the form
OX˚J jU ! OX˚I jU ! F jU ! 0;
where OX˚I for a set I (and similarly OX˚J ) denotes the direct sum of copies of OX
indexed by I .
(2) An OX -module F is said to be coherent if
(a) F is of finite type and
(b) the kernel of any morphism OX˚n jU ! F jU , where U X is an open
subset and n 0, is of finite type.
Finitely presented OX -modules are quasi-coherent, but in general finite type

OX -modules are not quasi-coherent. Coherent OX -modules are finitely presented
and hence quasi-coherent, but finitely presented OX -modules are not necessarily co-
herent. We denote by QCohX (resp. CohX ) the full subcategory of ModX consist-
ing of quasi-coherent (resp. coherent) OX -modules. These are abelian thick (÷C.5)
subcategories of ModX (cf. [53], (1.4.7)). Note that, if .f; '/W .X; OX / ! .Y; OY /
is a morphism of ringed spaces, then the functor f W ModY ! ModX maps
QCohY to QCohX . Note also that, if F and G are coherent OX -modules, then
so are F ˝OX G and HomOX .F ; G /.
Definition 4.1.5. Let .f; '/W .X; OX / ! .Y; OY / be a morphism of ringed spaces.
(1) An OX -module F is f -flat (or Y -flat) at a point x 2 X if Fx is flat as a
module over OY;f .x/. If F is f -flat at all points of X, we simply say that F is
f -flat (or Y -flat). In particular, if .X; OX / D .Y; OY / and f D id, then we say F
is flat.
(2) If OX is f -flat, that is, if the morphism 'x W OY;f .x/ ! OX;x is flat for any
point x 2 X, then the the morphism .f; '/ is flat.
If .f; '/ is flat, then the functor f W ModY ! ModX is exact.

4. Ringed spaces 97
Proposition 4.1.6. Let .X; OX / be a ringed space, and F an OX -module. Let

fGi gi 2I be a filtered inductive system of OX -modules indexed by a directed set I .
Consider the natural map
ˆW lim HomOX .F ; Gi / ! HomOX .F ; lim Gi /:

! !
i 2I i 2I
(1) If X is quasi-compact and F is of finite type, then ˆ is injective.

(2) If X is coherent (2.2.1) and F is finitely presented, then ˆ is bijective.
Similarly to 3.1.8, this proposition can be seen as a special case of [9], Ex-
posé VI, Théorème 1.23. One can prove it in a similar way to the proof of 3.1.8,
and the checking is left to the reader.
4.1. (d) Cohesive ringed spaces. For a ringed space X the structure sheaf OX is
always quasi-coherent of finite type, but not necessarily coherent.
Definition 4.1.7. A ringed space X D .X; OX / is said to be cohesive if the structure
sheaf OX is coherent as an OX -module.
Then one can readily establish the following proposition (cf. 3.3.3).
Proposition 4.1.8. Let X D .X; OX / be a cohesive ringed space. Then an OX -mod-
ule F is coherent if and only if it is finitely presented. (In this case, moreover, F
admits an 1-presentation.)
Corollary 4.1.9. Let .f; '/W .X; OX / ! .Y; OY / be a morphism of ringed spaces,
and suppose .X; OX / is cohesive. Then the functor f maps CohY to CohX .
4.1. (e) Filtered projective limit of ringed spaces. We will need to consider fil-
tered projective limits of (locally) ringed spaces. In fact, as one can easily check,
such a limit always exists in the category of (locally) ringed spaces.
Proposition 4.1.10. Let fXi D .Xi ; OXi /gi 2I be a projective system of ringed
(resp. locally ringed) spaces indexed by a directed set I . Then the projective limit
X D lim Xi exists in the category of ringed (resp. locally ringed) spaces. More-
i 2I
over, the underlying topological space of X is isomorphic to the projective limit of
the underlying topological spaces of Xi ’s, and OX;x for any x 2 X is canonically
isomorphic to the inductive limit lim OXi ;pi .x/ , where pi W X ! Xi for each
!i 2I
i 2 I is the canonical projection.
That is to say, the topological space X D lim Xi coupled with the inductive
i 2I
limit sheaf OX D lim pi 1 OXi , which is a sheaf of local rings if fXi gi 2I is a
!i 2I
projective system of locally ringed spaces (3.1.7), gives the desired projective limit.
Note that in the local-ringed case, it is due to presence of the filtering that
the underlying topological space of the limit coincides with the limit of the
underlying topological spaces. In fact, this is not in general the case for projective
limits that are not filtered. For instance, fiber products of schemes are taken in
the category of locally ringed spaces (cf. [53], (3.2.1)) and, as is well known, their
underlying topological spaces do not necessarily coincide with the fiber products
of the underlying topological spaces.
Corollary 4.1.11. Let X D fXi D .Xi ; OXi /gi 2I and U D fUi D .Ui ; OUi /gi 2I
be two projective systems of ringed (resp. locally ringed) spaces indexed by a di-
rected set I , and W U ! X a morphism fi g of projective systems consisting of

open immersions i W Ui ,! Xi . Suppose we have Ui Xi Xj ! Uj for each pair
.i; j / with i j . Then the induced map
lim i W lim Ui ! lim Xi

i 2I i 2I i 2I
is an open immersion, and its image coincides with pi 1 .Ui / for any i , where
pi W lim Xj ! Xi is the projection map.
j 2I
4.2 Sheaves on limit spaces

4.2. (a) Finitely presented sheaves on limit spaces. Let us consider
a filtered projective system of ringed spaces fXi D .Xi ; OXi /; pij gi 2I in-
dexed by a directed set I .
We set X D lim Xi , and denote by pi W X ! Xi the canonical projection for
i 2I
each i 2 I . As we saw in ÷4.1. (e), the ringed space X is supported on the projective
limit of the underlying topological spaces of Xi ’s and has OX D lim pi 1 OXi as
!i 2I
its structure sheaf. We assume that
(a) for any i 2 I the underlying topological space of Xi is coherent (2.2.1) and
sober (÷2.1. (b));
(b) for any i j the underlying continuous mapping of the transition map
pij W Xj ! Xi is quasi-compact (2.1.4 (2)).
By 2.2.10 (1) the underlying topological space of the limit X is coherent and sober,
and each canonical projection map pi W X ! Xi for i 2 I is quasi-compact.
4. Ringed spaces 99
Theorem 4.2.1. (1) For any finitely presented OX -module F there exist an index
i 2 I and a finitely presented OXi -module Fi such that F Š pi Fi .
(2) For any morphism 'W F ! G of finitely presented OX -modules, there exist
an index i 2 I and a morphism 'i W Fi ! Gi of finitely presented OXi -modules
such that ' Š pi 'i . Moreover, if ' is an isomorphism (resp. epimorphism), then
one can take 'i to be an isomorphism (resp. epimorphism).
The theorem is a consequence of the following result.
Theorem 4.2.2. Let 0 2 I be an index, and F0 and G0 two OX0 -modules. Suppose
F0 is finitely presented. Then the canonical map

lim HomOXi .p0i F0 ; p0i G0 / ! HomOX .p0 F0 ; p0 G0 /
!
i 0
is bijective.
Note that the last map is the inductive limit of the maps

HomOXi .p0i F0 ; p0i G0 / ! HomOX .p0 F0 ; p0 G0 /;
which are simply induced by the canonical projections pi W X ! Xi for i 0.

Remark 4.2.3. In 2-categorical language Theorems 4.2.1 and 4.2.2 mean that the
category of finitely presented OX -modules is equivalent to the ‘inductive limit cat-
egory’
Lim ffinitely presented OXi -modulesg
!
in the sense of [9], Exposé VI, (6.3). Note that there exists an essentially unique
fibered category over I such that each fiber over i 2 I is the category of OXi -
modules of finite presentation and that Cartesian morphisms are given by pull-
backs; see [52], Exposé VI, ÷8, for the construction.
Now let us show that the first theorem follows from the second one.
Proof of Theorem 4.2.2 H) Theorem 4.2.1. To show (1), we first consider the case
where F has a finite presentation
OX˚p ! OX˚q ! F !0
over X. By 4.2.2 the morphism OX˚p ! OX˚q is the pull-back of a morphism

OX˚p ! OX˚q for some i 0. Let Fi be its cokernel. Then we have F Š pi Fi .
i i S
In general, we take a finite open covering X D nkD1 Uk by quasi-compact
open subsets such that F jUk for each k D 1; : : : ; n has a finite presentation.
By 2.2.9, for each k D 1; : : : ; n there exists an index ik 2 I and a quasi-compact
open subset Vk Xik such that pik1 .Vk / D Uk . Taking an upper bound i of
fi1 ; : : : ; in g and replacing each Vk by pik1i .Vk /, we may assume that Vk is a quasi-
S
compact Sn open subset of Xi for any k D 1; : : : ; n. We have nkD1 Vk Xi and
X D kD1 pi 1 .Vk /. Hence, replacing i by a larger index, we may assume that
S
Xi D nkD1 Vk (Exercise 0.2.8).
By what we have seen above, replacing i by a larger index if necessary, there
exists a finitely presented OVk -module Fk such that pi Fk Š F jUk for any k D
1; : : : ; n. Since the pi Fk ’s patch together on X, thanks to 4.2.2 there exists an
index j i such that pij Fk ’s patch to a finitely presented OXj -module Fj . Since
pj Fj Š F , we have shown (1).
(2) follows from (1) and 4.2.2; to show that we can take 'i to be an epimorphism,
we observe that if Hi is finitely presented OX -module such that pi Hi D 0, then
there exists an index j 2 I with i j such that pij Hi D 0. This follows
from 4.2.2.
We now turn to the proof of 4.2.2.
Lemma 4.2.4. Let Z D .Z; OZ / be a ringed space, and fgi W Xi ! Zgi 2I a
collection of morphisms of ringed spaces such that gj D gi ı pij whenever i j .
Then for any OZ -module G we have a canonical isomorphism

lim pi 1 gi G ! g G
!
i 0
of OX -modules, where g D lim gi .

i 2I
Note that the domain of the last isomorphism can be regarded as an OX -module
via the equality OX D lim p 1O .
!i 0 i Xi
Proof. There exists a canonical map pi 1 gi G ! pi gi G D g G , for i 2 I , which
yields the morphism lim p 1 g G ! g G . In order to show that this is an
!i 0 i i
isomorphism, we only need to check stalkwise. Let x 2 X. We have
.lim pi 1 gi G /x D lim.gi G /pi .x/ D lim Gg.x/ ˝OY;g.x/ OXi ;pi .x/ :
! ! !
i 0 i 0 i 0
By 3.1.4,
lim Gg.x/ ˝OY;g.x/ OXi ;pi .x/ D Gg.x/ ˝OY;g.x/ lim OXi ;pi .x/
! !
i 0 i 0
D Gg.x/ ˝OY;g.x/ OX;x ;

whence the result. (Note that here we do not use conditions (a) and (b) in the
beginning of this subsection.)
4. Ringed spaces 101
Lemma 4.2.5. Suppose in the situation as in 4.2.4 that the underlying topological
space of Z is coherent and sober and that the underlying continuous mapping of
each gi W Xi ! Z is quasi-compact. Then the canonical morphism
lim gi gi G ! g g G
!
i 2I
is an isomorphism of OX -modules.
Proof. By 4.2.4, one can apply 3.1.13 to the case when Yi D Z for all i 2 I and
Fi D fi G (hence F D f G ). (Note that here we need to use conditions (a)
and (b).)
Proof of Theorem 4.2.2. We have the equalities (up to canonical isomorphisms)
HomOX .p0 F0 ; p0 G0 / D HomOX0 .F0 ; p0 p0 G0 /

D HomOX0 .F0 ; lim p0i p0i G0 /;
!
i 0
where the last equality follows from 4.2.5. Now by 4.1.6 (2) we have

HomOX0 .F0 ; lim p0i p0i G0 / D lim HomOX0 .F0 ; p0i p0i G0 /
! !
i 0 i 0

D lim HomOXi .p0i F0 ; p0i G0 /;
!
i 0
as desired.
4.2. (b) Limits and direct images. Next, in addition to the data fixed in the begin-
ning of previous subsection, we fix
another filtered projective system of ringed spaces fYi ; qij gi 2I indexed by
the same directed set I that satisfies conditions similar to (a) and (b) as in
the beginning of ÷4.2. (a);
a map ffi gi 2I of projective systems from fXi ; pij gi 2I to fYi ; qij gi 2I , that
is, a collection of morphisms fi W Xi ! Yi such that qij ı fj D fi ı pij
whenever i j .
We set Y D lim Yi , and denote the canonical projection by qi W Y ! Yi for each
i 2I
i 2 I . We have by passage to the projective limits the continuous map
f D lim fi W X ! Y:
i 2I
We moreover assume that

(c) for any i 2 I the underlying continuous mapping of fi is quasi-compact.
Note that the underlying continuous map of f is quasi-compact due to 2.2.13 (1).
Proposition 4.2.6. For any OX -module F the canonical morphism
lim qi fi pi F ! f F
!
i 2I
induced by the canonical morphisms qi fi pi F ! f F for i 2 I , defined by

adjunction from fi pi Š qi f , is an isomorphism.
The proposition follows from 3.1.15 and the following lemma, which can be
viewed as a corollary of 4.2.4.
Lemma 4.2.7. Suppose we are given a system fFi ; 'ij g consisting of
.a/ an OXi -module Fi for each i 2 I ,

.b/ a morphism 'j i W pji Fi ! Fj of OXj -modules for each j i ,

such that 'kj ı pkj 'j i D 'ki for k j i . Then the canonical morphism
lim pi 1 Fi ! lim pi Fi

! !
i 2I i 2I
is an isomorphism of OX -modules.
Here we regard fpi 1 Fi g and fpi Fi g as filtered inductive systems in an obvious

manner. Note that we do not use in the following proof conditions (a) and (b) for
fXi ; pij gi 2I in the beginning of ÷4.2. (a).
Proof. By 4.2.4,
lim pi Fi D lim lim pj 1 pji Fi
! ! !
i 2I i 2I j i
up to canonical isomorphisms, where the last double inductive limit can be seen
as a single inductive limit taken along the directed set J D f.i; j /W j i g where
.i; j / .i 0 ; j 0 / with the order i i 0 and j j 0 (cf. Exercise 0.1.1). Since the
diagonal subset f.i; i /g is evidently cofinal, we have
lim lim pj 1 pji Fi D lim pi 1 Fi ;

! ! !
i 2I j i i 2I
as desired.
Applying 4.2.6 to the case when Xi D Yi and fi D idXi (i 2 I ), we have the

following corollary.
Corollary 4.2.8. For any OX -module F the canonical morphism
lim pi pi F !F
!
i 2I
is an isomorphism.
4.3 Cohomologies of sheaves on ringed spaces

4.3. (a) Derived category formalism. Let X D .X; OX / be a ringed space. We
denote by D .X/ (where D “ ”, C, , b) the derived category associated to the
abelian category ModX of OX -modules (cf. ÷C.4). Inside ModX are thick (÷C.5)
abelian full subcategories QCohX and CohX of quasi-coherent sheaves and coher-
ent sheaves, respectively. We denote by Dqcoh .X/ (resp. Dcoh .X/) the full subcate-
gory of D .X/ consisting of objects F such that the cohomology sheaves Hk .F /
are quasi-coherent (resp. coherent) for all k 2 Z (where H0 is the canonical co-
homology functor on D .X/ (cf. C.4.4)). The full subcategories Dqcoh .X/ and
Dcoh .X/ are triangulated subcategories of D .X/ with the induced cohomology
functor H0 and the induced t -structure (cf. C.5.1).
4.3. (b) Calculation of cohomologies. In this and next subsections we make a

few small, but perhaps at least need-to-know, remarks on cohomology groups of
OX -modules.
Let X D .X; OX / be a ringed space, and consider the commutative diagram of
functors
u / AShX
Mod✽X
✽✽ ✞
✽ ✞✞
X ✽ ✞
✞ X
Ab,
where X ’s are the global section functors and uW ModX ! Ab is the forgetful
functor. In this situation, one finds that there are at least two ways for obtaining the
cohomology groups Hq .X; F / of an OX -module F : one is by Rq X .F /, that is,
by applying directly the right derived functors of X W ModX ! Ab, and the other
by Rq X .u.F //, calculated from the right derived functors of X W AShX ! Ab
applied to the underlying abelian sheaf of F . These two approaches lead, indeed,
to the same result, but for a non-trivial reason.
The functor u, being clearly exact, induces the exact functor
DC .u/W DC .X/ ! DC .AShX /;
see C.4.6, defined simply by term-by-term application of u to complexes of

OX -modules. The issue lies in comparison of the exact functors RC X and
RC X ı DC .u/.
Proposition 4.3.1. There exists a canonical isomorphism
RC X Š RC X ı DC .u/
of exact functors DC .X/ ! DC .Ab/.

Proof. The key point is that the functor u maps injective objects of ModX , that
is, injective OX -modules, to flasque (but not necessarily injective) abelian sheaves.
We have by [34], C.D., ÷2, Proposition 3.1, the canonical isomorphism
RC .X ı u/ Š RC X ı RC u:
Now, since u is exact, the right derived functor RC u coincides with the induced
functor DC .u/, and thus we get the desired isomorphism of functors.
A similar remark can be made also for higher direct images. Let
f W X D .X; OX / ! Y D .Y; OY /
be a morphism of ringed spaces, and consider the commutative diagram

u / AShX
ModX
f f

ModY / AShY .
u
Then by [34], C.D., ÷2, Proposition 3.1, and the fact that f maps flasque sheaves
to flasque sheaves, we have the following result.
DC .u/ ı RC f Š RC f ı DC .u/
of exact functors DC .X/ ! DC .AShY /.

That is to say, the underlying abelian sheaves of the higher direct images Rq f F
of an OX -module F taken in DC .Y / coincide up to isomorphisms with the higher
direct images of F regarded as an abelian sheaf.
4.3. (c) Module structures on cohomologies. Let X D .X; OX / be a ringed

space. Once given a ring homomorphism A ! X .OX / from a ring A, one can
equip with the canonical A-module structure the global sections X .F / of an arbi-
trary OX -module F , and thus obtain X W ModX ! ModA and the associated right
derived functor
RC X W DC .X/ ! DC .ModA /: ()
One has, on the other hand, the commutative diagram
ModX●
●●
●● X
X ●●
●#
ModA / Ab
u
consisting of global section functors and the forgetful functor; by [34], C.D., ÷2,
Proposition 3.1, we have a canonical isomorphism
RC X Š DC .u/ ı RC X
of exact functors DC .X/ ! DC .Ab/. This amounts to saying that the cohomol-
ogy groups Hq .X; F / of an OX -module F , defined originally as abelian groups,
carry the canonical A-module structure induced from the above-fixed ring homo-
morphism A ! X .OX /.
Let f W X D .X; OX / ! Y D .Y; OY / be a morphism of ringed spaces, and
suppose we are given a ring homomorphism A ! Y .OY / from a ring A; the ho-
momorphism Y .OY / ! X .OX / induces a ring homomorphism A ! X .OX /.
As above, the global section functors yield
X W ModX ! ModA and Y W ModY ! ModA ;
sitting in the commutative diagram
ModX■
■■
■■X
f ■■
■■
$
ModY / ModA .
Y
Just similarly to 4.3.2 one has the following result.

RC X Š RC Y ı RC f
of exact functors DC .X/ ! DC .ModA /.
In other words, the two approaches to computing cohomology groups Hq .X; F /
of an OX -module F , together with the A-module structure, one being done directly
on X, and the other via Y by way of the higher direct images of f , lead to the same
result.
4.4 Cohomologies of module sheaves on limit spaces

In this subsection we consider the data fixed in the beginning of ÷4.2. (a) and
÷4.2. (b) and, furthermore
for each i 2 I , an OXi -module Fi and

for each i j , a morphism 'ij W pij Fi ! Fj of OXj -modules such that
'i k D 'j k ı pjk 'ij whenever i j k.
Then one has the inductive system fpi Fi gi 2I of OX -modules indexed by I and the
OX -module
F D lim pi Fi :
!
i 2I
Moreover, we consider
a ring A and
a collection of ring homomorphisms A ! .Xi ; OXi / for i 2 I such that
the following diagram commutes whenever i j :
.Xj ; OXj /
: O
t ttt
ttt
ttt
A ❏❏
❏❏
❏❏
❏❏
❏❏
%
.Xi ; OXi /.
By 3.1.19, 4.2.7, and what we have establish in ÷4.3. (c) (canonicity of the
A-module structure on the cohomologies) we have the following proposition.
lim Hq .Xi ; Fi / ! Hq .X; F /

!
i 2I
is an isomorphism of A-modules for q 0.
Corollary 4.4.2. Let H be an OX -module. Then the canonical morphism
lim Hq .Xi ; pi H / ! Hq .X; H /

!
i 2I
is an isomorphism of A-modules for q 0.

Corollary 4.4.3. Let Z be a ringed space with a coherent underlying topological

space, and fgi W Xi ! Zgi 2I a system of morphisms such that gj D gi ı pij
whenever i j . Suppose that the underlying continuous mapping of each gi is
quasi-compact. Then for any OZ -module G the canonical map
lim Hq .Xi ; gi G / ! Hq .X; g G /;
!
i 2I
where g D lim gi , is an isomorphism of A-modules for q 0.

i 2I
Corollary 4.4.4. Let fXi ; pij gi 2I , fYi ; qij gi 2I , and fi ’s be as in ÷4.2 (with condi-
tions (a) and (b) for fXi ; pij gi 2I and fYi ; qij gi 2I and condition (c) for fi ’s), and
let Fi and F be as above. Then the canonical morphism of OY -modules
lim qi 1 Rq fi Fi ! Rq f F
!
i 2I
This follows from 3.1.22 and 4.2.7. One can, moreover, show the following
results in a similar manner.
Corollary 4.4.5. Let Z be a ringed space with a coherent underlying topologi-
cal space, and fgi W Xi ! Zgi 2I a system of morphisms such that gj D gi ı pij
whenever i j . Suppose that the underlying continuous mapping of each gi is
quasi-compact. Then for any OZ -module G the canonical morphism of OZ -mod-
ules
lim Rq gi .gi G / ! Rq g .g G /;
!
i 2I
i 2I
Corollary 4.4.6. Let fXi ; pij gi 2I , fYi ; qij gi 2I , and fi ’s be as in 4.4.4, and H an
OX -module. Then the canonical morphism of OY -modules
lim qi Rq fi .pi H / ! Rq f H
!
i 2I
Exercises
Exercise 0.4.1. Let X be a locally Noetherian formal scheme, x 2 X a point, and
y 2 Gx a generization of x. Show that the map
.OX;x /qy ! OX;y
induced by the generization map (÷4.1. (b)), where qy is the pull-back of the maxi-
mal ideal mX;y of OX;y , is faithfully flat.
Exercise 0.4.2. (1) Let fXi ; pij gi 2I be a filtered projective system of ringed spaces
indexed by a directed set I , and X D lim Xi . Suppose that for any i j the
i 2I
transition map pj i W Xj ! Xi is flat. Show that for each i 2 I the canonical
projection pi W X ! Xi is flat.
(2) Let fXi ; pij gi 2I and fYi ; qij gi 2I be two filtered projective system of ringed
spaces indexed by a directed set, and ffi gi 2I a projective system of morphisms
fi W Xi ! Yi of ringed spaces. Let f W X ! Y be the limits, and pi W X ! Xi and
qi W Y ! Yi the canonical maps for each i 2 I . Suppose that for any i 2 I the map
fi is flat. Show that the map f is flat.
Exercise 0.4.3. Let fXi ; pij gi 2I be a filtered projective system of ringed spaces
indexed by a directed set I , and X D lim Xi . Suppose that the underlying
i 2I
topological space of each Xi is coherent sober, and the underlying continuous map
of each pij is quasi-compact. Suppose, moreover, that each Xi D .Xi ; OXi / is
cohesive and that each pij is flat. Then show that X D .X; OX / is cohesive.
5 Schemes and algebraic spaces
In [54] coherent sheaves are always discussed under the assumption that the in-
volved schemes are locally Noetherian. However, many non-Noetherian schemes
may have coherent structure sheaves, to which, therefore, one can apply many of
the results on locally Noetherian schemes. In ÷5.1 and ÷5.2, we will introduce the
notions of universally cohesive schemes and algebraic spaces; a scheme is said to
be universally cohesive if any scheme that is locally of finite presentation over it
has coherent structure sheaf. Noetherian schemes are of course universally cohe-
sive. Some of the non-trivial examples of universally cohesive schemes will appear
in ÷8.5. (e).
Unlike the case of Noetherian schemes, quasi-coherent sheaves of finite

type on universally cohesive schemes are not necessarily coherent.
In ÷5.3 we discuss some fundamental topics on the calculation of cohomology

in the derived categories. Among these, for example, are the comparison of two
derived categories D .CohX /, the derived category of the category of coherent
sheaves, and Dcoh .X/, the full subcategory of the derived category of OX -modules
consisting of objects having coherent cohomologies.
This section ends with a collection of known facts on cohomologies of quasi-
coherent sheaves (÷5.4) and on generalities of algebraic spaces (÷5.5).
5. Schemes and algebraic spaces 109
5.1 Schemes
5.1. (a) Schemes. We denote by Sch the category of schemes, and by SchS (where
S is a scheme) the category of S -schemes. Note that Sch is a full subcategory of
LRsp, the category of locally ringed spaces.
For an affine scheme X D Spec A and an A-module M , we denote, as usual,
by M z the associated quasi-coherent OX -module. As is well known ([53], ÷1.4),
M 7! M z gives an exact equivalence of abelian categories

z W ModA ! QCohX
preserving the tensor products and internal hom’s.
5.1. (b) Universally cohesive schemes

Definition 5.1.1. A scheme X is said to be universally cohesive if any X-scheme
locally of finite presentation is cohesive (4.1.7) as a ringed space.
Proposition 5.1.2. Let A be a ring, and X D Spec A. Then X is universally
cohesive if and only if A is universally coherent (3.3.7).
Proof. Let X be universally cohesive, and let B be a finitely presented A-algebra.

Suppose we are given an exact sequence
0 ! K ! B ˚m ! B:
We need to show that K is a finitely generated B-module. By [53], (1.3.11), we

have the exact sequence
0 ! Kz ! OY˚m ! OY ;
where Y D Spec B. Since OY is coherent, Kz is of finite type. Then by [53], (1.4.3),

we deduce that K is finitely generated.
Conversely, suppose A is universally coherent, and let Y ! X be an X-scheme
locally of finite presentation. We need to show that for any open subset U Y and
any exact sequence of the form
˚m
0 ! K ! OU ! OU ;
the quasi-coherent sheaf K on U is of finite type. To this end, we may assume

that U is affine, U D Spec B, where B is an A-algebra of finite presentation and
hence is universally coherent. Set K D K, z where K is a (uniquely determined up
to isomorphism) B-module. Then by [53], (1.3.11), K is finitely generated, and
by [53], (1.4.3), we conclude that K is of finite type, as desired.
Proposition 5.1.3. Consider an affine scheme X D Spec A, and suppose A is

universally coherent. Then the functor z induces an exact equivalence of abelian
categories

z W CohA ! CohX :
Proof. By [53], (1.4.3), the functor z gives a categorical equivalence from the cate-
gory of finitely presented A-modules to the category of finitely presented OX -mod-
ules, which thanks to 4.1.8 are precisely the coherent OX -modules.
5.2 Algebraic spaces

5.2. (a) Conventions. Our basic reference to the general theory of algebraic spaces
is Knutson’s book [72]. Accordingly, we adopt here the following
Convention. In this book, all algebraic spaces are assumed to be quasi-separated.
This assumption will be particularly useful when we compare algebraic spaces
with schemes, using several effective étale descent tools ([72], II.3) and several
local constructions such as open complement of closed subspaces ([72], II.5). Note
that, with this assumption, the two definitions of algebraic spaces, the one as a sheaf
on the large étale site of affine schemes and the other as the quotient of schemes
by an étale equivalence relation, coincide ([72], II.1). In particular, if X is a quasi-
separated scheme, we have the following facts.
In view of étale descent of quasi-coherent sheaves, the category of quasi-
coherent sheaves on X, regarded as an algebraic space (with respect to étale topol-
ogy), and the category of quasi-coherent sheaves on X (considered, as usual, with
respect to Zariski topology) are canonically equivalent.
The cohomologies of quasi-coherent sheaves computed on the scheme X by
means of Zariski topology coincide up to canonical isomorphism with those com-
puted from sheaves on X regarded as an algebraic space with respect to étale topol-
ogy (cf. [9], Exposé VII, Proposition 4.3).
By these facts, as long as we are concerned with quasi-coherent sheaves and
their cohomologies, we do not have to distinguish between the two standpoints for
a quasi-separated scheme X, the one on which X is regarded as a scheme (Zariski
topologized) and the other on which X is regarded as an algebraic space (consid-
ered with étale topology).
Convention. When we say ‘X is an algebraic space,’ we always mean either (a) X
is a scheme (not necessarily quasi-separated), or (b) X is an algebraic space (neces-
sarily quasi-separated). When we like to exclude the non-quasi-separated schemes,
we say ‘X is an algebraic space or a quasi-separated scheme.’
Accordingly, in case (a), all quasi-coherent sheaves on X and their cohomolo-

gies are considered with respect to the Zariski topology (unless otherwise clearly
stated) and, in case (b), they are considered with respect to the étale topology.
In some situations, where algebraic spaces and schemes are mixed, e.g., when
taking fiber products of algebraic spaces with schemes, one has to (and we do)
assume that the schemes are quasi-separated, even if not explicitly stated.
In the sequel we denote by As the category of algebraic spaces and by AsS
(where S is an algebraic space) the category of S -algebraic spaces.
5.2. (b) Basic notions. A morphism f W X ! Y of algebraic spaces is said to be

coherent if it is quasi-compact and quasi-separated. When we say that an algebraic
space X is coherent we always mean that X is coherent over Spec Z.
Let X be an algebraic space, and B a quasi-coherent OX -algebra sheaf. Then
as in [72], II.5, we have the algebraic space Spec B affine over X; if X D Spec A
and .X; B/ D B, then it is the associated algebraic space to the affine scheme
Spec B. The existence of Spec B in general follows from effective étale descent of
affine maps (cf. [52], Exposé VIII, 2) and the well-known fact on local construc-
tions (1.4.10).
Similarly, for a quasi-coherent OX -module E of finite type, one has the alge-
braic space P .E/ the projective space over X, together with the invertible sheaf
OP.E/ .1/. The construction in the case where X is scheme is due to [54], II, (4.1.1);
the general case follows from 1.4.10 and effective étale descent of schemes with rel-
atively ample invertible sheaves (cf. [52], Exposé VIII, 7.8).
5.2. (c) Universally cohesive algebraic spaces

Definition 5.2.1. An algebraic space X is said to be universally cohesive if for any
algebraic space Y locally of finite presentation over X, OY is a coherent OY -mod-
ule.
This definition is consistent with 5.1.1 above, because of the following ‘fppf
(fidèlement plate de présentation finie) descent of cohesiveness.’
Proposition 5.2.2. Let f W Y ! X be a faithfully flat and finitely presented mor-
phism of schemes. Then X is universally cohesive if and only if so is Y .
Proof. The ‘only if’ part is obvious. To show the ‘if’ part, it suffices to show that
X is cohesive if so is Y , which follows easily from [52], Exposé VIII, 1.10.
5.3 Derived category calculus

5.3. (a) Quasi-coherent sheaves on affine schemes. The following proposition
is easy to verify (cf. C.4.6).
Proposition 5.3.1. Let A be a ring, and set X D Spec A.

z induces an exact
(1) The exact equivalence ModA ! QCohX by M 7! M
(cf. ÷C.1) equivalence

D .ModA / ! D .QCohX /
of triangulated categories.

(2) If A is universally coherent, then the exact equivalence CohA ! CohX ,
M 7! M z induces an exact equivalence

D .CohA / ! D .CohX /
of triangulated categories.
Let us denote the composite functor
ı
D .ModA / ! D .QCohX / ! Dqcoh .X/
(cf. ÷C.5) by
M 7 ! MX :
Proposition 5.3.2. Let A be a universally coherent ring, and set X D Spec A. Let
ı b be the canonical exact functor
ı b W Db .CohX / ! Dbcoh .X/:
Then ı b is a categorical equivalence.
Proof. By C.5.4 it suffices to show that ı b is fully faithful. Since
HomDb .X/ .K; L/ D H0 .R HomOX .K; L//;
etc., it suffices to show that for any objects K; L of Db .CohX / we have
R HomCohX .K; L/ D R HomOX .ı b .K/; ı b.L// ()
up to isomorphism in DC .Ab/. By 5.3.1, there exists an object M of Db .CohA /
such that MX D K (up to isomorphism). By 3.3.5 and [101], Chapter III, (2.4.1) (b),
we have a finite free resolution F 2 obj.D .CohA // of M . Then, by 5.4.2 (1), both
sides of ./ are isomorphic to HomOX .FX ; L/ in DC .Ab/, whence the claim.
Corollary 5.3.3. Let A be a universally coherent ring, and X D Spec A. Then the
functor
Db .CohA / ! Dbcoh .X/; M 7 ! MX ;
is an exact equivalence of triangulated categories.
In other words, any object M of Db .X/ whose cohomologies are all coherent
can be represented (in the sense as in C.4.8) by a complex consisting of coherent
sheaves, and hence by a complex consisting of finitely presented A-modules.
Finally, we include here the related result quoted from [15].
Proposition 5.3.4 ([15], Exposé II, Corollaire 2.2.2.1). Let X be a Noetherian

scheme. Then the canonical exact functor
ı b W Db .CohX / ! Dbcoh .X/
is an equivalence of triangulated categories.
5.3. (b) Permanence of coherence
Proposition 5.3.5. Let X be a universally cohesive algebraic space.

(1) For F; G 2 obj.Dcoh .X//, F ˝LOX G belongs to Dcoh .X/.
(2) For F 2 obj.Dcoh .X// and G 2 obj.DC

coh .X//, R HomOX .F; G/ belongs to
DC
coh .X/.
Proof. Replacing X by an étale or Zariski covering, one can reduce to the case
where X is affine X D Spec A. By 5.1.2 the ring A is universally coherent. (In the
following, we may work with either étale topology or Zariski topology, without
essential differences.)
(1) By suitable shifts we may assume that Hk .F / D Hk .G/ D 0 for k > 0.
Let n be a negative integer, and consider the natural morphism
f n W F ˝LOX G ! n F ˝LOX n G:
Then Hk .f n / is an isomorphism for k n. Hence, to show that F ˝LOX G has

coherent cohomologies, we can assume that F and G belong to Dbcoh .X/. By 5.3.3,
F and G are represented by bounded complexes of finitely presented (that is, co-
herent) A-modules M and N , respectively. Then the assertion follows from 3.3.6
and an easy argument of homological algebra.
(2) Similarly, we can assume that F and G are in Dbcoh .X/ so that they are
represented by bounded complexes of coherent A-modules. Then apply 3.3.6 in a
similar way.
Proposition 5.3.6. Let f W X ! Y be a morphism of universally cohesive algebraic

spaces. Then the functor Lf maps Dcoh .Y / to Dcoh .X/.
Proof. Recall that the functor Lf W D .Y / ! D .X/ is given by the composition
D .Y / ! D .Mod.X;f 1O /
Y
/ ! D .X/
mapping M 7! f 1 M 7! f 1 M ˝fL 1 O OX , where the first functor is the one

Y
obtained from the exact functor f 1 W ModY ! Mod.X;f 1 OY / . Since the first
functor preserves the canonical t -structures, we have
1 n
f M D n f 1
M
for n 2 Z. By this and reasoning in much the same way as in the proof of 5.3.5, we
may assume that M lies in Dbcoh .Y /. We may also assume, as in the proof of 5.3.5,
that Y is affine. In this situation, M has a finite free resolution, and hence f 1 M
has a free f 1 OY -resolution. Hence, a standard homological algebra argument
shows that Lf M is coherent.
5.4 Cohomology of quasi-coherent sheaves

5.4. (a) Cohomologies on affine schemes. We first include the following well-
known facts.
Theorem 5.4.1. Let A be a ring, and set X D Spec A.
(1) ([54], I, (1.4.1)) The following conditions for an OX -module F are equiv-
alent:
(a) F is quasi-coherent;
z;
(b) there exists an A-module M such that F Š M
(c) there exist a finite covering
[
XD Ui
i
by open sets of the form

Ui D D.fi /; with fi 2 A,
zi .
and, for each i an Afi -module Mi , such that F jUi Š M
z / Š M.
(2) ([54], I, (1.3.7)) For any A-module M we have .X; M
(3) ([53], (1.4.3)) For any A-module M the quasi-coherent OX -module M z is
of finite type (resp. of finite presentation) if and only if M is finitely generated (resp.
finitely presented) over A.
Theorem 5.4.2 ([54], III, (1.3.1) and (1.3.2), and [72], II.4.8). (1) Let A be a ring,
and F a quasi-coherent sheaf on X D Spec A. Then for q > 0 we have
Hq .X; F / D 0:
(2) Let f W X ! Y be an affine morphism between algebraic spaces, and F a

quasi-coherent sheaf on X. Then for q > 0 we have
Rq f F D 0:
Note that, as mentioned in ÷5.2. (a), the vanishing as in (1) is also true for the
cohomology calculated in terms of étale topology.
Let X be an algebraic space, and F a complex of OX -modules such that
F D 0 for q 0. Then F D QC .hC .F // is clearly an object of DC .X/
q
(see ÷C.3. (a) and ÷C.4. (a) for the notation). We write
RC X .F / D RC X .F /;
which is an object of DC .Ab/. If X D Spec A, then RC X .F / is canonically

regarded as an object of DC .ModA / (÷4.3. (c)). If f W X ! Y is a morphism of
algebraic spaces, then we write
RC f F D RC f F;
which is an object of DC .Y /.
Theorem 5.4.3. (1) Let A be a ring, and F a complex of quasi-coherent sheaves

on X D Spec A such that F q D 0 for q 0 (resp. jqj 0/. Then Hq .X; F / D
0 for q 0 (resp. jqj 0/, and the object RC X .F / of DC .ModA / is repre-
sented (C.4.8) by the complex X .F /.
(2) Let f W X ! Y be an affine morphism between algebraic spaces, and F
a complex of quasi-coherent sheaves on X such that F q D 0 for q 0 (resp.
jqj 0/. Then Rq f F D 0 for q 0 (resp. jqj 0/, and the object RC f F
of DC .Y / is represented by the complex f F .
Proof. We only present the proof of (1), for (2) can be shown similarly. First we
deal with the bounded case. By a suitable shift we may assume that the complex
F is of the form
F D . ! 0 ! F 0 ! F 1 ! ! F l 1
! 0 ! /:
Consider the distinguished triangle

C1
1 F ! F ! F 0 !
in Kb .QCohX /, where n denotes the stupid truncation (÷C.2. (d)). Taking the
cohomology exact sequence, we find by induction with respect to the length of F
that we may assume F is a single sheaf; but then the theorem in this case is nothing
but 5.4.2.
The general case can be reduced to the bounded case similarly by the stupid
truncation; if F D . ! 0 ! F 0 ! F 1 ! /, then to detect Hq .X; F / for
a fixed q, we may replace F by qC1 F .
5.4. (b) Some finiteness results. The following result is a corollary of 5.4.3 (2).
Corollary 5.4.4. Let X be a universally cohesive algebraic space, and i W Y ,! X
a closed immersion of finite presentation (hence Y is again universally cohesive).
Then RC i maps Dbcoh .Y / to Dbcoh .X/.
The proof is easy. First reduce to the affine situation Y D Spec B ,! X D
Spec A, where A ! B is a surjective homomorphism with finitely generated ker-
nel; then apply 5.4.3 (2) with the aid of the following easy lemma.
Lemma 5.4.5. Let A ! B be a surjective ring homomorphism, and M a B-
module.
(1) If M is finitely presented as an A-module, then it is so as a B-module.
(2) Suppose that the kernel of the map A ! B is a finitely generated ideal of A.
Then, if M is finitely presented over B, it is finitely presented over A.
Proposition 5.4.6. Let f W X ! Y be a coherent morphism between algebraic
spaces (÷5.2. (b)). Then RC f maps an object of DC C
qcoh .X/ to an object of Dqcoh .Y /.
Proof. Here we present the proof for the case where X and Y are schemes. (This
is actually enough, due to the standard technique (cohomological étale descent;
cf. [9], Exposé Vbis , (4.2.1)).) Let F be an object of DC
qcoh .X/. We need to show
that Rq f F is a quasi-coherent sheaf on Y for any q 0. But, to show it for a
fixed q, we may replace F by qC1 F , and thus we may assume that F belongs
to Dbqcoh .X/. By shifting we may assume Hq .F / D 0 for q < 0. Then by the
distinguished triangle
C1
F ! 1 F ! G !;
we may assume by induction that F is concentrated in degree 0 (cf. C.4.9 (2))
and hence that F is represented by a single quasi-coherent sheaf F on X (C.4.10).
What we need to prove is that Rq f F is quasi-coherent for every q, which is shown
in [54], III, (1.4.10), (cf. [54], IV, (1.7.21)).
Corollary 5.4.7 (cf. [54], III, (1.4.11)). In the situation as in 5.4.6, let i W V ! Y
be an étale morphism from an affine scheme V . Denote by j W U D X Y V ! X
the induced morphism. Let F be a complex of quasi-coherent OX -modules such
that F q D 0 for q 0. Then for any q we have
Hq .U; j F / Š .V; i Rq f F /:
5.4. (c) Cohomologies on projective spaces. We will also need some results on
(cohomologies of) quasi-coherent sheaves on projective spaces. We fix the follow-
ing notation. Let A be a ring, r a positive integer, and S D AŒT0 ; : : : ; Tr the poly-
nomial ring over A. Let X D PAr D Proj S . For n > 0 we set T n D fT0n ; : : : ; Trn g,
and let .T n / be the ideal of S generated by the set T n . For 0 n m we have
the map 'nm W S=.T n / ! S=.T m / defined by the multiplication by .T0 Tr /m n ,
and thus we get an inductive system fS=.T n /; 'nmg indexed by the set of non-
negative integers. For any .r C 1/-tuple .p0 ; : : : ; pr / of positive integers and an
integer n such that n sup0i r pi , we denote by p.n/ 0 :::pr
the modulo .T n / class of
n p0 n pr .n/
the monomial T0 Tr . Clearly, the sequence fp0 :::pr gn defines a unique
element of the inductive limit lim S=.T n /, which we denote by p0 :::pr .
!n
Theorem 5.4.8 ([54], III, (2.1.12)). Set
M
Hq .X; OX .// D Hq .X; OX .n//
n2Z
for any q 0, and regard it as a graded A-module.

(1) We have Hq .X; OX .// D 0 for q ¤ 0; r.
(2) There exists a canonical isomorphism S Š H0 .X; OX .// of graded A-mod-
ules, where S is regarded as a graded A-module in the standard way.
(3) The graded A-module Hr .X; OX .// is canonically isomorphic to the in-
ductive limit lim S=.T n /, which is free with the basis fp0 :::pr gp0 ;:::;pr >0 and
!n
equipped with the grading such that the degree of p0 :::pr is .p0 C C pr /.
Corollary 5.4.9 ([54], III, (2.1.13)). In the situation as above, the cohomology
group Hq .X; OX .n// is a free A-module of finite type; it is non-zero if and only if
either one of the following conditions holds:
(a) q D 0 and n 0;
(b) q D r and n .r C 1/.
Proposition 5.4.10 ([54], II, (2.7.9)). Let A be a ring, and F be a quasi-coherent
sheaf of finite type on X D PAr . Then there exists an integer N such that for any
n N the sheaf F .n/ is generated by global sections; more precisely, there exists
a surjective morphism OX˚k ! F .n/, where k is a positive integer depending on n.
5.4. (d) Ample and very ample sheaves. Let us briefly recall the definitions of
ample and very ample sheaves (cf. [54], II, (4.4.2) and (4.6.11)). Let f W X ! Y be
a morphism of finite type between coherent algebraic spaces, and L an invertible
sheaf on X.
We say that L is very ample relative to f if there exist a quasi-coherent
OX -module E of finite type and a factorization
f
/ P .E/ (/
X
Y
i
of f through an immersion i such that L is isomorphic to i OP.E/ .1/.

We say that L is ample relative to f (or f -ample) if for any quasi-compact
open subset V of Y , there exists a positive integer k such that L˝k jf 1 .V /
is very ample relative to fV W f 1 .V / ! V .
5.5 More basics on algebraic spaces

Let us include here some useful facts on coherent algebraic spaces, which will be
used in our later discussion.
5.5. (a) The stratification by subschemes. The following theorem, which shows
that coherent algebraic spaces are ‘tangible,’ is very useful in reducing many argu-
ments concerning algebraic spaces to scheme cases, and thus has a lot of important
applications.
Theorem 5.5.1 ([89], Première partie, (5.7.6)). Let X be a coherent algebraic
space. Then there exists a finite sequence Z1 ; : : : ; Zr of locally closed subspaces
of X with the following properties:
(a) Zi for each i D 1; : : : ; r is reduced and quasi-compact;
S
(b) the Zi ’s are pairwise disjoint and cover X, that is, X D riD1 Zi ;
S
(c) Yi D j i Zj for each i D 1; : : : ; r is an open subspace of X;
(d) for each i D 1; : : : ; r there exists a separated and quasi-compact elemen-
tary étale neighborhood Yi0 of Zi in Yi such that the image of Yi0 in X
coincides with Yi .
Here, for an algebraic space Y and a closed subspace Z of Y , an elementary
étale neighborhood of Z in Y is an étale map uW Y 0 ! Y from a scheme Y 0 such
that the induced map Y 0 Y Z ! Z is an isomorphism. In particular, if an elemen-
tary étale neighborhood of Z in Y exists, then Z is a scheme, since it is a closed
subscheme of Y 0 .
5.5. (b) Affineness criterion

Theorem 5.5.2 (affineness criterion; cf. [72], III.2.3). Let X be a coherent alge-
braic space. Then the following conditions are equivalent.
(a) The global section functor
X W QCohX ! Ab
from the category of quasi-coherent sheaves on X is exact and faithful, that
is, for any quasi-coherent sheaf F on X, X .F / ¤ 0 whenever F ¤ 0.
(b) X is an affine scheme.
Remark 5.5.3. In [72], III.2.3, the theorem is proved under the slightly stronger hy-
pothesis that X is quasi-compact and separated. One can modify the proof therein
to show the above version of the theorem, replacing ‘quasi-compact and separated’
for the map W X ! Spec A by ‘coherent.’ In view of 5.4.6 this is enough for the
rest of the proof.
The same remark shows that one can similarly drop ‘separated’ in [72], III.2.5,
as follows.
Theorem 5.5.4 (Serre criterion; cf. [72], III.2.5). Let X be a Noetherian algebraic
spaces. Then the following conditions are equivalent.
(a) the global section functor

X W CohX ! Ab
from the category of coherent sheaves on X is exact.
(b) X is an affine scheme.
Corollary 5.5.5. Let X be a coherent algebraic space, and X0 the closed subspace
of X defined by a nilpotent quasi-coherent ideal J. If X0 is a scheme, then X is a
scheme.
Proof. By induction with respect to s 1 with J s D 0, we reduce to the case
J 2 D 0. We may also assume that X0 is affine. For any quasi-coherent sheaf F on
X there exists an exact sequence
0 ! JF !F ! F =JF ! 0;
where the first and the third sheaves can be regarded as quasi-coherent sheaves
on X0 . Since X0 is affine, we have H1 .X; JF / D 0 and H1 .X; F =JF / D 0
(5.4.2 (1)). Hence H1 .X; F / D 0 for any quasi-coherent sheaf F on X. In partic-
ular, the functor X is exact. To show that X is faithful, suppose .X; F / D 0.
Then .X; JF / D .X; F =JF / D 0 by the exactness. Hence, we have JF D 0
and F =JF D 0, which means F D 0. Now by 5.5.2 we deduce that X is an affine
scheme.
5.5. (c) Limit theorem
Theorem 5.5.6 (Raynaud [89], Première partie, (5.7.8)). Let X be a coherent

algebraic space. Then any quasi-coherent sheaf F on X is the inductive limit
lim F of quasi-coherent subsheaves F˛ F of finite type.
!˛2I ˛
This theorem has been proved by D. Knutson [72], III.1.1, in the case when X
is a Noetherian locally separated algebraic space. The proof for the general case
uses 5.5.1. By this and by an argument similar to the one in the proof of [54], I,
(9.4.3), one has the following theorem.
Corollary 5.5.7 (extension theorem). Let X be a coherent algebraic space, and

U a quasi-compact open subspace of X. Then for any quasi-coherent sheaf F of
finite type on U , there exists a quasi-coherent sheaf G of finite type on X such that
G jU D F .
The first author of this book has proved in [40] the following absolute affine
limit theorem for algebraic spaces, which generalizes [98], C.9.
Theorem 5.5.8 (affine limit theorem). Let S be a coherent algebraic space, and
f W X ! S a coherent morphism of algebraic spaces.
(1) There exists a projective system fXi gi 2I of S -schemes indexed by a cate-

gory I such that
(a) each Xi is coherent and finitely presented over S ,
(b) for any arrows i ! j in I the transition map Xj ! Xi is affine, and
(c) X Š lim Xi .
i 2I
(2) If X is a scheme, then the algebraic spaces Xi can be taken to be schemes.
(3) If S is Noetherian, then the index category I can be replaced by a directed

set in such a way that each transition map Xj ! Xi is scheme-theoretically
dominant.
By this theorem and 5.5.5 we have the following corollary.
Corollary 5.5.9. Let X be a quasi-separated algebraic space. If Xred is a scheme

(resp. an affine scheme), then so is X.
6. Valuation rings 121
Exercises
Exercise 0.5.1. Let X be a coherent scheme, and U X an open subset. Show
that U is quasi-compact if and only if X n U is the support of a closed subscheme
of X of finite presentation.
Exercise 0.5.2. Let X be a scheme, OX a nilpotent quasi-coherent ideal of
finite type, and Z the closed subscheme of X defined by . Let f W Y ! X be a
morphism of schemes such that fZ W Y X Z ! Z is a closed immersion. Show
that f is a closed immersion.
Exercise 0.5.3. Let A be a universally coherent ring, and X a projective finitely
presented A-scheme. Show that the canonical exact functor
is a categorical equivalence.
6 Valuation rings
In this section, we give a brief overview of the theory of valuation rings. Our basic
references for valuation rings are [109], Chapter VI, and [27], Chapter VI. We also
refer to [100] as a useful concise survey. Since almost all what we need to know
about valuation rings is already well documented in these references, we will most
of the time be sketchy, and omit many of the proofs.
In ÷6.1 we will discuss two prerequisites, totally ordered commutative groups
and invertible ideals. The basic definitions and first properties of valuations and
valuation rings will be given in ÷6.2, which also includes the definitions of height
(also called ‘rank’ in some literature) and rational rank. As described in ÷6.3, the
spectrum of a valuation ring is a path-like object; this might suggest that valuation
rings are algebro-geometric analogue of paths, perhaps more precisely ‘long paths,’
reflecting the fact that valuations may possible be of large height. This subsec-
tion also gives a detailed description of valuation rings of finite height, especially
of height one, together with the concept of the so-called non-Archimedean norms.
In ÷6.4 we discuss composition and decomposition of valuation rings, which are
two of the most characteristic features of valuation rings and their spectra. In the
next two subsections ÷6.5 and ÷6.6, we recall some techniques for studying struc-
tures of valuation rings, which enable us to give a rough classification of them,
which we do in the end of ÷6.6.
The valuation rings discussed in ÷6.7 are in fact the most important for our
purpose, namely, valuation rings equipped with a separated adic topology defined
by a principal ideal. Such valuation rings have many significant features, which will
be of fundamental importance in our later studies of formal and rigid geometries.
6.1 Prerequisites
6.1. (a) Totally ordered commutative group. An abelian group is a totally or-
dered commutative group if it is endowed with an ordering .; / (cf. ÷1.1. (b))
such that
(a) if a b for a; b 2 , then a C c b C c for any c 2 and
(b) for any a; b 2 either a b or b a holds; that is, .; / is a totally
ordered set (cf. ÷1.1. (b)).
An ordered homomorphism of totally ordered commutative groups is a group
homomorphism that is also an ordered map (cf. ÷1.1. (b)).
Let be a totally ordered commutative group. An element a 2 is said to
be positive (resp. negative) if a > 0 (resp. a < 0). A non-empty subset of is
said to be a segment if for any element a 2 , any b 2 with a b a or
a b a belongs to . If a subgroup of is a segment, then it is called an
isolated subgroup. Note that, unlike in [100], ÷3, we allow itself to be an isolated
subgroup.
The basic role of isolated subgroups is explained in the following ‘homomor-
phism theorem’ for totally ordered commutative groups.
Proposition 6.1.1 ([27], Chapter VI, ÷4.2, Proposition 3). Let be a totally or-
dered commutative group.
(1) The kernel of an ordered homomorphism of to an ordered group is an iso-

lated subgroup of .
(2) Conversely, for an isolated subgroup the quotient = is again a to-
tally ordered commutative group by the induced ordering, and the canonical
map ! = is an ordered homomorphism.
Moreover, it is easy to see that the canonical map ! = in (2) induces a
bijection between the set of all isolated subgroups of containing and the set of
all isolated subgroups of =.
For a totally ordered commutative group we denote by Isol./ the set of all
proper isolated subgroups of . Then Isol./ together with the inclusion order is
a totally ordered set; indeed, if there were two isolated subgroups and 0 such
that none of 0 and 0 holds, then there would exist positive elements
a 2 n 0 and a0 2 0 n ; if, for example, a a0 , then a0 must belong to , for
is isolated, which is absurd. The order type (cf. ÷1.1. (b)) of Isol./ is called the
height of and is denoted by
ht./:
If it is finite and equal to n (the order type of the totally ordered set f0; 1; : : : ; n 1g
with the obvious ordering), then we say that is of finite height n. Otherwise, is
said to be of infinite height.
Note that the height 0 totally ordered commutative group is the trivial group f0g.
As for height one groups, we have the following characterization.
Proposition 6.1.2 ([27], Chapter VI, ÷4.5, Proposition 8). The following conditions
for a totally ordered commutative group are equivalent.
(a) ht./ D 1;
(b) for any a; b 2 with a > 0 and b 0 there exists an integer n 0 such
that b na.
(c) is ordered isomorphic to a non-zero subgroup of R, the additive group of
real numbers endowed with the usual order.
To discuss totally ordered commutative groups of higher height, the following
construction will be useful.
Example 6.1.3. Let h be a positive integer, and i totally ordered commutative
groups for i D 1; : : : ; h. Consider the direct sum
D 1 ˚ ˚ h ;
endowed with the so-called lexicographical order: let a D .a1 ; : : : ; ah / and let
b D .b1 ; : : : ; bh / two elements of , then
° the first entries a and b in a and b from the left
i i
a b ()
that are different from each other satisfy ai bi .
For j D 1; : : : ; h the subgroup of of the form
j ˚ ˚ h .D 0 ˚ ˚ 0 ˚ j ˚ ˚ h /
is an isolated subgroup, and the quotient of by this subgroup is ordered isomor-
P
phic to 1 ˚ ˚ j 1 . Hence by induction one sees that ht./ D hiD1 ht.i /.
In particular, if all i are of height one, the resulting as above gives a totally
ordered commutative group of height h. While it is not true that any totally ordered
commutative group of finite height is of this form, we have the following useful
fact.
Proposition 6.1.4 ([3], Chapter II, Proposition 2.10). Let be a totally ordered
commutative group of height n < 1. Then is ordered isomorphic to a subgroup
of Rn D R ˚ ˚ R. Suppose, moreover, that satisfies the following condition:
for any a 2 and any non-zero integer m there exists b 2 such that a D mb.
Then there exists a subgroup i of R such that is order isomorphic to 1 ˚ ˚n
with the lexicographical order.
The rational rank of a totally ordered commutative group is the dimension of

the Q-vector space ˝Z Q and is denoted by
rat-rank./:
Proposition 6.1.5. Let be a totally ordered commutative group, and suppose the
rational rank of is finite. Then the height of is finite and
ht./ rat-rank./:
For the proof, see [27], Chapter VI, ÷10.2, or [109], Chapter VI, ÷10, Note.
Example 6.1.6. Consider the totally ordered commutative group as in 6.1.3,
where each i is of height one. Then the rational rank of is finite if and only
rank of each i (i D 1; : : : ; h) is finite. In this case we have
if the rational P
rat-rank./ D hiD1 rat-rank.i / h D ht./.
6.1. (b) Invertible ideals. Let A be a ring and F D Frac.A/ the total ring of
fractions of A. An A-submodule I F of F is said to be non-degenerate if
F I D F . Hence, in particular, an ideal I of A is non-degenerate if and only
if I contains a non-zero-divisor of A. It can be shown that for a non-degenerate
A-submodule I F the following conditions are equivalent (cf. [27], Chapter II,
÷5.6, Theorem 4).
(a) There exists an A-submodule J of F such that I J D A.

(b) I is projective.
(c) I is finitely generated, and for any maximal ideal m A the Am -module
Im is principally generated.
If these conditions are satisfied, we say that I is an invertible fractional ideal.
In case I D .a/ is a principal fractional ideal, then I is invertible if and only if a is
a non-zero-divisor of F . If an invertible fractional ideal I is an ideal of A, we say
that I is an invertible ideal of A.
Proposition 6.1.7. Let I F be an invertible fractional ideal. Then the A-sub-
module J as in (a) is unique and is given by
J D .A W I / .D fx 2 F W xI Ag/:
1
In particular, if I D aA for a 2 F is invertible, J D .A W I / D .a /. The set
of all invertible fractional ideals of F forms a group by multiplication.
Lemma 6.1.8. Let A be a ring, and I; J ideals of A. Then both I and J are
invertible if and only if IJ is invertible.
Proof. Suppose K D IJ is invertible. Since IF F D IJF IF , we have

IF D F , that is, I is non-degenerate. Take the fractional ideal L such that KL D A.
Then JL gives the inverse of I , and hence I is invertible. One sees similarly that
J is invertible. The converse is clear.
The case where A is a local domain will be of particular importance. In this

situation, by virtue of (c), any invertible ideal is principal.
Proposition 6.1.9. If A is a local domain, then there exists a canonical bijection be-
tween the set of all invertible fractional ideals of F D Frac.A/ and the set F =A ;
the bijection is established by .a/ 7! Œa D .a mod A /. Moreover, if we order
the former set by inclusion and F =A by Œx Œy () x D zy for some z 2 A,
then this bijection gives an isomorphism of ordered groups.
6.2 Valuation rings and valuations

6.2. (a) Valuation rings. Let B be a local ring, and A a subring of B that is again a
local ring. We say that B dominates A, written A B, if mA mB or, equivalently,
mA D A \ mB . For a field K the relation gives an ordering on the set of all local
subrings of K.
Definition 6.2.1. Let V be an integral domain, and K a field containing V as a sub-
ring. Then V is a valuation ring for K if it satisfies one of the following equivalent
conditions:
(a) V is a maximal with respect to in the set of all local subrings of K;

1
(b) for any x 2 K n f0g, either x or x belongs to V ;
(c) Frac.V / D K and the set of all ideals of V ordered by inclusion order is
totally ordered;
(d) Frac.V / D K and the set of all principal ideals of V ordered by inclusion
order is totally ordered.
For the equivalence of these conditions, see the references mentioned at the
beginning of this section. When we just say V is a valuation ring, we always mean
that V is a valuation ring for its field of fractions. By (b), we have the following
easy but useful fact: any subring of a field K that contain at least one valuation ring
for K is again a valuation ring for K.
Note that, according to our definition of valuation rings, we allow fields
to be valuation rings. This case is usually ruled out from the notion of
valuation rings, but in some places this convention will be useful for the sake of
formality.
As it will turn out in ÷6.4, this convention is consistent with the fact that we
allowed in ÷6.1. (a) a totally ordered commutative group itself to be an isolated
subgroup of itself.
Proposition 6.2.2. (1) Any valuation ring is integrally closed.
(2) Any finitely generated ideal of a valuation ring is principal.
Proof. By [27], Chapter V, ÷2.1, Theorem 1, we can find a prime ideal p of the
integral closure Vz of V in K that lies over mV , that is, V \ p D mV . If Vz ¤ V ,
then Vzp would be a local subring of K strictly larger than and dominating V , and
we reached a contradiction. Thus we conclude that Vz D V , and so (1) holds.
(2) follows easily from 6.2.1 (c).
Proposition 6.2.3. Let V be a valuation ring and I ¨ V a finitely generated ideal
p prime ideal p V among the prime
not equal to V . Then there exists the minimal
ideals containing I ; more explicitly, p D I .
Proof.
p D .a/ for a 2 m
By 6.2.2 (2), we have I p pV . It suffices to show that the ideal
.a/ is prime. Suppose bc 2 .a/ and b 62 .a/. This implies that there exists
n 0 such that .bc/n D ad for some d 2 V and that m
p a=b 2 mV for any m 0.
2n 2n 2
Then c D a .a=b / d 2 .a/, and hence c 2 .a/.
6.2. (b) Valuations. Let V be a valuation ring and K D Frac.V /. Since V is a

local domain, the ordered group of all invertible fractional ideals is isomorphic to
K =V (6.1.9). By 6.2.1 (d), this is a totally ordered commutative group. We set
V D K =V and write the group operation additively. Consider the mapping
8
<Œx .D x mod V / if x ¤ 0;
vW K ! V [ f1g; v.x/ D
:1 if x D 0:
As it is easily verified, v enjoys the following properties:
(a) v.xy/ D v.x/ C v.y/ for x; y 2 K;

(b) v.x C y/ inffv.x/; v.y/g for x; y 2 K;
(c) v.1/ D 0 and v.0/ D 1.
Definition 6.2.4. Let A be a ring and a totally ordered commutative group.
A mapping
vW A ! [ f1g
is called a valuation on A with values in if it maps non-zero elements to elements
in and satisfies (a), (b), and (c) as above (with V replaced by A). In this situation,
we call the totally ordered group the value target group of the valuation v.
Thus any valuation ring V induces the canonical valuation vW K ! V on

its fractional field; we call this the valuation associated to V and call the totally
ordered commutative group V the value group of V . Note that in this situation we
have V D fx 2 KW v.x/ 0g.
Proposition 6.2.5. Let vW K ! [ f1g be a valuation on a field with values in a

totally ordered commutative group . Then V D fx 2 KW v.x/ 0g is a valuation
ring for K, and fx 2 KW v.x/ > 0g is the maximal ideal of V .
Moreover, the group contains an isomorphic copy of V , namely, the image

of v. Note that, if K D V , the corresponding valuation v maps all elements in K
to 0. Such a valuation is called the trivial valuation.
6.2. (c) Height and rational rank of valuation rings
Definition 6.2.6. Let V be a valuation ring, v the associated valuation, and V the
corresponding value group.
(1) The height of the value group V (÷6.1. (a)) is called the height of V (or
of v) and is denoted by
ht.V / D ht.v/ D ht.V /:
(2) The rational rank of the value group V (÷6.1. (a)) is called the rational
rank of V (or of v) and is denoted by
rat-rank.V / D rat-rank.v/ D rat-rank.V /:
Remark 6.2.7. We prefer to use the term ‘height’ following [27], while [109] uses
the term ‘rank.’
Proposition 6.2.8 (cf. 6.1.5). Let V be a valuation ring, and suppose the rational
rank of V is finite. Then the height of V is finite, and the following inequality holds:
ht.V / rat-rank.V /:
Proposition 6.2.9. Let V be a valuation ring with K and V as above. Then there
exist canonical order-preserving bijections among the following sets:
(a) the set of all prime ideals of V with the inclusion order;
(b) the set of all subrings .¤ V / lying between V and K (which are automati-
cally valuation rings) with the reversed inclusion order;
(c) the set of all proper isolated subgroups of V with the reversed inclusion
order.
The bijections are established as follows.

From the set (a) to the set (b): to a prime ideal p V we associate the local ring
Vp ; note that by 6.2.1 (b) any local ring lying in between V and K is a valuation
ring.
From the set (b) to the set (c): for W as in (b) we consider the subgroup v.W /
of V , where vW K ! V [ f1g is the valuation associated to V ; then it is easy to
see that v.W / is a segment.
See [109], Chapter VI, Theorem 15, and [27], Chapter VI, ÷4.3, Proposition 4,
for more details. From this proposition it follows that the cardinality of ht.V /
coincides with the Krull dimension of V . In particular, a valuation ring of height 0
is nothing but a field.
6.3 Spectrum of valuation rings

6.3. (a) General description. From 6.2.1 (c) it follows in particular that prime
ideals of a valuation ring V are totally ordered with respect to the inclusion order.
Hence the spectrum Spec V can be understood as a ‘path’ with two extremities .0/
and mV ; all the other points lie between these points in such a way that, if p q,
then p lies between .0/ and q; see Figure 1. The ‘length,’ so to speak, of the path is
(the cardinality of) the height of V .
V .p/
‚ …„ ƒ
s s s
.0/ p mV
Figure 1. Spec V and a closed set
By 6.2.9, such a linear pattern is reflected in the set of all subrings of K contain-
ing V , and also in the set of all isolated subgroups of the value group V .
The Zariski topology on Spec V can also be understood intuitively in this pic-
ture. For two ideals I; J of V with I J , define the subsets ŒI; J V , .I; J /V ,
ŒI; J /V , and .I; J V as follows:
ŒI; J V D fp 2 Spec V W I p J g;
.I; J /V D fp 2 Spec V W I ¨ p ¨ J g;
ŒI; J /V D fp 2 Spec V W I p ¨ J g;
.I; J V D fp 2 Spec V W I ¨ p J g:
Then for any ideal I V the set ŒI; mV V is exactly the closed set V .I /, and
all closed sets are of this form. Hence open sets are exactly the subsets of the
form Œ.0/; I /V . For any point p 2 Spec V the Zariski closure of fpg is given by
Œp; mV V ; in other words, a point is the specialization of points lying to the left
and is the generization of points lying to the right, when Spec V is oriented as in
Figure 1.
Proposition 6.3.1. The underlying topological space of Spec V , where V is a val-
uation ring, is a valuative space (2.3.1).
Proof. First note that the underlying topological spaces of affine schemes are co-
herent and sober. For any point p 2 Spec V the set Gp of all generizations of p is
totally ordered, as described above.
6.3. (b) Valuation rings of finite height. The valuation ring V is of finite height
if and only if Spec V consists of finitely many points (Figure 2).
s s s ♣ ♣ ♣ ♣ ♣ ♣ ♣ ♣ s s
.0/ mV
Figure 2. Spectrum of a valuation ring of finite height
In this case, one can speak about the adjacent points, that is to say, the ‘next’
generization or specialization of an arbitrary given point of Spec V . This feature
allows us, aided by composition and decomposition of valuation rings (explained
later in ÷6.4), to carry out inductive arguments with respect to height, reducing
many situations to the height-one case. It is therefore important to study the case
ht.V / D 1, the case where Spec V consists only of .0/, the open point, and mV , the
closed point.
Proposition 6.3.2 (cf. 6.1.2). Let V be a valuation ring of non-zero height. Then
the following conditions are equivalent.
(a) The height of V is 1.

(b) For any x 2 mV n f0g and y 2 V n f0g there exist an integer n 0 and an
element z 2 V such that yz D x n .
(c) The value group V is isomorphic to a non-zero subgroup of the ordered
additive group R of real numbers.
6.3. (c) Non-Archimedean norms. By 6.3.2 (3), the associated valuation to a

height-one valuation ring V is of the form vW K ! R [ f1g, where K D Frac.V /.
In this situation, the function j jW K ! R0 defined by jxj D e v.x/ (where e > 1
is a fixed real number) is more a familiar object, the associated (non-Archimedean)
norm. In the literature the pair .K; j j/ is called a non-Archimedean valued field,
which, in our language, is equivalent to fraction field of a valuation ring of height
one. For more details of norms we refer to some of the first chapters of [18].
Proposition 6.3.3 ([109], Chapter VI, Theorem 16). Let V be a valuation ring
of non-zero height. Then V is Noetherian if and only if the value group V is
isomorphic to Z (and hence, in particular, V is of height one). (In this case V is
called a discrete valuation ring (acronym: DVR/:/
6.4 Composition and decomposition of valuation rings

Let V be a valuation ring. As mentioned in ÷6.3. (a), Spec V looks like a path
with the extremities .0/ and mV . Any prime ideal p V divides Spec V into two
segments, Œ.0/; p and Œp; mV . The first subsegment corresponds to Spec Vp and
the second to Spec V =p (Figure 3).
Vp V =p
‚ …„ ƒ‚ …„ ƒ
s s s
.0/ p mV
Figure 3. Subdivision of Spec V into two spectra of valuation rings
Proposition 6.4.1. (1) The ring Vp is a valuation ring for K D Frac.V /, and V =p
is a valuation ring for the residue field at p.
(2) The value group of V =p is the isolated subgroup corresponding to p under
the correspondence in 6.2.9, and the value group of Vp is V =.
The proof is easy; see [109], Chapter VI, ÷10 and [100], Proposition 4.1. In this
situation, one recovers V by the formula
V D fx 2 Vp W .x mod pVp / 2 V =pg:
Note that pVp D p (shown easily using 6.2.1 (b)).
Proposition 6.4.2. If Vz is a valuation ring and W is a valuation ring for the

residue field of Vz , then the subring V of Vz consisting of elements x such that
.x mod mVz / 2 W is a valuation ring. Moreover, p D mVz is the prime ideal of V
such that Vz Š Vp and W Š V =p.
The proof is easy and left to the reader. The valuation ring V in this situation
is said to be the composite of the valuation rings Vz and W . Schematically, compo-
sition amounts to gluing two segments Spec Vp and Spec V =p at their endpoints to
make a new segment Spec V . The following proposition is clear.
Proposition 6.4.3. If the valuation ring V is the composite of Vz and W , then we

have ht.V / D ht.Vz / C ht.W / and rat-rank.V / D rat-rank.Vz / C rat-rank.W /.
Consistently, we have the following result.
Proposition 6.4.4 ([109], Chapter VI, Theorem 17). If a valuation ring V is the
composite of two valuation rings Vz and W as in 6.4.2, then there exists a canonical
exact sequence
0 ! W ! V ! Vz ! 0
of totally ordered commutative groups.
Proof. We may suppose Vz D Vp and W D V =p, where p is a prime ideal of

V . Since V D K =V and Vz D K =Vp (where K D Frac.V /), we have the
canonical surjection V ! Vz . Hence it is enough to show that the kernel Vp =V
is isomorphic to k =W , where k is the residue field of Vp . But this is clear, since
V D fx 2 Vp W .x mod pVp / 2 W g.
Proposition 6.4.5. Let V and W be valuation rings, and f W V ! W be a ring

homomorphism.
(1) The induced map Spec f W Spec W ! Spec V maps Spec W surjectively onto
the set Œker.f /; f 1 .mW / preserving the ordering by inclusion.
(2) f is local if and only if Spec f maps Spec W onto the set Œker.f /; mV .
1
(3) f is injective if and only if Spec f maps Spec W onto Œ.0/; f .mW /.
(4) f is injective and local (that is, W dominates V / if and only if the map
Spec f is surjective.
The proof uses the following easy fact: an inclusion V ,! W of valuation rings
is local if and only if W \ Frac.V / D V .
Proof. First note that (2) and (3) are immediate consequences of (1). To show (1),
consider the valuation ring V 0 D V = ker.f / and the prime ideal q D .f 1 .mW //V 0
of V 0 . Set V 00 D Vq0 . Then the morphism Spec V 00 ! Spec V maps Spec V 00 sur-
jectively onto the subset Œker.f /; f 1 .mW / of Spec V ; since V ! W induces a
local injective homomorphism V 00 ! W , (1) follows from (4)
Thus it suffices to show (4). The ‘if’ part is easy. Suppose that V ,! W is a
local injective homomorphism and p is a prime ideal of V . We need to find a prime
ideal q of W such that q \ V D p. Consider the localization V 0 D Vp , and set
W 0 D W ˝V Vp . Since W W 0 Frac.W /, W 0 is a valuation ring for Frac.W /.
Now it suffices to show that W 0 dominates V 0 . Since W dominates V , we have
W \ Frac.V / D V . Consequently, W 0 \ Frac.V 0 / D W 0 \ Frac.V / D V 0 , and
thus we conclude that W 0 dominates V 0 .
6.5 Center of a valuation and height estimates

for Noetherian domains
Let R be an integral domain, and K D Frac.R/. Let vW K ! [ f1g be a valu-
ation on K (6.2.4), and Rv D fx 2 KW v.x/ 0g and mv D fx 2 KW v.x/ > 0g
the corresponding valuation ring and the maximal ideal, respectively. Suppose
R Rv , that is, the valuation v takes non-negative values on R. The prime ideal
p D mv \ R is called center of the valuation v in R. Note that the valuation ring
Rv dominates the local ring Rp .
Proposition 6.5.1. Given an integral domain R and a prime ideal p, we can always
find a valuation v on K D Frac.R/ whose center is p.
The proof uses Zorn’s lemma; see [27], Chapter VI, ÷1.2.
Let the situation be as above, and set k D Rp =pRp and kv D Rv =mv . Clearly,
k is a subfield of kv . Set
tr:degk v D tr:degk kv :
Theorem 6.5.2 (Abhyankar). Let R be a Noetherian local domain, K D Frac.R/
the fractional field, and k D R=mR the residue field. Suppose v is a valuation on
K that dominates R.
(1) We have the inequality
rat-rank.v/ C tr:degk v dim.R/;
where dim.R/ denotes the Krull dimension of R.

(2) If the equality rat-rank.v/ C tr:degk v D dim.R/ holds, then the value group
of v is isomorphic as a group to Zd (for some d 0/, and kv is a finitely
generated extension of k.
(3) If, moreover, the stronger equality ht.v/ C tr:degk v D dim.R/ holds, then
is isomorphic as an ordered group to Zd (with d D ht.R// equipped with the
lexicographical order (cf. 6.1.3/.
For the proof we refer to [2] and [93]; see also [100], ÷9. We will use the
following relative version of the inequality; see [100], ÷5, for the proof.
Proposition 6.5.3. Let K K 0 be an extension of fields, v 0 a valuation on K 0 ,

and V 0 K 0 the valuation ring of v 0 . Consider the restriction v D vjK and the
associated valuation ring V D V 0 \ K. Let k 0 D V 0 =mV 0 and k D V =mV be the
respective residue fields. Then
dimQ .V 0 = V / ˝ Q C tr:degk k 0 tr:degK K 0 :
If we have equality and if K 0 is a finitely generated field over K, then the group
V 0 = V is a finitely generated Z-module, and k 0 is a finitely generated field over k.
6.6 Examples of valuation rings

Theorem 6.5.2 is a powerful tool for classifying possible valuations centered in a
given Noetherian ring. Here we exhibit the well-known classification of valuations
on an algebraic function field of dimension 2. The classification in this case
was already known to Zariski [104]. For the details and proofs, we refer to [109],
Chapter VI, ÷15, [3], and [93].
6.6. (a) Divisorial valuations. Let R be a Noetherian local domain, and v a val-
uation on K D Frac.R/ centered in R. The valuation v is said to be divisorial
if ht.v/ D 1 and tr:degk v D dim.R/ 1. By 6.5.2 (3), the value group for a
divisorial v is isomorphic to Z with the usual ordering.
Divisorial valuations appear mostly in geometric context as follows. Let
X ! Spec R
be a birational morphism, and D a height-one regular point of X in the closed

fiber. Then OX;D carries canonically the discrete valuation v, whose valuation ring
coincides with OX;D and dominates R. The valuation v thus obtained is clearly a
divisorial valuation on K and, in fact, all divisorial valuations arise in this way.
Now let R be a Noetherian local regular domain with the fraction field K, and
v a non-trivial valuation on K dominating R. Other notations are as in ÷6.5.
6.6. (b) The case dim.R/ D 1. Since v is not trivial, the height of v must be
positive and hence is 1. As tr:degk v D 0, the valuation v is divisorial and hence is
discrete; R is a discrete valuation ring, and v is the associated valuation. Note that
v is characterized by the formula
v.f / D maxfn 0W f 2 mnR g
for any non-zero f 2 R.

6.6. (c) The case dim.R/ D 2. Since v is not trivial, we have tr:degk v 2.
(1) Divisorial case. Suppose tr:degk v D 1. Since the valuation v is non-trivial,
we have rat-rank.v/ D 1. Hence v is divisorial.
(2) Subject-to-divisorial case. If ht.v/ D rat-rank.v/ D 2, we apply 6.5.2 (3)
and deduce that the value group is isomorphic to Z˚2 with the lexicographical
order. Let p Rv be the prime ideal lying in between .0/ and mRv , and the
corresponding isolated subgroup of . Then the valuation ring Rv;p , with value
group =, is of height one. Let v 0 be the valuation associated to Rv;p . Then
tr:degk v 0 D 1, and hence v 0 is divisorial. The valuation v is the composition of
v 0 and a valuation v 00 of the residue field k 0 of Rv;p . Since Š Z is the value
group of v 00 , v 00 is also divisorial. As a result, the valuation v in this case is the
composition of two divisorial valuations.
Geometrically, such a valuation comes through the following picture. Let us
take X ! Spec R and D as before such that OX;D carries the valuation v 0 . Let
E !D x be a birational morphism to the closed subscheme D, x the closure of the
point D in X, and x be a regular closed point of E. As x is a height-one point of E,
we can consider the natural discrete valuation v 00 on OE;x and the composition v
with v 0 .
In fact, it is a general feature of valuations having lexicographically ordered
group Zd as value groups to have such an inductive structure: they are obtained by
successive composition of divisorial valuations.
(3) Irrational case. If rat-rank.v/ D 2 and ht.v/ D 1, the value group is a
subgroup of R of the form Z C Z , where is an irrational number.
(4) Limit case. If rat-rank.v/ D ht.v/ D 1 and tr:degk v D 0, then the value
group is a subgroup of Q.
For the actual construction of the valuations of type (3) and (4), see [104], ÷6.
Remark 6.6.1. We will find in II.11.1. (c) below a similar list of valuations when
classifying points of the unit disk in rigid geometry; see II.11.1.4.
6.7 a-adically separated valuation rings

Proposition
T 6.7.1. Let V be a valuation ring, and a 2 mV n f0g. Then the ideal
J D n1 .an / is a prime ideal of V .
Proof. Since J ¤ V , it suffices to show that bc 2 J and c 62 J imply b 2 J . The

assumption says that bc=an 2 V for any n 1 and that am =c 2 mV for some
m 1. If b 62 J , then an =b 2 mV for some n 1, and hence anCm =bc 2 mV ,
which is absurd.
T
This proposition implies that V = n1 .an /, the associated a-adically separated
ring, is again a valuation ring (6.4.1 (1)).
Proposition 6.7.2. Let V be a valuation ring of arbitrary height, and a 2 mV n f0g.

Then the following conditions are equivalent.
T
(a) V is a-adically separated, that is, n1 .an / D 0.

(b) V a1 is a field (hence is the fraction field of V /.
Proof. First let us show (a) H) (b). Let K be the fraction field of V , and take
x 2 K n V . We have x 1 2 mV . Suppose x 1 does not divide an for any n 1.
Then all an divide x 1 , which would imply the absurd x 1 D 0. Hence, there
exists n 1 such that .x 1 / .an /, thereby n
T xan 2 V .
Next, we show (b) H) (a). Set J D n1 .a /. Suppose there exists a non-zero
b 2 J . The element b 1 can be written as c=am for some c 2 V and m 0. Since
b 2 J , there exists d 2 V such that b D amC1 d . Consequently, am D bc D
amC1 cd , which implies acd D 1. But this contradicts a 2 mV .
An a-adically separated valuation ring has the following remarkable property,

which will be of particular importance in our later discussion.
Proposition 6.7.3. Suppose V is an a-adically separated valuation ring for pa 2

mV n f0g. Then V has a unique height-one prime ideal; explicitly, it is p D .a/.
p
Proof. By 6.2.3 p D .a/ is a prime ideal. To see it is the unique height-one prime
ideal, it suffices to show that it is actually the ‘minimum’ among all the non-zero
prime ideals of V . For this it in turn suffices to show that for any non-zero b 2 V
there exists n 1 such that an 2 .b/. Otherwise, we have an =b 62 V and hence
b 2 .an / for any n. But, since V is a-adically separated, this means that b D 0,
which is absurd.
By the proposition one can depict the spectrum of an a-adically separated val-
uation ring as in Figure 4. As the figure shows, if V is a-adically
p separated, then
the generic point .0/ has the ‘adjacent’ specialization p D .a/. In particular, any
a-adically separated valuation ring V is the composite of the height-one valuation
ring Vp and the valuation ring V =p.
p
.0/ .a/ other points mV
s s s
Figure 4. Spec V for an a-adically separated valuation ring V

pa-adically separated valuation ring for a 2 mV n f0g.

Definition 6.7.4. Let V be an
We call the prime ideal p D .a/ the associated height-one prime ideal of V (or of
the pair .V; a/).
Proposition 6.7.5. Let V be an a-adically separated valuation ring for
a 2 mV n f0g. Then every non-zero prime ideal of V is open with respect to
the a-adic topology.
p non-zero prime ideal q of V contains the associated height-

Proof. By 6.7.3, every
one prime ideal p D .a/, which contains a.
Proposition 6.7.6. Let f W V ! W be a ring homomorphism between valuation
rings, and a 2 mV n ker.f /. Suppose that V is a-adically separated and that W is
f .a/-adically separated. Then the map f is injective, and the map
Spec f W Spec W ! Spec V

p
maps the set of all a-adically open prime ideals surjectively onto the set Œ .a/,
f 1 .mW /. If, moreover, f is local (that is, W dominates V ), then it maps the set
of all non-zero prime ideals surjectively onto the set of all non-zero prime ideals.
1
Proof. The map f induces V a1 ! W f .a/ . By the assumption, this is a non-
zero map between the fraction p hence is injective. It follows that f
p fields (6.7.2) and
is injective. If we show that .f .a//\ V D .a/, then p the other assertions
p follow
fromp6.4.5 (3) and 6.4.5 (4). It suffices to check that .f .a// \ V .a/. Let
b 2 .f .a// \ V and suppose b ¤ 0; there exists n 1 such that b n D acpwith
c 2 W . Since c D b n =a 2 Frac.V /, c orpc 1 lies in V p. If c 2 V , then b 2 .a/.
1 n 1
Suppose c p 2 V . Then a D p b c 2 .a/; psince .a/ is a prime ideal, b n or
1 1 1
c lies in p.a/. If c 2 .a/, p then c 2 .f .a// mW , which is absurd.
n
Hence b 2 .a/, that is, b 2 .a/.
Exercises
Exercise 0.6.1. Let A be a ring and vW A ! [f1g a valuation on A with values in
a totally ordered commutative group . Show that for x; y 2 A with v.x/ ¤ v.y/
we have v.x C y/ D inffv.x/; v.y/g.
Exercise 0.6.2. Let V be a valuation ring, and K D Frac.A/.
(1) A V -module M is flat if and only if it is torsion free.
(2) If Z PK1 is finite over K, then the closure Z 0 in PV1 is finite flat over V .
(3) For any finitely generated flat V -algebra A such that A˝V K is finite over K,
A is quasi-finite and finitely presented over V .
7. Topological rings and modules 137
Exercise 0.6.3. Let V be an a-adically separated valuation ring for a 2 mV n f0g.

Show that a V -module M is flat if and only if M is a-torsion free, that is, for any
x 2 M n f0g and any n 0 we have an x ¤ 0.
Exercise 0.6.4. Let V be a valuation ring such that 0 < ht.V / < C1.
.1/ Show that there exists a 2 mV n f0g such that V is a-adically separated.
T thatn for any non-maximal prime ideal p V , there exists b 2 V such
.2/ Show
that p D n0 b V .
Exercise 0.6.5. Show that if V is a valuation ring of height one, then V is a-adically
separated for any a 2 mV n f0g.
7 Topological rings and modules

In this section we give a quick but reasonably detailed overview of the theory of lin-
early topologized rings and modules. First in ÷7.1 we recall the general definitions
and treatments of linearly topologized rings and modules. In 7.1. (c), we discuss
Hausdorff completions.
From ÷7.2 onward, we will be mainly interested in the so-called adic topolo-
gies. One of the most important topics in this subsection is the notion of I -adic
completion which is at first defined by a ring-theoretic mapping universality. The
existence of the I -adic completion is a delicate matter, especially when dealing
with non-Noetherian rings. Indeed, the I -adic completion exists under a mild con-
dition, but in general, as we will see below, it may fail to exist.
After briefly discussing Henselian and Zariskian rings in ÷7.3, we proceed
in ÷7.4 to one of the most delicate issues, the preservation of adicness on passage
to subspace topologies. Classically, this is guaranteed in the Noetherian case by
the well-known Artin–Rees lemma. As it will be necessary for us to treat non-
Noetherian rings, we consider analogous conditions, slightly weaker than the Artin–
Rees condition, and prove many useful results.
7.1 Topology defined by a filtration

7.1. (a) Filtrations. Let A be a ring and M an A-module. We consider a descend-
ing filtration by A-submodules F D fF g2ƒ , that is, a collection of A-submod-
ules F M indexed by a directed set ƒ, such that for ; 2 ƒ
H) F F :
Such an F D fF g2ƒ is said to be separated (resp. exhaustive) if

\ [
F D f0g (resp. F D M ).
2ƒ 2ƒ
Let f W M ! L be a morphism of A-modules, and suppose that M is endowed

with a descending filtration by A-submodules F D fF g2ƒ . Then one has the
descending filtration by A-submodules on L given by
f .F / D ff .F /g2ƒ ;
which we call the induced filtration. If L is of the form L D M=N for an

A-submodule N M and f is the canonical projection, then we have f .F / D
f.N C F /=N g2ƒ .
Similarly, for a morphism gW N ! M of A-modules, where M is endowed
with a descending filtration by A-submodules as above, one has the descending
filtration by A-submodules on N given by g 1 .F / D fg 1 .F /g2ƒ , which we
also call the induced filtration. If N is an A-submodule of M and g is the canonical
inclusion, then we have g 1 .F / D fN \ F g2ƒ .
7.1. (b) Topology defined by a filtration
Proposition 7.1.1 (cf. [24], Chapter III, ÷1.2). Let A be a ring and M an A-module
endowed with a descending filtration by A-submodules F D fF g2ƒ indexed by
a directed set ƒ. Then there exists a unique topology on M satisfying the following
conditions:
(a) the topology is compatible with the additive group structure, that is, the
addition M M ! M is continuous;
(b) fF g2ƒ gives a fundamental system of open neighborhoods of 0 2 M .
Moreover, for any a 2 A the self-map x 7! ax of M is a continuous endomorphism
with respect to this topology.
The topology on M characterized as in 7.1.1 is called the topology defined by

the filtration F . It is explicitly described as follows. A subset U M is open
if for any x 2 U there exists 2 ƒ such that x C F U . In particular,
an A-submodule N M is open if and only if it contains some F . In more
formal terms, the topology thus obtained is the one defined by the uniform structure
(cf. [24], Chapter II, ÷1.2) having fFz g2ƒ , where
Fz D f.x; y/ 2 M M W x y 2 F g
for 2 ƒ, as its fundamental system of entourages (cf. [24], Chapter III, ÷3.1); note
that since M is a commutative group by addition, the left and right uniformities
coincide.
The following facts are easy to verify, and we leave the proofs to the reader.
Proposition 7.1.2. Let M be an A-module endowed with a descending filtration

by A-submodules F D fF g2ƒ indexed by a directed set ƒ.
(1) Let f W M ! L be a morphism of A-modules. Then f is continuous with

respect to the topology on M defined by F and the topology on L defined
by f .F / (÷7.1. (a)). If, moreover, f is surjective, then the topology on L
coincides with the quotient topology, that is, the strongest topology on L such
that the map f is continuous.
(2) Let gW N ! M be a morphism of A-modules. Then g is continuous with

respect to the topology on N defined by g 1 .F / (÷7.1. (a)) and the topology
on M defined by F . If, moreover, g is injective, then the topology on N
coincides with the subspace topology, that is, the weakest topology on N
such that the map g is continuous.
Proposition 7.1.3. Let f W M ! N be a morphism of A-modules, and consider

descending filtrations fF g2ƒ and fG g2† by A-submodules on M and N , re-
spectively. We equip M and N with the topologies defined by these filtrations.
(1) The map f is continuous if and only if for any 2 † there exists 2 ƒ such
that f .F / G .
(2) The map f is an open map if and only if for any 2 ƒ there exists 2 †
such that G f .F /.
Corollary 7.1.4. Let M be an A-module, and consider two descending filtrations

by A-submodules fF g2ƒ and fG g2† . Then these filtrations define the same
topology on M if and only if any F contains some G and any G contains
some F .
Proposition 7.1.5. Let M be an A-module endowed with a descending filtration by

A-submodules F D fF g2ƒ indexed by a directed set ƒ. Then the topology on
M defined by F is Hausdorff if and only if the filtration F is separated (÷7.1. (a)).
Let M be a module over a ring A endowed with a descending filtration of A-sub-

modules F D fF g2ƒ . We leave the proof of the following (easy) proposition
to the reader as an exercise (Exercise 0.7.1).
Proposition 7.1.6. Let N M be an A-submodule. Then the closure N x of N in

M with respect to the topology defined by the filtration F is given by
\
Nx D .N C F /:
2ƒ
7.1. (c) Hausdorff completion. Let us first briefly recall some generalities on uni-
form spaces ([24], Chapter II). A uniform space X is said to be Hausdorff complete
if the topology is Hausdorff and any Cauchy filter on X is a convergent filter. It
is known ([24], Chapter II, ÷3.7) that any uniform space has the Hausdorff comple-
tion Xy and the canonical uniformly continuous mapping iX W X ! Xy in such a way
y iX / is uniquely characterized, up to canonical isomorphisms, by
that the pair .X;
a universal property with respect to uniformly continuous mappings to Hausdorff
complete uniform spaces. As a set, Xy is the set of all minimal Cauchy filters on X.
In particular, X is Hausdorff complete if and only if the canonical map iX is an
isomorphism of uniform spaces.
Let A be a ring and M an A-module equipped with a descending filtration by
A-submodules F D fF g2ƒ indexed by a directed set ƒ. Since the topology
on M defined by the filtration F is a uniform topology, one can consider the
Hausdorff completion, which we denote by
MF^ :
The Hausdorff completion MF^ is canonically a commutative group ([24], Chap-
ter III, ÷3.5, Theorem 2); moreover, since any continuous additive endomorphisms
of M , which is automatically uniformly continuous, lifts uniquely to one of MF^ ,
one sees that MF^ is an A-module and that the canonical map iM W M ! MF^
is an A-module homomorphism. Note that the notion of Hausdorff completeness
depends only on the topologies induced from the uniform structures, and hence the
Hausdorff completion MF^ depends, up to isomorphisms, only on the topologies
defined by filtrations.
By [24], Chapter III, ÷7.3, Corollary 2, the Hausdorff completion MF^ is canon-
ically identified (as an A-module) with the filtered projective limit
lim M=F
2ƒ
and the canonical map iM with the map induced by the canonical projections
M ! M=F for 2 ƒ; the uniform structure on the projective limit lim M=F
2ƒ
is the one induced by the descending filtration Fy D fFy g2ƒ (called the induced
filtration) given by
Fy D ker.MF^ ! M=F /
for each 2 ƒ, where MF^ D lim M=F ! M=F is the canonical projec-
2ƒ
tion map. In other words, it is the uniform structure by which the induced topology
is the projective limit topology, where each M=F is considered with the discrete
topology; more briefly, the topology on MF^ is the weakest one such that all pro-
jection maps MF^ ! M=F are continuous. (Note that since the composition
iM
M ! MF^ ! M=F is surjective, the canonical projection MF^ ! M=F is
surjective.)
Note that, since MF^ =Fy Š M=F , we have iM .M / C Fy D MF^ for any
2 ƒ. In particular, in view of 7.1.6, the image iM .M / is dense in MF^ . More
generally, we have Fy =Fy Š F =F for , and hence iM .F / C Fy D Fy ;
in particular, Fy coincides with the closure of iM .F / in MF^ :
Fy D iM .F /:
Proposition 7.1.7. For any 2 ƒ the submodule Fy is the closure of iM .F / in

MF^ and coincides, up to canonical isomorphisms, with the Hausdorff completion
of F with respect to the filtration induced by F .
Proof. The first statement has been already shown above. For we have the
exact sequence
0 ! F =F ! M=F ! M=F ! 0:
Since the subset f 2 ƒW g of ƒ is cofinal, applying the projective limits

lim , we have the exact sequence

0 ! lim F =F ! MF^ ! M=F ! 0I

note that the passage to projective limits is a left-exact functor and that the canon-
ical projection MF^ ! M=F is surjective. This shows that Fy coincides with
lim F =F , which is nothing but the Hausdorff completion of F with respect to

the induced filtration.
Proposition 7.1.8. Let M be an A-module endowed with a descending filtration by
A-submodules F D fF g2ƒ indexed by a directed set ƒ, MF^ the associated
Hausdorff completion, and Fy D fFy g2ƒ the induced filtration on MF^ .
(1) For any 2 ƒ we have F D iM1 .Fy /, that is, the induced filtration
i 1 .Fy / coincides with the original one F .
(2) The A-module MF^ is Hausdorff complete with respect to the topology de-
fined by the induced filtration Fy .
Proof. Since MF^ =Fy D M=F for 2 ƒ, we have
lim MF^ =Fy D lim M=F D MF^ ;

2ƒ 2ƒ
which shows (2).

(1) follows easily from the commutative diagram
i / M ^
M F

M=F MF^ =Fy ,
for any 2 ƒ, where the vertical arrows are the canonical projections.
One can easily show the following mapping universality by using [24], Chap-
ter II, ÷3.7, Theorem 3, aided by the fact that a product of Hausdorff complete
uniform spaces is Hausdorff complete ([24], Chapter II, ÷3.5, Proposition 10) and
the fact that the addition .x; y/ 7! x C y, the inversion x 7! x, and the scalar
multiplication x 7! ax (for a 2 A) are uniformly continuous.
Proposition 7.1.9 (mapping universality of Hausdorff completions). Let M be an
A-module equipped with a descending filtration F D fF g2ƒ indexed by a di-
rected set ƒ, and consider the canonical map iM W M ! MF^ . Let N be an-
other A-module, Hausdorff complete with respect to a descending filtration by A-
submodules. Then for any continuous A-module homomorphism M ! N , there
exists a unique continuous A-module homomorphism MF^ ! N such that the
resulting diagram
MF^
O ❉
iM ❉
❉"
M /N
commutes.
Remark 7.1.10. (1) An A-module M linearly topologized by a descending filtra-
tion F D fF g2ƒ by A-submodules is separated if and only if the canonical map
iM W M ! MF^ is injective.
(2) If a ring A is linearly topologized by a descending filtration F D fF g2ƒ
by ideals, then the Hausdorff completion A^ F is canonically a ring, and the canon-
^
ical map iA W A ! AF is a ring homomorphism.
7.1. (d) Hausdorff completion and exact sequences. Let us consider an exact
sequence
g f
0 !N !M !L !0
of A-modules and a descending filtration F D fF g2ƒ by A-submodules of M .
We consider the induced filtrations on N and L (cf. ÷7.1. (a)); the one on N is given
by g 1 .F / D fN \ F g2ƒ (where we regard N as an A-submodule of M ), and
the one on L is f .F / D f.N C F /=N g2ƒ (where L is identified with M=N ).

For each 2 ƒ we have the induced exact sequence
0 ! N=N \ F ! M=F ! M=.N C F / ! 0:
Now we suppose that
the directed set ƒ has a cofinal and at most countable subset.
Then by 3.2.8 the induced sequence of Hausdorff completions
0 ! Ng^ 1 .F / ! MF^ ! Lf^.F / ! 0
is exact.
To proceed, let us set for brevity G D g 1 .F / D N \ F and E D f .F /
for 2 ƒ. Let G y (resp. Fy , resp. Ey ) be the induced filtration on the Hausdorff
completion NG (resp. MF^ , resp. L^
^
E ) (cf. ÷7.1. (c)).
y (resp. Ey / coincides with the one induced
Proposition 7.1.11. The filtration G
y
from F by the map NG ! MF (resp. MF^ ! L^
^ ^
E / as in ÷7.1. (a).
Proof. For each 2 ƒ we have the commutative diagram with exact rows
0 / N ^ / M ^ / L^ /0
G F E

0 / N=G / M=F / L=E / 0.
y follows easily. One can also show the other

The assertion on the filtration G
assertion easily by diagram chasing, using the fact that the left-hand vertical arrow
is surjective (3.2.2).
Proposition 7.1.12. (1) The image of NG^ ! MF^ coincides with the closure of
the image of N by the canonical map iM W M ! MF^ .
x of N in M coincides with the pull-back of N ^ by the canon-
(2) The closure N G
ical map iM W M ! MF^ .
Proof. (1) Consider the A-submodule iM .N / C Fy for each 2 ƒ. Observe that
iM .N /C Fy is the pull-back of the image of N=N \F by the canonical projection
MF^ ! M=F . Therefore, we have the exact sequence
0 ! iM .N / C Fy ! MF^ ! L=f .F / ! 0:
Applying the projective limits lim (3.2.4), we have the exact sequence
2ƒ
\
0 ! .iM .N / C Fy / ! MF^ ! L^ E ! 0:
2ƒ
Now the assertion follows from 7.1.6.

(2) By 7.1.8 (1), one sees easily that the equality
iM1 .iM .N / C Fy / D N C F
holds for any 2 ƒ. Now the assertion follows from (1) and 7.1.6.
7.1. (e) Completeness of sub and quotient modules. Consider as before an exact
sequence
g f
0 !N !M !L !0
of A-modules, and a descending filtration F D fF g2ƒ by A-submodules of M ,
which yields the induced filtrations G D N \ F and E D f .F / on N and L,
respectively. Furthermore, we continue with the assumption that the directed set ƒ
contains a cofinal and at most countable subset.
Proposition 7.1.13. Suppose M is Hausdorff complete with respect to the topology
defined by the filtration F . Then the following conditions are equivalent:
(a) N is closed in M with respect to the topology defined by F ;
(b) N is Hausdorff complete with respect to the topology defined by G ;
(c) L is Hausdorff complete with respect to the topology defined by E .
Proof. Since M is Hausdorff complete, the exact sequence
0 ! NG^ ! M ! L^
E ! 0:
Suppose N is closed in M . Since the induced filtration Fy , defined as in ÷7.1. (c),

coincides with F , we deduce by 7.1.12 (1) that N D NG^ , which shows that N is
Hausdorff complete with respect to the topology defined by G . The above exact
sequence now shows that L D L^ E , that is, L is Hausdorff complete with respect
to the topology defined by E . Finally, if L is complete with respect to the topology
defined by E , then again by the above exact sequence we know that N D NG^ ,
which is closed in M by 7.1.12 (1).
7.2 Adic topology

7.2. (a) Adic filtration and adic topology. Let A be a ring, I A an ideal, and
M an A-module. One has the descending filtration on M by A-submodules given
by
I M D fI n M gn0 :
We call this filtration the I -adic filtration on M . The I -adic filtration fI n gn0 in
the case M D A is simply denoted by I .
Let A be a ring equipped with the I -adic filtration by an ideal I A. Then an

ideal J A is called an ideal of definition if there exist positive integers m; n > 0
such that
I m J n I:
The following proposition is an immediate consequence of 7.1.4.
Proposition 7.2.1. Let A be a ring equipped with the I -adic filtration by an ideal
I A.
(1) Let J A be an ideal of definition of A. Then for any A-module M the I -

adic filtration I M and the J -adic filtration J M define the same topology.
(2) Let J A be an ideal. If the filtrations J and I define the same topology
on A, then J is an ideal of definition of A.
Let A be a ring, and M a linearly topologized A-module. If the topology on M
is the same as the one defined by the I -adic filtration for an ideal I of A, we say
that the topology is an adic topology; if we like to spell out the ideal I , we say it is
the I -adic topology. Explicitly, a topology on M defined by a descending filtration
F D fF g2ƒ by A-submodules indexed by a directed set ƒ is I -adic if and only
if for any 2 ƒ there exists n 0 such that I n M F , and for any n 0 there
exists 2 ƒ such that F I n M (7.1.4).
Remark 7.2.2. According to EGA terminology (cf. [54], 0I , ÷7),
preadic C separated and complete D adic:
The terminology ‘preadic’ is, however, not commonly used nowadays. In this book,
too, we avoid this terminology and consider that ‘adic’ does not imply ‘separated
and complete,’ except for adic ring, which is already customarily considered to be
separated and complete with respect to an adic topology; cf. I.1.1.3 (2).
Let A and B be rings with adic topologies. A ring homomorphism f W A ! B
is said to be adic if for some ideal of definition I of A the ideal IB D f .I /B is
an ideal of definition of B. It is, in fact, easy to see that the condition for f to be
adic is equivalent IB being an ideal of definition of B for any ideal of definition I
of A. Note that, whereas ‘adic’ implies ‘continuous,’ the converse is not true. For
example, any ring homomorphism A ! B is continuous, if A is equipped with
the 0-adic topology (D discrete topology), but is not adic unless .0/ is an ideal of
definition of B.
Let f W A ! B and gW B ! C be ring homomorphisms between adically topol-
ogized rings. Then one can easily see the following:
if f and g are adic, then so is the composite g ı f ;
if g ı f and f are adic, then so is g.
Let A be a ring, I A an ideal, and M an A-module considered with the

I -adic topology. We say that
T
M is I -adically separated, if n0 I n M D f0g or, equivalently, the canon-
ical map iM W M ! lim M=I n M is injective;
n0
M is I -adically complete, if it is Hausdorff complete with respect to the
I -adic topology, that is, the canonical map iM W M ! lim M=I n M is
n0
an isomorphism.
Note that what we mean by ‘complete’ with respect to I -adic topology is ‘Hausdorff
complete,’ that is, in our convention ‘I -adically complete’ implies ‘I -adically sep-
arated.’
Lemma 7.2.3. Let A be a ring, I A an ideal, and M an A-module considered

with the I -adic topology. Suppose there exists an integer n 1 such that I n M D 0.
Then M is I -adically complete.
The following proposition will be frequently used later.
Proposition 7.2.4 ([81], Theorem 8.4). Let A be a ring, I A an ideal, and

M an A-module. Suppose that A is I -adically complete and that M is I -adically
separated. Let fx1 ; : : : ; xr g M . If f.x1 mod IM /; : : : ; .xr mod IM /g generates
M=IM over A=I , then fx1 ; : : : ; xr g generates M over A. In particular, M is
finitely generated if and only if M=IM is finitely generated over A=I .
Proposition 7.2.5. Let A be a ring topologized by a descending filtration F D

fF g2ƒ by ideals, and suppose it is Hausdorff complete. Let I A be a topolog-
ically nilpotent ideal, that is, for any 2 ƒ there exists n 0 such that I n F .
Then A is I -adically complete if either one of the following conditions is satis-
fied.
(a) I n is closed in A for any n 0.
(b) I is finitely generated.
T
Proof. (a) We have I n D 2ƒ .I n C F / for any n 0. Take for any 2 ƒ an
integer N 0 such that I n F for n N . Then
lim A=I n D lim lim A=.I n C F /

n0 n0 2ƒ
D lim A=.I n C F /
n;
D lim lim A=F D A

nN
(up to canonical isomorphisms), where the second equality is due to (dual of) Exer-
cise 0.1.1, and the third equality is obtained by replacing the index set by a cofinal
one.
(b) Clearly, A is I -adically separated. Let fxn gn0 be a sequence in A such that
for n m we have xn xm mod I n . There exists x 2 A such that x xn mod
F for sufficiently large (depending on n). We want to show that x is the limit of
fxn g with respect to the I -adic topology. Set I D .a1 ; : : : ; ar /, and let k 1 be an
arbitrary fixed positive integer. Let 1 ; : : : ; s be the monomials in ai ’s of degree k.
Then one finds inductively s elements yl;j 2 A (l 0, j D 1; : : : ; s) such that
P
xkCl xk D js D1 yl;j j ;
yl;j yl 0 ;j mod I l for l 0 l and j D 1; : : : ; s.
Since yl;j for each j converges in A to an element yj , we have x D xk C
Ps k
j D1 yj j , which belongs to I , as desired.
In connection to the above proposition, we remark here that there is a flaw

in [54], 0I , (7.2.4), which has been repaired in the Springer version [53], 0,
(7.2.4).
7.2. (b) I-adic completion. Our definition of I -adic completions is given by us-
ing the universal mapping property and, a priori, presented independently from the
notion of Hausdorff completions.
Definition 7.2.6. Let A be a ring, I A an ideal, and M an A-module. An I -adic

completion of M is an A-module M y together with an A-module homomorphism
y
iM W M ! M such that the following conditions are satisfied:
y is I -adically complete;
(a) M
(b) for any I -adically complete A-module N and any A-module homomor-
phism f W M ! N , there exists uniquely an A-module homomorphism
fOW M
y ! N such that the resulting diagram
y
MO ❆ O
❆
iM ❆f
❆
M /N
f
commutes.
It is clear by definition that an I -adic completion of M is, if it exists, unique up

to canonical isomorphisms.
As we will see in 7.2.10 below, the I -adic completion thus defined may
fail to exist in general. It exists, however, under a mild condition; see
7.2.15 and 7.2.16 below.
Here the subtlety concerning the existence can be more clearly illustrated as fol-
lows. Consider the Hausdorff completion of M with respect to the I -adic topology,
which we denote in what follows simply by11
MI^ D lim M=I n M:
n0
Then, as we are soon going to see,

if MI^ is I -adically complete, then this together with the canonical map
M ! MI^ actually gives an I -adic completion of M ;
conversely, if the I -adic completion My of M exists, then it is isomorphic
^
to MI .
Hence the clue for the existence of the I -adic completion lies in whether or not the
Hausdorff completion with respect to the I -adic topology is I -adically complete or
not. The above dangerous bend says that, actually, there exists an example in which
the Hausdorff completion with respect to the I -adic topology is not I -adically com-
plete.
Suppose that the I -adic completion iM W M ! M y of M exists, and consider the
canonical projections
pn W M ! M=I n M; y !M
qn W M y =I n M
y;
y induces for each n 0 a
for n 0. The A-module homomorphism iM W M ! M
n y n y
map in W M=I M ! M =I M such that the diagram
iM
M y
/M
pn qn

M=I n M y =I n M
/M y
in
commutes. Note that, since M=I n M is I -adically complete by 7.2.3, we have the
y ! M=I n M such that pOn ı iM D pn for n 0, which then
unique maps pOn W M
induce by passage to the projective limits the morphism
y ! M ^ D lim M=I n M
pW M I
n0
such that p ı iM D pn .
11
The notation MI^ is the abbreviation of MI^ M , the Hausdorff completion of M with respect to the
I -adic topology on M .
Proposition 7.2.7. The morphism p is an isomorphism.

y is I -adically complete, the canonical morphism
Since M
y ! lim M
M y =I n M
y
n0
is an isomorphism. Hence the proposition follows from the following lemma.

y =I n M
Lemma 7.2.8. For each n 0 the map in W M=I n M ! M y is an isomor-
phism.
Proof. The A-module homomorphism pOn induces jn W M y =I n M
y ! M=I n M such
that jn ı qn D pOn . We want to show that the maps in and jn are inverse to each
other.
Consider first the composition jn ı in . Since
jn ı in ı pOn ı iM D jn ı in ı pn D jn ı qn ı iM D pOn ı iM ;
we have
jn ı in ı pOn D pOn
by the mapping universality of I -adic completions. But since pOn is surjective (be-
cause pn is surjective), we deduce that
jn ı in D idM=I n M :
Next we discuss in ı jn . We first note that M y =I n M

y is I -adically complete
(by 7.2.3), and hence the canonical projection qn is the unique map that makes the
above diagram commute. We have
in ı jn ı qn ı iM D in ı pOn ı iM D in ı pn D qn ı iM ;
and hence
in ı jn ı qn D qn :
Since qn is surjective, we deduce that
in ı jn D idMy =I n My ;
as desired.
Let A be a ring, I A an ideal, and M an A-module. Consider the Hausdorff
completion MI^ of M with respect to the I -adic topology. Similarly, we set
Fy k D lim I k M=I kCn M for each k 1,

n0
which is the Hausdorff completion of I k M with respect to the I -adic topology. As

in 7.1.7, fFy k gk1 gives the descending filtration by A-submodules on MI^ induced
from the I -adic filtration on M . The following statement, which is a corollary
of 7.2.7 (and 7.2.8), gives an existence criterion of the I -adic completion of M .
Corollary 7.2.9. The following conditions are equivalent:
(a) an I -adic completion iM W M ! M y exists;
(b) the A-module MI^ is I -adically complete;
(c) I k MI^ is closed in MI^ with respect to the topology defined by the filtration
fFy n gn1 for any k 1;
(d) Fy k D I k MI^ for any k 1.
Proof. Implication (a) H) (b) follows from 7.2.7. Conversely, if (b) holds, then
one can check that MI^ together with the canonical morphism M ! MI^ gives an
I -adic completion, thanks to the mapping universality of projective limits, whence
the implication (b) H) (a).
Next we show that (c) () (d). Implication (d) H) (c) follows immediately.
By 7.1.7, Fy k is the closure of the image of I k M under the map M ! MI^ ;
since I k MI^ contains the image, and since I k MI^ Fy k , Fy k is the closure of
I k MI^ . Hence we have the other implication (c) H) (d).
Suppose that (a) holds. Since Fy k is the kernel of the map MI^ ! M=I k M ,
we have Fy k D I k MI^ for any k 1 by 7.2.7 (and 7.2.8), whence the implication
(a) H) (d). Finally, if (d) holds, then
MI^ D lim MI^ =Fy k D lim MI^ =I k MI^ ;

k1 k1
which shows that MI^ is I -adically complete, whence (d) H) (b).

Example 7.2.10. Let A D kŒx1 ; x2 ; x3 ; : : : be the polynomial ring of countably
many variables over a field k, and I D .x1 ; x2 ; x3 ; : : :/ the ideal of A generated by
all the indeterminacies. We claim that the I -adic completion of A does not exist.
Indeed, assuming the contrary, B D AI^ D lim A=I n would be IB-adically
n0
complete and hence IB D Fy 1 D P ker.B ! A=I /. But one can show that the
infinite sum x1 C x2 C x3 C D 1
2 3 i
i D1 xi does not converge with respect to the
P
IB-adic topology as follows. Indeed, consider the partial sums sk D kiD1 xii for
k 1 and suppose that fsk gk1 has the limit s 2 B with respect to the IB-adic
topology; since s sk lies in Fy kC1 D ker.B ! A=I kC1 / for each k, s is also
the limit of fsk gk1 with respect to the topology defined by the filtration fFy k g;
consequently s 2 Fy 1 D IB, which is absurd.
7.2. (c) Criterion for adicness. It is in general difficult to determine whether a

given topology defined by a filtration is adic or not. Let us state some criteria for
adicness. The following proposition is a rehash of some contents in [53], 0, ÷7.2,
and [27], Chapter III, ÷2.11.
Proposition 7.2.11. Let A be a ring endowed with a descending filtration by ideals

fF .n/ gn0 indexed by non-negative integers and such that F .0/ D A. Set I D F .1/ .
Suppose that the following conditions are satisfied.
(a) A is Hausdorff complete with respect to the topology defined by the filtration
fF .n/ gn0 . In other words, the canonical map
i W A ! lim A=F .n/

n0
is an isomorphism.
(b) For any n > 0 the induced filtration on A=F .n/ (cf. ÷7.1. (a)) is I -adic; in
other words,
I m .A=F .n/ / .D .F .1/ =F .n/ /m / D F .m/ =F .n/
for any m and n with 0 m n.

(c) F .1/ =F .2/ is finitely generated as an ideal of A=F .2/ .
Then we have
F .n/ D I n
for any n 0, and thus the filtration fF .n/ gn0 is I -adic. In particular, A is
I -adically complete, and I is finitely generated.
As a first corollary of the proposition, we have the following useful statement.
Proposition 7.2.12. Let B be a ring, and J B a finitely generated ideal. Suppose

that B is J -adically complete, that is,
B D lim Bk ;
k0
where Bk D B=J kC1 for k 0. Let fAk gk0 be a projective system of B-algebras
such that for k l the transition map Al ! Ak is surjective, with the kernel equal
to J kC1 Al . Let A D lim Ak , and consider the descending filtration fF .n/ gn0
k0
by the ideals F .0/ D A and F .n/ D ker.A ! An 1 / for n 1. Set I D F .1/ .
Then the ring A is I -adically complete and I D JA.
To show this, we first need the following elementary fact.

Lemma 7.2.13. Let A be a ring, and I A an ideal, and suppose A is I -adically

complete. Then 1 C I A . In particular, I is contained in the Jacobson radical
of A.
P
Proof. The inverse of 1 a since a 2 I is given by 1 n
nD0 a , which belongs to A,
for A is I -adically complete.
Proof of Proposition 7.2.12. First note that each projection map A ! An 1 for
n 1 is surjective (3.2.2). Note also that J m A F .m/ for any m 1. We have
An 1 =IAn 1 D A=I D A0 D An 1 =JAn 1 ;
which shows that I D JA C F .n/ . This implies that IAn 1 D JAn 1 and hence
that
I m An 1 D J m An 1 D F .m/ An 1 D F .m/ =F .n/
for 0 m n. Hence we can apply 7.2.11 to conclude that I n D F .n/ for
n 1 and that A is I -adically complete. Moreover, in view of 7.2.13, the equality
JA C I 2 D I implies I D JA, by Nakayama’s lemma.
Proposition 7.2.14. Let A be a ring, I A a finitely generated ideal, and M
an A-module endowed with a descending filtration by A-submodules of the form
fF .n/ gn0 with F .0/ D M such that I n M F .n/ for any n 0. Suppose that the
following conditions are satisfied:
(a) A is I -adically complete, and M is Hausdorff complete with respect to the
topology defined by the filtration F . In other words, the canonical map
i W M ! lim M=F .n/

n0
is an isomorphism;
(b) for any n > 0 the induced filtration on M=F .n/ (cf. ÷7.1. (a)) is I -adic. In
other words, we have
I m .M=F .n/ / D F .m/ =F .n/
for any 0 m n.
Then we have
F .n/ D I n M
for any n 0, and thus the filtration fF .n/ gn0 is I -adic. In particular, M is
I -adically complete. If, moreover,
(c) M=F .1/ is finitely generated as an A-module,
then M is finitely generated as an A-module.
Proof. Consider B D A ˚ M and regard it as an A-algebra with respect to the mul-

tiplication .a; x/ .a0 ; x 0 / D .aa0 ; ax 0 C a0 x/ for a; a0 2 A and x; x 0 2 M ; this is a
ring with the square-zero ideal M B. Consider a descending filtration fJ .n/ gn0
by the ideals J .n/ D I n ˚ F .n/ , n 0, and set J D J .1/ . By (a), the ring B is
Hausdorff complete with respect to the topology defined by this filtration, since,
clearly, Hausdorff completion commutes with direct sums. Moreover, I n B J .n/
for n 0 by the assumption. By (b) with m D 1, one has I.M=F .n/ / D F .1/ =F .n/
and hence I m .M=F .n/ / D I m 1 .F .1/ =F .n/ / for any m 1. Consequently,
J m .B=J .n/ / D I m =I n ˚ I m 1
.F .1/ =F .n/ /
D I m .A=I n ˚ M=F .n/ /
D I m ˚ F .m/ =I n ˚ F .n/
D J .m/ =J .n/ :
(Note that the first line shows that J m .B=J .n/ / D I m .B=J .n/ /.) Moreover,
J .1/ =J .2/ D I.A=I 2 ˚ M=F .2/ / D I.B=J .2/ /
is finitely generated. Hence it follows from 7.2.11 that J .n/ D J n for n 1,
that B is J -adically complete, and that J B is finitely generated. Now, setting
Bk D B=J kC1 for k 0, we see that the kernel of the surjective map Bl ! Bk for
k l is given by J kC1 =J lC1 D I kC1 Bl and so that by 7.2.12 we have J D IB,
and hence J n D I n B for n 1. In particular, I n M is closed in M , and hence
F .n/ D I n M , as desired. If M=F .1/ D M=IM is finitely generated, M is finitely
generated due to 7.2.4.
7.2. (d) Existence of I-adic completions. As indicated in 7.2.10, it is highly non-

trivial whether or not the I -adic completion exists for a given adically topologized
module. The following propositions shows that the existence holds if the ideal I is
finitely generated.
Proposition 7.2.15. Let A be a ring and I A a finitely generated ideal. Then
the Hausdorff completion
AI^ D lim A=I n
n0
of A with respect to the I -adic topology is I -adic complete. In particular, the
I -adic completion of A exists.
Proposition 7.2.16. Let A be a ring, I A a finitely generated ideal, and M an
A-module. Then the Hausdorff completion MI^ of M with respect to the I -adic
topology is I -adically complete. In particular, the I -adic completion M y of M
y is finitely generated over
exists. If, moreover, M=IM is finitely generated, then M
the I -adic completion Ay of A.
Proof of Proposition 7.2.15. Consider the Hausdorff completion B D AI^ of A

with respect to the I -adic topology, and set F .k/ D lim I k =I kCn for k 1.
n0
By 7.2.9, it suffices to show the equality F .k/ D I k B for each k 0. To this
end, we need to check F .1/ D IB and to verify (a), (b), and (c) in 7.2.11 (with A
replaced by B). Condition (a) is clear. Since F .m/ =F .n/ D I m =I n for 0 m n,
(b) is also verified. Finally, by the assumption, F .1/ =F .2/ D I=I 2 is finitely gener-
ated as an ideal of B=F .2/ D A=I 2 , and thus (c) holds. Thus we have shown that
B is J -adically complete, where J D F .1/ . Moreover, by 7.2.4 we deduce that J
is finitely generated, since J =J 2 D F .1/ =F .2/ D I=I 2 is finitely generated as an
ideal of B=F .2/ D A=I 2 .
Next we show that the equality J D IB holds. Since the image of I in B is
dense in J , the finitely generated ideal IB is dense in J . In particular, IBCJ 2 D J .
Then the desired equality follows, in view of 7.2.13, from Nakayama’s lemma.
Proof of Proposition 7.2.16. By 7.2.15, we already know that the I -adic comple-
tion Ay of A exists. Let N D MI^ be the Hausdorff completion of M with respect
to the I -adic topology. We consider the filtration fF .k/ gk1 on N given by
F .k/ D lim I k M=I kCn M; k 1:

n0
In view of 7.2.9 we only need to show that N is I -adically complete and, to this
end, to check the conditions in 7.2.14 with M replaced by N , A by A,y and I by
y
I A. Condition (a) is clear. Since N=F .n/
D M=I M for n 0 and F =F .n/ D
n .m/
m n
I M=I M for 0 m n, (b) also holds.
7.3 Henselian rings and Zariskian rings

7.3. (a) Henselian rings. Recall that (cf. [33], [50], and [75]) a ring A endowed
with an I -adic topology (I A) is said to be Henselian with respect to I or
I -adically Henselian if it satisfies either one of the following equivalent condi-
tions:
(a) for any étale morphism X ! Spec A, any section 0 of the morphism
X0 .D X Spec A Spec A0 / ! Spec A0 , where A0 D A=I , lifts to a section
of X ! Spec A:
/X
C X0 A
☛
0
✤
✸
/ Spec AI
Spec A0
(b) the ideal I is contained in the Jacobson radical of A, and for any monic
polynomial F .T / 2 AŒT such that F .0/ 0 mod I and F 0 .0/ is invertible
in A=I , there exists a 2 I such that F .a/ D 0 (that is, Hensel’s lemma
holds for monic polynomials).
(It is easy to see that the property ‘Henselian’ is actually a topological one.) Simi-
larly to completion, there is the notion of Henselization
iA W A ! Ah ;
characterized up to isomorphisms by a universal mapping property similar to that

for I -adic completions (7.2.6). The Henselization Ah always exists, even when the
ideal I is not finitely generated. Here is a rough sketch of the construction: the pair
.Ah ; IAh / is the inductive limit of all pairs .B; IB/ with B an étale A-algebra such
that B=IB Š A=I ; see [50] and [75], ÷2.8, for other (equivalent) constructions.
Proposition 7.3.1. The property ‘Henselian’ is preserved by filtered inductive lim-
its. More precisely, if fA g2ƒ is an inductive system of rings with adic topologies
with adic transition maps (÷7.2. (a)), and if all A are Henselian, then the inductive
limit A D lim A with the induced adic topology is Henselian.
!2ƒ
The proof is easy and left to the reader (cf. [50], 3.6). Note that the analogous
statement for ‘adically complete’ is not true.
7.3. (b) Zariskian rings. The following proposition is easy, and the proof is left
to the reader.
Proposition 7.3.2. The following conditions for a ring A and an ideal I A are
equivalent:
(a) for any a 2 I the element 1 C a is invertible in A, that is, 1 C I A ;
(b) an element a 2 A is invertible if and only if a mod I is invertible in A=I ;
(c) I is contained in the Jacobson radical of A.
A ring A endowed with the I -adic topology defined by an ideal I A is
Zariskian with respect to I , or I -adically Zariskian, if it satisfies the equivalent
conditions in 7.3.2. We have already seen in 7.2.13 that any I -adically complete
ring is I -adically Zariskian. Note that, due to condition (c) in 7.3.2, ‘Zariskian’ is
a topological property.
For an arbitrary ring A and an ideal I A one can construct the associated
Zariskian ring AZar simply by setting AZar D S 1 A, where S D 1 C I is the multi-
plicative subset consisting of all elements of the form 1 C a, with a 2 I . It is clear
that this construction gives a unique solution to the universal mapping property
similar to the universal mapping properties of completion and of Henselization.
Proposition 7.3.3. Let A be a ring, and I A an ideal. Then the following

(a) A is I -adically Zariskian;
(b) every maximal ideal of A is open with respect to the I -adic topology, and for
any I -adically open prime ideal p A, the localization Ap is IAp -adically
Zariskian;
(c) for any maximal ideal m A, Am is IAm -adically Zariskian.
Proof. If A is I -adically Zariskian, then any maximal ideal m contains I and hence
is open. Let p be an open prime ideal. Since p contains I n for some n > 0, it
contains I . We need to show that any element of A of the form f C a, where
f 62 p and a 2 I , is invertible in Ap . Suppose it is not. Then f C a 2 pAp . Since
f 62 pAp , we have a 62 pAp . But this is absurd, since I p. Hence we have
implication (a) H) (b). Implication (b) H) (c) is trivial and implication (c) H) (a)
is easy to verify.
Remark 7.3.4. The term ‘Zariskian’ is coined from the already widespread term
‘Zariski ring’ ([109], Chapter VIII, ÷4). The required condition 1 C I A is, if
A is Noetherian, equivalent to several other conditions as in [109], Chapter VIII,
Theorem 9. When A is not Noetherian, however, it is not necessarily equivalent to
all of them; in fact, an examination of the proof of [109], Chapter VIII, Theorem 9,
leads one to the question of validity of Artin–Rees lemma, which will be at the
center of our later observation in ÷7.4; cf. 7.4.16 below.
7.3. (c) Interrelation of the conditions

Proposition 7.3.5. Let A be a ring endowed with an adic topology defined by an
ideal I A.
(1) The following implications hold:
‘complete’ H) ‘Henselian’ H) ‘Zariskian.’
(2) There exists a unique adic homomorphism (cf. ÷7.2. (a)) AZar ! Ah such that
the diagram
AZarb❉ / Ah
>
❉❉ ⑥
❉❉ ⑥⑥
⑥⑥
A
commutes. If the I -adic completion Ay of A exists, then there exists a unique
adic homomorphism Ah ! Ay such that the diagram
Ah `❅ / Ay
❅❅ @
❅❅
A
commutes.
Proof. By Hensel’s lemma (cf. [27], Chapter III, ÷4.3, Theorem 1), we know that
I -adically complete rings are I -adically Henselian. It is clear from the defini-
tion (cf. ÷7.3. (a)) that I -adically Henselian rings are I -adically Zariskian. This
proves (1).
(2) follows immediately from the universal mapping properties.
In particular, it follows that, for example, the IAh -adic completion of Ah co-
incides up to canonical isomorphism with A, y and the IAZar -adic Henselization of
Zar h
A with A , etc.
In the rest of this subsection we collect some basic facts on the canonical maps
AZar ! Ah and AZar ! A, y etc. concerning flatness.
Lemma 7.3.6. Let A and B be rings with adic topologies, I A an ideal of defi-
nition of A, and f W A ! B an adic homomorphism. Suppose that A is I -adically
Zariskian and that B is A-flat. Then the following conditions are equivalent.
(a) The induced morphism A=I ! B=IB is faithfully flat.
(b) The morphism f W A ! B is faithfully flat.
Proof. Implication (b) H) (a) is clear. To show the converse, let N be a finitely
generated A-module such that N ˝A B D 0. We have N ˝A B=IB D 0, and hence
N=IN D N ˝A A=I D 0 due to (a). Since A is I -adically Zariskian, we deduce
that N D 0 by Nakayama’s lemma.
Proposition 7.3.7. Let A be a ring with an adic topology, and Ah the Henselization.
Then the map A ! Ah is flat.
Proof. As Ah is isomorphic to the inductive limit of a system of rings étale over A,
Ah is flat over A.
Note that the analogous statement for ‘completion’ may fail to hold; the
canonical map A ! Ay may not be flat in general (cf. Exercise 0.7.7).
Proposition 7.3.8. Let A be a ring endowed with an adic topology defined by an

ideal I A.
(1) The canonical map AZar ! Ah (7.3.5 (2)) is faithfully flat.
(2) If the I -adic completion Ay exists and if the canonical map A ! Ay is flat,
then the canonical map AZar ! Ay (7.3.5 (2)) is faithfully flat.
Proof. (1) It follows from 7.3.7 that the map AZar ! Ah is flat. By the construction
of the Henselization we know that AZar =IAZar Š Ah =IAh . Hence the assertion
follows from 7.3.6.
(2) Since AZar =IAZar Š A= y Iy, the assertion follows immediately from 7.3.6.

7.4 Preservation of adicness

7.4. (a) General observation. Let A be a ring, and consider an exact sequence of
A-modules:
g f
0 ! N ! M ! L ! 0: (F)
Let I A be an ideal of A, and consider the I -adic filtration I M D fI n M gn0
on M . This filtration induces, as in ÷7.1. (a), the filtration fG .n/ D N \ I n M gn0
on N and the filtration fE .n/ D .N C I n M /=N gn0 on L. It will be important
in many places in the sequel to know whether or not these induced topologies are
the I -adic ones. In order to prepare for such situations, let us here make a general
observation.
To this end, let us temporarily consider the following situation. Let A be a
ring, I A an ideal, and M an A-module equipped with a descending filtration
F D fF .n/ gn2Z by A-submodules indexed by the directed set of all integers. We
consider the following conditions for the filtration:
(F1) IF .m/ F .mC1/ for any m 2 Z, and
(F2) there exist p 0 and q 2 Z such that I p M F .q/ .
Note that the second condition is satisfied if, for example, there exists q 2 Z such
that F .q/ D M .
Lemma 7.4.1. The topology on M is I -adic if the filtration F satisfies (F1), (F2),
and
(F3) there exist c 0 and d 2 Z such that F .nCd / I n M for any n c.
Proof. First note that (F1) and (F2) imply that I mCp M F .mCq/ for any m 0.
Set e D maxfc; pg. Then we have the inclusions
F .nCd / I n M F .nCq p/
and I nCd Cp M F .nCd Cq/ I nCq M
for any n e. Hence the assertion follows from 7.1.4.

Definition 7.4.2. Let A be a ring, I A an ideal, and M an A-module equipped
with a descending filtration by A-submodules F D fF .n/ gn2Z . We say that the
filtration F is I -good if it satisfies (F1) and
(F4) there exists an integer N such that IF .n/ D F .nC1/ for n N .
Lemma 7.4.3. If F is I -good, then it satisfies (F3). In particular, if F is I -good
and satisfies (F2), then the topology on M defined by the filtration F is I -adic.
Proof. If F is I -good, we deduce by induction that I n F .d / D F .nCd / for any
d N and n 0. Then we have F .nCd / D I n F .d / I n M . The last assertion
follows from 7.4.1.
7.4. (b) I-adicness of quotient topologies. Now we turn back to the exact se-
quence (F) in ÷7.4. (a). First we study the filtration E on the quotient module
L induced by the I -adic filtration I M on M . In fact, one can readily show that
the topology on L is always I -adic, since it is completely elementary to check that
.N C I n M /=N D I n .M=N / for n 0.
Lemma 7.4.4. The induced filtration E on the quotient module L D M=N coin-
cides with the I -adic filtration I L.
Proposition 7.4.5. Let A be a ring, I A an ideal, and f W M ! L a surjective
morphism of A-modules.
(1) The induced map fI^ W MI^ ! LI^ between the Hausdorff completions with
respect to the I -adic topologies is also surjective.
(2) If N D ker.f /, then

ker.fI^ / D lim N=.N \ I n M /;
n0
which coincides with the closure (with respect to the topology defined by the
filtration fFy .n/ D ker.MI^ ! M=I n M /gn0 / of the image of N in MI^
under the canonical map M ! MI^ .
Proof. Since the topology on L defined by the induced filtration E is I -adic, we
have a canonical isomorphism L^ ^
E Š LI between the Hausdorff completion with
respect to the topology defined by the filtration E and the Hausdorff completion
with respect to the I -adic topology. Hence we get as in ÷7.1. (d) the exact sequence
0 ! NG^ ! MI^ ! LI^ ! 0:
In particular, we have (1). By 7.1.12 (1), we also have (2).
Corollary 7.4.6. Let A be an I -adically complete ring with respect to an ideal
I A, and M an I -adically complete A-module. Let N M be an A-submodule
of M . Then the quotient M=N is I -adically complete if and only if N is closed in
M with respect to the I -adic topology.
I A. Then any finitely generated I -adically separated A-module is I -adically
complete.
Proof. Let M be a finitely generated A-module, and write M Š A˚m =K for some
m > 0 and an A-submodule K A˚m . By 7.4.5, MI^ Š A˚m =K, x where Kx
˚m
is the closure of K in A with respect to the I -adic topology; note that A˚m is
I -adically complete. Hence the canonical map M ! MI^ is surjective. If, further-
more, M is I -adically separated, it is injective.
Since any A-submodule of an I -adically separated A-module is I -adically sep-

arated, we have the following immediate corollary.
I A, and M an I -adically separated A-module. Then any finitely generated
A-submodule N M is I -adically complete.
Note that the submodule N in 7.4.8 is not necessarily closed in M , whereas
it is I -adically complete; in fact, the subspace topology on N induced by
the I -adic topology on M may fail to coincide with the I -adic topology on N .
Consequently, the quotient M=N is not necessarily I -adically complete.
7.4. (c) I-adicness of subspace topologies. Let A be a ring, I A an ideal,

M an A-module, and N M an A-submodule of M . We consider the I -adic
topology on M . It is usually a very delicate problem to determine whether the
subspace topology on N induced by the I -adic topology on M or, what amounts
to the same, the topology defined by the induced filtration G D fN \ I n M gn0
(cf. 7.1.2 (2)), is I -adic or not.
Let us start with the following lemma, which follows immediately from 7.1.4
and the obvious inclusions I m N N \ I m M .m 0/.
Lemma 7.4.9. The topology on N defined by the induced filtration
G D fN \ I n M gn0
is I -adic if and only if

./ for any n 0 there exists m 0 such that N \ I m M I n N .
Proposition 7.4.10. Let A be a ring and I A an ideal. Consider an exact
sequence
g f
0 !N !M !L !0
of A-modules. If N M satisfies ./ in 7.4.9, then the sequence
gI^ fI^
0 ! NI^ ! MI^ ! LI^ ! 0
consisting of Hausdorff completions with respect to the I -adic topologies is exact.

Proof. We have already obtained, in the proof of 7.4.5, the exact sequence
0 ! NG^ ! MI^ ! LI^ ! 0:
Since the topology defined by the filtration G on N is I -adic by 7.4.9, we have

NG^ Š NI^ .
It is easy to see that, in the situation as in 7.4.9, ./ is satisfied if N is an open

submodule of M . Indeed, if I s M N .s 0/, then for any n 0 one has
N \ I nCs M D I nCs M I n N . However, for a general N , ./ in 7.4.9 is not
necessarily satisfied. In this connection, it is useful to axiomatize some practical
conditions for I -adicness of subspace topologies. Let A be a ring and I A an
ideal:
(AP) any A-submodule N M of a finitely generated A-module M satisfies ./
in 7.4.9;
(APf) any finitely generated A-submodule N M of a finitely generated A-mod-
ule M satisfies ./ in 7.4.9.
Proposition 7.4.11. Let A be a ring, and I A a finitely generated ideal. Suppose

that A with the I -adic topology satisfies (APf). Then if
g f
N !M !L
is an exact sequence of finitely generated A-modules, the induced sequence of

I -adic completions
gO O
Ny ! My f! L
y
y is exact on the full subcat-
is exact. Hence the I -adic completion functor M 7! M
egory of ModA consisting of finitely generated A-modules.
Proof. Let N1 (resp. L1 ) be the image of the map gW N ! M (resp. f W M ! L).

Then 7.4.10 implies that
0 ! Ny1 ! M
y !L
y1 ! 0
is exact. We need to show that

the map Ny ! Ny1 is surjective, and
the map Ly1 ! L
y is injective.
The former assertion follows promptly from 7.4.5 (1). For the latter we apply 7.4.10
to the exact sequence 0 ! L1 ! L ! L=L1 ! 0, where L1 L satisfies ./
in 7.4.9.
Proposition 7.4.12. Let A be a ring, I A an ideal, M an A-module, and N M

an A-submodule of M . Suppose that
(i) M is I -adically complete, and
(ii) N M satisfies ./ in 7.4.9.
The following conditions are equivalent.

(a) N is closed in M with respect to the I -adic topology.
(b) N is I -adically complete.
(c) M=N is I -adically complete.
This follows immediately from 7.1.13 in view of the fact that the filtration on
M=N induced by the I -adic filtration on M is I -adic (due to 7.4.4) and the induced
topology on N is I -adic (due to the assumption). Note that assumption (ii) is
automatic in either of the following cases:
M is finitely generated and A satisfies (AP);
M and N are finitely generated and A satisfies (APf);
N is open in M with respect to the I -adic topology.
Proposition 7.4.13. Let A be a ring and I A a finitely generated ideal. Consider

a finitely generated A-module M and an A-submodule N M . Suppose that
either one of the following conditions is satisfied.
A with the I -adic topology and the I -adic completion Ay with the I A-adic
y
topology satisfy (AP).
N is open in M with respect to the I -adic topology.
Then the I -adic completion Ny coincides with the closure of the image of N in M
y.
Moreover, we have the exact sequence
0 ! Ny ! M
y ! M =N ! 0: 1
Proof. By the assumption, the I -adic completion Ny coincides with the Hausdorff
completion of N with respect to the induced filtration fN \ I n M gn0 . Hence, the
canonical map Ny ! M y is injective, and, by 7.1.12, its image coincides with the
closure of the image of N in M y . We obtain the desired exact sequence thanks to
the observation in ÷7.1. (d) and 7.4.4.
Finally, let us mention here that any adically topologized Noetherian ring A
satisfies (AP) (which amounts to the same as (APf)).
Proposition 7.4.14. Let A be a Noetherian ring endowed with the I -adic topology
defined by an ideal I A. Then A satisfies (AP).
The proposition is classical, verified by Artin–Rees lemma, which we will men-

tion below (8.2.11).
7.4. (d) Useful consequences of the conditions

Proposition 7.4.15. Let A be a ring and I A a finitely generated ideal. Suppose
that the ring A together with the I -adic topology satisfy (APf) in ÷7.4. (c). Then
for any finitely presented A-module M the canonical morphism
M ˝A Ay ! M
y
is an isomorphism.
Proof. Take a finite presentation
A˚q ! A˚p ! M ! 0;
and consider the commutative diagram with exact rows
A˚q ˝A Ay / A˚p ˝A Ay / M ˝A Ay /0

Ay˚q / Ay˚p y
/M / 0.
Here the exactness of the second row is a consequence of (APf) via 7.4.11. Since
the first two vertical arrows are clearly isomorphisms, the third is also an isomor-
phism.
Proposition 7.4.16. Let A be a ring with the I -adic topology defined by an ideal
I A satisfying (APf) in ÷7.4. (c). Then the following conditions are equiva-
lent:
(a) A is I -adically Zariskian;
(b) any finitely generated A-module is I -adically separated;
(c) any A-submodule of a finitely generated A-module M is closed in M with
respect to the I -adic topology;
(d) any maximal ideal of A is closed with respect to the I -adic topology.
Proof. The proposition can be shown similarly to [27], Chapter III, ÷3.3, Proposi-
tion 6; we include the proof for the reader’s convenience.
T we prove (a) H) (b). Let M be a finitely generated A-module, and take
First
x 2 n0 I n M . We want to show that x D 0. Consider the submodule Ax of M .
By virtue of (APf), the topology on Ax induced by M is the I -adic topology, which
is, however, the coarsest topology on Ax, for Ax is contained in all neighborhoods
of M . Hence, I x D Ax, which means .1 a/x D 0 for some a 2 I . Since
1 C I A , we have x D 0, as desired.
Next we show (b) H) (c). Let N be an A-submodule of M . Then M=N is

I -adically separated, whence (c) (cf. Exercise 0.7.1).
As implication (c) H) (d) is clear, it only remains to show (d) H) (a). Let m
be a maximal ideal of A. We need to show that m contains I . Consider the field
A=m, which is I -adically separated, that is, I.A=m/ ¤ A=m. Hence we have
I.A=m/ D 0, that is, I m.
Corollary 7.4.17. Let A be a ring and I A an ideal. Suppose A is I -adically

complete and satisfies (APf). Then any finitely generated A-module M is I -adically
complete.
Proof. Since A is I -adically Zariskian, by 7.4.16 any finitely generated A-module

is I -adically separated. Then the corollary follows from 7.4.7.
By this, 7.1.13, and 7.4.12, we have the following corollary.

I A, and M a finitely generated A-module. Suppose A with the I -adic topology
satisfies (APf). Then any A-submodule N M is closed in M with respect to the
I -adic topology. If, moreover, A satisfies (AP), then N is I -adically complete.
Here is another useful corollary of 7.4.16.
Corollary 7.4.19. Let A be a ring and I A an ideal. Suppose A is I -adically

Zariskian and satisfies (AP). Then the following conditions for a finitely generated
A-module M are equivalent.
(a) M is finitely presented over A.
(b) M=I n M is finitely presented over A=I n for any n 1.
Proof. Implication (a) H) (b) is obvious. Suppose that (b) holds, and write M Š
A˚m =K. We need to show that K is finitely generated. We have for any n > 0 the
exact sequence
0 ! K=K \ I n A˚m ! .A=I n /˚m ! M=I n M ! 0:
Take an n > 0 such that K \ I n A˚m IK (here we use (AP)). Since

K=K\I n A˚m is finitely generated (cf. [27], Chapter I, ÷2.8, Lemma 9), we deduce
that K=IK is finitely generated.
Take a finitely generated A-submodule K 0 K that is mapped surjectively
onto K=IK. Then K=K 0 D I.K=K 0 /. On the other hand, since K=K 0 is a finitely
generated A-submodule of A˚m =K 0 , it is I -adically separated by 7.4.16. Conse-
quently, K=K 0 D 0, that is, K D K 0 is finitely generated.
Finally, let us summarize some of the important consequences of (AP) and

(APf). Let A be a ring and I A an ideal. Suppose A is I -adically complete.
Condition (APf) for A implies that
(a) any finitely generated A-module is I -adically complete, and
(b) any A-submodule N of a finitely generated A-module M is closed
in M .
If, moreover, A satisfies (AP), then
(c) any A-submodule N of a finitely generated A-module M is I -adi-
cally complete.
7.5 Rees algebra and I-goodness

Let A be a ring and I A an ideal. In this situation, the associated Rees algebra
is the graded algebra M
R.A; I / D In
n0
(where I 0 D A) over A. Clearly, if the ideal I is finitely generated, then R.A; I /

is an A-algebra of finite type. Let M be an A-module equipped with a descending
filtration F D fF .n/ gn2Z by A-submodules. Suppose that (F1) in ÷7.4. (a) is
satisfied, that is,
I q F .n/ F .nCq/
holds for any q 0 and n 2 Z. Then for any k 2 Z
M
Nk D F .n/
nk
is a graded R.A; I /-module.
Proposition 7.5.1. Suppose in the above situation that the ideal I is finitely gener-
ated. If Nk is finitely generated as an R.A; I /-module for some k 2 Z, then the
filtration F is I -good (7.4.2).
Proof. By shift of indices we may assume that k D 0; write N D N0 . Let

fl1 ; : : : ; ls g be a set of generators of N consisting of homogeneous elements, and
set di D deg.li / for 1 i s. Let c D maxfd1 ; : : : ; ds g, and let a1 ; : : : ; ar
generate I . Suppose n > c. Any x 2 F .n/ is written as
s
X
xD fi .a1 ; : : : ; ar /li ;
i D1
where fi for each i is a homogeneous polynomial of degree n di . If h.a1 ; : : : ; ar /

is a monomial of degree n di , factor h D h1 h2 with deg.h1 / D n c and
deg.h2 / D c di . Since c di e, we have h2 .a/li 2 F .c/ . Hence, h.a/li 2
I n c F .c/ and thus have the inclusion F .n/ I n c F .c/ , whence the equality
F .n/ D I n c F .c/ . This yields (F4) in ÷7.4. (a).
It is sometimes useful to consider the so-called conormal cone associated to

R.A; I /:
M
grI .A/ D I n =I nC1 :
n0
If F is a descending filtration as above, then

M
grF .M / D F .n/ =F .nC1/
n2Z
is a graded grI .A/-module.

Proposition 7.5.2 (cf. [27], Chapter III, ÷3.1, Proposition 3). Suppose that the ideal
I is finitely generated, that A is I -adically complete, and that the filtration F is
separated and exhaustive (cf. ÷7.1. (a)). Then the following conditions are equiva-
lent.
(a) grF .M / is a finitely generated grI .A/-module.
(b) M and F .n/ for all n 2 Z are finitely generated as A-modules, and the
filtration F is I -good.
Proof. We want to prove (a) H) (b) (the converse (b) H) (a) is easy (cf. [27],
Chapter III, ÷3.1, Proposition
L 3)). Suppose grF .M / is finitely generated over

grI .A/. Since grI .A/ D m0 I m =I mC1 is positively graded, any homogeneous
element x of grF .M / a linear combination of the generators of degree less than
or equal to the degree of x. Hence F .m/ D M for m sufficiently small, as F
is exhaustive. Renumbering the L indices mif necessary, we may assume F .0/ D M .
Since I is finitely generated, 0mk I =I mC1 is a finitely generated A-module,
L
and hence 0mk F .m/ =F .mC1/ is also finitely generated over A for any k.
Hence, to prove the assertion, it is enough to show that there exists an inte-
ger N 0 such that F .nC1/ for n N is finitely generated A-module and that
IF .n/ D F .nC1/ .
We take N such that grF .M / is generated by homogeneous elements of degree
less than N . If n N , then grnF .M / D F .n/ =F .nC1/ is the image of I n N F .N / .
Consider F .nC1/ with the filtration F 0 induced from F . Then grF 0 .F .nC1/ / D
L
mnC1 F
.m/
=F .mC1/ is generated by IF .n/ =F .nC2/ as a grI .A/-module. Since
the A-modules F .n/ =F .nC1/ and I are finitely generated, we can find a finite set
fuj gj 2J of elements of IF .n/ that generates IF .n/ =F .nC2/ . Then by [27], Chap-
ter III, ÷2.9, Proposition 12, fuj gj 2J generates F .nC1/ . Hence F .nC1/ is finitely
generated and, moreover, we deduce that F .nC1/ IF .n/ , as desired.
Exercises
Exercise 0.7.1. Let M be a module over a ring A, and consider the topology on M
defined by a descending filtration F D fF g2ƒ of A-submodules of M . Show
that for an A-submodule N M the closure N x of N is given by
\
Nx D .N C F /:
2ƒ
Exercise 0.7.2. Let A be a ring, fI ./ g2ƒ a descending filtration by ideals, and
g 2 A an element. Suppose that
A is complete with respect to the topology defined by fI ./ g2ƒ ;
.g mod I ./ / is a non-zero-divisor in A=I ./ for any 2 ƒ.
Show that the principal ideal .g/ A is closed.
Exercise 0.7.3. Let A be a ring, I A an ideal, and B a faithfully flat A-algebra.
Let fJ ./ g2ƒ be a descending filtration by ideals of A. The topology on B defined
by the filtration fJ ./ Bg2ƒ is IB-adic if and only if the topology on A defined by
the filtration fJ ./ g2ƒ is I -adic.
Exercise 0.7.4. Let A be a ring, I D .a1 ; : : : ; ar / A a finitely generated ideal,
and M anTA-module. Show that if M is ai -adically complete for each i D 1; : : : ; r,
then M= n0 I n M is I -adically complete. In particular, if M is I -adically sep-
arated, then M is I -adically complete if and only if it is ai -adically complete for
each i D 1; : : : ; r.
Exercise 0.7.5. Let M be a module over a ring A and N M an A-submodule.
Consider a descending filtration F D fF .n/ gn0 by A-submodules of N , and
topologize M and N by this filtration. Let NF^ and MF^ be the Hausdorff com-
pletions of N and M , respectively, with respect to this topology.
(1) The A-module NF^ is canonically an A-subgroup of MF^ , and the canoni-
cal map M=N ! MF^ =NF^ is an isomorphism.
(2) If the filtration F is separated, then NF^ \ M D N .
Exercise 0.7.6. Let A be a ring endowed with a descending filtration fI ./ g2ƒ
by ideals. Let M (resp. N ) be an A-module endowed with a descending filtration
F D fF ˛ g˛2† (resp. G D fG ˇ gˇ 2T ) by A-submodules. We suppose that for
any ˛ 2 † (resp. ˇ 2 T ) there exists 2 ƒ such that I ./ M F ˛ (resp.

I ./ N G ˇ ). Consider the tensor product M ˝A N together with the descending
filtration fH ˛;ˇ g.˛;ˇ /2†T by A-submodules given by
H ˛;ˇ D image.F ˛ ˝A N ! M ˝A N / C image.M ˝A G ˇ ! M ˝A N /
for any .˛; ˇ/ 2 † T ; here we regard † T as a directed set by the ordering
.˛; ˇ/ .˛ 0 ; ˇ 0 / () ˛ ˛ 0 ; ˇ ˇ 0 :
The Hausdorff completion of M ˝A N with respect to the topology defined by this

filtration is denoted by
M y̋ A N
and is called the complete tensor product. Show that there exist canonical isomor-
phisms

M y̋ A N ! MF^ y̋ A NG^ ! MF^ y̋ A^ NG^ :
I
Exercise
T 0.7.7. Let V be a valuation ring of height 2 and a 2 V an element such
n
that n0 .a / is the prime ideal of height 1 (cf. 6.7.1). Show that the a-adic
completion Vy is not flat over V .
Exercise 0.7.8. Let A be a ring, and I A an ideal. Show that (AP) (resp. (APf))
in ÷7.4. (c) is equivalent to the following condition: for any finitely generated
A-module M and any A-submodule (resp. finitely generated A-submodule) N
M such that I n N D 0 for some n 0, there exists m 0 such that N \I m M D 0.
Exercise 0.7.9. Let A be a ring, and I A a finitely generated ideal. Suppose that
the I -adic completion Ay with the I A-adic
y topology satisfies (AP) (resp. (APf)).
Show that for any finitely generated (resp. finitely presented) A-module M the
canonical map M ˝A Ay ! M y is an isomorphism.
Exercise 0.7.10. Let T be an abelian group topologized by a descending filtration

fF .n/ gn2Z by subgroups.
(1) Suppose that the filtration F is separated. For a fixed real number 0 < c < 1,
define a function
dW T T ! R
by
´
0 if x D y;
d.x; y/ D
a
c if x ¤ y; where a D min¹nW x y 2 F .n/ º:
Show that d gives a metric on T .

8. Pairs 169
(2) Show that T is complete with respect to the filtration F if and only if the
metric space .T; d / is complete.
(3) (Baire’s category theorem) Suppose that T is complete. Let U1T ; U2 ; : : : be

sequence of dense open subsets of T . Show that the intersection 1 i D1 Ui is
non-empty and dense in T (cf. [25], IX, ÷5.3, Theorem 1).
(4) Suppose T is complete. S

Show that, if T1 ; T2 ; : : : is a sequence of closed
subgroups such that T D 1i D1 Ti , then Ti for some i is an open subgroup.
8 Pairs
By a pair we simply mean throughout this book a couple .A; I / consisting of a com-
mutative ring A and an ideal I A. Given a pair .A; I /, one has the I -adic topol-
ogy (÷7.2. (a)) on A-modules. In fact, according to our definition of morphisms
between pairs, the notion of pairs is equivalent to the notion of adically topologized
rings. Accordingly, the theory of pairs, which we develop in this section, can be
seen as a continuation of what we have done in the previous section, being more
focused on adic topology, especially in the context of homological algebra.
After briefly discussing generalities on pairs in ÷8.1, we discuss in ÷8.2 the so-
called bounded torsion condition (BT) on pairs, which will turn out to be closely
related to preservation of adicness (e.g. (AP)) as discussed in ÷7.4. (c). This subsec-
tion contains (without proof) a significant result by Gabber (8.2.19), which says that
any I -adically complete Noetherian-outside-I ring satisfies both (BT) and (AP).
In ÷8.4, we recall the so-called restricted formal power series rings, important ob-
jects in the theory of formal schemes.
In ÷8.5, we will introduce the new notions of (pseudo-) adhesive and universally
(pseudo-) adhesive pairs. It will turn out that adhesive pairs satisfy (AP), hence
enjoy many useful properties as topological rings. Moreover, interestingly enough,
universal adhesiveness guarantees some ring-theoretic properties of the underlying
ring. For example, if .A; I / is universally adhesive and A is I -torsion free, then
the ring A is universally coherent (3.3.7), as we will see in ÷8.5. (e). This fact
suggests that the notion of universally adhesive pairs provides a good generalization
of Noetherian rings.
Subsection ÷8.7 discusses a different matter, the so-called I -valuative rings,
which, as we shall see later, are the prototype for the local rings attached to the
visualization of rigid spaces.
In the final subsection, ÷8.8, we collect several useful results on homological al-
gebra in interplay with I -adic topology and related filtrations, which provide a tech-
nical background for our later calculations of cohomologies on formal schemes.
8.1 Pairs
8.1. (a) Generalities. Recall that by a pair we mean a couple .A; I / consisting
of a commutative ring A and an ideal I of A. When the ideal I is principal, say
I D .a/, then we often write .A; a/ in place of .A; I /. A morphism of pairs
f W .A; I / ! .B; J / is a ring homomorphism f W A ! B such that there exists an
integer n 1 such that I n f 1 .J / or, equivalently, I n B J holds.
Given a pair .A; I /, one can consider the I -adic topology (÷7.2. (a)) on A.
If .B; J / is another pair, a ring homomorphism f W A ! B gives rise to a morphism
of pairs .A; I / ! .B; J / if and only if the map f is continuous with respect to the
I -adic topology on A and the J -adic topology on B (cf. 7.1.3 (1)). For example,
the pairs .A; I / and .A; I n / for n 1 are isomorphic to each other.
Let .A; I / be a pair and J A an ideal. Then J is said to be an ideal of def-
inition, if the identity map idA gives an isomorphism of pairs between .A; I / and
.A; J / or, equivalently, there exist positive integers m; n such that I m J n I .
A morphism .A; I / ! .B; J / of pairs is said to be adic if IB is an ideal of defini-
tion of .B; J /; this definition is consistent with the definition of adic maps already
given in ÷7.2. (a). Note that any isomorphism of pairs is adic and that the composi-
tion of two adic maps is adic.
A pair .A; I / is said to be complete (resp. Henselian, resp. Zariskian) if the
ring A is I -adically complete (resp. Henselian, resp. Zariskian). Given an arbitrary
pair .A; I /, one can construct the Henselian pair .Ah ; IAh / (cf. ÷7.3. (a)), called the
Henselization of .A; I /, and the Zariskian pair .AZar ; IAZar / (cf. ÷7.3. (b)), called
the associated Zariskian pair of .A; I /.
8.1. (b) Pairs of finite ideal type. A pair .A; I / is said to be of finite ideal type
if there exists a finitely generated ideal of definition. If .A; I / is a pair of finite
ideal type, then replacing it by an isomorphic one, we may assume that I is finitely
generated. Note that if a pair .A; I / is of finite ideal type, then one can construct the
complete pair .A; y I A/,
y the so-called completion (7.2.16), which is again of finite
ideal type.
The following proposition says that the property ‘of finite ideal type’ is local
with respect to the flat topology.
Proposition 8.1.1. Let .A; I / be a pair and B a faithfully flat A-algebra. If .B; IB/
is of finite ideal type, then so is .A; I /.
Proof. Since Spec B n V .IB/ is quasi-compact, so is Spec A n V .I /. Hence,p there
p
exists a finitely generated ideal J A such that V .J / D V .I /. Since J D I ,
and since J is finitely generated, there exists n > 0 such that J n I . On the other
hand, since .B; IB/ is of finite ideal type, there exists a finitely generated subideal
K IB such that I m B K for some m > 0. Since we have V .JB/ D V .K/,
there exists l > 0 such that K l JB. Hence we have I lm B JB and thus
I lm J .
8. Pairs 171
Definition 8.1.2. Let .A; I / be a pair of finite ideal type. An ideal J A is said
to be I -admissible or, briefly, admissible, if J is finitely generated and there exists
an integer n 1 such that I n J .
In other words, I -admissible ideals are precisely the finitely generated open
ideals with respect to the I -adic topology.
8.1. (c) Torsions and saturation. Let A be a ring, a 2 A an element, and M an

A-module. An element x 2 M is said to be an a-torsion if there exists an integer
n > 0 such that an x D 0. The subset of all a-torsion elements in M , denoted by
Ma-tor , is an A-submodule, called the a-torsion part of M .
Let I A be an ideal. An element x 2 M is called an I -torsion if it is a-
torsion for all a 2 I . The A-submodule of all I -torsion elements, the so-called
I -torsion part, denoted by MI -tor , is the intersection of all Ma-tor for a 2 I . It is
easy to see that if I is generated by a1 ; : : : ; ar 2 A, then MI -tor coincides with the
intersection of all ai -torsion parts for i D 1; : : : ; r. We say that M is I -torsion free
(resp. I -torsion) if MI -tor D 0 (resp. MI -tor D M ).
Let N M be an A-submodule. The I -saturation of N in M is the A-sub-
module
z D fx 2 M W for any a 2 I there exists n 0 such that an x 2 N g;
N
or, equivalently, the inverse image of .M=N /I -tor by the canonical map
M ! M=N:
We say that N is I -saturated in M if N D Nz . It is clear that the I -saturation Nz
is the smallest I -saturated A-submodule containing N . Note that these notions are
topological, that is, stable under change of ideals of definition. Note also that the
I -saturation of f0g in M is nothing but MI -tor , and hence that the I -torsion part
MI -tor is always I -saturated.
If .A; I / is of finite ideal type, then these notions can be described in terms of
schemes as follows. Set X D Spec A and U D X n V .I /, and let j W U ,! X be
the open immersion. Let M (resp. N ) be the quasi-coherent sheaf on X associated
to M (resp. N ). Then MI -tor corresponds to the kernel of the canonical morphism
M ! j j M, and Nz to the pull-back of j j N by the same morphism. Note that,
since .A; I / is of finite ideal type, the morphism j is quasi-compact and hence that
these sheaves are quasi-coherent (cf. [54], I, (9.2.2)).
Definition 8.1.3. Let .A; I / be a pair and M an I -torsion A-module. We say that
M is of bounded I -torsion if there exists an integer n 1 such that I n M D 0.
Clearly, if I is a finitely generated ideal, then any finitely generated I -torsion
module is bounded. We have already stated in 7.2.3 that any A-module of bounded
I -torsion is I -adically complete; the following lemma is a slightly enhanced ver-
sion.
Lemma 8.1.4. Let .A; I / be a pair, and M a bounded I -torsion A-module. Then
M is I -adically complete. Moreover, the canonical map M ! M ˝A AI^ is
an isomorphism, where AI^ is the Hausdorff completion of A with respect to the
I -adic topology.
Proof. The first part of the lemma is clear, since I n M D 0 for n 1. Since
M is automatically an AI^ -module, and any A-module homomorphism from M
to an AI^ -module is automatically an AI^ -module homomorphism, we have M Š
M ˝A AI^ by the universality of tensor products.
Definition 8.1.5. Let .A; I / be a pair.
(1) We say A is locally Noetherian outside I if the scheme Spec A n V .I / is

locally Noetherian; if, moreover, .A; I / is of finite ideal type, then A is said
to be Noetherian outside I .
(2) An A-module M is said to be finitely generated (resp. finitely presented) out-

side I if the quasi-coherent sheaf M z jU on U D Spec A n V .I / (cf. ÷5.1. (a)
for the notation) is of finite type (resp. of finite presentation).
The following lemma will be useful later.

Lemma 8.1.6. Let .A; I / be a pair of finite ideal type, and M an A-module.
(1) If M is finitely generated outside I , then there exists a finitely generated

submodule N M such that M=N is I -torsion.
(2) Suppose M is finitely generated as an A-module. If M is finitely presented

outside I , then there exist a finitely presented A-module N and a surjective
morphism N ! M whose kernel is I -torsion.
z.
Proof. Set X D Spec A, U D X n V .I /, and F D M
(1) Since F jU is a quasi-coherent sheaf of finite type, by [54], I, (9.4.7), and IV,
(1.7.7), there is a quasi-coherent subsheaf G F of finite type such that
G jU D F jU . If N M is the finitely generated A-submodule such that
G D Nz , then M=N is I -torsion, since G jU D F jU .
(2) Take a surjective morphism An ! M , and let K be its kernel. Then K is

finitely generated outside I (cf. [27], Chapter I, ÷2.8, Lemma 9). Hence by
(1) there exists a finitely generated A-submodule K0 K such that K=K0
is I -torsion. Set N D An =K0 , which is a finitely presented A-module, and
consider the surjective map N ! M . Its kernel is K=K0 , which is I -torsion.

8. Pairs 173
8.2 Bounded torsion condition and preservation of adicness

8.2. (a) Bounded torsion condition. The following conditions for a pair .A; I /,
called bounded torsion conditions, will be important in what follows.
(BT) for any finitely generated A-module M , MI -tor is of bounded I -torsion.
(UBT) for any A-algebra B of finite type, .B; IB/ satisfies (BT).
The following proposition is easy to see.
Proposition 8.2.1. Let .A; I / be a pair satisfying (BT) (resp. (UBT)). If B is a

finite A-algebra (resp. an A-algebra of finite type), then .B; IB/ satisfies (BT)
(resp. (UBT)).
Corollary 8.2.2. For a pair .A; I / to satisfy (UBT) it is necessary and sufficient
that the polynomial ring pairs .AŒX1 ; : : : ; Xn ; IAŒX1 ; : : : ; Xn / satisfy (BT) for
any n 0.
Proposition 8.2.3. (1) Let .A; I / and .B; J / be pairs. Then .A; I / and .B; J /
satisfy (BT) (resp. (UBT)) if and only if .AB; I J / satisfies (BT) (resp. (UBT)).
(2) Let .A; I / be a pair and B a faithfully flat A-algebra. If .B; IB/ satis-
fies (BT) (resp. (UBT)), then .A; I / satisfies (BT) (resp. (UBT)).
Proof. (1) The ‘if’ part follows from 8.2.1. To show the converse, note that any
finitely generated A B-module M is a product of finitely generated modules
M D MA ˚MB , and we clearly have MI J -tor D .MA /I -tor .MB /J -tor . Hence, if
.A; I / and .B; J / satisfy (BT), then (BT) for AB follows immediately. A similar
argument works for finitely generated algebras, and hence (UBT) for AB follows
from that for A and B.
(2) Clearly, it suffices to check the case of (BT). Let M be a finitely generated
A-module, and consider M ˝A B. We have I n .M ˝A B/I -tor D 0 for some n > 0.
Since B is flat over A, we have .M ˝A B/I -tor MI -tor ˝A B, but since the right-
hand module is clearly I -torsion, we have .M ˝A B/I -tor D MI -tor ˝A B. Since B
is faithfully flat over A, we have I n MI -tor D 0.
Proposition 8.2.4. Let .A; I / be a pair of finite ideal type. Then .A; I / satisfies
(BT) if and only if so does the associated Zariskian pair .AZar ; IAZar /.
Proof. We may assume that I is finitely generated. Suppose .A; I / satisfies (BT).
For a finitely generated AZar -module N one can find a finitely generated A-module
M such that M ˝A AZar Š N . For any element x=.1Ca/ 2 NI -tor (x 2 M , a 2 I ),
since I is finitely generated, one can find b 2 I such that .1 C b/x 2 MI -tor . Then
one can find n 0, independent of the element .1Cb/x, such that I n .1Cb/x D 0,
thereby I n x=.1 C a/ D 0.
Conversely, suppose .AZar ; IAZar / satisfies (BT), and for a finitely generated
A-module M , consider M ˝A AZar . Take any x 2 MI -tor . Since I is finitely
generated, there exists a 2 I such that .1 a/x is annihilated by I n (where n is
independent of x). For any b 2 I we have .1 a/b n x D 0 and thus b n x D ab n x
D a2 b n x D D 0, which shows that I n x D 0.
Proposition 8.2.5. The following conditions for a pair .A; I / are equivalent.
(a) .A; I / satisfies (BT) (resp. (UBT)).

(b) AI -tor is of bounded I -torsion, and .A=AI -tor ; I.A=AI -tor // satisfies (BT)
(resp. (UBT)).
Proof. Since .A=AI -tor /ŒX Š AŒX=AŒXI -tor , it suffices to show the assertion
for (BT). (a) H) (b) is obvious by 8.2.1. To show the converse, let M be a finitely
generated A-module, and set M 0 D M ˝A .A=AI -tor / D M=AI -tor M . Then it is
easy to verify that we have the exact sequence
0 ! AI -tor M ! MI -tor ! MI0 -tor ! 0:
Since AI -tor M and MI0 -tor are of bounded I -torsion, so is MI -tor .
Proposition 8.2.6. Let .A; I / be a pair of finite ideal type, and suppose that
y I A/
(a) .A; y satisfies (BT), and
(b) A ! Ay is flat.
Then .A; I / satisfies (BT).
Proof. We may assume that I finitely generated. Since A ! Ay is flat, AZar ! Ay
is faithfully flat (7.3.8 (2)). By 8.2.3 (2), the pair .AZar ; IAZar / satisfies (BT), and
hence the assertion follows from 8.2.4.
8.2. (b) Preservation of adicness. We say that a pair .A; I / satisfies (AP) if A
endowed with the I -adic topology satisfies (AP) in ÷7.4. (c). We will also consider
the following condition for pairs .A; I /:
(UAP) for any A-algebra B of finite type, the induced pair .B; IB/ satisfies (AP).
Proposition 8.2.7. Let .A; I / be a pair satisfying (AP) (resp. (UAP)). If B is a
finite A-algebra (resp. an A-algebra of finite type), then .B; IB/ satisfies (AP)
(resp. (UAP)).
Corollary 8.2.8. For a pair .A; I / to satisfy (UAP) it is necessary and sufficient
that the polynomial ring pairs .AŒX1 ; : : : ; Xn ; IAŒX1 ; : : : ; Xn / satisfy (AP) for
n 0.
8. Pairs 175
One can show the following proposition by an argument similar to that in 8.2.3.
Proposition 8.2.9. (1) Let .A; I / and .B; J / be pairs. Then .A; I / and .B; J /
satisfy (AP) (resp. (UAP)) if and only if .A B; I J / satisfies (AP) (resp. (UAP)).
(2) Let .A; I / be a pair and B a faithfully flat A-algebra. If .B; IB/ satis-
fies (AP) (resp. (UAP)), then .A; I / satisfies (AP) (resp. (UAP)).
Proposition 8.2.10. Let .A; I / be a pair of finite ideal type, and suppose that the
following conditions are satisfied.
y I A/
(a) .A; y satisfies (AP).
(b) A ! Ay is flat.
(c) A is Noetherian outside I . (8.1.5 (1))
Then .A; I / satisfies (AP).
Proof. We may assume that I is finitely generated. Since A ! Ay is flat, AZar ! Ay
is faithfully flat (7.3.8 (2)). By 8.2.9 (2) the pair .AZar ; IAZar / satisfies (AP). On
the other hand, since I is finitely generated, the open set Spec A n V .I / is the
union of finitely many affine open subsets of the form D.fi / (i D 1; : : : ; r), where
f1 ; : : : ; fr generate I . Since each Afi is Noetherian, the pair .Afi ; IAfi / clearly
satisfies (AP) (cf. 8.2.11). Let B D AZar Af1 Afr . Then the pair .B; IB/
satisfies (AP) (8.2.9 (1)), and A ! B is faithfully flat. Then again by 8.2.9 (2) the
pair .A; I / satisfies (AP).
For a pair .A; I / condition (AP) can be refined as follows. In classical commu-
tative algebra ./ in 7.4.9 is usually verified by means of the I -goodness (cf. 7.4.2)
of the induced filtration G D fN \ I n M gn0 . For an A-module M and an A-sub-
module N M , the I -goodness in question is equivalently recast as
./ there exists a non-negative integer c such that for any n > c we have
N \ I n M D I n c .N \ I c M /:
Similarly to (AP) and (APf), accordingly, we can consider the following conditions
for a pair .A; I /:
(AR) ./ holds for any finitely generated A-module M and any A-submodule
N M;
(ARf) ./ holds for any finitely generated A-module M and any finitely gener-
ated A-submodule N M .
Obviously, these conditions, together with (AP) and (APf), sit in the diagram of
implications
.AR/❍ +3 .AP/
❍❍❍❍ ❍ ❍❍❍❍
❍( ❍(
.ARf/ +3 .APf/:
It is well known that (AR) is always satisfied if A is Noetherian. This is exactly

what the classical Artin–Rees lemma asserts.
Proposition 8.2.11 (classical Artin–Rees lemma; cf. e.g. [81], Theorem 8.5). Any
pair .A; I / with A Noetherian satisfies (AR).
Conditions (AR) and (ARf) depend on the choice of the ideal of definition
I A; hence, when considering these conditions for adically topologized
rings, one has to specify an ideal of definition.
8.2. (c) The properties (BT) and (AP)
Proposition 8.2.12. (AP) implies (BT).
Proof. Suppose a pair .A; I / satisfies (AP), and let M be a finitely generated
A-module. Define Fk for any k 1 to be the A-submodule
S of M consisting of
the elements annihilated by I k . Clearly, MI -tor D k1 Fk . By Exercise 0.7.8,
there exists m > 0 such that F1 \ I m M D 0. Then for k m C 1 we have
I k 1 Fk F1 \ I m M D 0 and hence Fm D FmC1 D FmC2 D . Consequently,
MI -tor D Fm , which is of bounded I -torsion.
Proposition 8.2.13. Let .A; I / be a pair with I D .a/ principal. Suppose .A; I /
satisfies (BT). Then it satisfies (AR) too.
The main part of the proof relies on the following lemma.
Lemma 8.2.14. Let .A; I / be a pair with I D .a/ principal, M an A-module, and
N M an A-submodule. Suppose an .M=N /a-tor D 0 for some n 0. Then for
any m 0 we have
N \ anCm M D am .N \ an M /;
that is, condition ./ in ÷7.4. (c) is satisfied.
Proof. Set L D M=N , and denote the canonical projection M ! L by . The

inclusion am .N \ an M / N \ anCm M is trivial. To show the converse inclusion,
take x D am y 2 N \ anCm M (y 2 an M ). Since am .y/ D .x/ D 0 in L, we
have .y/ 2 an L \ La-tor . But since an L \ La-tor D an La-tor D 0, we have y 2 N ,
that is, x D am y 2 am .N \ an M /, as desired.
Proof of Proposition 8.2.13. Let M be a finitely generated A-module and N M

an A-submodule. Condition (BT) implies an .M=N /a-tor D 0 for some n 0.
Hence, by 8.2.14, condition ./ in ÷7.4. (c) is satisfied.
8. Pairs 177
Proposition 8.2.15. Let A be a ring and I D .a1 ; : : : ; ar / A a finitely generated

ideal. Suppose that for each i D 1; : : : ; r the pair .A; ai / satisfies (BT). Then the
pair .A; I / satisfies (BT) and (AP).
Proof. For any finitely generated A-module M the ai -torsion part of M is bounded
for each i D 1; : : : ; r. As the I -torsion part of M is the intersection of the
ai -torsion parts for 1 i r, M is of bounded I -torsion. Thus .A; I / satisfies
(BT).
To show that .A; I / satisfies (AP), we apply induction with respect to r. If
r D 1, the assertion follows from 8.2.13. Set a D a1 and J D .a2 ; : : : ; ar /,
and let N M be an A-submodule such that I n N D 0. We want to show that
N \ I m M D 0 for some m 0 (cf. Exercise 0.7.8). Take s 0 so that as
annihilates the a-torsion part of M . Since N is a-torsion, we have N \ as M D 0.
Hence one can regard N as a submodule of M x D M=as M . Note that the I -adic
x
topology on M coincides with the J -adic topology. By induction, we know that
N \ ItM x D 0 for some t 0 (cf. Exercise 0.7.8). Then for m maxfs; t g one
has N \ I m M D 0, as desired.
Proposition 8.2.16. Let .A; I / be a pair of finite ideal type, and suppose that A
is Noetherian outside I (8.1.5 (1)). If .A; I / satisfies (BT), then for any finitely
generated subideal J I , .A; J / satisfies (BT) and (AP).
Proof. In view of 8.2.15 we only have to show that for any principal subideal J D
.a/ I , .A; a/ satisfies (BT). Let M be a finitely generated A-module. Since
Spec A n V .I / is Noetherian, there exists a finitely generated submodule N of
Ma-tor such that Ma-tor =N is supported on V .I / (8.1.6 (1)). Now the a-torsion part
of M=N is Ma-tor =N , which is nothing but the I -torsion part of M=N . Hence
Ma-tor =N is of bounded a-torsion. Since N is finitely generated and hence of
bounded a-torsion, we deduce that Ma-tor is of bounded a-torsion.
Corollary 8.2.17. Let .A; I / be a pair of finite ideal type. If A is Noetherian

outside I and .A; I / satisfies (BT), then it also satisfies (AP).
Proposition 8.2.18. Let .A; I / be a pair of finite ideal type satisfying (BT), and
suppose A is Noetherian outside I .
(1) For any finitely generated A-module M the canonical map M ˝A Ay ! M

y
is an isomorphism.
(2) The canonical map A ! Ay is flat.
Proof. (1) By 8.1.6 (2), there exists a surjective morphism N ! M of A-modules

such that N is finitely presented and the kernel K is I -torsion. By (BT), the kernel
K is bounded I -torsion. Consider the exact sequence 0 ! K ! N ! M ! 0,

which yields the following commutative diagram with exact rows:
0 y
/K y
/N y
/M /0
O O O
K ˝A Ay / N ˝A Ay / M ˝A Ay / 0.
Note that the exactness of the first row is due to 7.4.11 (here we use 8.2.17). The
first vertical arrow is an isomorphism due to 8.1.4, and the second one is an iso-
morphism due to 7.4.15. Hence the last vertical arrow is an isomorphism, which is
what we wanted to show.
(2) Let a A be a finitely generated ideal. We want to show that the map
a ˝A Ay ! Ay is injective. By (1) it follows that a ˝A Ay D y
a. By 7.4.11, on the
y y
other hand, a is an ideal of A, as desired.
8.2. (d) Bounded torsion condition for complete pairs. For the proof of the fol-
lowing significant theorem by Gabber, we refer to [41].
Theorem 8.2.19 (O. Gabber; [41], Theorem 5.1.2). Let .A; I / be a complete pair of
finite ideal type, and suppose that A is Noetherian outside I . Then .A; I / satisfies
(BT) and (AP).
In particular, by 7.4.17 and 7.4.18 we have the following corollary.
Corollary 8.2.20. Let .A; I / be a complete pair of finite ideal type, and suppose
that A is Noetherian outside I . Then any finitely generated A-module is I -adically
complete. Moreover, if M is a finitely generated A-module, then any A-submodule
N M is closed in M with respect to the I -adic topology.
8.3 Pairs and flatness

8.3. (a) gluing of flatness
Theorem 8.3.1 (gluing of flatness (I)). Let .A; I / be a pair of finite ideal type, and
M an A-module. Then M is flat over A if and only if the following conditions hold.
(a) TorA
q .M; N / D 0 for any q 1 and any A-module N supported in V .I /
Spec A.
(b) Mz is flat over Spec A n V .I /.
8. Pairs 179
Proof. We may assume that the ideal I A is finitely generated; let a1 ; : : : ; an

generate I .n 0/. For k D 0; : : : ; n we set Ik D .a1 ; : : : ; ak /. Consider the
condition
./k TorA
q .M; N / D 0 for any q 1 and any A-module N supported in V .Ik /
Spec A.
Condition ./n is nothing but (a), and what we want to establish is ./0 (cf. [27],
Chapter I, ÷4, Proposition 1). It suffices therefore to show ./k by descending
induction with respect to k.
Suppose ./kC1 is true, and let N be an A-module supported in V .Ik /. Set
a D akC1 , and consider the exact sequence
0 ! Na-tor ! N ! N=Na-tor ! 0:
Since Na-tor is supported in V .IkC1 /, by induction we have TorA

q .M; Na-tor / D 0
A
for q 1. Hence it suffices to show Torq .M; N=Na-tor / D 0 for q 1, and thus
we may assume that N is a-torsion free. Consider the exact sequence

0 ! N ! N a1 ! C ! 0:
1 1
Here the A-module C is supported in V .IkC1 /. Since N a
is flat over A a
(by (b)), we have TorA
q .M; N / D 0 for q 1, as desired.
Corollary 8.3.2. Let .A; a/ be a pair with a 2 A being a non-zero divisor, and M
an A-module. Then the following conditions are equivalent.
(a) M is A-flat.

(b) M a1 is A a1 -flat, M=aM is .A=aA/-flat, and M is a-torsion free.
Proof. (a) H) (b) is obvious. To show the converse, in view of 8.3.1 it suffices
to show that TorA q .M; N / vanishes for q 1 and for any A-module N supported
in V ..a//. Since the functor TorA q .M; –/ commutes with inductive limits, we may
assume that N is annihilated by some an . But if so, we may further reduce the
situation where N is annihilated even by a by the inductive argument using the
filtration fam N gm0 .
Since a is a non-zero-divisor and M is a-torsion free, TorA
q .M; A=aA/ D 0 for
q 1. This implies the last isomorphism in the relations
M ˝AL N Š M ˝AL .A=aA/ ˝A=aA

L L
N Š .M=aM / ˝A=aA N:
Now, since M=aM is .A=aA/-flat, we deduce that TorA

q .M; N / D 0 for q 1, as
desired.
Proposition 8.3.3 (gluing of flatness (II)). Let .A; I / be a pair of finite ideal type,
B an A-algebra, and M a B-module. Suppose that
(a) B and M are flat over A, and
z is flat over Spec B n V .IB/.
(b) M=IM is flat over B=IB, and M
Then M is B-flat.
Proof. In case the ideal I is principal, the assertion follows immediately from [44],
5.2.1. In general, in order to apply induction with respect to the number of gener-
ators, set I D .a1 ; : : : ; as ; b/ and J D .a1 ; : : : ; as /. Since Ax D A=bA, B=bB,
and M=bM together with the ideal Ix D J Ax satisfy the conditions, we deduce by
induction that M=bM is B=bB-flat. Considering next the situation with A, B, M ,
and .b/ A, we conclude that M is B-flat, as desired.
8.3. (b) Local criterion of flatness
Proposition 8.3.4 (local criterion of flatness). Let .A; I / be a pair and M an

A-module. Suppose that following conditions are satisfied.
(i) For any finitely generated ideal a of A, the topology on a induced by that
of A coincides with the I -adic topology; that is, for any n 0 there exists
k 0 such that
I k \ a I n a:
(ii) M is idealwise separated for I , that is, for any finitely generated ideal a of
A, the A-module a ˝A M is I -adically separated.
We write Ak D A=I kC1 and Mk D M=I kC1 M for any k 0. Then the following
conditions are equivalent.
(a) M is A-flat.
(b) for any A0 -module N we have TorA
1 .N; M / D 0.
(c) M0 is A0 -flat, and we have TorA

1 .A0 ; M / D 0.
(d) Mk is Ak -flat for any k 0.
The main idea of the proof is borrowed from [27], Chapter III, ÷5.3.
Proof. Implications (a) H) (b) H) (c) H) (d) are shown in [27], Chapter III, ÷5.2,
Theorem 1, and here we omit the proofs. We are going to show (d) H) (a) by
verifying that for any finitely generated ideal a of A, the map W a ˝A M ! M is
injective.
8. Pairs 181
T
Take x 2 ker./. Since n I n .a ˝A M / D 0 by hypothesis (ii), it suffices to
show that x 2 I n .a ˝A M / for any n. By (i), there exists k such that I kC1 \ a
I n a. Hence it is enough to show that x belongs to the image of the canonical map
.I kC1 \ a/ ˝A M ! a ˝A M . To this end, we consider the commutative diagram
with exact top row
./
.I kC1 \ a/ ˝A M / a ˝A M / .a=a \ I kC1 / ˝A M /0

M / Ak ˝A M .
Here by the assumption, the first vertical arrow maps x to 0. Hence x is mapped
to 0 in Ak ˝A M . On the other hand, the second vertical arrow coincides with the
morphism .a=a \ I kC1 / ˝Ak Mk ! Mk , which is injective by our assumption that
Mk is Ak -flat. Hence x belongs to the kernel of the map ./, which is nothing but
the image of the first horizontal arrow in the top row. But this is what we wanted to
prove.
Corollary 8.3.5. Let .A; I / be a pair, and M an A-module. We suppose that (i)
and (ii) in 8.3.4 are satisfied and that .A; I / is a Zariskian pair. Then the following
(a) M is faithfully flat over A.
(b) Mk is faithfully flat over Ak for any k 0.
Proof. Implication (a) H) (b) is clear. Conversely, by 8.3.4 we know that M is

A-flat. To show that M is faithfully flat, it suffices to show that for any maximal
ideal m of A we have M ˝A .A=m/ ¤ 0. Since .A; I / is Zariskian, we have
I m. Hence M ˝A .A=m/ D M0 ˝A0 .A0 =m0 /, where m0 D m=I . Since M0
is faithfully flat over A0 , the last module is non-zero, as desired.
Remark 8.3.6. Conditions (i) and (ii) in 8.3.4 are trivially satisfied if I is a nilpo-
tent ideal. In this case, moreover, one can easily show (cf. [52], Exposé IV, Propo-
sition 5.1) that conditions (a) (d) are equivalent to
(e) M0 is A0 -flat, and the canonical surjective morphism
grI0 .M / ˝A0 grI .A/ ! grI .M /
is an isomorphism.
In particular, we have the following result (cf. [52], Exposé IV, Corollary 5.9).
Proposition 8.3.7. Let .A; I / be a pair where I is nilpotent, B a flat A-algebra,

and M a B-module. Then the following conditions are equivalent.
(a) M is flat over B.

(b) M is flat over A and M0 D M=IM is flat over B0 D B=IB.
Proof. (a) H) (b) is trivial. Suppose that (b) holds. In order to apply 8.3.4, we
0
check (e) in 8.3.6. For n 0 the n-th graded piece of grIB .M / ˝B0 grIB .B/ is
n nC1 n nC1 n nC1
M ˝B .I B=I B/. Since B is A-flat, I B=I B D .I =I / ˝A B. Since
M is A-flat, we have M ˝B .I n B=I nC1 B/ D M ˝A .I n =I nC1 / D I n M=I nC1 M ,

which is the n-th graded piece of grIB .M /.
Finally, we give a useful sufficient condition to verify (i) and (ii) in 8.3.4.
Proposition 8.3.8. Let .A; I / be a pair, B an A-algebra, and M a finitely gen-

erated B-module. Suppose that .A; I / and .B; IB/ satisfy (APf) and that B is
IB-adically Zariskian. Then (i) and (ii) in 8.3.4 are satisfied, and therefore (a)–(d)
in 8.3.4 are all equivalent.
Proof. Clearly, (i) in 8.3.4 is satisfied. To verify (ii), let a A be a finitely gener-
ated ideal, and consider N D a ˝A M . Since N is finitely generated over B, it is
I -adically separated due to 7.4.16.
Corollary 8.3.9. Let .A; I / and .B; IB/ be as in 8.3.8. Then A ! B is flat if and
only if Ak D A=I kC1 ! Bk D B=I kC1 B is flat for any k 0.
8.3. (c) Formal fpqc descent of ‘Noetherian outside I.’ The following propo-
sition, which gives a formal fpqc patching principle for the property ‘Noetherian
outside I ,’ will be of fundamental importance in our later discussion.
Proposition 8.3.10 (O. Gabber; [41], Proposition 5.2.1). Let .A; I / ! .B; IB/
be an adic morphism between complete pairs of finite ideal type such that for any
k 0 the induced map A=I kC1 ! B=I kC1 B is faithfully flat. Suppose B is
Noetherian outside IB (8.1.5 (1)). Then A is Noetherian outside I . Moreover, the
map A ! B is faithfully flat.
Proof. To prove the first assertion, we want to show that any ideal J A is finitely
generated outside I (that is, the associated quasi-coherent ideal Jz on Spec A is of
finite type over Spec A n V .I /). Considering an approximation of J by finitely
generated subideals of J , one has a finitely generated subideal J0 J such that
J0 B and JB coincides outside I . This means that JB=J0 B is I -torsion; since the
I -torsion part of B=J0 B is bounded (due to 8.2.19), there exists n > 0 such that
8. Pairs 183
I n JB J0 B. Moreover, by the assumption, I n JA=I kC1 J0 A=I kC1 for any

k 0, that is,
\ \
.I n J C I kC1 / .J0 C I kC1 / D J0 ()
k0 k0
(the closure of J0 in A).

We want to show the inclusion I n J J0 , for this implies that J and J0 co-
incide outside I . By ./, it suffices that J0 is closed in A. As J0 is I -adically
complete (7.4.7), it is enough to show that the subspace topology on J0 induced by
the I -adic topology on A is I -adic.
To show this, we first use (AP) for B to deduce that for any i > 0 there exists
m D m.i / > i such that
J0 B \ I m.i / B I i J0 B:
Again, by the assumption,
J0 \ I m.n/ I n J0 : ()
We want to show that the left-hand side is actually contained in I n J0 . Suppose x

lies in the left-hand side. By ./, x is decomposed as
x D z1 C x1 ; z1 2 I n J0 ; x1 2 I m.nC1/ :
As x1 also lies in J0 , we again apply ./ to decompose x1 into the sum of z2 2

I nC1 J0 and x2 2 I m.nC2/ . One can repeat this procedure to get sequences fzk g
and fxk g such that
xk D zkC1 C xkC1 ; zkC1 2 I nCk J0 ; xkC1 2 I m.nCkC1/ :

P
Hence x is equal to the infinite series k1 zk , which converges in the I -adically
complete I n J0 (7.4.7). This means that x 2 I n J0 , which shows the first assertion
of the proposition. The other assertion follows from 8.3.8, 8.2.19, and 8.3.5.
8.4 Restricted formal power series ring

Let .A; I / be a complete pair of finite ideal type, and M an I -adically complete
A-module. We denote by
M hhX1 ; : : : ; Xn ii
P
the set of all formal power series f D ai1 ;:::;in X1i1 Xnin with all coefficients
ai1 ;:::;in in M such that for any m 1 there exists N 1 such that ai1 ;:::;in 2
I m M whenever i1 C C in > N . This is an I -adically complete A-module.
In particular, AhhX1 ; : : : ; Xn ii is an I -adically complete A-algebra, the so-called

restricted formal power series ring ([54], 0I , (7.5.1)), which is isomorphic to the
I -adic completion of the polynomial ring AŒX1 ; : : : ; Xn and yields the complete
pair .AhhX1 ; : : : ; Xn ii; IAhhX1 ; : : : ; Xn ii/ of finite ideal type. Clearly, we have
M b̋A AhhX1 ; : : : ; Xn ii Š M hhX1 ; : : : ; Xn ii;
and if Y1 ; : : : ; Ym is another set of variables, then
M hhX1 ; : : : ; Xn ii b̋A AhhY1 ; : : : ; Ymii Š M hhX1 ; : : : ; Xn ; Y1 ; : : : ; Ymii:
Definition 8.4.1. Let .A; I / be a complete pair of finite ideal type. An I -adically
complete A-algebra B is said to be a topologically finitely generated A-algebra or
an A-algebra topologically of finite type if B is isomorphic to an A-algebra of the
form AhhX1 ; : : : ; Xn ii=a. If, moreover, a is finitely generated, we say that B is
a topologically finitely presented A-algebra or an A-algebra topologically of finite
presentation.
In this book, as indicated in the above definition, all topologically finitely

generated/presented algebras are assumed to be complete (and hence the
ideal a as above has to be closed due to 7.4.6.) As we will see soon (8.4.4), this
hypothesis is practically not restrictive.
Proposition 8.4.2. Let .A; I / be a complete pair with a finitely generated ideal
I A, and B an I -adically complete A-algebra. Then the following conditions
are equivalent.
(a) B is topologically finitely generated over A.
(b) B=IB is an .A=I /-algebra of finite type.
Proof. Implication (a) H) (b) is clear. Suppose (b) holds, and take c1 ; : : : ; cn 2 B
whose images in B=IB generates B=IB as an .A=I /-algebra. Since B is IB-adi-
cally complete, there exists a morphism A0 D AhhX1 ; : : : ; Xn ii ! B that maps Xi
to ci for i D 1; : : : ; n. By 7.2.4, this map is surjective.
Definition 8.4.3. Let .A; I / be a pair of finite ideal type. We say that A is topo-
logically universally Noetherian outside I if it is Noetherian outside I (8.1.5 (1))
y 1 ; : : : ; Xn ii (the I -adic completion of AŒX1 ; : : : ; Xn ) is
and for any n 0, AhhX
y 1 ; : : : ; Xn ii.
Noetherian outside I AhhX
It follows from the definition that if A is topologically universally Noetherian

y
outside I , then any topologically finitely generated A-algebra B is topologically
universally Noetherian outside IB.
8. Pairs 185
Proposition 8.4.4. Let .A; I / be a complete pair of finite ideal type, and suppose
that A is topologically universally Noetherian outside I . Then for any n 0 any
ideal a AhhX1 ; : : : ; Xn ii is closed (hence any ring of the form AhhX1 ; : : : ; Xn ii=a
is topologically finitely generated over A in our sense).
Proof. Let B D AhhX1 ; : : : ; Xn ii. Since B is Noetherian outside IB, it satisfies

(AP) (8.2.19). Then by 7.4.18 any ideal of AhhX1 ; : : : ; Xn ii is closed.
that A is topologically universally Noetherian outside I . Let B be an I -adically
complete A-algebra. Then if B=I n B is an A=I n -algebra of finite presentation for
any n 1, B is topologically finitely presented over A.
Proof. By 8.4.2, B is isomorphic to an A-algebra of the form AhhX1 ; : : : ; Xn ii=a.

It then follows from 7.4.19 that B is finitely presented as an AhhX1 ; : : : ; Xn ii-
module.
that A is Noetherian outside I .
(1) Any finitely generated A-module is I -adically complete, and for any finitely
generated A-module M the canonical map
M ˝A AhhX1 ; : : : ; Xn ii ! M hhX1 ; : : : ; Xn ii
is an isomorphism.
(2) The map A ! AhhX1 ; : : : ; Xn ii is flat.
Proof. First note that, by 8.2.19, .A; I / satisfies (AP) and (BT). To show (1), we
first note that the completeness of M was already proved in 8.2.20. To show the
other statement in (1), we first assume that M is finitely presented. Take a presen-
tation A˚q ! A˚p ! M ! 0, and let K be the image of A˚q ! A˚p . Then
the subspace topology on K coincides with the I -adic topology (by (AP)), and K
is complete. Hence we have the exact sequence
0 ! KhhX1 ; : : : ; Xn ii ! AhhX1 ; : : : ; Xn ii˚p ! M hhX1 ; : : : ; Xn ii ! 0:
Thus we get an exact sequence
AhhX1 ; : : : ; Xn ii˚q ! AhhX1 ; : : : ; Xn ii˚p ! M hhX1 ; : : : ; Xn ii ! 0:
On the other hand, since A˚p ˝A AhhX1 ; : : : ; Xn ii Š AhhX1 ; : : : ; Xn ii˚p , one can
show the desired isomorphism by an argument similar to that in the proof of 7.4.15.
In general, we first observe that, since M is finitely presented outside I , we have

a surjective map N ! M from a finitely presented A-module such that the kernel is
I -torsion (8.1.6 (2)). We can apply the same argument as in the proof of 8.2.18 (1),
once we know that the assertion is true for bounded I -torsion modules (here we
use (BT)). But the assertion in this case is easy, for both M ˝A AhhX1 ; : : : ; Xn ii
and M hhX1 ; : : : ; Xn ii are isomorphic to M ŒX1 ; : : : ; Xn .
The second assertion can be shown by an argument similar to that in the proof
of 8.2.18 (2).
Proposition 8.4.7. Let .A; I / be a complete pair of finite ideal type, and consider
the restricted power series ring AhhXii in one variable. Suppose that A is Noethe-
rian outside I . Then AhhXii is flat over AŒX.
Proof. First we note that both AhhXii and AŒX are flat over A (8.4.6 (2)). Since
AhhXii=IAhhXii Š .A=I /ŒX, in view of 8.3.3 we only need to show the flatness
over the points outside I . To this end, take x 2 U D Spec A n V .I /, and set
R D OU;x , which is a Noetherian local ring. Then it suffices to show that the map
RŒX ! AhhXii ˝A R (~)
is flat.
Claim. If (~) is flat outside the maximal ideal mR of R, then (~) is flat.
Indeed, again applying 8.3.3 with A replaced by R and the ideal I by mR , we
find that we only have to show that the induced map .~/ ˝R k is flat, where k is the
residue field of R. Let p A be the prime ideal corresponding to x. By 8.4.6 (1),
AhhXii ˝A .A=p/ Š .A=p/hhXii. Hence AhhXii ˝A k is regarded as a subring of
kŒŒX. Since kŒŒX is torsion free as a kŒX-module, AhhXii˝A k is also torsion free.
But since kŒX is PID, this means that AhhXii ˝A k is flat over kŒX, as desired.
Now we want to show the flatness of .~/ by induction with respect to dim.R/.
If dim.R/ D 0, then Spec R nV .mR / is empty, and there is nothing to prove. Hence
the desired flatness follows from the claim.
If dim.R/ > 0, by induction with respect to dim.R/ the map .~/ with R re-
placed by Rp for any non-maximal prime ideal p (that is, the local ring at the point
y 2 U corresponding to p) is flat. In particular, .~/ is flat outside mR . Hence again
by the claim we deduce that .~/ is flat.
Theorem 8.4.8. Let .A; I / be a complete pair of finite ideal type. Suppose that
A is topologically universally Noetherian outside I . Then for any n 0 the pair
.AhhX1 ; : : : ; Xn ii; IAhhX1 ; : : : ; Xn ii/ satisfies (UBT) and (UAP) (÷8.2. (b)).
Proof. By 8.2.2, 8.2.8, and 8.2.16 we only need to check that a pair of the form
.AhhX1 ; : : : ; Xr iiŒY1 ; : : : ; Ys ; IAhhX1 ; : : : ; Xr iiŒY1 ; : : : ; Ys /

8. Pairs 187
satisfies (BT). We claim that the map
AhhX1 ; : : : ; Xr iiŒY1 ; : : : ; Ys ! AhhX1 ; : : : ; Xr ; Y1 ; : : : ; Ys ii
is flat. The case s D 1 follows from 8.4.7. The general case follows by induction
with respect to s from the factorization
AhhX1 ; : : : ; Xr iiŒY1 ; : : : ; Ys ! AhhX1 ; : : : ; Xr ; Y1 ; : : : ; Ys 1 iiŒYs
! AhhX1 ; : : : ; Xr ; Y1 ; : : : ; Ys ii.
Now apply 8.2.19 and 8.2.6 to deduce the desired result.
8.5 Adhesive pairs

8.5. (a) Adhesive pairs and universally adhesive pairs
Definition 8.5.1. A pair .A; I / of finite ideal type is pseudo-adhesive if

(a) A is Noetherian outside I (8.1.5), and
(b) .A; I / satisfies the condition (BT) in ÷8.2. (a).
A pseudo-adhesive pair .A; I / is said to be adhesive if it satisfies the following
condition, stronger than (b):
(c) the I -torsion part MI -tor of any finitely generated A-module M is finitely
generated.
It is clear that the pseudo-adhesiveness and the adhesiveness depend only on

the topology on A, and not on the ideal I itself. In the sequel we often say that
the ring A is I -adically adhesive (resp. I -adically pseudo-adhesive) to mean that
the pair .A; I / is adhesive (resp. pseudo-adhesive). Note that the theorem of Gab-
ber (8.2.19) implies the following result.
Proposition 8.5.2. A complete pair .A; I / of finite ideal type is pseudo-adhesive if

and only if A is Noetherian outside I .
Proposition 8.5.3. Let .A; I / be a pair of finite ideal type. Then the following
(a) the pair .A; I / is adhesive;

(b) for any finitely generated A-module M , M=MI -tor is finitely presented;
(c) for any finitely generated A-module M and any A-submodule N of M , the
I -saturation Nz of N in M is finitely generated.
Proof. We may assume that the ideal I A is finitely generated. First we show
the equivalence of (b) and (c). Suppose that (b) holds, and let M and N be as in (c).
The I -saturation Nz (÷8.1. (c)) sits in the following exact sequence:
0 ! Nz ! M ! .M=N /=.M=N /I -tor ! 0:
By [27], Chapter I, ÷2.8, Lemma 9, we deduce Nz is finitely generated, whence (c).

The converse ((c) H) (b)) follows from the fact that if W F ! M=MI -tor is a
surjective morphism from a finitely generated A-module, then ker./ is saturated.
Next let us show the equivalence of (a) and (c). Suppose that (c) holds, and
let M be a finitely generated A-module. Since MI -tor is I -saturated, it is finitely
To show that Spec A n V .I / is a Noetherian scheme,
generated. it suffices to show
that A a1 is Noetherian for any a 2 I . Let J be an ideal of A a1 , and J 0 the pull-

back of J by A ! A a1 . Then J 0 is easily seen to be I -saturated, and we have

J 0 A a1 D J . Since J 0 is finitely generated, so is J . Conversely, suppose that (a)
holds. Let N be a submodule of a finitely generated A-module M . By 8.1.6 (1)
we can find a finitely generated submodule N 0 of N such that N=N 0 is I -torsion.
Since we have N f0 D N z , we can replace N by N 0 and hence assume that N is
finitely generated. Then the exact sequence
0 ! N ! Nz ! .M=N /I -tor ! 0
gives that Nz is finitely generated.

Definition 8.5.4. A pair .A; I / is said to be universally adhesive (resp. universally
pseudo-adhesive) if for any n 0 the pair .AŒX1 ; : : : ; Xn ; IAŒX1 ; : : : ; Xn / is
adhesive (resp. pseudo-adhesive).
In this situation we also say that the ring A is I -adically universally adhesive
(resp. I -adically universally pseudo-adhesive). Note that for a pseudo-adhesive
pair .A; I / to be universally pseudo-adhesive it is necessary and sufficient that
.A; I / satisfies (UBT) (cf. 8.2.2).
Proposition 8.5.5. (1) Let .A; I / be an adhesive pair (resp. universally adhesive).
Then for any finitely generated subideal J I the pair .A; J / is adhesive (resp.
universally adhesive).
(2) Let I D .a1 ; : : : ; an / A be a finitely generated ideal, and suppose that
.A; ai / is adhesive (resp. universally adhesive) for any i D 1; : : : ; n. Then .A; I /
is adhesive (resp. universally adhesive).
Proof. Clearly, it is enough to prove the assertions only in the ‘adhesive’ case.
(1) Any finitely generated J -torsion free A-module is I -torsion free, which
verifies (b) of 8.5.3.
8. Pairs 189
(2) By induction with respect to n we can reduce to the case I D .a; b/; sup-
pose .A; a/ and .A; b/ are adhesive. It is clear that A is Noetherian outside I , for
it is Noetherian outside .a/ and .b/. For a finitely generated A-module M , the
a-torsion part Ma-tor is finitely generated. Hence its b-torsion part .Ma-tor /b-tor ,
which is nothing but MI -tor , is finitely generated, so (c) in 8.5.1 is verified.
Proposition 8.5.6. (1) If .A; I / and .B; J / are adhesive (resp. pseudo-adhesive,
resp. universally adhesive, resp. universally pseudo-adhesive) pairs, then also the
pair .A B; I J / is adhesive (resp. pseudo-adhesive, resp. universally adhesive,
resp. universally pseudo-adhesive).
(2) Let .A; I / be a pair and B a faithfully flat A-algebra. If .B; IB/ is adhe-
sive (resp. pseudo-adhesive, resp. universally adhesive, resp. universally pseudo-
adhesive), then so is .A; I /.
Proof. (1) This can be shown by an argument similar to that in the proof of 8.2.3 (1)
in view of the fact that A B is Noetherian outside I J if and only if A is
Noetherian outside I and B is Noetherian outside J .
(2) It suffices to verify the assertion only in the ‘adhesive’ and ‘pseudo-adhesive’
cases. By 8.1.1, we see that .A; I / is of finite ideal type. Since
Spec B n V .IB/ ! Spec A n V .I /
is faithfully flat, it follows that A is Noetherian outside I . If .B; IB/ is pseudo-

adhesive, then it follows from 8.2.3 (2) that .A; I / is pseudo-adhesive. Suppose
.B; IB/ is adhesive and let M be an I -torsion free finitely generated A-module.
Take a surjection A˚m ! M and denote by K its kernel. Since B is A-flat, M ˝A B
is IB-torsion free, and we have the exact sequence
0 ! K ˝A B ! B ˚m ! M ˝A B ! 0:
By the assumption, K ˝A B is a finitely generated B-module (here we used [27],

Chapter I, ÷2.8, Lemma 9). By [27], Chapter I, ÷3.1, Proposition 2, we deduce that
K is finitely generated and hence that .A; I / is adhesive.
Proposition 8.5.7. Let .A; I / be an adhesive (resp. a pseudo-adhesive) pair:
1 1
(1) for any multiplicative subset S A the induced pair .S A; IS A/ is
adhesive (resp. pseudo-adhesive);
(2) for any quasi-finite A-algebra B the induced pair .B; IB/ is adhesive (resp.
pseudo-adhesive).
Proof. (1) As Spec S 1 A n V .S 1 I / is clearly Noetherian, it suffices to check

that for any finitely generated S 1 A-module M , its S 1 I -torsion part is finitely
generated (resp. bounded). Let x1 ; : : : ; xn be generators of M . Set
M 0 D Ax1 C C Axn I
we have M 0 ˝A S 1 A D M . As one can easily verify, MS 1 I -tor coincides

with MI0 -tor ˝A S 1 A. Since MI0 -tor is finitely generated (resp. bounded I -torsion),
MS 1 I -tor is finitely generated over S 1 A (resp. bounded S 1 I -torsion).
(2) The assertion is clear if B is finite over A. In general, we apply Zariski’s
Main Theorem ([54], IV, (18.12.13)) to reduce to this case, using (1) and 8.5.6 as
follows: Spec B ! Spec A is the composition of an open immersion S followed by a
finite morphism. Hence there exists a finite open covering Spec A D i 2I Spec Ai
such that for each i 2 I
Ai is of the form Si 1 A for a multiplicative subset Si A, and

there exists a finite A-algebra B 0 such that Bi D B ˝A Ai is isomorphic to
an A-algebra of the form Ti 1 B 0 for a multiplicative subset Ti B 0 .
By (1), each .Ai ; IAi / is adhesive (resp. pseudo-adhesive), and hence .Bi ; IBi / is
adhesive (resp. pseudo-adhesive). Now by 8.5.6 (1) and (2) applied to
a
Spec Bi ! Spec B;
it follows that .B; IB/ is adhesive (resp. pseudo-adhesive).
Proposition 8.5.8. Let .A; I / be a universal adhesive (resp. universally pseudo-

adhesive) pair:
1 1
(1) for any multiplicative subset S A the induced pair .S A; S I / is uni-
versally adhesive (resp. universally pseudo-adhesive);
(2) for any A-algebra B of finite type the induced pair .B; IB/ is universally
adhesive (resp. universally pseudo-adhesive).
The meaning of the second assertion is that universally-(pseudo-)adhesiveness

is stable under finite type extensions.
Proof. (1) follows easily from 8.5.7 (1). To show (2), note first that any polyno-
mial ring over A is universally adhesive (resp. universally pseudo-adhesive) and
apply 8.5.7 (2).
8. Pairs 191
Proposition 8.5.9. Let .A; I / be a pair of finite ideal type. The following two
(a) .A; I / is adhesive (resp. pseudo-adhesive, resp. universally adhesive, resp.

universally pseudo-adhesive);
(b) AI -tor is finitely generated over A (resp. bounded I -torsion, resp. finitely
generated over A, resp. bounded I -torsion) and .A=AI -tor ; I.A=AI -tor // is
adhesive (resp. pseudo-adhesive, resp. universally adhesive, resp. univer-
sally pseudo-adhesive).
Proof. Since .A=AI -tor /ŒX Š AŒX=AŒXI -tor , it suffices to show the assertion in
the ‘adhesive’ and ‘pseudo-adhesive’ cases. As (a) H) (b) is obvious by 8.5.7 (2),
we show the converse.
First we claim that the scheme Spec A n V .I / is Noetherian. For any f 2 I
the canonical map A ! Af factors through A=AI -tor , whence .A=AI -tor /f Š Af .
This means that Af for any f 2 I is Noetherian and hence that Spec A n V .I / is
Noetherian.
Let M be a finitely generated A-module, and set
M 0 D M ˝A .A=AI -tor / D M=AI -tor M:
We have the exact sequence
0 ! AI -tor M ! MI -tor ! MI0 -tor ! 0:
Since AI -tor M and MI0 -tor are finitely generated over A in the ‘adhesive’ case or are
bounded I -torsion in the ‘pseudo-adhesive’ case, so is MI -tor .
Proposition 8.5.10. Let .A; I / be a pair of finite ideal type. Consider an inductive
system fBi ; fij W Bi ! Bj g of A-algebras indexed by a directed set J , and set
B D lim Bi . Suppose that
!i 2I
(a) .Bi ; IBi / is adhesive (resp. pseudo-adhesive, resp. universally adhesive,

resp. universally pseudo-adhesive) for each i ,
(b) for each pair of indices i; j such that i j , the morphism fij is flat, and
(c) Spec B n V .IB/ is Noetherian.
Then the pair .B; IB/ is adhesive (resp. pseudo-adhesive, resp. universally adhe-
sive, resp. universally pseudo-adhesive).
Proof. It suffices to check the proposition for the ‘adhesive’ and ‘pseudo-adhesive’
cases. Let M be a finitely generated B-module, and consider an exact sequence
0 ! N ! B ˚m ! M ! 0:
Let Nz be the I -saturation of N in B ˚m . Then we have Nz =N Š MI -tor . Since N is

finitely generated outside I , one can find a finitely generated submodule N 0 N
such that its I -saturation in B ˚m coincides with Nz (8.1.6 (1)).
Take an index i 2 J and a finitely generated Bi -submodule Ni0 of Bi˚m such
that Ni0 ˝Bi B D N 0 (note that by (b) the map Bi ! B is flat). Take the
f0 of Ni in B ˚m . Since
I -saturation N i i
f0 D B ˚m =N
M f0
i i i
is an I -torsion free Bi -module isomorphic outside I to Mi0 D Bi˚m =Ni0 , it fol-

lows from the flatness of Bi ! B that M f0 ˝B B is an I -torsion free B-module
i i
isomorphic outside I to
M 0 D Mi0 ˝Bi B Š B ˚m =N 0
f0 ˝B B coincides
and hence also isomorphic outside I to M . This implies that Mi i
with Mz D B =Nz and hence that N

˚m f ˝B B D N
0 z . Now the assertion in each
i i
case follows from the surjection
f0 =N 0 / ˝ B Š N
.N z =N 0 ! Nz =N Š MI -tor
i i Bi
f0 =N 0 Š .M 0 /I -tor .
and the fact that N
i i i
The following proposition can be proved by an argument similar to that in 8.2.10,

using 8.5.6.
Proposition 8.5.11. Let .A; I / be a pair of finite ideal type. Suppose that
y I A/
(a) .A; y is adhesive (resp. pseudo-adhesive), where Ay is the I -adic comple-
tion of A,
(b) A ! Ay is flat, and
(c) A is Noetherian outside I .
Then the pair .A; I / is adhesive (resp. pseudo-adhesive).

Remark 8.5.12. We do not know whether the converse of 8.5.11 holds or not, that
y I A/
is: if .A; I / is adhesive (resp. pseudo-adhesive), then is .A; y adhesive (resp.
pseudo-adhesive), too?
8. Pairs 193
8.5. (b) Some examples. Here we collect a few examples of adhesive pairs, which
will be of particular importance in our later arguments.
Example 8.5.13 (adhesive pairs of type (N)). Needless to say, any Noetherian ring
A is I -adically universally adhesive for any ideal I A. Note that a ring A is
1-adically adhesive if and only if A is an Noetherian ring.
Example 8.5.14 (adhesive pairs of type (V)). One of the most interesting examples
of adhesive pairs is given by a pair .V; a/ consisting of a valuation ring (of arbitrary
height) and an element a 2 mV n f0g such that V is a-adically separated (cf. ÷6.7).
Let us prove the last-mentioned fact.
Proposition 8.5.15. Let V be a valuation ring, and a 2 mV n f0g. Then the

following conditions are equivalent:
(a) V is a-adically adhesive;
(b) V is a-adically pseudo-adhesive;
(c) V is a-adically separated;
(d) V Œ a1 is a field .D Frac.V //.
Proof. Implication (a) H) (b) is clear. Let us show (b) H ) (c). Suppose that V is
T
a-adically pseudo-adhesive, and consider the ideal J D n1 .an /. Take a finitely
generated subideal J0 J such that J =J0 is a-torsion. As J =J0 is contained in
V =J0 , J =J0 is bounded a-torsion. This means that there exists n 0 such that
an J J0 ; but since an J D J , it follows that J itself is finitely generated and
hence is principal. Then we easily see that J D .0/.
We have already shown (c) H) (d) in 6.7.2. To show (d) H) (a), first note
that (d) implies that any non-zero element b 2 V n f0g divides some power an
(n 1) of a. Hence, for any V -module M , M is torsion free if and only if it is a-
torsion free (that is, Ma-tor D 0). In particular, any a-torsion free finitely generated
V -module M is V -flat and hence is a free V -module.
We will see later in ÷9.2 that, if V as above is, moreover, a-adically complete,
then for any n 0 the pair .V hhX1 ; : : : ; Xn ii; a/ is universally adhesive (9.2.7).
8.5. (c) Preservation of adicness. By 8.2.16 and 8.2.13, we have the following
proposition.
Proposition 8.5.16. Let .A; I / be a pseudo-adhesive pair. Then .A; I / satisfies

(AP). If, moreover, I is principal, then .A; I / satisfies (AR).
Hence, by what we have already seen before, a pseudo-adhesive pair .A; I /

enjoys the following properties.
The functor M 7! M y given by I -adic completion on the full subcategory

of ModA consisting of finitely generated A-modules is exact (7.4.11).
M ˝A Ay Š M
y for any finitely generated A-module M (8.2.18 (1)).
the I -adic completion map A ! Ay is flat (8.2.18 (1)).
If, moreover, .A; I / is complete, then (÷7.4. (d)) we have the following properties.
Any finitely generated A-module is I -adically complete.

Any A-submodule N of a finitely generated A-module M is closed in M
and I -adically complete.
8.5. (d) Topologically universally adhesive pairs
Definition 8.5.17. We say that a pair .A; I / is topologically universally adhe-

sive (resp. topologically universally pseudo-adhesive), or that A is I -adically topo-
logically universally adhesive (resp. I -adically topologically universally pseudo-
adhesive) if .A; I / is universally adhesive (resp. universally pseudo-adhesive) and
for any n 0 the I -adic completion of .AŒX1 ; : : : ; Xn ; IAŒX1 ; : : : ; Xn / is again
universally adhesive (resp. universally pseudo-adhesive).
We will often shorten the lengthy name ‘topologically universally adhesive’

(resp. ‘topologically universally pseudo-adhesive’) to ‘t.u. adhesive’ (resp. ‘t.u.
pseudo-adhesive’).12 Similarly to (pseudo-)adhesiveness and universal (pseudo-)
adhesiveness, these notions depend only on the topology on A. Note that if .A; I /
is t.u. pseudo-adhesive, then A is topologically universally Noetherian outside I
(8.4.3). Moreover, by 8.4.8 we have the following result.
Proposition 8.5.18. A complete pair .A; I / of finite ideal type is t.u. pseudo-adhe-
sive if and only if it is topologically universally Noetherian outside I .
12
As indicated in the definition, the property ‘I -adically t.u. adhesive’ does not imply ‘I -adically com-
plete’; but later in I, ÷2.1. (a) we define for the sake of terminological brevity the notion of t.u. adhesive
rings, which are complete by definition. Compare to the terminology adic rings; in [54], 0I , ÷7.1, adic
rings are complete by definition, whereas ‘I -adic’ does not imply completeness; see 7.2.2 and the warning
after I.1.1.3.
8. Pairs 195
Proposition 8.5.19. Let .A; I / be t.u. adhesive (resp. t.u. pseudo-adhesive):
y I A/
(1) the completion .A; y is t.u. adhesive (resp. t.u. pseudo-adhesive);
(2) for any A-algebra B of finite type, the induced pair .B; IB/ is t.u. adhesive
(resp. t.u. pseudo-adhesive);
y
(3) for any A-algebra B topologically of finite type (8.4.1), the induced pair
.B; IB/ is t.u. adhesive (resp. t.u. pseudo-adhesive).
Proof. (1) is clear.

(2) follows easily from 8.5.8 (2). In the situation as in (3), the I -adic completion
of a polynomial ring over B is finite over an A-algebra of the form AhhY y 1 ; : : : ; Ymii
and hence is universally adhesive (resp. universally pseudo-adhesive) by (2).
Theorem 8.5.20. Let .A; I / be a complete pair of finite ideal type. Then the fol-
lowing conditions are equivalent.
(a) .A; I / is t.u. adhesive (resp. t.u. pseudo-adhesive).

(b) .AhhX1 ; : : : ; Xn ii; IAhhX1 ; : : : ; Xn ii/ is adhesive (resp. pseudo-adhesive)
for any n 0.
Proof. The proof is done in a similar way to that of 8.4.8. Only (b) H) (a) needs
to be shown, namely that a pair of the form
.AhhX1 ; : : : ; Xr iiŒY1 ; : : : ; Ys ; IAhhX1 ; : : : ; Xr iiŒY1 ; : : : ; Ys /
is adhesive (resp. pseudo-adhesive). Since AhhX1 ; : : : ; Xn ii is Noetherian outside I ,

one can verify as in the proof of 8.4.8 that the map
AhhX1 ; : : : ; Xr iiŒY1 ; : : : ; Ys ! AhhX1 ; : : : ; Xr ; Y1 ; : : : ; Ys ii
is flat. Then we apply 8.5.11 to deduce the desired result.
8.5. (e) Adhesiveness and coherence

Proposition 8.5.21. Let .A; I / be an adhesive pair, and suppose A is I -torsion
free. Then the ring A is coherent (3.3.1 (2)).
Proof. We verify (e) in 3.3.3. By 3.3.4 (1) and by easy homological algebra we
may assume M D A˚m (for some m 0) without loss of generality. Then L is an
I -torsion free finitely generated A-module, and hence is finitely presented.
Definition 8.5.22. Let .A; I / be a t.u. pseudo-adhesive pair. Then the ring A is
said to be topologically universally coherent with respect to I if any topologically
y
finitely presented A-algebra is universally coherent (3.3.7), where Ay denotes the
I -adic completion of A.
Proposition 8.5.23. Let A be a topologically universally coherent ring with respect
to an ideal I A.
(1) Any finitely presented A-algebra B is topologically universally coherent with
respect to IB.
y
(2) Any topologically finitely presented A-algebra B is topologically universally
coherent with respect to IB.
Proof. To show (1), write B D AŒY1 ; : : : ; Ym=a for a finitely generated a. Then
.B; IB/ is t.u. pseudo-adhesive (8.5.19). Let R D AŒY1 ; : : : ; Ym; X1 ; : : : ; Xn .
Then R=aR D BŒX1 ; : : : ; Xn . Since R y satisfies (AP), the ideal aR
y is closed in R y
y 1 ; : : : ; Xn ii D R=a
due to 7.4.18, and we have BhhX y R.y Therefore BhhX
y 1 ; : : : ; Xn ii
y
is a topologically finitely presented A-algebra and hence is universally coherent. It
follows that B is topologically universally coherent with respect to IB.
(2) can be shown in a similar manner.
Proposition 8.5.24. Let A be I -adically t.u. adhesive and topologically universally
coherent with respect to I A. Then A is universally coherent.
Proof. Since .A; I / is t.u. adhesive, the canonical map AZar ! Ay is faithfully
flat (8.2.18, 7.3.8 (2)). We may assume that I is finitely generated; set I D
.f1 ; : : : ; fr /. Then Spec A n V .I / is the union of the open subsets Spec Afi
.i D 1; : : : ; r/. Set B D AZar Af1 Afr , which is a faithfully flat al-
gebra over A. Since each ring Afi is Noetherian, it is clearly coherent. By the
assumption, the ring Ay is coherent. Then by 3.3.2 (1) and (2) we deduce that A
is coherent. Since, as we saw above, ‘topologically universally coherent’ is closed
under finitely presented extension, we have the assertion.
Theorem 8.5.25. Let .A; I / be a pair.
(1) Suppose A is I -adically universally adhesive and I -torsion free. Then A is
universally coherent.
(2) Suppose A is I -adically complete, I -adically t.u. adhesive, and I -torsion
free. Then A is topologically universally coherent with respect to I .
Hence in (1) any finitely presented A-algebra B is again universally coherent.
Likewise, in (2) any finitely presented algebra B over a topologically finitely pre-
sented A-algebra is again topologically universally coherent. Note that in both
cases B may not be I -torsion free.
8. Pairs 197
Proof. (1) Let B be a finitely presented A-algebra. We are going to check (e)
in 3.3.3. Take a surjective map B 0 ! B with finitely generated kernel, where B 0 is
a polynomial ring over A. Note that B 0 is IB 0 -torsion free. Since for a B-module
to be finitely presented over B is equivalent to being finitely presented over B 0
(cf. 5.4.5), we may assume B D B 0 . But then the assertion in this case is nothing
but 8.5.21.
(2) Let B be a topologically finitely presented A-algebra, and take a surjective
map B 0 D AhhX1 ; : : : ; Xn ii ! B with finitely generated kernel. Note that B 0 is
IB 0 -torsion free. Then the rest of the proof goes similarly to that of assertion (1).

8.6 Scheme-theoretic pairs

Let us mention briefly that the notion of pairs has an obvious interpretation into the
language of schemes. A (scheme-theoretic) pair is a couple .X; Y / consisting of
a scheme X and a closed subscheme Y of X. More generally, one can consider
a pair .X; Y / consisting of an algebraic space X and a closed subspace Y . By a
morphism of scheme-theoretic pairs f W .X; Y / ! .Z; W /, we mean a morphism
n
f W X ! Z of schemes (or algebraic spaces) such that W OX Y for some
n 1, where Y (resp. W ) is the defining ideal of Y (resp. W ) in X (resp. Z).
An appropriate scheme-theoretic counterpart of complete pairs is provided by
adic formal schemes.
Definition 8.6.1. A formal pair is a couple .X; Y / consists of an adic formal
scheme X and its closed subscheme Y defined by an ideal of definition.
(See I.1.1.14 for the definition of adic formal schemes.) For the practical use,
however, a more handy definition of formal pairs may be the following one: a
formal pair is a pair .X; / consisting of an adic formal scheme X and an ideal of
definition . If, moreover, we are only interested in properties that do not depend
on particular choices of ideals of definition, which is most frequently the case in
the sequel, we even do not have to spell out , and just consider an adic formal
scheme X itself as a scheme-theoretic counterpart of complete pairs.
The above definition of formal pairs fits in with the so-called formal comple-
tion ([54], I, ÷10.8): for a scheme X and a closed subscheme Y X of finite
presentation, the formal completion
yY
Xj
y Y ; Y / is
of X along Y is an adic formal scheme (cf. 7.2.15); the associated pair .Xj
a formal pair.
As for Henselian pairs, the correct substitution is given by Henselian schemes
(cf. [75], Chapter 7).
Definition 8.6.2. A Henselian pair is a couple .X; Y / consisting of a Henselian

scheme X and a closed subscheme Y defined by an ideal of definition.
Similarly to the case of formal pairs, it might be more useful in practice to think
of Henselian schemes themselves as the scheme-theoretic counterpart of Henselian
pairs.
To consider the scheme-theoretic counterpart of Zariskian pairs, we need the
notion of Zariskian schemes. For a scheme-theoretic pair .X; Y / we denote by
Z D X Zar jY the locally ringed space supported on the underlying topological space
of Y and with the structure sheaf OZ D i OX , where i W Y ! X is the closed
immersion. The sheaf OZ comes with the topology induced by the -adic topology
on OX , where is the defining ideal of Y ; moreover, gives rise to a quasi-

coherent sheaf of ideals of OZ , denoted again by . Note that we have 1C OZ .
A quasi-coherent ideal J OZ is said to be an ideal of definition if, locally, there
exists positive integers n; m 2 Z such that n J m .
Definition 8.6.3. A Zariskian scheme is a topologically locally ringed space X D
.X; OX / that is locally isomorphic (as a topologically locally ringed space) to a
Zariskian scheme associated to a pair.
In I, ÷B we give more generalities on Zariskian schemes.
Definition 8.6.4. A Zariskian pair is a pair .X; Y / consisting of a Zariskian scheme
X and a closed subscheme Y defined by an ideal of definition.
For any pair .X; Y / we have the associated Zariskian pair
X Zar jY D .X Zar jY ; Y /
and the Henselization
X h jY D .X h jY ; Y /:
By 8.5.7 (1) and 8.5.8 (1) one can obviously talk about (pseudo-)adhesiveness
and universally (pseudo-) adhesiveness for pairs of schemes.
Definition 8.6.5. A scheme-theoretic pair .X; Y / is said to be adhesive (resp.
pseudo-adhesive, resp. universally adhesive, resp. universally pseudo-adhesive) if
there exists an affine open covering fUi D Spec Ai gi 2I of X such that for each i
the pair .Ai ; Ii / is adhesive (resp. pseudo-adhesive, resp. universally adhesive, resp.
universally pseudo-adhesive), where Ii is the ideal defining the closed subscheme
Y \ Ui ,! Ui .
The following proposition follows immediately from 8.5.8.
Proposition 8.6.6. Let .X; Y / be a universally adhesive (resp. universally pseudo-
adhesive) pair of schemes, and X 0 ! X an X-scheme locally of finite type. Then
.X 0 ; X 0 X Y / is universally adhesive (resp. universally pseudo-adhesive).
8. Pairs 199
As the notion of (universally-) adhesiveness is local with respect to étale topol-

ogy (8.5.6 (2) and 8.5.7 (2)), (universal, pseudo-)adhesiveness for pairs .X; Y / of
algebraic spaces (where Y is a closed subspace of X) can be defined in the obvious
way (see ÷5.2. (a) for what we mean precisely by algebraic spaces); we leave the
details to the reader.
From 8.1.1, 8.5.6, 8.5.7 (1), and 8.5.8 (1) one easily derives the following result
(and its obvious analogue for pairs of algebraic spaces).
Proposition 8.6.7. A pair .X; Y / of schemes is adhesive (resp. pseudo-adhesive,

resp. universally adhesive, resp. universally pseudo-adhesive) if and only if for any
étale neighborhood U D Spec A of X the induced pair .A; I / is adhesive (resp.
pseudo-adhesive, resp. universally adhesive, resp. universally pseudo-adhesive),
where I is the ideal of A corresponding to the closed subscheme Y X U of U .
Finally, let us include a useful fact on coherence of structure sheaves, which

follows immediate from 8.5.25 (1) and 5.1.2.
Proposition 8.6.8. Let .X; Y / be a universally adhesive pair of algebraic spaces

such that OX is -torsion free, where D Y is the defining ideal of the closed
subspace Y . Then X is universally cohesive (5.1.1).
8.7 I-valuative rings

8.7. (a) I-valuative rings. Let .A; I / be a pair of finite ideal type. Recall that
an ideal J of A is said to be I -admissible if it is finitely generated and contains a
power of I (cf. 8.1.2).
Definition 8.7.1. Let .A; I / be a pair of finite ideal type. The ring A is said to be
I -valuative if any I -admissible ideal is invertible (cf. ÷6.1. (b)).
If one replaces I by a finitely generated ideal of definition (without loss of

generality), the above definition requires that also the ideal I itself is invertible.
If I can be taken to be a principal ideal I D .a/, we will often say that A is
a-valuative.
The notion of I -valuative rings becomes particularly simple in the case of local
rings: a local ring A is I -valuative if and only if I is a principal ideal I D .a/
generated by a non-zero-divisor a 2 A and every I -admissible ideal is principal.
For example, valuation rings are I -valuative for any non-zero finitely generated
ideal I . The following propositions are useful for reducing many situations to the
case of local rings.
Proposition 8.7.2. Let .A; I / be a pair of finite ideal type. If A is I -valuative, then
for any multiplicative subset S A the localization B D S 1 A is IB-valuative.
Proof. Let J be a finitely generated ideal of B. Then one can take a finitely gener-
ated ideal J 0 of A such that J 0 B D J . Suppose I n B J for some n > 0. Then
one can replace J 0 by J 0 C I n , and hence we may assume that J 0 is I -admissible.
Since J 0 is invertible, J D J 0 B is invertible.
Proposition 8.7.3. Let .A; I / be a pair of finite ideal type. The following conditions
are equivalent.
(a) A is I -valuative.
(b) Ap is IAp -valuative for any prime ideal p of A.
(c) Am is IAm -valuative for any maximal ideal m of A.
Proof. Implication (a) H) (b) follows from 8.7.2, and (b) H) (c) is trivial. Impli-
cation (c) H) (a) follows easily from [27], Chapter II, ÷5.6, Theorem 4.
By 8.7.3, I -valuativeness has an obvious translation into the language of
schemes.
Definition 8.7.4. Let .S; T / be a scheme-theoretic pair (÷8.6) such that the defin-
ing ideal of T is of finite type. We say that S is -valuative (synonymously,
S is T -valuative or .S; T / is valuative) if for any x 2 S the local ring OS;x is
x -valuative.
Proposition 8.7.5. Let S be a scheme, and a quasi-coherent ideal of finite type.
Suppose that S is -valuative, and set U D S n V . /.
(1) The scheme S is integral if and only if U is integral.
(2) The scheme S is integrally closed if and only if U is integrally closed.
Proof. (1) The ‘only if’ part is clear. Suppose U is integral. Let j W U ,! S be the
open immersion. Since is invertible, OS ! j OU is injective. Let 2 U be the
generic point, and i W fg ,! OS the inclusion. Since U is integral, OU ! i OU; is
injective. It follows that OS ! i OS; is injective, which shows that S is integral.
(2) Only the ‘if’ part calls for a proof. We may assume that S is affine S D
Spec A and that comes from a principal ideal I D .a/ with a being a non-zero-
divisor. We may further assume that A is a local ring. Suppose A a1 is integrally
closed (in its total ring of fractions). Let f .x/ D x n C ˛1 x n 1 C C ˛n 1 x C ˛n
be a monic polynomial in AŒx, and suppose an element x D c=b, where b is a non-
zero-divisor, satisfies f .x/ D 0. Since A a1 is integrally closed, one can take c and

b such that b is invertible in A a1 and hence that .b/ is I -admissible. Since .b; c/
is also I -admissible and since A is a local I -valuative ring, .b; c/ is a principal
ideal .d / generated by a non-zero-divisor d . Replacing b and c respectively by
b=d and c=d , we may assume that .b; c/ D .1/. To show that b is invertible, we
suppose b 2 mA . Since .b; c/ D .1/, c must be a unit. But then by the equation
b n f .c=b/ D 0, c n is divisible by b, which is absurd.
8. Pairs 201
Proposition 8.7.6. Let S be an -valuative scheme, and T an integral subscheme

of S . Suppose that T is not contained in V . /. Then the scheme T is
OT -valuative.
Proof. Using 8.7.3, we reduce to the case S D Spec A with A local, T D Spec A=p
where p A is a prime ideal, and I D .a/ with a 62 p. Then the assertion is
straightforward.
8.7.7. Let A be an a-valuative local ring with a 2 mA , and suppose

Proposition
that A a1 is a field. Then A is an a-adically separated valuation ring. Conversely,
if A is a valuation ring, separated with respect to the adic topology defined by a
finitely generated ideal I , then lim Hom.I n ; A/ is a field.
!n1

Note that lim Hom.I n ; A/ Š A a1 by the choice of the generator a 2 I .
! n1
Hence, the second part of the proposition was already shown in 6.7.2.

Proof. By 8.7.5 (1), A is an integral domain, and A a1 is the fraction field of

A. Let b=an 2 A a1 . Since .b; an / is invertible, we set .b; an / D .d / and set
b D b 0 d and an D c 0 d . If c 0 is invertible in A, then b=an D b 0 =c 0 2 A. If
not, since .b 0 ; c 0 / D .1/, b 0 is a unit, and hence .b=an / 1 2 A. We have thus
verified (b) in 6.2.1 and have shown T that nA is a valuation ring. To show it is
a-adically separated, suppose J D n1 .a / ¤ 0, and take f 2 J n f0g. Since f

is invertible in A a1 , we can write f 1 D c=an for c 2 A, that is, an is divisible by
f . But since f is divisible by all am (m 1) at the same time, this is absurd.
8.7. (b) Structure theorem. The most important feature of I -valuative local rings
is that they are ‘composites’ of local rings and valuation rings.
T local ring, where I A is a non-zero

Theorem 8.7.8. (1) Let A be an I -valuative
proper finitely generated ideal. Set J D n1 I n . Then
(a) B D lim Hom.I n ; A/ is a local ring, and V D A=J is an a-adically

N
!n1
separated valuation ring (where I V D .a//
N for the residue field K of B;
(b) A D ff 2 BW .f mod mB / 2 V g;
(c) J D mB .
N
(2) Conversely, for a local ring B and an a-adically separated valuation ring V
for the residue field K of B with aN ¤ 0, the subring A of B defined in (b) above
is an I -valuative local ring for any finitely generated ideal I such that I V D .a/.
N
n
Moreover, B D lim Hom.I ; A/.
!n1
Note that in (1), since I mA , we have I ¤ I 2 and hence aN ¤ 0. Needless

to say, composition/decomposition of valuation rings is the basic example of the
T ring V is I -valuative for any finitely generated
theorem; recall that a valuation
ideal I V and that J D n1 I n is a prime ideal (6.7.1); the theorem in this
particular situation is equivalent to 6.4.1 (1) and 6.4.2.

Proof. (1) Let I D .a/; we have B D A a1 . Let x be a closed point of Spec B,
and S the Zariski closure of fxg in Spec A. If m denotes the maximal ideal of B
corresponding to x, we have S D Spec with p D A \ m. By 8.7.6, the ring
A=p
A=p is I.A=p/-valuative. Since .A=p/ a1 D B=m is a field, A=p is an a-adically
N
separated valuation ring due to 8.7.7, where aN is the image of a in A=p.
Claim 1. V D A=p or, equivalently, p D J .
N
Indeed, since A=p is a-adically separated, .J mod p/ D 0 and thus J p.
For f 2 p consider the admissible ideal .an ; f / of A for each n 1, and set
.d / D .an ; f / with d 2 A. Since f vanishes at x, d cannot be a unit. We need to
show f 2 .an / D I n , and for this it is enough to show d 2 .an /. Since an 2 .d /,
there exists b 2 A such that an D bd . On the other hand, since f 2 p, .b mod p/
is a unit in A=p. Since A is a local ring, this implies that b is a unit of A and hence
that d 2 .an /, as desired.
Claim 2. B is a local ring.
We want show that any f 2 B n m is invertible in B. Since a is invertible in

B, we may assume f 2 A. Let fN be the image of f under the canonical map
A ! A=p D V . Since V is an a-adically
N separated valuation ring, aN n 2 .fN/
for some n 1. Let H D .an ; f /, which is an admissible ideal of A such that
H V D .fN/. There exists h 2 A such that H D .h/, and hence f D gh for some
g 2 A. Since the image of g in V is a unit, g is a unit of A, and hence an 2 .f /.
But this means that f B D B and hence that f is a unit of B, as desired.

Now since V D A=.A \ mB / (mB D m), one has V a1N D K, where K D
B=mB ; that is, the residue field of B is the fraction field of V . Therefore, (a) is
proved.
Next, let us show (b). The inclusion A ff 2 BW .f mod mB / 2 V g is clear.
Let f be an element in the right-hand side, and set f D g=an with g 2 A. There
exists h 2 A such that .h mod J / D .f mod mB /, that is, h g=an 2 mB , and
hence that an h g 2 J . In particular, one can find s 2 A such that an h g D an s,
which gives f D h s 2 A, as desired. By (b), in particular, we know that mB A.
Hence we have J D p D A \ mB D mB , whence (c).
8. Pairs 203
(2) Let A D ff 2 BW .f mod mB / 2 V g and take a finitely generated I such

that I V D .a/.N Set J D mB \ A. We have A=J D V . First we claim that A is a
local ring. Set q D fx 2 AW .x mod J / 2 mV g, and take x 2 A n q. Then xN D x
mod J is a unit in V , which implies x 2 B . But since .x 1 mod mB / belongs to
V , we deduce x 1 2 A. Hence A is a local ring, and mA D q.

Take a 2 I such that .a mod J / D a. N We claim that A a1 D B. The inclusion
1
A a B is clear. Take any f 2 B, and set fN D .f mod mB /. By 6.7.2, which

yields exists n 0 such that fNaN n 2 V and hence that f an 2 A. Hence A a1 B,
as desired.
T T
Next we claim that n1 .an / D J T . We have n1 .an / J , as V is
N
a-adically separated. Suppose x 2 A n n1 .an /, that is, x 62 .an / for some
n 1. Since x=an 62 A, we have aN n =xN 2 mV . There exists T y n2 mA such that
n n
yN D aN =x,N that is, xN yN D aN . Since aN ¤ 0, x 62 J . Hence n1 .a / J , thereby
the
T claim.
n
T .a/ n I and V is a-adically
In particular, since N separated (which implies
n1 I J ), we have n1 I D J .
Now, since all I -admissible ideals of A contain J , they are in inclusion-preserv-
ing one-to-one correspondence with the finitely generated (hence principal) ideals
of V . Let H I n be an I -admissible ideal, and .b/ N the corresponding ideal
where b 2 H . To show H D .b/, it suffices to show that .b/ contains
of V , T
J D n1 .an /. Since .b/ N .aN n /, there exists c 2 A such that an bc 2 J .
Hence there exists e 2 1 C J such that bc D an e. As e is a unit in A, we deduce
that .an / .b/ and so J .b/, as desired. Hence all I -admissible ideals of A are
principal and are invertible, since a is a non-zero-divisor. (In particular, we have
I D .a/.) Therefore, A is I -valuative, and now all the assertions are proved.
8.7. (c) Patching method. Let A be an I -valuative local ring with I D .a/
mA , and B and V the corresponding local ring and valuation ring, respectively,
determined as in 8.7.8. V is a valuation ring for the residue field K D B=mB
of B and N
a-adically
is separated, where aN D .a mod J /. In particular, we have
K D V a1N (6.7.2).
Let X be an object over A, e.g., a scheme, algebra, module, etc. Then, by
base change, it induces the objects XB over B and XV over V together with an

isomorphism W XB ˝ K ! XV ˝ K. In many situations, it is essential to regard
X as being obtained by ‘patching’ XB and XV along . While it will turn out in
many situations that the functor X 7! .XB ; XV ; / is essentially surjective, that
is to say, any triple .XB ; XV ; / can be anyway patched together to an object over
A, we would like to have a more precise picture of the patching; for example, we
would like to ask for an oppositely-oriented functor, so to speak, the ‘patching
functor,’ from the category of the triples as above to the category of A-objects.
Let us formulate the situation more precisely. For a ring R we denote by ModR
the category of R-modules. By base change, we have the commutative (more pre-
cisely, 2-commutative) diagram of categories
ModA / ModB

ModV / ModK ,
which gives rise to a functor

ˇW ModA ! ModB ModK ModV ;
where the right-hand side denotes the 2-fiber product of the categories, that is, the
category of triples .L; M; / consisting of
a B-module L,
a V -module M ,

an isomorphism W L ˝B K ! M ˝V K of K-modules,
and where a morphism

.L1 ; M1 ; 1 / ! .L2 ; M2 ; 2 /
is a pair .f; g/ consisting of a B-morphism f W L1 ! L2 and a V -morphism
gW M1 ! M2 such that the following diagram commutes:
f ˝B idK
L1 ˝B K / L2 ˝B K
1 2

M1 ˝V K / M2 ˝V K.
g˝V idK
We say that .f; g/ is injective (resp. surjective) if both f and g are injective (resp.
surjective). The functor ˇ is then given by
ˇ.N / D .N ˝A B; N ˝A V; can/
for any A-module N , where can is the canonical isomorphism.
Now we define the patching functor
˛W ModB ModK ModV ! ModA
by
˛.L; M; / D f.x; y/ 2 L M W .x mod mB L/ D y ˝ 1 in M ˝V Kg:
8. Pairs 205
Thus we have two functors between these categories,
ˇ
/
ModA o ModB ModK ModV .
˛
These functors can be similarly defined between the corresponding categories

of algebras:
ˇ
/
AlgA o AlgB AlgK AlgV .
˛
Theorem 8.7.9. (1) The functor ˇ is the left-adjoint to the functor ˛, and the ad-
junction morphism ˇ ı ˛ ! id is a natural equivalence. In particular, ˇ is essen-
tially surjective, and ˛ is fully faithful.
(2) The essential image of ˛ consists of A-modules N such that JN is a-torsion
free.
Moreover, the similar assertions hold for algebras.
Proof. Clearly, it suffices to show the theorem in the case of modules.

(1) First we are to show that the adjunction map ˇ ı ˛.L; M; / ! .L; M; /
is an isomorphism. This map is defined by the pair of morphisms N ˝A B ! L
and N ˝A V ! M , where N D ˛.L; M; / L M , induced respectively by
the first and second projections. It is easy to see that these maps are injective and
that N ˝A V ! M is surjective. To show that N ˝A B ! L is surjective, take
x 2 L and set xN D x mod mB L. Since K D V a1N (6.7.2), we can find n 0
such that .an x/ is of the form y ˝ 1. Then one has the element .an x; y/ ˝ a n in
N ˝A B, which maps to x, as desired. Now, by means of the natural transformation
ˇ ı ˛ ! id thus obtained, we have the canonical map
HomModA .N; ˛.L; M; // ! HomModB ModK ModV .ˇ.N /; .L; M; //;
which is bijective due to the presence of the other adjunction map N ! ˛ ı ˇ.N /
defined in an obvious way.
(2) Let us first show that the adjunction map N ! ˛ ı ˇ.N / is surjective.
Every element of ˛ ı ˇ.N / is of the form .x ˝ a n ; y ˝ 1/ 2 NB NV such that
xN D aN n y,
N where x denotes the mod-JN class. Since x an y 2 JN , there exists
z 2 N such that x D an z and that zN D y. N Hence we have .x ˝ a n ; y ˝ 1/ D
.z ˝ 1; z ˝ 1/, which is the image of z under the adjunction map, thereby the
claim. Note that the kernel of this map is JN \ Na-tor D .JN /a-tor . The assertion
follows from these observations, combined with the fact that the other adjunction
map ˇ ı ˛.L; M; / ! .L; M; / is an isomorphism.
Proposition 8.7.10. Let N be an A-module. Then N lies in the essential image of

the functor ˛ if TorB
1 .N ˝A B; K/ D 0 or, sufficiently, if N is flat outside I .
Proof. The exact sequence
0 !J !A !V !0
gives rise to the exact sequence
0 ! TorA
1 .N; V / ! J ˝A N ! N ! N=JN ! 0:
Since TorA A B A
1 .N; V / ˝ K Š Tor1 .N; K/ Š Tor1 .N ˝A B; K/ D 0, Tor1 .N; V / is
an a-torsion module. But since J ˝A N is a-torsion free (as x 7! ax is bijective
on J ), we have TorA1 .N; V / D 0. Consequently, J ˝A N Š JN and that JN is
a-torsion free.
Proposition 8.7.11. (1) Let .L; M; / be an object of ModB ModK ModV , and
set N D ˛.L; M; /. Suppose L is flat over B. The following conditions are
equivalent.
(a) N is a finitely generated A-module.

(b) L is a finitely generated B-module, and M is a finitely generated V -module.
(2) Let .P; Q; / be an object of AlgB AlgK AlgV , and set R D ˛.P; Q; /.
Suppose P is flat over B. Then the following conditions are equivalent.
(a) R is a finitely generated (resp. finitely presented) A-algebra.

(b) P is a finitely generated (resp. finitely presented) B-algebra, and Q is a
finitely generated (resp. finitely presented) V -algebra.
Proof. Both in (1) and in (2) the direction (a) H) (b) is easy. We want to show
the converse. The reasoning for proving (b) H) (a) in (1) and (2) (for ‘finitely
generated’) are quite similar, and we confine ourselves to present it only in (2).
Suppose P (resp. Q) is a finitely generated algebra over B (resp. V ), and take
the generators x1 ; : : : ; xs (resp. yN1 ; : : : ; yN t ). Since P D R ˝A B, multiplying by
a power of a if necessary, we may assume that all xi belong to R. Similarly, since
Q D R ˝A V D R=JR, we can take yi 2 R that lifts yNi for i D 1; : : : ; t . Then we
want to show that fx1 ; : : : ; xs ; y1 ; : : : ; y t g generates R. To this end, we consider
the morphism f W C D AŒX1 ; : : : ; Xs ; Y1 ; : : : ; Y t ! R given by f .Xi / D xi and
f .Yj / D yj .
8. Pairs 207
Claim 1. The induced map f W J C ! JR is surjective.

It is clear that, if the claim is settled, we can prove that R is finitely generated;
indeed, Q is finitely generated, and Q D R=JR.
To prove the claim, we first note that the flatness assumption implies that
TorB
1 .R ˝A B; K/ D 0:
The same reasoning as in the proof of 8.7.10 shows that TorA 1 .R; V / D 0 and
J ˝A R D JR. Similarly, J ˝A C D J C . But since idJ ˝ f W J ˝A C ! J ˝A R
is surjective, the claim follows.
Next, suppose P (resp. Q) is a finitely presented algebra over B (resp. V ).
To show that R is finitely presented, it suffices to show that for any surjection
AŒX D AŒX1 ; : : : ; Xs ! R from a polynomial ring its kernel H is finitely gen-
erated. Since H ˝A B is the kernel of the induced map BŒX1 ; : : : ; Xs ! P D
R ˝A B and since TorB B
i .P; K/ D 0 for all i 1, we have Tor1 .H ˝A B; K/ D 0.
Hence H lies in the essential image of ˛ by 8.7.10. In particular, H D ˛ ı ˇ.H /.
Claim 2. ˇ.H / ! ˇ.AŒX/ is injective.
Indeed, since TorA 1 .R; V / D 0 as above, we see that H ˝A V ! AŒX ˝A V
is injective. Since the other map H ˝A B ! BŒX is clearly injective, the claim is
settled.
The claim implies that H ˝A V is the kernel of V ŒX ! Q. By the assumption
H ˝A B (resp. H ˝A V ) is a finitely generated BŒX (resp. V ŒX)-module. Hence,
by (1), H D ˛ ı ˇ.H / is a finitely generated A-module.
Proposition 8.7.12. Let .P; Q; / be an object of AlgB AlgK AlgV , and set R D
˛.P; Q; /. Then the following conditions are equivalent:
(a) R is flat (resp. smooth, resp. étale) over A;

(b) P is flat (resp. smooth, resp. étale) over B, and Q is flat (resp. smooth, resp.
étale) over V .
Proof. (a) H) (b) is clear. We need to show the converse. We have the diagram

Spec Q / Spec R o ? _ Spec P

Spec V / Spec A o ? _ Spec B,
where the squares are Cartesian (due to 8.7.9 (1)) and the right-hand (resp. left-
hand) inclusions are open (resp. closed) immersions. Then in view of 8.7.11 (2)
and [54], IV, (17.5.1) and (17.6.1), it is enough to show that, if P is B-flat and Q is

V -flat, then R is A-flat. Since P D R a1 and Q D R=JR, it suffices to show that
R is a-torsion free; indeed, since Q is V -flat, R=aR is flat over V =aV D A=aA,
and hence we can apply 8.3.2.
Let x 2 R and suppose an x D 0 for some n > 0. Then in V we have an x D 0;
since aN ¤ 0 and V is an integral domain, x 2 JR. But by 8.7.9 (2) we know that
JR is a-torsion free and so x D 0, as desired.
Proposition 8.7.13. Let A be an I -valuative local ring for a non-zero I D .a/ ¤
A, and B, J , V , and K as in 8.7.8. Then the following conditions are equivalent.
(a) A is I -adically Henselian.

(b) V is I V -adically Henselian, and B is mB -adically Henselian.
Proof. First we prove (a) H) (b). It is obvious that V is Henselian, for it is a quo-
tient of A. To see that B is Henselian, we verify the following: for any B-algebra
P étale over B such that P ˝B F D P =mB P D K, there exists a homomorphism
P ! B such that the composition B ! P ! B is the identity map.
If P is as above, then .P; V; / (for some ) is an object of AlgB AlgK AlgV ,
and hence we have an A-algebra R D ˛.P; V; /. By 8.7.12 R is an étale A-algebra,
and we know that R=IR D V =I V D A=I . Hence there exists a homomorphism
R ! A such that the composition A ! R ! A is the identity map. Since
R a1 D P , we have the desired morphism P ! B by base change.
Next, we show (b) H) (a). Let R be an étale A-algebra such that R=IR D
A=I . Then 1 by base change (that is, by the functor ˇ), we have the étale B-algebra
P D R a and the étale V -algebra Q D R=JR. Since V is Henselian with
respect to the I V -adic topology, the obvious equalities Q=IQ D R=IR D V =I V
yield Q ! V ; similarly, as J D mB , we have a morphism P =JP D
a morphism
Q a1N ! V a1N D K (cf. 6.7.2), which gives rise to a map P ! B. Hence we have
homomorphisms P ! B and Q ! V that give respectively the right-inverses of
B ! P and V ! Q. These maps form a morphism .P; Q; can/ ! .B; V; can/ in
AlgB AlgK AlgV , giving a right-inverse to the structural map
.B; V; can/ ! .P; Q; can/:
Then by 8.7.10 the functor ˛ gives rise to a morphism R ! A such that the com-
position A ! R ! A is the identity map, whence the claim.
8.8 Pairs and complexes

8.8. (a) Set-up. Let us first fix notations that we will use throughout this subsec-
tion. Let .A; I / be a pair, and
q 1 dq d qC1
1 d
K W ! K q ! K q ! K qC1 !
8. Pairs 209
a complex of A-modules. We consider the I -adic filtration fI n K gn0 on the

complex K and define the complex Kk by the exact sequence
0 ! I kC1 K ! K ! Kk ! 0 ()
of complexes for each k 0. This induces the cohomology long exact sequence
q q q
k k ık
! Hq .I kC1 K / ! Hq .K / ! Hq .Kk / ! HqC1 .I kC1 K / ! :
Definition 8.8.1. For q 2 Z we define the filtrations
fF n Hq .I kC1 K /gn0 and fF n Hq .Kk /gn0
on the cohomologies Hq .I kC1 K / and Hq .Kk /, respectively, for each k 0 by
F n Hq .I k K / D image.Hq .I n K \ I k K / ! Hq .I k K //I
F n Hq .Kk / D image.Hq .K =I n K \ I kC1 K / ! Hq .Kk //:
We call these filtrations the induced filtrations on the cohomologies.
8.8. (b) Results in case I is finitely generated
Lemma 8.8.2. Let .A; I / be a complete pair of finite ideal type, and q 2 Z. Sup-
pose that the following conditions are satisfied.
(a) K q is I -adically separated, and K q 1

is I -adically complete.
(b) Hq .K /=I Hq .K / is finitely generated as an A-module.
Then the A-module Hq .K / is finitely generated. More precisely, if ˇ1 ; : : : ; ˇm are

elements of Hq .K / that generate Hq .K /=I Hq .K /, then ˇ1 ; : : : ; ˇm generate
Hq .K / as an A-module.
Proof. We may assume that I is finitely generated: I D .a1 ; : : : ; ar /. Consider

the projection pW ker.d q / ! Hq .K / and for each j D 1; : : : ; m an element ˛j 2
ker.d q / such that p.˛j / D ˇj . Set M D A˚m , and let ˆW M ! ker.d q / be the
map given by the elements ˛1 ; : : : ; ˛m . Set ' D p ı ˆ. We have
Hq .K / D '.M / C I Hq .K /:
Hence, in particular,
ker.d q / D ˆ.M / C image.d q 1

/ C I ker.d q /:
.1/ .r/
For x D x0 2 ker.d q / we have y1 2 M , z1 2 K q 1 , and x1 ; : : : ; x1 2 ker.d q /
such that
r
X
x D ˆ.y1 / C d q 1
.z1 / C ai x1.i / :
i D1
We do the same for each x1.i / to get a similar equalities

r
X
.i / .i / q 1 .i / .ij /
x1 D ˆ.y2 / Cd .z2 / C aj x2 :
j D1
Then we have
r
X
x D ˆ.y2 / C d q 1
.z2 / C ai aj x2.ij / ;
i;j D1
Pr Pr
where y2 D y1 C i D1 ai y2.i / and z2 D z1 C i D1 ai z2.i / .
We repeat this to obtain the sequences fyn gn1 , where yn is a polynomial in
a1 ; : : : ; ar of degree n 1 with the coefficients in M , and fzn g, where zn is a
polynomial in a1 ; : : : ; ar of degree n 1 with the coefficients in K q 1 , such that,
for any n 1, x .ˆ.yn /Cd q 1 .zn // is a homogeneous polynomial in a1 ; : : : ; ar
of degree n with the coefficients in ker.d q /, hence belonging to I n ker.d q /. Set
y D lim yn 2 M and z D lim zn 2 K q 1 . Since K q , and hence ker.d q / also, is
I -adically separated, we have
x D ˆ.y/ C d q 1
.z/:
Thus we have shown that ker.d q / D ˆ.M / C image.d q 1

/, that is, the map
'W M ! Hq .K / is surjective.
Remark 8.8.3. If we further assume in 8.8.2 that I is principal, I D .a/, and
that Hq .K /a-tor is bounded a-torsion, then the consequence of 8.8.2 follows by a
simpler argument: by 7.2.4, it suffices to show that Hq .K / is a-adically separated,
which is verified by an easy argument (cf. Exercise 0.8.2).
Lemma 8.8.4. Let .A; I / be a complete pair of finite ideal type, and q 2 Z an
integer. Suppose that the following conditions are satisfied:
(a) K q is I -adically separated, and K q 1

is I -adically complete;
(b) the topology on Hq .K / defined by fF n Hq .K /gn0 is I -adic;
(c) for any k 0 the image of the map Hq .K / ! Hq .Kk / is finitely generated
as an A-module.
Then Hq .K / is finitely generated as an A-module.

8. Pairs 211
Proof. By (c), the A-module Hq .K /=F kC1 Hq .K / is finitely generated for any
k 1. By (b), there exists an integer s D s.k/ 0 such that F kCsC1 Hq .K /
I kC1 Hq .K / for any k 0. Hence Hq .K /=I Hq .K / is a quotient of the finitely
generated A-module Hq .K /=F s.0/C1 Hq .K /, and hence is finitely generated.
Now, applying 8.8.2, we deduce the assertion.
Lemma 8.8.5. Suppose that the pair .A; I / is pseudo-adhesive (8.5.1).
(1) We have the equality
.ıkq / 1
.F n HqC1 .I kC1 K // D F n Hq .Kk /
for any k; n 0 and q 2 Z.
(2) For a fixed q 2 Z suppose that HqC1 .I kC1 K / is finitely generated and that
the topology on it defined by the induced filtration fF n HqC1 .I kC1 K /gn0
is I -adic for any k 0. Then the projective system fHq .Kk /gk0 satisfies
(ML).
Proof. To show (1), we may assume n k. Consider the commutative diagram

q
ın
Hq .K / / Hq .K /
n
/ HqC1 .I nC1 K / / HqC1 .K /
˛ ˇ

Hq .K / / Hq .K /
k q
/ HqC1 .I kC1 K / / HqC1 .K /
ık
with the exact rows. What to prove is the equality .ıkq / 1

.image.ˇ// D image.˛/,
which follows from an easy diagram chasing.
To show (2), first note that
q
.ık / 1
.F n HqC1 .I kC1 K / \ HqC1 .I kC1 K /I -tor / D F n Hq .Kk /
due to (1). Since .A; I / is pseudo-adhesive, HqC1 .I kC1 K /I -tor is of bounded

I -torsion. Since the filtration fF n HqC1 .I kC1 K /gn0 defines the I -adic topology
and since .A; I / is pseudo-adhesive, we have in view of 8.5.16
F n HqC1 .I kC1 K / \ HqC1 .I kC1 K /I -tor D 0
for sufficiently large n. This implies that the filtration fF n Hq .Kk /gn0 is stationary.
In other words, for any k 1 there exists l k such that for any m l the maps
Hq .Kl / ! Hq .Kk / and Hq .Km
/ ! Hq .Kk / have the same image, which is
nothing but (ML).
8.8. (c) Results in case I is principal. When the ideal of definition I is principal
I D .a/, one can prove stronger results.
Lemma 8.8.6. Consider the situation as in ÷8.8. (a), and suppose that I is principal,
I D .a/. Let q 2 Z be an integer.
qC1
(1) Suppose an Ka-tor D 0 for some n 0. Then for any k n we have
akC1 Hq .K / F kC1 Hq .K / ak nC1
Hq .K /:
(2) Suppose, moreover, that A and K q 1 is a-adically complete and K q is

a-adically separated. Let ˇ1 ; : : : ; ˇm 2 Hq .K / be elements such that for
q q q
some k n the elements k .ˇ1 /; : : : ; k .ˇm / generate k .Hq .K // as an
q
A-module. Then H .K / is generated by the elements ˇ1 ; : : : ; ˇm over A. In
particular, the A-module Hq .K / is finitely generated, and the topology on
Hq .K / defined by the induced filtration
fF l Hq .K /gl0
is I -adic.
Proof. Applying 8.2.14 to
0 ! ker.d q / ! K q ! image.d q / ! 0;
one obtains the equality ker.d q / \ akC1 K q D ak nC1 .ker.d q / \ an K q /. Hence,
one has the inclusions akC1 ker.d q / ker.d q / \ akC1 K q ak nC1 ker.d q /,
whence (1). This means that the topology on Hq .K / defined by the filtration
fF l Hq .K /gl0 coincides with the a-adic topology, which shows the last assertion
of (2). Then the first assertion of (2) follows from 8.8.2.
Remark 8.8.7. Similarly to Remark 8.8.3, the proof of 8.8.6 can be much simpli-
q
fied if we further assume, for example, that the a-torsion part Ka-tor is bounded
a-torsion (which we can assume in most of the later applications), since in this
situation one can show that the cohomology Hq .K / is a-adically separated.
Lemma 8.8.8. Consider the situation as in ÷8.8. (a), where the ideal I is assumed
to be principal I D .a/, and suppose, moreover, that A is a-adically complete
t.u. adhesive (8.5.17) and a-torsion free (hence, in particular, A is topologically
universally coherent with respect to I (8.5.22) by 8.5.25/. Let q 2 Z, and suppose
qC1
there exists n 0 such that an Ka-tor D 0.
(1) If K q 1 is a-adically complete, K q is a-adically separated, Hq .Kk / is finitely

generated as an A-module, and HqC1 .akC1 K / is a coherent A-module for
any k n, then Hq .K / is a finitely generated A-module.
8. Pairs 213
(2) If Hq .K / is finitely generated as an A-module and Hq .Kk / is a coherent

A-module for any k n, then Hq .K / is a coherent A-module.
Proof. (1) Since ıkq .Hq .Kk // is finitely presented, ker.ıkq / D image.kq / is finitely
generated. Then the assertion follows from 8.8.6 (2).
(2) Set T D Hq .K /a-tor . Since .A; a/ is adhesive, Hq .K /=T is finitely pre-
sented, and hence is coherent due to 3.3.3. In view of 3.3.4 (2), it suffices to show
that T is finitely presented. Since T is finitely generated, there exists m 0 such
that amC1 T D T \ amC1 Hq .K / D 0. Let k D m C n. Then, by 8.8.6 (1),
ker.kq / D image.qk / amC1 Hq .K /. Hence the map T ! Hq .Kk / given by kq
is injective, and thus T can be regarded as a finitely generated A-submodule of the
coherent A-module Hq .Kk /. Hence T is finitely presented, as desired.
The following lemma will be used later.
Lemma 8.8.9. Consider the situation as in ÷8.8. (a), where the ideal I is assumed
to be principal, I D .a/, and A is a-adically complete. Let B be an a-adically
complete flat A-algebra such that the pair .B; IB/ satisfies (APf). Let L be a
complex of B-modules, and K ! L a morphism of complexes of A-modules. By
the commutative diagram
0 / akC1 K / K / K /0
k

0 / akC1 L / L / L /0
k
of complexes with exact rows, one has the commutative diagram

q q q
k;B k;B ık;B
/ Hq .akC1 K /B / Hq .K /B / Hq .K /B / HqC1 .akC1 K /B /
k
q q qC1
'k 'q ˆk 'k

/ Hq .akC1 L / / Hq .L / / Hq .L / / HqC1 .akC1 L / /
k
q q
k k k
q
of B-modules with exact rows (due to the flatness of A ! B/. Here the exact
sequence in the first row is the one obtained via base change by A ! B of the
cohomology exact sequence as in ÷8.8. (a). Let q 2 Z and suppose that Hq .K / is
finitely generated as an A-module.
qC1
(1) If an Ka-tor D 0 for some n 0 and ˆqk is injective for any k n, then ' q
is injective.
(2) Suppose that K q 1 is a-adically complete, that Lq is a-adically separated,
qC1 q
and that an La-tor D 0 for some n 0. If for any k n the map ˆk is surjective
qC1
and the map 'k is injective, then ' q is surjective.
Proof. (1) For any k n we have ker.' q / ker.kq ı ' q / D ker.ˆqk ı k;B q
/D
q q q k nC1 q
ker.k;B / D image.k;B / D image.k /˝A B a .H .K /˝A B/, where the
q
last inclusion is due to 8.8.6 (1). By 7.4.16, H .K / ˝A B is a-adically separated.
Hence ker.' q / D 0.
(2) By an easy diagram chasing one deduces that kq .' q .Hq .K / ˝A B// D
q
k .Hq .L // for k n. Let ˛1 ; : : : ; ˛m be elements of Hq .K / that generate
Hq .K / as an A-module, and set ˇj D ' q .˛j ˝ 1B / for each j D 1; : : : ; m.
We know that the elements kq .ˇ1 /; : : : ; kq .ˇm / generate kq .Hq .L // as a B-mod-
ule. Using 8.8.6 (2), we deduce that H q .L / is generated by ˇ1 ; : : : ; ˇm , that is,
' q is surjective.
Exercises
Exercise 0.8.1. Let .A; I / be a Zariskian pair, and f1 ; : : : ; fr 2 A a finite collec-
tion of elements such that .f1 ; : : : ; fr / D A. Show that
r
a
Spec .Afi /Zar ! Spec A
i D1
gives a flat covering of Spec A.

Exercise 0.8.2. Let .A; I / be a complete pair with I D .a/ principal, and let the
map f W M ! N be a morphism of A-modules. Suppose that
(a) M is a-adically complete, and N is a-adically separated, and
(b) .coker.f //a-tor is bounded a-torsion.
Show that coker.f / is a-adically separated.
Exercise 0.8.3. Let .A; I / be a pair, a an ideal of A, and f 2 A an element of A
such that the ideal .f / is I -adically open. Show that, if a is f -saturated, then so is
the closure aN in A with respect to the I -adic topology.
Exercise 0.8.4. Let W be a discrete valuation ring, and V a valuation ring for the
residue field of W with 0 < ht.V / < 1. Let Vz be the composite of W and V .
Show that there exists a 2 mV such that Vz is Noetherian outside I D .a/ and
a-torsion free, but is not a-adically separated. In particular, Vz is not a-adically
adhesive.
Exercise 0.8.5. (1) Show that adhesiveness (resp. pseudo-adhesiveness) is stable
under étale extensions of rings.
(2) If .A; I / is adhesive (resp. pseudo-adhesive, resp. universally adhesive, resp.
universally pseudo-adhesive) and Spec Ah n V .I h / is Noetherian, then show that
.Ah ; I h / is adhesive (resp. pseudo-adhesive, resp. universally adhesive, resp. uni-
versally pseudo-adhesive).
8. Pairs 215
Exercise 0.8.6. Let .A; I / be an adhesive pair, M an I -torsion free A-module and
N; P M finitely generated A-submodules. Show that N \P is finitely generated.
Exercise 0.8.7. Let A be a ring, and I A a finitely generated ideal.
(1) Show that the following conditions are equivalent (cf. 8.5.3):
(a) for any finitely generated A-module M that is finitely presented outside I ,
MI -tor is finitely generated.
(b) for any finitely generated A-module M that is finitely presented outside I ,
M=MI -tor is finitely presented.
(c) for any finitely generated A-module M and any finitely generated outside
I A-submodule N M , the I -saturation Nz is finitely generated.
If one of (and hence all) these conditions are satisfied, then we say that the pair
.A; I / is pre-adhesive. If, moreover, any polynomial rings over A together with the
ideal induced by I is pre-adhesive, we call .A; I / universally pre-adhesive. Clearly,
a pair .A; I / is adhesive (resp. universally adhesive) if and only if it is pre-adhesive
(resp. universally pre-adhesive) and A is Noetherian outside I .
(2) Show that the statements analogous to 8.5.7 and 8.5.8 hold; in particular,
universally pre-adhesiveness is stable under finite type extensions.
(3) Consider an inductive system fBi ; fij W Bi ! Bj g of A-algebras indexed by
a directed set J , and set B D lim Bi . Suppose that
!i 2I
(i) .Bi ; IBi / is pre-adhesive (resp. universally pre-adhesive) for each i and
(ii) for each pair of indices i; j such that i j the morphism fij is flat.
Show that .B; IB/ is pre-adhesive (resp. universally pre-adhesive) (cf. 8.5.10).
(4) Show that if .A; I / is pre-adhesive (resp. universally pre-adhesive), then so
is the Henselization .Ah ; I h /.
Exercise 0.8.8. Let A (resp. A0 / be a-valuative (resp. a0 -valuative) local ring, where
a 2 mA (resp. a0 2 mA0 /, and hW A ! A0 a local homomorphism T that is adic with

respect to the a-adic and a0 -adic topologies. Let J D n1 an A, B D A a1 ,
T
V D A=J , and K D Frac.V / be as in 8.7.8, and similarly, J 0 D n1 a0n A0 ,

B 0 D A0 a10 , V 0 D A0 =J 0 , and K 0 D Frac.V 0 /.
(1) Show that the map h induces a local injection V ,! V 0 and, moreover, we
have V D K \ V 0 in K 0 .

(2) Show that the map h induces a local homomorphism g D h a1 W B ! B 0 and,
moreover, we have g 1 .A0 / D A.
9 Topological algebras of type (V)

By a topological algebra of type (V), we mean a topologically finitely generated
algebra over an a-adically complete valuation ring. The terminology echos a no-
tion that will be introduced, the rigid spaces of type (V) (II, ÷2.5. (a)), which will
be defined consistently as rigid spaces locally of finite type over an a-adically com-
plete valuation ring. Similarly to how finitely generated algebras over a field are
‘coordinate rings’ and play a dominating role in classical algebraic geometry, topo-
logical algebras of type (V), especially those over an a-adically complete valuation
ring of height one, are the central object in the classical rigid geometry of Tate and
Raynaud. More precisely, if A is a topologically finitely generated
algebra over
an a-adically complete valuation ring V , then the algebra A a1 is an affinoid alge-
bra in Tate’s rigid analytic geometry (see [94]). Many of the known properties of
affinoid algebras, ring-theoretic (e.g. Noetherianness) or Banach algebra-theoretic,
are, as we will see in ÷9.2. (a), actually consequences of the fact that V is a-adically
topologically universally adhesive (8.5.17).
In ÷9.1 we give a general fact concerning a-adically complete valuation rings
and a-adic completion of valuation rings. The main theorem (9.1.1) describes in
detail the structure of the a-adic completion of a valuation ring, which will be at
the basis of the discussions in the subsequent subsections.
In ÷9.2. (b) we will discuss the Noether normalization theorem for topologically
finitely generated algebra over an a-adically complete valuation ring of height one,
which is one of the ‘special techniques’ that work only in the height-one situation.
The final subsection, ÷9.3, surveys several important and basic properties of
affinoid algebras.

Convention. In this book, affinoid algebras obtained as A a1 from a topologically
finitely generated algebra A over an a-adically complete valuation ring are called
classical affinoid algebras, in order to distinguish them from more general algebras
that arise from affinoids (II, ÷6) in our approach to rigid geometry.
9.1 a-adic completion of valuation rings

9.1. (a) Fundamental structure theorem. Throughout this section we fix a valu-
ation ring V and a non-zero element a 2 mV n f0g. (Note that the valuation ring V
is therefore of non-zero height, that is, not a field.) We consider the a-adic topology
on V and denote by
Vy D lim V =an V
n0
the a-adic completion of V (cf. 7.2.15). Furthermore, we set K D Frac.V /.

9. Topological algebras of type (V) 217
Theorem 9.1.1. Suppose V is a-adically separated.
(1) The a-adic completion Vy is a valuation ring of non-zero height, and Frac.Vy /
is canonically isomorphic to the Hausdorff completion Ky of K with respect
to the filtration fan V gn0 .
(2) The canonical map V ,! Vy is a local homomorphism, that is, mVy \V D mV .

Moreover, the canonical map V =mV ! Vy =mVy is an isomorphism.
(3) Let p be a non-zero prime ideal of V . Then the localization Vp is a-adically

separated, and Vy is isomorphic to the composite of Vyp , the a-adic completion
of Vp , and V =p.
(4) For any prime ideal p of V , pVy is a prime ideal of Vy , and pVy \ V D p.
(5) The underlying continuous mapping of the canonical morphism
Spec Vy ! Spec V
is a homeomorphism; in particular, ht.Vy / D ht.V /. Moreover, the canonical

map
V D K =V ! y D Ky =Vy
V
between the value groups is an isomorphism of totally ordered commutative

groups.
Let us make the following small remark before proceeding to the proof. In the
situation as in the theorem, we have the commutative square

VyO y
/K
O
? ?

V /K
consisting of injective ring homomorphisms. The injectivity of the vertical arrows

follows from the fact that the filtration fan V gn0 is separated, and the injectivity of
the upper horizontal arrow follows from Exercise 0.7.5. It follows, moreover, from
the same exercise that the above square is Cartesian, that is, V D Vy \ K, and that
K=V Š K= y Vy . In particular, we have Vy ¤ K. y
9.1. (b) Proof of Theorem 9.1.1. We first show assertions (1) and (2) of the the-
orem. To show that the completion Ky of K is a field, take x 2 K. y Then x
is the limit of a Cauchy sequence fxn gn0 in K. If x ¤ 0, replacing fxn gn0
by a cofinal subsequence, we may assume that there exists N 1 such that
xn 62 aN V for any n 0. Let us consider the sequence fxn 1 gn0 , which we
want to prove to be a Cauchy sequence. For any k N there exists y 2 V such
that xn xm D .xm1 xn 1 /xn xm D akC2N y for n and m large enough. Since
xn ; xm 62 aN V , there exist zn ; zm 2 V such that aN D xn zn D xm zm . Then
xm1 xn 1 D ak zn zm y 2 ak V . Hence fxn 1 gn0 is a Cauchy sequence that con-
verges to the multiplicative inverse of x, and thus we showed that Ky is a field.
Next, consider the maximal ideal mV of V . Since an V mV for each n 0,
one can consider the completion m O V of mV by the filtration fan V gn0 . By Exer-
cise 0.7.5, mO V is a subgroup of Vy ; moreover, by the construction of completions,
mO V is canonically a Vy -module and hence is an ideal of Vy . By the same exercise
we have Vy =m O V Š V =mV and m O V \ V D mV . The first equality yields that m O V is
a maximal ideal of Vy , and the second one shows that this maximal ideal dominates
the maximal ideal of V . Moreover, one can show that m O V is the unique maximal
ideal of Vy as follows. Consider an element 1 C x with x 2 m O V . Since x is the limit
of a Cauchy sequence fxn gn0 with each xn 2 mV , and since 1 C xn is invertible
in V , we deduce that 1Cx is invertible in Vy . But this shows that m O V is contained in
the Jacobson radical of Vy (cf. 7.3.2) and hence that it is the unique maximal ideal.
Thus we have shown that Vy is a local ring with the maximal ideal mVy D m OV
y
and that the inclusion map V ,! V is a local homomorphism. To show that V is a y
valuation ring for K,y take a non-zero x 2 K, y for which we are going to check (b)
in 6.2.1. Since K= y Vy Š K=V , one can write x D y C z, where y 2 Vy and
z 2 .K n V / [ f0g. If z D 0, then x 2 Vy . If not, there exists w 2 mV such
that z D w 1 . Then x 1 D w=.1 C yw/. Since w 2 mV and since the inclusion
map V ,! Vy is local, we have yw 2 mVy , and hence 1 C yw is invertible in Vy .
By this we conclude x 1 2 Vy , and thus we have shown that Vy is a valuation ring
for K.y Moreover, since Vy ¤ K, y Vy is of non-zero height. Thus we have shown all
assertions in (1) and (2) of the theorem.
To continue the proof, we need some auxiliary results.
Lemma 9.1.2. Let V be an a-adicallyp separated valuation ring, and S V a

multiplicative subset such that S \ .a/ D ;. Then for any n 0 we have
anC1 VS an V an VS :
In particular, the a-adic topology on the ring VS coincides with the one given by
the filtration fan V gn0 .
Proof. The inclusion an V an VS is obvious. Let anC1 b=c 2 anC1 VS where

c 2 S . Since c 62 .a/, there exists d 2 V such that a D cd . Hence anC1 b=c D
an bd 2 an V , thereby the other inclusion.
Corollary 9.1.3. Let V be an a-adically separated valuation ring, and p a non-
zero prime ideal of V . Then Vp is a-adically separated, and Frac.Vy / D Frac.Vyp /,
where Vyp denotes the a-adic completion of Vp .
p
Proof.
T In view of
T 6.7.3 we know that p contains .a/; applying 9.1.2, we have
n n
n0 a V p D n0 a V D 0, which shows that V p is a-adically separated. More-
over, by 9.1.2 and Exercise 0.7.5, V Vp K D Frac.Vy /, whence the other
y y y
assertion.
Lemma 9.1.4. For any x 2 Ky there exists u 2 Vy such that ux 2 K. Moreover, if
x 2 Vy , then ux 2 V .
Proof. We may assume x ¤ 0. Then x is the limit of a Cauchy sequence fxn gn0
of elements in K; since x ¤ 0, we may assume that xn ¤ 0 for any n 0.
Since the sequence fxn =xgn0 converges to 1, one can find a sufficiently large
n such that u D xn =x belongs to the open neighborhood 1 C aVy of 1. Since
1 C aVy 1 C mVy , we have u 2 Vy , and thus the first claim is shown. If x 2 Vy ,
then ux 2 Vy \ K D V .
Now we proceed to the proof of assertions (3), (4), and (5) of 9.1.1. Let p
be a non-zero prime ideal of V . By 9.1.3, we already know that Vp is a-adically
separated. By (2), the residue field of Vyp is equal to that of Vp , and hence one can
take the composite valuation ring Vz of Vyp and V =p. By 9.1.3, Vz is a valuation ring
for Frac.Vy / D K.y Moreover, by the construction, we have the canonical inclusion
map V ,! V , which is local. Hence, by the characterization (a) in 6.2.1, Vy D Vz ,
y z
whence (3).
To show (4), let us consider the completion pO of p with respect to the filtra-
tion fan V gn1 (note that an V is contained in p for any n 1 (6.7.3)). By Ex-
ercise 0.7.5, pO is an ideal of Vy ; since Vy =pO Š V =p, it is a prime ideal; moreover,
pO \ V D p. Now, by the construction we have the canonical inclusion pVy pO .
Moreover, since pVy contains aVy , we have V =p Š Vy =pVy . Hence, pVy D pO , which
shows (4).
Since Vy is a-adically separated, any non-zero prime ideal contains a. Hence, to
show the first assertion of (5), it suffices to show that the map
Spec Vy =aVy ! Spec V =aV
is a homeomorphism, which is clear, since Vy =aVy Š V =aV . This shows the equal-
ity ht.Vy / D ht.V / between the heights.
Finally, let us show V Š Vy . Since Vy \ K D V and mVy \ V D mV , it is

easy to see that the map K =V ! Ky =Vy is injective. The surjectivity follows
from 9.1.4.
9.1. (c) Corollaries. Theorem 9.1.1 has several useful corollaries.
Corollary 9.1.5. Let V be a valuation ring and a 2 mV n f0g. Then the a-adic
completion Vy D lim V =an V is a valuation ring of non-zero height.
n0
T
Proof. By 6.7.1, J D n0 an V is a prime ideal, and hence V =J is a valuation
ring (6.4.1 (1)). Since Vy is isomorphic to the a-adic completion of V =J and a 62 J ,
the assertion follows from 9.1.1 (1).
Remark 9.1.6. Here is another proof of 9.1.5. Since we have a canonical bijection
between the set of all a-admissible ideals (8.1.2) of Vy D lim V =an V and the set
n0
of a-admissible ideals of V , we see that Vy is a-valuative (8.7.1). Hence, by 8.7.8,
T
Vy D Vy = n0 an Vy is a valuation ring.
Corollary 9.1.7. Let V be an a-adically separated valuation

p ring with a 2 mV nf0g,
and S V a multiplicative subset such that S \ .a/ D ;. Then the canonical
map
.Vy /S ! VyS
is an isomorphism, where the left-hand ring is the ring of fractions of Vy with respect
to the image of S under the canonical map V ,! Vy , and the right-hand ring is the
a-adic completion of VS .
Proof. By 9.1.2 and Exercise 0.7.5 the canonical map Vy ! VyS is injective, and
hence the map in question is injective. To show it is surjective, we write each
element x of VyS as a power series in a
X bn
xD an ;
n0
sn
where bn 2 V and sn 2 S for n 0. Since sn 62 .a/, there exists tn 2 V such that

a D sn tn . Hence,
b0 X
xD C bn tn an 1 ;
s0 n1
which belongs to .Vy /S .

Corollary 9.1.8. If V is an a-adically complete valuation

p ring .a 2 mV n f0g/ and
S V is a multiplicative subset such that S \ .a/ D ;, then VS is a-adically
complete.
Corollary 9.1.9. Let V be an a-adically separated valuation ring .a 2 mV n f0g/,
and p a non-zero prime ideal of V . Then .Vy /pVy Š Vyp .
Proof. In view of 9.1.7 it suffices to show that the localization of Vy by S D V n p

is equal to the localization by Vy n pVy . By 9.1.4, for any x 2 Vy n pVy there exists
u 2 Vy such that ux 2 V \ .Vy n pVy /. Since pVy \ V D p (9.1.1 (4)), ux 2 S . The
claim follows immediately from this.
Corollary 9.1.10. Let V be an p a-adically separated valuation ring .a 2 mV n f0g/.
p
Let p D aV (resp. pO D aVy / be the associated height-one prime of V
(resp. Vy / (cf. 6.7.4/. Then .Vy /pO Š Vyp .
Proof. In view of 9.1.9 it suffices to show that pO D pVy . Since pVy \ V D

p (9.1.1 (4)) and since Spec Vy ! Spec V is a homeomorphism (9.1.1 (5)), both
pVy and pO are height one primes of Vy . Hence we have pO D pVy .
9.2 Topologically finitely generated V -algebras

9.2. (a) Adhesiveness. We consider in the sequel of this section an a-adically
complete valuation ring V with a 2 mV n f0g. As defined in 8.4.1, a topologi-
cally finitely generated V -algebra is an a-adically complete V -algebra of the form
A D V hhX1 ; : : : ; Xn ii=a;
where a is a closed ideal of the restricted formal power series ring V hhX1 ; : : : ; Xn ii.
We have already seen in 8.5.15 that the an a-adically complete valuation ring
is a-adically adhesive. Our aim here is to show a much stronger result, namely,
that .V; a/ is topologically universally adhesive (9.2.7). Due to 8.5.20 it suffices to
show the following theorem.
Theorem 9.2.1. The pair .V hhX1 ; : : : ; Xn ii; a/ is adhesive. (Hence any topologi-
cally finitely generated algebra (cf. 8.4.1) over V is a-adically adhesive.)
The proof of the theorem will be done in two steps. The first step deals with
the special case where V is of finite height, while the second treats the general case.
The argument of the first step is almost the same as [38], Lemma 1.1.2, the proof
of which is only valid when the height of V is finite. Our proof here fills in this gap
and is valid for arbitrary height.
Before the proof we include here for the reader’s convenience a useful result by
Raynaud and Gruson.
Theorem 9.2.2 ([89], Première partie, Théorème (3.4.6)). Let f W X ! S be a

locally of finite presentation morphism of schemes, and M an OX -module of finite
type. Suppose that the set of associated primes Ass.S / of S to OS , that is, the set
of point s 2 S such that mS;s is up to radical the annihilator of an element of OS;s ,
is locally finite. Then the set U of all points of X where M is S -flat is open, and
MjU is a finitely presented OU -module.
Corollary 9.2.3 ([89], Première partie, Corollaire (3.4.7)). Any flat of finite type
algebra over an integral domain is finitely presented.
Proposition 9.2.4. Let A be an a-adically

p complete V -algebra, and S V a
multiplicative subset such that S \ aV D ;. Then the ring AS is a-adically
complete, and hence we have the equalities
AS D A ˝V VS D A b̋ V VS
up to canonical isomorphisms.
Proof. By a similar reasoning as in the proof of 9.1.2, for any s 2 S there exists
t 2 V such that st D a. Hence, for n 1 the subset an AS of AS is contained
in the image of an 1 A under the canonical map A ! AS . This shows that AS
is a-adically separated, and hence that the canonical map AS ! AyS to the a-adic
completion is injective. To show that thisP
map is bijective, observe that any element
x of AyS is written as a power series x D n0 bsnn an as in the proof of 9.1.7, where
bn 2 A and sn 2 S for each n 0. Then by the similar reasoning one finds that x
lies in AS .
Proof of Theorem 9.2.1. Set A D V hhX1 ; : : : ; Xn ii, and let M be an a-torsion

free finitely generated A-module. We need to show that M is finitely presented
(cf. 8.5.3 (b)). Take a surjection A˚N ! M and consider the exact sequence
0 ! L ! A˚N ! M ! 0: ()
We want to prove is that L is finitely generated. This will be shown in two steps.
Step 1. Suppose that the height of V is finite. Thanks to 7.2.4 it is enough to
show that L=aL is a finitely generated A=aA-module or, equivalently, that M=aM
is a finitely presented A=aA-module [27], Chapter I, ÷2.8, Lemma 9. Since M
has no a-torsion, it is V -flat and hence M=aM is .V =aV /-flat. Now, A=aA is the
polynomial ring A=aA Š .V p =aV /ŒX1 ; : : : ; Xn , and .V =aV /red is a valuation ring
(possibly a field), since p D .a/ is a prime. Hence we can apply 9.2.2 (here we
use the hypothesis that the height is finite). Since M=aM is a finitely generated flat
.A=aA/-module, it follows that M=aM is of finite presentation as desired, and the
proof in this case is done.
p
Step 2. In general, consider the associated height-one prime p D .a/ (6.7.4),
and set V 0 D Vp . By 9.1.10, V 0 is an a-adically complete valuation ring of height
one. Moreover, by 9.2.4, A ˝V V 0 is isomorphic to V 0 hhX1 ; : : : ; Xn ii. Hence one
can apply the argument of Step 1 to conclude that M ˝V V 0 is an A ˝V V 0 -module
of finite presentation and hence that L ˝V V 0 is finitely generated over A ˝V V 0 .
Take x1 ; : : : ; xd 2 L that generate L ˝V V 0 . Consider the exact sequence induced
by ().
0 ! L=pL ! .A=pA/˚N ! M=pM ! 0 ()
and note that it is exact because L is a-saturated (and hence M is V -flat). Since ()
is an exact sequence of modules over a polynomial ring A=pA Š .V =p/ŒX1 ; : : : ;Xn ,
and since M=pM is flat over V =p, it follows from 9.2.3 that L=pL is finitely gen-
erated over .A=pA/. Hence one can take y1 ; : : : ; ye 2 L that generate L=pL.
Now we claim that x1 ; : : : ; xd ; y1 ; : : : ; ye generate L as an A-module. Take
any z 2 L. There exist ˛1 ; : : : ; ˛e 2 A such that
z .˛1 y1 C C ˛e ye / 2 pL:
Set
y D z .˛1 y1 C C ˛e ye / ( 2 p, y 2 L).
0
We can find ˇ1 ; : : : ; ˇd 2 A ˝V V such that
y D ˇ1 x1 C C ˇd xd :
Since pV 0 V , we have ˇi 2 A for i D 1; : : : ; d , and hence
z D ˛1 y1 C C ˛e ye C . ˇ1 /x1 C C . ˇd /xd
expresses z as an A-linear combination.
Remark 9.2.5. It worth pointing out that the above proof has the following ba-
sic feature, which seems applicable to many other situations. It is divided into
two parts,
p and this division arises from taking the associated height-one prime
p D .a/ of the valuation ring V ; i.e., from exploiting the decomposition of
the valuation ring V into Vp and V =p. Unlike the first part, which discusses things
over the height-one generalization Vp , the second part deals with the situation over
V =p in which, since a D 0, the issues usually come down to classical algebraic
geometry or classical commutative algebra. In this sense the first part is usually
the essential part of the proof and much harder than the second part. It is, however,
manageable in principle and can be done with the aid of the finiteness of height;
moreover, we have several special techniques that work in the height-one situation.
It is by this reason that it is important to develop specialized techniques for dealing
with topological algebras of type (V) over a height one-base; in ÷9.2. (b) and Ap-
pendix ÷A, we will explain some of these techniques. For example, by using some
of the results in ÷A, we can give an alternative argument for Step 1 of the above
proof that does not use the result of Raynaud and Gruson; see A.2.5.
Let us also mention that there is a shorter proof of 9.2.1 due to O. Gabber. In
this proof one only needs to argue as in Step 1 of the above proof; to show that
M=aM is finitely presented (even in case V is of infinite height), we first note that
M ˝V .V =aV /red is finitely presented by 9.2.3 and apply the following lemma,
which complements results by Raynaud and Gruson.
Lemma 9.2.6. Let A be a ring, B D AŒX1 : : : Xn a polynomial ring, and M a
finitely generated B-module. Suppose M is A-flat. Then M is finitely presented
over B if and only if M ˝A Ared is finitely presented over B ˝A Ared .
Proof. Take a finitely presented B-module N and a surjective map 'W N ! M
such that N ˝A Ared Š M ˝A Ared . To obtain these, write M Š B ˚n =K and take
a finitely generated B-submodule K0 K such that
K0 ˝A Ared D K ˝A Ared I
then
N D B ˚n =K0 ! M
gives the desired map. By [89], Première partie, Théorème (3.4.1), Mp for any
prime ideal p B is finitely presented over Bp . Hence if L D ker.'/, Lp is
finitely generated over B. Since M is flat over A, we have the exact sequence
0 ! Lp ˝A Ared ! Np ˝A Ared ! Mp ˝A Ared ! 0;
whence Lp ˝A Ared D 0. But since Lp is finitely generated, one can apply
Nakayama’s lemma to deduce Lp D 0. Since this holds for any prime ideal p
of B, we conclude that ' is an isomorphism.
Now by 8.5.20 and 9.2.1 we have the following corollary.
Corollary 9.2.7 (O. Gabber). Let V be an a-adically complete valuation ring of
arbitrary height. Then V is a-adically topologically universally adhesive. (Hence
any topologically finitely generated V -algebra is a-adically topologically univer-
sally adhesive.)
From this and 8.5.25 we deduce the following corollary.
Corollary 9.2.8. Let V be an a-adically complete valuation ring of arbitrary height.
Then any algebraic space locally of finite presentation over V is universally cohe-
sive.
Moreover, since any V -flat algebra is a-torsion free, we have the following
corollary.
Corollary 9.2.9. Let V be an a-adically complete valuation ring of arbitrary height.
Then any V -flat topologically finitely generated algebra is topologically finitely pre-
sented.
9.2. (b) Noether normalization

Theorem 9.2.10 (Noether normalization theorem for topologically finitely gener-
ated V -algebras). Let V be an a-adically complete (for a 2 mV n f0g/ valuation
ring of height one, and A a V -flat topologically finitely generated V -algebra. Then
there exists a finite injective V -morphism
V hhX1 ; : : : ; Xd ii , ! A
with V -flat cokernel.
Before proceeding to the proof of the theorem, let us introduce a useful notion.
Consider the restricted formal power series ring B D V hhY1 ; : : : ; Yn ii (where V
is not necessarily of height one). Each element f 2 B can be written as a power
series X
f D b1 ;:::;n Y11 Ynn ;
1 ;:::;n 0
where b1 ;:::;n 2 V for any 1 ; : : : ; n 0. The content ideal cont.f / of f is the
ideal of V generated by all the coefficients b1 ;:::;n . This ideal is actually finitely
generated (Exercise 0.9.3) and hence is principal. Note that, if cont.f / D .b/ and
f ¤ 0, then f is divisible by b and cont.f =b/ D V .
Lemma 9.2.11. Suppose V is of height one, and let a V hhY1 ; : : : ; Yn ii be an
a-saturated ideal. If a ¤ 0, then there exists a non-zero f 2 a such that
cont.f / D V:
Proof. Take f 2 a n f0g, and consider the content ideal cont.f / D .b/. Since V is
of height one, there exist m 0 and c 2 V such that bc D am ; see (6.3.2). Since
a is a-saturated, the element cf =an belongs to a and cont.cf =an / D V .
Proof of Theorem 9.2.10. Let k D V =mV be the residue field of V , and consider
A0 D A ˝V k, which is a finite type algebra over k. By the classical Noether
normalization theorem ([84], Chapter I, ÷14) we can find elements xN 1 ; : : : ; xN d 2 A0
algebraically independent over k such that the map kŒxN 1 ; : : : ; xN d ,! A0 is finite.
Take x1 ; : : : ; xd 2 A such that xN i D .xi mod mV / for i D 1; : : : ; d , and consider
the V -subalgebra A0 A topologically generated by them; A0 is the image of the
unique morphism 'W V hhX1 ; : : : ; Xd ii ! A mapping each Xi to xi (i D 1; : : : ; d )
(cf. B.1.8 in the appendix). Clearly, A00 D A0 ˝V k Š kŒxN 1 ; : : : ; xN d A0 .
We first claim that the map ' is injective. Indeed, if not, ker./ is a non-zero
a-saturated ideal (since A and A0 are a-torsion free by our hypothesis). Then,
by 9.2.11, there exists f 2 ker.'/ such that fN D .f mod mV / ¤ 0; but
this would imply that the map kŒxN 1 ; : : : ; xN d ! A0 has non-zero kernel, contra-
dicting that xN 1 ; : : : ; xN d are algebraically independent over k. Now, since '0 D
' ˝V kW A00 ,! A0 is finite and since A0 and A are a-adically complete, we readily
deduce that ' is finite by 7.2.4.
0
p that the cokernel A=A is a-torsion free. Since V is of height
Finally, let us show
one, one has mV D .a/. Then one verifies easily that for an V -module M to be
a-torsion free it is necessary and sufficient that TorV1 .M; k/ D 0. Hence, to verify
the claim, it suffices to invoke that the map A00 D A0 ˝V k ,! A0 D A ˝V k is
injective.
Corollary 9.2.12. Let V be as in 9.2.10, and A a V -flat quotient of V hhX1 ; : : : ; Xn ii

such that the image of the closed immersion

Spec A a1 , ! Spec V hhX1 ; : : : ; Xn ii a1
is a finite set of closed points. Then A is finite over V .

Proof. We have a finite injective V -morphism
V hhY1 ; : : : ; Yd ii , ! A:
1
Since Spec A a
consists of a single point, we have d D 0.
9.3 Classical affinoid algebras

9.3. (a) Tate algebra and classical affinoid algebras. As in the previous subsec-
tions V denotes an a-adically complete valuation ring with a 2 mV n f0g, and
K D Frac.V / the field of fractions of V .
Definition 9.3.1. A classical affinoid algebra is a K-algebra of the form

A D A ˝V K D A a1
(cf. 6.7.2), where A is a topologically finitely generated V -algebra.

p
Let p D aV be the associated height-one prime of V (6.7.4), and V 0 D Vp
the associated height-one localization of V . Since A ˝V K D .A ˝V V 0 / ˝V 0 K
and since A ˝V V 0 is a-adically complete (hence is a topologically finitely gener-
ated V 0 -algebra) due to 9.2.4, we may always assume, whenever discussing clas-
sical affinoid algebras, that V is of height one. This reduction will be very help-
ful in developing generalities on classical affinoid algebras, for then one can use
special techniques valid only in the height-one case, such as Noether normaliza-
tion (9.2.10).
The first general result on classical affinoid algebras reads as follows.
Proposition 9.3.2. Any classical affinoid algebra is a Noetherian ring.
Proof. Let A D A ˝V K be a classical affinoid algebra. By 9.2.1 we know that A
is a-adically adhesive and hence is Noetherian outside .a/.
Let us mention a special kind of affinoid algebras; this is the case where A as
above is the ring V hhX1 ; : : : ; Xn ii of restricted formal power series. In this case the
corresponding classical affinoid algebra A ˝V K is usually called the Tate algebra
and is denoted by KhhX1 ; : : : ; Xn ii; explicitly,
´P 1 n
µ
1 ;:::;n 0 a1 ;:::;n X1 Xn ja1 ;:::;n j ! 0 as
KhhX1 ; : : : ; Xn ii D :
2 KŒŒX1 ; : : : ; Xn 1 C C n ! 1
Here the function jjW K ! R0 denotes a non-Archimedean valuation associated to

the height-one localization V 0 (cf. ÷6.3. (c)). That A is a-adically complete is then
interpreted as the fact that KhhX1 ; : : : ; Xn ii is a K-Banach algebra with respect to
the norm
X

a1 ;:::;n X1 1 Xnn D sup ja1 ;:::;n j;
1 ;:::;n 0 1 ;:::;n 0
called the Gauss norm. Indeed, we have the following lemma.
Lemma 9.3.3. The topology on KhhX1 ; : : : ; Xn ii given by the Gauss norm k k

is equivalent to the a-adic topology, that is, the topology given by the filtration
fan V hhX1 ; : : : ; Xn iign0 .
Proof. By 9.1.2, we can replace V by the height-one localization and thus assume
that V is of height one. Let
A D V hhX1 ; : : : ; Xn ii
and
1
BDA a
D KhhX1 ; : : : ; Xn ii:
Set ˛ D jaj. Since a 2 mV n f0g, 0 < ˛ < 1. Since an A ff 2 BW kf k ˛ n g, it

suffices to show that for any n 0 there exists ˇ > 0 such that ff 2 BW kf k ˇg
an A. If g 2 B satisfies kgk ˛ n , then every coefficient of g has to be divisible
by an . Therefore,
ff 2 BW kf k ˛ n g D an A:
Proposition 9.3.4. Any ideal a of KhhX1 ; : : : ; Xn ii is closed.
Proof. Since KhhX1 ; : : : ; Xn ii is Noetherian, any ideal a is finitely generated, and

hence one can choose generators of a from V hhX1 ; : : : ; Xn ii. Thus we have a
finitely generated ideal aQ of V hhX1 ; : : : ; Xn ii such that
a D aQ KhhX1 ; : : : ; Xn iiI
replacing aQ by its a-saturation, which is again finitely generated due to the adhe-
siveness of V hhX1 ; : : : ; Xn ii, we may assume that aQ is an a-saturated ideal. Since
V hhX1 ; : : : ; Xn ii is a-adically adhesive, we know by 8.5.16 and 7.4.18 that aQ is
closed with respect to the a-adic topology, that is,
\
.Qa C an V hhX1 ; : : : ; Xn ii/ D aQ
n0
(cf. Exercise 0.7.1). T

Now, to show the assertion, in view of 9.3.3, we only need to
check the inclusion n0 .a C an V hhX1 ; : : : ; Xn ii/ a (since the other inclusion
is obvious). Since aQ is a-saturated, it is easy to see that
\
V hhX1 ; : : : ; Xn ii \ .a C an V hhX1 ; : : : ; Xn ii/
n0
\
D .Qa C an V hhX1 ; : : : ; Xn ii/
n0
D aQ :
T
Now for any f 2 n0 .a C an V hhX1 ; : : : ; Xn ii/ there exists n 0 such that
an f 2 V hhX1 ; : : : ; Xn ii, and hence an f 2 aQ ; consequently f 2 a.
The proposition implies that any K-algebra A of the form
A D KhhX1 ; : : : ; Xn ii=a;
where a is an ideal of KhhX1 ; : : : ; Xn ii, is a K-Banach algebra while the induced

norm
kf k D inf kF k
F 7!f
for f 2 A, where F varies among all elements F 2 KhhX1 ; : : : ; Xn ii that are

mapped to f by the canonical surjection KhhX1 ; : : : ; Xn ii ! A.
Moreover, any K-algebra A of this form is a classical affinoid algebra; indeed,
as in the proof of 9.3.4, one can take a finitely generated ideal aQ of V hhX1 ; : : : ; Xn ii
such that, if we set A D V hhX1 ; : : : ; Xn ii=Qa (which
is topologically finitely gen-
erated over V ), we have A D A ˝V K D A a1 . Replacing aQ by its a-saturation
(as in the proof of 9.3.4), we may moreover find such an A to be a-torsion free,
hence flat over V (cf. Exercise 0.6.3).
Definition 9.3.5. Let V be an a-adically complete valuation ring for a 2 mV n f0g
(not necessarily of height one), and A a classical affinoid algebra over K D Frac.V /.
(1) A formal model of A over V is a topologically finitely generated V -algebra
A such that A ˝V K Š A.
(2) A formal model A of A is said to be distinguished if A is a-torsion free.
The term ‘distinguished’ is coined in order to maintain consistency with our

later terminology (cf. II, ÷2.1. (b)). Distinguished formal models may also be
called flat formal models, since a-torsion freeness is equivalent to V -flatness (Exer-
cise 0.6.3). By what we have seen above, any classical affinoid algebra has a distin-
guished formal model. Note that due to the adhesiveness of V hhX1 ; : : : ; Xn ii any
distinguished formal model is topologically finitely presented (cf. proof of 9.3.4).
9.3. (b) Ring-theoretic properties. Finally, let us discuss some ring-theoretic

properties of classical affinoid algebras. We assume, without loss of generality,
that the a-adically complete valuation ring V is of height one.
First, by the Noether normalization theorem for topologically finitely presented
V -algebras (9.2.10), we get a similar theorem for classical affinoid algebras.
Theorem 9.3.6 (Noether normalization theorem for classical affinoid algebras).
For any classical affinoid algebra A over K there exists an injective finite map
of the form
KhhT1 ; : : : ; Td ii , ! A:
Corollary 9.3.7. For any maximal ideal m of the Tate algebra KhhX1 ; : : : ; Xn ii,
the residue field KhhX1 ; : : : ; Xn ii=m is a finite extension of K.
Corollary 9.3.8 (weak Hilbert Nullstellensatz). Suppose that K is algebraically
closed. Then maximal ideals of KhhX1 ; : : : ; Xn ii are precisely the ideals of the
form .X1 a1 ; : : : ; Xn an / with a1 ; : : : ; an 2 V .
Proof. It is clear that the ideals of the form .X1 a1 ; : : : ; Xn an / .a1 ; : : : ; an 2 V /
are maximal. Let m KhhX1 ; : : : ; Xn ii be any maximal ideal. Since K is al-
gebraically closed, KhhX1 ; : : : ; Xn ii=m is isomorphic to K as topological rings.
For i D 1; : : : ; n, let ai 2 K be the image of Xi . Since Xi is power-bounded
(cf. ÷B.1. (b) in the appendix), so is ai , and hence ai 2 V . Since m contains
.X1 a1 ; : : : ; Xn an /, which is maximal, we have m D .X1 a1 ; : : : ;
Xn an /.
Proposition 9.3.9. For any closed point z of Spec KhhX1 ; : : : ; Xn ii,
dimz .Spec KhhX1 ; : : : ; Xn ii/ D n:
In particular, the Krull dimension of the ring KhhX1 ; : : : ; Xn ii is equal to n.
Proof. Consider the canonical map
f W Spec KhhX1 ; : : : ; Xn ii ! Spec KŒX1 ; : : : ; Xn ;
which is flat since V ŒX1 ; : : : ; Xn ,! V hhX1 ; : : : ; Xn ii is flat due to 8.2.18 (2).
By Exercise 0.9.4 (1) and [54], IV, (6.1.2),
dimz .Spec KhhX1 ; : : : ; Xn ii/ D dimf .z/ .Spec KŒX1 ; : : : ; Xn / D n;
as desired. The last part of the proposition follows from [54], IV, (5.1.4).
Proposition 9.3.10. Classical affinoid algebras are Jacobson.
For the proof we need the following lemma.
Lemma 9.3.11. Let F 2 V hhX1 ; : : : ; Xn ii be such that cont.F / D V or, what

amounts to the same, kF k D 1, where k k is the Gauss norm. Then the following
(a) F is invertible in KhhX1 ; : : : ; Xn ii.
(b) F is invertible in V hhX1 ; : : : ; Xn ii.
(c) The constant term F0 is invertible in V , and cont.F F0 / ¤ V .
Proof. Since k k is a norm, the inverse F 1 of F in KhhX1 ; : : : ; Xn ii satisfies

kF 1 k D 1, that is, F 1 2 V hhX1 ; : : : ; Xn ii, whence the equivalence of (a)
and (b). Suppose F is invertible in V hhX1 ; : : : ; Xn ii. Then the image of F un-
der the residue map V hhX1 ; : : : ; Xn ii ! V hhX1 ;p
: : : ; Xn ii=mV V hhX1 ; : : : ; Xn ii D
kŒX1 ; : : : ; Xn modulo the maximal ideal mV D .a/ of V , where k is the residue
field of V , is invertible, and this shows implication (b) H) (c). If, conversely, (c) is
satisfied, then we may assume that F0 D 1, and then F belongs to the subset
1 C ar V hhX1 ; : : : ; Xn ii, where .ar / D cont.F F0 /. Since V hhX1 ; : : : ; Xn ii is
a-adically complete and hence is a-adically Zariskian, we deduce that F is invert-
ible.
Proof of Proposition 9.3.10. It is enough to show the proposition for Tate algebras
A D KhhX1 ; : : : ; Xn ii ([54], IV, (10.4.6)). The proof is done by induction with
respect to n. If n D 0, then A D K is a field, which is obviously Jacobson.
In general, we need to prove that for any prime ideal p A the intersection of all
maximal ideals containing p coincides with p. Suppose p ¤ 0, and consider B D
A=p. Since p has positive height, the dimension of the ring B is strictly less than n,
and hence by 9.3.6 there exists an injective finite map KhhY1 ; : : : ; Yd ii ,! B with
d < n. By induction, KhhY1 ; : : : ; Yd ii is Jacobson, and hence so is B by [54], IV,
(10.4.6); in other words, p is the intersection of all maximal ideals that contain p.
It remains to show that the intersection of all maximal ideals of A is .0/. Sup-
pose F ¤ 0 belongs to the intersection of all maximal ideals of A. We may assume
that F 2 V hhX1 ; : : : ; Xn ii and that cont.F / D V . Let F0 be the constant term of
F. Then F F0 belongs to the maximal ideal .X1 ; : : : ; Xn / of A, and hence so
does F0 D F C .F0 F /. Consequently, F0 D 0. But then 1 C F is not invertible,
since cont.F / D V (9.3.11). Hence there exists a maximal ideal m of A such that
1CF 2 m. But again this is absurd, since we would have 1 D .1CF / F 2 m.
Finally, let us include without proofs a few more ring-theoretic facts, which will
be needed in our later discussion.
A. Appendix: Further techniques for topologically of finite type algebras 231
Proposition 9.3.12 (Exercise 0.9.4 and [18], (5.2.6/1)). Tate algebras are regular
and factorial.
Theorem 9.3.13 (R. Kiehl [71]). Any classical affinoid algebra is excellent.
Exercises
Exercise 0.9.1. Let V ,! V 0 be an inclusion of a-adically separated valuation
rings, where a 2 V . Show that the induced map Vy ! c V 0 between the a-adic
completions is injective.
Exercise 0.9.2. Let V be a valuation ring for K D Frac.V /.

(1) Show that V is the filtered inductive limit of subrings V D lim V with
!2ƒ
each V V being a valuation ring of finite height.
(2) If, moreover, V is a-adically separated (resp. complete) for a 2 mV n f0g,
then one can find the inductive system of subrings fV g2ƒ as above consisting of
a -adically separated (resp. complete) valuation rings of finite height.
Exercise 0.9.3. Let V be an a-adically complete valuation ring, and consider the
restricted formal power series ring V hhX1 ; : : : ; Xn ii. Let f 2 V hhX1 ; : : : ; Xn ii.
Show that the content ideal cont.f / (÷9.2. (b)) is finitely generated.
Exercise 0.9.4. Consider the Tate algebra A D KhhX1 ; : : : ; Xn ii and the canonical
inclusion A0 D KŒX1 ; : : : ; Xn ,! A.
(1) Show that for any maximal ideal m A its contraction m0 D m \ A0 is a
maximal ideal of A0 such that A=mkC1 Š A0 =mkC1
0 and mkC1
0 A D mkC1 for any
k 0.
(2) Show that A D KhhX1 ; : : : ; Xn ii is a regular ring.
A Appendix: Further techniques for topologically

of finite type algebras
A.1 Nagata’s idealization trick
The so-called Nagata’s idealization trick,13 stated in his book [84], p. 2, reduces
many situations involving finitely generated modules to the special case of finitely
generated ideals. Let us first state its general principle.
13
Nagata’s idealization is the method of representing a given quasi-coherent sheaf on an affine scheme
as the conormal sheaf of a closed immersion, viz. the zero section of the affine cone of the sheaf, thus
regarding it as an ideal of the first infinitesimal neighborhood.
A ring homomorphism f W S ! R is said to be a thickening of order 1 if it is

surjective and K D ker.f / satisfies K 2 D .0/. Let R be a ring, and M a finitely
generated R-module. We set S D SymR M=.M 2 /; S is the direct sum R ˚ M
as an R-module with the multiplication by .r C m/.r 0 C m0 / D rr 0 C rm0 C r 0 m.
Then S is a finite R-algebra containing M as an ideal. Moreover, the projection
map S D R ˚ M ! R is a thickening of order 1. Hence we get the diagram
/
Spec R o Spec S ,

z
where is finite and is the ‘zero section’ to . Now the quasi-coherent sheaf M
z
of finite type on Spec R coincides with the pull-back of the quasi-coherent ideal M
of finite type on Spec S ; indeed, the two homomorphisms between R and S give
rise to the isomorphism between M and M ˝S R as R-modules.
Thanks to this observation the following proposition is now clear.
Proposition A.1.1 (Nagata’s idealization trick). Let A be a ring, and consider a
property P .R; M / involving an A-algebra R of finite type and a finitely generated
R-module M . Suppose that for any thickening S ! R of order 1 between
A-algebras of finite type, we have the implication P .S; M / H) P .R; M ˝S R/.
(a) P .R; I / holds for any R and a finitely generated ideal I R.

(b) P .R; M / holds for any R and M .
A.2 Standard basis and division algorithm

The notion of standard (or Gröbner) basis, useful both in theories and calculations
in algebraic geometry, is also useful in dealing with the algebras V hhX1 ; : : : ; Xn ii
over an a-adically complete valuation ring V of height one. As H. Hironaka has
first envisaged in complex analytic situation, the resulting division theorem gives
a generalization of the Weierstrass preparation-division theorem; in our situation it
also gives an analogous division theorem, which will be of broad use as a theoretical
and computational device.
A.2. (a) Setting. We consider Nn as an additive monoid in the standard way, and
we equip it with a term ordering (see, e.g., [4], 1.4), for example, the lexicographi-

cal order (cf. 6.1.3). For D .1 ; : : : ; n / 2 Nn we write X D X1 1 Xnn .
Let R be a ring and I D .a1 ; : : : ; ar / R a finitely generated ideal, and
suppose that R is I -adically complete. For a restricted power series
X
./ f D a X 2 RhhX1 ; : : : ; Xn ii;
2Nn
the content ideal of f , denoted by cont.f /, is the ideal of R generated by all the
coefficients a of f . It is easy to see that cont.f / is actually finitely generated
(cf. Exercise 0.9.3). We say that f is primitive if cont.f / D R.
If R D V is a valuation ring, complete with respect to the a-adic topology
(I D .a/), then the content ideal cont.f / is always principal, and we can set
´
.f0 mod mV /; where f0 D f =˛ with cont.f / D .˛/, if f ¤ 0;
.f / D
1 otherwise.
Here the leading degree .g/ of a polynomial g 2 AŒX1 ; : : : ; Xn over any ring A
is the maximal (with respect to the term order) multidegree among those appear in
non-zero terms in g. Note that the definition of .f / for f ¤ 0 is also given by
the following:
.f / D supf W a generates cont.f /g
for f presented as ./. Define, furthermore,
LT.f / D a.f / X .f / ;
and call it the leading term of f .
A.2. (b) Division algorithm. As in the previous paragraph, we consider an I -adi-

cally complete ring R, where I D .a1 ; : : : ; ar / R is finitely generated.
Theorem A.2.1 (division lemma). Let fg g2ƒ be a finite collection of elements
in RhhX1 ; : : : ; Xn ii such that, for each 2 ƒ, g0 D .g mod IRhhX1 ; : : : ; Xn ii/
is a monic polynomial
S in .R=I /ŒX1 ; : : : ; Xn . Set D .g0 / for any 2 ƒ,
n
and M D 2ƒ . C N /. Then, for any f 2 RhhX1 ; : : : ; Xn ii, there ex-
ists g 2 RhhX1 ; : : : ; Xn ii with no exponents in M such that f
P g belongs to
g
2ƒ RhhX 1 ; : : : ; Xn ii.
Proof. By performing the division algorithm by fg0 g2ƒ in the polynomial ring
.R=I /ŒX1 ; : : : ; Xn , there exists an expression
X r
X
f D g0 C ˛ g C aj fj
2ƒ j D1
0
in RhhX1 ; : : : ; Xn ii, where g has no exponents in M . Repeating this, by induction,
one deduces that, for any m 1,
X X
0
f D gm C ˛;m g C h.a1 ; : : : ; ar /fh ;
2ƒ h2Pm
where the last sum is taken over all monomials h of r variables of degree m, such
that
0
gm has no exponents in M ;
0 0
gmC1 gm and ˛;mC1 ˛;m belong to I m RhhX1 ; : : : ; Xn ii.
0
Then, with g D limm!1 gm and ˛ D limm!1 ˛;m , we have
X
f DgC ˛ g ;
2ƒ
where g has no exponents in M .
A.2. (c) Standard bases. Set R D V hhX1 ; : : : ; Xn ii, where V is an a-adically

complete valuation ring .a 2 mV n f0g/. For a non-zero ideal I R we denote by
LT.I / the ideal of R generated by the leading terms of all non-zero elements in I .
Definition A.2.2. Let I be a non-zero ideal of R, and g1 ; : : : ; gd 2 I non-zero
primitive elements. The set fg1 ; : : : ; gd g is said to be a standard basis for I if
LT.I / D .LT.g1 /; : : : ; LT.gd //:
Corollary A.2.3. If fg1 ; : : : ; gd g is a standard basis of a non-zero ideal I of A, we
have I D .g1 ; : : : ; gd /.
Proof. We only need to check the inclusion I .g1 ; : : : ; gd /. Let f 2 I , and take
Pd
q1 ; : : : ; qd 2 R such that h D f i D1 qi gi has no exponent in
d
[
M D ..gi / C Nn /;
i D1
as in A.2.1. Suppose h ¤ 0. As h 2 I , we have LT.h/ 2 LT.I /. But since the

leading degree .h/ does not belong to M , this is absurd. Hence h D 0 and thus
f 2 .g1 ; : : : ; gd /.
Since R is not necessarily Noetherian, it is not always the case that an ideal
I R has a standard basis; however, we have the following result.
Proposition A.2.4. Let I R be a non-zero and a-saturated (÷8.1. (c)) ideal.
Then I has a standard basis (and hence is finitely generated).
Proof. Define the subset L Nn by
L D f.f /W f 2 I n f0gg:
Then L is an ideal of the monoid Nn , that is, for any 2 L and 2 Nn we
have C 2 L. By Dickson’s lemma (cf. e.g. [4], Excecise 1.4.12) L is finitely
generated, that is, there exist 1 ; : : : ; r 2 L such that
r
[
LD .i C Nn /:
i D1
Take g1 ; : : : ; gr 2 I such that .gi / D i for i D 1; : : : ; r. Since I is a-saturated,

we may assume that the coefficient of LT.gi / is 1 for each i . Then for f 2 I
there exist i and a monomial h such that LT.f / D hLT.gi /. Hence we have
LT.I / D .LT.g1 /; : : : ; LT.gr //.
Finally, let us mention one application of the Nagata’s trick and the division
algorithm. We give an elementary proof, without referring to the result by Raynaud
and Gruson (9.2.2), of 9.2.1 in the case V is of height one.
Proposition A.2.5. Let V be an a-adically complete valuation ring of height one.

Then any topologically finitely generated V -algebra is a-adically adhesive.
Proof. By 8.5.7 (2), It suffices to show that V hhX1 ; : : : ; Xn ii is a-adically adhesive.

We apply Nagata’s trick as in A.1.1. For any R D V hhX1 ; : : : ; Xn ii=J , for some
n 0 and some ideal J , and any finitely generated R-module M , let P .R; M /
be the property that for any R-submodule N M its a-saturation N e is finitely
generated over R. By A.1.1 we only have to prove P .R; I / for any finitely gen-
erated ideal I of R; moreover, one reduces to P .R; R/, that is, that for any ideal
I of R its a-saturation e I is again finitely generated. We may further assume that
R D V hhX1 ; : : : ; Xn ii. But the assertion in this case is proved in A.2.4.
Exercises
Exercise 0.A.1. Show that a complete pair of finite ideal type .A; I / is adhesive if
the following condition holds: if B is an I -adically complete finite A-algebra, any
IB-saturated ideal J B is finitely generated.
Exercise 0.A.2. Let V be an a-adically complete valuation ring, and V 0 the associ-
ated height one valuation ring (÷6.7).

(1) Let A be a topologically finitely generated V -algebra such that A a1 is finite

over V a1 . Show that A is finite type over V and that .A=Aa-tor / ˝V V 0 is
finite over V 0 .
(2) Show that, conversely, a finite type V -algebra A is a-adically complete if and
only if .A=Aa-tor / ˝V V 0 is finite over V 0 .

(3) Show that any finite type V -algebra A such that A a1 is finite over V a1 is
canonically decomposed as A D A0 A00 , where A0 is a-adically complete
and A00 ˝V .V =aV / D 0.
Exercise 0.A.3 (Weierstrass preparation theorem). Let V be an a-adically complete

valuation ring of height one, and f 2 V hhX1 ; : : : ; Xn ii (n 1) a primitive (that is,
cont.f / D V ) element. Consider the lexicographical order (6.1.3) as the term order
for the exponents of monomials, and set .f / D .1 .f /; : : : ; n .f //. Suppose
that, if we write
X1
f D fn .X2 ; : : : ; Xn /X1n ;
nD0
then f1 .f / is a unit in V hhX2 ; : : : ; Xn ii. Then show that there exists a unique
monic polynomial g 2 V hhX2 ; : : : ; Xn iiŒX1 of degree 1 .f / in X1 and a unique
unit element u 2 V hhX1 ; : : : ; Xn ii such that g D u f .
B Appendix: f-adic rings

In [59] R. Huber introduced the notion of ‘f-adic rings’ in an attempt to give a broad
generalization of the notion of (classical) affinoid algebras and thus to develop a
new geometry that contains the classical rigid analytic geometry as a special case.
This appendix gives a brief survey of generalities on f-adic rings and thus prepares
for our later discussion on Huber’s adic spaces in II, ÷A.
B.1 f-adic rings

B.1. (a) Extension of adic topologies. Let A be a ring, B A a subring, and
I B a finitely generated ideal of B. The I -adic filtration fI n gn1 (cf. ÷7.1. (b))
gives rise to a linear topology on A regarded as a B-module.
Proposition B.1.1. The underlying ring structure makes the topological B-module
A with the topology defined by the filtration fI n gn1 into a topological ring if and
only if
[
AD ŒB W I n :
n0
In this situation, moreover,
Spec A n V .IA/ D Spec B n V .I /:
Proof. Suppose A is a topological ring, and take x 2 A. Since the selfmap y 7! xy

on A is continuous, there exists n 0 such that I n x B, that is, x 2 ŒB W I n .
The ‘if’ part is easy to see. Finally, in this situation, the inclusion B ,! A has
I -torsion cokernel, and so Spec A n V .IA/ D Spec B n V .I /.
B. Appendix: f-adic rings 237
Aside from the trivial case B D A, in which the topology in question is nothing
but the I -adic topology, there are plenty of examples of the situations described
in B.1.1. For example, if B is a-torsion free for an element a 2 B, then A D B a1
with the topology defined by the a-adic filtration on B is a topological ring. This,
needless to say, gives grounds for justifying the topology on classical affinoid alge-
bras, already discussed in ÷9.3 (cf. 9.3.3).
B.1. (b) f-adic rings

Definition B.1.2. An f-adic ring is a topological ring A that admits an open subring
A0 A such that the induced topology on A0 is an adic topology defined by a
finitely generated ideal I0 of A0 .
In this situation, the subring A0 is called a ring of definition, and the ideal I0 is
example, I B A are as in B.1.1, then
called an ideal of definition of A. If, forS
A is an f-adic ring if and only if A D n0 ŒB W I n ; moreover, in this situation,
B is a ring of definition, and I is an ideal of definition of A. It can be shown,
moreover, that
a subring B A of an f-adic ring A is a ring of definition of A if and only
if it is open and bounded ([59], Proposition 1 (ii));
every ring of definition of an f-adic ring has at least one finitely generated
ideal of definition ([59], Proposition 1 (iii)).
Here, a subset S of a topological ring A is said to be bounded if for any neighbor-
hood U of 0 in A there exists a neighborhood V of 0 in A such that V S U .
In general, for a topological ring A,
an element a 2 A is said to be power-bounded if the subset fan gn0 is
bounded;
an element a 2 A is said to be topologically nilpotent if for any open neigh-
borhood V of 0 there exists N 0 such that an 2 V whenever n N .
We denote by Ao (resp. N.A/) the subset of A consisting of all power-bounded
(resp. topologically nilpotent) elements. The following propositions are easily
proved.
Proposition B.1.3. Let A be an f-adic ring.
(1) Let A0 A be a ring of definition. Then a 2 A is power-bounded if and only

if A0 Œa A is a ring of definition of A.
(2) The set of power-bounded elements Ao coincides with the union of all rings
of definition of A.
Proposition B.1.4. Let A be an f-adic ring, A0 a ring of definition of A, and I0 an

ideal of definition of A0 .
(1) Ao is an open subring of A, and N.A/ is an open ideal of Ao .
(2) Any element of I0 is topologically nilpotent. Conversely, for any topologically

nilpotent element a of A there exists n > 0 such that an 2 I0 .
Let A be an f-adic ring, A0 a ring of definition, and I0 A0 an ideal of defini-

tion. Then every open subring A00 A0 is a ring of definition of A. Moreover, due
to B.1.4 (2), there exists n 0 such that I0n A00 , and hence the topology on A00
is I0n -adic.
Let 'W A ! B be a continuous ring homomorphism between f-adic rings, and
A0 A and B0 B respective rings of definition. Then A00 D A0 \ ' 1 .B0 / is a
ring of definition of A, since it is open and bounded. Thus, whenever we are given
a continuous ring homomorphism as above, we can always take rings of definition
A0 and B0 in such a way that '.A0 / B0 .
If the restriction 'jA0 W A0 ! B0 is an adic homomorphism (0, ÷7.2. (a)), we say
that the morphism 'W A ! B is adic. Note that this notion does not depend on the
choice of the rings of definition; indeed, for another choice A00 A and B00 B
with '.A00 / B00 , taking the intersections A0 \ A00 and B0 \ B00 , which are again
rings of definitions, we may assume that A00 A0 and B00 B0 and thus reduce
to showing that A0 ! B0 is adic if and only if A00 ! B00 , which is easy to see.
B.1. (c) Extremal f-adic rings. The notion of f-adic rings contains, as a special
case, usual linearly topologized rings with adic topology defined by finitely gener-
ated ideals. Also, as remarked at the end of ÷B.1. (a), classical affinoid algebras
are another example of f-adic rings. These special cases indicate that there are two
interesting classes of f-adic rings, as follows.
One of them is comprised of f-adic rings that themselves are bounded (hence
‘bounded f-adic rings’ should be the logical name); if A is such an f-adic ring, then
A itself is a ring of definition, and hence f-adic rings of this type are nothing but
rings with adic topology defined by finitely generated ideals.
The other interesting type of f-adic rings is the following one:
an f-adic ring A is said to be extremal if it has an ideal of definition I
(of a ring of definition) such that IA D A.
(It can be easily shown that this notion does not depend on the choice of I .)
If A is extremal f-adic and A0 A is a ring of definition with an ideal of definition
I0 A0 , then it follows from B.1.1 that Spec A D Spec A0 n V .I0 /. Conversely,
if B is a ring endowed with an adic topology defined for a finitely generated ideal
I B such that Spec B n V .I / is affine, then A with Spec A D Spec B n V .I / is

an extremal f-adic ring by the topology defined by the filtration fI n gn1 .
The f-adic rings of the type mentioned at the end of ÷B.1. (a), and hence all
classical affinoid algebras, are a further special type of extremal f-adic rings:
an extremal f-adic ring is called a Tate ring if it has a principal ideal of
definition;
equivalently, Tate rings are f-adic rings having topologically nilpotent units ([59],
÷1, Definition (ii)).
Proposition B.1.5. An f-adic ring A is extremal f-adic if and only if it has a ring of
definition A0 and finitely generated topologically nilpotent ideal J0 A0 such that
J0 A D A. In this situation, moreover, the ideal J0 is open in A0 and the topology
on A0 is J0 -adic.
Proof. The ‘only if’ part is trivial. To show the converse, replacing J0 by an ideal
of the form J0n , we may assume that J0 is contained in an ideal of definition I0 .
Then obviously I0 A D A. Since V .I0 / V .J0 /, we have the chain of morphisms
Spec A D Spec A n V .J0 A/ ! Spec A0 n V .J0 / , ! Spec A n V .I0 / D Spec A
of which the composition is equal to the identity map of Spec A. Hence we deduce
that V .I0 / D V .J0 / and that there exists n 0 such that I0n J0 .
Corollary B.1.6 (cf. [59], Proposition 1.10). Let A and B be f-adic rings, and let
the map 'W A ! B be a continuous homomorphism of rings. Suppose A is an
extremal f-adic (resp. Tate) ring. Then B is also an extremal f-adic (resp. Tate)
ring, and the map ' is adic.
Proof. Take rings of definition A0 A and B0 B such that '.A0 / B0 . Let
I0 A0 be an ideal of definition, and set J0 D I0 B0 . Then J0 is a finitely gen-
erated topologically nilpotent ideal such that J0 B D B, and hence B0 is extremal
f-adic due to B.1.5; moreover, J0 is an ideal of definition of B0 .
B.1. (d) Complete f-adic rings. Let A be an f-adic ring, B a ring of definition,
T
and I B a finitely generated ideal of definition of B. By B.1.1, J D n1 I n
is an ideal of A, and A is separated if and only if J D 0. In general, the associated
separated f-adic ring is the one given by A=J , which is again an f-adic ring with an
ideal of definition B=J .
The f-adic ring A is said to be complete if it is separated and complete. Note
that if A is a complete f-adic ring, then any ring of definition A0 A is I0 -adically
complete for a finitely generated ideal of definition I0 A0 , since A0 is an open
subring of A.
Let A, B, and I be as above. Then B,y the I -adic completion of B (cf. 0.7.2.15),
can be seen as a subring of the completion Ay of A (cf. ÷7.1. (c)).
Proposition B.1.7. The canonical map
By ˝B A ! Ay
is an isomorphism of rings.
Proof. The inverse map is constructed as follows. Any element x of Ay is repre-

sented by a Cauchy sequence fxi g1
i D0 of elements of A. We may assume that for
any i; j we have xi xj 2 B. Then fxi x0 g1 i D0 is a Cauchy sequence in B, and
y
hence defines a unique element y 2 B. Then the inverse mapping in question is
given by x 7! y C x0 2 By ˝B A. For more details of the proof, see [59], 1.6.
By 7.2.15, the topology on By is the I B-adic

y topology, and hence the comple-
y y y
tion A is again an f-adic ring having B and I B as a ring of definition and an ideal
of definition, respectively. It is clear that, if A is extremal f-adic (resp. Tate) then
y
so is A.
Let A be a complete f-adic ring, and n 0 an integer. We denote by
AhhX1 ; : : : ; Xn ii
the restricted formal power series ring with coefficients in A, that is, the completion
of AŒX1 ; : : : ; Xn ; if A0 A is a ring of definition, then
AhhX1 ; : : : ; Xn ii D A0 hhX1 ; : : : ; Xn ii ˝A0 A;
where A0 hhX1 ; : : : ; Xn ii is the ring defined as in ÷8.4. Note that AhhX1 ; : : : ; Xn ii is

again an f-adic ring having A0 hhX1 ; : : : ; Xn ii as a ring of definition. The following
lemma is easy to establish.
Lemma B.1.8. Let A ! B be an adic map between complete f-adic rings, and
b1 ; : : : ; bn 2 B o power-bounded elements of B. Then there exists an adic A-alge-
bra homomorphism AhhX1 ; : : : ; Xn ii ! B that maps each Ti to bi .i D 1; : : : ; n/.
Let A ! B be an adic map between complete f-adic rings, and b1 ; : : : ; bn 2 B.

Suppose that the A-algebra homomorphism AŒX1 ; : : : ; Xn ! B that maps each
Xi to bi (i D 1; : : : ; n) extends to an adic map AhhX1 ; : : : ; Xn ii ! B. In this case
we say that the image of the last map is the subring weakly generated by b1 ; : : : ; bn
over A. If, moreover, the induced subspace topology on the image coincides with
the quotient topology induced by the topology on AhhX1 ; : : : ; Xn ii, we say that the
image is generated by b1 ; : : : ; bn over A.
B.1. (e) Banach f-adic rings and classical affinoid algebras. Let V be an a-adi-
cally complete valuation ring of heightpone, where a is a non-zero element of mV ;
then in view of 6.7.3 we have mV D .a/. The fraction field of V is denoted by
K D Frac.V /. Then as in ÷6.3. (c) we have a valuation
j jW K ! R0
such that jaj < 1; here the valuation is written multiplicatively.
A K-Banach algebra is a pair .A; k k/ consisting of a K-algebra and a non-
Archimedean ring norm k k such that for any x 2 A and u 2 K we have kuxk
jujkxk and that A is complete with respect to k k.
Proposition B.1.9. Let A D .A; k k/ be a K-Banach algebra, and set
A0 D fx 2 AW kxk 1g:
Then A0 is an open subring, and the induced topology on A0 is a-adic. In particular,
A is a complete Tate ring.
The proof is easy and is left to the reader. An f-adic ring A obtained in this way
is called a Banach f-adic ring.
Now let us consider a topologically finitely generated
algebra A over V (8.4.1)
and the related classical affinoid algebra A D A a1 (0, ÷9.3. (a)).
1In case where A D V hhT1 ; : : : ; Tn ii, the associated classical affinoid algebra
A a is the Tate algebra KhhT1 ; : : : ; Tn ii equipped with the Gauss norm (÷9.3. (a))
X

a1 ;:::;n T1 1 Tnn D sup ja1 ;:::;n j:
1 ;:::;n 0 1 ;:::;n 0
Obviously, we have
KhhT1 ; : : : ; Tn iio D V hhT1 ; : : : ; Tn ii:
In general, a classical affinoid algebra A, written A D KhhT1 ; : : : ; Tn ii=a, is
a K-Banach algebra with respect to the norm induced by the Gauss norm, the so-
called residue norm, defined as follows. For f 2 A,
kf kres D sup kF k;
F 7!f
where F ranges over the set of all elements of KhhT1 ; : : : ; Tn ii that are mapped to
f by the quotient map.
Lemma B.1.10. The topology induced by the residue norm k kres on A coincides
with the a-adic topology. In particular, the topology on A induced by the residue
norm does not depend on the choice of presentation of A as a quotient of a Tate
algebra.
Proof. As in ÷7.4. (b), the a-adic topology on A is the one induced by the filtra-
tion fa C an V hhT1 ; : : : ; Tn iign0 by the subgroups consisting of modulo a residue
classes. Since a C an V hhT1 ; : : : ; Tn ii D ff 2 AW kf kres jan jg for each n 0,
we have the lemma.
B.2 Modules over f-adic rings

B.2. (a) Topological modules. Let A be an f-adic ring with a ring of definition
A0 A and a finitely generated ideal of definition I0 A0 . Let M be an A-mod-
ule. To topologize M , let M0 M be an A0 -submodule, and consider the I0 -adic
filtration fI0n M0 gn1 (cf. ÷7.1. (b)).
Proposition B.2.1. The topological group M endowed with the topology given by
the filtration fI0n M0 gn1 is a topological A-module if and only if
[
M D ŒM0 W I0n :
n0
The proof is similar to that of B.1.1; one only has to verify that the scalar multi-
plication A M ! M is continuous if and only if the above equality holds.
In general, a subset W M of a topological A-module M is said to be bounded
if for any open neighborhood U M of 0 in M there exists an open neighborhood
V A of 0 in A such that V W U .
Proposition B.2.2. Let M be a topological A-module, and M0 M an A0 -sub-

module. Then the subspace topology on M0 induced by that of M coincides with
the I0 -adic topology if and only if M0 is open and bounded in M .
Proof. If the subspace topology on M0 is I0 -adic, then M0 is clearly open in M .

Since the map A M ! M is continuous, for any open neighborhood U M
of 0 there exists n 1 such that I n M0 U , which shows that M0 is bounded.
Conversely, if M0 is open and bounded, then so is I0n M0 for any n 1. Hence
fI0n M0 gn1 gives a fundamental system of open neighborhoods of M .
B.2. (b) Open mapping theorem
Theorem B.2.3 (open mapping theorem). Let A be a complete f-adic ring, and
A0 A a ring of definition. Let M and N be complete topological A-modules,
and M0 M and N0 N open and bounded A0 -submodules. Then a continuous
A-linear homomorphism 'W M ! N is a topological isomorphism if and only if '
is bijective.
In the following proof of the theorem we regard M and N as metric spaces as

in Exercise 0.7.10, defined by the decreasing filtration
8
<I0n M0 ; n 0;
.n/
F D
:ŒM W I n ; n < 0;
0 0
and similarly for N , where I0 A0 is a finitely generated ideal of definition. Note

that M and N are complete as metric spaces.
Proof of Theorem B.2.3. Suppose that ' is bijective. Due to the continuity of '
we may assume '.M0 / N0 . By identifying M with the image '.M /, we may
assume that M D N as an A-module and that ' is the identity map.
We need to show that M0 is open in M with respect to the topology defined
by N0 . To this end, let us regard M as a topological group with respect to the
topology induced by that of N0 . The resulting M is a complete metric space.
Since [ [
M D ŒM0 W I0n ŒM0 W I0n ;
n1 n1
by Baire’s category theorem (Exercise 0.7.10 (3)), there exist integers m; n 1

such that I0m N0 ŒM0 W I0n . It follows that
I0mCn N0 M0 C I0nCk N0
for any k 0. For k D m C 1 and c D m C n,
I0c N0 M0 C I0 I0c N0 ;
and so for any x 2 I0c N0 and l 0 there exists an element yl 2 M0 such that
x yl 2 I0l I0c N0 and ylC1 yl 2 I0lC1 M0 . Since M0 is I0 -adically complete,
the sequence fyl gl0 converges to an element y 2 M0 . On the other hand, the
same sequence converges with respect to the I0 N0 -adic topology to the element x,
equal to y. Therefore, I0c N0 M0 , and M0 is open with respect to the topology
defined by N0 , as desired.
It follows from B.2.1 that for a continuous morphism 'W A ! B of f-adic rings,
B can be regarded as a topological A-module if ' is adic. Hence we have the
Corollary B.2.4 (open mapping theorem for complete f-adic rings). Let 'W A ! B
be an adic homomorphism between complete f-adic rings. Then ' is a topological
isomorphism if and only if it is bijective.
By B.1.6 we have the following corollary.

Corollary B.2.5. Let 'W A ! B be a continuous homomorphism between two
complete f-adic rings. Suppose A is extremal f-adic. Then ' is a topological iso-
morphism if and only if it is bijective.
C Appendix: Addendum on derived categories

We refer to Verdier’s expositions [34], C.D., and [101] as our basic references for
generalities of derived categories. In this appendix we collect some (but not all)
of the facts and materials on derived categorical calculi used in our discussion.
The proofs of almost all assertions below can be found, in addition to the above-
mentioned references, also in [10] and [66].
C.1 Prerequisites on triangulated categories

In the sequel we write triangulated categories as
D D .D; T; T /;
where D is the underlying additive category, T is the automorphism of D (the shift

operator), and T is the collection of all distinguished triangles. An additive functor
F W D D .D; T; T / ! D 0 D .D 0 ; T 0 ; T 0 / between triangulated categories is said

to be exact if there exists an isomorphism of functors pW F ı T ! T 0 ı F such that
for any distinguished triangle .X; Y; Z; u; v; w/ of D
F .u/ F .v/ p.X/ıF .w/
F .X/ ! F .Y / ! F .Z/ ! T 0 .F .X//
is a distinguished triangle of D 0 .
Let D D .D; T; T / be a triangulated category, and A an abelian category.
A functor HW D ! A is called a cohomology functor if for any distinguished trian-
gle .X; Y; Z; u; v; w/ of D the sequence
H.u/ H.v/ H.w/
H.X/ ! H.Y / ! H.Z/ ! H.T .X//
is exact. In this situation, we have the long exact sequence in A

Hk .u/ Hk .v/ Hk .w/
! Hk .X/ ! Hk .Y / ! Hk .Z/ ! HkC1 .X/ ! ;
where Hk D H ı T k . For example, for any object X of D the functors
HomD .X; /W D ! Ab
C. Appendix: Addendum on derived categories 245
and
HomD . ; X/W D opp ! Ab
are cohomology functors ([101], Chapter II, (1.2.1)).
Let .D 0 ; D 0 / be a pair of full subcategories of a triangulated category D.
We set
D n D T n .D 0 / and D n D T n .D 0 /:
.D 0 ; D 0 / is a t -structure on D if the following conditions are satisfied:
(a) D 1
D 0 and D 1 D 0 ;
(b) if X 2 obj.D 0 / and Y 2 obj.D 1 /, then HomD .X; Y / D 0;
(c) for any X 2 obj.D/ there exists a distinguished triangle of the form
C1
X0 ! X ! X1 !;
where X0 2 obj.D 0 / and X1 2 obj.D 1 /.
If .D 0 ; D 0/ is a t -structure, we set
A D D 0 \ D 0
and call it the core of the t -structure. The core A is an abelian category.
In this book, triangulated categories, such as derived categories, are almost al-
ways equipped with the ‘canonical’ cohomology functor and the ‘canonical’ t -struc-
ture (cf. ÷C.4. (b)), and accordingly, exact functors between them preserve these
structures in the following sense. Let D D .D; T; T / and D 0 D .D 0 ; T 0 ; T 0 / be
triangulated categories having respective cohomology functors HW D ! A and
H0 W D 0 ! A0 and respective t -structures .D 0 ; D 0 / and .D 00 ; D 00 /. Let
F W D ! D 0 be an exact functor. Then,
F preserve the cohomology functors with respect to an exact functor
qW A ! A0
of abelian categories if there exists an isomorphism

q ı H ! H0 ı F
of the functors;
F preserve the t -structures if F maps D 0 (resp. D 0 / to D 00 (resp.
D 00 /.
Convention. In the sequel, when discussing triangulated categories endowed with

the ‘canonical’ cohomology functors and ‘canonical’ t -structures that are clear
from the context, all exact functors are assumed to preserve the cohomology func-
tors and t -structures, unless otherwise clearly stated.
C.2 The category of complexes

C.2. (a) Definitions. Let A be an additive category.
A complex with entries in A is a collection
F D fF n ; dFn gn2Z
consisting of objects F n of A and arrows
dFn W F n ! F nC1 ;
such that
dFnC1 ı dFn D 0; n 2 Z:
A morphism of complexes
f W F ! G
is a collection of arrows
f D ff n W F n ! G n gn2Z
in A such that
dGn ı f n D f nC1 ı dFn ; n 2 Z:
We denote by C.A/ the category of all complexes in A. C.A/ is an additive
category. If A is an abelian category, then C.A/ is an abelian category.
A complex F is said to be bounded (resp. bounded below, resp. bounded
above) if F n D 0 for jnj 0 (resp. n 0, resp. n 0). The full subcate-
gory of C.A/ consisting of bounded complexes (resp. complexes bounded below,
resp. complexes bounded above) is denotes by Cb .A/ (resp. CC .A/, resp. C .A/).
There exists a canonical functor A ! Cb .A/ that maps an object F of A to
the complex F , where F n D 0 unless n D 0 and F 0 D F . In this way A can be
regarded as a full subcategory of Cb .A/, and thus we get the diagram of inclusions
of categories
C8 C .A/ ▼s
♣♣ ▼▼▼
*
♣♣♣ ▼▼&
/ Cb .A/ t
A ◆◆◆ 8
C.A/
◆◆◆ qqq
& + qqq
C .A/:
The category C .A/ ( D “ ”, b, C, ) is canonically endowed with
the shift functor
ŒkW C .A/ ! C .A/; k 2 Z:

If A is abelian, C .A/ has, moreover, the following structures:

the cohomology functor
H0 W C .A/ ! AI
the truncations
n ; n W C .A/ ! C .A/:
C.2. (b) Shifts. For any object F of C.A/, the shift (by k 2 Z) F Œk is the
complex defined as
F Œkn D F nCk and dFn Œk D . 1/k dFnCk ;
for any n 2 Z. Any morphism f W F ! G in C.A/ canonically induces
f Œk W F Œk ! GŒk
given by
f Œkn D f nCk
for any n 2 Z.
C.2. (c) Cohomology functor. Suppose A is an abelian category. For an ob-

ject F of C.A/ we set
H0 .F / D ker.dF0 /= image.dF 1 /:
For an arrow f W F ! G in C.A/,
H0 .f /W H0 .F / ! H0 .G /
is defined in the obvious manner. For k 2 Z we set
Hk .F / D H 0 .F Œk /:
C.2. (d) Truncations. The stupid truncations are the operators n and n
(n 2 Z) defined as follows. For an object F in C.A/,
n F D . ! F n 1
! F n ! 0 ! 0 ! /;
and
n F D . ! 0 ! 0 ! F n ! F nC1 ! /:
Any arrow f W F ! G in C.A/ induces
n f W n F ! n G
(and similarly n f ) in the obvious way.

The stupid truncations provide a handy device to manipulate complexes, but
since they change cohomologies of the complexes, they do not conform with other
structures. Conceptually more important are the following truncations. Suppose A
is an abelian category. For an object F of C.A/,
n F D . ! F n 2
! Fn 1
! ker.dFn / ! 0 ! /;
and
n F D . ! 0 ! coker.dFn 1
/ ! F nC1 ! F nC2 ! /:
For an arrow f W F ! G in C.A/,
n f W n F ! n G and n f W n F ! n G
are defined in the obvious way. There exists obvious arrows
n F ! F and F ! n F
in C.A/. In the sequel we often write
<n D n 1
and >n D nC1
and similarly for the stupid truncations.
Proposition C.2.1. Let F be an object of C.A/. Then

8
<Hk .F /; k n;
Hk . n F / D
:0; k > n;
and
8
<0; k < n;
Hk . n F / D
:Hk .F /; k n;
for k; n 2 Z.
C.3 The triangulated category K.A/

C.3. (a) Homotopies. We say that a morphism f W F ! G in C.A/ is homo-
topic to zero if there exists a collection of arrows
fs n W F n ! G n 1
gn2Z
such that
f n D s nC1 ı dFn C dGn 1
ı sn
for n 2 Z. Two arrows f ; g W F ! G are homotopic if f g is homotopic to
zero.
We denote by Htp.F ; G / the set of all homotopic-to-zero arrows F ! G .
This is a subgroup of HomC.A/ .F ; G /; moreover, the composition map
HomC.A/ .F ; G / HomC.A/ .G ; H / ! HomC.A/ .F ; H /
maps Htp.F ; G / HomC.A/ .G ; H / and HomC.A/ .F ; G / Htp.G ; H / to

Htp.F ; H /.
Definition C.3.1. We define the category K.A/ as follows.
The objects of K.A/ are the same as those of C.A/:
obj.K.A// D obj.C.A//:
For two objects F and G we set
HomK.A/ .F ; G / D HomC.A/ .F ; G /=Htp.F ; G /:
The categories K .A/ for D C, , b are defined similarly; they are canon-
ically regarded as full subcategories of K.A/. By definition, we easily see that
K .A/ ( D “ ”, b, C, ) is canonically an additive category. We denote the
canonical functor C .A/ ! K .A/ by
h W C .A/ ! K .A/
for D “ ”, b, C, . The canonical functor A ! K.A/, the composition of the

inclusion A ,! C.A/ followed by h, is fully faithful. Hence we have the diagram
of categories consisting of fully faithful arrows
KC .A/ ▼s
♣♣8 ▼▼▼
*
♣♣♣♣ ▼▼&
/ Kb .A/ t
A ◆◆◆ 8
K.A/
◆◆◆ qqq
' + qqq
K .A/:
Proposition C.3.2. Let D “ ”, b, C, .

(1) The shift operator Œk on C.A/ maps homotopic arrows to homotopic ar-
rows. Consequently, there exists a unique self-functor Œk on K .A/ such that
h ı Œk D Œk ı h :
(2) Suppose that A is abelian. If f W F ! G is a morphism in C.A/ ho-
motopic to zero, then H0 .f / is a zero map. Consequently, there exists a unique
functor
H0 W K .A/ ! A
such that
H0 ı h D H0 :
(3) Suppose A is abelian. Let f W F ! G be a morphism in C.A/, and n an
integer. Then if f is homotopic to zero, so are n f and n g . Consequently,
there exists unique self-functors n ; n on K .A/ such that
n ı h D h ı n and n ı h D h ı n :
C.3. (b) Mapping cones. For a morphism f W F ! G in C.A/, the mapping

cone of f , denoted by cone.f / , is the object of C.A/ defined as follows:
" n #
dF Œ1 0
cone.f /n D F Œ1n ˚ G n ; dcone.f
n
/ D :
f nC1 dGn
This complex admits the canonical morphisms
qf W G ! cone.f / ; pf W cone.f / ! F Œ1 ;
given respectively by the collection of canonical inclusions qf D fqfn g and by the
collection of canonical projections pf D fpfn g. Note that if f is an arrow in
C .A/, then cone.f / belongs to C .A/.
Proposition C.3.3. Let f ; g W F ! G be two homotopic morphisms in C.A/.
Then there exists an isomorphism

r W cone.f / ! cone.g/
in C.A/ such that the following diagram commutes:
cone.f /▼
qf 9 ▼▼p▼f
sss
ssss ▼▼&
G ❑❑ r
8
F Œ1
❑❑❑ qqq
❑❑
qg
% qqqpg
cone.g/ :
Proof. If fs n W F n ! G n 1
g gives the homotopy from f to g , that is
fn g n D s nC1 ı dFn C dGn 1
ı sn
for n 2 Z, then the map F Œ1n ˚ G n 3 .u; v/ 7! .u; v C s nC1 .u// 2 F Œ1n ˚ G n
induces a morphism r W cone.f / ! cone.g/ . Clearly, it has an inverse map and
hence is an isomorphism of complexes. It is then straightforward to check that the
map r thus constructed have the desired property.
By C.3.3, the mapping cone cone.f / together with the canonical arrows qf
and pf can be defined for an arrow f in K.A/. Thus for any morphism
f W F ! G
in K.A/ we have a triangle
f qf qf
F ! G ! cone.f / ! F Œ1 : ()
Proposition C.3.4 ([101], Chapter II, (1.3.2)). Let D “ ”, b, C, . Let T be
the family of triangles in K .A/ that are isomorphic to a triangle of the form ().
Then K .A/ D .K .A/; Œ1; T / is a triangulated category.
C.4 The derived category D.A/

C.4. (a) Definition and first properties. Let A be an abelian category, and con-
sider the category K .A/, where D “ ”, b, C, . Recall that a complex
F 2 obj.C.A// is said to be acyclic if Hk .F / D 0 for any k 2 Z. By C.3.2 (2),
one can also define the acyclicity of objects in K.A/. We denote by Ac .A/ the
full subcategory of K .A/ consisting of acyclic objects. This is a saturated full
subcategory ([101], Chapter II, (2.1.5)) of K .A/.
Definition C.4.1. A map f W F ! G in K.A/ is called a quasi-isomorphism if
there exists a distinguished triangle of the form
f C1
F ! G ! H !;
where H is acyclic.
In other words, a quasi-isomorphism is a morphism f W F ! G such that
for any k 2 Z the induced morphism Hk .F / ! Hk .G / is an isomorphism in
A. We denote by Qis .A/ the set of all quasi-isomorphisms in K .A/. This is
a multiplicative system of the triangulated category K .A/ compatible with the
triangulation and is the one corresponding to Ac .A/ under the correspondence
described in [101], Chapter II, (2.1.8).
Definition C.4.2. We set
D .A/ D K .A/=Ac .A/
for D “ ”, b, C, and call them the derived categories of A.
We denote by
Q W K .A/ ! D .A/
the quotient functor. D .A/ is a triangulated category as follows.
The shift operator Œk, which simply comes from the shift operator Œk of
K .A/.
The set of all distinguished triangles T , that is, the image of the set of all
distinguished triangles of K .A/ under the quotient functor Q.
Proposition C.4.3. The canonical functors form a diagram of categories
DC .A/ ▼
♣♣8 ▼▼▼
♣♣♣ ▼▼&
A / Db .A/ D.A/
◆◆◆ 8
◆◆◆ qqq
& qqq
D .A/
consisting of fully faithful functors.
C.4. (b) Canonical cohomology functor and canonical t-structure. The trian-
gulated category D .A/ possesses the following canonical structures:
the canonical cohomology functor
H0 W D .A/ ! AI
the canonical t -structure
.D .A/0 ; D .A/0 /:
Proposition C.4.4. Let D “ ”, b, C, . The functor H0 W K .A/ ! A whose

existence is established in C.3.2 (2) gives rise to a cohomology functor
H0 W D .A/ ! A:
Proposition C.4.5. Let D “ ”, b, C, .
(1) Consider the full subcategory D .A/0 (resp. D .A/0 / of D .A/ consist-
ing of objects F such that Hk .F / D 0 for k > 0 (resp. k < 0/. Then
.D .A/0 ; D .A/0 / gives a t -structure on D .A/.
(2) Let n ; n W K .A/ ! K .A/ be as in C.3.2 .3/. Then n and n map

Ac .A/ to itself. Consequently, they induce self-functors
n ; n W D .A/ ! D .A/;
respectively.
(3) The functor n (resp. n / gives a right-adjoint (resp. left-adjoint) to the

inclusion functor D .A/n ! D .A/ (resp. D .A/n ! D .A//.
Proposition C.4.6 (cf. [101], Chapter III, 1.2.7). Let A and B be abelian cate-

gories and F W A ! B an exact functor. Then F induces canonically the commuta-
tive diagram
C .F /
C .A/ / C .B/
h h
K .F /
K .A/ / K .B/
Q Q

D .A/ / D .B/.
D .F /
Moreover, D .F / is exact and preserves the canonical cohomology functors (with

respect to F / and the canonical t -structures (cf. ÷C.1).
C.4. (c) Representation by complexes and amplitude

Proposition C.4.7. Let D “ ”, b, C, . The canonical functor A ! D .A/
gives an exact categorical equivalence between A and the core of the t -structure,
that is, the full subcategory of D .A/ consisting of the objects F such that
Hk .F / D 0 unless k D 0.
Definition C.4.8. Let D “ ”, b, C, .
(1) Let F be an object of D .A/. A complex F in C .A/ represents F if F

and Q ı h .F / are isomorphic in D .A/.
(2) Let f W F ! G be an arrow in D .A/. A morphism f W F ! G of

complexes represents f if f and Q ı h .f / are isomorphic in D .A/.
Definition C.4.9. (1) Let F be an object of Db .A/. The amplitude of F , denoted

by amp.F /, is the number (if it exists)
amp.F / D supfkW Hk .F / ¤ 0g inffkW Hk .F / ¤ 0g:
(2) An object F of D.A/ is concentrated in degree n if Hk .F / D 0 unless

k D n.
Proposition C.4.10. Let F be an object of D.A/. Then F is concentrated in
degree 0 if and only if it is represented by a complex contained in the image of
A ,! C.A/.
C.5 Subcategories of D.A/

Let A be an abelian category, and B an abelian full subcategory of A. We say B
is thick in A if for any exact sequence of the form
X0 ! X1 ! X2 ! X3 ! X4
in A with X0 ; X1 ; X3 ; X4 2 obj.B/, we have X2 2 obj.B/.

Let A be an abelian category, and D .A/ the associated derived category where
D “ ”, b, C, . We consider the canonical cohomology functor H0 (C.4.4) and
the canonical t -structure (C.4.5). For an abelian full subcategory B of A we denote
by
DB .A/
the full subcategory of D .A/ consisting of objects F such that Hk .F / 2 obj.B/
for any k 2 Z.
Proposition C.5.1. Suppose B is thick in A. Then DB .A/ together with the shift
operator ŒkjDB .A/ and the set of distinguished triangles of D .A/
C1
F !G !H !
such that F; G; H 2 obj.DB .A// is a triangulated category. Moreover

(1) the composition
H0
H0 W DB .A/ , ! D .A/ !A
is a cohomology functor (again called the canonical cohomology functor)
and
(2) if we set
DB .A/0 D D .A/0 \DB .A/ and DB .A/0 D D .A/0 \DB .A/;
then .DB .A/0 ; DB .A/0 / gives a t -structure on DB .A/ (again called
the canonical t -structure).
In the sequel we fix an abelian category A and a thick abelian full subcategory
B of A. By the construction of the categories D .A/ and D .B/, we have a natural
functor ı W D .B/ ! D .A/ such that the following diagram commutes:

C .B/ / C .A/
Q ıh Q ıh

D .B/ / D .A/.
Clearly, this functor maps D .B/ to DB .A/. Thus we get the functor
ı W D .B/ ! DB .A/;
which is clearly exact.
Proposition C.5.2 (cf. [66], 1.7.11 and 1.7.12). (1) Suppose that
for any monomorphism f W G ! F of A such that G 2 obj.B/ there exists
a morphism gW F ! H with H 2 obj.B/ such that g ı f W G ! H is a
monomorphism.
Then the functors ı C and ı b are equivalences.
(2) Suppose that
for any epimorphism f W F ! G of A such that G 2 obj.B/ there exists
a morphism gW H ! F with H 2 obj.B/ such that f ı gW H ! G is an
epimorphism.
Then the functors ı and ı b are equivalences.
Corollary C.5.3. (1) If B has enough A-injectives (that is, for any object F of
A there exists a monomorphism F ! G, where G 2 obj.B/ and is an injective
object in A/, then ı C and ı b are equivalences.
(2) If B has enough A-projectives (that is, for any object F of A there exists
an epimorphism G ! F , where G 2 obj.B/ and is a projective object in A/, then
ı and ı b are equivalences.
Proposition C.5.4. If the functor ı b is fully faithful, then it is an equivalence.

Proof. Let F 2 obj.DbB .A//. We are going to show that F belongs to the essential
image of ı b by induction with respect to the amplitude amp.F /. If amp.F / D 0, we
may assume by suitable shifts (which does not change the nature of our assertion)
that F is concentrated in degree 0. Then the claim follows from C.4.10. In the
general case, consider the distinguished triangle
C1
nC1 F Œ 1 ! n F !F !
C1
induced by n F ! F ! nC1 F !. By induction, we may assume that
nC1 F Œ 1 D ı b .L/ and n F D ı b .M / for L; M 2 obj.Db .B//. Since ı b is
fully faithful, there exists a unique arrow L ! M in Db .B/ that is mapped to the
arrow nC1 F Œ 1 ! n F . Take a distinguished triangle
C1
L !M !N !
of B. Then since ı b is exact, F is isomorphic to ı b .N /.

Chapter I
Formal geometry
This chapter is devoted to formal geometry, the geometry of formal schemes. As we

pointed out in the introduction, it is for us essential to treat non-Noetherian formal
schemes, e.g., finite type formal schemes over an a-adically complete valuation
ring of arbitrary height, the importance of which stems from the requirement for the
functoriality of taking fibers of finite type morphisms in rigid geometry. Our aim in
this chapter is to present a sufficiently general theory of formal schemes, including
GFGA theorems, which is not restricted to the locally Noetherian situation.
Section 1 collects basic notions of formal geometry. Our central objects in this
and the following sections are the so-called adic formal schemes of finite ideal
type, that is, formal schemes that are locally isomorphic to the formal spectrum
Spf A for an adic ring A having a finitely generated ideal of definition. In ÷2 we
will introduce the so-called universally rigid-Noetherian and universally adhesive
formal schemes, corresponding respectively to topologically universally pseudo-
adhesive (via Gabber’s theorem) and topologically universally adhesive rings (0,
÷8.5), which sit in the following hierarchy of classes of formal schemes:
² ³ ² ³ ² ³
univ. adhesive univ. rigid-Noetherian adic formal schemes of
:
formal schemes formal schemes finite ideal type
For example, all finite type formal schemes over an a-adically complete valuation
ring, including those that have been called admissible formal schemes in Tate–
Raynaud’s classical rigid analytic geometry, are all universally adhesive.
Sections 3–5 are devoted largely to basic aspects of formal geometry. Among
them, what we do in Section 3 is worth noting; we give a systematic treatment of
what we call adically quasi-coherent sheaves, which seems missing in the previous
literature, even in [53], (0, ÷10). An adically quasi-coherent sheaf on an adic formal
scheme X with an ideal of definition is an OX -module F that is
(1) complete, i.e., F Š lim F = kC1 F , and

k0
(2) such that Fk D F = kC1 F for every k 0 is a quasi-coherent sheaf on the

scheme Xk D .X; OX = kC1 /.
258 Chapter I. Formal geometry
It will be shown (Theorem 3.2.8) that, if X D Spf A is affine, then an OX -module

F is adically quasi-coherent if and only if it is isomorphic to the OX -module
given by the ‘-construction’, that is, M for a complete A-module M (cf. [54],
I, (10.10.1)); moreover, in this situation we have M D .X; F /. The functor
M 7! M from the category of finitely generated A-modules is exact if X D Spf A
is universally rigid-Noetherian (Theorem 3.5.6), and this property improves signifi-
cantly the homological algebra of adically quasi-coherent sheaves of finite type on
locally universally rigid-Noetherian formal schemes. This section, moreover, con-
tains the following fundamental result (Corollary 3.7.12): any coherent .D quasi-
compact and quasi-separated/ formal scheme of finite type admits an ideal of defi-
nition of finite type.
In ÷6 we develop the theory of formal algebraic spaces, more precisely, quasi-
separated adic formal algebraic spaces of finite ideal type. It seems that, in the
previous literature, only [72], Chapter 5, is a general and systematic reference for
formal algebraic spaces. But the class of formal algebraic spaces covered in this
reference consists only of separated and Noetherian formal algebraic spaces, which
is evidently not general enough for our purpose. It is therefore necessary to im-
plement the whole theory from the very beginning, and this is what we do in this
section. Note that, as we have explained in Introduction, there are important rea-
sons for us to deal with formal algebraic spaces, not only formal schemes, in our
framework of rigid geometry.
The rest of the chapter, (÷7–÷11), gives the main body of formal geometry,
which consists, roughly speaking, of generalizations of the contents of [54], III,
including GFGA theorems. The results in these sections generalize the classical
results in the following two ways:
we replace the Noetherianity assumption with a weaker one;
the theorems (finiteness theorem and GFGA theorems) are formulated and
proved in the language of derived categories.
As for the first, more precisely, the GFGA theorems will be proved in the uni-
versally adhesive situation and subsequently generalized to the universally rigid-
Noetherian situation in Appendix ÷C.
1 Formal schemes
In this section we survey the fundamental concepts in the theory of formal schemes.
The section is, therefore, mostly a rehash of the already well-written accounts such
as [54], I, ÷10, and [53], ÷10. Our main objects of study are so-called adic formal
schemes of finite ideal type (1.1.14, 1.1.16), that is, adic formal schemes that admit,
Zariski locally, ideals of definition of finite type.
1. Formal schemes 259
In ÷1.1 we collect some basic definitions and properties of formal schemes and
ideals of definition. As discussed in ÷1.2, the category of formal schemes has fiber
products, which extends the notion of fiber products of schemes.
The above-mentioned references define the notion of adic morphisms only for
morphisms between locally Noetherian formal schemes (cf. [53], ÷10.12). In ÷1.3
we extend the definition to morphisms between general adic formal schemes of
finite ideal type.
In ÷1.4 we discuss formal completions of schemes. Then, after briefly dis-
cussing several categories of formal schemes in ÷1.5, we finish this section by
introducing locally of finite type morphisms between formal schemes in ÷1.7.
1.1 Formal schemes and ideals of definition

1.1. (a) Admissible rings. We basically refer to [54], 0I , ÷7, and [54], I, ÷10, for
most of the fundamental notions in the theory of formal schemes. Here we recall
some of them.
Let A be a ring endowed with the topology defined by a descending filtration
F D fF g2ƒ by ideals (cf. 0, ÷7.1. (a)).
Definition 1.1.1. An ideal I A is said to be an ideal of definition of the topolog-

ical ring A if
(a) I is open, that is, there exists 2 ƒ such that F I , and
(b) I is topologically nilpotent, that is, for any 2 ƒ there exists n 0 such
that I n F .
Clearly, any open ideal contained in an ideal of definition is again an ideal of

definition. Hence, if A admits at least one ideal of definition, it has a fundamen-
tal system of open neighborhoods of 0 consisting of ideals of definition, called a
fundamental system of ideals of definition.
Lemma 1.1.2. Let A be a ring endowed with the topology defined by a descending
filtration F D fF g2ƒ by ideals, and I A an ideal. Then the following
(a) The topology on A is I -adic (0, ÷7.2. (a)).
(b) I is an ideal of definition, and I n is open for any n 0.
(c) I n is an ideal of definition for any n 1.
(d) fI n gn0 is a fundamental system of open neighborhoods of 0.
Moreover, if these conditions are fulfilled, then for any ideal of definition J A
the topology on A is J -adic.
Proof. The equivalence of (a) and (d) follows from the definition of adic topologies.
(a) is equivalent to the two conditions
(i) for any 2 ƒ there exists n 0 such that I n F and
(ii) for any n 0 there exists 2 ƒ such that F I n .
The first condition says exactly that I is topologically nilpotent, and the second one
says that all I n are open, thereby the equivalence of (a) and (b). The equivalence
of (b) and (c) is clear. If the topology on A is I -adic and J is an ideal of definition,
then there exists n 0 such that I n J ; consequently, I nm J m , that is, J m
for any m 0 is open.
Definition 1.1.3. Let A be a ring endowed with the topology defined by a descend-
ing filtration F D fF g2ƒ by ideals.
(1) We say that A is an admissible ring if
(a) A admits an ideal of definition, and
(b) A is Hausdorff complete (cf. 0, ÷7.1. (c)).
(2) An admissible ring A is said to be an adic ring if the topology on A is I -adic
for some ideal I A.
Note that giving an adic ring A amounts to the same as giving an isomorphism
class of complete pairs .A; I / (0, ÷8.1. (a)).
In 0, ÷7.2. (a) we used the terminology ‘adic topology’ even when the topolo-
gies in question are not necessarily Hausdorff complete. However, adic
rings are always required to be Hausdorff complete; in other words,
adic ring D a ring with Hausdorff complete adic topology;
which the reader should always keep in mind; cf. 0.7.2.2.
Example 1.1.4. Let A be a ring, and I A an ideal. We consider the I -adic

topology on A (0, ÷7.2. (a)). Then the Hausdorff completion AI^ of A with respect
to the I -adic topology is an admissible ring, and the closure J of the image of I in
AI^ (cf. 0, ÷7.1. (c)) is an ideal of definition ([54], 0I , (7.2.2)).
Definition 1.1.5. Let A and B be admissible rings.
(1) A morphism of admissible rings f W A ! B is a continuous ring homomor-

phism.
(2) Suppose A and B are adic rings. Then a morphism f W A ! B of admissible

rings is said to be adic if there exists an ideal of definition I of A such that
IB is an ideal of definition of B (cf. 0, ÷7.2. (a)).
Note that the continuity in (1) is equivalent to the property that for any ideal of
definition J of B there exists an ideal of definition I of A such that IB is contained
in J (cf. 0.7.1.3 (1)). It is easy to see that in the situation as in (2) a morphism
f W A ! B is adic if and only if IB is an ideal of definition of B for any ideal of
definition I of A.
Definition 1.1.6. An admissible ring A is said to be of finite ideal type if it has a

fundamental system of ideals of definition consisting of finitely generated ideals.
If the topology on A is adic, then in view of 1.1.2 the condition is equivalent to

A having at least one finitely generated ideal of definition.
Example 1.1.7. Suppose in the situation as in 1.1.4 that the ideal I is finitely gen-
erated. Then Ay D AI^ is the I -adic completion of A (0.7.2.15), and hence is an
adic ring of finite ideal type. Note that in this situation the closure J of the image
of I in Ay coincides with I A.
y
Let A be an admissible ring, fF g2ƒ a fundamental system of ideals of defini-

tion, and S A a multiplicative subset. Consider the ring of fractions AS endowed
with the topology defined by fF AS g2ƒ . Let AfS g denote the Hausdorff comple-
tion:
AfS g D lim AS =F AS :
2ƒ
It has the induced filtration fFyS g2ƒ defined as in 0, ÷7.1. (c); each FyS is the
closure of the image of F AS under the canonical map AS ! AfS g (0.7.1.7).
Proposition 1.1.8 ([54], 0I , (7.6.11)). (1) The topological ring AfS g is an admissi-
ble ring, and fFyS g2ƒ gives a fundamental system of ideals of definition.
(2) Suppose A is adic of finite ideal type, and let I A be a finitely generated
ideal of definition. Then AfS g is again adic of finite ideal type, and IAfS g is an
ideal of definition.
Note that (2) follows from (1) and 0.7.2.11; indeed, if one defines J .n/ AfS g
(n 1) to be the closure of the image of I n AS in AfS g , then 0.7.2.11 implies that
J .n/ D I n AfS g for each n 0.
The admissible rings AfS g in the case S D ff n W n 0g, denoted simply by
Aff g , will be frequently used. If A is an adic ring of finite ideal type, then the ring
Aff g allows a more explicit description as follows. Since Af D AŒf 1 , we have
a morphism
AhhT ii ! Aff g
that sends X to f 1 , where AhhT ii denotes the restricted formal power series
ring (0, ÷8.4) in the variable T .
Lemma 1.1.9. Let A be an adic ring of finite ideal type. Then the above-defined
morphism induces an isomorphism

AhhT ii=.f T 1/ ! Aff g
of adic rings.
Proof. See [17], 7.1, Remark 10.
1.1. (b) Formal spectrum. Let A be an admissible ring. The formal spectrum
Spf A is a topologically locally ringed space with the underlying set consisting of
all open prime ideals of A. Note that a prime ideal p A is open if and only
if it contains at least one (hence all) ideal of definition ([54], 0I , (7.1.5)). Hence,
Spf A as a pointset is nothing but the closed subset V .I / of Spec A defined by an
ideal of definition I and, in fact, the topology (the Zariski topology) of Spf A is the
subspace topology induced by that of Spec A. Moreover, X D Spf A is endowed
with the sheaf of topological rings (considered with the pseudo-discrete topology
([54], 0I , (3.8.1)))
e
OX D lim A=I jX ;
I
where I runs through all ideals of definition of A (with the reversed inclusion
order). Here the projective limit is filtered, and any fundamental system of ide-
als of definition is cofinal in the set of all ideals of definition. In particular, if A is
adic, the collection fI kC1 gk0 provided by an ideal of definition I is cofinal, and
thus the above sheaf coincides with the projective limit of A fk jX .k 0/, where
kC1
Ak D A=I for k 0.
Definition 1.1.10. (1) A topologically locally ringed space isomorphic to Spf A
for an admissible ring A is called an affine formal scheme.
(2) A morphism f W X ! Y between two affine formal schemes is a morphism
of topologically locally ringed spaces.
Like in the case of schemes, the functor
A 7 ! Spf A
gives rise to a categorical equivalence between the opposite category of the cate-
gory of admissible rings and the category of affine formal schemes ([54], I, ÷10.2);
in particular, from X D Spf A we recover A D .X; OX / as a topological ring
([54], I, (10.1.3)).
Let A be an admissible ring, and consider the formal spectrum X D Spf A.
As X is a subspace of the topological space Spec A, the subsets of the form
D.f / D D.f /\X for f 2 A give an open basis of X; moreover, since X is closed
in Spec A, such an open subset is quasi-compact. The space D.f /, equipped with
the topologically locally ringed structure as an open subspace of X (cf. 0, ÷4.1. (a)),
is an affine formal scheme isomorphic to Spf Aff g .
Lemma 1.1.11. The following conditions for finitely many elements f1 ; : : : ; fr 2

A are equivalent.
(a) The open sets D.fi / .i D 1; : : : ; r/ cover X.
(b) Let fNi D .fi mod I /, i D 1; : : : ; r. For any ideal of definition I of A the
open sets D.fNi / cover Spec A=I .
(c) The open sets D.fi / .i D 1; : : : ; r/ cover Spec A.
(d) The ideal generated by f1 ; : : : ; fr coincides with A.
Proof. The implications (a) () (b) (H (c) () (d) are clear; the first equivalence
is due to the fact that V .I / D Spec A=I and Spf A are homeomorphic to each other.
If (b) holds, then the ideal .f1 ; : : : ; fr / contains an element of 1 C I . Then we
deduce (d) from the fact 1CI A (that is, A is I -adically Zariskian; cf. 0.7.2.13).

Proposition 1.1.12. An open subset U of X D Spf A is quasi-compact if and only

if U D X n V .a/ .in Spec A/ for a finitely generated ideal a A.
Proof. The ‘if’ part follows from [53], (1.1.4),S and the fact that X is a closed subset
r
of Spec
Sr A. If U is quasi-compact, then U D i D1 D.fi / for f1 ; : : : ; fr 2 A. Set
V D i D1 D.fi /. Then V is a quasi-compact open set of Spec A and is equal to
Spec A n V .a/, where a D .f1 ; : : : ; fr /. Hence, U D V \ X D X n V .a/.
1.1. (c) Formal schemes
Definition 1.1.13. (1) A formal scheme is a topologically locally ringed space that
is locally isomorphic to an affine formal scheme.
(2) Let X and Y be formal schemes. A morphism f W X ! Y of formal
schemes is a morphism of topologically locally ringed spaces.
An open formal subscheme of a formal scheme X is a formal scheme of the

form .U; OX jU /, where U is an open subset of the underlying topological space
of X. An open immersion of formal schemes is defined in a similar way as in the
case of ringed spaces; cf. 0, ÷4.1. (a). An open formal subscheme U X is said
S formal scheme. Thus any formal scheme X admits
to be affine if it is an affine
an open covering X D ˛2L U˛ consisting of affine open formal subschemes; an
open covering of this form is called an affine .open/ covering.
S A formal scheme X is said to be adic if it admits an affine open

Definition 1.1.14.
covering X D ˛2L U˛ such that each U˛ is isomorphic to Spf A˛ for an adic ring
A˛ (1.1.3 (2)).
Remark 1.1.15. Any scheme can be regarded as an adic formal scheme. Indeed,
any ring is an adic ring for the ideal .0/ (hence a 0-adic ring). Hence, schemes
are naturally regarded as 0-adic formal schemes. Thus the category of all formal
schemes contain as a full subcategory the category of schemes. Most importantly,
the category of all formal schemes has a final object Spec Z.
S X is said to be of finite ideal type if there

Definition 1.1.16. An adic formal scheme
exists an affine open covering X D ˛2L U˛ such that each U˛ is isomorphic to
Spf A˛ for an adic ring A˛ of finite ideal type (1.1.6).
The following proposition follows from 1.1.8 (2).
Proposition 1.1.17. Let X be an adic formal scheme of finite ideal type. Then there
exists open basis of the topology on X consisting of affine open subschemes of the
form Spf A by adic rings A of finite ideal type.
We will see later in 3.7.13 that, if X D Spf A is an affine adic formal scheme of
finite ideal type, then A itself is an adic ring of finite ideal type.
1.1. (d) Ideals of definition. Let A be an admissible ring. For any open ideal
J A one defines the sheaf J on X D Spf A by
J D lim J =Ie
I J
(cf. 0, ÷5.1. (a)), where I runs through all ideals of definition contained in J . Since
e e
J =I is an ideal of A=I D OSpec A=I , J is a sheaf of ideals of OX (cf. 0.3.2.4).
Note that, in view of [54], I, (1.3.7), and the definition of projective limit sheaves
(cf. 0, ÷3.2. (c)), we have
e
.X; J / D lim .X; J =I / D lim J =I D J;
I J I J
where the last equality follows from the fact that J is open (and hence is closed);
cf. Exercise 0.7.5.
Definition 1.1.18. (1) Let A be an admissible ring, and X D Spf A. A sheaf of

ideals of OX is said to be an ideal of definition, if for any x 2 X there exists an
open neighborhood U of x of the form U D D.f / .f 2 A/ such that jU D J
for some ideal of definition J of the admissible ring Aff g .
(2) Let X be a formal scheme, and an ideal sheaf of OX . We say that is an

ideal of definition of X, if for any x 2 X there exists an affine open neighborhood
U Š Spf A of x such that jU is isomorphic to an ideal of definition of Spf A as
in (1). An ideal of definition is said to be of finite type if it is of finite type as an
OX -module.
Proposition 1.1.19 ([54], I, (10.3.5)). Any ideal of definition of Spf A is of the form
I for a uniquely determined ideal of definition I of A.
S
Thus, if is an ideal of definition of a formal scheme X and X D ˛2L U˛ is
an affine open covering with U˛ Š Spf A˛ for each ˛ 2 L, then jU˛ Š I˛ for ˛ 2
L, where I˛ A˛ is an ideal of definition of the admissible ring A˛ . In particular,
the locally ringed space .X; OX = / is a scheme, which has f.U˛ ; OU˛ = jU˛ / D
Spec A=I˛ g˛2L as an affine open covering.
In this setting, a collection f ./ g2ƒ of ideals of definition of X indexed by a
directed set is called a fundamental system of ideals of definition of X, if for each
˛ 2 L the collection of ideals fI˛./ g2ƒ given by ./ jU˛ Š .I˛ / for each
./
2 ƒ is a fundamental system of ideals of definition of A˛ (cf. [54], I, (10.3.7)

and (10.5.1)).
Proposition 1.1.20. Let A be an adic ring of finite ideal type (1.1.6) and I A a
finitely generated ideal of definition. Then
I D I OX :
Proof. For any f 2 A the ring Aff g coincides with the IAf -adic completion of
Af (0.7.2.15). Then by 0.7.2.9 we see that the closure of the image of IAf in Aff g
coincides with IAff g . The assertion follows from this.
Corollary 1.1.21. Under the assumptions of 1.1.20, the associated ideal of defini-
tion I of X D Spf A is a sheaf of ideals of OX of finite type and, moreover,
.I /n D .I n /
for any n 1 .cf. [54], I, (10.3.6)/. In particular, f n gn1 with D I gives a

fundamental system of ideals of definition of X D Spf A.
Proposition 1.1.22. Let A be an adic ring of finite ideal type and an ideal of
definition of finite type on X D Spf A. Then there exists a finitely generated ideal
of definition I A such that D I .
The following lemma is useful not only for proving this proposition, but also in
the sequel.
Lemma 1.1.23. Let X be a formal scheme and f ./ g2ƒ a fundamental system
of ideals of definition, and suppose that the directed set ƒ has a final and at most
countable subset. Let fF g2ƒ be a projective system of OX -modules such that
(a) for any 2 ƒ we have ./ F D 0, and F is a quasi-coherent sheaf on
the scheme X D .X; OX = ./ / and
(b) the projective system fF g2ƒ is strict, that is, all transitions maps
F ! F
for are surjective.

(1) For q 1 we have
lim.q/ F D 0:
2ƒ
(2) If, moreover, X is affine, then for q 1 we have
Hq .X; F / D 0:
Proof. In view of 0.3.2.13 (2) the projective system fF g2ƒ satisfies (E1) and (E2)
in 0, ÷3.2. (e). Hence, (1) follows from 0.3.2.14 (1). To show (2), we first note
that for the surjection F ! F of quasi-coherent sheaves on the affine
scheme X D Spec A=I ./ (where .I ./ / D ./ ) induces the surjective map
.X; F / ! .X; F /; that is, the projective system f.X; F /g2ƒ is strict.
Hence the assertion follows from 0.3.2.16 and 0.5.4.2 (1).
Proof of Proposition 1.1.22. Take the unique I A such that I D (1.1.19).
We want to show that I is finitely generated. Take a finitely generated ideal of
definition J A such that J I , and set J D J . Consider the exact sequence
A A
0 ! J =J n ! I =J n ! I=J ! 0 e
e Š I =J
for any n > 0. By 1.1.23 (1), I=J
, which is a quasi-coherent sheaf on
the scheme Spec A=J of finite type. Hence I=J is finitely generated, and thus I is
finitely generated, as desired.
Corollary 1.1.24. Let X be an adic formal scheme of finite ideal type and an
ideal of definition of finite type. Then f n gn1 is a fundamental system of ideals of
definition of X.
Proof. Obviously, we may assume that X is affine of the form X D Spf A, where
A is an adic ring of finite ideal type. Then, by 1.1.22, is of the form I for a
finitely generated ideal of definition I A. The assertion in this case has already
been shown in 1.1.21.
1.1. (e) Noetherian formal schemes

Definition 1.1.25 (cf. [54], I, (10.4.2)). A formal scheme
S X is said to be locally
Noetherian if it has an affine open covering X D ˛2L U˛ such that each U˛
is isomorphic to Spf A˛ for a Noetherian adic ring A˛ . A locally Noetherian for-
mal scheme is said to be Noetherian if the underlying topological space is quasi-
compact.
Thus any locally Noetherian formal scheme is, by definition, an adic formal
scheme of finite ideal type. One of the most remarkable properties of locally
Noetherian formal schemes is that they always have a global ideal of definition.
Proposition 1.1.26 ([54], I, (10.5.4)). Any locally Noetherian formal scheme X has
a unique ideal of definition of finite type such that the induced scheme .X; OX = /
is reduced.
1.2 Fiber products

1.2. (a) Complete tensor product of admissible rings. Consider the diagram of
admissible rings
f g
B A ! C;
and let fI ./ g2ƒ (resp. fJ .˛/ g˛2† , resp. fK .ˇ / gˇ 2T ) be a fundamental system of
ideals of definition of A (resp. B, resp. C ). Since f and g are continuous, for any
˛ 2 † and ˇ 2 T there exists 2 ƒ such that I ./ B J .˛/ and I ./ C K .ˇ / .
We consider the complete tensor product B y̋ A C sitting in the diagram
BO / B b̋A C
O
f
A / C.
g
The ring B b̋A C is the Hausdorff completion of the tensor product B ˝A C with
respect to the topology defined by the filtration fH ˛;ˇ g.˛;ˇ /2†T , where
H ˛;ˇ D f ˝ g.J .˛/ ˝A C / C f ˝ g.B ˝A K .ˇ / /
for .˛; ˇ/ 2 † T (cf. Exercise 0.7.6). Let H y ˛;ˇ for each .˛; ˇ/ 2 † T be the
˛;ˇ
closure of the image of H in B b̋A C ; then B b̋A C is Hausdorff complete with
respect to the topology defined by the filtration fH y ˛;ˇ g.˛;ˇ /2†T (cf. 0, ÷7.1. (c),
0.7.1.8 (2)). More explicitly,
B b̋A C D lim B=J .˛/ ˝A C =K .ˇ / D lim B=J .˛/ ˝A=I ./ C =K .ˇ / ;

.˛;ˇ /2†T .;˛;ˇ /2L
where † T is considered with the ordering defined by
.˛; ˇ/ .˛ 0 ; ˇ 0 / () ˛ ˛ 0 and ˇ ˇ 0 ;
and L is the directed set given by
L D f.; ˛; ˇ/ 2 ƒ † T W I ./ B J .˛/ ; I ./ C K .ˇ / g
considered with the similar ordering; note that the map L ! † T given by the
canonical projection is cofinal.
Proposition 1.2.1 ([54], 0I , (7.7.7)). The topological ring B b̋A C is admissible,

y ˛;ˇ g.˛;ˇ /2†T is a fundamental system of ideals of definition.
and fH
Lemma 1.2.2. If B and C are adic of finite ideal type, then so is B b̋A C . If J
.resp. K/ is a finitely generated ideal of definition of B .resp. C / and if we set
H m;n D f ˝ g.J m ˝A C / C f ˝ g.B ˝A K n /
for m; n 0, then H D H 1;1 .B b̋A C / is a finitely generated ideal of definition of

B b̋A C .
Proof. Clearly, the filtration fH n;n gn0 gives a fundamental system of neighbor-
hoods of 0 for the ring B ˝A C , for the diagonal map N ,! N2 is cofinal. For
k 0,
.H 1;1 /2k D Œf ˝ g.J ˝A C / C f ˝ g.B ˝A K/2k

P2k
i D0 f ˝ g.J 2k i
˝A C / f ˝ g.B ˝A K i /
f ˝ g.J k ˝A C / C f ˝ g.B ˝A K k /
D H k;k :
On the other hand, we clearly have H 2k;2k .H 1;1 /2k . Hence
H 2k;2k .H 1;1 /2k H k;k
holds for any k 0, and thus the topology on B ˝A C given by fH mn gm;n0

is H 1;1 -adic. Now since H 1;1 is a finitely generated ideal of definition, the Haus-
dorff completion B b̋A C is actually the H 1;1 -adic completion (0.7.2.15), and hence
H D H 1;1 .B b̋A C / is an ideal of definition (0.7.2.9).
Corollary 1.2.3. Under the assumptions of Lemma 1.2.2, suppose furthermore that
A is adic. Let I be an ideal of definition of A such that IB J and IC K.
Then
B b̋A C D lim Bk ˝Ak Ck ;
k
kC1 kC1
where Ak D A=I , Bk D B=J , and Ck D C =K kC1 for k 0. Moreover,
B b̋A C is an adic ring with a finitely generated ideal of definition H generated
by the images of J ˝A C ! B b̋A C and B ˝A K ! B b̋A C , and we have
B b̋A C =H kC1 Š Bk ˝Ak Ck for any k 0.
1.2. (b) Fiber products of formal schemes

Theorem 1.2.4. The category of formal schemes has fiber products.
As in [54], I, ÷10.7, the general construction of fiber products reduces to the
case of affine formal schemes, and for a diagram
Spf B ! Spf A Spf C
of affine formal schemes the fiber product is given by Spf B b̋A C . The following
statements are corollaries of 1.2.2 and 1.2.3.
Corollary 1.2.5. Let Y ! X Z be a diagram of formal schemes, where Y and
Z are adic formal schemes of finite ideal type. Then the fiber product Y X Z is
an adic formal scheme of finite ideal type.
Corollary 1.2.6. Let Y ! X Z be a diagram of formal schemes, where Y and
Z are schemes. Then the fiber product Y X Z is a scheme.
The last corollary shows, in particular, that fiber products of schemes taken in
the category of formal schemes coincide with the ones taken in the category of
schemes.
1.2. (c) Fiber products and open immersions

Proposition 1.2.7. Let f W X ! Y be a morphism of formal schemes and V ,! Y
an open immersion. Then the Cartesian diagram

V Y X /X
g f

V /Y
of formal schemes remains Cartesian on the underlying topological spaces. In

particular,
image.g/ D image.f / \ V:
Proof. By the construction of fiber products, one reduces to the affine situation
X D Spf A, Y D Spf B, and V D Spf Bfhg for some h 2 B. The assertion in this
case is easy to verify.
Proposition 1.2.8. (1) Let f W X ! Y and gW Y ! Z be morphisms of formal
schemes. If f and g are open immersions, then so is g ı f . If g ı f and g are open
immersions, then so is f .
(2) If S is a formal scheme and if f W X ! X 0 and gW Y ! Y 0 are two S -open
immersions of formal schemes, then
f S gW X S Y ! X 0 S Y 0
is an open immersion.
(3) If S is a formal scheme and if f W X ! Y is an S -open immersion between
formal schemes, then for any morphism S 0 ! S of formal schemes the induced
morphism
fS 0 W X S S 0 ! Y S S 0
is an open immersion.
Proof. (1) is clear. By 0.1.4.1, (2) and (3) follow from the special case of (3) with
Y D S , which is already shown in 1.2.7.
1.3 Adic morphisms

1.3. (a) Adic morphisms
Definition 1.3.1. A morphism f W X ! Y of adic formal schemes of finite ideal
type is said to be adic if there exists an open covering fV˛ g˛2L of Y and for each
˛ 2 L an ideal of definition ˛ of V˛ of finite type, such that for each ˛ 2 L the
pull-back ideal ˛ Of 1 .V˛ / (0.4.1.2) is an ideal of definition of the open formal
subscheme f 1 .V˛ / X.
By an argument similar to that in [54], I, (10,12,1), ˛ Of 1 .V˛ / is an ideal of
definition of f 1 .V˛ / for any ideal of definition of finite type ˛ on V˛ . Hence,
in particular, if Y itself has an ideal of definition of finite type, then OX is
an ideal of definition of X. (This implies, in particular, that our definition of adic
morphisms agrees with the one in [54], I, (10,12,1), in the locally Noetherian case.)
Note, cf. 0.1.4.8 (1), that the property ‘adic’ is local on the target under the
Zariski topology.
Proposition 1.3.2. Let 'W A ! B be a morphism of adic rings of finite ideal type
and f W Y D Spf B ! X D Spf A the induced morphism. Then f is adic if and
only if ' is adic (1.1.5 (2)).
Proof. Suppose ' is adic, and let I A be a finitely generated ideal of definition.
Then D I OX is an ideal of definition of X of finite type (1.1.20, 1.1.21). Since
IB is an ideal of definition of B, OY D I OY is an ideal of definition, which
shows that f is adic. Conversely, if f is adic, then OY is an ideal of definition.
Since OY D .IB/ , we see that IB is an ideal of definition (cf. [54], I, (10.3.5)).

Proposition 1.3.3. Let X, Y , and Z be adic formal schemes of finite ideal type
and Y ! X and Z ! X morphisms of formal schemes. Suppose Y ! X is adic.
Then the fiber product Y X Z is an adic formal scheme of finite ideal type, and
the morphism Y X Z ! Z is adic.
This proposition follows from the following lemma.
Lemma 1.3.4. Under the assumptions of Proposition 1.2.3, suppose that the mor-
phism A ! B is adic. Then the adic ring B b̋A C has H D .B ˝A K/B b̋A C as
an ideal of definition, and the map C ! B b̋A C is adic.
Proof. We may assume J D IB. Then the ideal H of B b̋A C as in 1.2.3 coincides
with .B ˝A K/B b̋A C , which is clearly the one generated by the image of K under
the map C ! B b̋A C .
By 1.3.4 and 1.2.3, we have the following corollary.
Corollary 1.3.5. Let X ! Y and Z ! Y be morphisms of adic formal schemes of
finite ideal type. Suppose that X ! Y is adic and that there exist ideals of definition
and K of finite type of Y and Z, respectively, such that OZ K. Set Yk D
.Y; OY = kC1 /, Xk D .X; OX = kC1 OX /, and Zk D .Z; OZ =K kC1 / for k 0,
and W D X Y Z. Then for any k 0 the scheme Wk D .W; OW =K kC1 OW / is
isomorphic to the fiber product Xk Yk Zk of schemes.
Proposition 1.3.6. (1) Let f W X ! Y and gW Y ! Z be morphisms of adic formal
schemes of finite ideal type. If f and g are adic, then so is the composition g ı f .
If g ı f and g are adic, then so is f .
(2) Let S be an adic formal scheme of finite ideal type, and f W X ! X 0 and
gW Y ! Y 0 two adic S -morphisms of adic formal schemes of finite ideal type over S .
Then
is adic.
(3) Let S be an adic formal scheme of finite ideal type, and f W X ! Y an adic
S -morphism between adic formal schemes of finite ideal type over S . Then for any
morphism S 0 ! S of adic formal schemes of finite ideal type,
fS 0 W X S S 0 ! Y S S 0
is adic.
Proof. (1) is easy to see. Applying 0.1.4.1 to the category of adic formal schemes
(with morphisms being not necessarily adic), we deduce that (2) and (3) follows
from the special case of (3) with S D Y , which was already shown in 1.3.3.
Note that in the statements (2) and (3) of 1.3.6 the formal schemes X, Y ,
X 0 , Y 0 , and S 0 are adic formal scheme over S , but not necessarily adic over
S , that is, the structural maps such as X ! S are not necessarily adic.
In the sequel we employ the following convention, which remains in force
throughout this book, in order to distinguish adicness of morphisms from that of
formal schemes alone.
Convention. For adic formal schemes X and S of finite ideal type,
by ‘X over S ’ we only mean that X is simply considered with a morphism
X ! S , not necessarily adic, of formal schemes;
if, however, we say ‘X adic over S ’, then we mean that the structural map
X ! S is adic.
1.3. (b) Adicness of diagonal maps
Proposition 1.3.7. Let f W X ! Y be a morphism of formal schemes, and suppose

that X is adic of finite ideal type. Then the diagonal map
X W X ! X Y X
is an adic morphism.
Note that thanks to 1.2.5 the formal scheme X Y X is adic of finite ideal type;
note also that here we do not assume that the map f or Y are adic.
Proof. We may assume that X and Y are affine: X D Spf B ! Y D Spf A. This
places us in the case 1.2.2, where B D C . Using the notation therein, we know
that B b̋A B has the ideal H generated by f ˝ g.J ˝A B/ C f ˝ g.B ˝A J / as
an ideal of definition. The diagonal map X as above is induced by the codiagonal
map B b̋A B ! B, and so we clearly have HB D J , thereby the assertion.
1.4 Formal completion

1.4. (a) Formal schemes as inductive limits of schemes. We have already seen
in ÷1.1. (d) that for any formal scheme X and any ideal of definition , the locally
ringed space .X; OX = / is a scheme.
Proposition 1.4.1 ([54], I, (10.6.2)). Let X be a formal scheme, and suppose there
exists a fundamental system of ideals of definition f ./ g2ƒ , and set
X D .X; OX = ./ /; 2 ƒ:
Then fX g2ƒ with the canonical closed immersions is an inductive system of
schemes, and
X D lim X
!
2ƒ
in the category of formal schemes.
Proposition 1.4.2. Let X be a topological space, and consider a projective system
fOi ; uij gi 2I of sheaves of rings on X indexed by a directed set I ¤ ; that admits
an at most countable final subset. Fix 0 2 I , and for any i 0 let i be the kernel
of u0i W Oi ! O0 . Suppose that
(a) for any i 0 the ringed space .X; Oi / is a scheme,
(b) for any i 0 and any x 2 X there exists an open neighborhood Ui of x in
X such that the sheaf i restricted to Ui is nilpotent, and
(c) for any i j 0 the morphism uj i is surjective.
Then the ringed space .X;O/ equipped with the projective limit sheaf O D lim Oi
i 2I
is a formal scheme. The canonical morphism ui W O ! Oi for i 0 is surjective.
If one denotes by .i / the kernel of ui , then f .i / gi 0 is a fundamental system of
ideals of definition, and .0/ coincides with the projective limit lim i .
i 0
Proof. We may assume without loss of generality that I D N (Exercise 0.1.2).

Then the proposition in this case is nothing but [54], I, (10.6.3).
It is often delicate to judge whether a given formal scheme, given as an induc-
tive limit of schemes as above, is adic or not; the situation is somewhat similar to
judging adicness of a given topological ring (0, ÷7.2. (c)). But similarly to 0.7.2.11,
one has a criterion for the property ‘adic of finite ideal type’, as follows.
Proposition 1.4.3. In the situation as in 1.4.2 with I D N we assume that for
j C1
i j the kernel of the morphism uj i coincides with i and that 1 = 12 is of
finite type over O0 D O1 = 1 . Then the formal scheme X is adic. If one denotes
by .k/ the kernel of the map OX ! Ok and puts D .0/ , then .k/ D kC1
and = 2 is isomorphic to 1 . In particular, is an ideal of definition of the adic
formal scheme X.
We refer to [54], I, (10.6.4), for the proof. Note that, in this situation, the ideal
of definition is of finite type, and hence the formal scheme X thus obtained is an
adic formal scheme of finite ideal type (Exercise I.1.4).
1.4. (b) Formal completion of schemes. Let X be a scheme and Y X a closed

subscheme. We denote by Y the quasi-coherent sheaf of ideals of OX that
defines Y . For each k 0 we set Xk D .Y; OX = YkC1 /. Then the inductive
limit
y Y D lim Xk
Xj
!
k0
is represented by a formal scheme (1.4.2), called the formal completion of X along

Y (cf. 0, ÷8.6 and [54], I, ÷10.8). The formal scheme Xj y Y is sometimes denoted
y
simply by X, when Y is clear from the context.
In the affine situation X D Spec A and Y D Spec A=I , where I is an ideal
of A, the formal completion Xj y Y is nothing but the affine formal scheme Spf A^ ,
I
where AI^ is the Hausdorff completion of A with respect to the topology defined
by I D fI n gn0 , which is an admissible ring (1.1.4).
The following proposition is clear; cf. 1.1.7.
Proposition 1.4.4. Suppose that the closed subscheme Y is of finite presentation.

Then the formal scheme Xy D Xj y Y is adic of finite ideal type and has an ideal of
definition D Y OXy of finite type.
Here we include a basic fact on the formal completion of morphisms of schemes.
Proposition 1.4.5 ([53], (10.9.9)). Let Y be a scheme, Z Y a closed subscheme,

and f W X ! Y a morphism of schemes. Let W D f 1 .Z/, and set Xy D Xj yW
y y
and Y D Y jZ . Then the commutative diagram
j
Xo Xy
f fy

Y o Yy
i
is Cartesian in the category of formal schemes.
The following proposition follows from 1.3.5.
Proposition 1.4.6. Let X ! Y and Z ! Y be morphisms of schemes and W Y

a closed subscheme of Y of finite presentation. Let Xy .resp. Yy , resp. Z/
y be the
formal completion along the W .resp. WX , resp. WZ /. Then there exists a canonical
isomorphism
y ! X yY Z;
Xy y Z
Y
where X yY Z denotes the formal completion of X Y Z along WX Y WZ .

1.4. (c) Formal completion of quasi-coherent sheaves. Let X be a scheme,

Y X a closed subscheme with the defining ideal sheaf Y , and F a quasi-
coherent OX -module. Then the formal completion of F along Y , denoted by Fy jY
or by Fy , is defined as ([53], (10.8.2))
Fy jY D lim F ˝O .OX = n / D lim F = n F :
X Y Y
n n
This is an OXj y
y Y -module; we will see later in ÷3 that F jY thus obtained, in case
Y is a closed subscheme of finite presentation, is an example of what we will later
call adically quasi-coherent sheave (3.1.5). Note that in the affine situation X D
Spec A, Y D Spec A=I , and F D M z , we have
.Xy jY ; F / D .Y; lim F = Yn F / D lim M=I n M D M ^ :
I
n n
Proposition 1.4.7. Let .X; Y / be a pseudo-adhesive pair of schemes (0.8.6.5), and

set Xy D Xj
y Y.
(1) For any quasi-coherent sheaf F on X of finite type, the canonical morphism
i F ! Fy D Fy jY ;
where i W Xy ! X is the canonical morphism, is an isomorphism.
(2) The map i W Xy ! X of locally ringed spaces is flat, that is, for any x 2 Xy the
y is flat over OX;i.x/ .cf. 0.4.1.5 (2)).
ring OX;x
Proof. Since the question is local, we may assume that X D Spec A, where we are
given a pseudo-adhesive pair .A; I / (0.8.6.7), and hence that Xy D Spf A.y Denote
y
the canonical map A ! A by j .
(1) Take the finitely generated A-module M such that F D M z . By Exer-
c y
cise I.1.6 and the equality Af D Afj.f /g ([54], 0I , (7.6.2)), we need to prove the
following statement: for any f 2 A the canonical morphism
c
Mf ˝Af Af ! Mf
b
is an isomorphism. Since Mf is finitely generated over Af and since
Af D AŒT =.f T 1/
is IAf -adically pseudo-adhesive (0.8.5.7), this follows from 0.8.2.18 (1).
(2) By 0.8.2.18 (2), the canonical map jf W Af ! A cf is flat. By Exercise I.1.6
c y
and the equality Af D Afj.f /g , the map between stalks
OX;i.x/ ! OX;x
y
is the filtered inductive limit of the maps of the form jf as above. Since flatness is
preserved by filtered inductive limits, the assertion follows.
1.5 Categories of formal schemes

1.5. (a) Notation. First of all, we set
Fs D the category of all formal schemes.
This category has fiber products and the final object Spec Z. As mentioned be-
fore (1.1.15), the category Fs contains the category Sch of schemes as the full sub-
category consisting of 0-adic formal schemes. Moreover, it has a strict initial object
(the empty scheme ; D Spec 0) and disjoint sums (cf. 0.1.4.6 and Exercise I.1.2).
The category Fs has the following full subcategories:
AfFs D the category of affine formal schemes,
AcFs D the category of adic formal schemes of finite ideal type,
AfAcFs D the category of affine adic formal schemes of finite ideal type.
Note that, here, the condition ‘adic’ is only put on objects and not on morphisms.
We set
AcFs D the category of adic formal schemes of finite ideal type with adic
morphisms,
AfAcFs D the category of affine adic formal schemes of finite ideal type
with adic morphisms,
and will follow the principle that the superscript ‘’ always means that the mor-
phisms between the objects under consideration are only adic morphisms.
The categories AfFs, AcFs and AfAcFs have fiber products (1.2.5), strictly ini-
tial objects, disjoint sums, and final objects. The categories AcFs and AfAcFs
have fiber products (1.3.3), strictly initial objects, and disjoint sums.
For any formal scheme S we denote by FsS , AcFsS , and AcFsS etc., the re-
spective categories of objects over S . Here, even in case S is adic of finite ideal
type, objects of the category AcFsS are not necessarily adic over S (that is, the
structural maps X ! S are not assumed to be adic; see the general convention at
the end of ÷1.3. (a)). To specify the categories of adic formal schemes of finite ideal
type that are adic over a fixed adic formal scheme S of finite ideal type, we set
AcFs=S D the category of adic formal schemes of finite ideal type adic over
S,
AfAcFs=S D the category of affine adic formal schemes of finite ideal type
adic over S .
In these categories all arrows are automatically adic due to 1.3.6 (1), and hence
AcFs=S and AfAcFs=S are full subcategories of FsS , AcFsS , and AcFsS , etc.
The categories FsS , AfFsS , AcFsS , AfAcFsS , AcFs=S , and AfAcFs=S have
fiber products, strictly initial objects, and disjoint sums; moreover, FsS and AcFs=S
have final objects, and AfFsS (resp. AcFsS , resp. AfAcFsS ) has final objects if S
is affine (resp. adic of finite ideal type, resp. affine adic of finite ideal type).
1.5. (b) Properties of morphisms in Fs. Consider a property P for morphisms of

formal schemes such that
(I) any isomorphism satisfies P , and
(C) if f W X ! Y and gW Y ! Z are arrows satisfying P , then g ı f satisfies
P.
As in 0, ÷1.4. (a) we consider the subcategory D D DP of Fs consisting of mor-
phisms of formal schemes satisfying P . Then, as we have seen in 0.1.4.1, the
following conditions are equivalent, and when they are fulfilled, we say that the
property P is base-change stable:
.B1 / for any Z-morphisms f W X ! Y and gW X 0 ! Y 0 satisfying P of formal
schemes over a formal scheme Z, the induced morphism
f Z gW X Z Y ! X 0 Z Y 0
satisfies P ;
.B2 / for any Z-morphism f W X ! Y satisfying P of formal schemes over a
formal scheme Z and for any morphism Z 0 ! Z of formal schemes, the
induced morphism
fZ 0 W X Z Z 0 ! Y Z Z 0
satisfies P ;
.B3 / for any morphism f W X ! Y satisfying P and any morphism Y 0 ! Y of
formal schemes, the induced arrow
fY 0 W X Y Y 0 ! Y 0
satisfies P .
1.5. (c) Properties of morphisms in AcFs. Let P be a property of morphisms of

adic formal schemes of finite ideal type that satisfies (I) and (C) in ÷1.5. (b). We
assume that P implies that the morphisms in question are adic, that is to say, that
the corresponding subcategory DP is contained in AcFs . Then the conditions
in 0.1.4.1, which are equivalent, are written in the following way.
.B1 / For any adic Z-morphisms f W X ! Y and gW X 0 ! Y 0 satisfying P of adic

formal schemes of finite ideal type over an adic formal scheme of finite ideal
type Z, the induced morphism
satisfies P (note that f Z g is automatically adic).
.B2 / For any adic Z-morphism f W X ! Y satisfying P of adic formal schemes
of finite ideal type over an adic formal scheme of finite ideal type Z and
for any morphism Z 0 ! Z of adic formal schemes of finite ideal type, the
induced morphism
fZ 0 W X Z Z 0 ! Y Z Z 0
satisfies P .
.B3 / For any adic morphism f W X ! Y satisfying P and any morphism Y 0 ! Y
of adic formal schemes of finite ideal type, the induced arrow
fY 0 W X Y Y 0 ! Y 0
satisfies P .
Similarly to the warning at the end of ÷1.3. (a), the morphisms that are not
being spelled out to be adic are not assumed to be adic. For example, X, Y ,
X 0 , and Y 0 in .B1 / are not assumed to be adic over Z.
In the category AcFs, we can, moreover, consider the following conditions.
(R) For any adic morphism f W X ! Y , where Y has an ideal of definition of

finite type, the following conditions are equivalent.
(a) f satisfies P .
(b) fk satisfies P for any k 0.
Here, for any integer k 0 we set Xk D .X; OX = kC1 OX / and Yk D

.Y; OY = kC1 / and set fk W Xk ! Yk to be the induced map of schemes.
(F) For any morphism f W X ! Y of schemes satisfying P and any closed
subscheme Z Y of finite presentation, the induced map between formal
completions fOjZ W Xj
y f 1 .Z/ ! Yy jZ satisfies P .
Proposition 1.5.1. Let P be a property that satisfies (R) and is local on the target
under the Zariski topology (cf. 0.1.4.8 (1)). Then P is base-change stable in AcFs
if and only if the property P restricted to morphisms of schemes is base-change
stable in Sch.
Proof. The ‘only if’ part is trivial. Suppose the property P restricted to morphisms
of schemes is base-change stable in Sch. Let f W X ! Y be an adic morphism
of adic formal schemes of finite ideal type that satisfies P , and Y 0 ! Y a (not
necessarily
S adic) morphism of adic formal schemes of finite ideal type. Let Y D
U
˛2L ˛ be an open covering of Y . Then Y 0 is covered by open subsets Y 0 Y
0
U˛ D Y˛ . Since P is local on the target under the Zariski topology, it suffices to
show the property P for the base change f˛0 W X˛0 ! Y˛0 , where X˛0 D X Y Y˛0 .
Hence we may assume that Y has an ideal of definition of finite type. Similarly,
since Y 0 is covered by open subsets that have ideals of definition of finite type, we
may further assume that Y 0 has an ideal of definition J of finite type. We can also
consider that Y and Y 0 are affine, and so that OY 0 J.
Now let fk W Xk ! Yk for any integer k 0 be the induced morphism of
schemes as above, and set Yk0 D .Y 0 ; OY 0 =J kC1 /. We have the induced morphism
Yk0 ! Yk for any k 0. By 1.3.5, the similarly defined .X Y Y 0 /k is isomorphic
to Xk Yk Yk0 , and .f Y Y 0 /k D fk Yk Yk0 for any k 0. By the assumption,
the map fk satisfies P , and hence .f Y Y 0 /k D fk Yk Yk0 satisfies P . But this
implies that f Y Y 0 satisfies P , as desired.
Proposition 1.5.2. Let P be a property that satisfies (R) and is base-change stable
restricted to the morphisms of schemes. Then P satisfies (F).
Proof. Suppose that f W X ! Y is a morphism of schemes that satisfies P and that

Z is a closed subscheme of Y of finite presentation. For any k 0 the scheme
y Z /k (defined as above) is the closed subscheme of X defined by the ideal kC1 ,
.Xj
where is the defining ideal of Z in X. By the base-change stability for morphisms
of schemes, each .fOjZ /k satisfies P . Then (R) implies that fOjZ satisfies P .
1.5. (d) Adicalization. Let P be a property of morphisms of schemes that satis-

fies (I) and (C) in ÷1.5. (b) and is stable under the Zariski topology (0.1.4.8 (1)).
Let f W X ! Y be a morphism of adic formal schemes of finite ideal type. Then
we say that f satisfies adically P if
(a) f is adic and
S
(b) there exists an open covering Y D ˛2L V˛ and for each ˛ an ideal of
definition of finite type ˛ on V˛ , such that for any ˛ 2 L and k 0 the
induced morphism of schemes
U˛;k D .U˛ ; OU˛ = ˛kC1 OU˛ / ! V˛;k D .V˛ ; OV˛ = ˛kC1 /

1
satisfies P , where U˛ D f .V˛ /.
Proposition 1.5.3. Let f W X ! Y be an adic morphism of adic formal schemes of

finite ideal type. Then f satisfies adically P if and only if for any open subspace
V Y and any ideal of definition of finite type on V , the induced morphism
U0 D .U; OU = OU / ! V0 D .V; OV = /
1
of schemes satisfies P , where U D f .V /.
part is clear. Suppose f satisfies adically P . Then we have an open

Proof. The ‘if’ S
covering Y D ˛2L V˛ as above. Take for any ˛ 2 L a sufficiently large k 0
such that ˛kC1 on V \ V˛ . Then on V \ V˛ the morphism U0 ! V0 in
question is obtained by base change of U˛;k ! V˛;k ; since P is stable under the
Zariski topology, we deduce that U0 ! V0 satisfies P .
Proposition 1.5.4. The property ‘adically P ’ satisfies (I), (C) .in the category
AcFs/, (R), and (F). In particular, it is base-change stable, if the property P is
base-change stable.
Proof. It is clear that (I) is satisfied. By 1.5.3, (C) and (R) are also satisfied. The
other assertion follows from 1.5.1 and 1.5.2.
In some cases, one can drop ‘adically’ from ‘adically P ’ without major prob-
lems; for example, ‘adically of finite type’ is, due to 1.7.3 below, the same as what
we appropriately call ‘of finite type’. A similar example is ‘adically affine’, which
will turn out to be just ‘affine (and adic)’ (÷4.1. (d)). But in some other cases, it is
important to distinguish ‘adically P ’ from ‘P ’, as in the following examples.
Examples 1.5.5. (1) P D ‘flat’: adically flat morphisms will be of essential im-
portance, since ‘flat’ in formal geometry in general is not such a reasonable notion.
Adically flat morphisms are discussed in more detail in ÷4.8. (c) below.
(2) P D ‘quasi-affine’: adically quasi-affine morphisms will be of technical
importance in ÷6.3. (a), since for them adically flat effective descent holds.
1.6 Quasi-compact and quasi-separated morphisms

1.6. (a) Quasi-compact morphisms and some preliminary facts on diagonal
morphisms
Definition 1.6.1. A morphism f W X ! Y of formal schemes is said to be quasi-

compact if, for any quasi-compact open subset U of Y , f 1 .U / is quasi-compact.
Here, observe (cf. 0.2.1.4 (2)) that ‘quasi-compactness’ is a topological condi-

tion. In particular, if f W X ! Y is an adic morphism between adic formal schemes
of finite ideal type and Y has an ideal of definition of finite type, then f is
quasi-compact if and only if the induced morphism of schemes
f0 W X0 D .X; OX = OX / ! Y0 D .Y; OY = /
is quasi-compact.
In order to define quasi-separated morphisms, we need to prove some prepara-
tory results.
Lemma 1.6.2. Let f W X ! Y be a morphism of formal schemes, and consider
the diagonal map X W X ! X Y X. Then for any open immersion U ,! X the
diagram
U
U / U Y U

X / X Y X
X
is Cartesian in the category of formal schemes.

Proof. Let W D X .XY X/ .U Y U /. Since U Y U ! X Y X is an open
immersion (1.2.8 (2)), so is W ! X. We have a morphism 'W U ! W such that
the resulting diagram
U❆
❆❆ ' U
❆❆
❆ %
W / U Y U

X / X Y X
X
commutes. Then by 1.2.8 (1) the morphism ' is an open immersion. Consider the
compositions
pri
W ! U Y U ! U;
for i D 1; 2, and denote them by i . If we denote by ˛ the open immersion
W ,! X, then we have ˛ ı ' ı i D ˛. Then by 1.2.8 (1) the morphism i is an
open immersion. But since i ı ' D idU , ' must be an isomorphism.
Corollary 1.6.3. Let f W X ! Y be a morphism of formal schemes. Then the diag-
onal map X W X ! X Y X maps the underlying topological space of X home-
omorphically onto its image X .X/ endowed with the subspace topology induced
by the topology on X Y X.
Proof. Since pr1 ı X D idX , the diagonal map X is clearly injective. Hence
it suffices to show that for any open subset U X the image X .U / is open in
X .X/. By 1.6.2 and 1.2.7, identifying U Y U with the open subset of X Y X
by the open immersion U Y U ! X Y X, we have
X .U / D U .U / D X .X/ \ U Y U;
whence the result.
Corollary 1.6.4. The following conditions for a morphism f W X ! Y of formal

schemes are equivalent.
(a) The diagonal morphism W X ! X Y X is quasi-compact.
(b) The inclusion .X/ ,! X Y X of the underlying topological spaces is
quasi-compact .0.2.1.4 (2)/.
1.6. (b) Quasi-separated morphisms and coherent morphisms
Definition 1.6.5. A morphism f W X ! Y of formal schemes is said to be quasi-

separated if it satisfies one of the .equivalent/ conditions in 1.6.4. A formal scheme
X is said to be quasi-separated if it is quasi-separated over Spec Z.
Definition 1.6.6. A quasi-compact and quasi-separated morphism .resp. formal

scheme/ is said to be coherent.
For example, any affine formal scheme X D Spf A is coherent. Indeed, it

is quasi-compact, as it is a closed subset of the affine scheme Spec A; since the
diagonal map W X ! X Z X comes from the surjective map A b̋ Z A ! A, one
can easily show that it is quasi-compact (by an argument similar to that in 1.3.7,
one can show that this map satisfies the assumption in Exercise I.1.1).
Proposition 1.6.7. (1) The composition of two quasi-compact .resp. quasi-sep-

arated, resp. coherent/ maps of formal schemes is quasi-compact .resp. quasi-
separated, resp. coherent/.
(2) If f W X ! X 0 and gW Y ! Y 0 are two quasi-compact .resp. quasi-separated,
resp. coherent/ S -morphisms of formal schemes, then
is quasi-compact .resp. quasi-separated, resp. coherent/.

(3) If f W X ! Y is a quasi-compact .resp. quasi-separated, resp. coherent/

S -morphism of formal schemes and S 0 ! S is a morphism, then
fS 0 W X S S 0 ! Y S S 0
(4) If the composition g ı f of two morphisms of formal schemes is quasi-

compact and f is surjective, then g is quasi-compact. If g ı f is quasi-compact
and g is quasi-separated, then f is quasi-compact. If g ı f is quasi-separated,
then f is quasi-separated. If, moreover, f is quasi-compact and surjective, then g
is quasi-separated.
Proof. First let us prove (1), (2), and (3) for quasi-compactness. (1) is clear.
As we have seen in ÷1.5. (b), (2) and (3) follow from the special case of (3) with
S D Y . Let f W X ! Y be quasi-compact, and gW Y 0 ! Y any morphism. We
set f 0 W X 0 ! Y 0 to be the base change; we want to show that f 0 is quasi-compact.
Let U 0 Y 0 be a quasi-compact open subset, and s 0 2 U 0 a point. Take an
affine neighborhood T in Y of the point g.s 0 / and an affine neighborhood W in
U 0 \ g 1 .T / of s 0 . Since it suffices to show that f 1 .W / is quasi-compact, we
may assume Y and Y 0 are affine; moreover, it is enough to show that the formal
scheme X 0 D X Y Y 0 is quasi-compact. Since X is quasi-compact, it is covered
by a finite collection of affine open sets V1 ; : : : ; Vn . Then X 0 is covered by the
affine open subsets Vi Y Y 0 (1.2.8 (3)), and thus X 0 is quasi-compact, as desired.
Now we proceed to show (1), (2), and (3) for quasi-separatedness. Let both
f W X ! Y and gW Y ! Z be quasi-separated morphisms of formal schemes. We
have the commutative diagram with the Cartesian square
gıf
+
X / X Y X / X Z X
f
q
()
f Z f
f
)Y / Y Z Y
g
Since g is quasi-compact, the upper arrow in the square is quasi-compact. Since

f is quasi-compact, the composition gıf is quasi-compact, which implies that
g ı f is quasi-separated. Thus (1) for quasi-separatedness is proved.
Similarly to the quasi-compactness case, (2) and (3) follow from the special
case of (3) with S D Y . Let f W X ! Y be quasi-separated, and let gW Y 0 ! Y be
a morphism, and f 0 W X 0 ! Y 0 the base change. We have the commutative diagram
X 0 YO 0 X 0 .X Y X/
O
Y Y 0 / X Y X
O
f 0 f Y Y 0 f ()
X0 X Y Y 0 / X:
Since f is quasi-compact, f 0 D f Y Y 0 is quasi-compact by (3) for quasi-

compactness, which we have already shown; that is, f 0 is quasi-separated, as de-
sired.
Finally let us prove (4). The first assertion is easy to see; the second one can be
shown similarly to [53], (6.1.5) (v). Let f W X ! Y and gW Y ! Z be such that
g ı f is quasi-separated. The morphism f coincides with the composition
f p2
X ! X Z Y ! Y;
where f is the graph of f . The projection p2 coincides with .g ı f / Z idY , and

hence is quasi-separated. The diagonal morphism of the graph f is isomorphic
to idX , and hence f is quasi-separated. Thus f D p2 ı f is quasi-separated.
Suppose that g ı f is quasi-separated and that f is quasi-compact and surjective.
In diagram ./ above we know that the maps gıf and f Z f are quasi-compact.
Hence the composition g ı q ı f D g ı f is quasi-compact. Since f is
surjective, we deduce that g is quasi-compact, that is, g is quasi-separated.
Proposition
S 1.6.8. Let f W X ! Y be a morphism of formal schemes, and let
Y D ˛2L V˛ be an open covering of Y . Then f is quasi-compact .resp. quasi-
separated, resp. coherent/ if and only if the induced map
f˛ W X˛ D X Y V˛ ! V˛
is quasi-compact .resp. quasi-separated, resp. coherent/ for any ˛ 2 L.
Proof. The ‘only if’ part follows from 1.6.7 (3). Suppose f˛ is quasi-compact for
all ˛ 2 L, and let V Y be a quasi-compact open subset of Y . Then V is covered
by finitely many quasi-compact open subsets, each of which is contained in some
V˛ . Thus f 1 .V / is covered by finitely many quasi-compact open subsets and
hence is quasi-compact.
Next, suppose f˛ is quasi-separated for all ˛ 2 L. Since the diagonal map
XY V˛ W X Y V˛ ! .X Y V˛ / V˛ .X Y V˛ / Š .X Y X/ Y V˛
coincides with the base change of X by the open immersion
.X Y X/ Y V˛ , ! X Y X
(1.6.2), the assertion follows from the assertion on quasi-compactness.
Proposition 1.6.9. Let f W X ! Y be an adic morphism of adic formal schemes

of finite ideal type, and suppose Y has an ideal of definition of finite type. For any
k 0 set Xk D .X; OX = kC1 OX / and Yk D .Y; OY = kC1 /, and let fk W Xk ! Yk
be the induced morphism of schemes. Then the following conditions are equiva-
lent.
(a) f is quasi-compact .resp. quasi-separated, resp. coherent/.
(b) fk is quasi-compact .resp. quasi-separated, resp. coherent/ for any k 0.
(c) f0 is quasi-compact .resp. quasi-separated, resp. coherent/.
Proof. The assertion for quasi-compact morphisms is clear. As for quasi-separated

morphisms, the assertion follows easily from 1.3.5.
By 1.5.2, we have the following corollary.
Corollary 1.6.10. Let f W X ! Y be a morphism of schemes, and Z a closed

subscheme of Y of finite presentation. If f is quasi-compact .resp. quasi-separated,
resp. coherent/, then the formal completion (÷1.4. (b))
fOW Xj
yf 1 .Z/ ! Yy jZ
1.6. (c) Notation. In the sequel we write

CFsS D the category of formal schemes coherent over S .
We employ the similar rule as in ÷1.5. (a) for the notations of categories of coherent
formal schemes; for example
AcCFsS D the category of adic formal schemes of finite ideal type coherent
over S ;
AcCFsS D the category of adic formal schemes of finite ideal type coherent
over S with adic S -morphisms;
AcCFs=S D the category of adic formal schemes of finite ideal type coher-
ent and adic over S ;
When S D Spec Z, we denote these categories without reference to S ;
e.g. CFs D CFsSpec Z .
1.7 Morphisms of finite type

type is said to be locally of finite type if
(a) the morphism f is adic (1.3.1), and
(b) there exist an affine open covering fV˛ g˛2L of Y with V˛ D Spf B˛ , where
each B˛ is an adic ring of finite ideal type, and for each ˛ 2 L an affine
open covering fU˛; g2ƒ˛ of f 1 .V˛ / with U˛; D Spf A˛; , where each
A˛; is an adic ring topologically finitely generated over B˛ (0.8.4.1).
The morphism f is said to be of finite type if it is locally of finite type and quasi-
compact (1.6.1).
Proposition 1.7.2. (1) An open immersion of adic formal schemes of finite ideal
type is locally of finite type.
(2) The composition of two morphisms locally of finite type .resp. of finite type/
is again locally of finite type .resp. of finite type/. If the composition g ı f of
morphisms f W X ! Y and gW Y ! Z of formal schemes is locally of finite type
and g is adic, then f is locally of finite type.
(3) Let S be an adic formal scheme of finite ideal type, and f W X ! X 0 and
gW Y ! Y 0 two adic S -morphisms of adic formal schemes of finite ideal type. Sup-
pose that f and g are locally of finite type .resp. of finite type/. Then
is locally of finite type .resp. of finite type/.

(4) Let S be an adic formal scheme of finite ideal type, and f W X ! Y an adic
S -morphism between adic formal schemes of finite ideal type. Suppose f is locally
of finite type .resp. of finite type/. Then for any morphism S 0 ! S of adic formal
schemes of finite ideal type,
fS 0 W X S S 0 ! Y S S 0

Proof. (1) and (2) are easy to check. As we have seen in ÷1.5. (c), (3) and (4) follow
from the special case of (4) with S D Y . To show (4) in that case, we may assume
that all formal schemes are affine of the form
f W X D Spf BhhX1 ; : : : ; Xn ii ! Y D Spf B
and Y 0 D S 0 D Spf R ! Y . Let I be a finitely generated ideal of definition of B,

and J a finitely generated ideal of definition of R such that IR J . Then we need
to prove that the adic ring BhhX1 ; : : : ; Xn ii y̋ B R is topologically finitely generated
over R. But it is easy to see that the admissible ring in question is isomorphic
to RhhX1 ; : : : ; Xn ii, since it is the J -adic completion of BŒX1 ; : : : ; Xn ˝B R D
RŒX1 ; : : : ; Xn .
If X and Y are locally Noetherian, it can be shown that our definition of ‘of
finite type’ agrees with that of [54], I, (10.13.1), due to [54], I, (10.13.4); that is, ‘of
finite type’ means that the induced morphism .X; OX =.f 1 J/OX / ! .Y; OY =J/
(where J is an ideal of definition of Y ) is of finite type. In fact, we have the
following more general result.

of finite ideal type. Suppose that Y has an ideal of definition of finite type. Set
Xk D .X; OX = kC1 OX / and Yk D .Y; OY = kC1 / for k 0, and denote by
fk W Xk ! Yk the induced morphism of schemes. Then the following conditions are
equivalent.
(a) f is locally of finite type .resp. of finite type/.
(b) fk is locally of finite type .resp. of finite type/ for k 0.
(c) f0 is locally of finite type .resp. of finite type/.
The proposition follows immediately from the following lemma.
Lemma 1.7.4. Let A be an adic ring with a finitely generated ideal of definition
I and B an IB-adically complete A-algebra. Then the following conditions are
equivalent.
(a) the morphism Spf B ! Spf A is of finite type.
(b) the morphism Spec B=IB ! Spec A=I is of finite type.
(c) B is topologically finitely generated over A.
Proof. Implication (c) H) (b) is clear; the converse follows from [54], I, (6.3.3),
and 0.8.4.2. Implication (c) H) (a) is also clear. Since for any topologically finitely
generated A-algebra C , C =IC is an .A=I /-algebra of finite type, (a) H) (b) fol-
lows.
Corollary 1.7.5. Let f W X ! Y be a morphism of schemes, and Z a closed sub-

scheme of Y of finite presentation. If f is locally of finite type .resp. of finite type/,
then the formal completion
fOW Xj
yf 1 .Z/ ! Yy jZ
Exercises
Exercise I.1.1. Let 'W A ! B be a continuous homomorphism between admissible
rings. Suppose there exists an ideal of definition I A such that IB is an ideal
of definition of B (e.g., A and B are adic rings of finite ideal type and ' is an adic
morphism). Show that the square

Spf B / Spec B

Spf A / Spec A
is Cartesian in the category of topological spaces.
Exercise I.1.2. Let fX g2ƒ be a collection

Q of formal schemes. Show that the
functor Fs ! Sets defined by ` Y !
7 2ƒ Hom Fs .X ; Y / is representable; in
other words, the disjoint sum` 2ƒ X exists in the category Fs. Show, moreover,
that if each X is adic, then 2ƒ X is adic.
Exercise I.1.3. Let X be a formal scheme. Show that, if ; 0 OX are ideals of

definition of X, then C 0 are \ 0 are ideals of definition.
Exercise I.1.4. Let X be an adic formal scheme and an ideal of definition of

X. Suppose that = 2 is a quasi-coherent ideal sheaf of finite type on the scheme
.X; OX = /. Show that is of finite type.
Exercise I.1.5. Let fX g2ƒ and fY` g2M be collections`of formal schemes over
a fixed formal scheme S , and X D 2ƒ X and Y D 2M Y the respective
disjoint sums. Show that the fiber product X S Y is canonically isomorphic to the
disjoint sum of fX S Y g.;/2ƒM .
Exercise I.1.6. Let .A; I / be a pair of finite ideal type, and consider the canonical
maps j W A ! Ay and i W Spf Ay ! Spec A. Show that for any f 2 Ay there exists
g 2 A such that D.f / D D.j.g// D i 1 D.g/.
2. Universally rigid-Noetherian formal schemes 289
Exercise I.1.7. Let S be an adic formal scheme with an ideal of definition of

finite type, and consider the category AcFs=S of adic formal schemes of finite ideal
type adic over S . For any object X of AcFs=S and any integer k 0, we set
Xk D .X; OX = kC1 OX / D X S Sk and define the functor AcFs=S ! SchSk by
X 7! Xk . Varying k, we get the canonical functor
AcFs=S ! Lim SchSk ;
where the latter category is the 2-categorical limit of the categories SchSk for k 0.
Show that this functor is fully faithful, that is, for any formal schemes X; Y adic
over S the canonical map
HomAcFs=S .X; Y / ! lim HomSk .Xk ; Yk /
k
is a bijection.
Exercise I.1.8. Let Y be an adic formal scheme of finite ideal type, and an ideal
of definition of finite type of Y . Let Yk D .Y; OY = kC1 / for k 0. Suppose we
are given an inductive system of schemes fXk gk0 over Y such that
for k l the map Xk ! Xl is a closed immersion whose underlying
continuous mapping is a homeomorphism, and
for k l the kernel of OXl ! OXk coincides with kC1 OXl .
Show that X D lim X is an adic formal schemes of finite ideal type and that
!k0 k
the morphism X ! Y is adic, that is, OX is an ideal of definition of finite type
of X.
Exercise I.1.9. Let X be a formal scheme, A an admissible ring, and f ./ g2ƒ a
fundamental system of ideals of definition on X. Consider on the ring .X; OX /
the topology induced by the filtration f.X; ./ /g2ƒ by ideals. Show that there
exists a canonical bijection between the set of all continuous homomorphisms
A ! .X; OX / and the set of all morphisms X ! Spf A of formal schemes
(cf. [54], I, (2.2.4)).
2 Universally rigid-Noetherian formal schemes

In this section, we introduce two new classes of adic formal schemes, the so-called
.locally/ universally rigid-Noetherian formal schemes and .locally/ universally ad-
hesive formal schemes. The former is based on the ring-theoretic notion of ‘topo-
logically universally Noetherian outside I ’ (0.8.4.3), and the latter on the notion of
‘topologically universally adhesive’ (0.8.5.17). Hence the notion of (locally) univer-
sally adhesive formal schemes is more restrictive than that of (locally) universally
rigid-Noetherian formal schemes. As we will see later, this kind of formal schemes
enjoy many of the nice properties that locally Noetherian formal schemes possess
and thus provide a good generalization of the notion of locally Noetherian formal
schemes, which is often too restrictive for developing general rigid geometry.
First in ÷2.1. (a) we introduce the ring-theoretic notions of t.u. (D topolog-
ically universally) rigid-Noetherian rings and t.u. adhesive rings, before giving
the definition in ÷2.1. (b) of (locally) universally rigid-Noetherian formal schemes
and universally adhesive formal schemes. The notion of locally universally rigid-
Noetherian formal schemes allows one to define locally of finite presentation mor-
phisms, which we discuss in ÷2.2.
It turns out that the category of (locally) universally adhesive formal schemes
contains the category of the so-called admissible formal schemes, which play a
central role in the classical rigid geometry. We briefly recall the definition of ad-
missible formal schemes in ÷2.3. (a), and discuss the interrelations of the several
notions of formal schemes introduced so far in ÷2.3. (b).
2.1 Universally rigid-Noetherian and universally adhesive

formal schemes
2.1. (a) t.u. rigid-Noetherian rings and t.u. adhesive rings
Definition 2.1.1. Let A be an adic ring of finite ideal type and I A an ideal of
definition.
(1) The topological ring A is called a rigid-Noetherian ring if it is Noetherian out-

side I (0.8.1.5 (1)); if it is, furthermore, topologically universally Noetherian
outside I (0.8.4.3), then it is called a topologically universally (abbreviated
as t.u.) rigid-Noetherian ring.
(2) The ring A is called a t.u. adhesive ring if it is I -adically topologically uni-
versally adhesive (0.8.5.17).
It follows immediately from the definition that, if A is t.u. adhesive (resp. t.u.
rigid-Noetherian), then any topologically finitely generated A-algebra is again t.u.
adhesive (resp. t.u. rigid-Noetherian). Since adhesiveness implies Noetherian out-
side I , it follows that ‘t.u. adhesive’ implies ‘t.u. rigid-Noetherian’:
t.u. adhesive H) t.u. rigid-Noetherian H) rigid-Noetherian:
If A is a t.u. adhesive ring and I A is an ideal of definition, then the pair .A; I / is
a complete t.u. adhesive pair. Note that, due to 0.8.2.19, rigid-Noetherian rings are
pseudo-adhesive (0.8.5.1). From 1.1.9 and 0.8.4.7 we readily infer the following
proposition.
Proposition 2.1.2. Let A be a rigid-Noetherian ring. Then for any f 2 A the

I -adic completion map Af ! Aff g is flat. In particular, the map Spf A ! Spec A
of locally ringed spaces is flat .cf. 0.4.1.5 (2)/.
Remark 2.1.3. By 0.8.4.8, if A is t.u. rigid-Noetherian ring, then the pair .A; I /
is a complete t.u. pseudo-adhesive pair (0.8.5.17). Hence, in particular, a t.u. rigid-
Noetherian ring A enjoys the following property:
for any n 0 and m 0, any A-algebra of the form
AhhX1 ; : : : ; Xn iiŒY1 ; : : : ; Ym;
together with the ideal of definition IAhhX1 ; : : : ; Xn iiŒY1 ; : : : ; Ym, satis-
fies (BT) in 0, ÷8.2. (a) and (AP) in 0, ÷7.4. (c).
Then by 0.8.2.18 we have that
if A is t.u. rigid-Noetherian, then any finitely generated A-module M is
I -adically complete and, moreover, any A-submodule N M is closed in
M and I -adically complete (0.7.4.18), and
if B is an A-algebra of finite type, then the map B ! By defined by I -adic
completion is flat.
Examples 2.1.4. (1) Any Noetherian adic ring is t.u. adhesive. Indeed, if A is a
Noetherian adic ring with an ideal of definition I A, then it is I -adically uni-
versally adhesive (0.8.5.13); if B is an A-algebra of finite type (hence Noetherian),
then the I -adic completion of B is again Noetherian, and hence is I -adically uni-
versally adhesive.
(2) Let V be an a-adically complete valuation ring (of arbitrary height), where
a 2 mV nf0g. By Gabber’s theorem (0.9.2.7), the topological ring V is t.u. adhesive.
Hence any topologically finitely generated V -algebra, that is, a topological algebra
over type (V) (cf. 0, ÷9), is t.u. adhesive.
Using 2.1.2, one can prove the following proposition similarly to 1.4.7.
Proposition 2.1.5. Let A be a rigid-Noetherian ring and I A a finitely generated
ideal of definition. Then for X D Spec A, Y D Spec A=I , and Xy D Spf A, both (1)
and (2) in 1.4.7 hold true.
Let us finally mention that the formal fpqc patching principle holds for the prop-
erties ‘t.u. rigid-Noetherian’ and ‘t.u. adhesive’.
Proposition 2.1.6. Let A ! B be an adic morphism between adic rings of finite
ideal type, and I A a finitely generated ideal of definition of A. Suppose that
for any k 0 the induced map A=I kC1 ! B=I kC1 B is faithfully flat. If B is t.u.
rigid-Noetherian .resp. t.u. adhesive/, then so is A. Moreover, in this situation, the
map AhhX1 ; : : : ; Xn ii ! BhhX1 ; : : : ; Xn ii is faithfully flat for any n 0.
Proof. By 0.8.3.10 AhhX1 ; : : : ; Xn ii is Noetherian outside IAhhX1 ; : : : ; Xn ii and

the map AhhX1 ; : : : ; Xn ii ! BhhX1 ; : : : ; Xn ii is faithfully flat. By 0.8.5.6 (2), if
BhhX1 ; : : : ; Xn ii is universally adhesive, then so is AhhX1 ; : : : ; Xn ii.
2.1. (b) Universally adhesive and universally rigid-Noetherian

formal schemes
Definition 2.1.7. A formal scheme X is locally universally rigid-Noetherian
S (resp.
locally universally adhesive) if there exists an affine open covering X D ˛2L U˛
such that each U˛ is isomorphic to Spf A˛ with A˛ t.u. rigid-Noetherian (resp. t.u.
adhesive). If X is, moreover, quasi-compact, we say that X is universally rigid-
Noetherian (resp. universally adhesive).
Locally universally rigid-Noetherian (resp. locally universally adhesive) for-
mal schemes are, by definition, adic of finite ideal type (1.1.14, 1.1.16). Note
also that locally universally adhesive formal schemes are locally universally rigid-
Noetherian. Since the properties ‘t.u. adhesive’ and ‘t.u. right-Noetherian’ are
closed under topologically finitely generated extension, we have the following re-
sult (cf. 1.1.17).
Proposition 2.1.8. Let X be a locally universally rigid-Noetherian .resp. locally
universally adhesive/ formal scheme and X 0 ! X a locally of finite type morphism
of adic formal schemes of finite ideal type. Then X 0 is locally universally rigid-
Noetherian .resp. locally universally adhesive/.
Proposition 2.1.9. An affine formal scheme Spf A, where A is an adic ring of fi-
nite ideal type, is universally rigid-Noetherian .resp. universally adhesive/ if and
only if the topological ring A is t.u. rigid-Noetherian (2.1.1 (1)) .resp. t.u. adhe-
sive (2.1.1 (2))/.
Proof.
` The ‘if’ part is clear. To show the converse, take a finite affine covering
˛2L Spf A˛ ! Spf A such that each A˛ isQ t.u. rigid-Noetherian (resp. t.u. adhe-
sive). Applying 2.1.6 to the map A ! B D ˛2L A˛ (cf. 0.8.5.6 (1)), we deduce
that A is t.u. rigid-Noetherian (resp. t.u. adhesive), as desired.
Corollary 2.1.10. Let A be a t.u. rigid-Noetherian .resp. t.u. adhesive/ ring, and
X a formal scheme locally of finite type over Spf A. Then X is locally universally
rigid-Noetherian .resp. locally universally adhesive/.
f g
Proposition 2.1.11. Let X ! Z Y be a diagram of adic formal schemes.
Suppose that X is locally universally rigid-Noetherian .resp. locally universally
adhesive/ and that g is locally of finite type. Then the fiber product X Z Y in the
category of formal schemes is locally universally rigid-Noetherian .resp. locally
universally adhesive/, and the projection X Z Y ! X is adic.
Proof. The first assertion follows from the fact that X Z Y is locally of finite type
over X (1.7.2 (4)). The other assertion follows from 1.3.6 (3).
Examples 2.1.12. (1) Any locally Noetherian formal scheme is locally universally
adhesive; this follows from what we have seen in 2.1.4 (1).
(2) Let V be as in 2.1.4 (2), and consider the affine formal scheme Spf V .
By 2.1.9, Spf V is a universally adhesive formal scheme. Hence, by 2.1.10, any
formal scheme locally of finite type over Spf V is universally adhesive.
2.1. (c) Categories of universally rigid-Noetherian formal schemes. We often

use the following notations for categories:
RigNoeFs D the category of locally universally rigid-Noetherian formal
schemes;
RigNoeFs D the category of locally universally rigid-Noetherian formal
schemes with adic morphisms;
RigNoeFs=S D the category of locally universally rigid-Noetherian formal
schemes adic over S .
The similar categories of locally universally adhesive formal schemes are like-
wise denoted by AdhFs, AdhFs , and AdhFs=S , respectively.
We also define RigNoeFsS , RigNoeFsS , AdhFsS , AdhFsS etc. in the usual
way for any formal scheme S ; note that in the categories RigNoeFsS and AdhFsS
all arrows are adic, but neither the base S nor the structural map X ! S are
assumed to be adic. Note also that in RigNoeFs=S and AdhFs=S the base formal
scheme S , necessarily adic of finite type, is not required to be locally universally
adhesive nor locally universally rigid-Noetherian.
We also have the following ‘coherent versions’ of the above categories:
RigNoeCFs D the category of coherent universally rigid-Noetherian formal
schemes;
RigNoeCFs D the category of coherent universally rigid-Noetherian for-
mal schemes with adic morphisms;
RigNoeCFs=S D the category of coherent universally rigid-Noetherian for-
mal schemes adic over S ;
and also their ‘affine versions’:
AfRigNoeFs D the category of affine universally rigid-Noetherian formal
schemes;
AfRigNoeFs D the category of affine universally rigid-Noetherian formal
schemes with adic morphisms;
AfRigNoeFs=S D the category of affine universally rigid-Noetherian for-

mal schemes adic over S .
Similar rules of notation are also employed for coherent and affine universally
adhesive formal schemes; for example, AdhCFs denotes the category of coherent
universally adhesive formal schemes with adic morphisms, etc.
2.2 Morphisms of finite presentation

Definition 2.2.1. A morphism f W X ! Y of locally universally rigid-Noetherian
formal schemes is said to be locally of finite presentation if
(a) f is adic (1.3.1) and
(b) there exist an affine open covering fV˛ g of Y with V˛ D Spf B˛ , where
each B˛ is an adic ring of finite ideal type, and for each ˛ an affine open
covering fU˛ˇ gˇ of f 1 .V˛ / with U˛ˇ D Spf A˛ˇ , where each A˛ˇ is an
adic ring topologically finitely presented over B˛ (0.8.4.1).
The morphism f is said to be of finite presentation if it is locally of finite presenta-
tion and quasi-compact (1.6.1).
Proposition 2.2.2. (1) An open immersion between locally universally rigid-Noe-
therian formal schemes is locally of finite presentation.
(2) The composition of two morphisms locally of finite presentation .resp. of fi-
nite presentation/ is again locally of finite presentation .resp. of finite presentation/.
(3) Let X,X 0,Y , and Y 0be locally universally rigid-Noetherian formal schemes
adic over an adic formal scheme S of finite ideal type, and let f W X ! X 0 and
gW Y ! Y 0 be two S -morphisms. Suppose X 0 S Y 0 is locally universally rigid-
Noetherian. Then if f and g are locally of finite presentation .resp. of finite
presentation/, so is
f S gW X S Y ! X 0 S Y 0 :
(4) If S is an adic formal scheme of finite ideal type and if f W X ! Y is

an S -morphism locally of finite presentation .resp. of finite presentation/ between
locally universally rigid-Noetherian formal schemes adic over S , then for any mor-
phism S 0 ! S of adic formal schemes of finite ideal type such that Y S S 0 is
universally rigid Noetherian,
fS 0 W X S S 0 ! Y S S 0
is locally of finite presentation .resp. of finite presentation/.

Proof. For a t.u. rigid-Noetherian ring A and f 2 A, the ring
Aff g Š AhhT ii=.f T 1/
(1.1.9) is topologically of finitely presentation over A, whence (1).

(2) is easy to see.
To show (3), we may work in the affine situation. Let .R; I / be a complete pair,
and consider the morphisms of t.u. rigid-Noetherian rings, all adic over R,
A ! AhhX1 ; : : : ; Xn ii=a; and B ! BhhY1 ; : : : ; Ymii=b;
where a and b are finitely generated, hence closed (2.1.3), ideals. We want to show
that the closure of the ideal generated by the image of
c D a ˝ BhhY1 ; : : : ; Ym ii C AhhX1 ; : : : ; Xn ii ˝ b
in the ring
AhhX1 ; : : : ; Xn ii b̋ R BhhY1 ; : : : ; Ymii D .A b̋ R B/hhX1 ; : : : ; Xn ; Y1 ; : : : ; Ymii
is finitely generated. But since A b̋ R B is assumed to be t.u. rigid-Noetherian, the

ideal generated by the image of c is already closed (2.1.3), whence (3).
(4) also follows from the affine local observation as follows. Let S D Spf R,
where R is an adic ring of finite ideal type, and Y D Spf B, where B is t.u. rigid-
Noetherian and adic over R. Let X D Spf A with A D BhhX1 ; : : : ; Xn ii=a, where
a is finitely generated ideal, and S 0 D Spf R0 , where R0 is an adic ring of finite
ideal type that is adic over R. We need to prove that the morphism
Spf A b̋ R R0 ! Spf B b̋ R R0
is finitely presented if B b̋ R R0 is t.u. rigid-Noetherian. Set B 0 D B b̋ R R0 . We have

A b̋ R R0 D B 0 hhX1 ; : : : ; Xn ii=b, where b is the closure of aB 0 hhX1 ; : : : ; Xn ii. Since
the ring A b̋ R R0 is t.u. rigid-Noetherian, the ideal aB 0 hhX1 ; : : : ; Xn ii is already
closed, and hence b D aB 0 hhX1 ; : : : ; Xn ii, which is finitely generated.
Proposition 2.2.3. Let A be a t.u. rigid-Noetherian ring, I A a finitely generated

ideal of definition, and B a topologically finitely generated A-algebra. Then the
(a) The morphism Spf B ! Spf A is of finite presentation.
(b) The morphism Spec B=I kC1 B ! Spec A=I kC1 is of finite presentation for
any k 0.
(c) B is topologically finitely presented over A.
Proof. Implications (c) H) (a) H) (b) are obvious, while implication (b) H) (c)
follows from 0.8.4.5.
Corollary 2.2.4. Let f W X ! Y be an adic morphism of locally universally rigid-

Noetherian formal schemes. Suppose that Y has an ideal of definition of finite
type. Set Xk D .X; OX = kC1 OX / and Yk D .Y; OY = kC1 / for k 0, and denote
by fk W Xk ! Yk the induced morphism of schemes. Then the following conditions
are equivalent:
(a) f is locally of finite presentation .resp. of finite presentation/.
(b) fk is locally of finite presentation .resp. of finite presentation/ for any
k 0.
2.3 Relation with other notions

2.3. (a) Admissible formal schemes
Proposition 2.3.1. Let Y be a locally universally adhesive formal scheme and

f W X ! Y a morphism locally of finite type .resp. of finite type/. Suppose that
S
./ there exist an open covering X D ˛2L U˛ and for each ˛ 2 L an ideal
of definition ˛ of finite type on U˛ such that OU˛ is ˛ -torsion free.
Then f is locally of finite presentation .resp. of finite presentation/.
Proof. The assertion follows from the following argument. Let B be a t.u. ad-
hesive ring with a finitely generated ideal of definition I B, and consider
A D BhhX1 ; : : : ; Xn ii=a, where a is an ideal. Suppose A is I -torsion free. Since
B is t.u. adhesive, the pair .BhhX1 ; : : : ; Xn ii; IBhhX1 ; : : : ; Xn ii/ is adhesive. Since
A is I -torsion free, we deduce from 0.8.5.3 that A is finitely presented as a module
over BhhX1 ; : : : ; Xn ii or, equivalently, that a is finitely generated.
Corollary 2.3.2. Let V be an a-adically complete valuation ring .of arbitrary

height/ where a 2 mV n f0g, and X a formal scheme locally of finite type over
Spf V . Suppose that the structure sheaf OX is a-torsion free. Then X is locally of
finite presentation over Spf V .
Note that a V -algebra A is a-torsion free if and only if it is flat over V (Ex-
ercise 0.6.3). In classical rigid geometry the so-called admissible formal schemes
play a central role; cf. [19], ÷1.
Definition 2.3.3. An admissible formal scheme is a formal scheme X locally of

finite type over Spf V , where V is an a-adically complete valuation ring (that is
a 2 mV n f0g) of height one, such that the structure sheaf OX is a-torsion free.
3. Adically quasi-coherent sheaves 297
It follows from 2.3.2 that any admissible formal scheme is locally of finite pre-
sentation over Spf V .
Remark 2.3.4. Let V be an a-adically complete valuation ring (where

a 2 mV n f0g) of arbitrary height, and X a formal scheme p locally of finite type
over S D Spf V such that OX is a-torsion free. Let p D aV be the associated
height-one prime of V (0.6.7.4), and set V 0 D Vp , which is an a-adically complete
valuation ring of height one (0.9.1.10). Then in view of 0.9.2.4 the base change
X S S 0 (where S 0 D Spf V 0 ) is an admissible formal scheme.
2.3. (b) Interrelations between the classes. Finally, let us exhibit interrelations
between the classes of formal schemes introduced so far. Let NoeFs be the cate-
gory of locally Noetherian formal schemes with adic morphisms, which is, in fact,
a full subcategory of AdhFs (2.1.12 (1)). Hence one can draw the diagram

NoeFs / AdhFs / AcFs / Fs
O O
()
? ?
Fsfin=DVR / Fsfin=Val :
Here Fsfin=DVR denotes the full subcategory of NoeFs consisting of formal schemes
locally of finite type over a complete discrete valuation ring, and Fsfin=Val is the full
subcategory of AdhFs consisting of formal schemes locally of finite type over an
a-adically complete valuation ring of arbitrary height (cf. 2.1.12 (2)). Note that the
category RigNoeFs of locally universally rigid-Noetherian formal schemes lies
between NoeFs and AdhFs . Moreover,
the first two inclusions in the first row are fully faithful, whereas the last
one is only faithful;
only Fs in ./ has a final object (cf. 1.1.15);
3 Adically quasi-coherent sheaves

From now on, we deal mainly with adic formal schemes of finite ideal type. On
such formal schemes, a reasonable class of OX -module sheaves is provided by the
so-called adically quasi-coherent .a.q.c./ sheaves, which we are going to discuss
in this section. They are complete (3.1.1 (2)) OX -modules such that the truncated
pieces (that is, the sheaves obtained by taking the quotient by the ideals of defi-
nition) are quasi-coherent sheaves on the induced schemes. In ÷3.1 we give the
general definition of adically quasi-coherent sheaves and discuss some of their gen-
eral properties.
In the affine situation, as we will discuss in ÷3.2, adically quasi-coherent sheaves

are obtained by the ‘-construction’ ([54], I, (10.10.1)), that is, the sheaves on
X D Spf A of the form M for an A-module M . In fact, if A is an adic ring of finite
ideal type (1.1.6), then the -construction gives rise to a categorical equivalence
between the category of complete A-modules and the category of adically quasi-
coherent sheaves on X D Spf A (3.2.8 (2)).
After discussing adically quasi-coherent sheaves as projective limits of quasi-
coherent sheaves on schemes in ÷3.4, we examine the case where the formal
schemes are locally universally rigid-Noetherian in ÷3.5. The notion of adically
quasi-coherent sheaves in this particular situation turns out to be much more
tractable. For example, the above-mentioned categorical equivalence restricted to
finitely generated modules and a.q.c. sheaves of finite type is an exact equivalence
if X D Spf A is universally rigid-Noetherian (3.5.6).
In the final subsection ÷3.7, we discuss the so-called admissible ideals, which
are, so to speak, the sheaf version of I -admissible ideals (0.8.1.2). This class of
ideals contains the ideals of definition and has a lot of nice properties. One of
them is the ‘extension property’, which is most significantly shown in 3.7.11 below.
In pursuing the extension properties of admissible ideals, we will obtain in ÷3.7 a
technically remarkable result saying that any coherent (1.6.6) adic formal scheme
of finite ideal type admits an ideal of definition of finite type (3.7.12), a generaliza-
tion of the known fact that any Noetherian formal scheme has a coherent ideal of
definition (cf. 1.1.26).
3.1 Complete sheaves and adically quasi-coherent sheaves
3.1. (a) Hausdorff completion of OX -modules. Let X be an adic formal scheme

of finite ideal type, and suppose for the time being that X has an ideal of defi-
nition of finite type. In this situation, f kC1 gk0 gives a fundamental system
of ideals of definition of X (1.1.24). For k 0, we set Xk D .X; OX = kC1 /.
This is a scheme having the same underlying topological space as X, and fXk gk0
forms a filtered inductive system of schemes together with the closed immersions
Xk ,! Xl as the transition maps for all k l. Moreover, the formal scheme X
coincides with the inductive limit of this system, X D lim Xk (1.4.1), or equiva-
!k
lently, the structure sheaf OX is the projective limit (cf. 0, ÷3.2. (c))
OX D lim OXk
k
as a sheaf of topological rings on the topological space X.

For an OX -module F we set

Fk D F = kC1 F
for k 0. This is an OXk -module on the scheme Xk , and the resulting system
fFk gk0 together with the obvious transition morphisms is a filtered projective
system of abelian sheaves on the topological space X, which admits the compat-
ible action of the projective system of rings fOXk gk0 ; that is, each Fk is an
OXk -module and the transition maps Fl ! Fk (k l) are compatible with the
maps OXl ! OXk . Consequently, the projective limit
Fy D lim Fk
k
has the canonical OX -module structure, and the canonical morphism

iF W F ! Fy
is a morphism of OX -modules. Note that the definition of Fy does not depend on the
choice of the ideal of definition ; indeed, the above projective limit coincides with
the projective limit lim .F =JF /, where J runs over the filtered set of all ideals of
J
definition on X ordered by reversed inclusion, and for a fixed ideal of definition
of finite type, the collection f kC1 gk0 gives a cofinal subset.
By the last-mentioned fact, for a given OX -module F we can define Fy up to
canonical isomorphism even in the case where X does not have an ideal of def-
inition; indeed, since X has locally an ideal of definition of finite type, one can
define Fy locally on X, and then glue together the local version by canonical iso-
morphisms. The canonical morphism F ! Fy can be likewise defined.
Definition 3.1.1. Let X be an adic formal scheme of finite ideal type, and F an
OX -module.
(1) The above-defined OX -module Fy together with the canonical morphism
iF W F ! Fy is called the completion of F .
(2) We say that F is complete if iF W F ! Fy is an isomorphism.
3.1. (b) Adically quasi-coherent (a.q.c.) sheaves

Lemma 3.1.2. Let X be an adic formal scheme of finite ideal type, and an ideal
of definition of finite type of X. Let F be an OX -module. Then the following
(a) For any k 0, Fk D F = kC1 F is a quasi-coherent sheaf on the scheme
Xk D .X; OX = kC1 /.
(b) For any ideal of definition J of X, F =JF is a quasi-coherent sheaf on the
scheme .X; OX =J/.
Proof. Implication (b) H) (a) is trivial. Now suppose that (a) holds. Since the
conditions are local on X, we may assume that X is affine (hence, in particular,
the underlying topological space is quasi-compact). For any ideal of definition J
we can find a positive integer k such that kC1 J. Consider the closed immer-
sion i W .X; OX =J/ ,! Xk D .X; OX = kC1 /. The sheaf F =JF on .X; OX =J/
coincides with i Fk , which is quasi-coherent.
Definition 3.1.3. (1) Let X be an adic formal scheme of finite ideal type, and F
an OX -module. We say that F is adically quasi-coherent (acronym: a.q.c.) if the
following conditions are satisfied.
(a) F is complete.
(b) For any open subset U X considered as an open formal subscheme
(see ÷1.1. (c)) and for any ideal of definition of finite type of U , the sheaf
.F jU /= .F jU / is a quasi-coherent sheaf on the scheme .U; OU = /.
(2) An adically quasi-coherent sheaf F on X is said to be of finite type if it is
of finite type as an OX -module.
(3) A morphism between adically quasi-coherent sheaves is a morphism of
OX -modules.
By 3.1.2, (b) is equivalent to
S
.b/0 there exist an open covering X D ˛2L U˛ and for each ˛ 2 L an
ideal of definition ˛ of finite type of U˛ , such that for any ˛ 2 L and
k 0, .F jU˛ /= ˛kC1 .F jU˛ / is a quasi-coherent sheaf on the scheme
.U˛ ; OU˛ = ˛kC1 /.
If X itself has an ideal of definition of finite type, then again by 3.1.2 the last
condition is equivalent to, with the notation as in 3.1.2, Fk being quasi-coherent on
Xk for any k 0.
Note that any morphism of adically quasi-coherent sheaves on X is continuous
in the following sense. If X has an ideal of definition of finite type, such a mor-
phism f W F ! G induces the morphism fk W Fk ! Gk of quasi-coherent sheaves
on Xk for k 0 and coincides with the projective limit of ffk g.
We denote by AQCohX the category of adically quasi-coherent sheaves on an
adic formal scheme X of finite ideal type.
Proposition 3.1.4. Let X be an adic formal scheme of finite ideal type.
(1) The structure sheaf OX is adically quasi-coherent of finite type.
(2) Any ideal of definition of X is an adically quasi-coherent ideal of OX .
(3) If is an ideal of definition and F is an adically quasi-coherent sheaf, then
F is again an adically quasi-coherent sheaf.
Proof. (1) is clear. (2) follows from (3) applied to F D OX . To show (3), since the
question is local on X, we may assume that there exists an ideal of definition J of
finite type such that n J . We first look at the exact sequence
0 ! F =J kC1 F ! F =J kC1 F ! F = F !0
of OX -modules for k 1. Since F =J kC1 F and F = F are quasi-coherent
sheaves on the scheme Xk D .X; OX =J kC1 / (3.1.2), we deduce that F =J kC1 F
is quasi-coherent. Then by 1.1.23 (1) we see that
0 ! lim F =J kC1 F !F ! F = F !0
k1
is exact and hence that F D lim F =J kC1 F . This shows that F is com-
k1
plete, for we have J kCn 1
F JkC1
F J k F for any k 1.
The following proposition is clear.
Proposition 3.1.5. Let X be a scheme, and Y X a closed subscheme of finite
presentation. Consider the formal completion Xy jY .cf. 1.4.4/. If F is a quasi-
coherent sheaf on X, then its formal completion Fy jY (÷1.4. (c)) is a.q.c.
3.2 A.q.c. sheaves on affine formal schemes

3.2. (a) -sheaves. We first recall the definition of the sheaf of OX -modules M
on an adic formal scheme X D Spf A associated to an A-module M ([54], I,
(10.10.1)). Let I A be an ideal of definition, and set Xk D Spec A=I kC1
for k 0; we have X D lim Xk (1.4.1). For an A-module M , Mk D M=I kC1 M
!k
z k on the scheme Xk . Then
defines the quasi-coherent sheaf M
zk ;
M D lim M
k0
which is a sheaf of OX -modules on X. Here is an alternative definition of M ,

equivalent up to canonical isomorphism to the above one: the sheaf M is the
formal completion My
z jX0 (÷1.4. (c)) of the quasi-coherent sheaf M
z on Spec A along
the closed subscheme X0 D Spec A=I , that is, the sheaf lim M z =I kC1 M
z restricted
k
to the topological space X.
Note that for any open ideal J A, the sheaf J thus constructed coincides
with the one given in ÷1.1. (d); indeed, if I A is an ideal of definition contained
in J , then, since I kC1 J I kC1 I k J for any k 0, we have lim B
J =I kC1 Š
k0
lim D
J =I kC1 J .
k0
The construction of M induces an additive functor
W ModA ! ModX ; M 7 ! M ;
from the category of A-modules to the category of OX -modules.

Proposition 3.2.1. We have
.X; M / D MI^ ;
where MI^ denotes the Hausdorff completion of M with respect to the I -adic topol-
ogy (0, ÷7.1. (c)). More generally, for an affine open set U D Spf Aff g with f 2 A,
we have
.U; M / D .Mf /I^ ;
where Mf D M ˝A Af .
Proof. Indeed, one calculates
z k / D lim Mf =I kC1 Mf D .Mf /I^ :
z k / D lim .U; M
.U; M / D .U; lim M
k0 k0 k0

3.2. (b) Adically quasi-coherent -sheaves

Proposition 3.2.2. Let A be an adic ring, and I A a finitely generated ideal.
Set X D Spf A and D I . Let M be an A-module, and consider the sheaf M
on X. We have
M = kC1 M Š M zk ;
where Mk D M=I kC1 M for k 0, and the sheaf M is complete (3.1.1 (2)). In
particular, M is an a.q.c. sheaf on X.
To show the proposition, we first prove the following lemma.
Lemma 3.2.3 (cf. 0.7.4.13; see also 3.5.3 below). Let A be an adic ring with a
finitely generated ideal of definition I , M an A-module, and N M an A-sub-
module open with respect to the I -adic topology on M . Then the sequence
0 ! N ! M ! .M=N / ! 0
given by the canonical maps is exact.

Proof. Take n 0 such that I nC1 M N , and consider the exact sequence
D e
0 ! N=I kC1 M ! Mk ! M =N ! 0 A
of quasi-coherent sheaves on Xk for k n. Since I kC1 N I kC1 M I k n

N,
we have lim DMkC1
N=I Š N . Moreover, since N is open in M , we have
k
A
M =N D .M=N / . Hence, taking projective limits along k, we get the desired
exact sequence by using 1.1.23 (1).
I A, and M an A-module. Set D I . Then for any k 0 we have
.I kC1 M / D kC1 M D I kC1 M
as sheaves on X D Spf A.
Proof. We remark that kC1 M is the associated sheaf of the presheaf given by
U 7! .U; kC1 / .U; M / ([54], 0I , (4.1.6)). By 1.1.21, we have .U; kC1 /
.U; M / D I kC1 M yf for U D Spf Aff g , where M yf is the I -adic completion of
kC1 y yf (0.7.2.9), it is I -adically
Mf (0.7.2.16). Since I Mf is a closed subset of M
complete (0.7.4.12); it then coincides with the I -adic completion of I kC1 Mf and
hence with .U; .I kC1 M / /, whence the result.
z k for k 0.
Proof of Proposition 3.2.2. By 3.2.3 and 3.2.4, M = kC1 M D M
Since
zk D M ;
lim M = kC1 M D lim M
k0 k0
the sheaf M is complete, as desired.
Proposition 3.2.5. Let A be an adic ring of finite ideal type, and M ! N a

surjective homomorphism of A-modules. Then the induced morphism M ! N
of sheaves on X D Spf A is surjective.
Proof. Let I A be a finitely generated ideal of definition. Since for k 0 the

induced map Mk D M=I kC1 M ! Nk D N=I kC1 N is surjective, M z k ! Nzk is
z
surjective. By 3.2.4, we have Mk D .M /k D M =I kC1
M , etc. Let Kk be
the kernel of the surjection .M /k ! .N /k . Consider the commutative diagram
with exact rows and columns
0 0

./
I kC1 .M /l / I kC1 .N /l

0 / Kl / .M /l / .N /l /0

0 / Kk / .M /k / .N /k /0

0 0
for k l. Since the map ./ is surjective, the snake lemma shows that the map
Kl ! Kk is surjective, that is, the projective system fKk gk0 of quasi-coherent
sheaves is strict. Hence, by 1.1.23 (1),
M D lim .M /k ! N D lim .N /k
k0 k0
is surjective, as desired.
Corollary 3.2.6. Let A be an adic ring of finite ideal type and M a finitely gener-
ated A-module. Then M is an a.q.c. sheaf of finite type.
Proof. Take a surjection A˚n ! M . Then we have the surjection
OX˚n D .A˚n / ! M :
Proposition 3.2.7. Let A be an adic ring with a finitely generated ideal of defini-
tion I A, and set X D Spf A. Let F .resp. B/ be an OX -module .resp. an
OX -algebra/. Then the following conditions are equivalent.
(a) There exist an affine open covering fU˛ g˛2L of X with U˛ D Spf Aff˛ g
and for each ˛ 2 L an IAff˛ g -adically complete Aff˛ g -module M˛ .resp.
Aff˛ g -algebra B˛ /, such that F jU˛ Š M˛ .resp. BjU˛ Š B˛ /.
(b) There exists an I -adically complete A-module M .resp. A-algebra B/ such
that F Š M .resp. B Š B /.
(c) F .resp. B/ is an a.q.c. sheaf .resp. an a.q.c. OX -algebra/ on X.
Moreover, if F Š M as in (b), F is of finite type if and only if M D .X; F / is
finitely generated.
Proof. First we show the assertion for the sheaf F of modules. (b) H) (a) is trivial,
and (a) H) (c) follows from 3.2.2. Let us show (c) H) (b). Set D I and
Fk D F = kC1 F for k 0; each Fk is a quasi-coherent sheaf on the scheme
Xk D Spec A=I kC1 . Let Mk D .Xk ; Fk /. These A-modules constitute a strict
projective system fMk gk0 . Set M D lim Mk , and let F .n/ be the kernel
k0
of the surjective map M ! Mn 1 for each n 1. Then by 0.7.2.14 we have
F .n/ D I n M for n 1, and hence M is I -adically complete. Moreover, by 3.2.4,
z k D lim M = kC1 M D M :
F D lim Fk D lim M
k0 k0 k0
The last assertion follows from 3.2.6 and the following observation: if F is of
finite type, then M0 D M=F .1/ is finitely generated, and hence by the last part
of 0.7.2.14 M is finitely generated.
For the sheaf B of algebras implications (b) H) (a) and (a) H) (c) are also
clear. To show (c) H) (b), we set Bk D B= kC1 B and Bk D .Xk ; Bk / for
each k 0 and define B D lim Bk . We know that the map Bl ! Bk for k l
k0
is surjective with the kernel equal to I kC1 Bl . Hence, by 0.7.2.12, B is IB-adically
complete and B=I kC1 D Bk for k 0. The rest of the argument is similar to the
module case.
Theorem 3.2.8. Let X D Spf A, where A is an adic ring of finite ideal type, and
consider the functor
M 7 ! M ()
as in ÷3.2. (a).
(1) If M is an I -adically complete A-module, then
.X; M / D M:
(2) The functor ./ gives a categorical equivalence between the category of
I -adically complete A-modules .resp. I -adically complete finitely generated
A-modules, resp. I -adically complete A-algebras/ and the category of a.q.c.
sheaves .resp. a.q.c. sheaves of finite type, resp. adically quasi-coherent
OX -algebras/ on X. The quasi-inverse functor is given by
F 7 ! .X; F /:
(1) follows from 3.2.1. The other assertion follows from 3.2.7 and the following
lemma.
Lemma 3.2.9. In the situation as in 3.2.8, let M and N be I -adically complete

A-modules. Then the canonical map

HomA .M; N / ! HomOX .M ; N / ()
is an isomorphism. The analogous statement with M; N replaced by I -adically

complete A-algebras and the morphisms replaced by algebra homomorphisms is
also true.
Proof. Given a morphism 'W M ! N , we have X .'/W M ! N and thus
X .'/ W M ! N . We claim that ' D X .'/ . To show this, we first show
z k D M = kC1 M ! Nzk D
X .'k / D X .'/ ˝A Ak for k 0, where 'k W M
kC1
N = N (where D I ) is the induced map (cf. 3.2.4) and Ak D A=I kC1 .

By 1.1.23 (2) we have the commutative diagram with exact rows
0 / .X; kC1 M / / .X; M / zk /

/ .X; M /0
.'/ .'k /

0 / .X; kC1 N / / .X; N / zk /
/ .X; N / 0.
Here we used the fact that kC1 M and kC1 N are a.q.c. sheaves on X due
to 3.1.4 (3) and hence have vanishing higher cohomologies due to 1.1.23 (2).
By 3.2.4, .X; kC1 M / D I kC1 M and .X; kC1 N / D I kC1 N (here we
used the assumption that M and N are finitely generated) and hence X .'k / D
X .'/ ˝A Ak , as desired. Then,
F B
X .'/ D lim X .'/ ˝A Ak D lim X .'k / D lim 'k D ';
k0 k0 k0
which shows our claim. In particular, we have shown that the map ./ in question
is surjective. Since for any homomorphism f W M ! N of A-modules we clearly
have X .f / D f (by 0.3.2.9), ./ is injective. This concludes the proof of the
first statement. The other assertion (for morphisms between I -adically complete
A-algebras) is shown similarly.
3.3 A.q.c. algebras of finite type

Definition 3.3.1. Let X be an adic formal scheme of finite ideal type. We say
that an adically Squasi-coherent OX -algebra B is of finite type if there exist an open
covering X D ˛2L U˛ , and an ideal of definition of finite type ˛ on each U˛ ,
such that B= ˛ B for each ˛ is a quasi-coherent algebra of finite type on the scheme
.U˛ ; OU˛ = ˛ /.
Using 0.8.4.2 (applied to the case where I is nilpotent) we readily see that the
required condition does not depend on the choice of the open covering and the ideal
of definitions. In particular, we have the following proposition.
Proposition 3.3.2. Let X be an adic formal scheme of finite ideal type, and B an
a.q.c. OX -algebra of finite type. Then for any open subspace U X that admits
an ideal of definition of finite type, B= B is a quasi-coherent algebra of finite
type on the scheme .U; OU = /.
Proposition 3.3.3. Let A be an adic ring of finite ideal type, and set X D Spf A.
Let B be an adically quasi-coherent OX -algebra. Then B is of finite type if and
only if B D .X; B/ is a topologically finitely generated A-algebra.
Proof. In view of 3.2.8 (2), B is an I -adically complete A-algebra where I A

A
is a finitely generated ideal of definition. Since B=IB D B= B on Spec A=I , the
result follows from 0.8.4.2.
3.4 A.q.c. sheaves as projective limits

Proposition 3.4.1. Let X be an adic formal scheme of finite ideal type and an
ideal of definition of finite type. Set Xk D .X; OX = kC1 /. Suppose we have a
projective system fFk ; 'ij gi 2N of OX -modules such that
(a) for each k 0, kC1 Fk D 0 and Fk is a quasi-coherent sheaf on the
scheme Xk , and
(b) for any i j the morphism 'ij W Fj ! Fi is a surjective map with the
kernel equal to i C1 Fj .
Then the projective limit F D lim Fk is an a.q.c. sheaf on X such that
k
F = kC1 F Š Fk for each k 0.
Moreover, if F0 is of finite type, then F is of finite type.
Proof. We may assume that X is affine, X D Spf A with D I , where I is a

finitely generated ideal of definition of A. We have Xk D Spec Ak , where Ak D
A=I kC1 for any k 0. Take for each k the Ak -module Mk such that Fk D M zk .
Then we have the projective system fMk ; fij g of A-modules such that for each
i j the transition map fij W Mj ! Mi is surjective with the kernel I i C1 Mj .
Set M D lim Mk and for each i denote by fi W M ! Mi the projection map. Set
k
F .n/ D ker.fn 1 / for n 1. Then by 0.7.2.14 M is an I -adically complete finitely
generated A-module, and F .n/ D I n M for all n 1. If F0 is of finite type, then
M0 D M=F .1/ is finitely generated, and hence M is finitely generated.
Now consider the open subset U D Spf Afgg of X for any g 2 A; we have
.U; F / D lim .U; Fk / D lim.Mk ˝A Ag / D M b̋A Afgg ;

k k
which coincides with .U; M /, as calculated in 3.2.1. Hence we have F D M ,

which is an adically quasi-coherent sheaf (3.2.2). Moreover, by 3.2.4,
z k D Fk ;
F = kC1 F D M = kC1 M D M
as desired.
One can show the following analogous statement for adically quasi-coherent
algebras; the proof is similar (cf. the proof of 3.2.7).
Proposition 3.4.2. Let X be an adic formal scheme of finite ideal type, and an
ideal of definition of finite type. Set Xk D .X; OX = kC1 /. Suppose we have a
projective system fBk ; 'ij gi 2N of OX -algebras such that
(a) for each k 0, kC1 Bk D 0, and the sheaf Bk is a quasi-coherent algebra
on the scheme Xk , and
(b) for any i j , the morphism 'ij W Bj ! Bi is a surjective map with the
kernel equal to i C1 Bj .
Then the projective limit B D lim Bk is an a.q.c. OX -algebra on X such that
k
B= kC1 B Š Bk for each k 0. Moreover, if B0 is of finite type, then B is an
a.q.c. OX -algebra of finite type.
3.5 A.q.c. sheaves on locally universally rigid-Noetherian

formal schemes
3.5. (a) -sheaves on affine universally rigid-Noetherian formal schemes
Proposition 3.5.1. Let A be a rigid-Noetherian ring (2.1.1 (1)), and set X D Spf A
and Y D Spec A. Consider the canonical morphism i W X ! Y of locally ringed
spaces. Then for any finitely generated A-module M
M Š i M
z:
Proof. By 2.1.5,
i M y
z ŠM
z D lim M
z = kC1 M
z D M ;
k0
where D I and I A is a finitely generated ideal of definition.

Proposition 3.5.2. In the situation as in 3.5.1, the functor M 7! M gives an

exact equivalence between the category of finitely generated A-modules and the
category of a.q.c. sheaves of finite type on X.
Proof. In view of 3.2.8 (2) and the fact that any finitely generated A-module is
I -adically complete (2.1.3), only the exactness of the functor is in question. But
this follows from 3.5.1 and 2.1.5.
Proposition 3.5.3 (cf. 0.7.4.13; see also 3.2.3). Let A be a rigid-Noetherian ring
with a finitely generated ideal of definition I A and M be a finitely generated
A-module. Let N M be an A-submodule. Then the sequence
0 ! N ! M ! .M=N / ! 0
given by canonical maps is exact.
Proof. Let f 2 A, and consider the affine open subset U D Spf Aff g of X. Since
Af is IAf -adically pseudo-adhesive (0.8.5.7 (1)), it satisfies (AP) in 0, ÷7.4. (c).
Hence, by 0.7.4.13, we have the exact sequence
0 ! N b̋A Aff g ! M b̋A Aff g ! .M=N / b̋A Aff g ! 0
and, by 3.2.1, the exact sequence
0 ! .U; N / ! .U; M / ! .U; .M=N / / ! 0:
Since this is valid for any open subsets of the form U D Spf Aff g , we have the
desired exact sequence.
3.5. (b) A.q.c. sheaves of finite presentation
Proposition 3.5.4. Let A be a rigid-Noetherian ring (2.1.1 (1)), and set X D Spf A.
Then any finitely presented OX -module F is an a.q.c. sheaf. Moreover, M D
.X; F / is a finitely presented A-module, and F D M .
Proof. The sheaf F is locally isomorphic to the cokernel of a map of the form
OX˚q ! OX˚p . By 3.5.2, this means that F can be locally written as a -sheaf of
a finitely generated module. Hence F is a.q.c. of finite type. Moreover, we know
that each Fk D F =I kC1 F (where I A is a finitely generated ideal of definition)
is finitely presented on the scheme Spec A=I kC1 . This means that M D .X; F /
is finitely presented due to 0.7.4.19, since Mk D M=I kC1 M is finitely presented
by [53], (1.4.3).
Corollary 3.5.5. Any finitely presented OX -module on a locally universally rigid-

Noetherian formal scheme is a.q.c. of finite type.
We can call such a sheaf F , as usual, a quasi-coherent sheaf of finite presenta-

tion (even without ‘adically’), because it is obviously quasi-coherent in the usual
sense (cf. 0.4.1.4 (1)).
Theorem 3.5.6. Let X D Spf A, where A is a rigid-Noetherian ring. Then the

functor
M 7 ! M ()
gives an exact categorical equivalence between the category of finitely generated

.resp. finitely presented/ A-modules and the category of a.q.c. sheaves of finite
type .resp. of finite presentation/ on X. The functor F 7! .X; F / gives the
quasi-inverse to ./.
Proof. The assertion for ‘finitely generated’ was already shown in 3.5.2. The other
part follows from 3.5.2 and 3.5.4.
Proposition 3.5.7. Let A be a rigid-Noetherian ring, and M and N finitely gener-

ated A-modules. Set X D Spf A.
(1) We have a canonical isomorphism
.M ˝A N / Š M ˝OX N :
(2) If M is finitely presented, then we have a canonical isomorphism
x HomA .M; N / Š HomOX .M ; N /:
Proof. Set Y D Spec A, and let i W X ! Y be the canonical morphism of locally

ringed spaces.
(1) By 3.5.1, [54], I, (1.3.12) (i), and [54], 0I , (4.3.3.1), we have
C
.M ˝A N / Š i M ˝A N
Š i .M
z ˝O Nz /
Y
Š i M
z ˝OX i Nz
Š M ˝OX N ;
as claimed.
(2) By 3.5.1, [54], I, (1.3.12) (ii), and [54], [0I , (6.7.6.1), we have
F
HomA .M; N / Š i HomA .M; N /
Š i HomOY .M
z;N
z/
Š HomOX .i M
z ; i Nz /
Š HomOX .M ; N /;
z is of finite presentation (3.5.6).

as claimed; here we used the fact that M
Corollary 3.5.8. Let X D Spf A where A is a rigid-Noetherian ring. Then the func-
tor ./ in 3.5.6 defined on the category of finitely presented A-modules preserves
tensor products and internal Hom’s.
Corollary 3.5.9. Let X be a locally universally rigid-Noetherian formal scheme

and F ; G a.q.c. sheaves of finite type on X. Then F ˝OX G is an a.q.c. sheaf of
finite type. If, moreover, F is of finite presentation, then HomOX .F ; G / is an a.q.c.
sheaf of finite type on X. Moreover, if both F and G are finitely presented, then
F ˝OX G and HomOX .F ; G / are of finite presentation.
Finally, let us mention that -torsion free a.q.c. sheaves of finite type on locally
universally adhesive formal schemes are automatically finitely presented.
Proposition 3.5.10. Let X be a locally universally adhesive formal scheme. Sup-

pose that X has an ideal of definition of finite type OX . Then any -torsion
free a.q.c. sheaf of finite type is finitely presented.
Proof. We may assume X D Spf A, where A is a t.u. adhesive ring with a finitely
generated ideal of definition I A. Any -torsion free a.q.c. sheaf of finite type F
is of the form F D M , where M is an I -torsion free finitely generated A-module.
Since A is I -adically adhesive, M is finitely presented (cf. 0.8.5.3).
3.5. (c) A.q.c. algebras of finite presentation
Definition 3.5.11. Let X be a locally universally rigid-Noetherian formal scheme.

S OX -algebra B is of finite presentation if there exists an open
We say that an a.q.c.
covering X D ˛2L U˛ and an ideal of definition of finite type ˛ on each U˛
such that, for each ˛ and k 0 the sheaf B= ˛kC1 B is a quasi-coherent algebra of
finite presentation on the scheme .U˛ ; OU˛ = ˛kC1 /.
The following two propositions can be established in the same way as we did
for 3.3.2 and 3.3.3, using 0.8.4.5 instead of 0.8.4.2.
Proposition 3.5.12. Let X be a locally universally rigid-Noetherian formal scheme,

and B an a.q.c. OX -algebra of finite presentation. Then for any open subspace
U X that admits an ideal of definition of finite type , the sheaf B= B is a
quasi-coherent algebra of finite presentation on the scheme .U; OU = /.
Proposition 3.5.13. Let A be a t.u. rigid-Noetherian ring, and set X D Spf A.
Let B be an a.q.c. OX -algebra. Then B is of finite presentation if and only if
B D .X; B/ is a topologically finitely presented A-algebra.
3.6 Complete pull-back of a.q.c. sheaves

Definition 3.6.1. Let f W X ! Y be an adic morphism of adic formal schemes of
finite ideal type, and F an OY -module. We define the OX -module fc F by
1
fc F D f F ;
where the last sheaf is the completion of the OX -module f F (3.1.1 (1)); we call
this sheaf the complete pull-back of F .
Proposition 3.6.2. Let f W X ! Y be an adic morphism of locally universally
rigid-Noetherian formal schemes, and F an a.q.c. sheaf of finite type .resp. of
finite presentation/ on Y . Then we have
fc F D f F ;
which is an a.q.c. sheaf of finite type .resp. of finite presentation/ on X.

of finite ideal type, and F an a.q.c. sheaf .resp. a.q.c. sheaf of finite type, resp.
a.q.c. OY -algebra/ on Y . Suppose that f is adically flat (1.5.5 (1)). Then the
complete pull-back fc F is an a.q.c. sheaf .resp. a.q.c. sheaf of finite type, resp.
a.q.c. OX -algebra/ on X.
To show the last two propositions, since the question is local, we may work in
the affine situation. Then the propositions follow from the following lemma.
Lemma 3.6.4. Let B ! A be an adic homomorphism of adic rings of finite ideal
type, and I B a finitely generated ideal of definition of B.
(1) Suppose A and B are t.u. rigid-Noetherian rings, and let M be a finitely
generated .resp. finitely presented/ B-module. Then
f M Š fc M Š .M ˝B A/ :
(2) Suppose that for any k 0 the induced map B=I kC1 ! A=I kC1 A is flat,
and let M be a B-module .resp. B-algebra/. Then
fc M Š .M ˝B A/ :
z on Spec B by
Proof. (1) follows easily, for in this case M is the pull-back of M

the map Spf B ! Spec B (3.5.1), and thus f M is the pull-back of M ˝B A by C
the map Spf A ! Spec A, which is already complete.
To show (2), we look at the canonical morphism
f kC1 M ! kC1 f M ()
for k 0, where D I . We first want to show that this is an isomorphism
by checking that the map between stalks at each point is bijective. To this end, it
suffices to show that for any h 2 A the map
.I kC1 M / b̋B Afhg ! I kC1 .M b̋B Afhg /
is an isomorphism. This amounts to showing that the descending filtration fJ .n/gn1
on M b̋B Afhg defined by
J .n/ D image..I n M / b̋B Afhg ! M b̋B Afhg /; n 1;
is the I -adic filtration. Since
1
lim M b̋B Afhg =J .n/ D lim .M=I n M / ˝B=I n A=I n A h
D M b̋B Afhg ;
n1 n1
it suffices to show that (b) of 0.7.2.14 (resp. 0.7.2.11; cf. 0.7.2.12) holds. But since
B=I n ! A=I n A is flat, the map

.I m M=I n M / ˝B=I n A=I n A h1 ! I m .M=I n M / ˝B=I n A=I n A h1
(which is, a priori, surjective) is an isomorphism for 0 m n. Thus we have
shown that the morphism ./ is an isomorphism for k 0.
Next, we have
fc M D lim f M = kC1 f M
k0
D lim f .M = kC1 M /
k0
D lim f M
zk
k0
E
D lim Mk ˝Bk Ak ;
k0
where Mk D M=I kC1 M , which shows that fc M D .M ˝B A/ , as desired.

The following result is a corollary of the proof of 3.6.4 (2).
Corollary 3.6.5. In the situation as in 3.6.3, suppose that Y admits an ideal of

definition of finite type . Let
fk W Xk D .X; OX = kC1 OX / ! Yk D .Y; OY = kC1 /
be the induced morphism of schemes for k 0. Then
f kC1 F D kC1 f F ; k 0;
and
fc F D lim fk Fk ;
k0
where Fk D F = kC1 F for k 0.
3.7 Admissible ideals

3.7. (a) Pull-back of quasi-coherent sheaves on closed subschemes
Proposition 3.7.1. Let X be an adic formal scheme, OX an ideal of definition

of finite type, and F an a.q.c. sheaf on X. Let G be an a.q.c. subsheaf of F
such that F G F . Then G = F is a quasi-coherent sheaf on the scheme
X0 D .X; OX = /.
Proof. We may assume that X is affine, X D Spf A, where A is an adic ring of

finite ideal type, and that D I where I A is a finitely generated ideal of
definition. Set N D .X; G / M D .X; F /. In view of 3.2.4, IM N M .
We see by 3.2.3 that F =G D .M=N / . Since .F =G / D 0, we deduce that F =G
is a quasi-coherent sheaf on the scheme X0 . Now we look at the exact sequence
0 ! G = F ! F = F ! F =G ! 0:
Since F = F and F =G are quasi-coherent on X0 , we conclude that G = F is

quasi-coherent on X0 .
Proposition 3.7.2. Let X be an adic formal scheme of finite ideal type with an
ideal of definition of finite type, and F an a.q.c. sheaf .resp. of finite type/ on X.
Consider the quasi-coherent sheaf F0 D F = F on the scheme X0 D .X; OX = /
and a quasi-coherent subsheaf G0 F0 .resp. of finite type/. Then the inverse
image G F of G0 by the canonical map F ! F0 is an a.q.c. sheaf .resp. of
finite type/ on X.
Proof. We may assume without loss of generality that X is affine, X D Spf A. Let
I A be the finitely generated ideal such that D I , and M the I -adically
complete A-module such that F D M . The quasi-coherent subsheaf G0 F0
corresponds to a submodule N0 M0 D M=IM . Let N be the pull-back of N0
by the canonical map M ! M0 . Since IM N , we have the exact sequence
0 ! N ! M ! .M=N / ! 0
B
(3.2.3). But since .M=N / D M0 =N0 D F0 =G0 and since
0 !G !F ! F0 =G0 ! 0
is exact, G D N . Note that since N is open in M and M is I -adically complete,

N is I -adically complete. If F and G0 are of finite type, then M and N0 are finitely
generated. Since N=N \ I 2 M D N=I 2 M is finitely generated due to the exact
sequence
0 ! IM=I 2 M ! N=I 2 M ! N=IM .D N=N \ IM D N0 / ! 0;
we deduce that N=IN is finitely generated (for I 2 M IN ). By 0.7.2.4, N is

finitely generated and hence G is of finite type.
Corollary 3.7.3. Let X be an adic formal scheme, OX an ideal of definition of
finite type, and F an a.q.c. sheaf .resp. of finite type/ on X. Consider the following
sets.
(a) The set of all a.q.c. subsheaves G F .resp. of finite type/ that contains
F .
(b) The set of all quasi-coherent subsheaves of F0 D F = F .resp. of finite
type/ on the scheme X0 D .X; OX = /.
Then the map G 7! G = F from set (a) to set (b) is a bijection.
3.7. (b) Admissible ideals

Definition 3.7.4. Let X be an adic formal scheme of finite ideal type, and J an ideal
sheaf of OX . Then J is said to be an admissible ideal if it satisfies the following
conditions.
(a) Finiteness: J is an a.q.c. ideal of finite type.

(b) Openness: J contains locally an ideal of definition.
We denote by AIdX the set of all admissible ideals of X.

By 3.2.3, 3.2.4, and 3.2.8 we have the following result.
Proposition 3.7.5. Let A be an adic ring with a finitely generated ideal of definition
I A, and set X D Spf A. Then for any I -admissible ideal J A (0.8.1.2), J
is an admissible ideal of OX . Moreover, any admissible ideal of OX is of this form
for a uniquely determined I -admissible ideal J .
Proposition 3.7.6. Let f W Y ! X be an adic morphism of adic formal schemes

of finite ideal type, and J an admissible ideal of OX . Then the pull-back ideal
JOY D .f 1 J/OY (0.4.1.2) is an admissible ideal of OY .
This yields the mapping AIdX ! AIdY given by J 7! JOY .
Proof. We can work in the affine situation X D Spf A and Y D Spf B, where A
and B are adic rings of finite ideal type. Let I A be a finitely generated ideal of
definition of A. Set J D J , where J is an I -admissible ideal of A (3.7.5). Then
JB is an IB-admissible ideal of B. We need to show that JOY D .JB/ . This
follows from 3.2.3 because OY D B and OY =JOY D B=JB. A
Proposition 3.7.7 (cf. 4.3.14 below). Let X be an adic formal scheme X of finite
ideal type. For an admissible ideal J OX , let Y be the support of the sheaf
OX =J. Then Y is a closed subset of the underlying topological space of X, and the
locally ringed space .Y; OX =J/ is a closed subscheme of X.
Proof. We may assume that X has an ideal of definition of finite type such that
J. Consider the scheme X0 D .X; OX = /. The sheaf of ideals J= on X0
defines the closed subscheme of X0 as in the proposition.
Corollary 3.7.8. Let X be an adic formal scheme, and J OX an admissible ideal.

Let Y be the closed subscheme corresponding to J .as in 3.7.7), and i W Y ,! X
the canonical morphism.
(1) For any quasi-coherent ideal K of finite type of OY , the inverse image of i K
under the map OX ! i OY is an admissible ideal of OX .
(2) The map K 7! i 1 KOY gives a bijection from the set of all admissible
ideals of OX containing J to the set of all quasi-coherent ideals of finite type
of OY . The inverse mapping is given by the inverse image under OX ! i OY .
Proof. We may assume without loss of generality that X has an ideal of definition
such that J. We regard quasi-coherent sheaves on Y as quasi-coherent
sheaves on the scheme X0 D .X; OX = / and apply 3.7.3.
Proposition 3.7.9. Let X be an adic formal scheme. If J and J 0 are admissible

ideals on X, then JJ 0 and J C J 0 are admissible ideals.
Proof. We can assume that X admits an ideal of definition of finite type con-
tained in J and J 0 . Consider the closed subscheme X1 D .X; OX = 2 /. One easily
sees that JJ 0 coincides with the pull-back of JOX1 J 0 OX1 . Similarly, J C J 0 is
the pull-back of JOX1 C J 0 OX1 .
Proposition 3.7.10. Let f W X ! Y be an adically flat (1.5.5 (1)) morphism of adic

formal schemes of finite ideal type, and J OY an admissible ideal of Y . Then
we have
fc J D JOX :
In particular, fc J is an admissible ideal of X .cf. 3.6.3/.
Proof. We can assume that Y has an ideal of definition of finite type. Let
fk W Xk D .X; OX = kC1 OX / ! Yk D .Y; OY = kC1 / be the induced morphism of
schemes for k 0. By 3.6.5, we have
fc J D lim fk J= kC1 J D lim JOXk D JOX ;

k1 k1
as desired.
3.7. (c) Extension of admissible ideals. Let us introduce a relation on the set
AIdX as follows: J J 0 for J; J 0 2 AIdX if there exist m; n > 0 such that
J m J 0n J. This gives an equivalence relation compatible with the semi-
group structure on AIdX . Note that the set of all ideals of definition of finite type
on X (if they exist) forms a single equivalence class.
Proposition 3.7.11. Let X be a coherent (1.6.6) adic formal scheme and X D

S
˛2L U˛ a finite covering by quasi-compact open subsets. Suppose that for each
˛ 2 L an admissible ideal ˛ on U˛ is given for which on U˛ˇ D U˛ \ Uˇ we
have ˛ jU˛ˇ ˇ jU˛ˇ . Then there exists an admissible ideal on X such that we
have jU˛ ˛ on each U˛ .
Proof. By an easy inductive argument, it suffices to show the following statement:

let X D U1 [ U2 with U1 and U2 quasi-compact, and 1 and 2 admissible ideals
on U1 and U2 , respectively, such that on U12 D U1 \ U2 (which is quasi-compact,
since X is quasi-separated (1.6.5)) there exists a positive integer m for which 1m
2 1 ; then there exists an admissible ideal on X such that 1m 1 on
U1 and D 2 on U2 .
Let V be the closed subscheme of U1 defined by 1m (3.7.7). Similarly, let W

be the closed subscheme of U12 defined by 1m (restricted to U12 ). Then since U12
is quasi-compact, W is a quasi-compact open subscheme of V .
Consider the quasi-coherent ideal 2 = 1m of finite type on W . By [54], I,
(9.4.2) (ii), one can extend this ideal to a quasi-coherent ideal x21 on V . Replac-
ing x21 by x21 \ . 1 = 1m / if necessary, we may assume that the extension x21 is
contained in 1 = 1m . Moreover, by [54], I, (9.4.9), and IV, (1.7.7), there exists a
subideal of x21 of finite type that coincides with 2 = 1m on W (since 2 = 1m is of
finite type). Hence, we may further assume that x21 is quasi-coherent of finite type
on V .
Let 21 be the ideal on U1 obtained by taking the inverse image of x21 under
the map OU1 ! OV . By 3.7.8 (1), 21 is an admissible ideal of OU1 . Since
21 = 1m coincides with 2 = 1m on W , we have 21 D 2 on U12 by 3.7.8 (2).
Moreover, 21 1 . Hence we get, by gluing, the admissible ideal with the
desired properties.
Corollary 3.7.12. Let X be a coherent adic formal scheme of finite ideal type. Then
X has an ideal of definition of finite type.
Proof. Take a finite open covering fU˛ g˛2L such that on each U˛ there exists an
ideal of definition ˛ of finite type. Then apply 3.7.11.
Corollary 3.7.13. Let A be an admissible ring (1.1.3) such that X D Spf A is an

affine adic formal scheme of finite ideal type. Then A is an adic ring of finite ideal
type.
Proof. There exists an ideal of definition of finite type on X (3.7.12). By 1.1.19,

we have the unique finitely generated ideal of definition I .n/ A such that n D
.I .n/ / for each n > 0. Since f n gn>0 gives a fundamental system of ideals of
definition on X (1.1.24), fI .n/ gn>0 is a fundamental system of ideals of definition
of the admissible ring A. Set I D I .1/ . Since each Xk D .X; OX = kC1 / (k 0)
is affine, we have for m n
I .m/ =I .n/ D .X; m OX = n / D I m .A=I .n/ /I
moreover, I .1/ =I .2/ is obviously a finitely generated ideal of A=I .2/ . Hence,
by 0.7.2.11, I .n/ D I n for n > 0, and hence A is adic of finite ideal type.
By this and 2.1.9 we deduce the following result.
Corollary 3.7.14. Let A be an admissible ring such that X D Spf A is universally

adhesive .resp. universally rigid-Noetherian/ (2.1.7). Then A is t.u. adhesive .resp.
t.u. rigid-Noetherian/ (2.1.1).
Proposition 3.7.15 (extension lemma). Let X be a coherent adic formal scheme

and U a quasi-compact open subset of X. Then for any admissible ideal J on U
there exists an admissible ideal e
J on X such that e
JjU D J. .That is, the restriction
map AIdX ! AIdU is surjective./
Proof. Let be an ideal of definition of X (3.7.12). We may assume that J
on U , since U is quasi-compact. Let V (resp. W ) be the closed subscheme of X
(resp. U ) defined by . Then W is a quasi-compact open subset of V . We ap-
ply [54], I, (9.4.2) (ii), and [54], I, (9.4.9) and IV, (1.7.7), to get a quasi-coherent
extension Jx of finite type on X and an admissible ideal Jz on X (3.7.8 (1)). Us-
ing 3.7.8 (2), one sees that this Jz is a desired extension.
Exercises
Exercise I.3.1. Let X be an adic formal scheme, an ideal of definition of finite
type of X, and B an a.q.c. OX -algebra. Show that B is an adically quasi-coherent
OX -module sheaf of finite type if and only if B= B is a quasi-coherent sheaf of
finite type over the scheme X0 D .X; OX = /.
Exercise I.3.2. Let X be a locally universally rigid-Noetherian formal scheme and
'W F ! G a morphism of a.q.c. sheaves of finite type on X. Show that ker.'/
and coker.'/ are a.q.c. sheaves on X. Show, moreover, that if X is coherent and
is an ideal of definition of finite type on X, then the -torsion parts of ker.'/ and
coker.'/ are bounded -torsion.
Exercise I.3.3 (extension of adically quasi-coherent sheaves). Let X be a coher-
ent adic formal scheme with an ideal of definition of finite type and U a quasi-
compact open subset of X. Let F be an a.q.c. sheaf of finite type and G an a.q.c.
subsheaf of F jU of finite type such that F jU G . Show that there exists an
a.q.c. subsheaf G 0 of F of finite type such that G 0 jU D G .
Exercise I.3.4. Let X be a coherent universally rigid-Noetherian formal scheme
with an ideal of definition of finite type, F an a.q.c. sheaf of finite type on X,
and G F an a.q.c. subsheaf. Show that G is an inductive limit lim H of
!2ƒ n
a.q.c. subsheaves of finite type such that for all G =H is annihilated by for
some n > 0.
Exercise I.3.5 (cf. 3.5.3). Let A be a rigid-Noetherian ring with a finitely generated
ideal of definition I , and N M an inclusion of A-modules, and suppose that M
is contained as an A-submodule in a finitely generated A-module. Show that the
sequence
0 ! N ! M ! .M=N / ! 0
given by canonical morphisms is exact.
Exercise I.3.6. Let X be a locally universally rigid-Noetherian formal scheme, and

consider an exact sequence of OX -modules
0 !F ! G ! H ! 0:
(1) If G and H are a.q.c. of finite type, show that F is adically quasi-coherent.
(2) If F is adically quasi-coherent and G is a.q.c. of finite type, show that H is
a.q.c. of finite type.
Exercise I.3.7. Let X be a locally Noetherian formal scheme (1.1.25).

(1) Show that the sheaf OX is coherent.
(2) Show that an OX -module sheaf F is coherent if and only if it is a.q.c. of
finite type.
(3) Show that any a.q.c. ideal sheaf J OX is coherent.
Exercise I.3.8. Let X be a locally universally adhesive formal scheme, and J; J 0

OX admissible ideals. Suppose that X has an ideal of definition and that OX is
-torsion free. Show that J \ J 0 is admissible.
4 Several properties of morphisms

4.1 Affine morphisms
4.1. (a) Definition of affine morphisms. First of all, let us recall the definition of
affine morphisms of formal schemes ([53], (10.16.1)).
Definition 4.1.1. A morphism f W X ! YSof formal schemes is said to be affine if

there exists an affine open covering Y D ˛2L V˛ of Y such that for each ˛ 2 L
the open formal subscheme f 1 .V˛ / in X is an affine formal scheme.
For example, any morphism between affine formal schemes is affine.
Proposition 4.1.2. Let f W X ! Y be a morphism of formal schemes and Y D

S
˛2L V˛ an open covering of Y . Then f is affine if and only if the induced map
f˛ W X˛ D X Y V˛ ! V˛
is affine for any ˛ 2 L.
Proof. The ‘if’ part is trivial. The ‘only if’ part follows from the following obser-
vation: Let U D Spf B be an affine open subset of Y such that f 1 .U / is affine:
f 1 .U / D Spf A. Then V˛ \ U for each ˛ 2 L is covered by affine open subsets
of the form W D Spf Bfgg , and so f 1 .W / D Spf A b̋B Bfgg .
4. Several properties of morphisms 321
4.1. (b) Affine adic morphisms and a.q.c. sheaves

Proposition 4.1.3. Let f W X ! Y be an affine adic (1.3.1) morphism between adic
formal schemes of finite ideal type. Then for any a.q.c. sheaf F on X, f F is an
a.q.c. sheaf on Y .
Since the question is local on Y , we may assume that X and Y are affine X D
Spf A and Y D Spf B, where A and B are adic rings of finite ideal type, and that
the map B ! A is adic; we have F D M by an A-module M (3.2.7). Then the
proposition follows from the following lemma and 3.2.2.
Lemma 4.1.4. In the situation as above, we have
f M D MŒB

;
where MŒB denotes the module M regarded as a B-module.
Proof. By 3.2.2 and 0.3.2.9 (2),
E E H
f M D f lim M=I kC1 M D lim f M=I kC1 M D lim MŒB =I kC1 MŒB ;
k0 k0 k0

where the last projective limit sheaf is equal to MŒB , as desired.
4.1. (c) Formal spectra of a.q.c. algebras. As a corollary of 4.1.3 we have the
Corollary 4.1.5. Let f W X ! Y be an affine adic morphism of adic formal schemes
of finite ideal type. Then f OX is an a.q.c. OY -algebra. Moreover, we have the
following facts.
(1) f OX is of finite type (3.3.1) if and only if f W X ! Y is locally of finite
type (1.7.1).
(2) Suppose Y is locally universally rigid-Noetherian (2.1.7). Then f OX is
of finite presentation (3.5.11) if and only if f W X ! Y is locally of finite
presentation (2.2.1).
Proof. We may suppose that X and Y are affine; if f W X D Spf A ! Y D Spf B
comes from an adic morphism B ! A of adic rings of finite ideal type, then we
have f OX D AŒB
. Then apply 3.3.3 and 3.5.13.
Proposition 4.1.6. Let f W X ! Y and f 0 W X 0 ! Y be affine adic morphisms of

adic formal schemes of finite ideal type. Then the induced map
HomY .X; X 0 / ! HomAlgY .f0 OX 0 ; f OX /
is bijective.
Proof. We may work in the affine situation: Y D Spf B, X D Spf A, and X 0 D

Spf A0 , and f and f 0 come respectively from adic morphisms B ! A and B ! A0
of adic rings of finite ideal type. Then by [54], I, (10.1.3), the set HomY .X; X 0 /
is identified with the set of continuous homomorphisms A0 ! A of topological
rings over B. But since A and A0 are the adic over B, the last set is simply the set
HomB .A0 ; A/ of B-algebra homomorphisms. By 3.2.9, this is further isomorphic
to HomAlgY .A0 ŒB
; A
ŒB
/. Now, since A D f OX etc., we obtain the desired
result.
Proposition 4.1.7. Let Y be an adic formal scheme of finite ideal type, and A
an a.q.c. OY -algebra. Then there exists a unique, up to Y -isomorphisms, affine
morphism f W X ! Y such that f OX Š A.
Proof. By 3.2.8, for any affine open subsets V D Spf BV of Y (BV is an adic
ring of finite ideal type due to 3.7.13), A.V / D AV is an IV -adically complete

S of definition of BV , and AV D AjV holds. Take
BV -algebra, where IV is an ideal
an affine open covering Y D ˛2L V˛ of Y , and set X˛ D Spf AV˛ for S each ˛ 2 L.
By 4.1.6, these formal schemes glue to an adic formal scheme X D ˛2L X˛ adic
over Y . The map f W X ! Y thus obtained is affine and adic, and f OX Š A. Note
that the above construction does not depend on the choice of the affine covering
fV˛ g˛2L (due to 4.1.6).
Let Y be an adic formal scheme of finite ideal type, and consider the functor
;opp
AfAcFs=Y ! AQCohAlgY ; ()
where AQCohAlgY is the category of adically quasi-coherent OY -algebras (with

OY -algebra homomorphisms), which maps each affine adic morphism f W X ! Y
to f OX . By 4.1.6 and 4.1.7, we have the following result.
Theorem 4.1.8. The functor ./ is a categorical equivalence.
Definition 4.1.9. Let X be an adic formal scheme of finite ideal type, and A an
a.q.c. OX -algebra. Then by 4.1.7 there exist a unique, up to isomorphism over X,
an adic formal scheme Z and an affine adic map f W Z ! X such that f OZ Š A.
We denote this formal scheme Z by Spf A and call it the formal spectrum of A.
Similarly to the scheme case, the formation of the formal spectra is an example
of ‘effective local construction’ (with respect to the Zariski topology) in 0.1.4.9.
4.1. (d) Basic properties of affine adic morphisms

of finite ideal type. Then f is an affine map if and only if for any affine open subset
V D Spf B of Y the open formal subscheme f 1 .V / of X is affine.
Proof. The ‘if’ part is trivial. Suppose f W X ! Y is affine adic, and let A D f OX .
By 4.1.8, X Š Spf A over Y . Let V D Spf B be an affine open subset of Y .
By 3.7.13, B is an adic ring of finite ideal type, and so is A.V /, due to 3.2.8. Then
by the construction of Spf A we find that X Y V Š Spf AjV D Spf A.V /.
Proposition 4.1.11. (1) The composition of two affine adic morphisms of adic for-
mal schemes of finite ideal type is again affine adic.
(2) For any affine adic S -morphisms f W X ! Y and gW X 0 ! Y 0 of adic formal
schemes of finite ideal type over an adic formal scheme S of finite ideal type, the
induced morphism
is affine adic.
(3) For any affine adic S -morphism f W X ! Y of adic formal schemes of finite
ideal type over an adic formal scheme S of finite ideal type, and for any morphism
S 0 ! S of adic formal schemes of finite ideal type, the induced morphism
fS 0 W X S S 0 ! Y S S 0
is affine adic.
Proof. (1) follows immediately from 4.1.10. By 1.5.1, (2) and (3) follow from
4.1.12 below combined with 4.1.2 and [54], II, (1.6.2).
of finite ideal type, and suppose Y has an ideal of definition of finite type. For
any integer k 0 we denote by
the induced morphism of schemes. Then the following conditions are equivalent.
(a) f is affine.
(b) fk is affine for any k 0.
(c) f0 is affine.
Proof. By 4.1.2, we may assume that Y is affine, Y D Spf B, with the ideal I
of definition of B. Suppose f is affine. Then by 4.1.10 X is an affine formal
scheme X D Spf A and, in this situation, we have Xk D Spec Ak , where Ak D
A=I kC1 A. Hence implication (a) H) (b) holds. (b) H) (c) is trivial. Suppose (c)
holds. By [53], (2.3.5), we deduce that fk is affine for any k 0. Set Xk D
Spec Ak for each k. Then fAk gk0 forms a projective system of rings such that for
k l the transition map Al ! Ak is surjective with the kernel equal to I kC1 Al .
Then by 0.7.2.12 we see that A is IA-adically complete and that A=I kC1 D Ak
for any k 0. Therefore, X D Spf A.
In view of 1.5.2, 4.1.12 and [54], II, (1.6.2) yield the following result.
Corollary 4.1.13. Let f W X ! Y be a morphism of schemes and Z a closed
subscheme of Y of finite presentation. If f is affine, then the formal completion
fOW Xj
yf 1 .Z/ ! Yy jZ
is affine.
4.2 Finite morphisms

Proposition 4.2.1. The following conditions for an adic morphism f W X ! Y of
adic formal schemes of finite ideal type are equivalent.
(a) There exists an affine open covering fV˛ D Spf A˛ g˛2L of Y , where each
A˛ is an adic ring with a finitely generated ideal of definition I˛ A˛ ,
such that for each ˛ 2 L the induced morphism X Y V˛;0 ! V˛;0 .where
V˛;0 D Spec A˛ =I˛ / of schemes is finite.
(a)0 For any affine open set V D Spf A of Y , where A is an adic ring with a
finitely generated ideal of definition I A, the induced morphism X Y
V0 ! V0 .where V0 D Spec A=I / of schemes is finite.
(b) There exists an affine open covering fV˛ D Spf A˛ g˛2L of Y , where each
A˛ is an adic ring with a finitely generated ideal of definition I˛ A˛ ,
such that for each ˛ 2 L the inverse image f 1 .V˛ / is affine of the form
f 1 .V˛ / D Spf B˛ , where B˛ is finitely generated as an A˛ -module.
(b)0 For any affine open set V D Spf A of Y , where A is an adic ring with a
finitely generated ideal of definition I A, f 1 .V / is affine of the form
f 1 .V / D Spf B, where B is finitely generated as an A-module.
Proof. Implications (b) H) (a) and (b)0 H) (a)0 are immediate. Let us show impli-
cations (a) H) (b) and (a)0 H) (b)0. Suppose (a)0 holds. We set Vk D Spf A=I kC1
and Uk D X Y Vk for k 0. By [54], I, (5.1.9), each Xk is an affine scheme,
Xk D Spec Bk , and for k l we have Bk D Bl =I kC1 Bl . Then, by 0.7.2.12,
B D lim Bk is an IB-adically complete A-algebra such that B=I kC1 B D Bk
k0
for k 0. Since B0 is finitely generated as an A-module, 0.7.2.4 implies that
B is finitely generated as an A-module. Moreover, since f W X ! Y is adic, we
have f 1 .V / D lim U D Spf B and thus (b)0 holds. The other implication
!k0 k
(a) H) (b) can be verified similarly.
It remains to show the equivalence of (a) and (a)0. As implication (a)0 H) (a) is
clear, we want to show the converse. First note that in view of [54], I, (5.1.9), each
ideal of definition I˛ of A˛ can be replaced by a power I˛n for any n 1. Note also
that the covering fV˛ D Spf A˛ g˛2L can be replaced by a refinement obtained by
replacing each V˛ D Spf A˛ by a finite affine covering by affine open subschemes
of the form Spf.A˛ /fgg . Hence the desired implication follows from the fact that
finite morphisms of schemes are stable under the Zariski topology (0.1.4.8 (1)).
Definition 4.2.2. Let X and Y be adic formal schemes of finite ideal type. Then a
morphism f W X ! Y is said to be finite if it is adic and satisfies the conditions in
Proposition 4.2.1.
finite ideal type, and suppose Y has a ideal of definition of finite type. For any
integer k 0 we denote by
(a) f is finite.
(b) fk is finite for any k 0.
(c) f0 is finite.
Proof. We may assume that Y is affine of the form Y D Spf A, where A is an adic
ring with the finitely generated ideal of definition I such that D I . Then the
equivalence of (b) and (c) follows from [54], I, (5.1.9), and 0.7.2.4. The equivalence
of (a) and (c) follows from the definition.
Proposition 4.2.4. (1) Any finite morphism is affine (4.1.1).

(2) The composition of two finite morphisms is again finite.
(3) For any finite S -morphisms f W X ! Y and gW X 0 ! Y 0 of adic formal
induced morphism
is finite.
(4) For any finite S -morphism f W X ! Y of adic formal schemes of finite
fS 0 W X S S 0 ! Y S S 0
is finite.
Proof. (1) and (2) are clear. In view of 1.5.1, (3) and (4) follow from 4.2.3, 4.2.1,
and [54], II, (6.1.5).
In view of 1.5.2, 4.2.3 and [54], II, (6.1.5) yield the following result.
Corollary 4.2.5. Let f W X ! Y be a morphism of schemes and Z a closed sub-
scheme of Y of finite presentation. Then if f is finite, the formal completion
fOW Xj
yf 1 .Z/ ! Yy jZ
is finite.
Since any finite morphism f W X ! Y is affine, it comes from a formal spectrum
X Š Spf A ! Y (4.1.9). By 3.2.8 (2), we have the following proposition (cf.
Exercise I.3.1).
Proposition 4.2.6. Let Y be an adic formal scheme of finite ideal type, and A an
a.q.c. OY -algebra. Then the map Spf A ! Y is finite if and only if A is an a.q.c.
OY -module of finite type.
4.3 Closed immersions

4.3. (a) A preliminary result
Proposition 4.3.1. Let X be an adic formal scheme of finite ideal type, F an a.q.c.
sheaf on X, and K F an OX -submodule. Suppose that the quotient G D F =K
is an a.q.c. sheaf.
(1) Suppose X has an ideal of definition of finite type. Then the morphism
K ! lim K=K \ kC1 F

k0
is an isomorphism.
(2) For any affine open set U D Spf A of X, where A is an adic ring of finite
ideal type, the sequence
0 ! .U; K/ ! .U; F / ! .U; G / ! 0
is exact.
Proof. Consider the exact sequence
0 !K !F !G !0 ()
of OX -modules. Taking ˝OX OX = kC1 , we get the exact sequence
0 ! K=K \ kC1 F ! Fk ! Gk ! 0 ./k

(where Fk D F = kC1 F , etc.) for any k 0. The exact sequences ./k induce,
by passage to the projective limits, the exact sequence
0 ! lim K=K \ kC1 F ! lim Fk ! lim Gk :

k0 k0 k0
Since F and G are a.q.c. sheaves, F Š lim Fk and G Š lim Gk . Hence,

k0 k0
comparing the last exact sequence with ./, we get (1). To show (2), first note
that, due to ./k , K=K \ kC1 F is a quasi-coherent sheaf on the scheme Xk D
.X; OX = kC1 /; then the assertion follows from 1.1.23 (2).
Corollary 4.3.2. Let A be an adic ring of finite ideal type, and I A a finitely
generated ideal of definition. Let F be an a.q.c. sheaf of finite type on X D Spf A,
and K F an OX -submodule such that G D F =K is a.q.c. Then .X; K/ is
closed in .X; F / with respect to the I -adic topology.
Proof. Since F and G D F =K are a.q.c. of finite type, .X; F / and .X; G / are
I -adically complete finitely generated A-modules (3.2.8 (2)). Then the result
follows from 4.3.1 (2) and 0.7.4.6.
4.3. (b) Definitions and first properties
Definition 4.3.3. Let X be an adic formal scheme of finite ideal type. A closed
formal subscheme of X is a formal scheme of the form .Y; .OX =K/jY /, where K
is an ideal of OX such that OX =K is a.q.c. and Y is the support of the sheaf OX =K.
Note that the subset Y is closed in X due to [54], 0I , (5.2.2). Moreover, one
can show that the ringed space .Y; .OX =K/jY / is actually an adic formal scheme
of finite ideal type. Indeed, let U D Spf A be an affine open set of X, where A is an
adic ring with a finitely generated ideal of definition I A, and set K D .U; K/.
Then by 4.3.2 B D A=K is an I -adically complete algebra over A and hence is
an adic ring. By 4.3.1 (2) and 3.2.8 (2), we have .OX =K/jU D B . Hence Y is
covered by affine formal scheme as of the form Spf B.
Note that we do not assume in 4.3.3 that the ideal K itself is a.q.c.
Definition 4.3.4. A morphism i W Z ! X of adic formal schemes of finite ideal

type is said to be a closed immersion if it admits a factorization Z ! Y ,! X as
an isomorphism onto a closed formal subscheme Y of X followed by the canonical
morphism.
Proposition 4.3.5. A closed immersion is finite (4.2.2).

We will see in 4.3.13 below that the notions of closed formal subschemes and
closed immersions thus defined coincide in the locally Noetherian case with those
in [54], I, ÷10.14.
Proposition 4.3.6. Let i W Z ! X be an adic morphism of adic formal schemes of
finite ideal type, and suppose X has an ideal of definition of finite type. For any
integer k 0 we denote by
ik W Zk D .Z; OZ = kC1 OZ / ! Xk D .X; OX = kC1 /
(a) i is a closed immersion.
(b) ik is a closed immersion for any k 0.
(c) i0 is a closed immersion.
Proof. Let us first show implication (a) H) (b). Consider the exact sequence
0 ! K ! OX ! i OZ ! 0;
which induces for any k 0 the exact sequence
0 ! Kk ! OXk ! ik OZk ! 0;
where Kk D K=K \ kC1 . Since i OZ is a.q.c. of finite type (4.2.6), ik OZk
is quasi-coherent on Xk . Hence, Kk is a quasi-coherent sheaf on X, and ik is the
closed immersion of schemes corresponding to the quasi-coherent ideal Kk .
Next we show the converse. By 4.1.12, we already know that i is affine.
By 4.1.3, i OZ is an adically quasi-coherent OX -algebra. To show that the map
OX ! i OZ is surjective, let Kk be the kernel of OXk ! ik OZk for any k 0.
It is easy to see that Kk ! Kl is surjective for k l and hence that the projective
system fKk gk0 is strict. Hence we have the exact sequence
0 ! lim Kk ! OX ! lim ik OZk ! 0
k k
(see 0.3.2.14 (1) and 0.3.2.13 (2)). On the other hand, lim ik OZk D i OZ thanks
k
to 0.3.2.9 (2) and 1.4.1. Hence the map OX ! i OZ is surjective, as desired.
Now since i.Z/ clearly coincides with the support of OX =K (which is equal to
the support of OXk =Kk ), we deduce that i is a closed immersion. Thus we have
shown the equivalence of (a) and (b). The equivalence of (b) and (c) follows from
Exercise 0.5.2.
Corollary 4.3.7. Let A ! B be an adic map between adic rings of finite ideal type,
and consider the morphism f W Y D Spf B ! X D Spf A of formal schemes. Then
(a) f is a closed immersion.

(b) A ! B is surjective.
Proof. Let us first show (a) H) (b). Suppose f is a closed immersion. Then we
have the surjective map OX ! f OY . Since f is finite (4.3.5), f OY is an a.q.c.
sheaf of finite type on X by 4.2.6. Since A D OX and B D OY , the surjectivity
of A ! B follows from 4.3.1 (2).
Next we show (b) H) (a). Let I be a finitely generated ideal of definition of A.
For any k 0 the map A=I kC1 ! B=I kC1 B is surjective. Hence by 4.3.6 the
morphism f is a closed immersion.
Corollary 4.3.8. Let i W Z ! X be a morphism of adic formal schemes of finite
ideal type. Then the following conditions are equivalent.
(a) i is a closed immersion.
(b) i is adic and affine, and the morphism OX ! i OZ is surjective.
Proof. (a) H) (b) follows from 4.3.5. Let us show the converse. By 4.1.3, the sheaf
i OZ is a.q.c. on X. Let K be the kernel of OX ! i OZ . For any affine open
subset U D Spf A of X (where A is an adic ring of finite ideal type), i 1 .U / is
affine, i 1 .U / D Spf B (where B is an adic ring), and by 4.3.1 (2) the induced map
A ! B is surjective. Hence, by 4.3.7, the base change f 1 .U / ! U is a closed
immersion. As the underlying morphism of i is, therefore, injective, it suffices to
show that the set i.Z/ coincides with the support of OX =K D i OY . But this is
clear, since they coincide on each affine open subsets.
Corollary 4.3.9. Let fSW Y ! X be a morphism of adic formal schemes of finite
ideal type, and X D ˛2L V˛ an open covering of X. Then f is a closed im-
mersion if and only if for any ˛ 2 L the base change f 1 .V˛ / ! V˛ is a closed
immersion.
Proposition 4.3.10. (1) If f W Z ! Y and gW Y ! X are closed immersions, then
so is the composition g ı f .
(2) For any S -closed immersions f W X ! Y and gW X 0 ! Y 0 of adic formal
induced morphism
(3) For any S -closed immersion f W X ! Y of adic formal schemes of finite
fS 0 W X S S 0 ! Y S S 0
Proof. (1) follows easily from 1.3.6 (1), 4.1.11 (1), and 4.3.8. By 1.5.1, (2) and (3)
follow from 4.3.6, 4.3.9, and [53], (4.3.6).

subscheme of Y of finite presentation. If f is a closed immersion, then the formal
completion
fOW Xj
y f 1 .Z/ ! Yy jZ
Proof. Since closed immersions are closed under composition, we may apply 1.5.2,
and the corollary follows from 4.3.6 and [53], (4.3.6).
4.3. (c) Universally rigid-Noetherian case
Proposition 4.3.12. Let X be a locally universally rigid-Noetherian formal scheme,

see (2.1.7), and K OX an a.q.c. ideal .resp. of finite type/. Consider the locally
ringed space Y D .Y; OX =K/, where Y is the support of the sheaf OX =K. Then
Y is a closed formal subscheme of X, and the canonical morphism i W Y ,! X is
a closed immersion .resp. of finite presentation/. Moreover, any closed immersion
i W Z ,! X .resp. of finite presentation/ can be obtained in this way up to isomor-
phism from a uniquely determined adically quasi-coherent ideal K .resp. of finite
type/.
Proof. Let U D Spf A be an affine open set of X, where A is a t.u. rigid-Noetherian

ring (2.1.1 (1)) with a finitely generated ideal of definition I A. Set K D
.U; K/. Then K is an ideal (resp. a finitely generated ideal) of A such that K D
KjU . The ring B D A=K is a finitely generated A-module, and hence is I -adically
complete (2.1.3). By 3.5.3, B D .OX =K/jU , and hence OX =K is a.q.c. Thus
the first half of the proposition has been proved.
Conversely, if i W Z ! X is a closed immersion (resp. of finite presentation),
then for any affine open U D Spf A of X, we have i 1 .U / D Spf B, where
A ! B is surjective (4.3.7). Let K be the kernel, which is a finitely generated
ideal if i is of finite presentation (2.2.3). By 3.5.3, K is an a.q.c. sheaf (resp. of
finite type) isomorphic to the kernel of OX ! i OZ restricted to U . Hence the
kernel of OX ! i OZ is an a.q.c. ideal (resp. of finite type) of OX , as desired.
Remark 4.3.13. Note that, by the proposition, our notion of ‘closed immersion’
coincides in the locally Noetherian case with that of [54], I, ÷10.14, indeed, if X is
locally Noetherian, then X is locally universally adhesive, and any a.q.c. ideal is a
coherent ideal (cf. Exercise I.3.7).
4.3. (d) Closed immersions and admissible ideals. As usual, for an adic formal
scheme X with an ideal of definition of finite type, a closed subscheme of X
means a closed subscheme of Xk D .X; OX = kC1 / for some k 0. Since the
quotient OX =J by an admissible ideal J OX is a quasi-coherent sheaf, we have
the following proposition.
Proposition 4.3.14. Let X be an adic formal scheme of finite ideal type. For any
admissible ideal J, let Y be the closed formal subscheme of X corresponding to J.
Then Y is a scheme.
Proposition 4.3.15. Let i W Y ,! X be a closed immersion of finite presentation

between locally universally rigid-Noetherian formal schemes, and K an admissible
ideal of OY . Let J be the pull-back of i K by the map OX ! i OY . Then J is an
admissible ideal of OX .
Proof. We may work in the affine situation X D Spf B and Y D Spf A, where A; B
are t.u. rigid-Noetherian rings and 'W B ! A is a surjective adic homomorphism
with finitely generated kernel. Let K A be a finitely generated open ideal such
that K D K , and J D ' 1 .K/, which is a finitely generated open ideal of B.
By 4.1.3, i K and i OY are a.q.c. sheaves on X of finite type. Hence, by the
exactness of the functor (3.5.6), we have J D J .
4.4 Immersions
Definition 4.4.1. A morphism f W Y ! X of adic formal schemes of finite ideal
type is said to be an immersion if it is a composition f D j ıi of a closed immersion
i followed by an open immersion j .
Note that immersions are adic morphisms.
Proposition 4.4.2. Let f W Y ! X be an adic morphism of adic formal schemes

of finite ideal type, and suppose X has an ideal of definition of finite type. For
any k 0 we denote by fk W Yk D .Y; OY = kC1 OY / ! Xk D .X; OX = kC1 / the
induced morphism of schemes. Then the following conditions are equivalent.
(a) f is an immersion.
(b) fk is an immersion for any k 0.
Proof. Let f D j ı i be an immersion, where i W Y ,! U is a closed immersion

and j W U ,! X is an open immersion. Let Uk for k 0 be the scheme defined
similarly to Xk . Then, clearly, jk W Uk ! Xk is an open immersion. Due to 4.3.6,
one finds that ik W Yk ! Uk is a closed immersion, and thus fk D jk ı ik is an
immersion.
Conversely, suppose fk is an immersion for any k 0. Take an open subset U

of X that contains f0 .Y / as a closed subset. For any k 0 we have the morphism
fk W Yk ! Uk of schemes, which is a closed immersion by [54], I, (4.2.2) (ii).
Hence f W Y ! U is a closed immersion due to 4.3.6; this implies that f is an
immersion, as desired.
Proposition 4.4.3. Let f W Y ! X be a morphism of adic formal schemes, and
fV˛ g˛2L an open covering of X. Then f is an immersion if and only if for any
˛ 2 L the base change f 1 .V˛ / ! V˛ is an immersion.
Proof. The ‘only if’ part is clear. Let us show the other part. Take an open subset
U˛ of V˛ for each ˛ 2 L such that the immersion f S1 .V˛ / ! V˛ factors through
the closed immersion f 1 .V˛ / ,! U˛ . Set U D ˛2L U˛ . Then by 4.3.9 the
morphism Y ! U is a closed immersion.
Proposition 4.4.4. Let f W X ! Y be a morphism of formal schemes, where Y is
adic of finite ideal type, and i W Z ,! Y an immersion. Then underlying topological
space of X Y Z is homeomorphic to f 1 .i.Z//.
Proof. The assertion was shown in 1.2.7 in the case where i is an open immersion.
Hence it suffices to show the claim when i is a closed immersion. Again by 1.2.7
we may assume that X and Y have ideals of definition. Then the claim follows
from 4.3.6 and [54], I, (4.4.1).
Lemma 4.4.5. Let Z ,! Y be an open immersion, and Y ,! X a closed im-
mersion, where X; Y; Z are adic formal schemes of finite ideal type. Then the
composition Z ,! X is an immersion.
Proof. Take an open subset U X such that Z D Y \ U . Then Z ,! U is a
closed immersion.
Proposition 4.4.6. (1) If f W Z ! Y and gW Y ! X are immersions, then so is the
composition g ı f .
(2) For any S -immersions f W X ! Y and gW X 0 ! Y 0 of adic formal schemes
of finite ideal type over an adic formal scheme S of finite ideal type, the induced
morphism
is an immersion.
(3) For any S -immersion f W X ! Y of adic formal schemes of finite ideal type
over an adic formal scheme S of finite ideal type, and for any morphism S 0 ! S
of adic formal schemes of finite ideal type, the induced morphism
fS 0 W X S S 0 ! Y S S 0
is an immersion.
Proof. (1) follows from 4.4.5 combined with 1.2.8 (1) and 4.3.10 (1). In view
of 1.5.1, (2) and (3) follow from 4.4.2, 4.4.3, and [53], (4.3.6).
scheme of Y of finite presentation. If f is an immersion, then the formal completion
fOW Xj
yf 1 .Z/ ! Yy jZ
is an immersion.
Proof. Since immersions are closed under composition, we may apply 1.5.2, and
the corollary follows from 4.4.2 and [53], (4.3.6).
4.5 Surjective, closed, and universally closed morphisms

4.5. (a) Surjective morphisms
Definition 4.5.1. A morphism f W X ! Y of formal schemes is said to be surjective
if the underlying continuous mapping is surjective.
If there exist ideals of definition and J of X and Y , respectively, such that
JOX , then f is surjective if and only if the induced morphism
.X; OX = / ! .Y; OY =J/
of schemes is surjective. The following proposition follows immediately from 1.2.7.

Proposition 4.5.2. Let f W Y ! X be a morphism of formal schemes, and fV˛ g˛2L
an open covering of X. Then f is a surjective if and only if for any ˛ 2 L the base
change f 1 .V˛ / ! V˛ is surjective.
Proposition 4.5.3. (1) The composition of two surjective morphisms of formal
schemes is surjective.
(2) If S is a formal scheme and if f W X ! X 0 and gW Y ! Y 0 are surjective
morphisms of S -formal schemes, then
is surjective.
(3) If S is a formal scheme and if f W X ! Y is a surjective morphism of S -
formal schemes, then for any morphism S 0 ! S the induced morphism
fS 0 W X S S 0 ! Y S S 0
is surjective.
The proof uses the following lemma, which can be shown similarly to the
scheme case (cf. [53], (3.6.2)).
Lemma 4.5.4. Let f W X ! Y be a surjective morphism, let K be a field, and let
Spec K ! Y be a map of formal schemes. Then X Y Spec K is non-empty.
Proof of Proposition 4.5.3. (1) is clear. As we saw in ÷1.5. (b), (2) and (3) follow
from the special case of (3) with S D Y . Let f W X ! Y be a surjective map of
formal schemes, and Y 0 ! Y a map of formal schemes. We want to show that
f 0 W X 0 D X Y Y 0 ! Y 0 is surjective. By 4.5.2, we may assume that Y and Y 0
are affine; set Y D Spf B and Y 0 D Spf B 0 . Let q 2 Y 0 be an open prime ideal
of B 0 . Let K D Frac.B 0 =q/, and Spec K ! Y 0 the natural map. Then by 4.5.4
X Y Spec K D X 0 Y 0 Spec K is non-empty, and any point of X 0 Y 0 Spec K is
mapped to a point of X 0 that is mapped to q by f 0 .
4.5. (b) Closed and universally closed morphisms

Definition 4.5.5. Let f W X ! Y be a morphism of formal schemes.
(1) We say that f is closed if the underlying continuous map of f is closed.
(2) We say that f is universally closed if for any morphism S ! Y of formal
schemes the induced morphism fS W X Y S ! S is closed.
Proposition 4.5.6. Let f W Y ! X be a morphism of formal schemes, and fV˛ g˛2L
an open covering of X. Then f is universally closed if and only if for any ˛ 2 L
the base change f 1 .V˛ / ! V˛ is universally closed.
Proof. The ‘only if’ part is clear. To show the ‘if’ part, by 1.2.8 (3) it suffices to
show that the map f W Y ! X is closed. But this follows easily from 1.2.7.
Proposition 4.5.7. Let f W X ! Y be a morphism of formal schemes, and suppose

Y is a scheme. Then f is universally closed if and only if for any morphism S ! Y
of schemes the induced morphism fS W X Y S ! S is closed.
Our notion of ‘universally closed’ restricted to morphisms of schemes coincides
with the usual one in scheme theory.
Proof. The ‘only if’ part is trivial. Let us show the converse. Let S ! Y be a
morphism of formal schemes. By 4.5.6, we may assume that S is affine, S D Spf R,
where R is an admissible ring. Let J R be an ideal of definition, and consider
S0 D Spec R0 with R0 D R=J . Then S0 is a scheme, and hence fS0 W X Y S0 !
S0 is closed. To show that fS W X Y S ! S is closed, it suffices to show that
X Y S and X Y S0 have the same underlying topological space. Indeed, we
may assume that X and Y are affine X D Spf A and Y D Spec B. Let I A be
an ideal of definition. Consider the ideal H D image.I ˝ R/ C image.A ˝ J / of

A˝B R, and set .X Y S /0 D Spec A˝B R=H . Then X Y S and .X Y S /0 have
the same underlying topological space. On the other hand, we have X Y S0 D
Spf A b̋B R=J . Observe that the kernel of A b̋B R ! A b̋B R=J is contained in the
kernel of A b̋B R ! A ˝B R=H . Hence we have the chain of closed immersions
.X Y S /0 ,! X Y S0 ,! X Y S , from which the claim follows.
Proposition 4.5.8. (1) The composition of two closed .resp. universally closed/
morphisms of formal schemes is closed .resp. universally closed/.
(2) If f W X ! X 0 and gW Y ! Y 0 are two universally closed S -morphisms of
formal schemes, then
is universally closed.
(3) If f W X ! Y is a universally closed S -morphism of formal schemes and
0
S ! S is a morphism, then
fS 0 W X S S 0 ! Y S S 0
is universally closed.
Proof. (1) is clear. (2) and (3) are consequences of the special case of (3) with
S D Y (÷1.5. (b)), which in turn follows immediately from the definition.
Proposition 4.5.9. Let f W X ! Y be an adic morphism of adic formal schemes,

and suppose Y has an ideal of definition . Set
Xk D .X; OX = kC1 OX / and Yk D .Y; OY = kC1 /;
and denote by
fk W Xk ! Yk
(a) f is closed .resp. universally closed/.

(b) fk is closed .resp. universally closed/ for any k 0.
(c) f0 is closed .resp. universally closed/.
Proof. The assertion for ‘closed’ is clear. For the other, use 4.5.7.
Corollary 4.5.10. Let f W X ! Y be an immersion between adic formal schemes

of finite ideal type. Then f is a closed immersion if and only if it is closed.
Proof. The ‘only if’ part is clear. Suppose f is closed. To show that f is a closed
immersion, we may work locally on Y , and thus we may assume that Y has an
ideal of definition I of finite type. With the notation as in 4.5.9, the morphism f0
of schemes is closed, and is an immersion (due to 4.4.2). Hence f0 is a closed
immersion (e.g. [54], I, (4.2.2)). Then it follows from 4.3.6 that f is a closed
immersion.

subscheme of Y of finite presentation. If f is universally closed, then the formal
completion fOW Xj
y f 1 .Z/ ! Yy jZ is universally closed.
4.6 Separated morphisms

4.6. (a) Definition and fundamental properties
Proposition 4.6.1. Let f W X ! Y be a morphism of adic formal schemes, and

suppose X is of finite ideal type. Then the diagonal map X W X ! X Y X is an
immersion.
Note that we have already shown in 1.3.7 that the diagonal map X is adic.
Proof. Let V Y be an open subset, and U D f 1 .V /. Then the base change

of X by the open immersion U V U ! X Y X (1.2.8 (2)) coincides with
U W U ! U V U . Since the image of X is contained in the union of open subsets
of theS form U V U , by 4.4.3 we may assume that Y is affine, Y D Spf B. Let
X D ˛2L U˛ be an affine open covering. By 1.2.8 (2), the canonical morphism
U˛ Y Uˇ !SX Y X is an open immersion. As the image of X isS contained in the
open subset ˛2L U˛ Y U˛ , it suffices to show that the map X ! ˛2L U˛ Y U˛
is a closed immersion. By [53], 0, (1.4.8), X 1 .U˛ Y U˛ / D U˛ . By 4.3.9, it
suffices to show that for each ˛ 2 L the diagonal map U˛ W U˛ ! U˛ Y U˛ is
a closed immersion. Set U˛ D Spf A˛ for ˛ 2 L, where A˛ is an adic ring of
finite ideal type. Then the diagonal map corresponds to A˛ b̋B A˛ ! A˛ , which is
clearly surjective. Now by 4.3.7 the proof is complete.
Definition 4.6.2 ([54], I, ÷10.15). A morphism f W X ! Y of formal schemes is

said to be separated if the image X .X/ of the diagonal map X W X ! X Y X
is a closed subset of X Y X. A formal scheme X is said to be separated if it is
separated over Spec Z.
Proposition 4.6.3. Separated morphisms are quasi-separated.

By 4.6.1 we have the following result.
Proposition 4.6.4. Let f W X ! Y be a morphism of adic formal schemes, where

X is of finite ideal type. Then f is separated if and only if the diagonal map
X W X ! X Y X is a closed immersion.
Proposition 4.6.5. (1) The composition of two separated morphisms of adic formal
schemes of finite ideal type is separated.
(2) If the composition g ı f of two morphisms of adic formal schemes of finite
ideal type is separated, then f is separated.
(3) Any open immersion is separated.
Proof. We use diagram ./ in the proof of 1.6.7, page 283. Suppose f W X ! Y
and gW Y ! Z are separated. Then f and g are closed immersions, and hence
X Y X ! X Z X is a closed immersion (4.3.10 (3)). This implies that gıf is
a closed immersion (4.3.10 (1)), that is, g ı f is separated, whence (1).
Suppose g ı f is separated. Since X Y X ! X Z X is an immersion (4.6.1
and 4.4.6 (3)), f .X/ coincides with the pull-back of gıf .X/. Since gıf .X/
is closed in X Z X, f .X/ is closed in X Y X, whence (2).
Finally, if j W U ,! X is an open immersion, then the diagonal map is an iso-
morphism, which is clearly a closed immersion, whence (3).
Proposition 4.6.6. Let f W Y ! X be a morphism of adic formal schemes of finite

ideal type, and fV˛ g˛2L an open covering of X. Then f is separated if and only if
for any ˛ 2 L the base change f 1 .V˛ / ! V˛ is separated.
Proof. Set U˛ D f 1 .V˛ /. SThe image X .X/ of X W X ! X Y X is

contained in the open subset ˛2L U˛ V˛ U˛ . By [53], 0, (1.4.8), we have
X 1 .U˛ V˛ U˛ / D U˛ . Then the assertion follows from 4.6.5 (1), (2), and (3)
and 4.3.9.
Corollary 4.6.7. Any affine morphism between adic formal schemes of finite ideal
type is separated.
Proof. In view of 4.6.6, it suffices to show that a morphism
X D Spf A ! Y D Spf B;
where A and B are adic rings of finite ideal type, is separated. Since B b̋A B ! B
is clearly surjective, the assertion follows from 1.3.7 and 4.3.7.
Proposition 4.6.8. Let S be an adic formal scheme S of finite ideal type.

(1) For separated S -morphisms f W X ! Y and gW X 0 ! Y 0 of adic formal
schemes of finite ideal type over S , the morphism
is separated.
(2) For a separated S -morphism f W X ! Y of adic formal schemes of finite
ideal type over S and a morphism S 0 ! S of adic formal schemes of finite ideal
type, the induced morphism
fS 0 W X S S 0 ! Y S S 0
is separated.
Proof. As we have seen in ÷1.5. (c), (1) and (2) follow from the special case of (2)
with S D Y . We use diagram ./ in the proof of 1.6.7. By 4.3.10 (3), if f is a
closed immersion, then so is f 0 .
finite ideal type, and suppose Y has an ideal of definition of finite type. Set
Xk D .X; OX = kC1 OX / and Yk D .Y; OY = kC1 /;
and denote by
fk W Xk ! Yk
(a) f is separated.
(b) fk is separated for any k 0.
(c) f0 is separated.
Proof. This follows from 1.3.5 and the definition of separatedness.
By 1.5.2, 4.6.9, and [53], (5.3.1), we have the following corollary.
subscheme of Y of finite presentation. If f is separated, then the formal completion
fOW Xj
y f 1 .Z/ ! Yy jZ is separated.
Proposition 4.6.11. Let B be an adic ring of finite ideal type, and
f W X ! Y D Spf B
S
a morphism between adic formal schemes of finite ideal type. Let X D ˛2L U˛ be
an affine open covering of X, where U˛ D Spf A˛ for an adic ring A˛ of finite ideal
type for each ˛ 2 L. Then f is separated if and only if the following conditions
are satisfied for any ˛; ˇ 2 L.
(a) The intersection U˛ \ Uˇ is affine and U˛ \ Uˇ D Spf A˛ˇ for an adic ring
A˛ˇ of finite ideal type.
(b) The induced map A˛ b̋B Aˇ ! A˛ˇ is surjective.
Proof. First note that the diagram
X
XO / X Y X
O
?
U \ U / U ? Y U
is Cartesian (1.2.7 and 1.6.3). Suppose f is separated, that is, X is a closed

immersion (4.6.4). Then by 4.3.10 (3) the map U˛ \ Uˇ ! U˛ Y Uˇ is a closed
immersion. Since U˛ Y Uˇ D Spf A˛ b̋B Aˇ is affine, U˛ \ Uˇ is affine (4.3.5 (1))
and the map A˛ b̋B Aˇ ! .U˛ \ Uˇ ; OX / is surjective (4.3.7).
Conversely, if any U˛ \ Uˇ D Spf A˛ˇ is affine and A˛ b̋B Aˇ ! A˛ˇ is
surjective, then U˛ \ Uˇ ! U˛ Y Uˇ is a closed immersion (4.3.7). Since the
open subsets of X Y X of the form U˛ Y Uˇ cover X Y X, X is a closed
immersion due to 4.3.9.
4.6. (b) Separatedness and properties of morphisms

Proposition 4.6.12. Let f W X ! Y be a morphism of adic formal schemes of finite
ideal type, and gW Y ! Z a separated morphism of adic formal schemes of finite
ideal type. Then the graph f W X ! X Z Y is a closed immersion. If, moreover,
X; Y; Z are locally universally rigid-Noetherian and g is of finite type, then f is
of finite presentation.
Proof. Since the diagram
f
X / X Z Y
f f Z Y

Y / Y Z Y
g
is Cartesian, the first assertion follows from 4.6.4. The last assertion follows from
4.3.12, 2.2.2 (4), and the following lemma.
Lemma 4.6.13. Let A be an adic ring of finite ideal type, and B an A-algebra
topologically of finite type. Then the kernel of the morphism
B b̋A B ! B; x ˝ y 7 ! xy;
is generated by f1 ˝ s s ˝ 1W s 2 S g, where S B is a topological generator of
B over A.
Proof. It suffices to show the assertion in the case where B is the restricted power
series ring B D AhhX1 ; : : : ; Xn ii. Then we have to show that the kernel of the
morphism
AhhX1 ; : : : ; Xn ; Y1 ; : : : ; Yn ii ! AhhZ1 ; : : : ; Zn ii
sending Xi and Yi to Zi for i D 1; : : : ; n is the ideal a generated by the elements
Xi Yi (1 i n). Since the similar assertion is known to hold for polynomial
rings, this is equivalent to the ideal a being closed. We show this by induction with
respect to n.
The case n D 0 is trivial.
Consider A0 D AhhXn ; Yn ii=.Xn Yn /, which is I -adically complete (where
I A is an ideal of definition) due to Exercise 0.7.2; in particular, A0 Š AhhZn ii.
The morphism in question factors through
A0 hhX1 ; : : : ; Xn 1 ; Y1 ; : : : ; Yn 1 ii ! A0 hhZ1 ; : : : ; Zn 1 ii Š AhhZ1 ; : : : ; Zn ii:
By induction,
A0 hhX1 ; : : : ; Xn 1 ; Y1 ; : : : ; Yn 1 ii=.Xi Yi W i D 1; : : : ; n 1/ Š AhhZ1 ; : : : ; Zn ii:
Now again by Exercise 0.7.2 we have
AhhX1 ; : : : ; Xn ; Y1 ; : : : ; Yn ii=.Xn Yn / Š A0 hhX1 ; : : : ; Xn 1 ; Y1 ; : : : ; Yn 1 ii;
whence
AhhX1 ; : : : ; Xn ; Y1 ; : : : ; Yn ii=a Š AhhZ1 ; : : : ; Zn ii;
as desired.
Proposition 4.6.14. Let P be a property of arrows in the category AcFs satis-
fying (I) and (C) in 0, ÷1.5. (b) and the mutually equivalent conditions .Bi / for
i D 1; 2; 3 .with DQ D AcFs/ in 0, ÷1.5. (c). Suppose that any closed immersion
satisfies P . Then if f W X ! Y and gW Y ! Z are morphisms of adic formal
schemes of finite ideal type such that g ı f satisfies P and g is separated, f satis-
fies P .
Proof. The morphism f coincides with the composition
f .gıf /Z idY
X ! X Z Y ! Y:
Since g is separated, the first arrow is a closed immersion (4.6.12), whence the
claim.
Corollary 4.6.15. Let f W X ! Y and gW Y ! Z be morphisms of adic formal
schemes of finite ideal type, and suppose g is separated. If g ı f satisfies one of
the following conditions, then so does f :
(a) adic,
(b) locally of finite type .resp. of finite type/,
(c) quasi-compact .resp. quasi-separated, resp. coherent/,
(d) affine adic,
(e) finite,
(f) closed immersion .resp. immersion/,
(g) universally closed.
4.7 Proper morphisms

type is said to be proper if it is separated of finite type and universally closed.
By 4.5.7, a proper morphism of schemes f W X ! Y is also proper as a mor-
phism of (0-adic) formal schemes. The following proposition follows immediately
from 4.6.6, the definition of ‘of finite type’ (1.7.1), and 4.5.6.
Proposition 4.7.2. Let f W Y ! X be a morphism of adic formal schemes of finite
ideal type, and fV˛ g˛2L an open covering of X. Then f is proper if and only if for
any ˛ 2 L the base change f 1 .V˛ / ! V˛ is proper.
By 4.6.9, 1.7.3, and 4.5.9, we have the following result.
Xk D .X; OX = kC1 OX / and Yk D .Y; OY = kC1 /
for k 0. Let
fk W Xk ! Yk
be the induced morphism of scheme. The following conditions are equivalent.
(a) f is proper.
(b) fk is proper for any k 0.
(c) f0 is proper.
Proposition 4.7.4. Any finite morphism between adic formal schemes of finite ideal
type is proper.
Proof. To check if an adic morphism f W X ! Y of adic formal schemes is proper,
by 4.7.2 we may assume that Y has an ideal of definition of finite type. Then the
assertion follows immediately from 4.2.3 and 4.7.3.
Proposition 4.7.5. (1) If f W Z ! Y and gW Y ! X are proper, then so is the

(2) For any proper S -morphisms f W X ! Y and gW X 0 ! Y 0 of adic formal
induced morphism
is proper.
(3) For any proper S -morphism f W X ! Y of adic formal schemes of finite
fS 0 W X S S 0 ! Y S S 0
is proper.
(4) Suppose the composition g ı f of two adic morphisms of adic formal
schemes of finite ideal type is proper. If g is separated, f is proper. If g is sep-
arated of finite type and f is surjective, then g is proper.
Proof. (1), (2), and (3) follow from 4.6.5, 4.6.8, 1.7.2, and 4.5.8. The first assertion
of (4) follows from 4.6.14 and 4.7.4. For the other assertion, it suffices to show that
g is closed. But this is easy to see, since f is surjective.
In view of 1.5.2, 4.7.3 and [54], II, (5.4.2), yield the following corollary.

scheme of Y of finite presentation. If f is proper, then the formal completion
fOW Xj
yf 1 .Z/ ! YyZ
is proper.
4.8 Flat and faithfully flat morphisms

Let f W X ! Y be a morphism of formal schemes, and F an OX -module. As usual
(cf. 0.4.1.5), we say that F is f -flat (or Y -flat) at x 2 X if Fx is flat as a module
over OY;f .x/ ; likewise, by saying that F is f -flat we mean that F is flat at every
point of X. Similarly, a morphism of formal schemes f W X ! Y is said to be flat if
it is flat as a morphism of locally ringed spaces, that is, for any x 2 X the induced
morphism OY;f .x/ ! OX;x is flat.
4.8. (a) First properties of flatness

Proposition 4.8.1. Let A ! B be an adic map of t.u. rigid-Noetherian rings and
I A a finitely generated ideal of definition. Consider the associated adic mor-
phism
f W X D Spf B ! Y D Spf A:
Let M be a finitely generated A-module and F D M the associated a.q.c. sheaf
on X of finite type. For k 0 we set
Xk D Spec Bk and Yk D Spec Ak ;
where
Bk D B=I kC1 B and Ak D A=I kC1 ;
and denote by
fk W Xk ! Yk
the induced morphism of schemes. We likewise set
Fk D F =I kC1 F ;
for k 0. The following conditions are equivalent.

(a) F is f -flat.
(b) Fk is fk -flat for any k 0.
(c) M is A-flat.
Proof. Implication (a) H) (b) is easy; indeed, fk is the base change of f by the
closed immersion Yk ! Y defined by I kC1 . If (b) holds, then Mk D M=I kC1 M
is Ak -flat for any k 0. Then (c) follows by 0.8.3.8.
Let us show (c) H) (a). Let M be A-flat. Then Mg for any g 2 A is Ag -flat
(where we denote the image of g in B again by g). But then, by 0.8.3.8, the
completed localization Mfgg is flat over Afgg , since Afgg is t.u. rigid-Noetherian.
Similarly, whenever there exists a canonical morphism Bg ! Bh , Mfhg is flat over
Afgg . Indeed, we have
Mfhg D Mfgg b̋Bfgg Bfhg D Mfgg ˝Bfgg Bfhg I
on the other hand, since Bg ! Bh is flat, Bfgg ! Bfhg is flat by 0.8.3.8, thus Mfhg
is flat ove Afgg .
Now let y D q be a point of Y (q is an open prime ideal of A), and set x D
f .y/ D p. For any g 62 p, lim M D Fy is flat over Afgg . Varying g and
!h62q fhg
taking the inductive limit, we deduce that Fy is flat over OX;x D lim A ,
!g62p fgg
whence (a).
Corollary 4.8.2. Let f W X ! Y be an adic morphism between locally universally

rigid-Noetherian formal schemes, and F an a.q.c. sheaf on X of finite type. Sup-
pose Y has an ideal of definition of finite type, and set
Xk D .X; OX = kC1 OX /; Yk D .Y; OY = kC1 /;
and
Fk D F = kC1 F
for any k 0. Let
fk W Xk ! Yk
lent.
(a) F is flat over Y .
(b) Fk is flat over Yk for any k 0.
Corollary 4.8.3. Let f W X ! Y be adic morphism between locally universally
rigid-Noetherian formal schemes, and F an a.q.c. sheaf of finite type on X. Then
(a) F is f -flat.
(b) the functor G 7! F ˝f 1 OY f 1 G from the category of a.q.c. sheaves on Y
of finite type to the category of a.q.c. sheaves on X of finite type .cf. 3.5.9/
is exact.
Corollary 4.8.4. (1) Let f W X ! Y and gW X 0 ! Y 0 be flat S -morphisms of lo-
cally universally rigid-Noetherian formal schemes that are adic over an adic formal
scheme S of finite ideal type. Suppose X S Y and X 0 S Y 0 are locally universally
rigid-Noetherian. Then the induced morphism
is flat.
(2) Let f W X ! Y be a flat S -morphism of locally universally rigid-Noetherian
formal schemes that are adic over an adic formal scheme S of finite ideal type, and
S 0 ! S an adic morphism of adic formal schems of finite ideal type. Suppose that
X S S 0 and Y S S 0 are locally universally rigid-Noetherian. Then the induced
morphism
fS 0 W X S S 0 ! Y S S 0
is flat.
Proof. Since the statement is local on S , we may assume that S has an ideal of
definition of finite type. Then the corollary follows from 4.8.1, 1.3.5, and [54], IV,
(2.1.7).
4.8. (b) Faithfully flat morphisms

Definition 4.8.5. Let f W X ! Y be an adic morphism between locally universally
rigid-Noetherian formal schemes, and F an a.q.c. sheaf on X of finite type.
(1) We say F is faithfully flat over Y if the functor G 7! F ˝f 1 OY f 1 G from
the category of a.q.c. sheaves on Y of finite type to the category of a.q.c. sheaves
on X of finite type is exact and faithful (cf. 4.8.3).
(2) If OX is faithfully flat over Y , then we say the morphism f is faithfully flat
or X is faithfully flat over Y .
The condition in (1) is equivalent to that F is f -flat and for an a.q.c. sheaf G
of finite type on Y , F ˝f 1 OY f 1 G D 0 implies G D 0.
Proposition 4.8.6. Let f W X ! Y be an adic morphism between locally univer-
sally rigid-Noetherian formal schemes, and F an a.q.c. sheaf on X of finite type.
F is faithfully flat over Y if and only if f -flat and f .Supp.F // D Y .
To show the proposition, we first need to prove the following lemma.
Lemma 4.8.7. Let f W X ! Y be an adic morphism of locally universally rigid-
Noetherian formal schemes, and suppose that Y has an ideal of definition of finite
type . Let
be the induced morphism of schemes for k 0. Then for any a.q.c. sheaf F of
finite type on X and k 0,
f .Supp.F // D fk .Supp.Fk //;
where Fk D F = kC1 F , holds.

Proof. We first show the claim in the affine case X D Spf A and Y D Spf B,
where A; B are t.u. rigid-Noetherian rings, and I B is a finitely generated ideal
of definition. In this case, F D M for a finitely generated A-module M . For an
open prime ideal q of B, q 2 f .Supp.F // if and only if Mfgg D M ˝A Afgg ¤ 0
for some g 2 B nq. By Nakayama’s lemma, this is equivalent to Mg =I kC1 Mg ¤ 0,
whence the claim in this case. The general case reduces to the affine case, since
y 2 Y lies in f .Supp.F // if and only if there exists x 2 Supp.F / such that
f .x/ D y.
Proof of Proposition 4.8.6. We may assume that Y has an ideal of definition of
finite type . Let fk W Xk D .X; OX = kC1 OX / ! Yk D .Y; OY = kC1 / be the
induced morphism of schemes for k 0, and set Fk D F = kC1 F . By 4.8.7,
f .Supp.F // D fk .Supp.Fk // for any k 0. Suppose F is faithfully flat over Y .
Then F is f -flat due to 4.8.3. To show that f .Supp.F // D Y , it suffices to

show that f .Supp.Fk // D Y . By 4.8.2, the quasi-coherent OXk -module Fk is
fk -flat. If f .Supp.Fk // ¤ Y for some k, there exists a point y 2 Y such that
Fk ˝OYk k.y/ D 0, where k.y/ is the residue field of y ([54], IV, (2.2.1)). This
implies, in particular, that F ˝OY k.y/ D 0, which contradicts the assumption,
since k.y/ can be regarded as an a.q.c. sheaf on Y of finite type in an obvious way.
Conversely, suppose F is f -flat and f .Supp.F // D Y . By 4.8.2, we know
that Fk is fk -flat for any k 0. Suppose F ˝OY G D 0 for an a.q.c. sheaf
G on Y . Consider for k 0 the equalities .F ˝OY G /k D Fk ˝OYk Gk D 0
(where Gk D G = kC1 G ). Since fk .Supp.Fk // D Yk , Fk is faithfully flat over Yk
([54], IV, (2.2.6)), and hence Gk D 0. Since G D lim Gk , we have G D 0, as
k0
desired.
Corollary 4.8.8. Let f W X ! Y be an adic morphism between locally universally

rigid-Noetherian formal schemes. Then f is faithfully flat if and only if f is flat
and is surjective.
Corollary 4.8.9. Let X be an locally universally

` rigid-Noetherian formal scheme,
and Xx ! X a Zariski covering, that is, Xx D ˛2L U˛ ! X for an open covering
fU˛ g˛2L of X. Then the map Xx ! X is faithfully flat.
Corollary 4.8.10 (local criterion of flatness). Let f W X ! Y be an adic morphism

between locally universally rigid-Noetherian formal schemes, and F an adically
quasi-coherent sheaf on X of finite type. Suppose Y has an ideal of definition of
finite type, and set
Xk D .X; OX = kC1 OX /; Yk D .Y; OY = kC1 /;
and
Fk D F = kC1 F
for any k 0. Let
fk W Xk ! Yk
be the induced morphism of schemes. The following conditions are equivalent.
(a) F is faithfully flat over Y .

(b) Fk is faithfully flat over Yk for any k 0.
If, moreover, X and Y are affine X D Spf B and Y D Spf A, and if F D M for
a finitely generated B-module M , then the conditions are equivalent to
(c) M is faithfully flat over A.
Proof. The equivalence of (a) and (b) follows immediately from 4.8.2, 4.8.6 and
[54], II, (2.2.6). The last assertion follows from 0.8.3.5.
Corollary 4.8.11. (1) Let f W X ! Y and gW X 0 ! Y 0 be faithfully flat S -mor-

phisms of locally universally rigid-Noetherian formal schemes that are adic over
an adic formal scheme S of finite ideal type. Suppose X S Y and X 0 S Y 0 are
locally universally rigid-Noetherian. Then the induced morphism
is faithfully flat.
(2) Let f W X ! Y be a faithfully flat S -morphism of locally universally rigid-
Noetherian formal schemes that are adic over an adic formal scheme S of finite
ideal type, and S 0 ! S an adic morphism of adic formal schemes of finite ideal
type. Suppose that X S S 0 and Y S S 0 are locally universally rigid-Noetherian.
Then the induced morphism
fS 0 W X S S 0 ! Y S S 0
is faithfully flat.
(3) Let f W X ! Y and gW Y ! Z two adic morphisms of locally universally
rigid-Noetherian formal schemes, and suppose f is faithfully flat. Then for g to
be flat .resp. faithfully flat/ it is necessary and sufficient that g ı f is flat .resp.
faithfully flat/.
Proof. Since we assume that S has an ideal of definition, the corollary follows
from 4.8.10 and 1.3.5, and [54], IV, (2.1.7).
4.8. (c) Adically flat morphisms. As is implicit in the above observations, we

need to assume, whenever discussing flatness, that the formal schemes under con-
sideration are locally universally rigid-Noetherian. In more general situation, the
weaker notion of ‘adical flatness’ defined as follows is more reasonable.
Definition 4.8.12. (1) Let f W X ! Y be an adic morphism of adic formal schemes

of finite ideal type, and x 2 X a point. Then f is said to be adically flat at x if
there exist an affine open neighborhood V of y D f .x/ and an ideal of definition
of finite type of V , such that for any k 0 the induced morphism of schemes
Uk ! Vk is flat at x, where U D f 1 .V /, Vk is the closed subscheme of V
defined by kC1 , and Uk D Vk V U .
(2) An adic morphism f W X ! Y between adic formal schemes is said to be
adically flat if f is adically flat at all points of X (cf. 1.5.5). If f is, moreover,
surjective, we say that f is adically faithfully flat.
It is clear that in (1) the definition does not depend on the choice of . Hence
we readily have the following result.
for k 0, and denote by

fk W Xk ! Yk
(a) f is adically flat.

(b) fk is flat for k 0.
subscheme of Y of finite presentation. If f is flat, then the formal completion
fOW Xj
y f 1 .Z/ ! Yy jZ is adically flat.
In particular, by 4.8.2 and 4.8.8 we have the following result.

Proposition 4.8.15. An adically flat morphism between locally universally rigid-
Noetherian formal schemes is flat. In particular, an adic morphism between locally
universally rigid-Noetherian formal schemes is faithfully flat if and only if it is
adically faithfully flat.
Proposition 4.8.16. (1) The composition of two adically flat morphisms is adically
flat. Let f W X ! Y and gW Y ! Z be adic morphisms of adic formal schemes of
finite ideal type. Suppose f is adically faithfully flat. Then if g ı f is adically flat,
so is g.
(2) For any adically flat S -morphisms f W X ! Y and gW X 0 ! Y 0 of adic
formal schemes of finite ideal type over an adic formal scheme S of finite ideal
type, the induced morphism
is adically flat.
(3) For any adically flat S -morphism f W X ! Y of adic formal schemes of
finite ideal type over an adic formal scheme S of finite ideal type, and for any mor-
phism S 0 ! S of adic formal schemes of finite ideal type, the induced morphism
fS 0 W X S S 0 ! Y S S 0
is adically flat.
The proof is easy, and is left to the reader. Using 0.8.3.7, one can easily deduce
the following useful fact.
Proposition 4.8.17. Let f W X ! Y and gW Y ! Z be adic morphisms of adic
formal schemes of finite ideal type. Suppose that Z has an ideal of definition of
finite type, and set
Xk D .X; OX = kC1 OX /; and Yk D .Y; OY = kC1 OY /;
and
Zk D .Z; OZ = kC1 /
for k 0. Suppose, moreover, that g is adically flat. Then the following conditions
are equivalent.
(a) f is adically flat.
(b) g ı f is adically flat, and f0 W X0 ! Y0 is flat.
Proposition 4.8.18. Suppose that we have the commutative diagram
Z❅
❅❅
❅❅gıf
f ❅❅
❅
Y /X
g
consisting of adic formal schemes of finite ideal type and that f is adically faithfully
flat and quasi-compact. Then g is adic if and only if g ı f is adic.
Proof. The ‘only if’ part is clear due to 1.3.6 (1). To show the ‘if’ part, we may
assume that X and Y are affine, X D Spf A and Y D Spf B, where A and B
are adic rings of finite ideal type. Since f is quasi-compact, one can replace Z
by a disjoint union of affine open subspaces, and thus we may assume that Z is
affine, Z D Spf R, where R is an adic ring of finite ideal type. Hence we have the
following diagram
? RO
⑧⑧
⑧⑧⑧
⑧
⑧⑧
A / B,
where we assume that the map A ! R is adic. We need to show that A ! B is

adic. Take a finitely generated ideal of definition I A (resp. J B) of A (resp.
B). Replacing I by a suitable power, we may assume that J m R IR J n R for
some m; n 1. Since, by the assumption, the maps B=J kC1 ! R=J kC1 R are
faithfully flat for all k 0, we have
J m IB C J kC1 J n
for any sufficiently large k. This shows that the closure IB of IB in the J -adic
ring B is an ideal of definition of B. Since IB=J kC1 Š .IB C J kC1 /=J kC1 , the
ideal IB is finitely generated, by 0.7.2.4. Since IB is dense in IB and IB is open,
2
we have IB D IB C IB . By Nakayama’s lemma, IB D IB, and hence IB is an
ideal of definition of B. This shows that A ! B is adic, as desired.
Exercises
Exercise I.4.1. Let f W X ! Y be an affine adic morphism of adic formal schemes
of finite ideal type, and F (resp. R) an a.q.c. sheaf (resp. a.q.c. OX -algebra).
Suppose that there exists an ideal of definition of Y of finite type. Show that
f kC1 F D kC1 f F (resp. f kC1 R D kC1 f R)
holds for k 0.
Exercise I.4.2. Let X D Spf A be an affine universally rigid-Noetherian formal

scheme, and K A an ideal. Show that K D K is an ideal of OX and that
OX =K is a.q.c. In particular, .Y; OX =K/, where Y is the support of OX =K is a
closed formal subscheme of X.
Exercise I.4.3. Let A ! B be an adic map of adic rings of finite ideal type, and
I A a finitely generated ideal of definition. Suppose that Spf B ! Spf A is adi-
cally faithfully flat. Let F D fF n gn2Z be a descending filtration of A, separated
and exhaustive (cf. 0, ÷7.1. (a)), consisting of finitely generated ideals such that for
any q 0 and n 2 Z we have I q F n F nCq (cf. 0, ÷7.4. (a)). Show that the
following conditions are equivalent:
(a) the filtration F is I -good .0:7.4.2/;
(b) the induced filtration F B D fF n Bgn2Z on B is IB-good.
5 Differential calculus on formal schemes

This section aims at establishing some basic result on differential calculus on for-
mal schemes. We define the related notions of morphisms of formal schemes, neat,
étale, and smooth morphisms, and discuss fundamental properties of them. In order
to do this, we first develop in ÷5.1 the ‘continuous’ version of the theory of deriva-
tions and differentials and discuss completions of differential modules. The theory
of continuous derivations and differentials has already been discussed in [54], 0IV ,
÷20, and most of our arguments here will be, therefore, brief rehashes of what have
been done in this reference.
5. Differential calculus on formal schemes 351
In ÷5.2 we define for a morphism X ! Y of adic formal schemes of finite

1
ideal type the sheaf X=Y of 1-differentials as an a.q.c. sheaf. Based on this, we
then proceed to discuss étale and smooth morphisms of formal schemes in ÷5.3.
Here the reader should be warned that, according to our definitions, smooth or even
étale morphisms are only adically flat, but not necessarily flat. Needless to say, this
defect comes from the non-existence of a local criterion of flatness (cf. 0.8.3.4).
Hence, in particular, they are flat if the formal schemes under consideration are
locally universally rigid-Noetherian (2.1.7).
5.1 Differential calculus for topological rings

Let us first recall some generalities of differential calculus for linearly topologized
rings, which has already been developed in [54], 0IV , ÷20.
5.1. (a) Continuous derivations. Let A ! B be a homomorphism of rings. Sup-

pose that B is endowed with a descending filtration by ideals (0, ÷7.1. (a)) J D
fJ g2ƒ , and consider the topology on B defined by J (0, ÷7.1. (b)). In this situ-
ation, one can similarly consider the topology on any B-module M defined by the
descending filtration by B-submodules J M D fJ M g2ƒ .
We denote by
Der:contA .B; M /
the set of all continuous A-derivations of B with values in M , that is, continuous
additive mappings ıW B ! M such that ı.xy/ D xı.y/ C yı.x/ for x; y 2 B and
that ı.a/ D 0 for a 2 A. Note that the continuity of ı is equivalent to the fact that
for any 2 ƒ there exists 2 ƒ such that ı.J / J M . It is then easy to
verify that the set Der:contA .B; M / has a canonical B-module structure in such a
way that it is a B-submodule of the B-module DerA .B; M / of all A-derivations of
B with values in M .
5.1. (b) Differentials and canonical topology. Consider the differential module
1
B=A (without regarding topologies) together with the A-derivation
1
d W B ! B=A :
1
In order for a B-linear morphism 'W B=A ! M be such that the composition
' ı d is continuous, it is necessary and sufficient that for any 2 ƒ there exist
2 ƒ such that d.J / ' 1 .J M /. Hence, it is natural to consider the topol-
1
ogy on the B-module B=A defined by the descending filtration by B-submodules

hd.J /iB D fhd.J /iB g2ƒ , where hd.J /iB denotes the B-submodule of B=A
1
generated by the image d.J /. We call this topology on B=A

1
the canonical topol-
1
ogy. Note that the A-derivation d W B ! B=A is continuous.
Proposition 5.1.1. The map ' 7! ' ı d induces an isomorphism

1
Hom:contB .B=A ; M / ! Der:contA .B; M /
of B-modules, where the left-hand side is the B-module consisting of continuous

1
B-linear maps and B=A is endowed with the canonical topology.
1
Proposition 5.1.2. The canonical topology on B=A is coarser than the linear
1
topology defined by J B=A . These two topologies coincide if for any 2 ƒ there
exists 2 ƒ such that J .J /2 .
Note that the hypothesis of the second assertion is satisfied if the topology on
B is adic (0, ÷7.2. (a)).
Proof. For a 2 J and x 2 B we have ad.x/ D d.ax/ xd.a/, which belongs

to hd.J /iB . As B=A
1
is generated by elements of the form d.x/ .x 2 B/, this
shows the inclusion J B=A hd.J /iB , whence the first assertion. As for the
1
1 1
second, observe that hd..J /2 /iB J B=A , which shows that each J B=A is

open with respect to the topology defined by the filtration fhd.J /iB g2ƒ .
5.1. (c) Completion and differentials. Now we assume that B is endowed with
the adic topology defined by a finitely generated ideal J B (0, ÷7.2. (a)). Then,
1
by 5.1.2, the canonical topology on the differential module B=A coincides with
1
the J -adic topology. We denote the J -adic completion (0.7.2.6, 0.7.2.16) of B=A
by y 1 , and call it the complete differential module of B relative to A. Using the
B=A
universality of J -adic completions, we deduce from 5.1.1 the following result.
Proposition 5.1.3. For any J -adically complete B-module M the canonical map
' 7! ' ı d gives rise to an isomorphism
y 1 ; M / ! Der:contA .B; M /
Hom:contB . B=A
of B-modules.
Corollary 5.1.4. Let A; B be rings with adic topologies defined by finitely gen-
erated ideals and A ! B a continuous homomorphism. We have the canonical
isomorphisms

y1 y1 y1 :
B=A ! B=A y ! y Ay
B=
Proof. In view of 5.1.3 it suffices to show that the natural maps

y M / , ! Der:contA .B;
Der:contAy.B; y M / ! Der:contA .B; M /
are bijective for any J -adically complete B-module M . The bijectivity of the
first arrow follows immediately from the fact that A ! B is continuous. Since
ı.J kC1 / J k M for k 0, any A-derivation ıW B ! M can be uniquely ex-
tended to an A-derivation from B,y whence the bijectivity of the second arrow.
Let A (resp. B, resp. C ) be a ring with the adic topology defined by a finitely
generated ideal I A (resp. J B, resp. K C ), and A ! B and A ! C
continuous homomorphisms such that IB J and IC K. As we have seen
in ÷1.2. (a), B ˝A C has the topology defined by H D fH mn gm;n0 , where
H m;n D image.J m ˝A C ! B ˝A C / C image.B ˝A K n ! B ˝A C /
for m; n 0. It is shown in (the proof of) 1.2.2 that this topology is actually
H -adic, where H D H 1;1 . We consider the B ˝A C -module B=A 1
˝A C . This is
endowed with the topology defined similarly to that of B ˝A C , that is, the topology
defined by fH 0 m;n gm;n0 , where
mn
H0 D image.J m B=A
1 1
˝A C ! B=A ˝A C /
1
C image.B=A ˝A K n ! B=A
1
˝A C /
for m; n 0. This topology in turn coincides with the topology defined by

fH m;n .B=A
1
˝A C /gm;n0 , because H 0 m;n D H m;n .B=A1
˝A C / for m; n 0.
1
It follows that the topology on B=A ˝A C coincides with the H -adic topology.
Hence in view of [54], 0IV , (20.5.5), we have the following result.
Proposition 5.1.5. We have the canonical isomorphism

1
B=A y1
b̋A C !
Bb̋A C=C
of topological B b̋A C -modules.
Corollary 5.1.6. In the situation as in 5.1.5, we have
y1
y1
=H kC1 1
Š B ˝Ak Ck
Bb̋A C=C Bb̋A C=C k =Ak
for k 0, where Ak D A=I kC1 , Bk D B=J kC1 , and Ck D C =K kC1 .
Proof. By 5.1.5, H kC1 .B=A

1 1
b̋A C / is closed in B=A b̋A C , and hence
1 b̋A C =H kC1 .B=A

1 1
B=A b̋A C / Š B=A ˝A C =H kC1 .B=A
1
˝A C /;
from which the desired equality follows.

Corollary 5.1.7. Let A .resp. B/ be a ring with the adic topology defined by a
finitely generated ideal I A .resp. J B/, and A ! B be a continuous
homomorphism such that IB J . Set
Ak D A=I kC1 and Bk D B=J kC1
for k 0. Then for any k 0, up to canonical isomorphisms,
1
B=A =J kC1 B=A
1 1
D B=A 1
˝B Bk D B k =Ak
:
y 1 is canonically isomorphic to
In particular, the complete differential module B=A
1
the projective limit, lim B k =Ak
.
k0
Proof. We apply 5.1.6 with C D A. Since, in this case, H D J , we have the

following equalities up to canonical isomorphisms:
y 1 =J kC1
y1 D y 1 =J kC1
y 1 D 1 =J kC1 1 D 1
y
B=A y
B=A B=A B=A B=A B=A Bk =Ak ;
where the first equality is due to 5.1.4.

Proposition 5.1.8. Let A ! B be a continuous homomorphism between adic rings
of finite ideal type (1.1.3, 1.1.6), and S B a multiplicative subset. Then we have

y 1 b̋B BfS
1
g !y1 1 g=A
B=A BfS
1 1
of topological BfS g-modules .cf. ÷1.1. (a) for the definition of BfS g/.
Proof. Let J B be a finitely generated ideal of definition. By [54], 0IV , (20.5.9),
1
B=A ˝B S 1 B Š 1S 1 B=A . Since the topologies on both sides are J -adic, we
obtain the isomorphism 1 b̋B S 1 B Š y1 1 between the J -adic comple-
B=A S B=A
tions. The left-hand side is clearly isomorphic to y 1 b̋B BfS 1
g, while the right-
B=A
hand side is isomorphic to y1 1 due to 5.1.4.
BfS g=A
Proposition 5.1.9. Let A and B be adic rings of finite ideal type, S A a multi-
plicative subset, and AfS 1g ! B a continuous homomorphism. Then we have

y1 y1
B=A ! B=AfS 1g :
of topological B-modules.
Proof. By [54], 0IV , (20.7.17), (cf. 0.7.4.5) the map in question is surjective and
y 1 1 b̋AfS 1 g B is dense in the kernel. But this is 0, since
the image of AfS g=A
y1 1 D y1 1
D 0, where the first equality is due to 5.1.4.
AfS g=A S A=A
5.1. (d) Differentials and finiteness conditions. The following result is a conse-
quence of 5.1.4 applied to B D AhhX1 ; : : : ; Xn ii (the completion of AŒX1 ; : : : ; Xn ).
Proposition 5.1.10. Let A be an adic ring of finite ideal type, and consider
B D AhhX1 ; : : : ; Xn ii:
y 1 is a free B-module of rank n with a basis
The complete differential module B=A
given by dX1 ; : : : ; dXn .
Corollary 5.1.11. Let A be an adic ring of finite ideal type, and B a topologically
finitely generated algebra over A .cf. 0.8.4.1/. Then y 1 is a finitely generated
B=A
B-module.
Proof. Write B D R=a, where R D AhhX1 ; : : : ; Xn ii and a R is a closed ideal.
1
Then by [54], 0IV , (20.7.8), B=A is, as a topological B-module, the quotient of
1
˝R B by the image of a. Hence y 1 is the quotient of
R=A B=A
n
M
1R=A b̋ R B D 1R=A ˝R B D B.dXi ˝ 1/
i D1
(cf. 5.1.10) by the closure of the image of a (cf. 0.7.4.5).

Theorem 5.1.12 (fundamental exact sequences). Let A be a t.u. rigid-Noetherian
ring (2.1.1 (1)).
(1) Let B ! C be an A-algebra homomorphism between topologically finitely
generated A-algebras. Then we have the canonical exact sequence of C -modules
y 1 ˝B C !
y1 y1
B=A C=A ! C=B ! 0:
(2) Let B be a topologically finitely generated A-algebra and a a finitely gen-

erated ideal of B. Set C D B=a. Then we have the canonical exact sequence of
C -modules
a=a2 ! y 1 ˝B C ! y1
B=A C=A ! 0:
y 1 is a
Note that in (1) and (2), since C is a t.u. rigid-Noetherian ring, and B=A
finitely generated B-module, we have y 1 ˝B C D y 1 b̋B C (cf. 2.1.3).
B=A B=A
Proof. (1) Let I A be a finitely generated ideal of definition, and for any k 0
set
Ak D A=I kC1 ; Bk D B=I kC1 B; Ck D C =I kC1 C:
Bk and Ck are finite type Ak -algebras. By [54], 0IV , (20.5.7), we have the exact
sequence
1
B k =Ak
˝Bk Ck ! 1Ck =Ak ! 1Ck =Bk ! 0:
By 0.5.1.7, the projective systems

1
fB k =Ak
˝Bk Ck gk0 ; f1Ck =Ak gk0 ; f1Ck =Bk gk0
are strict. Hence, due to 0.5.1.7 and 0.3.2.5, we obtain the desired exact sequence
upon applying lim .
k0
(2) Define Bk and Ck (k 0) similarly as above. The kernel of Bk ! Ck is
ak D aBk D a=a \ I kC1 . Hence we have the exact sequence ([54], 0IV , (20.5.12))
y1
ak =a2k ! y1
Bk =Ak ˝Bk Ck ! Ck =Ak ! 0:
Since a is finitely generated,
0 ! a2 ! a ! a=a2 ! 0
is an exact sequence of I -adically complete modules. Since A is t.u. rigid-Noethe-

rian, a D lim a=I kC1 a D lim ak etc., whence a=a2 D lim ak =a2k . Then
k0 k0 k0
the desired exact sequence can be obtained by an argument similar to that in the
proof of (1).
Corollary 5.1.13. Let A be a t.u. rigid-Noetherian ring and B a topologically

finitely presented algebra over A. Then y 1 is a finitely presented B-module.
B=A
More precisely, if
B D AhhX1 ; : : : ; Xn ii=a;
where a D .F1 ; : : : ; Fm / is a finitely generated ideal, then
L P
y 1 Š . n BdXi /=. m BdFj /:
B=A i D1 j D1
5.2 Differential invariants on formal schemes

5.2. (a) The sheaf of differentials
Theorem 5.2.1. Let f W X ! Y be a morphism between adic formal schemes of fi-

nite type. Then there exists, uniquely up to isomorphism, an adically quasi-coherent
1
sheaf X=Y of finite type on X, such that for any affine open subset V D Spf A
of Y and any affine open subset U D Spf B of f 1 .V / .where A and B are adic
1
rings of finite ideal type; cf. 3.7.13/, we have .U; X=Y /Š y 1 or, equivalently
B=A
1
.cf. 3.2.8/, X=Y jU Š . y 1 / . If f is locally of finite type, then 1 is a.q.c.
B=A X=Y
of finite type.
Proof. The uniqueness is clear, and the existence follows from 5.1.8 and 5.1.9. The
last assertion follows from 5.1.11 and 3.2.6.
1
We call the a.q.c. sheaf X=Y thus obtained the .complete/ sheaf of differen-
tials over X relative to Y ; this sheaf is equipped with a canonical morphism of
OY -modules
1
d W OX ! X=Y ;
the so-called canonical derivation.
Example 5.2.2. Let Y be an adic formal scheme, and E a locally free sheaf on Y of
finite type. Consider the vector bundle X D V.E/y associated to E (Exercise I.5.2).
1
Then due to 5.1.10 X=Y is a locally free sheaf on X of finite type.
Using 5.1.5 and 3.6.4, we readily obtain the following proposition.
Proposition 5.2.3. Consider a Cartesian diagram

g
X0 /X

Y0 /Y
of adic formal schemes of finite ideal type, and suppose that either one of the fol-
lowing conditions are satisfied:
(a) X and X 0 are locally universally rigid-Noetherian, and X ! Y is locally
of finite type;
(b) Y 0 ! Y is adically flat.
Then we have a canonical isomorphism

gO X=Y
1 1
! X 0 =Y 0 :
Proposition 5.2.4. Let f W X ! Y be a morphism between adic formal schemes of

finite ideal type, and suppose that Y has an ideal of definition of finite type. Set
for any k 0. Then we have natural isomorphisms

1
X=Y =J kC1 X=Y
1 1
Š X=Y 1
˝OX OXk Š X k =Yk
1
for k 0, where X k =Yk
denotes the usual differential module for the map of
schemes fk W Xk ! Yk .
5.2. (b) Differentials on universally rigid-Noetherian formal schemes. The fol-

lowing proposition is a consequence of 5.1.13 and 3.5.6,
Proposition 5.2.5. Let Y be a locally universally rigid-Noetherian formal scheme,

1
see 2.1.7, and X an Y -formal scheme locally of finite presentation. Then X=Y is
a finitely presented OX -module.
By 5.1.12 we have the following theorem.
Theorem 5.2.6 (fundamental exact sequences). Let Z be a locally universally rigid-

Noetherian formal scheme.
(1) Let f W X ! Y and Y ! Z be locally of finite type morphisms of adic
formal schemes of finite ideal type. Then we have the natural exact sequence
fO 1Y =Z ! X=Z

1 1
! X=Y !0
of a.q.c. sheaves on X of finite type, where fc denotes the complete pull-back
(3.6.1; cf. 3.6.2).
(2) Let Y be an adic formal scheme locally of finite type over Z and i W X ,! Y
be an immersion of finite presentation. Let NX=Y be the conormal sheaf of X in Y
(Exercise I.5.3). Then we have the canonical exact sequence
NX=Y ! iO 1Y =Z ! X=Z

1
!0
of a.q.c. sheaves on X of finite type.
5.3 Étale and smooth morphisms

5.3. (a) Neat morphisms
Definition 5.3.1. (1) Let f W X ! Y be an adic morphism between adic formal

schemes of finite ideal type. Then f is said to be adically locally of finite presenta-
tion if for any point x 2 X there exist an open neighborhood U of x in X and an
open neighborhood V of f .x/ in Y that has an ideal of definition of finite type,
such that
(a) f .U / V , and
(b) if we set Uk D .U; OU = kC1 OU / and Vk D .V; OV = kC1 / for k 0,
then the induced map Uk ! Vk of schemes is of finite presentation for any
k 0.
(2) We say that f is adically of finite presentation if it is adically locally of

finite presentation and quasi-compact (1.6.1).
Note that these are properties of the form ‘adically P ’ (÷1.5. (d)), where P D
‘locally of finite presentation’ or ‘of finite presentation’. By 1.7.3, we know that a
morphism f W X ! Y of adically finite presentation (resp. adically locally of finite
presentation) is of finite type (resp. locally of finite type). Moreover, if Y is locally
universally rigid-Noetherian, then f is of adically finite presentation (resp. adically
locally of finite presentation) if and only if it is of finite presentation (resp. locally
of finite presentation) (2.2.4).
Proposition 5.3.2. Let f W X ! Y be a morphism adically locally of finite presen-

tation between adic formal schemes of finite ideal type, and suppose that Y has an
ideal of definition of finite type. Set
for k 0, and let

fk W Xk ! Yk
be the induced map of schemes. Then the following conditions are equivalent.
1
(a) X=Y D 0.
1
(b) X D 0 for any k 0.
k =Yk
1
(c) X 0 =Y0
D 0.
(d) The diagonal map X W X ! X Y X is an open immersion.
Proof. Implications (a) H) (b) H) (c) are clear due to 5.2.4. To show (c) H) (a),
we may work locally and may assume that X and Y are affine, X D Spf B and
Y D Spf A, where A and B are adic rings of finite ideal type and I A is a
finitely generated ideal of definition such that D I . Then (c) implies that
y 1 =I y1 D 0. Since y 1 is a finitely generated B-algebra (5.1.11), we
B=A B=A B=A
have y 1 D 0 by Nakayama’s lemma, whence (a). Condition (d) is equivalent to
B=A
the diagonal map Xk W Xk ! Xk Yk Xk being an open immersion for any k 0
(cf. 1.3.5). Hence by [54], IV, (17.4.2), we have the equivalence (b) () (d).
Definition 5.3.3. (1) An adic morphism f W X ! Y of adic formal schemes of

finite ideal type is said to be neat, or unramified, if it is adically locally of finite
1
presentation and X=Y D 0.
(2) Let f W X ! Y be an adic morphism of adic formal schemes of finite ideal
type, and x 2 X a point. We say that f is neat at x, or unramified at x, if there
exists an open neighborhood U of x in X such that the map U ! Y is neat.

for k 0. Let
fk W Xk ! Yk
lent.
(a) f is neat.
(b) fk is neat for any k 0.
If we assume, moreover, that f is adically locally of finite presentation, then the
conditions are equivalent to
(c) f0 is neat.
This follows immediately from 5.3.2. By 4.4.2 and [54], IV, (17.3.3) (i), we
have the following result.
Proposition 5.3.5. An immersion is neat if and only if it is adically locally of finite
presentation.
Proposition 5.3.6. (1) If f W Z ! Y and gW Y ! X are neat, then so is the
(2) For any neat S -morphisms f W X ! Y and gW X 0 ! Y 0 of adic formal
induced morphism
is neat.
(3) For any neat S -morphism f W X ! Y of adic formal schemes of finite ideal
type over an adic formal scheme S of finite ideal type, and for any morphism S 0 !
S of adic formal schemes of finite ideal type, the induced morphism
fS 0 W X S S 0 ! Y S S 0
is neat.
(4) Suppose that the composition g ı f of two adic morphisms of adic formal
schemes of finite ideal type is neat and that g is adically locally of finite presenta-
tion. Then f is neat.
Proof. (1) follows from [54], IV, (17.3.3) (ii). By 1.5.1 and 5.3.4, (2) and (3) follow
from [54], IV, (17.3.3) (iii) and (iv). Finally, (4) follows from 5.3.4 and [54], IV,
(17.3.3) (v).
In view of 1.5.2 we have the following corollary.

scheme of Y of finite presentation. If f is neat, then the formal completion
fOW Xj
yf 1 .Z/ ! YyZ
is neat.
The following two propositions follow from 5.2.6 (1).
Proposition 5.3.8. Consider morphisms f W X ! Y and gW Y ! Z of locally
universally rigid-Noetherian formal schemes. Suppose that f is locally of finite
type and that g is neat. Then we have the canonical isomorphism
1 1
X=Z ! X=Y
of a.q.c. sheaves on X.
Proposition 5.3.9. Let Z be a locally universally rigid-Noetherian formal scheme
and f W X ! Y a Z-morphism between adic formal schemes that are locally of
finite type over Z. If f neat, then the canonical map
fO 1Y =Z ! X=Z
1
is surjective. The converse holds if f is locally of finite presentation.
5.3. (b) Étale morphisms

Definition 5.3.10. (1) An adic morphism f W X ! Y between adic formal schemes
of finite ideal type is said to be étale if it is neat and adically flat (4.8.12).
(2) Let f W X ! Y be an adic morphism of adic formal schemes, and x 2 X a
point. We say that f is étale at x if there exists an open neighborhood U of x in X
such that the map U ! Y is étale.
Étale morphisms are adically locally of finitely presentation (5.3.1 (1)), and
hence are locally of finite type. Moreover, if f W X ! Y is étale and Y is locally
universally rigid-Noetherian, then f is locally of finite presentation (due to 2.2.4)
and flat (due to 4.8.15).
fk W Xk ! Yk
the induced morphism of schemes.

(a) f is étale.
(b) fk is étale for k 0.
This follows from 5.3.4 and 4.8.13.

subscheme of Y of finite presentation. If f is étale, then the formal completion
fOW Xj
yf 1 .Z/ ! Yy jZ
is étale.
Proposition 5.3.13. (1) Any open immersion of adic formal schemes of finite type
is étale.
(2) The composition of two étale morphisms is étale. Let both f W X ! Y
and gW Y ! Z be adically locally of finite presentation morphisms. Suppose f is
adically faithfully flat. Then if g ı f is étale, so is g.
(3) For any étale S -morphisms f W X ! Y and gW X 0 ! Y 0 of adic formal
induced morphism
is étale.
(4) For any étale S -morphism f W X ! Y of adic formal schemes of finite
fS 0 W X S S 0 ! Y S S 0
is étale.
Proof. (1) and the first part of (2) are clear. The second part of (2) follows from
5.3.11 and [54], IV, (17.7.7). By 1.5.1, (3) and (4) follow from [54], IV, (17.3.3).

Proposition 5.3.14. Consider morphisms f W X ! Y and gW Y ! Z of adic formal

schemes of finite ideal type. Suppose that f is étale and that g is locally of finite
type. Then we have the canonical isomorphism

fO 1Y =Z ! X=Z
1
of a.q.c. sheaves on X.
Proof. As the question is local, we may assume that Y and Z have ideals of defini-
tion J and , respectively, such that OY J. For k 0, set
Xk D .X; OX =J kC1 OX /;
Yk D .Y; OY =J kC1 /;
Zk D .Z; OZ = kC1 /
By 5.2.4 (cf. 5.1.7) and 3.6.5, the differential module fc 1Y =Z (resp. X=Z
1
) co-
1 1
incides with the projective limit lim fk Yk =Zk (resp. lim Xk =Zk ). As
k0 k0
fk W Xk ! Yk is étale (5.3.11), we have fk 1Yk =Zk Š X
1
k =Zk
([54], IV, (17.2.4)),
and hence we get the desired isomorphism.
5.3. (c) Smooth morphisms. We first remark that the following proposition holds
due to 5.1.10.
Proposition 5.3.15. Let Y be an adic formal scheme of finite ideal type, and con-
sider the affine n-space
y n D Spec ZŒX1 ; : : : ; Xn Spec Z Y
A Y
.fiber product taken in the category Fs of all formal schemes/ over Y (see Exer-
cise I.5.1 (1)). Then the differential module 1y n is a free OAy n -module with a
AY =Y Y
basis given by dX1 ; : : : ; dXn .
Definition 5.3.16. (1) An adic morphism f W X ! Y between adic formal schemes
of finite ideal type is said to be smooth if for any x 2 X there exist an open neigh-
borhood U of x in X and a commutative diagram
U✻ /Ayn
✻✻ Y
✻✻ ✆✆
✆ ✆
Y
(for some n that depends on x), where the horizontal arrow is étale.
(2) Let f W X ! Y be an adic morphism of adic formal schemes of finite ideal
type, and x 2 X a point. We say that f is smooth at x if there exists an open
neighborhood U of x in X such that the map U ! Y is smooth.
Here are the immediate consequences of the definition: étale morphisms are
smooth, and smooth morphisms are adically locally of finite presentation (hence
y n over an adic formal
locally of finite type) and adically flat; the affine n-space A Y
scheme Y is smooth over Y .
The following proposition is a direct consequence of the definition and 5.3.14.
1
Proposition 5.3.17. If f W X ! Y is smooth, then X=Y is a locally free OX -mod-
ule of finite rank.
fk W Xk ! Yk
the induced morphism of schemes. The following conditions are equivalent.
(a) f is smooth.
(b) fk is smooth for k 0.
Proof. Implication (a) H) (b) follows from 5.3.11 and [54], IV, (17.11.4). To show
the converse, we may work locally; we may assume that X0 admits an étale Y0 -map
X0 ! AnY0 to the affine n-space over the scheme Y0 . We may furthermore assume
that X and Y are affine; set X D Spf B and Y D Spf A, where A and B are adic
rings of finite ideal type, and let I A be the finitely generated ideal of definition
with D I . Set Ak D A=I kC1 and Bk D B=I kC1 B for k 0. We already have
an étale map A0 ŒX1 ; : : : ; Xn ! B0 over A0 . Take g1 ; : : : ; gn 2 B whose images
in B0 are the images of X1 ; : : : ; Xn , respectively; since B is I -adically complete,
one has the A-algebra homomorphism AhhX1 ; : : : ; Xn ii ! B, mapping Xi to gi
for i D 1; : : : ; n, which extends the map A0 ŒX1 ; : : : ; Xn ! B0 . Since this is an
A-algebra morphism, it is an adic map. Thus we have the Y -morphism gW X ! A yn
Y
such that g0 is étale. Now since f is adically locally of finite presentation, we
deduce that g is adically locally of finite presentation; by 5.3.4, we know that g is
neat. Now by 4.8.17 we deduce that g is adically flat, and hence is étale.
subscheme of Y of finite presentation. If f is smooth, then the formal completion
fOW Xj
yf 1 .Z/ ! Yy jZ
is smooth.
Proposition 5.3.20. (1) The composition of two smooth morphisms is smooth. Let
f W X ! Y and gW Y ! Z be morphisms adically locally of finite presentation.
Suppose f is adically faithfully flat. Then if g ı f is smooth, so is g.
(2) For any smooth S -morphisms f W X ! Y and gW X 0 ! Y 0 of adic formal
induced morphism
is smooth.
(3) For any smooth S -morphism f W X ! Y of adic formal schemes of finite

fS 0 W X S S 0 ! Y S S 0
is smooth.
Proof. The first part of (1) follows from 5.3.18 and [54], IV, (17.3.3) (ii). The
second part of (1) follows from 5.3.18 and [54], IV, (17.7.7). By 1.5.1, (2) and (3)
follow from [54], IV, (17.3.3).
Proposition 5.3.21. Let Z be an adic formal scheme of finite ideal type, and let
Y ! Z be a locally of finite type morphism of adic formal schemes of finite ideal
type. Let f W X ! Y be a smooth morphism. Then we have the canonical exact
sequence
0 ! fO 1Y =Z ! X=Z 1
! X=Y1
!0 ()
1
of a.q.c. sheaves on X, where X=Y is locally free of finite type. In particular, this
exact sequence splits locally.
Proof. As the question is local, we may assume that Z has an ideal of definition
of finite type . Set Xk D .X; OX = kC1 OX /, Yk D .Y; OY = kC1 OY /, and
Zk D .Z; OZ = kC1 / for k 0. Since fk W Xk ! Yk is smooth (5.3.18), the
sequence
0 ! fk 1Yk =Zk ! X 1
k =Zk
! X 1
k =Yk
!0 ./k
is exact for any k 0 ([54], IV, (17.2.3) (ii)). By 5.2.4 and 3.6.5, the desired se-
quence ./ is the one obtained from ./k by passage to the projective limits lim .
k0
Since ffk 1Yk =Zk gk0 is strict, the exactness of ./ follows from 0.3.2.14 (1)
(cf. 0.3.2.13 (2)). The last assertion follows from 5.3.17.
Exercises
Exercise I.5.1. Let S be a formal scheme.
(1) Define Ay n D An Spec Z S (fiber product taken in Fs), and call it the affine
S Z
n-space over S . Show that Ay n ! S is affine and that, if S is adic, then A yn ! S
S S
is affine and adic.
(2) Define PySn D PZ
n
Spec Z S (fiber product taken in Fs), and call it the projec-
tive n-space over S . Show that, if S is adic, then Py n ! S is proper.
S
Exercise I.5.2. Let X be an adic formal scheme of finite ideal type.

(1) Show that any locally free OX -module E of finite type is an adically quasi-
coherent sheaf.
(2) Show that the completion (3.1.1 (1)) of the symmetric algebra SymOX .E/ is
an adically quasi-coherent OX -algebra of finite type. (The corresponding X-affine
y
formal scheme (4.1.9) is denoted by V.E/ and is called the vector bundle over X
associated to E.)
Exercise I.5.3 (conormal sheaf). Let f W Y ,! X be an immersion between adic

formal schemes of finite ideal type. Take a decomposition f D j ı i , where
i W Y ,! U is a closed immersion and j W U ,! X is an open immersion. Let K be
the defining ideal of the closed formal subscheme Y of U , that is, the kernel of the
map OU ! i OY . Then the OY -module i K is called the conormal sheaf of Y in
X, and is denoted by NY =X . Show that, if X is locally universally rigid-Noetherian
and if f is of finite presentation, then NY =X is an a.q.c. sheaf on Y of finite type.
Exercise I.5.4. Let A be an adic ring of finite ideal type, X and Y A-formal
schemes adically of finite presentation, and f W X ! Y a morphism adically of
finite presentation. Show that f is proper if and only if for any integer N 0 the
induced morphism f Y idAy N W X Y A yN ! A y N is closed.
Y
Y Y
6 Formal algebraic spaces

The aim of this section is to lay the foundations of the theory of formal algebraic
spaces. Here, formal algebraic spaces are more precisely understood as quasi-
separated adic formal algebraic spaces of finite ideal type, generalizing Noetherian
formal algebraic spaces already discussed in the last chapter of [72].
Note that an important and non-trivial thing to do first, when introducing formal
algebraic spaces as étale sheaves, is to choose the domain category. Since we only
need, for the sake of our applications to rigid geometry, to consider the adic situ-
ation, we can obviously restrict to the category of adic formal schemes, but with
arbitrary morphisms, not only adic ones, in order for several universalities and func-
torialities to make reasonable sense. Note that, for instance, by considering such
a wide category, one can keep having final objects and, moreover, treat schemes
at the same time (by this, in particular, the notion of formal algebraic spaces can
include that of algebraic spaces). In view of all this, we adopt as the base category
the category AcFsS of adic formal schemes of finite ideal type over S with arbitrary
morphisms.
In ÷6.1 we deal with preliminaries on descent theory in formal geometry; as
our interest is not only in defining .locally/ universally rigid-Noetherian formal
algebraic spaces, but more general ones, flat descent is not the reasonable notion to
6. Formal algebraic spaces 367
work with; instead, one should consider adically flat descent. In the first part, we
provide the general framework of adically flat descent for adically quasi-coherent
sheaves and prove several basic theorems.
Next in ÷6.2 we discuss étale topology and étale sites on adic formal schemes
of finite ideal type. Based on these, the notion of a.q.c. sheaves will be extended
on the étale site.
The main part of this section is ÷6.3, where we give the definition of formal
algebraic spaces and discuss basic geometries of them. Several properties for mor-
phisms between formal algebraic spaces are defined and discussed in ÷6.4. Then
this section ends up with ÷6.5, in which we will focus on locally universally rigid-
Noetherian formal algebraic spaces and locally universally adhesive formal alge-
braic spaces.
6.1 Adically flat descent

6.1. (a) Basic assertions. As usual, a diagram of the form
f g1
/ M1 //
M0 M2
g2
consisting of sets (or sheaves of sets, abelian groups, etc.) is said to be exact if
the map f coincides with the difference kernel of g1 and g2 , that is, f is injective,
g1 ı f D g2 ı f , and the image of f coincides with the locus of coincidence of
the maps g1 and g2 . In case of (sheaves of) abelian groups, this amounts to the
sequence
f g1 g2
0 ! M0 ! M1 ! M2
being exact in the usual sense.
Situation 6.1.1. Let qW Y ! X be a quasi-compact adically faithfully flat mor-
phism of adic formal schemes of finite ideal type; see 4.8.12 (2). We consider the
diagram
q p1
Xo Y oo Y X Y;
p2
where p1 and p2 are the projections, and we set p D q ı p1 D q ı p2 . If X has

an ideal of definition of finite type, then for any non-negative integer k 0 we
have the induced diagram of schemes
qk p1;k
Xk o Y k oo Yk Xk Yk ;
p2;k
where Xk D .X; OX = kC1 / and Yk D .Y; OY = kC1 OY /; note that the map qk is
a quasi-compact faithfully flat morphism between schemes (4.8.13).
Proposition 6.1.2. Consider the situation as in 6.1.1, and let F be an a.q.c. sheaf
on X .resp. an a.q.c. OX -algebra/. Then the induced diagram
.X; F / ! .Y; qb F / !

! .Y X Y; p F /
is exact.
Recall that, since q and p are adically flat, the complete pull-backs q F and

p F are a.q.c. sheaves (resp. adically quasi-coherent OX -algebras); see 3.6.3.
Proposition 6.1.3. Consider the situation as in 6.1.1, and let F and G be either
a.q.c. sheaves on X or a.q.c. OX -algebras. Then the induced diagram
HomOX .F ; G / ! HomOY .qb F ; qb G / !

! HomOY X Y .p F ; p G /
is exact.
The proofs of these Propositions 6.1.2 and 6.1.3 use the following lemma.
Lemma 6.1.4. Let A ! B be an adic homomorphism of adic rings of finite ideal
type such that the induced map qW Y D Spf B ! X D Spf A is adically faith-
fully flat. Let M be an I -adically complete A-module, where I A is a finitely
generated ideal of definition. Then the sequence
M ! M b̋A B ! ! M b̋A .B b̋A B/ ()
is exact.
Proof. Let Ak D A=I kC1 , Bk D B=I kC1 B, and Mk D M=I kC1 M for k 0.
Since qk W Yk D Spec Bk ! Xk D Spec Ak is faithfully flat (4.8.13), the sequence
Mk ! Mk ˝Ak Bk ! ! Mk ˝Ak .Bk ˝Ak Bk / (./k )
is exact for any k 0. Since ./ is the projective limit lim ./k , the desired
k0
exactness follows from the left-exactness of the functor lim (0.3.2.4).
k0
Proof of Propositions 6.1.2 and 6.1.3. Since qb OX D OY and p c OX D OY Y ,

X
6.1.2 follows from 6.1.3. Therefore, it suffices to show 6.1.3.
By a standard argument (cf. e.g., the proof of [21], Chapter 6, Proposition 1) one
can easily reduce to the case where X and Y are affine, X D Spf A and Y D Spf B,
where A and B are adic rings of finite ideal type. Let I A be a finitely generated
ideal of definition. Take I -adically complete A-modules M and N corresponding
to F and G , that is, F D M and G D N (3.2.8). Then, by 3.2.9 and 3.6.4 (2),
what we need to show is the exactness of the sequence
HomA .M; N / ! HomB .M b̋A B; N b̋A B/
! Hom .M b̋A B b̋A B; N b̋A B b̋A B/.
! Bb̋A B
This follows, by an easy diagram chasing, from the exactness of the sequence
N ! N b̋A B !
! N b̋A .B b̋A B/;
which in turn is a consequence of 6.1.4.
6.1. (b) Descent of morphisms. As defined in ÷1.5. (a), for an adic formal scheme
X of finite ideal type we denote by AcFsX the category of adic formal schemes of
finite ideal type over X and (not necessarily adic) morphisms over X.
Proposition 6.1.5. Consider the situation as in 6.1.1, and let Z and W be adic
formal schemes of finite ideal type over X. Set
Z 0 D Y X Z and Z 00 D .Y X Y / X Z;
and similarly for W . Then the following sequence is exact:
HomAcFsX .Z; W / ! HomAcFsY .Z 0 ; W 0 / ! 00 00

! HomAcFsY X Y .Z ; W /:
Proof. Obviously, we may assume that X is affine X D Spf A, where A is an adic
ring of finite ideal type, with a finitely generated ideal of definition I A; this
implies that Y and Y X Y are quasi-compact and have ideals of definition I OY
and I OY X Y of finite type, respectively.
By baseSchange with respect to Z ! X, we may assume X D Z D Spf A.
Let W D ˛2L W˛ be an open covering, and set W˛0 D Y X W˛ and W˛00 D
.Y X Y / X W˛ for each ˛ 2 L. Suppose that the assertion is true with W ,
W 0 , and W 00 replaced by W˛ , W˛0 , and W˛00 , respectively, for any ˛ 2 L. Let
f 0 2 HomY .Z 0 ; W 0 / be a morphism with the same image in HomY X Y .Z 00 ; W 00 /.
Set Z˛0 D Z 0 W 0 W˛0 and Z˛00 D Z 00 W 00 W˛00 for each ˛ 2 L. By [52], Exposé VIII,
(4.4), there exists for each ˛ an open subset Z˛ of Z such that Y X Z˛ D Z˛0 ;
indeed, since the two maps from Z˛00 to Z˛0 are adic, one can reduce it modulo
powers of J to find the inductive system of schemes supported on the open subset of
Z, which gives the desired open formal subscheme Z˛ . Moreover, since Z 0 ! Z
is adically faithfully flat, fZ˛ g˛2L gives an open covering of Z. By our assumption
we can find the unique morphism f˛ W Z˛ ! W˛ such that f˛ X Y D f 0 jZ˛0 for
each ˛ 2 L. By the uniqueness we have the unique map f W Z ! W such that
f X Y D f 0 , as desired.
Thus we may assume that both Z and W are affine; let K be an ideal of def-
inition of finite type of W . We may assume that IOZ J and IOW K.
.k/
For k 0, let HomX .Z; W / (resp. Hom.k/ 0 0 .k/ 00 00
Y .Z ; W /, resp. HomY X Y .Z ; W /)
be the subset of HomX .Z; W / (resp. HomY .Z ; W /, resp. HomY X Y .Z ; W 00 /)
0 0 00
consisting of morphisms such that K kC1 OZ J (resp. K kC1 OZ 0 JOW 0 , resp.

.k/
K kC1 OZ 00 JOW 00 ). Since HomX .Z; W / is the union of HomX .Z; W / for
k 0, it suffices to show that the sequence
.k/
.Z; W / ! Hom.k/ 0 0 ! .k/ 00 00
HomX Y .Z ; W / ! HomY X Y .Z ; W /
is exact for each k 0; replacing K by its powers, we may restrict to the case
k D 0. Set Zk D .Z; OZ =J kC1 / and Wk D .W; OW =K kC1 / for k 0. By 1.4.1
the canonical map
.0/
HomX .Z; W / ! lim HomXk .Zk ; Wk /
k0
is bijective, and similarly for the other hom sets. Hence the desired exactness fol-
lows from the scheme case [52], Exposé VIII, ÷5, and the left-exactness of lim
k0
(0.3.2.4).
Corollary 6.1.6. In the situation as in 6.1.1, the functor AcFsX ! AcFsY given
by Z 7! Z X Y is faithful.
6.1. (c) Descent of properties of morphisms. We continue with working in the

situation as in 6.1.1. Let Z; W be adic formal schemes of finite ideal type over X,
and f W Z ! W a morphism over X. We consider the Y -morphism
f X Y W Z X Y ! W X Y
obtained by base change. By 4.8.18, we have the following ‘descent of adicness’
under adically faithfully flat quasi-compact morphisms.
Proposition 6.1.7. The morphism f is adic if and only if f X Y is adic.
Let P be a property of morphisms of schemes that satisfies both (I) and (C)
in ÷1.5. (b) and is stable under the Zariski topology (0.1.4.8 (1)). Then as in ÷1.5. (d),
one can consider the property ‘adically P ’ for morphisms of adic formal schemes
of finite ideal type.
Proposition 6.1.8. Suppose that the property P of morphisms of schemes descends
under faithfully flat quasi-compact morphisms of schemes. Then the property ‘ad-
ically P ’ descends under adically faithfully flat quasi-compact morphisms, that is,
the morphism f is adically P if and only if f X Y is adically P .
Proof. By 6.1.7, we can assume that f is adic. We can work locally on the tar-
get W and thus assume that X has an ideal of definition of finite type. Let
fk W Zk D .Z; OZ = kC1 OZ / ! Wk D .W; OW = kC1 OW / be the induced mor-
phism of schemes for k 0; we use similar notation for other formal schemes and
morphisms. Since .f X Y /k D fk Xk Yk and since Yk ! Xk is faithfully flat
and quasi-compact, fk is P if and only if .f X Y /k is P .
Corollary 6.1.9. The morphism f is a closed immersion .resp. an open immersion,

resp. a quasi-compact immersion/ if and only if so is f X Y .
Proof. By 4.3.6, 1.6.9, and 4.4.2, these properties are of the form ‘adically P ’.
Hence the assertion follows from 6.1.8 and [52], Exposé VIII, 5.5.
Corollary 6.1.10. The morphism f is affine adic .resp. finite/ if and only if so is
f X Y .
Proof. Due to 4.1.12, 4.2.3 and [52], Exposé VIII, 5.6 and 5.7, we may apply 6.1.8.

6.1. (d) Effective descent. Consider the situation as in 6.1.1 and let
//
p23 ; p31 ; p12 W Y X Y X Y / Y X Y
be the projections, where pij projects the i -th and j -th components of Y X Y X Y
onto Y X Y . For an a.q.c. sheaf F on Y , a descent datum on F is an isomorphism

c F
'W p c F
!p
1 2
that satisfies the 1-cocycle condition

b
p31 b b
' D p23
' ı p12 ':
Pairs .F ; '/ consisting of a.q.c. sheaves on Y and descent data form a category in
an obvious manner (cf. [21], 6.1). Note that for any a.q.c. sheaf G on X, qb G is
canonically equipped with the standard descent datum.
Proposition 6.1.11 (effective descent for a.q.c. sheaves). The functor
G 7 ! q G
induces a categorical equivalence between the category of a.q.c. sheaves .resp.

a.q.c. sheaves of finite type, resp. a.q.c. OX -algebras, resp. a.q.c. OX -algebras of
finite type/ on X and the category of pairs .F ; '/ consisting of a.q.c. sheaves .resp.
a.q.c. sheaves of finite type, resp. a.q.c. OY -algebras, resp. a.q.c. OY -algebras of
finite type/ on Y and descent data.
Proof. By 6.1.3, we only need to show that the functor is essentially surjective. By
a reduction process similar to that in the proof of 6.1.3, we may assume that X
has an ideal of definition of finite type. Given .F ; '/, we set Fk D F = kC1 F
for k 0. Since for each k the descent datum ' induces a descent datum 'k on
the quasi-coherent sheaf Fk on the scheme Yk , we have a quasi-coherent sheaf Gk
on Xk , unique up to isomorphism, such that Fk Š qk Gk ([52], Exposé VIII,

Théorème 1.1). By the uniqueness, the sheaves Gk form a projective system
fGk gk0 of abelian sheaves on X, and for any i j the transition map Gj ! Gi
is surjective with the kernel equal to i C1 Gj . Hence, by 3.4.1 (or 3.4.2), its limit
G D lim Gk is an a.q.c. sheaf on X (resp. a.q.c.@ sheaf on X of finite type,
k0
resp. an a.q.c. OX -algebra, resp. an a.q.c. OX -algebra of finite type) such that
G = kC1 G Š Gk . The last property implies qb G Š F by 3.6.5, as desired.
Descent data are defined also for adic formal schemes. In the above situation,
for an adic formal scheme W adic over Y a descent datum on W is an isomorphism

'W p1 W ! p2 W;
where pi W D W Y;pi .Y X Y /, satisfying the similar 1-cocycle condition.
Let P be a property of morphisms of schemes that satisfies (I) and (C) in
÷1.5. (b) and is stable under the Zariski topology (0.1.4.8 (1)).
Proposition 6.1.12. Suppose that the subcategory of Sch consisting of all mor-
phisms satisfying P is an effective descent class (0.1.4.8) with respect to the
fpqc topology. The subcategory of AcFs consisting of all adically P morphisms
(÷1.5. (d)) is an effective descent class with respect to adically flat descent. In other
words, in the situation as in 6.1.1, the functor Z 7! q Z D Z X Y gives rise to
a categorical equivalence between
the category of adic formal schemes Z of finite ideal type over X such that
Z ! X is adically P , and
the category of adic formal schemes W of finite ideal type over Y such that
W ! Y is adically P together with descent data.
Proof. By 6.1.6, it suffices to show that the functor is essentially surjective. We
may assume that X has an ideal of definition of finite type ; we work with the
notation (such as Xk , Yk , etc) as above. An adic Y -formal scheme W as above
with a descent datum gives rise to a Yk -scheme Wk with a descent datum for each
k 0. Hence, for each k 0 we have an Xk -scheme Zk , unique up to canonical
isomorphisms, such that Zk ! Xk satisfies P . By the uniqueness of Zk ’s we
have an inductive system fZk gk0 of schemes over X that satisfies the conditions
in Exercise I.1.8, whence the assertion.
We know that the following properties for morphisms of schemes satisfy effec-
tive descent with respect to the fpqc topology:
quasi-compact immersion (resp. open immersion, resp. closed immersion),
affine,
quasi-affine.
Corollary 6.1.13. The following properties for morphisms of adic formal schemes
of finite ideal type satisfy effective descent with respect to the adically flat de-
scent:
quasi-compact immersion .resp. open immersion, resp. closed immersion/,
affine adic,
adically quasi-affine (1.5.5 (2)).
6.1. (e) Adically flat descent and finiteness conditions
Proposition 6.1.14. Consider the situation as in 6.1.1, suppose that X and Y are
locally universally rigid-Noetherian (2.1.7).
(1) Let F be an a.q.c. sheaf of finite type on X. Then F is of finite presentation
.resp. locally free of finite type/ if and only if qb F .D q F / is of finite presentation
.resp. locally free of finite type/ over Y .
(2) Let B be an a.q.c. OX -algebra. Then B is of finite presentation (3.5.11) if
and only if qb B is an a.q.c. OY -algebra of finite presentation.
Proof. Since the question is local, we may assume that X and Y are affine,
X D Spf A and Y D Spf B. By 4.8.15, the morphism q is faithfully flat. Hence by
4.8.10 we deduce that B is faithfully flat over A. Now the assertions follow from
3.5.6, 3.5.13, and 3.6.4 (cf. 0.7.4.19, 0.8.4.5).
Proposition 6.1.15. Consider the situation as in 6.1.1, let f W W ! Z be a mor-

phism of adic formal schemes of finite ideal type that are adic over X.
(1) The morphism f is surjective if and only if so is q f . If q f is injective
.resp. bijective/, then so is f .
(2) The morphism f is quasi-compact .resp. of finite type/ if and only if so
is q f . If X and Y are locally universally rigid-Noetherian, then f is of finite
presentation if and only if so is q f .
Proof. We may assume that X has an ideal of definition. Then (1) follows from [52],
Exposé VIII, 3.1 and 3.2.
(2) follows from [52], Exposé VIII, 3.3 and 3.6, combined with 1.6.9, 1.7.3,
and 2.2.4.
6.2 Étale topology on adic formal schemes

6.2. (a) Étale sites. We consider the category AcFsS of adic formal schemes of
finite ideal type over a fixed adic formal scheme S of finite ideal type. Let E be the
subcategory of AcFsS consisting of all étale morphisms; E is base-change stable
due to 5.3.13.
Proposition 6.2.1. A collection fU˛ ! U g˛2L of étale morphisms in AcFsS is

universally effectively epimorphic (0.1.4.3) if and only if it is a surjective family,
that is, the union of the images of U˛ ! U coincides with U .
Proof. The ‘only if’ part is easy to see and is left to the reader. We prove the ‘if’
part. Let W ! U be a morphism in AcFsS , V an object in AcFsS , and consider
the sequence
Q
HomS .W; V / ! ˛2L HomS .W U U˛ ; V /
!Q
! ˛;ˇ 2L HomS .W U U˛ˇ ; V /,
where U˛ˇ D U˛ U Uˇ . We need to show that this sequence is exact. By the
usual Zariski descent, we may assume that S and U have ideals of definition of
finite type. By an argument similar to that in the proof of 6.1.5, we may further
assume W and V are affine and have ideals of definition of finite ideal type. Define
the filtration on the Hom sets by the subsets of the form ‘Hom.k/ ’ as in the proof
of 6.1.5, and reduce to the case k D 0. Since fU˛;k ! Uk g˛2L for each k is an
étale covering family of schemes, we have the exact sequence
Q
HomSk .Wk ; Vk / ! ˛2L HomSk .Wk Uk U˛;k ; Vk /
!Q
! ˛;ˇ 2L HomSk .Wk Uk U˛ˇ ;k ; Vk /.
We have, for example, Hom.0/ S .W; V / Š limk HomSk .Wk ; Vk /. We apply limk to
the above exact sequences; since lim is left-exact and commutes with products,
k
concludes that the first sequence above is exact.
Proposition 6.2.2. The subcategory E of AcFsS satisfies .S1 /, .S2 /, .S3 .a//,
and .S3 .b// in 0, ÷1.4. (b).
Proof. It is easy to see that E satisfies .S1 / and .S2 /. Condition .S3 .a// follows
from the second assertion of 5.3.13 (2). To show the rest, let f W X ! Y and
gW Y ! Z be adic S -morphisms of adic formal schemes, and suppose that g ı f is
étale. To show that f is étale, we may assume that Z has an ideal of definition of
finite type. Then by 5.3.11 we can easily reduce to the case of schemes, where the
assertion is well known ([54], IV, (17.3.5)).
Definition 6.2.3 (large étale site). The topology on the category AcFsS associated
to the base-change stable subcategory E consisting of étale morphisms is called the
étale topology on AcFsS , and the resulting site, denoted by AcFsS;Ket , is called the
large étale site over S .
Similarly, one can define the large étale site AcCFsS;Ket (resp. AfAcFsS;Ket ) with
the underlying category AcCFsS (resp. AfAcFsS ), the category of coherent (resp.
affine) adic formal schemes of finite ideal type over S . One can also define similarly
the site AcFsS;Ket with the underlying category AcFsS .
As we saw in 0.1.4.5, the étale topology enjoys property .A0 /.
Proposition 6.2.4. Any representable presheaf on AcFsS;Ket is a sheaf.
Proposition 6.2.5. In the category AcFsS of adic formal schemes of finite ideal
type over S , the following properties of morphisms yield effective descent classes
(cf. 0.1.4.8) under the étale topology:
(a) affine adic,
(b) finite,
(c) open immersion,
(d) closed immersion,
(e) immersion.
Proof. The stability follows from 6.1.9 and 6.1.10. As for the ‘effective descent
class’ property, we can reduce to the case of schemes (cf. 6.1.13), where the asser-
tion is classically known (for the fppf topology); here we use 1.4.1.
Proposition 6.2.6. In the category AcFsS of adic formal schemes over S with
adic morphisms, the following properties of morphisms are local on the domain
(cf. 0.1.4.8) under the étale topology:
(a) locally of finite type,
(b) adically flat,
(c) smooth,
(d) étale.
Proof. Similarly to the proof of 6.2.5, one can reduce the situation to the case of
schemes, where the assertions are known to be true.
Corollary 6.2.7. The properties for morphisms as in 6.2.6 and, moreover,
(e) locally of finite presentation
are local on the domain under the étale topology in the category RigNoeFsS of
locally universally rigid-Noetherian formal schemes.
Definition 6.2.8 (small étale site). For an adic formal scheme X of finite ideal type
we denote by XeK t the category of étale formal schemes over X. We consider the
class EX of étale morphisms in this category (which obviously satisfies statements
analogous to 6.2.1 and 6.2.2), and equip XeK t with the associated topology. We call
the resulting site, denoted by XeK t , the small étale site of X.
We denote by XeKt the associated étale topos. As usual, any map f W X ! Y of
adic formal schemes of finite ideal type induces the inverse image functor
1
f W YeK t ! XeK t
in view of 5.3.13 (4), which in turn induces a morphism
feK
t D .f ; f
1
/W XeKt ! YeKt
of the étale topoi.
For an adic formal scheme X of finite ideal type we denote the associated

Zariski topos by XZar . We have the morphism of topoi
" D ." ; " 1
/W XeKt ! XZar

;
defined in an obvious manner.
Proposition 6.2.9. Let X be an adic formal scheme of finite ideal type, and F an
a.q.c. sheaf on X .resp. an a.q.c. OX -algebra/. Define a presheaf FeK t on XeK t as
follows: for any object qW Y ! X of XeK t we set
FeK t .Y / D .Y; qb F /:
Then the presheaf FeK t is a sheaf.
This follows immediately from 6.1.2. Applying the proposition to the struc-
ture sheaf OX , we get the structure sheaf OXeKt of the site XeK t . Any adic morphism
f W X ! Y between adic formal schemes induces a morphism
feK eKt eK t
t D .f ; f /W .XeK t ; OX / ! .YeK t ; OY /
of ringed topoi. Moreover, for any adic formal scheme X of finite ideal type we
have a morphism of ringed topoi
" D ." ; " /W .XeKt ; OXeKt / ! .XZar

; OX /:
6.2. (b) A.q.c. sheaves on the étale site. Let X be an adic formal scheme of
finite ideal type, and an ideal of definition of finite type. As usual, we set Xk D
.X; OX = kC1 / for k 0. Let ik W Xk ,! X be the closed immersion. Then we
have the induced morphism ik D .ik ; ik /W Xk;K
et
! XeKt of ringed topoi. For any
OXeKt -module F and k 0, we define
Fk D ik F :

Since we have the canonical morphism Xk;K
et
! Xl;K
et
of ringed topoi for k l, we
obtain a projective system fik Fk gk0 of OXeKt -modules. We set
Fy D lim ik Fk ;
k
which is again an OXeKt -module. As in ÷3.1. (a), one sees that the definition of Fy
does not depend on the choice of the ideal of definition , and thus one can define
Fy for any OXeKt -module even in the case X does not have an ideal of definition. The
OXeKt -module Fy thus obtained is called the completion of F . The completion comes
with the canonical morphism F ! Fy ; if this morphism is an isomorphism, we say
that F is complete.
Definition 6.2.10. (1) Let X be an adic formal scheme of finite ideal type, and F
an OXeK t -module. We say that F is an a.q.c. sheaf (on XeK t ) if the following conditions
are satisfied.
(a) F is complete.
(b) For any object qW U ! X of XeK t and any ideal of definition of finite type
of U , the sheaf qb F = qb F is a quasi-coherent sheaf with respect to étale
topology on the scheme .U; OU = /.
(2) An a.q.c. sheaf F on XeK t is said to be of finite type if it is of finite type as
an OXKet -module.
(3) A morphism between a.q.c. sheaves is a morphism of OXeKt -modules.
By 3.1.2 and effective étale descent of quasi-coherent sheaves on schemes, (b)
is equivalent to
.b/0 there exist a covering fq˛ W U˛ ! Xg˛2L of XeK t , and for each ˛ 2 L an
ideal of definition ˛ of finite type of U˛ , such that for any ˛ 2 L and
k 0 the sheaf qb˛ F = ˛kC1 qb˛ F is a quasi-coherent sheaf with respect to
the étale topology on the scheme .U˛ ; OU˛ = ˛kC1 /.
If, in particular, X itself has an ideal of definition of finite type, then the last
condition is equivalent to (notation being as usual) Fk being quasi-coherent on
Xk;Ket for any k 0.
Lemma 6.2.11. Let X be an adic formal scheme of finite ideal type. Then the étale
sheaf FeK t defined as in 6.2.9 is an a.q.c. sheaf on XeK t .
Proof. It follows easily from the definition of FeK t and the definition of projective
limits of sheaves in 0, ÷3.2. (c) that the sheaf FeK t is complete. By 3.6.5, one sees
that the other condition is satisfied.
Thus we have the functor
F 7 ! "b F D FeK t
from the category of a.q.c. sheaves over X (resp. a.q.c. OX -algebras) to the category
of a.q.c. sheaves on XeK t (resp. a.q.c. OXeKt -algebras). It is clear that the direct image
functor " maps a.q.c. sheaves on XeK t (resp. a.q.c. OXeK t -algebras) to a.q.c. sheaves
over X (resp. a.q.c. OX -algebras).
Proposition 6.2.12. The functors " and "b give a categorical equivalence between
the category of a.q.c. sheaves of finite type over X .resp. a.q.c. OX -algebras/ and
the category of a.q.c. sheaves of finite type on XeK t .resp. a.q.c. OXeKt -algebras/.
Proof. We already know by 6.1.3 that the functor "b is fully faithful. Moreover,
it is easy to see that, for an a.q.c. sheaf F of finite type on XeK t , " F is an a.q.c.
sheaf of finite type on X. Hence, it suffices to show that for any a.q.c. sheaf F on
XeK t (resp. a.q.c. OXeKt -algebra) we have a canonical isomorphism F Š "b " F . To
this end, since the question is local on X, one may assume that X has an ideal of
definition of finite type. Moreover, since F and "b " F are complete, we only
need to show that Fk and ."b " F /k are canonically isomorphic for any k 0,
where Fk etc. are defined as above. We use the notation as above and denote
by "k D ."k ; "k /W Xk;K
et

! Xk;Zar the morphism of ringed topoi for any k 0.
Clearly, we have the commutative diagram of ringed topoi
ik
Xk;K / X
et eK t
"k "

/ X .
Xk;Zar Zar
ik
Hence, ."b " F /k D ik "b " F D "k ik " F . Now by the definition of " we see
that ik " F D "k ik F and hence that ."b " F /k D "k "k ik F . By the theory of
étale descent of quasi-coherent sheaves on schemes (cf. [9], Exposé VII, 4), we
have Fk D ik F D "k "k ik F , as desired.
By 6.1.11 and 6.1.14 we immediately have the following result.
Proposition 6.2.13. By the functors " and "b a.q.c. sheaves of finite type on
XeK t .resp. a.q.c. OXeKt -algebras of finite type/ correspond to a.q.c. sheaves of finite
type on X .resp. a.q.c. OX -algebras of finite type/. If X is locally universally
rigid-Noetherian, then a.q.c. sheaves on XeK t of finite presentation .resp. a.q.c. OXeKt -
algebras of finite presentation/ correspond to a.q.c. sheaves on X of finite presen-
tation .resp. a.q.c. OX -algebras of finite presentation/.
6.3 Formal algebraic spaces

6.3. (a) Formal algebraic spaces. We consider the large étale site AcFsS;Ket con-
sisting of adic formal schemes of finite ideal type over a fixed adic formal scheme S
of finite ideal type (cf. 6.2.3). As we have seen in 6.2.4, any representable presheaf
on the site AcFsS;Ket is a sheaf. As in 0.1.4. (d), we say that a map F ! G of sheaves
on AcFsS;Ket is representable if for any object Z of AcFsS (regarded as a sheaf on
AcFsS;Ket ) and any map Z ! G of sheaves, the fiber product Z G F is repre-
sented by an object of AcFsS . For a base-change stable property P for morphisms
between adic formal schemes of finite ideal type, we say that a map F ! G of
sheaves is ‘representable and P ’ if it is representable and for any Z ! G as above
the induced morphism Z G F ! Z satisfies P . Especially, we say that F ! G
is an open immersion if it is representable and an open immersion.
Let F be a sheaf on AcFsS;Ket , and suppose that there exist an object Y of AcFsS
and a representable étale and surjective morphism qW Y ! F . We say that a col-
lection of morphisms of sheaves fF˛ ! ` F g˛2L is a Zariski covering of F if each
F˛ ! F is an open immersion and ˛2L F˛ ! F is an epimorphism. Since
open immersions satisfy effective descent (6.2.5), the last condition is equivalent
` that for each ˛ 2 L the morphism F˛ F Y ! Y is an open immersion and
to
˛2L F˛ F Y ! Y is surjective. Note that, in this situation, each F˛ F Y is
representable, and the map F˛ F Y ! F˛ is representable and étale surjective.
Definition 6.3.1. A formal algebraic space1 over S is a set-valued sheaf X on the
site AcFsS;Ket such that
(a) the diagonal morphism X W X ! X S X is representable and quasi-
compact, and
(b) there exist an adic formal scheme Y of finite ideal type over S and a repre-
sentable étale surjective morphism qW Y ! X.
1
The formal algebraic spaces defined here should be called, more precisely, quasi-separated adic
formal algebraic spaces of finite ideal type.
The morphism qW Y ! X as in (b) will be simply called a representable étale

covering of X. It is obvious that, if X is a formal algebraic space, then any Zariski
open subsheaf (that is, a subsheaf Y X such that the inclusion map is an open
immersion) is again a formal algebraic space, called an open subspace.
We denote by AcFAsS the category of formal algebraic spaces over S ; here
morphisms between such formal algebraic spaces are morphisms of sheaves on the
site AcFsS;Ket . It is clear from the definition that any quasi-separated adic formal
scheme of finite ideal type over S is canonically a formal algebraic space over S .
Let X be a formal algebraic space over S , and qW Y ! X a representable étale
covering map. Then R D Y X Y is representable, and the projections p1 ; p2 W R !
Y are étale surjective:
p1 q
Y X Y D R // Y / X.
p2
Proposition 6.3.2 (cf. [72], II.1.3 (a)). (1) The morphisms p1 ; p2 W R ! Y define
an étale equivalence relation in AcFsS;Ket .
(2) The morphism qW Y ! X is the cokernel of the morphisms p1 ; p2 W R ! Y
in the category of sheaves on AcFsS;Ket .
Here an étale equivalence relation in AcFsS;Ket means a -equivalence rela-
tion (0.1.4.11) with equal to the étale topology. Note that, since
.p1 ;p2 /
R / Y S Y
qq

X / X S X
X
is Cartesian, it follows that .p1 ; p2 /W R ! Y S Y is quasi-compact.

Proposition 6.3.3 (cf. [72], II.1.4). Let X and X 0 be formal algebraic spaces over
S and f W X ! X 0 a morphism over S . Then there exist representable étale cover-
ing morphisms qW Y ! X and q 0 W Y 0 ! X 0 and a commutative diagram
p1 q
Y X Y // Y /X
p2
h g f
p10
Y 0 X 0 Y 0 // Y 0 / X0
p20 q0
.the commutativity of the left-hand square means g ı pi D pi0 ı h for i D 1; 2/.

Definition 6.3.4. A formal algebraic space X is said to be quasi-compact .or co-
herent/ if it has a representable étale covering Y ! X with Y quasi-compact.
We denote by AcCFAsS the full subcategory of AcFAsS consisting of quasi-

compact formal algebraic spaces over S .
6.3. (b) Formal algebraic spaces by quotients. Let

p1
//
R Y ()
p2
be an étale equivalence relation (cf. 0.1.4.11) for adic formal schemes of finite ideal
type over S such that
Y is separated and the induced map
.p1 ;p2 /
R ! Y S Y
is quasi-compact.
Theorem 6.3.5. In the situation as above, let qW Y ! X be the categorical cokernel
of ./ in the category of sheaves on AcFsS;Ket . Then X is a formal algebraic space
over S , and qW Y ! X is a representable étale covering.
In order to show the theorem, we first note that we can work locally on Y
(cf. [72], I.5.7), and hence assume that S is coherent and that Y is coherent over S .
Proposition 6.3.6. In the situation as above, suppose that S is coherent and that Y
is coherent over S (1.6.6). Then there exists an ideal of definition OY of finite
type such that
p1 1 OR D p2 1 OR :
To show the proposition we need following lemma.
Lemma 6.3.7. Consider a Cartesian diagram
p
Zo V
f g

Xo q
U
of coherent adic formal schemes of finite ideal type and adic morphisms. Suppose
that
(a) p and q are étale, and f and g are coherent, and
(b) Z and V are schemes .that is, 0-adic formal schemes/.
Then K D ker.OX ! f OZ / is an ideal of definition of X, and we have
1
q KOU D ker.OU ! g OV /:
Proof. Let be an ideal of definition of finite type on X (3.7.12). Since f is adic

and Z is a quasi-compact scheme, there exists n 1 such that n OZ D 0. Thus,
replacing by n , we may assume that K.
Let us show that K is an ideal of definition; to this end, we want to show that K
is a.q.c. Since K contains , it suffices to show that for any k 0 the induced sheaf
Kk D K= kC1 is a quasi-coherent sheaf on the scheme Xk D .X; OX = kC1 /.
But this follows from the fact that the morphism fk W Z ! Xk induced by f is
coherent and that
Kk D ker.OXk ! fk OZ /:
To show the other assertion, set Uk D .U; OU = kC1 OU / for k 0, and let
qk W Uk ! Xk and gk W V ! Uk be the morphisms induced by q and g, respec-
tively. Since both q 1 KOU and ker.OU ! g OV / contain OU (and hence are
complete), it suffices to check the equality
qk 1 Kk OUk D ker.OUk ! gk OV /
for any k 0. But this is clear, since p and qk are étale morphisms of schemes
and V Š Z Xk Uk .
Proof of Proposition 6.3.6. We first claim what follows.

Claim. It suffices to find an ideal of definition OY , not necessarily of finite
type, such that p1 1 OR D p2 1 OR .
Set Yk D .Y; OY = kC1 / and Rk D .R; OR = kC1 OR /) for k 0. We have
for each k 0 the induced morphisms
p1;k
//
Rk Yk
p2;k
of schemes. By 5.3.11 and Exercise 0.1.3, one easily sees that this diagram gives an
étale equivalence relation of schemes. Let Xk be the resulting coherent algebraic
space with the quotient map qk W Yk ! Xk . Set OXeKt D lim OXeKtk , and let X.k/ be
k0
the kernel of OXeKt ! OXeKtk for each k 0. By étale descent the sheaf X.l/ = X.k/ for
any k l 0 is a quasi-coherent sheaf on Xk such that qk X.l/ = X.k/ D l = k .
By 0.5.5.6, X.0/ = X.1/ is a filtered inductive limit of quasi-coherent ideals of finite
type on X1 :
.0/ .1/
X = X D lim x :
!
2ƒ
For each 2 ƒ, let be the pull-back of x by the canonical map OXeKt ! OXeKt1 .
Then OYeKt is an adically quasi-coherent ideal of OYeKt (3.7.2). Take an ideal of
definition 0 OY of finite type (3.7.12) contained in . Then there exists 2 ƒ

such that 0 OYeKt OYeKt . For a sufficiently large k 0 we have the inclusions
X.kC1/ OYeKt 0 OYeKt OYeK t OYeK t :
Since OYeKt = X.kC1/ OYeK t (D x OYeK tk ) is of finite type, OYeKt = 0 OYeKt is of finite
type; but since 0 OYeKt is of finite type, we deduce that OYeK t is of finite type. Now
the ideal sheaf 00 D " OYeKt with respect to the Zariski topology is an ideal of
definition of finite type on Y such that p1 1 00 OR D p2 1 00 OR , whence the claim.
To proceed, we consider the diagram (cf. Exercise 0.1.3)
p1 p12
Y o R oo T
p13
p2 p23
p1
Y oo R
p2
consisting of étale covering morphisms, where T D R p1 ;Y;p2 R; here we have

p1 ı p23 D p2 ı p12 and p2 ı p23 D p2 ı p13 .
Now we are going to construct an ideal of definition on Y satisfying
p1 1 O R D p2 1 O R :
Let J OY be an ideal of definition (3.7.12), and define
D ker.OY ! p2 OR =p1 1 JOR /:
Set R0 D .R; OR =p1 1 JOR / and T0 D .T; OT =p121 p1 1 JOT /; note the equality
p121 p1 1 JOT D p131 p1 1 JOT . We have the double Cartesian diagram
p12
R0 oo T0
p13
p2 p23
p1
oo
Y R
p2
where all horizontal arrows are étale. Since D ker.OY ! p2 OR0 /, we can
apply 6.3.7. It follows that is an ideal of definition on Y and that
p1 1 OR D ker.OR ! p23 OT0 / D p2 1 OR ;
which finishes the proof of the proposition.

Proof of Theorem 6.3.5. We use the notation as in 6.3.6. Set Yk D .Y; OY = kC1 /
and Rk D .R; OR = kC1 OR / for k 0. Suppose S has an ideal of definition of
finite type J OS . As we may assume that JOY , we can consider that
Yk and Rk are Sk -schemes, where Sk D .S; OS =J kC1 /, for k 0. We have the
induced diagram
p1;k
Rk // Y k ./k
p2;k
for each k 0. It follows from 5.3.11 and Exercise 0.1.3 that ./k gives an étale
equivalence relation by Sk -schemes such that the induced map
.p1;k ;p2;k /
Rk ! Y k Sk Y k
is quasi-compact. Then by [72], II.1.3 (b), the categorical cokernel qk W Yk ! Xk
of ./k is a representable étale covering of an algebraic space Xk over Sk .
It follows from [72], I.5.12 that the map .p1;k ; p2;k /W Rk ! Yk Sk Yk is quasi-
affine for any k 0, and hence that the map
.p1 ;p2 /
R ! Y S Y
is adically quasi-affine (1.5.5 (2)). Then the assertion is the formal consequence
of 0.1.4.13 in view of the fact that adically quasi-affine morphisms form an effective
descent class (6.1.12).
Remark 6.3.8. (1) Note that in the situation as in 6.3.5 the diagonal morphism
W X ! X S X is representable and adically quasi-affine.
(2) Note also that in the situation as in the proof of 6.3.5 we have the natural
isomorphism
X Š lim Xk
!
k0
of sheaves on AcFsS;Ket .
6.3. (c) Fiber products

Proposition 6.3.9. Let X, Y , and Z be formal algebraic spaces over S , and let
X !Z Y be morphisms over S . Then the sheaf fiber product X Z Y is a
formal algebraic space over S , and the diagram
X Z Y /X

Y /Z
is Cartesian in AcFAsS .
Proof. We first construct the fiber products locally and then globalize by patching;
note that since X, Y , and Z are quasi-separated, the diagonal map for the sheaf
X Z Y is automatically representable and quasi-compact (indeed, XZ Y Š
X Z Y ). Hence, in view of 6.3.5 the result follows by an argument similar to
the proof of [72], II.1.5.
6.3. (d) Étale topology on formal algebraic spaces
Definition 6.3.10. We say that an S -morphism f W X ! Y of formal algebraic

spaces is étale if there exist a representable étale covering V ! Y and a repre-
sentable étale covering U ! X Y V such that the resulting map U ! V of adic
formal schemes of finite ideal type is étale.
Proposition 6.3.11. (1) The composition of two étale morphisms is étale.

(2) For any étale Z-morphisms f W X ! Y and gW X 0 ! Y 0 of formal alge-
braic spaces over a formal algebraic space Z, the induced morphism
is étale.
(3) For any étale Z-morphism f W X ! Y of formal algebraic spaces over a
formal algebraic space Z, and for any morphism Z 0 ! Z of formal algebraic
spaces, the induced morphism
fZ 0 W X Z Z 0 ! Y Z Z 0
is étale.
Proof. (1) is easy to see.

To show (2) and (3), by 0.1.4.1 it suffices to show the special case of (3) with
Z D Y , which is straightforward.
The following proposition is straightforward (use 6.2.2).
Proposition 6.3.12. The base-change stable subcategory E of AcFAsS consisting

of all étale morphisms satisfies .S1 /, .S2 /, .S3 .a//, and .S3 .b// in 0, ÷1.4. (b).
Definition 6.3.13 (large étale site). The topology on the category AcFAsS associ-
ated to the subcategory E consisting of étale maps is called the étale topology on
AcFAsS , and the resulting site, denoted by AcFAsS;Ket , is called the large étale site
over S .
Note that for any formal algebraic space X a representable étale covering Y !X
is a covering map with respect to the étale topology. In particular, in the site
AcFAsS;Ket , covering families consisting of morphisms from adic formal schemes
(of finite ideal type) are cofinal in the set of all covering families. The following
proposition follows from 0.1.4.5.
Proposition 6.3.14. Any representable presheaf on AcFAsS;Ket is a sheaf.
Definition 6.3.15 (Small étale site). For a formal algebraic space X we denote by
XeK t the category of étale formal algebraic spaces over X. We consider the class E
of étale maps in this category (which obviously satisfies the conditions as in 6.3.12)
and equip XeK t with the associated topology. We call the resulting site, denoted by
XeK t , the small étale site over X.
We denote by XeKt the associated étale topos. Any S -morphism f W X ! Y of
formal algebraic spaces induces the inverse image functor f 1 W YeK t ! XeK t , which
gives rise to a morphism
feK
t D .f ; f
1
/W XeKt ! YeKt
of the étale topoi.
For a formal algebraic space X we define the structure sheaf of X as follows:
OX .U / D .U; OU / for any étale map U ! X from an adic formal scheme U ;
this defines a sheaf due to 6.1.2.
6.3. (e) Ideals of definition and adic morphisms. Let X be a formal algebraic
space, and qW Y ! X a representable étale covering. For any OX -module F one
can define the complete pull-back qb F by an obvious manner (cf. ÷3.6).
Definition 6.3.16. Let X be a formal algebraic space. An ideal of definition of finite
type of X is an ideal sheaf OX of finite type such that for any representable
étale covering qW Y ! X, fc D OY (cf. 3.7.10) and is an ideal of definition of
finite type on Y .
By Exercise I.6.3, this is equivalent to say that for any representable étale cover-
ing qW Y ! X we have fc D OY , which is an adically quasi-coherent sheaf of
finite type on Y and, for at least one such qW Y ! X, OY is an ideal of definition
of finite type. Now 6.3.6 yields the following result.
Proposition 6.3.17. There exists a Zariski covering fX˛ ! Xg˛2L such that each
X˛ has an ideal of definition of finite type.
Definition 6.3.18. A morphism f W X ! Y of formal algebraic spaces is said to be
adic if there exists a Zariski covering fY˛ ! Y g˛2L of Y , and for each ˛ 2 L an
ideal of definition of finite type ˛ on Y˛ , such that ˛ OX˛ is an ideal of definition
of X˛ D X Y Y˛ .
Proposition 6.3.19. Let f W X ! Y be a morphism of formal algebraic spaces.

(a) f is adic.
(b) For any representable étale covering V ! Y and any representable étale
covering U ! X Y V , the morphism U ! V is adic.
(c) There exist a representable étale covering V ! Y and a representable étale
covering U ! X Y V such that the morphism U ! V is adic.
This follows easily from 4.8.18.
algebraic spaces. If f and g are adic, then so is the composition g ı f . If g ı f
and g are adic, then so is f .
(2) Let Z be a formal algebraic space, and f W X ! X 0 and gW Y ! Y 0 two
adic Z-morphisms of formal algebraic spaces. Then
is adic.
(3) Let Z be a formal algebraic space, and f W X ! Y an adic Z-morphism
between formal algebraic spaces. Then for any morphism Z 0 ! Z of formal
algebraic spaces the induced morphism
fZ 0 W X Z Z 0 ! Y Z Z 0
is adic.
Proof. All assertions except for the second one in (1) follow easily from 1.3.6. To
show the second assertion of (1), take a representable étale covering U ! Z, and
let f 0 W U Z X ! U Z Y and g 0 W U Z Y ! U be the induced morphisms of adic
formal schemes of finite ideal type. Suppose g ı f and g are adic. Then g 0 ı f 0 and
g 0 are adic. For f to be adic, it is enough by 4.8.18 that f 0 is adic, which follows
from 1.3.6 (1).
We denote by AcFAsS (resp. AcFAs=S ) the category of formal algebraic spaces
over S with adic morphisms (resp. the category of formal algebraic spaces adic
over S ).
Suppose that a formal algebraic space X has an ideal of definition , and take
a representable étale covering qW Y ! X; replacing Y by a disjoint union of affine
subsets of Y , we may assume that Y is separated. Then Y is an adic formal scheme
on which the ideal OY is an ideal of definition. Set R D Y X Y and consider
q p1
Xo Y oo R:
p2
Then we note that we are in a similar situation as in ÷6.3. (b). In particular,
X Š lim Xk ;
!
k0
where Xk (k 0) is the algebraic space defined as in ÷6.3. (b).
Proposition 6.3.21. Let X be a coherent formal algebraic space having an ideal of

definition of finite type, and Xk for k 0 the algebraic spaces defined as above.
(a) X is represented by an adic formal scheme of finite ideal type.
(b) Xk is represented by a scheme for any k 0.
(c) X0 is represented by a scheme.
Proof. (a) H) (b) is trivial. (b) H) (c) follows from 0.5.5.5. Suppose (b) holds. As
we have seen above, X is the inductive limit of fXk gk0 taken in the category of
formal algebraic spaces; but by 1.4.3, it is an adic formal scheme, whence (a).
6.3. (f) Formal completion of algebraic spaces. Let X be an algebraic space

over a scheme S , and Z a closed subspace of X of finite presentation with the defin-
ing ideal sheaf (cf. [72], II.5). Take a representable étale covering qW Y ! X,
which yields the cokernel sequence
q p1
Xo Y oo Y X Y;
p2
where p1 and p2 are the projections. Set R D Y X Y . Consider the formal

completions Yy jZ and Rj
y Z along the closed subschemes q 1 .Z/ and p 1 q 1 .Z/,
i
respectively. We get a diagram of adic formal schemes of finite ideal type
b
p1
Yy jZ oo yZ
Rj ()
b
p2
consisting of étale surjective morphisms.
Proposition 6.3.22. Diagram ./ gives an étale equivalence relation in AcFsS ,

and if we put qyW Yy jZ ! Xj
y Z to be the sheaf quotient, then Xjy Z is a formal alge-
braic space over S and qy gives a representable étale covering.
Proof. The first assertion is clear, and the other follow from 6.3.5.
6.3. (g) A.q.c. sheaves on formal algebraic spaces. Let X be a formal algebraic
space, and an ideal of definition of finite type. As in ÷6.3. (e) we have algebraic
spaces Xk for k 0, which we often denote loosely by Xk D .X; OX = kC1 /.
For any OX -module F we put Fk D F = kC1 F for k 0, regarded as an
OXk -module. We thus obtain a projective system fFk gk0 of OX -modules. Define
the OX -module Fy by Fy D lim Fk . As in ÷3.1. (a), one sees that the definition
k
of Fy does not depend on the choice of the ideal of definition , and thus one can
define Fy for any OX -module even in the case where X does not have an ideal of
definition. The OX -module Fy thus obtained is called the completion of F . As
before, the completion comes with the canonical morphism F ! Fy , and if this
morphism is an isomorphism, we say that F is complete.
Definition 6.3.23. (1) We say that an OX -module F is an a.q.c. sheaf if
(a) F is complete, and
(b) for any subspace U X and any ideal of definition of finite type of U ,
the sheaf .F jU /= .F jU / is a quasi-coherent sheaf on the algebraic space
.U; OU = /.
(2) An a.q.c. sheaf F on X is said to be of finite type if it is of finite type as an
OX -module.
(3) A morphism between a.q.c. sheaves is a morphism of OX -modules.
To check (b), it is enough to check the following statement.
.b/0 There exist a Zariski covering fX˛ ! Xg˛2L of X, and for each ˛ 2 L
an ideal of definition ˛ of finite type of X˛ , such that for any ˛ 2 L
and k 0 the sheaf .F jX˛ /= ˛kC1 .F jX˛ / is a quasi-coherent sheaf on the
algebraic space .X˛ ; OX˛ = ˛kC1 /.
If X itself has an ideal of definition of finite type, then the last condition is
equivalent to Fk (defined as above) being quasi-coherent on Xk for any k 0.
We denote, as usual, the category of a.q.c. sheaves on a formal algebraic space
eK t
X by AQCohX (or AQCohX ). By 6.2.12, if X is a quasi-separated adic formal
scheme of finite ideal type, then the notion of a.q.c. sheaves on X as a formal alge-
braic space coincides with that on X as an adic formal scheme. By 3.6.5 and 6.1.11
we have the following result.
Proposition 6.3.24. Let X be a formal algebraic space and F a complete OX -mod-
ule. Then F is an a.q.c. sheaf .resp. a.q.c. sheaf of finite type, resp. a.q.c.
OX -algebra, resp. a.q.c. OX -algebra of finite type/ if and only if for any repre-
sentable étale covering qW Y ! X, qb F is an a.s.c. sheaf .resp. a.q.c. sheaf of
finite type, resp. a.q.c. OY -algebra, resp. a.q.c. OY -algebra of finite type/ on Y .
6.4 Several properties of morphisms

We begin with the following definition, consistent with the one given in the begin-
ning of ÷6.3. (a).
Definition 6.4.1. Let P be one of the following properties:

(a) affine adic,
(b) finite,
(c) open immersion,
(d) closed immersion,
(e) immersion.
We say that the a morphism f W X ! Y of formal algebraic spaces is P if it is
adic and for any morphism V ! Y , where V is an adic formal scheme, the fiber
product X Y V is represented by an adic formal scheme and the resulting map
fV W X Y V ! V of adic formal schemes has property P .
Proposition 6.4.2. Let P be one of the properties for morphisms of formal alge-
braic spaces listed in 6.4.1.
(1) Let f W X ! Y and gW Y ! Z be morphisms of formal algebraic spaces. If
f and g satisfy P , then so does the composition g ı f .
Z-morphisms of formal algebraic spaces satisfying P . Then
satisfies P .
(3) Let Z be a formal algebraic space, and f W X ! Y a Z-morphism between
formal algebraic spaces satisfying P . Then for any morphism Z 0 ! Z of formal
fZ 0 W X Z Z 0 ! Y Z Z 0
satisfies P .
The proof is straightforward, and we omit it. The following proposition follows
from 6.2.5.
braic spaces listed in 6.4.1. Let f W X ! Y be a morphism of formal algebraic
spaces, and V ! Y a representable étale covering of Y . Then f satisfies P if and
only if X Y V is representable and fV W X Y V ! V satisfies P .
Proposition 6.4.4. Let P be one of the properties for morphisms of formal al-
gebraic spaces listed in 6.4.1. Let f W X ! Y be an adic morphism of formal
algebraic spaces, and suppose Y has an ideal of definition of finite type. For
any integer k 0, we denote by fk W Xk ! Yk the induced morphism of algebraic
spaces defined as in ÷6.3. (e). Then the following conditions are equivalent.
(a) f satisfies P .
(b) fk is satisfies P for any k 0.
If P D ‘affine adic’, ‘finite’, or ‘closed immersion’, then the conditions are further-
more equivalent to
(c) f0 is satisfies P .
The proof is straightforward and is omitted here.
Definition 6.4.5. Let P be one of the following properties:
(a) locally of finite type,
(b) adically flat,
(c) smooth,
(d) étale.
We say that an S -morphism f W X ! Y of formal algebraic spaces has P if it is
adic and there exist a representable étale covering V ! Y and a representable étale
covering U ! X Y V such that the resulting morphism U ! V of adic formal
schemes satisfies P .
Note that by 6.3.19 the definition of étale morphisms as in (d) is consistent with
the one given in 6.3.10. The following proposition is clear.
Proposition 6.4.6. Let P be one of the properties for morphisms of formal al-
gebraic spaces listed in 6.4.5. Let f W X ! Y be an adic morphism of formal
algebraic spaces, and suppose Y has an ideal of definition of finite type. For
any integer k 0 we denote by fk W Xk ! Yk the induced morphism of algebraic
spaces defined as in ÷6.3. (e). Then the following conditions are equivalent.
(a) f satisfies P .
(b) fk is satisfies P for any k 0.
If P D ‘locally of finite type’, then the conditions are furthermore equivalent to
(c) f0 is satisfies P .
braic spaces listed in 6.4.5. Let f W X ! Y be an adic morphism of formal alge-
braic spaces, and V ! Y a representable étale covering of Y . Then f satisfies P
if and only if the base change fV W X Y V ! V satisfies P .
This follows from 6.2.6. The following proposition is easy to see.

braic spaces listed in 6.4.5.
(1) Let f W X ! Y and gW Y ! Z be morphisms of formal algebraic spaces. If
f and g satisfy P , then so is the composition g ı f .
Z-morphisms of formal algebraic spaces satisfying P . Then
satisfies P .
(3) Let Z be a formal algebraic space, and f W X ! Y a Z-morphism between
formal algebraic spaces satisfying P . Then for any morphism Z 0 ! Z of formal
fZ 0 W X Z Z 0 ! Y Z Z 0
satisfies P .
Proposition 6.4.9. The following conditions for a morphism f W X ! Y of formal
algebraic spaces are equivalent.
(a) For any étale morphism V ! Y from a quasi-compact adic formal scheme
of finite ideal type, the formal algebraic space X Y V is quasi-compact;
see (6.3.4).
(b) For any morphism V ! Y from a quasi-compact adic formal scheme of
finite ideal type, the formal algebraic space X Y V is quasi-compact.
Proof. Implication (b) H) (a) is trivial. Suppose (a) holds. We take a representable
étale covering Y 0 ! Y , where Y 0 is quasi-compact, and set V 0 D Y 0 Y V , which is
an adic formal scheme étale and surjective over V . Since V 0 is quasi-compact, there
exists a quasi-compact open subset Y 00 of Y 0 containing the image of V 0 . Since
X Y Y 00 is quasi-compact, we deduce that X Y V 0 is quasi-compact (1.6.7 (3)).
Thus to show the assertion, it suffices to show the following: let f W X ! Y be
a morphism of formal algebraic spaces, where Y is a quasi-compact adic formal
scheme, and Y 0 ! Y an étale surjective map; if X Y Y 0 is quasi-compact, then
so is X. This is easy to see.
quasi-compact if the equivalent conditions in 6.4.9 are satisfied.
Clearly, quasi-compact morphisms are closed under composition and are base-
change stable.

of finite type if it is locally of finite type and quasi-compact.
Obviously, morphisms of finite type are closed under composition and base-
change stable; moreover, (a), (b), and (c) in 6.4.6 with P D ‘of finite type’ are
equivalent.
Definition 6.4.12. A morphism f W X ! Y of formal algebraic spaces is said to
be locally separated (resp. separated) if the diagonal map X W X ! X Y X is a
quasi-compact immersion (resp. closed immersion).
Proposition 6.4.13. Let f W X ! Y be an adic morphism of formal algebraic
spaces, and suppose Y has an ideal of definition . For any integer k 0 we
denote by fk W Xk ! Yk the induced morphism of algebraic spaces defined as
in ÷6.3. (e). Then the following conditions are equivalent.
(a) f is locally separated .resp. separated/.
(b) fk is locally separated .resp. separated/ for any k 0.
Moreover, f is separated if and only if f0 is separated.
Definition 6.4.14. A morphism f W X ! Y of formal algebraic spaces is said to
be proper if it is adic and there exist a Zariski covering fY˛ ! Y g˛2L of Y and
an ideal of definition ˛ of finite type on each Y˛ , such that for each ˛ 2 L the
induced morphism X˛;0 D X Y Y˛ ! Y˛;0 of algebraic spaces .cf. ÷6.3. (e)) is
proper.
It is easy to see that the condition does not depend on the choice of the Zariski
covering fY˛ ! Y g˛2L and the ideals of definitions f ˛ g˛2L . In particular, if
Y has an ideal of definition , then f is proper if and only if it is adic and the
induced map fk W Xk ! Yk for any k 0 is proper. Note that proper morphisms
are separated of finite type. The following proposition is easy to establish.
algebraic spaces. If f and g are separated .resp. proper/, then so is g ı f .
separated .resp. proper/ Z-morphisms of formal algebraic spaces. Then
is separated .resp. proper/.
(3) Let Z be a formal algebraic space, and f W X ! Y a separated .resp.
proper/ Z-morphism of formal algebraic spaces. Then for any map Z 0 ! Z of
formal algebraic spaces the induced morphism
fZ 0 W X Z Z 0 ! Y Z Z 0
is separated .resp. proper/.
6.5 Universally adhesive and universally rigid-Noetherian

formal algebraic spaces
Definition 6.5.1. A formal algebraic space X is said to be locally universally adhe-
sive (resp. locally universally rigid-Noetherian) if it has an étale covering Y ! X
by a locally universally adhesive (resp. locally universally rigid-Noetherian) for-
mal scheme Y (2.1.7). If Y can be taken to be quasi-compact, we say that X is
universally adhesive (resp. universally rigid-Noetherian).
If a formal algebraic space X is locally universally adhesive (resp. locally uni-

versally rigid-Noetherian), then any locally of finite type formal algebraic space
over X is locally universally adhesive (resp. locally universally rigid-Noetherian).
Note that these definitions are consistent with the definitions of the corresponding
notions for formal schemes due to 2.1.6.
Proposition 6.5.2. Let X ! Z Y be a diagram of formal algebraic spaces,

where X is locally universally adhesive .resp. locally universally rigid-Noetherian/
and the map Y ! Z is locally of finite type. Then the fiber product X Z Y is
locally universally adhesive .resp. locally universally rigid-Noetherian/.
Definition 6.5.3. A morphism f W X ! Y of locally universally rigid-Noetherian

formal algebraic spaces is said to be locally of finite presentation if it is adic and
there exist a representable étale covering V ! Y and a representable étale covering
U ! X Y V such that the resulting map U ! V (between locally universally
rigid-Noetherian formal schemes) is locally of finite presentation. If, moreover, f
is quasi-compact, then f is said to be of finite presentation.
The following propositions are straightforward.
Proposition 6.5.4. Let f W X ! Y be an adic morphism of locally universally rigid-

Noetherian formal algebraic spaces, and suppose Y has an ideal of definition
of finite type. For any integer k 0 we denote by fk W Xk ! Yk the induced
morphism of algebraic spaces defined as in ÷6.3. (e). Then the following conditions
are equivalent.
(a) f is locally of finite presentation .resp. of finite presentation/.
(b) fk is locally of finite presentation .resp. of finite presentation/ for any
k 0.
Proposition 6.5.5. Let f W X ! Y be an adic morphism of locally universally rigid-

Noetherian formal algebraic spaces, and V ! Y a representable étale covering of
Y . Then f is locally of finite presentation .resp. of finite presentation/ if and only
if so is the base change fV W X Y V ! V .
Proposition 6.5.6. (1) Let f W X ! Y and gW Y ! Z be morphisms of locally

universally rigid-Noetherian formal algebraic spaces. If f and g are locally of
finite presentation .resp. of finite presentation/, then so is g ı f .
Z-morphisms of locally universally rigid-Noetherian formal algebraic spaces that
are locally of finite presentation .resp. of finite presentation/. Suppose X 0 Z Y 0 is
locally universally rigid-Noetherian. Then

(3) Let Z be a formal algebraic space and f W X ! Y a Z-morphism between
locally universally rigid-Noetherian formal algebraic spaces that is locally of finite
presentation .resp. of finite presentation/. Then for any morphism Z 0 ! Z of
formal algebraic spaces such that Y Z Z 0 is locally universally rigid-Noetherian
the induced morphism
fZ 0 W X Z Z 0 ! Y Z Z 0
By 6.2.13, one can deal with a.q.c. sheaves of finite presentation over locally
universally rigid-Noetherian formal algebraic spaces; here the details are omitted
and left to the reader.
Exercises
Exercise I.6.1. Show that any algebraic space X over a scheme S is canonically
regarded as a formal algebraic space over S . (See 0, ÷5.2. (a) for our convention on
algebraic spaces.)
Exercise I.6.2. Let X be a (resp. locally separated, resp. separated) formal alge-
braic space over an adic formal scheme S of finite ideal type, Z and W adic for-
mal schemes over S , and Z ! X and W ! X maps of sheaves on AcFsS;Ket .
Show that the sheaf fiber product Z X W is representable and that the map
Z X W ! Z S W is quasi-compact .resp. a quasi-compact immersion, resp.
a closed immersion/.
Exercise I.6.3. Let f W X ! Y be an adically faithfully flat morphism between

adic formal schemes of finite ideal type, and J an a.q.c. ideal sheaf on Y . Suppose
that fc J is an ideal of definition of X. Show that J is an ideal of definition of Y .
Exercise I.6.4. Show that for any formal algebraic space X there exists a Zariski
covering fX˛ ! Xg˛2L (that is, covering by open subspaces) such that each X˛ is
a quasi-compact formal algebraic space. Show, moreover, that in this case if each
X˛ is a formal scheme, then X is a formal scheme.
Exercise I.6.5. Let X be a formal algebraic space.

(1) (Cf. [72], II.6.) A point of X is a morphism of the form Spec k ! X
(where k is a field) that is a sheaf monomorphism. We denote by jXj the set of all
isomorphism classes of points of X. Suppose that X has an ideal of definition of
finite type , and let X0 D .X; OX = / be the associated algebraic space. Show
that jX0 j D jXj. In particular, jXj ¤ ; whenever X is non-empty.
(2) The underlying topological space of X is the set jXj endowed with the
following topology: a subset of jXj is closed if it is of the form jY j for a closed
subspace Y of X. Show that there exists a canonical one-to-one correspondence
between the set of all open subspaces of X and the set of all open subsets of jXj.
Exercise I.6.6. Let X be a non-empty formal algebraic space. Show that there
exists a dense open subspace Y of X that is a formal scheme. (Note that, according
to our convention, all formal algebraic spaces are quasi-separated.)
7 Cohomology theory
In this section we collect fundamental facts on cohomologies of a.q.c. sheaves on

formal algebraic spaces. After giving some general facts, we will discuss in ÷7.2
coherent sheaves on locally universally adhesive formal algebraic spaces of a cer-
tain kind. The last subsection, ÷7.3, collects some derived categorical calculi that
are needed in the later arguments.
Here we would like to mention again that when we say ‘X is a formal algebraic
space’, we always mean either one of the following situations (cf. 0, ÷5.2. (a)).
X is an adic formal scheme of finite ideal type (but not necessarily quasi-
separated); in this case, unless otherwise clearly stated, all a.q.c. sheaves
on X and their cohomologies are considered with respect to the Zariski
topology.
X is a quasi-separated adic formal algebraic space of finite ideal type; in
this case, all a.q.c. sheaves on X and their cohomologies are considered
with respect to the étale topology (÷6.3. (d)).
7. Cohomology theory 397
7.1 Cohomologies of a.q.c. sheaves

Theorem 7.1.1. (1) Let A be an adic ring of finite ideal type (1.1.3 (2), 1.1.6), and
set X D Spf A. Then for any a.q.c. sheaf F (3.1.3) we have
Hq .X; F / D 0
for q 1.
(2) Let f W X ! Y be an affine adic morphism between adic formal schemes of
finite ideal type, and F an a.q.c. sheaf on X. Then
R q f F D 0
for q 1.
Theorem 7.1.2. (1) Let A be an adic ring of finite ideal type, and set X D Spf A.
Then for any complex F of a.q.c. sheaves on X such that F q D 0 for q 0
.resp. jqj 0/, we have Hq .X; F / D 0 for q 0 .resp. jqj 0/, and the
object RC X .F / of DC .A/ is represented by the complex X .F /.
(2) Let f W X ! Y be an affine adic morphism between formal schemes of finite
ideal type. Let F be a complex of a.q.c. sheaves on X such that F q D 0 for
q 0 .resp. jqj 0/. Then Rq f F D 0 for q 0 .resp. jqj 0/, and the
object RC f F of DC .Y / is represented by the complex f F .
Similarly to the proof of 0.5.4.3 one can deduce 7.1.2 from 7.1.1. Hence it
suffices to show 7.1.1.
Proof of Theorem 7.1.1. As (1) is a special case of 1.1.23 (2), we only need to
show (2). Since Rq f F is the sheaf on Y associated to the presheaf given by
U 7! Hq .f 1 .U /; F /, we may assume that Y is affine of the form Y D Spf B,
where B is an adic ring that has a finitely generated ideal of definition I B. Then
it suffices to check that Hq .X; F / vanishes for q 0. In this situation, X is also
of the form X D Spf A, where A is an adic ring having IA as a finitely generated
ideal of definition. Then the claimed vanishing follows from (1).
Corollary 7.1.3. Let f W X ! Y be an adic and separated morphism of adic formal
schemes of finite ideal type, and suppose Y is quasi-compact. Then there exists an
integer r > 0 such that for any a.q.c. sheaf F on X and any q r we have
Rq f F D 0. If, moreover, Y is affine, then one can take as r .the minimum of/
the number of affine open sets that cover X. .Hence such an f always has finite
cohomological dimension./
Proof. We may assume that Y is affine of the form Y D Spf B, where B is an
adic ring of finite type. The formal scheme X admits a finite cover by affine open
subsets; by 4.6.4, all intersections of the members of the covering are affine. Hence
in view of 7.1.1 the assertion follows from the Čech calculation of the cohomology
using the Leray covering.
7.2 Coherent sheaves

Definition 7.2.1. A formal algebraic space X is said to be universally cohesive if
it is locally universally rigid-Noetherian (6.5.1) and for any locally of finite presen-
tation morphism Y ! X from a formal scheme Y , OY is a coherent OY -module.
Proposition 7.2.2. Let A be a t.u. rigid-Noetherian ring (2.1.1 (1)) and I A a

finitely generated ideal of definition. Set
X D Spf A:
Then X is universally cohesive if A is topologically universally coherent (0.8.5.22)

with respect to I .
Proof. Suppose A is topologically universally coherent, and let Y ! X be an

X-formal scheme locally of finite presentation. In order to show that OY is co-
herent, we may assume that Y is affine, Y D Spf B. By the assumption, B is a
topologically finitely presented B-algebra and, in view of 0.8.5.23 (2), topologi-
cally universally coherent with respect to the ideal IB. Hence it suffices to show
that OX is coherent (since for Y the situation is the same). Let U be an open subset
of X, and suppose we are given an exact sequence
˚m
0 ! K ! OU ! OU :
We need to show that K is of finite type. We may further assume that U is an affine
open subset, and thus that U D X, without loss of generality. By 3.2.9 the last
morphism comes from a map A˚m ! A. Let K be its kernel, which is a finitely
generated A-module. Then by 3.5.6
0 ! K ! OX˚m ! OX
is exact, that is, we have K Š K , which is an a.q.c. sheaf of finite type.
Proposition 7.2.3. Let X be a locally universally adhesive

` formal algebraic space
such that there exists a covering .Zariski or étale/ ˛2L U˛ ! X, where each U˛
is affine with an ideal of definition ˛ of finite type, such that OU˛ is ˛ -torsion
free. Then X is universally cohesive.
This follows from 7.2.2 and 0.8.5.25 (2). Hence, any formal scheme locally of
finite presentation over X as above, even if it may have -torsions, is universally
cohesive. For example, if V is an a-adically complete valuation ring (of arbitrary
height), then the a-adic formal scheme Spf V , and hence any formal algebraic space
locally of finite presentation over V , is universally cohesive (0.9.2.7).
7. Cohomology theory 399
Proposition 7.2.4. Let X be a universally cohesive formal algebraic space, and

suppose X has an ideal of definition of finite type. Set
Xk D .X; OX = kC1 /; k0
.note that Xk is a universally cohesive scheme/. Let F be an OX -module, and set
Fk D F = kC1 F ; k 0:

(a) F is coherent.
(b) Fk is coherent on Xk for any k 0 and F D lim Fk .
k
Proof. Note that in either situation (a) or (b) the sheaf F is a.q.c. of finite type
(cf. 3.4.1). We may work in the affine situation; set X D Spf A where A is a t.u.
rigid-Noetherian ring with a finitely generated ideal of definition I A. In this
case, F D M for a uniquely determined finitely generated A-module M . Then
the assertion follows from 0.7.4.19.
7.3 Calculus in derived categories

Let X be a formal algebraic space. We denote by D .X/ . D “ ”, C, , b/ the de-
rived category associated to the abelian category ModX of OX -modules. In the case
where X is universally cohesive, one can consider the full subcategory Dcoh .X/ of
D .X/ consisting of objects having coherent cohomologies in all degrees. This is a
triangulated category equipped with the canonical cohomology functor H0 and the
canonical t -structure (cf. 0, ÷5.3).
Proposition 7.3.1 (cf. 0.C.4.6). Let A be a t.u. rigid-Noetherian ring with a finitely
generated ideal of definition I A, and suppose that A is topologically universally
coherent with respect to I . Set X D Spf A. Then the exact equivalence

CohA ! CohX
given by M 7! M (3.5.6) induces an exact equivalence

D .CohA / ! D .CohX /;
where CohA denotes the category of finitely presented A-modules .which is an

abelian category due to 0.3.3.3/.
In the following we denote the composition

ı
D .A/ ! D .CohX / ! Dcoh .X/
(cf. 0, ÷C.5) by
M 7 ! MX :
Proposition 7.3.2. Let A and I be as in 7.3.1, and set X D Spf A. Then the
canonical exact functor
.cf. 0, ÷C.5) is a categorical equivalence.

Corollary 7.3.3. In the situation as in 7.3.1 the canonical functor
Db .CohA / ! Dbcoh .X/; M 7 ! MX ;
is an exact equivalence. In other words, any object M of Dbcoh .X/ can be rep-
resented (0.C.4.8) by a complex consisting of coherent sheaves and hence by a
complex consisting of finitely presented A-modules.
All these can be shown similarly to 0.5.3.2 and 0.5.3.3. By an argument similar
to 0.5.3.5 one has the following result.
Proposition 7.3.4. Let X be a universally cohesive formal algebraic space.
(1) For F; G 2 obj.Dcoh .X//, the object F ˝LOX G belongs to Dcoh .X/.
(2) For F 2 obj.Dcoh .X// and G 2 obj.DC
coh .X//, the object R HomOX .F; G/
belongs to DC
coh .X/.
Proposition 7.3.5. Let f W X ! Y be a morphism of universally cohesive formal
algebraic spaces. Then the functor Lf maps Dcoh .Y / to Dcoh .X/.
The proof is similar to that of 0.5.3.6. Using 7.1.2 (2) one can show the follow-
ing proposition by an argument similar to that in 0.5.4.4.
Proposition 7.3.6. Let X be a universally cohesive formal algebraic space and let
i W Y ,! X be a closed immersion of finite presentation .hence Y is universally
cohesive/. Then RC i maps Dbcoh .Y / to Dbcoh .X/.
Exercises
Exercise I.7.1. Let X be a universally cohesive (hence locally universally
rigid-Noetherian) formal algebraic space, and 'W F ! G a morphism of a.q.c.
sheaves of finite type on X. Show that if G is coherent, then ker.'/ is an a.q.c.
sheaf of finite type.
8. Finiteness theorem for proper algebraic spaces 401
8 Finiteness theorem for proper algebraic spaces

In this section we announce and prove the finiteness theorem for cohomologies of
coherent sheaves on universally cohesive (0.5.2.1) algebraic spaces (not necessar-
ily locally Noetherian), which generalizes the classically known finiteness theorem
in, e.g., [54], III. This theorem provides an important preliminary for (generalized)
GFGA theorems, which will be discussed in the next two sections. We put this
entirely scheme-theoretic (not formal-scheme-theoretic) section in this chapter, not
only because it gives a preliminary for the GFGA, but also some of the techniques
for the proof are common to the proofs of the GFGA theorems. Most notably,
a variation of Grothendieck’s dévissage is discussed, which we call the carving
method. As in case of dévissage, it consists of a reduction to particular cases by
an induction with respect to sequences of closed subspaces, that is, induction with
respect to a stratification. Aside from its technical merits (e.g., removing Noethe-
rian hypothesis), the method is best suited for treating algebraic spaces, since an
inductive argument with respect to a stratification is a basic and fundamental tool
to study these spaces.
In the first subsection, ÷8.1, we announce the finiteness theorem (8.1.3) and
some related statements for algebraic spaces. The rest of this section is mainly de-
voted to the proof. By the carving method, the finiteness theorem is reduced to the
projective case, and the theorem in this particular situation is verified by a general-
ization of Serre’s theorem [54], III, (2.2.1), which will be announced and proved
in ÷8.2. In ÷8.3, we formulate the carving method in a derived-categorical setting.
This will be contained in Proposition 8.3.1 below, and the proof of this proposition
is based on the carving lemma (8.3.2). The proof of the finiteness theorem will be
finished in ÷8.4. In the final subsection ÷8.5 we give an application of the theorem
to I -goodness (cf. 0.7.4. (a)) of the induced filtrations of the cohomology groups of
coherent sheaves, which we will need in our later discussion.
8.1 Finiteness theorem: formulation

First, let us collect some known finiteness results that are already general enough
for our purposes.
Proposition 8.1.1 (cf. [54], III, (1.4.12)). Let f W X ! S be a quasi-compact
and separated morphism of algebraic spaces, and suppose that S is quasi-compact.
Then there exists an integer r > 0 such that for any quasi-coherent sheaf F on X
and any q r, we have Rq f F D 0. If, moreover, S is affine and X is a scheme,
one can take as r .the minimum of/ the number of affine open subsets that cover X.
This follows readily from 0.5.4.6 and 0.5.4.7 (cf. [72], II.2.7 and II.3.12). The
proposition says, in other words, that the morphism f as above has finite cohomo-
logical dimension.
Proposition 8.1.2. Let f W X ! Y be a separated and quasi-compact morphism

of algebraic spaces with X quasi-compact, and L an f -ample invertible sheaf on
X. Let F be a quasi-coherent sheaf on X of finite type. Then there exists an
integer N such that for any n N the canonical morphism f f F .n/ ! F .n/
is surjective.
Proof. One can assume that Y is affine, and hence that X is a scheme. Then the
assertion follows from [54], II, (4.6.8).
Now we formulate our finiteness theorem.
Theorem 8.1.3 (finiteness theorem). Let Y be a universally cohesive (0.5.2.1)
quasi-compact algebraic space, and f W X ! Y a proper morphism of finite presen-
tation of algebraic spaces .hence X is also universally cohesive/. Then the functor
Rf maps an object of Dbcoh .X/ to an object of Dbcoh .Y /.
Note that the premise ‘universally cohesive’ for Y is fulfilled, in particular,
when Y is Noetherian or is locally of finite presentation over an a-adically com-
plete valuation ring V of arbitrary height (0.9.2.8). Before the proof of the theorem
we include some useful corollaries.
Corollary 8.1.4. Consider the situation as in 8.1.3. Then the functor Rf maps
Dcoh .X/ to Dcoh .Y / for D “ ”, C, , b.
Here, note that, since f has a finite cohomological dimension (8.1.1), one can
extend the domain of RC f to the whole Dcoh .X/ (cf. [34], C.D. Chapter 2, ÷2,
no 2, Corollary 2).
Proof. Let K be an object of DC coh .X/, and consider Rf K. To detect the coho-
mology Rq f K, we can always find a sufficiently large n such that Rq f K D
Rq f . n K/; therefore, Rf maps DC C
coh .X/ to Dcoh .Y /. The other cases are easy
to verify (use m instead of n ).
Corollary 8.1.5. Let B be a universally coherent ring .0:8.5.22/, and let the map
f W X ! Y D Spec B be a proper morphism of finite presentation between alge-
braic spaces. Let M 2 Dcoh .X/ and N 2 DC q
coh .X/. Then R HomOX .M; N / .with
the natural B-module structure; cf. 0, ÷4.3. (c)/ is a coherent B-module for any q.
Proof. By 0.5.3.5 (2) we know that R HomOX .M; N / belongs to DCcoh .X/. Since
R HomOX .M; N / D RX ıR HomOX .M; N /, the assertion follows from 8.1.4.
8.2 Generalized Serre’s theorem

8.2. (a) Formulation. The following theorem together with 8.1.2 generalizes the
result of [54], III, (2.2.1).
Theorem 8.2.1. Let Y be a universally cohesive quasi-compact algebraic space,

f W X ! Y a proper morphism of finite presentation, and F a coherent sheaf on
X. Suppose there exists an f -ample invertible sheaf L on X.
(1) The sheaf Rq f F for any q is coherent on Y .
(2) There exists an integer N such that Rq f F .n/ D 0 for n N and q > 0.
The rest of this subsection is devoted to the proof of this theorem.
8.2. (b) Reduction process. We may assume that Y is affine, Y D Spec B, where
B is universally coherent (0.5.1.2). We may further assume that L is very ample
relative to f . Since f is proper and quasi-projective, it is in fact projective ([72],
II.7.8), and hence there exists a closed Y -immersion i W X ,! PBr for some r > 0
such that L Š i OP .1/. Let g be the structure morphism PBr ! Y . As i is affine,
we have Rf F .n/ Š Rg .i F .n//; also, by the projection formula (cf. [54], 0III ,
(12.2.3)), i .F .n// Š .i F /.n/. Thus we may assume that X D PBr without loss
of generality. Therefore, to show 8.2.1, it suffices to prove the following proposi-
tion.
Proposition 8.2.2. Let B be a universally coherent ring, X D PBr , and F a coher-
ent OX -module.
(1) For any q the B-module Hq .X; F / is finitely presented.
(2) There exists an integer N such that Hq .X; F .n// D 0 for n N and q > 0.
8.2. (c) Proof of Proposition 8.2.2

Lemma 8.2.3. Let B be a universally coherent ring and X D PBr . Then for any
coherent OX -module F there exists an exact sequence
! E1 ! E0 ! F !0
with sheaves Ei .i 0) of the form OX .ni /˚ki .

Proof. The proof is done by successive application of 0.5.4.10; namely, by 0.5.4.10
there exists a surjective morphism OX .n0 /˚k0 ! F for some integers n0 and
k0 > 0. Let K0 be its kernel. Since K0 is again coherent, we similarly have a
surjective map OX .n1 /˚k1 ! K0 . One can then repeat this procedure.
Lemma 8.2.4. Let B be a coherent ring and X an algebraic space over B. Let
E D . ! 0 ! E s ! E sC1 ! ! E r ! 0 ! /
be a bounded complex of OX -modules such that for all q and k the cohomology
group Hq .X; E k / is a finitely presented B-module. Then Hq .X; E / for any q is a
finitely presented B-module.
Proof. The proof is done by induction with respect to the length of E . By a suit-
able shift we may assume that the complex E is of the form
E D . ! 0 ! E 0 ! E 1 ! ! E l 1
! 0 ! /:
Set E 0 D 1 E (the stupid truncation), that is,
E 0 D . ! 0 ! 0 ! E 1 ! ! E l 1
! 0 ! /:
Then we have the distinguished triangle

C1
E 0 ! E ! E 0 !
in Kb .ModX /. By the cohomology exact sequence
Hq 1
.X; E 0 / ! Hq .X; E 0 / ! Hq .X; E / ! Hq .X; E 0 / ! HqC1 .X; E 0 /;
and by 0.3.3.3, we deduce that Hq .X; E / is finitely presented, as desired.

By the proposition and 0.5.4.7 we have the following corollary.
Corollary 8.2.5. Let Y be a universally cohesive algebraic space, and f W X ! Y
a morphism of algebraic spaces. Let E be a bounded complex of OX -modules such
that Rq f E k are coherent OY -modules for all q and k. Then Rq f E are coherent
OY -modules for all q.
Proof of Proposition 8.2.2. We take a resolution of F as in 8.2.3. By 8.1.1, one
already knows that the cohomology group Hq .X; F / vanishes for q > r, since PBr
is separated over B and covered by r C 1 affine open subsets. Hence it is enough
to calculate the cohomology groups for 0 q r. To this end, one is allowed to
replace F by the bounded complex
! 0 ! Er C1 ! ! E1 ! E0 ! 0 ! :
By 0.5.4.9 and 8.2.4 we deduce that Hq .X; F / is a finitely presented B-module for
0 q r. Combined with the fact that Hq .X; F / for q > r are trivially finitely
presented, we get (1).
Let us show (2). For q > r we already know that Hq .X; F .n// D 0
for any n. Hence one can prove the assertion by descending induction with re-
spect to q. Consider the surjection E D E0 ! F as above, and let K be its
kernel (finitely presented due to 0.3.3.3). By induction, there exists N such that
HqC1 .X; K.n// D 0 for n N . Moreover, one can take N sufficiently large so
that for n N the sheaf E.n/ is of the form OX .m/˚k for a positive integer m.
Hence Hq .X; E.n// D 0 and HqC1 .X; E.n// D 0 for q > 0 (0.5.4.9). Then the
vanishing of Hq .X; F .n// follows from the cohomology exact sequence.
8.3 The carving method

8.3. (a) The main assertion. Let B be a universally coherent ring, and consider
the category PAsB , a full subcategory of the category AsB of B-algebraic spaces
consisting of proper and finitely presented B-algebraic spaces. Note that every
algebraic space in PAsB is universally cohesive.
Proposition 8.3.1 (carving method). Suppose for each object f W X ! Spec B of
PAsB we are given a full subcategory
Df Dbcoh .X/
satisfying the following conditions.
(C0) The zero object 0 belongs to Df , and Df is stable under isomorphisms in
Dbcoh .X/.
C1
(C1) Let K ! L ! M ! be a distinguished triangle in Dbcoh .X/. If two of K,
L, and M are in Df , then so is the rest.
(C2) If f is projective, then Df D Dbcoh .X/.
(C3) Consider a morphism in PAsB , which amounts to the same as a commu-
tative diagram of the form

Xz✹ /X
✹✹ ✡✡
✹✹ ✡✡
g ✹✹ ✡f
✡✡
Spec B
and suppose g and are projective. Then R maps Dg D Dbcoh .X/ z to Df .
.C4/ Consider a closed immersion in PAsB , that is, a commutative diagram
/X
Z✺
✺✺ ✠✠
✺✺ ✠✠
g ✺ ✺ ✠
✠✠ f
Spec B
where is a closed immersion. Then if Dg D Dbcoh .Z/, the functor R maps
Dg to Df .
Then Df D Dbcoh .X/ for any object f W X ! Spec B of PAsB .
8.3. (b) Preparation for the proof and carving lemma. The rest of this subsec-
tion is devoted to showing Proposition 8.3.1. Let us first establish the following
fact, which will be tacitly used in the sequel.
Claim 0. If M 2 obj.Df /, then M Œn 2 obj.Df / for any integer n.
Indeed, we have the distinguished triangle

C1
M ! 0 ! M Œ1 !;
whence the claim, due to (C1).
Claim 1. Consider the diagram as in .C4/, where is a closed immersion defined
by a nilpotent quasi-coherent ideal J OX . Then if Dg D Dbcoh .Z/, we have
Df D Dbcoh .X/.
Since is finitely presented, there exists an integer k 0 such that J kC1 D 0.
By induction with respect to k we may assume without loss of generality that
J 2 D 0. Let M 2 obj.Dbcoh .X//. Using the distinguished triangle
C1
n M ! M ! nC1 M !
and Claim 0, by an inductive application of (C1) we may assume that M is concen-
trated in degree 0, that is, Hq .M / D 0 unless q D 0.
Consider the canonical morphism M ! R . 0 L M /, and embed it into a
distinguished triangle
C1
M ! R . 0 L M / ! N ! : ()
By 0.5.3.6, 0 L M 2 obj.Dbcoh .Z// D obj.Dg /. By (C4), the middle term of
./ belongs to Df . Hence by (C1) it suffices to show that N belongs to Df . To
this end, we shall show that the canonical morphism N ! R . 0 L N / is an
isomorphism. Consider the cohomology exact sequence of ./; since is affine,
by 0.5.4.2 (2) we have
8
< H0 .M / if q D 0;
Hq .R . 0 L M // D
:0 otherwise.
Hence the initial portion of the cohomology exact sequence gives

0 !H 1
.N / ! H0 .M / ! H0 .M / ! H0 .N / ! 0:
Since H0 .M / Š H0 .M /=JH0 .M /, we deduce that H 1 .N / D JH0 .M /
and H0 .N / D 0. Other parts of the cohomology exact sequence imply that
Hq .R . 0 L M // D Hq .N / D 0 for q > 0. Hence N is concentrated in
degree 1, and H 1 .N / D JH0 .M /, which is a coherent sheaf on X (for is
of finite presentation). Since J 2 D 0, we deduce that the canonical morphism
N ! R . 0 L N / is an isomorphism.
Then again by 0.5.3.6 we have 0 L N 2 obj.Dbcoh .Z// D obj.Dg / and us-
ing (C4) and (C0) that N belongs to Df , as desired.
Claim 2. Consider the diagram as in .C4/, where is a closed immersion. Suppose

Dg D Dbcoh .Z/. Then for any M 2 obj.Dbcoh .X// such that Hq .M / is supported
on Z for any q, we have M 2 obj.Df /.
By a similar reduction process as above, we may assume that M is concen-
trated in degree 0. If J is the ideal defining Z in X, there exists a positive integer
n such that J n H0 .M / D 0. By Claim 1, we may further assume n D 1, that is,
JH0 .M / D 0. Then the canonical morphism M ! R . 0 L M / is an iso-
morphism. Since 0 L M belongs to Dbcoh .Z/ (0.5.3.6), we have M 2 obj.Df /
by (C4) and (C0).
To proceed, we need the following lemma.
Lemma 8.3.2 (carving lemma). Let B be any ring, and f W X ! Y D Spec B an
algebraic space separated and of finite presentation over B. Then there exists a
sequence of closed subspaces
X D X0 © X1 © © Xr © Xr C1 D ; ()
such that, for any 0 i r,
(a) the closed immersion i C1 W Xi C1 ,! Xi is of finite presentation,
(b) the complement Xi n Xi C1 .cf. [72], II.5.12/ is quasi-projective, and
(c) there exists a projective morphism i W Xzi ! Xi of finite presentation such
that i is an isomorphism over the open subspace Xi n Xi C1 and that the
composition Xzi ! Y is quasi-projective.
Proof. Take a subring B 0 of B of finite type over Z and an algebraic space X 0 over
Y 0 D Spec B 0 of finite presentation such that there exists a Cartesian diagram
X / X0
f f0

Y / Y 0.
This is possible by the standard argument well known for schemes ([54], IV, ÷8).
We leave the details to the reader as an exercise (Exercise I.8.2). The algebraic
space X 0 is then a Noetherian algebraic space, and hence any descending sequence
of closed subspaces terminates (cf. [72], II.5.18).
Suppose X 0 D X00 is not quasi-projective over Y 0 . Take a non-empty open
subspace U10 of X 0 quasi-projective over Y 0 , and let X10 be its complement. If X10
is not quasi-projective, then we repeat this procedure to take X20 with non-empty
quasi-projective complement. Since X 0 is Noetherian, this procedure stops after
finitely many steps. Thus we get the sequence of closed subspaces
X 0 D X00 © X10 © © Xr0 © Xr0 C1 D ;:
Now we apply Chow’s lemma (stated below) to each Xi0 and Ui0 D Xi0 n Xi0C1 to
f0 ! X 0 such that the composition X
get the Ui0 -admissible blow-up X f0 ! Y 0 is
i i i
0
quasi-projective. Pulling back all these data by the map Y ! Y onto Y , we get
the desired sequence of subspaces of X.
Theorem 8.3.3 (Chow’s lemma [89], Première partie, (5.7.14)). Let Y be a coher-
ent algebraic space, X ! Y a separated Y -algebraic space of finite type, and
U an open subspace quasi-projective over Y . Then there exists a U -admissible
blow-up W Xz ! X such that Xz is quasi-projective over Y .
Here a blow-up Xz ! X is said to be U -admissible if it is isomorphic to
the blow-up along a closed subspace of X of finite presentation disjoint from U
(cf. II.E.1.4).
8.3. (c) Proof of Proposition 8.3.1. Let f W X ! Spec B be an object of PAsB ,

and apply 8.3.2 to f to get a sequence of closed subspaces ./. Since f is proper,
the morphisms fi W Xi ! Spec B and fQi D fi ı i W Xzi ! Spec B are proper for
0 i r. In particular, fQi are projective, and hence Xzi are schemes. Note also
that Xr D Xzr , which is therefore a projective scheme over B.
We prove the assertion by induction with respect to r. If r D 0, then X D X0
is projective, and the result follows from (C2). In general, we may assume by
induction that Df1 D Dbcoh .X1 /. In what follows, for the sake of brevity, we write
Z D X1 , g D f1 , Xz D Xz0 , D 0 , and D 1 . Thus we are in the situation
depicted as follows:
Xz

Z✺ /X
✺✺ ✠✠
✺✺ ✠✠
g ✺ ✺ ✠f
✠✠
Spec B.
Here is a closed immersion, and f ı are projective, and is the identity over
X n .Z/; moreover, we already know that Dg D Dbcoh .Z/.
Let M 2 obj.Dbcoh .X//. We are going to show that M belongs to Df . Similarly
to the proof of Claim 1, we may assume that M is concentrated in degree 0. Embed
the canonical map M ! R . 0 L M / in the distinguished triangle
C1
M ! R . 0 L M / ! N ! : ()
By 0.5.3.6, (C2), and (C3), the middle term belongs to Df . Hence by (C1) it
suffices to show that N belongs to Df . But by Claim 2 it is enough to verify that
all cohomologies of N are supported on Z.
Since 1 R . 0 L M / Š 1 N and since is isomorphic over the com-

plement of Z in X, 1 N has the cohomologies supported on Z. Moreover, look-
ing at the initial portion of the cohomology exact sequence of ./,
0 !H 1
.N / ! H0 .M / ! H0 .R . 0 L M // ! H0 .N / ! 0;
and recalling the equality H0 .R . 0 L M // D H0 .M /, we deduce that

H 1 .N / and H0 .N / are supported on Z. Hence all cohomologies of N are sup-
ported on Z, as desired.
8.4 Proof of Theorem 8.1.3

8.4. (a) Reduction process. We assume without loss of generality that Y is affine,
Y D Spec B, where B is universally coherent. For any object .f W X ! Spec B/ 2
obj.PAsB / we define
Df Dbcoh .X/
to be the full subcategory consisting of all objects M 2 obj.Dbcoh .X// such that
Rf M 2 obj.Dbcoh .Spec B//. We want to show that Df D Dbcoh .X/ for any f 2
obj.PAsB /, and hence it suffices to check the conditions in 8.3.1.
We postpone the checking of (C2), which we suppose is verified for the time
being. Both (C0) and (C1) are obviously satisfied. As for (C3), since we already
know (C2), R maps any object M of Dbcoh .X/ z to an object of Db .X/. Then,
coh
since Rf .R M / D Rg M , we have R M 2 Df . Thus (C3) is satisfied.
Finally, in the diagram in (C4), since is of finite presentation, R maps an object
of Dbcoh .Z/ to an object of Dbcoh .X/ (0.5.4.4). Hence (C4) can be verified similarly.
8.4. (b) End of the proof. Now we finish the proof of 8.1.3 by checking (C2). By
a similar reduction argument as in ÷8.2. (b), we may assume X D PBr . Indeed, if
W X ,! PBr is the B-closed immersion of finite presentation, then R maps an
object M of Dbcoh .X/ to Dbcoh .PBr / (0.5.4.4); if it is proved that the theorem is true
for PBr ! Spec B, then it is also true for X ! Spec B by the composition formula
for right derived functors.
Now if X D PBr , then by induction with respect to amp.M / (0.C.4.9) using the
distinguished triangles of the form
C1
n M ! M ! n M !
and 8.2.4, we may assume amp.M / D 0; by a suitable shift we may further assume
that M is concentrated in degree 0. In this case M is represented by a single sheaf.
But the assertion in this case is nothing but 8.2.1 (1), which completes the proof.
8.5 Application to I-goodness

L
Proposition 8.5.1. Let f W X ! Y be as in 8.1.3 and D k0 k a quasi-
coherentLpositively graded OY -algebra of finite presentation. Set 0 D f . Let
M D k2Z MkL be a quasi-coherent graded 0 -module of finite presentation.
q q
Then R f M D k2Z R f Mk is a quasi-coherent graded -module of finite
presentation for any q 0. Moreover, there exists a positive integer r such that for
any q r we have Rq f M D 0.
The first half of the proposition can be shown by the same reasoning as in [54],
III, (3.3.1), and hence as in [54], III, (2.4.1), where we use 8.1.3 instead of [54],
III, (2.2.1). Since the proof is quite similar to those results, we are not going to
repeat it. The last half follows from the proof of [54], III, (3.3.1), and 8.1.1.
Proposition 8.5.2. Let .B; I / be a universally adhesive pair (0.8.5.4) and suppose
B is universally coherent. Let f W X ! Y D Spec B be a proper morphism of
finite presentation between algebraic spaces and F a coherent OX -module. Then
for any q 0 the filtration F D fF n gn0 on the B-module Hq .X; F / by F n D
image.Hq .X; I n F / ! Hq .X; F // is I -good (0.7.4.2).
Proof. It is clear that I m F n F nCm . Consider the I -torsion part FI -tor , and take
m 0 such that I n F D 0 for any n m. Set F1 D F =FI -tor . We first claim that
I n F Š I n F1 for n 0. To see this, we may assume that X is affine, X D Spec A,
where A is a finitely presented B-algebra; note that A is I -adically universally
adhesive and universally coherent. In this situation we have F D Nz for a coherent
A-module N . The canonical morphism I n N ! I n .N=NI -tor / is clearly surjective,
and its kernel is I n N \ NI -tor . By 0.8.5.16, the filtration fI n N \ NI -tor gn0 on
NI -tor is equivalent to the I -adic one, and we conclude that I n N \ NI -tor D 0 for
n 0, i.e., I n N Š I n .N=NI -tor /, as claimed. The claim shows that, in order to
check the I -goodness of F , we may replace F by F1 and hence may assume that
F is I -torsion free.
Now, consider the Rees algebra
M
S D R.B; I / D In
n0
L q
(cf. 0, ÷7.5) and the graded S -module M D n0 H .X;L I n F /. We claim that
M is a finitely generated S -module; if this is shown, then n0 F n is, as a quo-
tient of M , a finitely generated S -module, and hence the desired result follows
from 0.7.5.1.
Set S1 D S=SI -tor . Then S1 is a finitely presented B-algebra; indeed, it is
clearly of finite type, and hence we have a surjective map BŒX1 ; : : : ; Xn ! S1 ;
since BŒX1 ; : : : ; Xn is adhesive and S1 is I -torsion free, the kernel is finitely
generated. Set D Sz (resp. 1 D Sz1 ), and 0 D f (resp. 10 D f 1 ).
9. GFGA comparison theorem 411
Then 1 isL a quasi-coherent positively graded OY -algebra of finite presentation.

Let M D n0 I n F , which is a quasi-coherent graded 0 -algebra of finite type.
We have Hq .X; M/ D M . Since F is I -torsion free, M is I -torsion free and
hence carries the canonical 10 -module structure; moreover, by the adhesiveness of
10 , M is finitely presented as an 10 -module. Hence we deduce that the cohomol-
ogy Hq .X; M/ D M is a finitely presented S1 -module (8.5.1); in particular, it is
finitely generated as an S -module, as desired.
Exercises
Exercise I.8.1. Let B be a ring, f W X ! Y D Spec B a quasi-compact separated
morphism of algebraic spaces, and L an f -ample invertible sheaf on X. Suppose
OX is coherent on X. Show that the canonical functor
D .CohX / ! Dcoh .QCohX /
is an equivalence of triangulated categories for D , b.
Exercise I.8.2. Let A be a ring and X a locally separated (resp. separated) A-alge-
braic space of finite presentation. Then there exist a subring A0 of A of finite type
over Z and a locally separated (resp. separated) A0 -algebraic space X0 of finite
presentation such that X0 ˝A0 A Š X.
9 GFGA comparison theorem

In this and the next sections, we discuss GFGA (D géométrie formelle et géométrie
algébrique) theorems, which generalize the classical GFGA theorems in [54], III.
The generalization will be done in the following two directions. First, with the ap-
plication to rigid geometry in mind, we drop the Noetherian hypothesis and replace
it by weaker ones, like universally adhesive, etc. Second, we will argue entirely in
the derived categorical language.
In this section, we state and prove the GFGA comparison theorem. The theo-
rem will be stated in the first subsection, ÷9.1. In ÷9.2 we give the classical version,
the comparison of the cohomologies without derived categorical setting, but con-
sidering topologies, along with the formalism of [54], III, ÷4.1. Note that even this
classical version avoids Noetherian hypotheses, and thus gives a generalization of
the corresponding theorem in [54], III, ÷4.1. ÷9.3 is devoted to the proof of the
theorem, in which we again use the carving method developed in ÷8.3. The final
subsection, ÷9.4, presents, as a corollary, a subsidiary result on comparison of Ext
modules, which will be referred to in the next section.
9.1 Formulation of the theorem

9.1. (a) Formal completion functor. Let .X; W / be a pseudo-adhesive pair of
algebraic spaces2 (0.8.6.5) such that X is universally cohesive (0.5.1.1). Note that
such a situation is attained if .X; W / is universally adhesive and OX is W -torsion
free or, more generally, if the pair .X; W / is of finite presentation over another such
pair (0.8.6.8). For example, one can consider a pair .X; W /, where X is finitely
presented over an a-adically complete valuation ring of arbitrary height and W is
defined by the ideal .a/.
Set Xy D Xy jW , the formal completion of X along W (cf. ÷6.3. (f)), and let
y
j W X ! X be the canonical morphism of formal algebraic spaces. By -adic
completion (where D W , the defining ideal of W in X), we have the functor
ModX ! ModXy ; F 7 ! Fy D Fy jW :
But by 1.4.7 (1) this functor restricted to coherent OX -modules is canonically equiv-
alent to the functor
F 7 ! j F :
Guided by this, instead of the completion functor, we consider the functor
forW ModX ! ModXy ; F 7 ! F for D j F ;
which is exact, since j is flat, and hence induces an exact functor of triangulated
categories
D .X/ ! D .X/;y
for D “ ”, C, , b. We write the functor thus obtained as
M 7 ! M for :
Note that, if M 2 obj.Dcoh .X//, then
Hq .M for / D j Hq .M / D Hq .M /:2
Remark 9.1.1. If, moreover, the formal algebraic space Xy is universally cohesive,
then we have the exact functor
Dcoh .X/ ! Dcoh .X/;
y M 7 ! M for
(for D “ ”, C, , b), the so-called comparison functor. Note that under our hy-
pothesis in the beginning of this subsection, Xy is universally cohesive if .X; W / is
finitely presented over a complete t.u. adhesive pair .A; I / such that A is I -torsion
free (7.2.2). For example, if X is finitely presented over an a-adically complete
valuation ring V of arbitrary height and W is the closed subspace defined by .a/,
then Xy is universally cohesive.
2
See 0, ÷5.2. (a) and the beginning of ÷7 for our general conventions for algebraic spaces and formal
algebraic spaces.
9.1. (b) The statement. In the sequel we work in the following situation.
Situation 9.1.2. Let .Y; Z/ be a universally pseudo-adhesive pair of algebraic

spaces with Y universally cohesive, and f W X ! Y a proper and finitely presented
morphism. Set W D f 1 .Z/. Set Xy D Xj y W and Yy D Yy jZ , and consider the
commutative diagram
j
Xo Xy
f fO

Y o Yy
i
which is Cartesian in the category of formal algebraic spaces (cf. 1.4.5). For any
k 0 we denote by Xk (resp. Yk ) the closed subspace of X (resp. Y ) defined by
the ideal kC1 OX (resp. kC1 ), where is the defining ideal of Z on Y .
By 8.1.3 and 8.1.4 we already know that the functor Rf maps Dcoh .X/ to
Dcoh .Y / y be the full subcategory of D .X/
for D “ ”, C, , b. Let Daqcoh .X/ y con-
sisting of the objects having adically quasi-coherent cohomologies in all degrees
y may not be a triangulated category). We have the diagram
(Daqcoh .X/
for y
Dcoh .X/ / D .X/
aqcoh
Rf RfO ()

Dcoh .Y / / D .Yy /
for
for D C, b. Note that we can extend the domain of the functor RfO to the whole
D.X/y due to the fact that RfO has finite cohomology dimension (7.1.3); cf. [34],
C.D. Chapter 2, ÷2, no 2, Corollary 2. Hence one can consider diagram ./ also for
D “ ”, .
We are going to construct a natural transformation (comparison map)
D f W for ı Rf ! RfO ı for: ()
As is well known, there exists a canonical natural transformation
i 1
ı Rf ! RfO ı j 1
:
Indeed, for any object M of D.X/ we represent M by a complex J consisting of

injective OX -modules. Then we have the chain of canonical morphisms

i 1
Rf M ! i 1
f J ! fO j 1
J RfO j 1
M;
where the first and the last arrows are quasi-isomorphisms; note that the last arrow
is a quasi-isomorphism because j 1 J gives a flasque resolution of j 1 M . Since i
and j are flat as maps of locally ringed spaces, one can extend the above morphism
to
.Rf M /for ! RfO M for :
Moreover, since the formation of this morphism is canonical, we get the desired
natural transformation . Therefore, we finally get the diagram
for y
Dcoh .X/ / D .X/
aqcoh
Rf O ()
t 5= Rf

ttttttt
t
tt
ttttt / y
Dcoh .Y / for
D .Y /.
Now our main theorem of this section is stated as follows.

Theorem 9.1.3 (GFGA comparison theorem). Diagram ./ is 2-commutative,
that is, gives a natural equivalence for D “ ”, C, , b.
9.2 The classical comparison theorem

Before proceeding to the proof of 9.1.3, let us mention a classical version of the
comparison theorem (the generalized classical comparison theorem) along with the
formalism of [54], III, ÷4.1.
We continue working in the situation of 9.1.2. Let F be a coherent OX -module,
and consider the completion Fy D Fy jW . We set
Fk D F = kC1 F ; k 0:
Then we have Fy D j 1
lim Fk and the commutative diagram of cohomologies
k
q
2
Rq f✸F / Rq fO Fy
✸✸ ☛
✸✸ ☛☛☛ ()
'q ✸
✸ ☛☛☛ q
lim Rq f Fk
k
for q 0, constructed as follows.

Construction of ' q . The canonical map Rq f F ! Rq f Fk factors through
.Rq f F / ˝OY .OY = kC1 OY / ! Rq f Fk ;
from which we obtain ' q by passage to the projective limits lim .
k
q
Construction of . We look at the commutative diagram
♦♦7
Xy
hk
♦♦
♦♦
Xk PP j
PPP
k P(
X
where hk and k are the closed immersions. Since we have the canonical isomor-
phism Fk Š .k / .k / Fk , we have
Hq .Xk ; .k / Fk / Š Hq .X; Fk /:
On the other hand, by 1.4.7 (1) we know that Fy D j F . Hence we have the map
y Fy / ! Hq .X; Fk /;
Hq .X;
and hence the map
y Fy / ! lim Hq .X; Fk /:
Hq .X;
k
1
Do the same for all schemes of the form f .V / with V étale over Y and ap-
ply 0.5.4.7 to obtain the desired map q .
Construction of q . This is essentially done in ÷9.1. (b). By 8.1.3, we already
know that Rq f F is a coherent OY -module. By virtue of 1.4.7 (1), we have
2
R q f F Š i R q f F ;
and hence we get q as the composition
2
R q f F Š i R q f F ! Rq fO .j F / Š Rq fO Fy
Diagram ./ thus obtained is commutative; to see this, we replace Y by open

subsets to reduce to the commutativity of
q
4
Hq .X; ❀F / / Hq .X;y Fy /
❀❀ ✄
❀❀ ✄✄
❀ ✄✄ q ()
' q ❀❀ ✄
✄ ✄
lim Hq .X; Fk /.
k
But this follows from the commutativity of

q
Hq .X;✽F / / Hq .X; y j F /
✽✽ ✁✁
✽✽ ✁✁
' q ✽✽ ✁✁✁ q
✁
Hq .Xk ; k F /
which is obvious thanks to the fact that k D j ı hk .
Now the classical (but generalized to our situation) comparison theorem is

stated as follows.
Theorem 9.2.1. In the above situation, suppose, moreover, that .Y; Z/ is univer-
sally adhesive. Then the morphisms q , ' q and q in diagram ./ are bicontinu-
2
ous isomorphisms, where the topology on Rq f F is the -adic topology, and the
topologies on Rq fO Fy and lim Rq f Fk are the ones given by the filtration by the
k
kernels of the canonical maps to Rq f Fk for k 0.
Proof of Theorem 9.1.3 H) Theorem 9.2.1. Assume that Y is an affine scheme,

Y D Spec B, and let I be the ideal of B corresponding to . It suffices to show
that the maps q , ' q and q in diagram ./ are bicontinuous isomorphisms.
By 9.1.3 applied to the sheaf F (regarded as an object of Dbcoh .X/), the map
4 y Fy /
q W Hq .X; F / ! Hq .X; ()
is an isomorphism. Since Fy is the projective limit of fFk g, by 0.3.2.16 the map

q
is surjective. On the other hand, the filtration F D fF n gn0 on the B-module
q
H .X; F / given by
F n D image.Hq .X; I n F / ! Hq .X; F // D ker.Hq .X; F / ! Hq .X; Fn 1 //
4
is I -good by 8.5.2. Hence the map ' q is injective; indeed, Hq .X; F / is topologi-
cally isomorphic to the projective limit of Hq .X; F /=F kC1 that are mapped injec-
tively into Hq .X; Fk /. The injectivity of ' q now follows from the left-exactness of
lim .
k
Therefore, since ./ is an isomorphism, we deduce that ' q and q are iso-
morphisms. Once ' q is known to be isomorphic, it is automatically topologically
4
isomorphic, since the filtration fF g as above is I -good (and hence both Hq .X; F /
and lim Hq .X; Fk / are complete with respect to the same filtration). Also, since
k
q
is now known to be an isomorphism, it is automatically a bicontinuous isomor-
phism due to the definition of the topologies. This yields the other assertions of the
theorem.
Remark 9.2.2. Note that our proof of 9.2.1 differs in structure from the proof
in [54], III, (4.1.5). In loc. cit. the proof was given by showing that the mor-
phisms 'q and q in diagram ./ are isomorphisms; the isomorphy of the former
was established by the I -goodness of the filtration F as above, and of the lat-
ter by (ML) (cf. 0, ÷3.2. (a)) for the projective system of the cohomologies. But
here we first prove that q is an isomorphism (disregarding the topologies); then
it turns out, as we saw above, that the isomorphy of the remaining maps is almost
automatic.

9.3. (a) Reduction process. By a similar argument as in 8.1.4, it suffices to show
the theorem only in the case D b. We may assume that Y is affine, Y D Spec B,
and let I B the ideal corresponding to . The pair .B; I / is universally adhesive,
and the ring B is universally coherent. We apply 8.3.1 to the following situation.
For each object f W X ! Spec B of PAsB , we define
Df Dbcoh .X/
to be the full subcategory consisting of objects M such that the comparison mor-
phism
f .M /W .Rf M /for ! RfO M for
is an isomorphism in D.Yy /.
We claim that, provided that (C2) of 8.3.1 is verified, the other conditions are
fulfilled, thereby finishing the proof of 9.1.3. (C0) is trivially satisfied, while (C1)
is immediately verified by considering the morphism of exact triangles
C1
.Rf K/for / .Rf L/for / .Rf M /for /
Š Š

C1
RfO K for / RfO Lfor / RfO M for /
z D Dg . Then R M
Next, let us check (C3); Let M be an object of Dbcoh .X/
b
belongs to Dcoh .X/ (by 8.1.3). Since is projective, by our assumption that (C2)
is true, we have .R M /for Š RO M for . Then
.Rf R M /for D .Rg M /for Š RgO M for D RfO RO M for Š RfO .R M /for ;
and so (C3) holds.

Finally, if is a closed immersion as in the diagram of (C4), the comparison
map .R M /for ! RO M for is shown to be a quasi-isomorphism as follows. By
induction with respect to amp.M /, and using shifts and distinguished triangles of
the form
C1
n M ! M ! nC1 M !
(using (C1) verified above), we may assume that M is concentrated in degree 0.
Then M is represented by a coherent sheaf F on X. By 0.5.4.2 (2) and 7.1.1 (2),
3
the q-th cohomologies of the both sides are Hq .F / (the completion of Hq .F /)
and O Hq .F for /, which are isomorphic to each other, since the completion functor
is exact for coherent sheaves. Hence (C4) is verified.
9.3. (b) Projective case. Thus we may restrict to the projective case; clearly, by a
similar reduction process as in 8.2. (b), using 0.5.4.2 (2) and 7.1.1 (2) in much the
same way as above, we may assume X D PBr . Let M be an object of Dbcoh .X/. As
we saw in checking (C4) above, we may assume that M is concentrated in degree
0 and hence is represented by a coherent sheaf F on X.
By 8.2.3, we have an exact sequence
! E1 ! E0 ! F !0
of sheaves Ei of the form OX .ni /˚ki . To compute q-cohomologies for a fixed q,

we can truncate the complex fE g to a bounded complex
! 0 ! EqC1 ! ! E1 ! E0 ! 0 ! ;
and F can be replaced by this complex. Hence, it suffices to show the theorem in
the case F is a line bundle OX .n/.
Set F D OX .n/, and let Xk and Fk D F = kC1 F be defined as in 9.1.2. The
cohomology H D Hq .X; F / (resp. Hk D Hq .Xk ; Fk /) is a free B-module of
finite rank (resp. a free Bk -module of finite rank); obviously, Hk D H=I kC1 H
due to the explicit description of the cohomology group 0.5.4.8. Consequently,
4
Hq .X; F / D lim Hq .Xk ; Fk /:
k
Now since diagram ./ in ÷9.2 is commutative, it suffices to show that

y lim Fk / ! lim Hq .Xk ; Fk /
Hq .X;
k k
is an isomorphism. But since the projective system fHq .Xk ; Fk /gk0 is strict for
any q, the desired isomorphy follows from 0.3.2.16. Therefore, the theorem in the
projective case is proved and hence, by virtue of 8.3.1, the proof of Theorem 9.1.3
is finished.
9.4 Comparison of Ext modules

Proposition 9.4.1. Let .B; I / be a universally adhesive pair with B universally
coherent, and f W X ! Y D Spec B a proper morphism of finite presentation of
algebraic spaces. Then for M 2 obj.Dcoh .X// and N 2 obj.DC coh .X// we have the
canonical isomorphism
R HomOX .M; N / Š R HomOXy .M for ; N for/
in DC .B/ .cf. 0, ÷4.3. (c) for the B-module structures on both sides/.
10. GFGA existence theorem 419
Proof. First note that by 0.5.3.5 (2) we have R HomOX .M; N / 2 DC

coh .X/. Hence,
by 9.1.3, we have
.Rf R HomOX .M; N //for Š RfO .R HomOX .M; N //for:
On the other hand, since j W Xy ! X is flat,
.R HomOX .M; N //for Š R HomOXy .M for ; N for /
([54], 0III , (12.3.5)). The result follows from this.
Corollary 9.4.2. Let .B; I / be a complete universally adhesive pair with B univer-
sally coherent, and X a proper B-algebraic space of finite presentation. Then the
comparison functor
for
Dbcoh .X/ ! Db .X/y
is fully faithful.
Proof. We need to prove that the canonical map
HomD.X/ .M; N / ! HomD.Xy / .M for ; N for /
is bijective for M; N 2 Dbcoh .X/. First note that the left-hand side is isomorphic to
H0 .R HomOX .M; N //, which is a finitely presented B-module by 8.1.4. Since B
is complete, it is complete by 0.8.2.18 (1). Then by 9.4.1 we have
H0 .R HomOX .M; N // Š H0 .R HomOXy .M for ; N for //
(as abelian groups); but the latter module is nothing but HomD.Xy / .M for ; N for /.
10 GFGA existence theorem

10.1 Statement of the theorem
Situation 10.1.1. Let B be a t.u. adhesive ring (2.1.1 (2)) with a finitely generated
ideal of definition I B, and suppose that B is topologically universally coherent
(0.8.5.22) with respect to I . Let f W X ! Y D Spec B be a proper morphism of
algebraic spaces of finite presentation. We will use the notation as in 9.1.2. Note
that the algebraic space X is universally cohesive (0.5.2.1), and the formal algebraic
space Xy is universally adhesive and universally cohesive (7.2.2).
An important special case of the above situation is as follows: B and I are
as above, and B is I -torsion free or, more generally, B is topologically finitely
presented over a t.u. adhesive ring of this kind (0.8.5.25 (2)). For example, B
can be a topologically finitely presented V -algebra with I D aB, where V is an
a-adically complete valuation ring of arbitrary height.
In this section we are going to prove the following theorem.
Theorem 10.1.2 (GFGA existence theorem). In the situation of 10.1.1, the com-
parison functor
for
y
Dbcoh .X/ ! Dbcoh .X/ ()
Note that we have already shown in 9.4.2 that the functor ./ is fully faithful.
Hence what to prove here is that the functor is essentially surjective, in other words,
y is algebraizable.
every object of Dbcoh .X/

10.2. (a) Modification of the carving method. Theorem 10.1.2 will be proved
similarly to 8.1.3 and 9.1.3 by means of the carving method introduced in 8.3, with
a slight modification as follows.
We consider the category PAsB .full subcategory of the category AsB of B-al-
gebraic spaces/ consisting of proper and finitely presented B-algebraic spaces. For
any object f W X ! Spec B we denote by fOW Xy ! Spf B its I -adic completion.
Proposition 10.2.1 (carving method (formal version)). Suppose for each object
f W X ! Spec B of PAsB we are given a full subcategory
y
Df Dbcoh .X/
such that the following conditions are satisfied.

(C0) The zero object 0 belongs to Df , and Df is stable under isomorphisms in
y
Dbcoh .X/.
C1
y If two of K, L, and
(C1) Let K ! L ! M ! be an exact triangle in Dbcoh .X/.
M are in Df , then so are the rest.
y
(C2) If f is projective, then Df D Db .X/.
coh
(C3) Consider a morphism in PAsB , which amounts to the same as a commu-
tative diagram of the form

Xz✹ /X
✹✹ ✡✡
✹✹ ✡✡
g ✹✹ ✡f
✡✡
Spec B
y
z to Df .
and suppose g and are projective. Then RO maps Dg D Dbcoh .X/
(C4) Consider a closed immersion in PAsB , that is, a commutative diagram
/X
Z✺
✺✺ ✠✠
✺✺ ✠✠
g ✺✺ ✠
✠✠ f
Spec B
y the functor RO maps

where is a closed immersion. Then if Dg D Dbcoh .Z/,
Dg to Df .
y for any object f W X ! Spec B of PAsB .
Then we have Df D Dbcoh .X/
The proof can be done parallel to that of 8.3.1; we only indicate the necessary
changes and leave the checking of details to the reader.
On Claim 1. Since is (automatically) finitely presented, the ideal J is of finite

type, and hence JOXy (closed by 0.7.4.17 and 0.7.4.18) is the defining ideal of the
induced closed immersion OW Z y ,! Xy (cf. 4.3.11). In particular, it is a square zero
ideal. Then all the rest of the proof can be done parallel; we use 7.3.5 instead
of 0.5.3.6, and 7.1.1 (2) instead of 0.5.4.2 (2).
On Claim 2. As above, JOXy is the defining ideal of Z. y Using 7.3.5 instead

of 0.5.3.6, one can prove the claim in our version in much the same way; here
we need to show the following lemma, which we can show by an argument simi-
lar to that in the proof of [54], III, (5.3.4), using our already proven comparison
Theorem 9.2.1.
Lemma 10.2.2. Let f W Z ! X be a proper morphism in the category PAsB , and

J OX a coherent ideal. Set U D X nV .J/, and suppose that f W f 1 .U / ! U is
an isomorphism. Then for any coherent OXy -module F there exist an integer n > 0
such that the kernel and the cokernel of the map F ! fO fO F is annihilated
by J n .
The rest of the proof goes just in parallel, involving the carving lemma (8.3.2)
in a similar manner as before.
10.2. (b) Reduction process. Thus it suffices to show that the conditions in 10.2.1
y consisting of
are satisfied, when we take Df to be the full subcategory of Dbcoh .X/
objects M that are algebraizable, that is, there exists M0 2 obj.Dbcoh .X// such that
M Š M0for .
Condition (C0) is trivially satisfied. The following proposition verifies (C1).
Proposition 10.2.3. Consider the situation as in 10.1.1, and let

C1
K !L !M !
y If two of K, L, and M are algebraizable, then so
be an exact triangle in Dbcoh .X/.
is the rest.
Proof. Suppose K and L are algebraizable, and take K0 and L0 in Dbcoh .X/ such
that
K Š K0for and L Š Lfor 0 :
Since HomDb .X/ .K0 ; L0 / Š HomDb .Xy / .K; L/ (9.4.2), we have a map K0 ! L0
coh coh
that induces K ! L. Embed K0 ! L0 into an exact triangle
C1
K0 ! L0 ! M0 !
in Dbcoh .X/. Then since the functor for is exact, it induces the exact triangle
C1
K ! L ! M0for ! ,
whence M0for Š M ([101], Chapter II, 1.2.4), that is, M is algebraizable. The other
cases can be reduced to the above case by a shift.
y
z
Assuming (C2), let us verify (C3). Since we already know that Dg D Dbcoh .X/,
b z Then by 9.1.3
we may begin with an object of the form M for with M 2 Dcoh .X/.
we have RO M Š .R M / , which is obviously an object of Dbcoh .X/
for for y (since
b
R M belongs to Dcoh .X/ by 8.1.3; cf. 9.1.1) and hence belongs to Df .
Condition (C4) can be checked similarly.
10.2. (c) Projective case. Now let us prove 10.1.2 in the case where f is a pro-
jective morphism (hence X is a scheme); by what we have established above, this
finishes the proof of 10.1.2. Clearly, by a similar reduction process as in 9.3. (b)
(using 7.1.1 (2)), we may assume X D PBr . To proceed to the main routine of the
proof, we need to show some preparatory results.
Proposition 10.2.4. Consider the situation as in 10.1.1, and suppose there exists
an f -ample line bundle L on X. Then for any coherent OXy -module F there exists
an integer N 0 such that
(a) for n N we have Rq fO F .n/ D 0 for any q > 0, and fO F .n/ is a
coherent sheaf on Yy , and
(b) for n N the canonical morphism fO fO F .n/ ! F .n/ is surjective.
Lemma 10.2.5. In the situation as in 10.2.4, suppose B is I -torsion free. Let F

be a coherent OXy -module. There exists an integer N 0 such that
Hq .X0 ; k F .n/= kC1 F .n// D 0

L
for any n N , k 0, and q > 0 and that k0 H0 .X0 ; k F .n/= kC1 F .n//
for any n L N is a graded module of finite presentation over the graded ring

grI .B/ D k0 I k =I kC1 .
L
Proof. Set R D grI .B/ D k
k0 I =I
kC1
. We first claim that R is a finitely
presented B-algebra. Indeed, if R.B; I / denotes the Rees algebra (0, ÷7.5), we
have R D R.B; I /=IR.B; I /. Since R.B; I / is I -torsion free and of finite type
over B, it is of finite presentation over B. Since I is finitely generated, R is of
finite presentation over B, as desired.
Now set X 0 D X ˝B R, and let j W X 0 ! X be the canonical morphism. Since
the ring R is annihilatedLby I , the formal completion Xy 0 coincides with X 0 . Hence
O
the sheaf j F .n/ D k
k0 F .n/=
kC1
F .n/ is a coherent sheaf on X 0 , and
L
thus we may apply 8.2.1. Set M q D k0 Hq .X0 ; k F .n/= kC1 F .n//. Then
M q D Hq .X 0 ; jO F .n//, and it follows from 8.2.1 that there exists N such that for
n N we have M q D 0 for q > 0 and M 0 is a finitely presented R-module. This
is exactly what we wanted to show.
Proof of Proposition 10.2.4. First, we claim that it is enough to prove the proposi-
tion in the case where F is I -torsion free. Indeed, consider the exact sequence
0 ! FI -tor .n/ ! F .n/ ! .F =FI -tor /.n/ ! 0 ()
for any n. Since Xy is universally adhesive, the I -torsion free .F =FI -tor /.n/ is of
finite presentation, hence is coherent. Therefore, FI -tor is a coherent sheaf on X. y
Since Xy is quasi-compact, one can take k 0 such that I kC1 FI -tor D 0. Hence
if we put Xk D .X; OX =I kC1 OX / and Bk D B=I kC1 , then FI -tor is isomor-
phic to the direct image of a coherent sheaf G on Xk (here we used 0.5.4.5 (1));
since Bk is a finitely presented B-algebra, we can apply 8.2.1 and 8.1.2 to G and
Xk ! Spec Bk to deduce that the properties (a) and (b) are valid for FI -tor . So,
considering the cohomology exact sequence for ./ for a sufficiently large n, we
deduce easily that (a) is valid also for F ; as for (b), by the commutative diagram
with exact rows
0 / FI -tor .n/ / F .n/ / .F =FI -tor /.n/ /0
O O O
fO fO FI -tor .n/ / fO fO F .n/ / fO fO .F =FI -tor /.n/ / 0,
the result follows from the snake lemma.

Thus, we can assume F is I -torsion free. But then one can further assume that
B is I -torsion free. Indeed, set B 0 D B=BI -tor ; since BI -tor is finitely generated
and B satisfies (APf), B 0 is I -adically complete (0.7.4.17)). Since B 0 is finitely
presented and topologically finitely presented B-algebra, B 0 is topologically uni-
versally coherent (0.8.5.23 (2)). Consider the Cartesian diagram

Xy 0 / Xy

Spf B 0 / Spf B
where the two horizontal arrows are closed immersions (4.3.7, 4.3.10 (2)). Since
F is I -torsion free, there exists a coherent sheaf G on Xy 0 such that F coincides up
to isomorphism with the direct image of G . Hence, if the proposition is proved for
G (and for Xy 0 ! Spf B 0 ), it is also true for F ; here we use 7.1.2 (2) and the fact
that any finitely presented B 0 -module is finitely presented as B-module.
Therefore, we may assume that B is I -torsion free and apply 10.2.5. Take
N 0 as in 10.2.5, and fix n N . Starting from Lemma 10.2.5, one can show
recursively that
Hq .Xm ; k F .n/= kCmC1 F .n// D 0
for m 0 and q > 0. This shows that the map
H0 .XmC1 ; k F .n/= kCmC2 F .n// ! H0 .Xm ; k F .n/= kCmC1 F .n//
is surjective. Since
y k F .n// D lim Hq .Xm ; k F .n/= kCmC1 F .n//;
Hq .X;
m0
we deduce by 0.3.2.16 that

y k F .n// D 0
Hq .X; ()
for q > 0 and k 0, which already proves the first half of (a).
On the other hand, by ./, 10.2.5, and 0.7.5.2, the filtration ffO k F .n/gk0 on
O
f k F .n/ is I -good. This means that
fO F .n/ D lim fO .F .n/= k F .n// D lim fO F .n/=I k fO F .n/;
k k
where the first equality follows from the left exactness of fO and ./. Since
I k fO F .n/ fO k F .n/;

we have the exact sequence
0 ! fO k F .n/=I k fO F .n/ !fO F .n/=I k fO F .n/

! fO F .n/=fO k F .n/ ! 0;
where the last term, equal to fO .F .n/= k F .n//, is known to be coherent due
to 8.1.3. Take a sufficiently large l > 0 such that fO l F .n/ I k fO F .n/. We
have the exact sequence
0 ! I k .fO F .n/=fO l F .n// !fO k F .n/=fO l F .n/

! fO k F .n/=I k fO F .n/ ! 0;
where, by a similar reasoning as above, the first two terms are coherent. Hence the
last term is coherent, and consequently fO F .n/=I k fO F .n/ is coherent for any k.
Hence by 7.2.4, fO F .n/ is coherent, whence the rest of (a).
To show (b), we take an integer N 0 0 such that, in view of 0.5.4.10, the sheaf
F = F .n/ on X0 is generated by global sections for n N 0 . If n max.N; N 0 /,
then (b) holds, since the map H0 .X; y F .n// ! H0 .X; y F = F .n// is surjective.

Corollary 10.2.6. In the above situation with X D PBr , let F be a coherent sheaf
y Then we have the exact sequence of the form
on X.
! Em ! Em 1 ! ! E1 ! E0 ! F ! 0;
where each Ei is a free OXy -module of the form OXy .ni /˚ki .
Proof. By 10.2.4, for a large n the sheaf F .n/ is generated by global sections, that
is, the morphism fO fO F .n/ ! F .n/ is surjective. Now fO F .n/ is a coherent
sheaf on Yy D Spf B, and hence is of the form M for a B-module M of finite
presentation (3.5.6). There exists n0 > 0 such that we have a surjective map
B n0 ! M:
Pulling it back to Xy and composing with the surjection
fO fO F .n/ ! F .n/;
we get a surjection O ˚k
y
0
! F .n/, whence E0 ! F ! 0 as above. The kernel of
X
this map is again coherent, and hence one can repeat the procedure.
Now we are going to finish the proof of the theorem in the case X D PBr ,
which will establish 10.1.2. Let M 2 obj.Dbcoh .X//. By induction with respect to
amp.M / and using shifts and distinguished triangles of the form
C1
n M ! M ! nC1 M !
(and applying 10.2.3), we may assume that M is concentrated in degree 0 and
hence is represented by a coherent sheaf F . Then by 10.2.6 and 10.2.3 (since 10.2.3
implies that for any morphism F ! G of algebraizable coherent sheaves the kernel
and the cokernel are algebraizable), it suffices to show that the sheaves on Xy of the
form OXy .n/ are algebraizable, but this is trivial.
10.3 Applications
Proposition 10.3.1. Let .B; I / be a complete t.u. adhesive pair with B topolog-
ically universally coherent with respect to I . Then the functor given by I -adic
formal completion
PSchB ! FsB ; X 7 ! X; y
from the category of proper B-schemes of finite presentation to the category of
formal B-schemes is fully faithful.
Proof. We need to show that for two objects X and Y of PSchB the map
y Yy /
HomPSchB .X; Y / ! HomFsB .X;
is bijective. By considering graphs one easily sees that this map is injective; indeed,
any graph in X B Y is a closed subspace of finite presentation, and hence one can
apply 9.4.2. To show the surjectivity, take a morphism Xy ! Yy in the right-hand
side. This amounts to the same as taking the graph ; the morphism ! Xy B Yy is
a closed immersion of finite presentation due to 4.6.12. Let J be the ideal defining
. Then J is a coherent ideal on Xy B Yy . By 1.4.6 and 10.1.2, we have a coherent
ideal J0 on X B Y (unique up to isomorphism) such that J0for D J. The ideal
J0 defines a closed subspace 0 of X B Y such that y0 Š . The projection
0 ! X is an isomorphism, as so is its completion (Exercise I.10.1). Hence there
exists a composite map X ! Y followed by the other projection, whose formal
completion coincides with the morphism Xy ! Yy we started with.
Proposition 10.3.2. Let .B; I / be a complete t.u. adhesive pair with B topologi-
cally universally coherent with respect to I , and X a proper B-formal algebraic
space of finite presentation. Suppose there exists an invertible sheaf L on X such
that L0 is ample on X0 , where Xk D .X; OX =I kC1 OX / and Lk D L=I kC1 L for
k 0. Then .X; L/ is algebraizable, that is, there exist a proper B-scheme Y of
finite presentation and an ample invertible sheaf M on Y such that Yy Š X and
M y Š L. .In particular, the scheme Y is projective./
11. Finiteness theorem and Stein factorization 427
This can be shown in a similar way to the proof of [54], III, (5.4.5) using 10.2.4
instead of [54], III, (5.2.3). We are not going to repeat the argument here and leave
checking details to the reader.
Exercises
Exercise I.10.1 (cf. [54], III, (4.6.8)). Consider the commutative diagram
f
X✻ /Y
✻✻ ✠✠
g ✻ ✠✠ h
Z
of schemes, where g and h are proper of finite presentation. Let W Z be a
closed subscheme of finite presentation. Suppose that the pair .Z; W / is universally
adhesive. Set Zy D Zj
y W , Yy D Yy jh 1 .W / , and Xy D Xj
y g 1 .W / , and consider the
resulting diagram
fO
Xy✹ / Yy
✹✹ ☛☛
✹ ☛☛ hO
gO
y
Z
of formal schemes. Show that fO is an isomorphism (resp. a closed immersion) if
and only if there exists an open neighborhood U Z of W such that the morphism
g 1 .U / ! h 1 .U / induced by f is an isomorphism (resp. a closed immersion).
11 Finiteness theorem and Stein factorization

The first part, ÷11.1, of this section is devoted to the finiteness theorem for proper
morphisms between universally adhesive formal schemes. The proof consists of
three steps. First, we prove the theorem for a formal scheme with invertible ideal
of definition. The theorem in this particular case has been essentially established
in [99]; we provide the full proof of this case for the reader’s convenience. The
second step deals with the case where the map is a so-called admissible blow-up
(cf. II, ÷1). The final step combines these results to show the general case.
The second part, ÷11.3, discusses the Stein factorizations for universally adhe-
sive formal schemes. This part refers to the general theory of the Stein factorization
for schemes, presented in Appendix ÷A of this chapter.
11.1 Finiteness theorem for proper morphisms

Theorem 11.1.1. Let f W X ! Y be a proper morphism of finite presentation of
universally adhesive formal schemes, and suppose Y is universally cohesive. Then
the functor Rf maps Dcoh .X/ to Dcoh .Y / for D “ ”, C, , b.
Note that by 7.1.3 the functor Rf is defined on Dcoh .X/ (cf. [34], C.D. Chap-
ter 2, ÷2, no 2, Corollary 2). Clearly, it suffices to show the theorem in the case
D b. But then, by a standard reduction process as in ÷8.4. (b) (by induction with
respect to amplitudes), one reduces the theorem to the following one.
Theorem 11.1.2. Let f W X ! Y be a proper morphism of finite presentation of
universally adhesive formal schemes, and suppose Y is universally cohesive. Then
for any coherent OX -module F the sheaf Rq f F is coherent for any q 0.

11.2. (a) Invertible ideal case. First, we show the theorem in the case where Y
has an invertible ideal of definition and OY is -torsion free. Since one may work
locally on Y , we can assume, without loss of generality, that Y is affine, Y D Spf A,
and that A has a principal ideal I D .a/ of definition and A is a-torsion free. Thus
we need to establish the following result.
Proposition 11.2.1. Let .A; I / with I D .a/ be a complete t.u. adhesive pair such
that A is a-torsion free and f W X ! Y D Spf A a proper morphism of finite
presentation. .In this situation, X and Y are automatically universally adhesive,
and Y is universally cohesive./ Then for any coherent OX -module F , Rq f F is a
coherent OY -module for any q 0.
The theorem in this case was proved by P. Ullrich [99]; the following argument
is essentially the same as the one therein.
Lemma 11.2.2. In order to show 11.2.1 it suffices that for q 0,
(a) the A-module Hq .X; F / is coherent .cf. 0.3.3.1 (1)/, and
(b) for any g 2 A the canonical map
Hq .X; F / ˝A Afgg ! Hq .f 1
.V /; F /;
where V D Spf Afgg ,! Y D Spf A, is an isomorphism.
Note that (b) is necessary, for we do not know, a priori, that the sheaf Rq f F
is adically quasi-coherent of finite type.
Proof. Set M D Hq .X; F /. Then by (a) M is a-adically complete (0.8.2.18 (1)),
and M is a coherent OY -module. Since Rq f F is the sheafification of the
presheaf given by V 7! Hq .f 1 .V /; F /, there exists a canonical map
Hq .X; F / ! .X; Rq f F /:
By what we have shown in ÷3.2, we have a canonical morphism M ! Rq f F
of OY -modules. By (b), the induced map between stalks at each point of Y is an
isomorphism, and thus we have M Š Rq f F , whence the assertion.
Proof of Proposition 11.2.1. We are going to check (a) and (b) in 11.2.2. We fix a
finite open covering U D fU g2ƒ of X by affine subsets, and consider the Čech
complex K D C .U; F /. For any q 0 we have Hq .K / D Hq .X; F /. If
V D Spf Afgg as in (b) above, set UjV D fU \ f 1 .V /g2ƒ . Since U ! Y
is an affine map for each 2 ƒ, UjV is a finite open covering of f 1 .V / by
affine open subsets. Thus the Čech complex L D C .UjV ; F jf 1 .V / / gives rise
to the cohomologies Hq .L / D Hq .f 1 .V /; F / for q 0. By 7.1.3, there exists
q0 0 such that for q > q0 we have Hq .K / D Hq .X; F / D 0 and Hq .L / D
Hq .f 1 .V /; F / D 0. Thus both (a) and (b) are trivially satisfied for q > q0 .
Hence one can check the conditions by descending induction with respect to q. In
the following, we assume that both (a) and (b) are true with q replaced by q C 1.
Let us verify (a). Before doing it, note that each member K q of the complex

K is a-adically complete, for it is finitely generated over a topologically finitely
q
presented A-algebra (0.8.2.18). By the adhesiveness, the a-torsion part Ka-tor is
again finitely generated over a topologically finitely presented A-algebra. Hence
q
there exists n 0 such that an Ka-tor D 0. Moreover, C .U; akC1 F / D akC1 K
and
0 ! C .U; akC1 F / ! C .U; F / ! C .U; Fk / ! 0
is exact for any k 0, where Fk D F =akC1 F , since each U is affine (cf. 7.1.1).
Hence for k 0 we have C .U; Fk / D Kk .D K =akC1 K / (cf. 0, ÷8.8. (a)).
Since F and akC1 F are coherent, we know by induction that HqC1 .K / and
qC1 kC1
H .a K / are coherent A-modules. Since the sheaf Fk is coherent on the
scheme Xk D .X; OX =akC1 OX / (7.2.4) and the map fk W Xk ! Yk D Spec Ak
(where Ak D A=akC1 A) is proper (4.7.3), the cohomology group Hq .Kk / is a
coherent Ak -module by 8.1.3 and hence is also coherent as an A-module. Now
all the hypotheses of 0.8.8.8 are satisfied, and thus we conclude that H q .K / is
coherent.
Next we verify (b). With the notation as above, what to show is that the map
Hq .K / ˝A B ! Hq .L /;
where B D Afgg , is an isomorphism. Note that since .A; a/ is t.u. adhesive, B

is flat over A. The checking is done by applying 0.8.8.9. To this end, we need to
verify that the maps
HqC1 .akC1 K / ˝A B ! HqC1 .akC1 L /

and
Hq .Kk / ˝A B ! Hq .Lk /
are isomorphisms for any k n, where n 0 is an integer such that

qC1
an Ka-tor D0 and an LqC1
a-tor D 0:
The first map coincides with the canonical map
HqC1 .X; akC1 F / ˝A B ! HqC1 .f 1

.V /; akC1 F /;
which is an isomorphism by induction. The second map coincides with the canoni-
cal map
Hq .X; Fk / ˝Ak Bk ! Hq .f 1 .V /; Fk /;
where Bk D B=akC1 B D .Ak /g , which is an isomorphism, since Rq fk Fk is
coherent by 8.1.3. Hence (b) is verified, and thus the proof of 11.2.1 is complete.

11.2. (b) Blow-up case. We suppose that Y is affine, Y D Spf A, where A is a

L a finitely generated ideal of definition I A. Consider
t.u. adhesive ring with
the blow-up gW Proj k0 I k ! Spec A, which is proper, since I is finitely gen-
finite presentation, since A is universally adhesive and
erated. Moreover, it is of L
the structure sheaf of Proj k0 I k is I -torsion free. Consider the case f W X D
6 L L
Proj k0 I k ! Y , that is, X is the I -adic completion of Proj k0 I k . In this
case, by 10.1.2, there exists a coherent sheaf G such that Gy D F . Due to 8.1.3,
2
Rq g G is coherent on Spec A. Then by 9.2.1 Rq f F D Rq g G , which is coherent
by 7.2.4. Hence the theorem is true in this case.
L 6
Remark 11.2.3. The above map f W X D Proj k0 I k ! Y is an example of
so-called admissible blow-up, which will be discussed thoroughly in II, ÷1.
11.2. (c) General case. We may assume that Y is affine, Y D Spf A, where A is
a t.u. adhesive ring with a finitely generated ideal of definition I such that D I .
Let Y W Y 0 ! Y be the admissible blow-up along I as in ÷11.2. (b), and X 0 ,!
X Y Y 0 be the closed formal subscheme defined by dividing out -torsions (the
so-called strict transform of X). Since X Y Y 0 is again universally adhesive,
X 0 ,! X Y Y 0 is of finite presentation, and hence the induced map f 0 W X 0 ! Y 0
is finitely presented and proper. Denote the map X 0 ! X by X ; it follows that
this map is also an admissible blow-up (cf. II.1.2.9). Thus we have the following
commutative square:
f0
X0 / Y0
X Y

X / Y.
f
Note that since the ideal of definition OY 0 is invertible, f 0 W X 0 ! Y 0 satisfies the

hypothesis of ÷11.2. (a), and hence the theorem is true for f 0 .
Let M 2 obj.Dbcoh .X//. By induction with respect to the amplitudes (as in

÷8.4. (b)), we may assume that M is concetrated in degree 0. We want to show
that Rf M belongs to Dbcoh .Y / (by 7.1.3 we already know that Rf M belongs to
Db .Y /). Consider the object RX . 0 LX M / and the distinguished triangle
C1
M ! RX . 0 LX M / ! N ! :
Note that by 7.3.5, ÷11.2. (b) and by the fact that X is an admissible blow-up, the
object in the middle, and hence N also, is an object of Dbcoh .X/.
Now since X is also an admissible blow-up along I , all the cohomologies
Hq .N / for q 2 Z are I -torsion sheaves, and hence there exists k 0 such that
I kC1 Hq .N / D 0 for any q. Consider the map of schemes
fk W Xk D .X; OX =I kC1 OX / ! Yk D Spf Ak ;
where Ak D A=I kC1 , and the commutative diagram
f
XO /Y
O
X Y
Xk / Yk
fk
where the vertical maps are closed immersions. Since I kC1 Hq .N / D 0 for any q,
the canonical morphism N ! RX . 0 L N / is an isomorphism in Dbcoh .X/.
Now, in order to show the theorem, in view of the distinguished triangle
C1
Rf M ! Rf RX . 0 LX M / ! Rf N !;
we need to show that the second and the third terms belong to Dbcoh .Y /. As for the
second term, since
Rf RX . 0 LX M / Š RY Rf0 . 0 LX M /
and 0 LX M belongs to Dbcoh .X 0 /, we deduce from what we have proved in

÷11.2. (a) and ÷11.2. (b) that Rf RX . 0 LX M / belongs to Dbcoh .Y /. As for
the third, since
Rf N Š Rf RX . 0 L N / Š Rk Rfk . 0 L N /;
and since 0 L N belongs to Dbcoh .Xk /, we deduce the desired assertion from 8.1.3
and 7.3.6.
Thus the proof of 11.1.1 is completed.
11.3 Stein factorization

11.3. (a) Statement of the theorem. In this subsection we show the following
theorem.
Theorem 11.3.1 (Stein factorization). Let A be a t.u. adhesive .resp. t.u. rigid-
Noetherian/ ring with an invertible ideal of definition of the form I D .a/, and
f W X ! Y D Spf A a morphism of finite presentation. Let
fk W Xk D .X; OX =I kC1 OX / ! Yk D Spec A=I kC1
be the induced morphism of schemes for k 0. Suppose that Y is universally

cohesive, that f0 is pseudo-affine .A.1.1 (2)/, and that OX is I -torsion free. Then
the ring B D .X; OX / is a t.u. adhesive .resp. t.u. rigid-Noetherian/ ring with an
ideal of definition IB, and in the factorization
f
/Z '/
X g
Y;
where Z D Spf B, the map is proper.

Note that the assumption ‘Y is universally cohesive’ is automatic in the t.u.
adhesive case due to 0.8.5.25 (2).
The rest of this subsection is devoted to the proof of the theorem. To this end,
we need the following proposition, from which the first assertion of 11.3.1 follows.
Proposition 11.3.2. Let f W X ! Y be a morphism of finite presentation between
coherent universally rigid-Noetherian formal schemes, and let be an invertible
ideal of definition of Y of finite type. Let
fk W Xk D .X; OX = k OX / ! Yk D .Y; OY = k /
be the induced morphism of schemes for each k 0. Suppose that Y is universally

cohesive and that f0 is pseudo-affine. Then f OX is an a.q.c. OY -algebra of finite
type.
To show the proposition, since the question is local with respect to Y , one can
assume that Y is affine, Y D Spf A, where A is a t.u. rigid-Noetherian ring with an
invertible principal ideal of definition I D .a/. Let I be the ideal of definition of
Y such that D I .
Proposition 11.3.3. Under the assumptions of Theorem 11.3.1, let F be a coherent
sheaf on X, and set
Fk D F =I kC1 F ; k 0:
Then for any q 1 the following holds.
(a) The filtration fF n Hq .X; F /gn0 on the cohomology Hq .X; F / defined by
F n Hq .X; F / D image.Hq .X; I n F / ! Hq .X; F //
for n 0 gives the I -adic topology.

(b) The canonical map
Hq .X; F / ! lim Hq .X; Fk /

k0
is an isomorphism.
(c) Hq .X; F / is coherent as an A-module.
Proof. The proof is done by descending induction with respect to q 1 (cf. 7.1.3).
We henceforth assume that (a), (b), and (c) are true for any F with q replaced by p
with p q C 1.
First, since f0 is pseudo-affine, fk is pseudo-affine for any k 0 (A.2.2),
and that each Yk D Spec A=I kC1 is universally cohesive. Note also that for any
I -torsion coherent sheaf G on X there exists m 0 such that I m Hq .X; G / D 0 for
all q 0, since they are A=I m -modules for some m.
To proceed, we fix a finite open covering U D fU˛ g˛2L of X by affine subsets,
and consider the Čech complex K D C .U; F /; note that, since f0 is pseudo-
affine, X is separated (cf. 4.6.9). For any q 0 we have Hq .K / D Hq .X; F /.
Note also that for each p 0 the A-module K p is a-adically complete and we
p
have an Ka-tor D 0 for a sufficiently large n. We consider the exact sequence
0 ! akC1 K ! K ! Kk ! 0
of complexes for each k 0 (cf. 0, ÷8.8. (a)) and the induced filtration given by
fF n Hq .K /gn0 on each cohomology of K . Clearly, the this filtration coincides
with the one in (a).
Consider the following portion of the cohomology exact sequence
! Hq .K / ! Hq .Kk / ! HqC1 .akC1 K / ! HqC1 .K / ! :
By the equality Hq .Kk / D Hq .X; Fk /, where Fk is an a-torsion coherent sheaf,

and by the induction hypothesis (applied to the cohomologies HqC1 .akC1 K / D
HqC1 .X; I kC1 F / and HqC1 .K / D HqC1 .X; F /), the last three of the above
exact sequence are coherent A-modules. Hence, we conclude that the image of
Hq .K / ! Hq .Kk / is finitely generated. By 0.8.8.6 (2) we deduce that the coho-
mology Hq .K / D Hq .X; F / is finitely generated as an A-module and, moreover,
the induced filtration defines the I -adic topology. Thus we obtain (a).
Next we show (b). The above argument, applied to each coherent sheaf I kC1 F ,
shows that the hypotheses of 0.8.8.5 (2) (where q is replaced by q 1) are satisfied.
We deduce that the projective system fHq 1 .X; Fk /gk0 satisfies (ML). Hence,
by 0.3.2.16, the map in question is an isomorphism.
Finally, let us show (c). By (a) and (b), which we have already proved,
Hq .X; F / is I -adically complete and finitely generated (as we have seen above).
Since Hq .X; Fk / for each k 0 is coherent, it follows from (a) that the A-module
Hq .X; F /=I kC1 Hq .X; F / is coherent for sufficiently large k, and hence we de-
duce that Hq .X; F / is coherent (cf. 7.2.4).
11.3. (b) Proof of Proposition 11.3.2. We may assume that Y is affine, Y D

Spf A, where A is a t.u. rigid-Noetherian ring and that comes from an invertible
ideal of definition I D .a/ of A generated by a non-zero-divisor a 2 A. Moreover,
we may assume that OX is I -torsion free, since the I -torsion part is a coherent ideal
of OX . We look at the exact sequence
0 ! .X; I kC1 OX / ! .X; OX / ! .X; OXk / ! H1 .X; I kC1 OX /;
and set
Bk D .X; OX /= .X; I kC1 OX / D .X; OX /=I kC1 .X; OX / .X; OXk /
for k 0. (Note that the equality .X; I kC1 OX / D I kC1 .X; OX / follows from
our assumption that I D .a/ is invertible.) Since H 1 .X; I kC1 OX / is a coherent
A-module (11.3.3), there exists m 0 such that I -torsions of H 1 .X; I kC1 OX / are
annihilated by I m . Then by an easy diagram chasing we deduce that Bk coincides
with the image of the map .X; OXkCm / ! .X; OXk /. In particular, Bk is an
Ak -algebra of finite type (since fkCm is pseudo-affine).
Since
B D .X; OX / D lim .X; OXk /
k0
and the I -adic completion By is given by lim Bk , we deduce that there exists
k0
y
an injective morphism B ,! B (cf. 0.3.2.4); since this morphism factorizes the
identity map idB , it is also surjective. Hence we have B Š B. y Since B0 is finitely
generated as an A0 -module, one has a map AhhX1 ; : : : ; Xd ii ! B that induces the
surjective map A0 ŒX1 ; : : : ; Xd ! B0 . By [27], Chapter III, ÷2.11, Proposition 14,
the ring B is topologically finitely generated over A.
To show that f OX is a.q.c. of finite type, it remains to show that the canonical
map
.X; OX / ˝A Afgg ! .f 1 .V /; OX /;
where V D Spf Afgg with g 2 A, is an isomorphism. This is shown by an argument
similar to that in the proof of (b) part in the proof of 11.2.1, which uses 0.8.8.9.
Thus the proposition is proved.
A. Appendix: Stein factorization for schemes 435
11.3. (c) Proof of Theorem 11.3.1. It remains to show that W X ! Z D Spf B

k gk
is proper. Let Xk ! Zk D Spec A0k ! Yk D Spec Ak be the Stein factorization
of fk for each k 0. Consider the exact sequence
0 ! I kC1 .X; OX / ! .X; OX / ! .X; OXk / ! H1 .X; I kC1 OX /
as before and the image of .X; OX /=I kC1 .X; OX / ,! .X; OXk /. Since the
I -torsion part of the coherent A-module H1 .X; I kC1 OX / is annihilated by I m for
some m 0, the image of .X; OX / ! .X; OXk / for sufficiently large k coin-
cides with the image of .X; OXkCm / ! .X; OXk /. Hence we have the commu-
tative diagram
k
Xk / Zk / Spec Bk
t t
ttt
tt
y t
t
XkCm / ZkCm
kCm
with Bk D .X; OX /=I kC1 .X; OX /, where the left vertical map is a closed im-
mersion. Since is a closed immersion, and since the map and kCm are proper,
we deduce that Xk ! Spec Bk is proper. Then, by 4.7.3, W X ! Z D Spf B is
proper, and thus the proof of 11.3.1 is finished.
A Appendix: Stein factorization for schemes

A.1 Pseudo-affine morphisms of schemes
A.1. (a) Definition and the first properties. Let f W X ! Z be a locally of finite
type morphism of schemes. The subset Bf of Z defined by
Bf D fz 2 ZW dimz X Z k.z/ 1g
is called the center of the morphism f . By [54], IV, (13.1.5), the center Bf of f
is a closed subset of Z if f is a closed map.
Definition A.1.1. Let Y be a coherent scheme, and f W X ! Y a morphism of

finite presentation between schemes.
(1) A pre-Stein factorization is a commutative diagram
/Z '/
X g
Y
such that
(a) is proper and g is affine of finite presentation (and hence is of finite

presentation), and
(b) the center B of is finite over Y .
(2) If f has a pre-Stein factorization, f is said to be pseudo-affine.
We say that two pre-Stein factorizations f D g ı D g 0 ı 0 , where
g 0 g0
X !Z !Y and X ! Z 0 ! Y;

are isomorphic if there exists an isomorphism hW Z ! Z 0 of schemes such that the
following diagram commutes:
♦♦7 Z ❖❖❖g
♦♦♦ ❖❖'
X ◆◆◆ h Š ♣7 Y
◆◆' ♣♣♣♣
0 Z0. g0
Definition A.1.2. A pre-Stein factorization f D g ı of f W X ! Y as in A.1.1 (1)

is called a Stein factorization if
(c) the canonical morphism OZ ! OX is an isomorphism.
The Stein factorization of f is, if it exists, unique up to isomorphism.
Proposition A.1.3. Let Y be a coherent scheme and f W X ! Y a morphism of fi-

nite presentation. Suppose that Y is universally cohesive .0:5.1.1/ .e.g. Noetherian/
and that f is pseudo-affine. Then f has a Stein factorization.
g
Proof. Let X ! Z ! Y be a pre-Stein factorization of f . Since g is of finite pre-
sentation, Z is universally cohesive. By 8.1.3, OX is a coherent OZ -module, and
hence Z 0 D Spec OX ! Z is affine of finite presentation. Then the factorization
X ! Z 0 ! Y gives a Stein factorization of f .
Proposition A.1.4. (1) Proper .resp. affine/ morphisms of finite presentation to a

coherent scheme are pseudo-affine.
(2) Let f W X ! Y be pseudo-affine, and Y 0 ! Y a morphism of coherent
schemes. Then the induced map fY 0 W X Y Y 0 ! Y 0 is pseudo-affine.
Proposition A.1.5. Let Y be a coherent and universally cohesive scheme and

f W X ! Y a morphism of finite presentation. Suppose f is pseudo-affine. Then
for any coherent sheaf F on X, Rq f F for q 1 is a coherent sheaf on Y , and
f F is a coherent module over a finitely presented OY -algebra.
g
Proof. Let X ! Z ! Y be the Stein factorization. Since g is affine, we have
Rq f F D g Rq F for q 0. Since is proper of finite presentation, Rq F
is a coherent OZ -module for q 0 (8.1.3). If q > 0, then the support of the
sheaf Rq F is contained in the center B , which is finite over Y , and hence
Rq f F D g Rq F is a coherent OY -module. The sheaf f F D g F is
coherent over g OZ , whence the result.
A.1. (b) Pseudo-affineness and compactifications. In this paragraph we need the

notion of U -admissible blow-ups (already appeared in ÷8.3. (b)).
Definition A.1.6. Let X be a coherent scheme, and U X a quasi-compact open
subscheme of X. A U -admissible blow-up is a blow-up Y ! X of X along a
quasi-coherent ideal J of OX of finite type such that the closed subscheme V .J/
of X corresponding to J is disjoint from U .
Later in II, ÷E.1. (b) we will discuss U -admissible blow-ups in detail.
Proposition A.1.7. Let Y be a coherent scheme and f W X ! Y a morphism of

finite presentation. The following conditions are equivalent.
(a) The morphism f is pseudo-affine.
(b) There exist an open immersion X ,! Xx over Y into a proper Y -scheme
Xx and an effective Cartier divisor D of X,
x such that the support of D is
Xx n X, D is semiample over Y , and the normal sheaf OXx .D/jD on D is
ample over Y .
(c) For any open immersion X ! X 0 over Y into a proper Y -scheme X 0 , there
exist an X-admissible blow-up X 00 ! X 0 and an effective Cartier divisor
D on the closure Xz of X in X 00 , such that the support of D is Xz n X, D is
semiample over Y , and the normal sheaf OXz .D/jD on D is ample over Y .
The proof is based on a generalized version of Nagata’s embedding theorem
(II.F.1.1).
Proof. First, let us show (a) H) (b). Let
/Z '/
X g
Y
be a pre-Stein factorization of f . Take a projective compactification Zx of Z, which

is projective of finite presentation over Y , and let be an effective ample Cartier
divisor whose support is Z x n Z. One can extend the morphism f to a proper mor-
phism Xx ! Z x in such a way that Xx x Z Š X; indeed, by Nagata’s embedding
Z
theorem, one has a proper map Xx ! Z x such that Xx contains X as a Zariski open
x x We thus arrive
subset; then replace X by the scheme-theoretic closure of X in X.
at the commutative diagram

X / Xx
N

Z ❁ /Zx
❁❁ ☎
❁ ☎☎
g ❁ ☎☎ gN
Y
where the horizontal arrows are open immersions and the square is Cartesian. Now,
x Clearly, D is supported on Xx n X
consider the pull-back D of the divisor to X.
and is Y -semiample (since OZx ./ is generated by global sections). Since the map
N is an isomorphism around Xx n X, O.D/jD on D is Y -ample.
Next we show (b) H) (c). Let X ,! X 0 be an open immersion over Y into a
scheme X 0 proper over Y , and take X ,! Xx as in (b). Then there exists a diagram
of proper Y -schemes
X 00❇
③③ ❇❇
}③③ ❇!
X 0
Xx
consisting of X-admissible blow-ups (cf. II.E.1.12 (2)); let Xz be the closure of X
in X 00 . Let be the blow-up center of X 00 ! X. x Then O z is invertible and
X
x
X-ample. Moreover, the support of the corresponding divisor E lies in Xz n X. Let
D be the effective Cartier divisor of Xx as in (b), and take the pull-back D z on X.
z
Then by [54], II, (4.6.13) (ii), there exists an integer n > 0 such that the divisor
E C nD z satisfies the conditions as in (c).
The converse implication (c) H) (b) follows from Nagata’s embedding theo-
rem.
It remains to show (b) H) (a). Assume (b) holds. Since D is Y -semiample,
replacing D by a multiple of itself if necessary, we may assume that D induces a
morphism W N Xx ! P over Y , where P is projective of finite presentation over Y ,
such that there exists a Y -ample divisor the pull-back of which to Xx coincides
with D. Let Z be the open complement of in P , which is affine and of finite
presentation over Y . Since the support of D is Xx n X, we have Xx P Z D X, and
thus we get the proper morphism W X ! Z. The center of N is a closed subset
of P . Since OXx .D/jD is Y -ample, N is finite over the boundary P n Z. Hence
the center BN lies in Z and is finite over Y , since it is affine and proper over Y
g
(cf. II.F.4.1). Thus we have the pre-Stein factorization X ! Z ! Y of f and,
therefore, the proposition is proved.
A.2 Cohomological criterion

For the proof of the following theorem, see [78], 4.6, (cf. [48]).
Theorem A.2.1 (cohomological criterion). Let Y be a Noetherian scheme, and
f W X ! Y a separated morphism of finite type. Then the following conditions are
equivalent.
(a) The morphism f is pseudo-affine.
(b) R1 f F is coherent on Y for any coherent sheaf F on X.
(c) Rq f F are coherent for q 1 for any coherent sheaf F on X.
Proposition A.2.2. Let Y D Spec A be an affine scheme and Y0 D Spec A0 a
closed subscheme of Y defined by a finitely generated nilpotent ideal I of A. Let
f W X ! Y be a morphism of finite presentation and f0 W X0 D X Y Y0 ! Y0 the
induced map. Then f is pseudo-affine if and only if f0 is pseudo-affine.
Proof. The ‘only if’ part follows from A.1.4 (2). We are to show the ‘if’ part.
0 g0
Suppose f0 is pseudo-affine, and let X0 ! Z0 ! Y0 be a pre-Stein factorization
of f0 . Let us take a filtered inductive system fA˛ ; I˛ g˛2L indexed by a directed set
and consisting of Noetherian rings and nilpotent ideals, such that A D lim A
!˛2L ˛
and I D lim I . Set Y˛ D Spec A˛ and Y0˛ D Spec A0˛ , where A0˛ D A˛ =I˛
!˛2L ˛
for each ˛ 2 L. Replacing L by a cofinal subset if necessary, we may assume that
for each ˛ 2 L there exists a Y˛ -scheme f˛ W X˛ ! Y˛ of finite type such that
X Š X˛ Y˛ Y . Let f0˛ W X0˛ D X˛ Y˛ Y0˛ ! Y0˛ be the induced map for each
˛ 2 L. Again replacing L by a cofinal subset if necessary, we may assume that
for each ˛ 2 L there exists an affine Y0˛ -scheme g0˛ W Z0˛ ! Y0˛ of finite type
such that Z0 Š Z0˛ Y0˛ Y0 . We may also assume that each f0˛ factors through
Z0˛ by a morphism 0˛ W X0˛ ! Z0˛ . By [54], IV, (8.10.5), we may assume that
the morphisms 0˛ are proper and that the center B0˛ is finite over Y0˛ (since
B0 D B0˛ Y0˛ Y0 ). In this way, we arrive at the situation where the map f is
realized as the filtered projective limit of the maps f˛ between Noetherian schemes
such that all f0˛ are pseudo-affine.
By A.2.1, we know that for any coherent sheaf F on X0˛ the sheaf Rq f0˛ F
for q 1 is coherent on Y0˛ . To show the analogous statement for each f˛ , let
F be a coherent sheaf on X˛ , and set F0 D F =I˛ F ; by induction with respect to
d 0 such that I˛d D 0, we may assume I˛2 D 0. Consider the cohomology exact
sequence induced by the sequence
0 ! I˛ F !F ! F0 ! 0;
where the first and the third sheaves are coherent sheaves on Y0˛ . By 8.1.1 and
in view of the fact that quasi-coherent sheaves of finite type are coherent ([54], I,
(1.5.1)), the cohomologies Rq f˛ F are coherent on Y˛ for q 1. Hence again
by A.2.1 we deduce that f˛ is pseudo-affine. By A.1.4 (2) it follows that f is
pseudo-affine, as desired.
B Appendix: Zariskian schemes

B.1 Zariskian schemes
B.1. (a) Zariskian rings and Zariskian spectra. The notion of Zariskian scheme
has already appeared in 0, ÷8.6. In this subsection we give a more systematic and
precise account on Zariskian schemes.
Let A be a commutative ring endowed with the I -adic topology (0, ÷7.2. (a))
by an ideal I A. The topological ring A is called a Zariskian ring if 1 C I
A (cf. 0, ÷7.3. (b)). The definition does not depend on the choice of the ideal of
definition I ; indeed, if J is another ideal of definition, that is, I m J n I for
some m; n > 0, then since 1 C J n A , J n is contained in the Jacobson radical
of A, and hence J is contained in the Jacobson radical, that is to say, 1 C J A
(cf. 0.7.3.2). For any ring A with I -adic topology the associated Zariskian ring,
denoted by AZar , is defined to be S 1 A, where S is the multiplicative set given by
S D 1 C I (cf. 0, ÷7.3. (b)).
Definition B.1.1. Let A be a Zariskian ring and I an ideal of definition. Then

the Zariskian spectrum of A, denoted by X D Spz A, is the topologically locally
ringed space defined as follows.
X is, as a set, the subset V .I / of Spec A.
The topology is the induced topology as a subset of Spec A.
The structure sheaf is the one given by i 1 OSpec A considered with the
I -adic topology, where i W V .I / ,! Spec A is the inclusion map.
The topology on X D Spz A has the open basis fD.f /gf 2A consisting of quasi-
compact open subsets, where we set D.f / D D.f / \ X for f 2 A. The open
subset D.f /, considered as a topologically locally ringed space with the induced
structure sheaf, is isomorphic to the Zariskian spectrum Spz AfZar , where AfZar is the
associated Zariskian ring of Af with respect to the IAf -adic topology. Note that
the underlying topological space of Spz A is coherent (0.2.2.1).
The proofs of the following lemmas are entirely similar to those of 1.1.11
and 1.1.12, respectively.
Lemma B.1.2. For a collection of finitely many elements f1 ; : : : ; fr 2 A the fol-

lowing conditions are equivalent.
B. Appendix: Zariskian schemes 441
(a) The open sets D.fi /, i D 1; : : : ; r, cover X D Spz A, that is

r
[
XD D.fi /:
i D1
(b) For any ideal of definition I of A the open sets D.fNi /, i D 1; : : : ; r, where
fNi D .fi mod I /, cover Spec A=I , that is,
r
[
Spec A=I D D.fNi /:
i D1
(c) The open sets D.fi /, i D 1; : : : ; r, cover Spec A, that is,

r
[
Spec A D D.fi /:
i D1
(d) The ideal generated by f1 ; : : : ; fr coincides with A.

Lemma B.1.3. An open subset U of X D Spz A is quasi-compact if and only if U
is of the form U D X n V .J / in Spec A for a finitely generated ideal J A.
Let A be a ring and I A an ideal. As above, let i W V .I / ,! Spec A be the
inclusion map. For an A-module M , we define the sheaf M ˙ on the topological
space V .I / by
M ˙ D i 1M z:
Proposition B.1.4. For any f 2 A we have
.V .I / \ D.f /; M ˙ / D M ˝A S 1
Af ;
where S D 1 C IAf .
Proof. Since D.f / D Spec Af and V .I / \ D.f / D V .IAf /, we may assume
without loss of generality that A D Af . First we show that, if M denotes the
presheaf pull-back of M z by i , then .V .I /; M/ D M ˝A S 1 Af . The left-hand
side is the inductive limit of .U; Mz /, where U runs over the set of all open subsets
containing V .I /. If an open subset U D Spec AnV .J / contains V .I /, then V .J /\
V .I / D ;, that is, J C I D A. This implies that there exists a 2 I such that
1 C a 2 J . Since V .I / D.1 C a/ U , we deduce that the open subsets of
the form D.1 C a/ with a 2 I form a cofinal subset in the set of all open subsets
containing V .I /. Hence the module in question is the inductive limit of the modules
of the form M ˝A A.1Ca/ with a 2 I , which is nothing but M ˝A .1 C I / 1 A, as
desired.
It remains to show that .V .I /; M/ D .V .I /; M ˙ /. This can be shown by
the standard argument as in [54], I, (1.3.7); the detail is left to the reader.
Corollary B.1.5. If A is a Zariskian ring, then M ˙ is an OX -module, where X D

Spz A, and we have .D.f /; M ˙ / D M ˝A AfZar for any f 2 A.
Proposition B.1.6. Let A be a Zariskian ring, and set X D Spz A. Let M be an
A-module. Then for any point x 2 X, that is, an open prime ideal x D p, we have
Mx˙ D M ˝A Ap .
To show this, we need the following obvious lemma.
Lemma B.1.7. Let fA g2ƒ be a filtered inductive system of rings with adic topol-
ogy such that for any the map A ! A is adic, that is, for any ideal of
definition I of A , IA is an ideal of definition of A . Then we have the canonical

isomorphism .lim A /Zar ! lim AZar of topological rings.
!2ƒ !2ƒ
Proof of Proposition B.1.6. By B.1.7, we have
Mx˙ D lim .D.f /; M ˙ / D M ˝A lim AfZar D M ˝A AZar

p :
! !
x2D.f / x2D.f /
But due to 0.7.3.3, AZar

p D Ap .
B.1. (b) Zariskian schemes

Definition B.1.8. (1) A topologically locally ringed space .X; OX / is called an
affine Zariskian scheme if it is isomorphic to Spz A for a Zariskian ring A.
(2) A topologically locally ringed
S space .X; OX / is called a Zariskian scheme
if it has an open covering X D ˛2L U˛ by affine Zariskian schemes.
The morphisms of Zariskian schemes are the morphisms of topologically lo-
cally ringed spaces. A Zariskian scheme X is said to be quasi-compact (resp.
quasi-separated, resp. coherent) if the underlying topological space of X is quasi-
compact (resp. quasi-separated, resp. coherent) (0.2.1.4, 0.2.1.8, and 0.2.2.1). Note
that any Zariskian scheme is locally coherent and sober (0.2.2.21 and 0, ÷2.1. (b)).
We denote by Zs (resp. CZs, resp. AZs) the category of Zariskian (resp. coherent
Zariskian, resp. affine Zariskian) schemes. These are full subcategories of the cat-
egory of topologically locally ringed spaces. Note that schemes are canonically
regarded as Zariskian schemes considered with the 0-adic topology. The following
theorem is straightforward in view of B.1.5 and B.1.6.
Theorem B.1.9. The functor
A 7 ! Spz A
gives rise to a categorical equivalence between the opposite category of the cate-
gory of Zariskian rings and the category AZs of affine Zariskian schemes.
B. Appendix: Zariskian schemes 443
For a Zariskian scheme X and an open subset U of the underlying topological

space of X, U has the induced structure as a Zariskian scheme in such a way that
the inclusion map extends to a morphism j W U ! X of Zariskian schemes. The
Zariskian scheme obtained in this way is called an open Zariskian subscheme of X.
Similarly, one can define the notion of open immersions of Zariskian schemes.
Definition B.1.10. A morphism f W X ! Y of Zariskian schemes is said to be
quasi-compact if the map of underlying topological spaces is quasi-compact;
see (0.2.1.4 (2)).
We have the so-called Zariskian completion: let X be a scheme and Y X a
closed subscheme; then .Y; i 1 OX /, where i W Y ! X is the closed immersion, is a
Zariskian scheme, which we denote by
X Zar jY :
B.2 Fiber products

Theorem B.2.1. The category of Zariskian schemes has fiber products.
As usual, the construction is reduced to the affine case. Let
Spz B ! Spz A Spz C ()
be a diagram of affine Zariskian schemes, where A (resp. B, resp. C ) is a Zariskian

ring with an ideals of definition I (resp. J , resp. K). The fiber product of dia-
gram ./ is given by a diagram of affine Zariskian schemes corresponding to
.B : ˝A Cd■/Zar
✈✈ ■■■
✈✈✈ ■
B e❑❑ s9C
❑❑ ss
❑ ss
A:
Here the associated Zariskian ring .B ˝A C /Zar is taken with respect to the ideal
H of B ˝A C given by
H D image.J ˝A C ! B ˝A C / C image.B ˝A K ! B ˝A C /:
B.3 Ideals of definition and adic morphisms

Definition B.3.1. Let X be a Zariskian scheme. An ideal of definition S
of X is a
quasi-coherent ideal of OX such that for an affine open covering X D ˛2L U˛
with U˛ Š Spz A˛ for a Zariskian ring A˛ for each ˛ 2 L, jU˛ is isomorphic to
the ideal of the form I˛˙ for an ideal of definition I˛ of A˛ .
Clearly, ideals of definition always exist locally. If is an ideal of definition of

a Zariskian scheme X and U D Spz A is an affine open subset of X, where A is a
Zariskian ring, then jU Š I ˙ for an ideal of definition I of A.
Definition B.3.2. A morphism f W X ! Y of Zariskian schemes is said to be adic
if for any open subset V of Y having an ideal of definition , OX jf 1 .V / is an
ideal of definition of the open Zariskian subscheme f 1 .V /.
We denote by Zs (resp. CZs , resp. AZs ) the category of Zariskian (resp.
coherent Zariskian, resp. affine Zariskian) schemes and adic morphisms.
Proposition B.3.3. (1) Let f W X ! Y and gW Y ! Z be morphisms of Zariskian
schemes. If f and g are adic, then so is the composition g ı f . If g ı f and g are
adic, then so is f .
(2) Let S be a Zariskian scheme and f W X ! X 0 and gW Y ! Y 0 two adic
S -morphisms of Zariskian schemes .not necessarily adic over S /. Then
is adic.
(3) Let S be a Zariskian scheme, and f W X ! Y an adic S -morphism between
Zariskian schemes .not necessarily adic/ over S . Then for any .not necessarily
adic/ morphism S 0 ! S of Zariskian schemes, the induced morphism
fS 0 W X S S 0 ! Y S S 0
is adic.
The proof is similar to that of 1.3.6.
B.4 Morphism of finite type and morphism of finite presentation

Definition B.4.1. A morphism f W X ! Y of Zariskian schemes is said to be lo-
cally of finite type (resp. locally of finite presentation) if
(a) the morphism f is adic .B.3.2/, and
(b) there exist an affine open covering fVi g of Y with Vi D Spz Bi , where Bi is
a Zariskian ring with an ideal of definition Ji , and for each i an affine open
covering fUij gj of f 1 .Vi / with Uij D Spz Aij , where Aij is a Zariskian
ring with the ideal of definition Ji Aij due to (a), such that each Aij is iso-
morphic to the associated Zariskian of a finitely generated (resp. finitely
presented) algebra over Bi .
The morphism f is said to be of finite type (resp. of finite presentation) if it is
locally of finite type and f is quasi-compact.
C. Appendix: FP-approximated sheaves and GFGA theorems 445
Note that, if B is the associated Zariskian .AŒX1 ; : : : ; Xn =a/Zar of a finitely

presented A-algebra (where a is a finitely generated ideal), then
B D AŒX1 ; : : : ; Xn Zar =aAŒX1 ; : : : ; Xn Zar ;
since, in general, quotient rings (by not necessarily closed ideals) of a Zariskian
ring are always Zariskian with respect to the induced ideal of definition. In partic-
ular, for any affine Zariskian scheme Spz A and any f 2 A, the open immersion
Spz AfZar ,! Spz A is of finite presentation. This fact justifies our definition of ‘(lo-
cally) of finite presentation’ as above. By an argument similar to the proof of 1.7.2,
Proposition B.4.2. (1) Any open immersion is locally of finite presentation.
(2) The composition of two morphisms locally of finite type .resp. of finite type,
resp. locally of finite presentation, resp. of finite presentation/ is again locally of
finite type .resp. of finite type, resp. locally of finite presentation, resp. of finite
presentation/. If the composition g ı f of morphisms f W X ! Y and gW Y ! Z
of formal schemes is locally of finite type and g is adic, then f is locally of finite
type. If g ı f is locally of finite presentation and g is locally of finite type, then f
is locally of finite presentation.
(3) Let S be a Zariskian scheme and f W X ! X 0 and gW Y ! Y 0 two adic
S -morphisms of Zariskian schemes. Suppose f and g are locally of finite type
.resp. of finite type, resp. locally of finite presentation, resp. of finite presentation/.
Then
is locally of finite type .resp. of finite type, resp. locally of finite presentation, resp.
of finite presentation/.
(4) Let S be a Zariskian scheme and f W X ! Y an adic S -morphism between
Zariskian schemes. Suppose f is locally of finite type .resp. of finite type, resp.
locally of finite presentation, resp. of finite presentation/. Then for any morphism
S 0 ! S of Zariskian schemes the induced morphism
fS 0 W X S S 0 ! Y S S 0
is locally of finite type .resp. of finite type, resp. locally of finite presentation, resp.
of finite presentation/.
C Appendix: FP-approximated sheaves and GFGA theorems

C.1 Finiteness up to bounded torsion
C.1. (a) Weak isomorphisms. Let A be a ring and I A a finitely generated
ideal.
Definition C.1.1. A homomorphism f W M ! N of A-modules is said to be

weakly injective (resp. weakly surjective) if ker.f / (resp. coker.f /) is bounded
I -torsion, that is, there exists a positive integer n > 0 such that I n ker.f / D 0
(resp. I n coker.f / D 0) (cf. 0.8.1.3).
The following properties are easy to verify. Let f W L ! M and gW M ! N be
A-linear homomorphisms of A-modules.
If f and g are weakly injective (resp. weakly surjective), then so is the
If g ı f is weakly injective, then so is f .
If g ı f is weakly surjective, then so is g.
If g ı f is weakly injective and f is weakly surjective, then g is weakly
injective.
If g ı f is weakly surjective and g is weakly injective, then f is weakly
surjective.
Definition C.1.2. A homomorphism f W M ! N of A-modules is called a weak
isomorphism if it is weakly injective and weakly surjective.
From the discussion above we easily deduce the following fact.
For two homomorphisms f W L ! M and gW M ! N of A-modules such
that g ı f is a weak isomorphism, if one of f and g is a weak isomorphism,
then so is the other.
It is straightforward to see that the family of all weak isomorphisms forms a
multiplicative system (cf. [66], 1.6.1) in the category ModA of all A-modules. We
say that two A-modules M and N are weakly isomorphic if they are isomorphic
when regarded as objects in the localized category ModA =fweak isomorphismsg.
C.1. (b) Weakly finitely presented modules

Definition C.1.3. An A-module M is said to be weakly finitely generated (resp.
weakly finitely presented) if it is weakly isomorphic to a finitely generated (resp.
finitely presented) A-module.
Proposition C.1.4. (1) An A-module M is weakly finitely generated if and only
if it has a finitely generated A-submodule N M such that M=N is bounded
I -torsion.
(2) An A-module M is weakly finitely presented if and only if there exists a weak
isomorphism N ! M from a finitely presented A-module.
Proof. To prove (1), it suffices to show the following conditions.
(a) Let gW N1 ! N2 be a weak isomorphism and L2 N2 a finitely generated

A-submodule such that N2 =L2 is bounded I -torsion; then there exists a
finitely generated A-submodule L1 N1 such that N1 =L1 is bounded
I -torsion.
(b) If hW L ! N be a weak isomorphism with L finitely generated, then
N= h.L/ is bounded I -torsion.
The property (b) is clear. To show (a), let x1 ; : : : ; xr be a set of generators of
L2 . There exists n > 0 such that axj belongs of the image of g (j D 1; : : : ; r)
for any a 2 I n . Let a1 ; : : : ; as 2 I n generate I n , and take yij 2 N1 such that
g.yij / D ai xj for i D 1; : : : ; s and j D 1; : : : ; r. Let L1 be the A-submodule of
N1 generated by all yij ’s. Then since the composition L1 ! N1 ! N2 is weakly
injective, the map L1 ! L2 is weakly injective; moreover, since L1 ! L2 is
obviously weakly surjective, we deduce that it is a weak isomorphism. Hence the
inclusion L1 ,! N1 is a weak isomorphism, as desired. To show (2), one only
needs the following condition.
(c) Let gW N1 ! N2 be a weak isomorphism and h2 W L2 ! N2 a weak isomor-
phism from a finitely presented A-module L2 ; then there exist a finitely pre-
sented A-module L1 and weak isomorphisms h1 W L1 ! N1 and L1 ! L2 .
The checking is straightforward and is left to the reader.
C.2 Global approximation by finitely presented sheaves

C.2. (a) FP-approximation of sheaves on schemes. Let X be a coherent scheme,
Z ,! X a closed subscheme of finite presentation, and D Z the defining
ideal of Z. The notions of ‘weakly injective’, ‘weakly surjective’, and ‘weak iso-
morphism’ have obvious analogues for morphisms of OX -modules; for example, a
morphism 'W F ! G of OX -modules is a weak isomorphism if there exists a pos-
itive integer n > 0 such that n ker.'/ D 0 and n coker.'/ D 0, that is, ker.'/
and coker.'/ are bounded I-torsion. It is straightforward to see that the family
of all weak isomorphisms (resp. between quasi-coherent OX -modules) is a multi-
plicative system in the category ModX (resp. QCohX ) of all OX -modules (resp.
quasi-coherent OX -modules).
In this subsection we assume that
X is Noetherian outside Z, that is, the open subscheme X nZ is Noetherian,
and
.X; Z/ satisfies (UBT), that is, for any finite type map f W Spec A ! X the
induced pair .A; I / (where Iz D f ) satisfies (BT) in 0, ÷8.2. (a).
Definition C.2.1. Let F be a quasi-coherent sheaf on X of finite type.

(1) By an FP-approximation of F we mean a weak isomorphism 'W G ! F
from a finitely presented OX -module.
(2) An FP-approximation 'W G ! F of F is called an Fp-thickening if it is
surjective.
If F admits an FP-approximation, then we sometimes say that F is FP-approx-

imated. Clearly, a quasi-coherent sheaf that admits an FP-thickening is of finite
type. Conversely, we have the following proposition.
Proposition C.2.2. In the situation as above, any quasi-coherent sheaf of finite
type on X admits an FP-thickening.
This proposition is easy to see in case X is affine; this follows from what we
have seen in the end of the previous subsection. To show the proposition in general,
we first introduce the category of FP-thickenings by means of the following notion
of morphisms: given two FP-thickenings G1 ! F and G2 ! F of F , a morphism
from the former to the latter is a surjective morphism G1 ! G2 that makes the
triangle
G1 PPP
PPP
'
♥7 F
♥♥♥♥♥
G2
commutative.
Lemma C.2.3. Let F be a quasi-coherent sheaf of finite type on X. Then the

category of all FP-thickenings of F is a filtered category .cf. 0, ÷1.3. (c)/.
Proof. Let G1 ! F and G2 ! F be FP-thickenings. We need to construct an-

other FP-thickening H ! F that is dominated by G1 and G2 . Consider first
the fiber product K of the maps G1 ! F and G2 ! F . It is easy to see
that K is a quasi-coherent subsheaf of the direct product G1 ˚ G2 , and that the
canonical morphisms Gi ! G1 ˚ G2 =K .i D 1; 2/ are surjective. Write K as
an inductive limit lim K of quasi-coherent subsheaves of finite type ([54], I,
!2ƒ
(9.4.9), and IV, (1.7.7)). We need to show that for some 2 ƒ the morphisms
Gi ! G ˚ H =K .i D 1; 2/ are surjective. To check this, we may assume that
X is affine, X D Spec A. Set F D M z and Gi D Nzi for i D 1; 2; M is a finitely
generated A-module, and N1 and N2 are finitely presented A-modules.
Let fyij gj 2Ji be a finite set of generators of Ni .i D 1; 2/. Denote by yNij the
image of yij in M . Take a lift x1j (resp. x2j ) of yN1j (resp. yN2j ) in N2 (resp. N1 ).
For some 2 ƒ, K (where K D K ) contains the elements .y1j ; x1j / .j 2 J1 /
and .x2j ; y2j / .j 2 J2 /. Then the maps Ni ! N1 ˚ N2 =K are surjective.
Proof of Proposition C.2.2. As we have already seen Srabove, the assertion is true if
X is affine. Consider a finite open covering X D i D1 Ui such that the assertion
is true on each Ui (e.g., a finite affine covering). By induction with respect to r,
we may work in the case r D 2. Let F be a quasi-coherent sheaf of finite type on
X, and Gi ! F jUi .i D 1; 2/ an FP-thickening on Ui . Take, on U1 \ U2 , an FP-
thickening H ! F jU1 \U2 dominated by Gi jU1 \U2 for i D 1; 2 (C.2.3). Consider
Ki D ker.Gi jU1 \U2 ! H / .i D 1; 2/, which is a quasi-coherent sheaf of finite
type, and is bounded -torsion. Hence, there exists a quasi-coherent sheaf K zi
( -torsion subsheaf of Gi ) of finite type on Ui that extends Ki (for i D 1; 2). Now
the quotient sheaves G1 =K z1 and G2 =K z2 patch together to a finitely presented sheaf
H , which gives an FP-thickening of F .
Corollary C.2.4. A quasi-coherent sheaf F is FP-approximated if and only if there

exists a quasi-coherent subsheaf G F of finite type such that F =G is bounded
-torsion.
Proof. The ‘only if’ part is clear; one only has to take the image of an FP-approxi-
mation. Suppose F has a subsheaf G as above. By C.2.3 we have an FP-thickening
H ! G , where H is finitely presented. Then the composite H ! F gives an
FP-approximation.
Theorem C.2.5. The full subcategory FPA.X;Z/ of the category ModX of

OX -modules consisting of FP-approximated sheaves is a thick (0, ÷C.5) abelian
full subcategory.
As a first step of the proof, we show the following lemma.
Lemma C.2.6. Let 'W F ! G be a morphism between FP-approximated sheaves
on X. Then ker.'/ and coker.'/ are FP-approximated.
Proof. First note that ker.'/ and coker.'/ are quasi-coherent sheaves on X. To
show that ker.'/ is FP-approximated, first take an FP-approximation ˛W F 0 ! F
of F , and consider the composition ' ı ˛W F 0 ! G . Since the image of ' ı ˛ is
finitely presented outside Z, ker.' ı ˛/ is finitely generated outside Z. By [54], I,
(9.4.7), and IV, (1.7.7), we have a quasi-coherent subsheaf K of ker.' ı ˛/ of finite
type such that ker.' ı ˛/=K is -torsion; since this is a subsheaf of the finite type
F 0 =K, the -torsion is bounded. Set G 0 D F 0 =K, which is a finitely presented
sheaf sitting the commutative diagram
'
FO /G
O
˛ ˇ
F0 / G0
'0
where ˛ has bounded -torsion kernel and cokernel, and ˇ has -torsion kernel. By
the snake lemma, the induced morphism ker.' 0 / ! ker.'/ has bounded -torsion
cokernel. Now by C.2.4 we deduce that ker.'/ is FP-approximated.
Next, let us show that coker.'/ is FP-approximated. To this end, take an FP-ap-
proximation ˇW G 0 ! G of G ; since the composition G 0 ! coker.'/ obviously has
bounded -torsion cokernel, we immediately deduce the desired result, again due
to C.2.4.
Proof of Theorem C.2.5. In view of C.2.6, the essential point to show is that if
0 !F !G !H !0
is an exact sequence of OX -modules, where F and H are FP-approximated, then

G is FP-approximated. Note first that G is quasi-coherent ([53], (1.4.7)). Recall-
ing C.2.4, we are going to construct a quasi-coherent subsheaf G 0 G of finite
type such that G =G 0 is bounded -torsion.
Take a quasi-coherent subsheaf H 0 (resp. F 0 ) of H (resp. F ) of finite type such
that H =H 0 (resp. F =F 0 ) is bounded -torsion. Let fG g2ƒ be a directed set of
quasi-coherent subsheaves of G of finite type such that G D lim G ([54], I,
!2ƒ
(9.4.9), and IV, (1.7.7)). Then there exists 2 ƒ such that the image of G in H
contains H 0 and that the preimage G \ F contains F 0 . Now we use the snake
lemma to conclude that G =G is bounded -torsion, as desired.
C.2. (b) FP-approximation of sheaves on formal schemes. Similarly to the

scheme case, one can define the notion of weak isomorphism on formal schemes:
Let X be a coherent adic formal scheme of finite ideal type (1.1.16). Then a mor-
phism of OX -modules 'W F ! G is a weak isomorphism if there exists a positive
integer n > 0 such that n ker.'/ D 0 and n coker.'/ D 0, where is an ideal
of definition of finite type of X.
Now let X be a coherent universally rigid-Noetherian formal scheme (2.1.7).
By 2.1.9, for any affine open Spf A X the ring A is a t.u. rigid-Noetherian
ring (2.1.1 (1)); in particular, it satisfies (together with a finitely generated ideal of
definition) (UBT).
Similarly to the scheme case, we introduce the following definitions.
Definition C.2.7. Let X be a coherent universally rigid-Noetherian formal scheme,
and F an OX -module.
(1) By an FP-approximation of F we mean a weak isomorphism 'W G ! F
from a finitely presented OX -module G such that the sheaves ker.'/ and coker.'/
are a.q.c. (3.1.3).
(2) An FP-approximation 'W G ! F of F is called an FP-thickening if it is
surjective.
The terminology ‘FP-approximated’ will be used similarly. Note that the sheaf
F is not assumed to be a.q.c. The following proposition is easy to see.
Proposition C.2.8. Let X be a coherent scheme and Z ,! X a closed subscheme

of finite presentation such that X is Noetherian outside Z and that .X; Z/ satisfies
(UBT). Consider the formal completion Xy D Xj y Z , which we assume to be uni-
versally rigid-Noetherian. Let F be a quasi-coherent sheaf on X that admits an
FP-approximation .resp. FP-thickening/. Then the sheaf F for on Xy obtained by the
functor forW ModX ! ModXy defined in 9.1. (a) admits an FP-approximation .resp.
FP-thickening/.
If F is a.q.c. of finite type and if X is affine, then, similarly to the scheme case,
F admits an FP-thickening. More generally we have the following result.
Proposition C.2.9. Let X be a coherent rigid-Noetherian formal scheme. Then

any a.q.c. sheaf of finite type admits an FP-thickening.
This proposition can be shown by an argument similar to the scheme case by

resorting to the following lemma.
Lemma C.2.10. Let F be a quasi-coherent sheaf of finite type on X. Then the

category of all FP-thickenings of F is a filtered category.
The proof of the lemma is quite similar to that of C.2.3 (use Exercise I.3.6 and
Exercise I.3.4).
C.3 Finiteness theorem and GFGA theorems

The proofs of the results in this subsection will be given in [43].
C.3. (a) Finiteness theorem for FP-approximated sheaves. Let Y be a quasi-

compact scheme and Z ,! Y a closed subspace of finite presentation. We
suppose that Y is Noetherian outside Z and that the pair .Y; Z/ satisfies (UBT)
(cf. ÷C.2. (a)). Consider a morphism f W X ! Y of finite type; X is Noetherian
outside W D f 1 .Z/ and the pair .X; W / satisfies (UBT). Let us denote by
DFPA .X; W / (resp. DFPA .Y; Z/) for D “ ”, C, , b the full subcategory of the
derived category D .X/ (resp. D .Y /) consisting of objects with FP-approximated
cohomologies; by C.2.5, this is a triangulated full subcategory.
Theorem C.3.1. In the situation as above, we assume that f is proper. Then Rf
maps DFPA .X; W / to DFPA .Y; Z/ for D “ ”, C, , b.
C.3. (b) GFGA comparison theorem in rigid-Noetherian situation. Similarly

to the previous subsection, let Y be a quasi-compact algebraic space and Z ,! Y a
closed subspace of finite presentation, and suppose that Y is Noetherian outside Z
and that the pair .Y; Z/ satisfies (UBT). For a finite type morphism f W X ! Y we
set W D f 1 .Z/. We consider the formal completions Xy D Xy jW and Yy D Yy jZ
and the functors forW ModX ! ModXy (and similarly on Y ) defined by F 7! j F ,
where j W Xy ! X is the canonical morphism (cf. ÷9.1. (a)). If f is proper, we can
construct the following diagram in the similar way as in ÷9.1. (b) for D “ ”, C,
, b:
for y
DFPA .X; W / / D .X/
Rf O
7? Rf ()

✇✇✇✇✇✇
✇
✇✇
✇✇✇✇✇ / y
DFPA .Y; Z/ D .Y /.
for
Theorem C.3.2 (GFGA comparison theorem). The above diagram ./ is 2-commu-
tative, that is, the natural transformation gives a natural equivalence for D “
”, C, , b.
The theorem essentially follows from the following special case.
Theorem C.3.3. Let A be a ring and I A a finitely generated ideal. Suppose
that the pair .A; I / satisfies (UBT) and that the ring A is Noetherian outside I .
Let f W X ! Spec A be a proper morphism. Then for any FP-approximated sheaf
F on X the canonical map
.Rq f F /for ! Rq fO Fy
is an isomorphism for any q 0, where y denotes the I -adic completion.
We will need the following implication from the theorem.
Corollary C.3.4. Let X be as in C.3.3, and F and G two OX -modules. Suppose
that F is finitely presented and that G is FP-approximated. Then the canonical
map
HomOX .F ; G / ! HomOXy .F for ; G for/
is an isomorphism.
C.3. (c) GFGA existence theorem in the rigid-Noetherian case. Let A be a t.u.
rigid-Noetherian ring (2.1.1), and f W X ! Spec A a proper map of schemes. By
the I -adic completion (where I A is a finitely generated ideal of definition), we
have the universally rigid-Noetherian formal scheme (2.1.7) fOW Xy ! Spf A over A.
As in ÷10.2. (b), we say that an OXy -module F is algebraizable if there exists an
OX -module G such that F Š G for .
Theorem C.3.5. Suppose f is projective. Then any finitely presented OXy -module
F is algebraizable.
Exercises
Exercise I.C.1. Let A be a ring, and I A a finitely generated ideal. We as-
sume that the ring A with the I -adic topology satisfies (AP) in 0, ÷7.4. (c). Let
f W N ! M be a weak isomorphism of A-modules, where N is assumed to be
finitely generated. Show that if either one of N and M is I -adically complete, then
so is the other.
Exercise I.C.2. Let X be either
a coherent scheme considered with a closed subscheme Z ,! X of finite
presentation such that X n Z is Noetherian and .X; Z/ satisfies (UBT), or
a coherent universally rigid-Noetherian formal scheme.
Let 'W F ! G a morphism of sheaves on X that admits an FP-approximation (resp.
FP-thickening). Show that there exist a commutative diagram
'
FO /G
O
˛ ˇ
F0 / G0
'0
where ˛ and ˇ are FP-approximations (resp. FP-thickenings).

Chapter II
Rigid spaces
This chapter is the main part of this volume, where we define rigid spaces and
develop their geometry. In the first section, ÷1, we discuss generalities of admissible
blow-ups. We then give the definition of rigid spaces in ÷2, according to Raynaud’s
viewpoint. We first define the category of coherent rigid spaces as the quotient
of the category of coherent adic formal schemes of finite ideal type modulo the
admissible blow-ups. Thus, any coherent rigid space X is, by definition, of the
form
X rig
for a coherent adic formal scheme X of finite ideal type, and then X is called a for-
mal model of X. We then define general (not necessarily coherent) rigid spaces by
‘patching’. Corresponding to universally adhesive and universally rigid-Noetherian
formal schemes (I, ÷2.1), we have respectively universally adhesive and universally
Noetherian rigid spaces:
² ³ ² ³ ² ³
univ. adhesive univ. Noetherian
rigid spaces :
rigid spaces rigid spaces
‘Classical’ rigid spaces (called rigid spaces of type (V) in this book), that is,
locally of finite type rigid spaces over .Spf V /rig , where V is an a-adically com-
plete valuation ring, are examples of universally adhesive rigid spaces.
In ÷3 we introduce the visualization, the Zariski–Riemann triple
int
ZR.X/ D .hXi; OX ; OX /
of a rigid space X, which ‘visualizes’ the rigid space in the sense that the space X,
introduced first by an abstract categorical argument, is interpreted as a concrete
topological space with a ‘doubly-ringed structure’ which we call a triple. The
triples thus obtained are, in important cases, Huber’s adic spaces (cf. ÷A in the
Appendix). We also discuss points of Zariski–Riemann spaces by means of rigid
points, which are, similarly to the situation of Zariski’s classical birational geom-
etry mentioned in Introduction, described in terms of valuations. Having thus the
notion of visualization of rigid spaces, one is then able to consider several ‘topo-
logical properties’ of rigid spaces, some of which we introduce and develop in ÷4.
456 Chapter II. Rigid spaces
We will show, most importantly, that Zariski–Riemann spaces are valuative (Corol-
lary 4.1.8), hence admit the so-called separated quotient
sepX W hXi ! ŒX:
Roughly speaking, when one regards the Zariski–Riemann space hXi as the ‘space
of arbitrary valuations’, the separated quotient ŒX is the subset (endowed with,
however, the quotient topology by sepX ) of hXi consisting of valuations of height
one, and the map sepX is given by ‘maximal generization’. Note that, accordingly,
the space ŒX can be regarded as a ‘space of seminorms’, and hence is a space of
the same kind as those appearing in Berkovich’s analytic geometry; in fact, as we
will explain in ÷C.6, the separated quotient ŒX coincides with the underlying topo-
logical space of the Berkovich analytic space associated to X, at least when X is
locally of finite type over .Spf V /rig , where V is an a-adically complete valuation
ring of height one (called rigid space of type (VR ) in this book). Moreover, several
related classical features in Tate’s rigid analytic geometry or in Berkovich’s ana-
lytic geometry, such as overconvergent structure, can also be ‘visualized’ entirely
by means of usual point-set topology techniques. It is perhaps one of the most pow-
erful aspects of our visualization that, in this way, many useful concepts in rigid
geometry can be simply boiled down to (often elementary) general topology.
In ÷5 we begin the study of the ‘analytic geometry’ of our rigid spaces. After
discussing coherent sheaves on universally Noetherian rigid spaces in ÷5, we pro-
ceed to the theory of affinoids in ÷6. In this book, affinoids are defined as rigid
spaces of the form .Spf A/rig , that is, coherent rigid spaces having an affine formal
model. Among them, especially important are the universally Noetherian affinoids
of this form, where Spec A n V .I / is affine. Affinoids of this type are called Stein
affinoids, the name coming from the fact that these affinoids enjoy Theorem A and
Theorem B for coherent sheaves and thus can be viewed as an analogue of Stein
domains in complex analysis. The last-mentioned fact is based on the comparison
theorem (Theorem 6.4.1) for affinoids, which roughly asserts that the cohomology
of coherent sheaves on a universally Noetherian affinoid .Spf A/rig is isomorphic to
the cohomology of the corresponding coherent sheaves on the Noetherian scheme
Spec A n V .I /.
In ÷7 we collect basic properties of morphisms between rigid spaces, such as
finite morphisms, immersions, separated morphisms, etc. In ÷8 we develop some
useful tools to investigate points of (the visualizations of) rigid spaces, and ap-
ply them to the study of classical points on rigid spaces of type (VR ) or on rigid
spaces locally having Noetherian formal models (called rigid spaces of type (N)).
The notion of classical points will play an important role in establishing the bridge
between our rigid geometry and Tate’s rigid analytic geometry, which will be ex-
plained in Appendix ÷B. Another useful application of our study of classical points
is the Noetherness theorem (Theorem 8.3.6), which asserts that the local ring at
each point of a rigid space of type (V) or of type (N) is Noetherian.
1. Admissible blow-ups 457
In ÷9 we discuss GAGA. Our GAGA functor is a functor
X 7 ! X an
from the category of quasi-separated finite type schemes over U D Spec A n V .I /,

where A is an adic ring with a finitely generated ideal of definition I A, to the
category of rigid spaces of finite type over D .Spf A/rig . The construction of the
GAGA functor relies on a generalization of Nagata’s embedding theorem, which
we prove in the appendix (Theorem F.1.1), and thus will be carried out by resort-
ing to formal geometry. Hence the GAGA theorems (comparison and existence)
discussed here, are consequences of the GFGA theorems that we have already es-
tablished in Chapter I; note that, like the GFGA theorems, our GAGA theorems
will be presented in the derived category language.
In ÷10 we treat briefly the dimension theory in rigid geometry, and in the final
section, ÷11, we discuss the maximal modulus principle.
1 Admissible blow-ups
In this section we discuss generalities and related topics concerning the so-called
admissible blow-ups of formal schemes. As rigid spaces (more precisely, coher-
ent rigid spaces) are defined roughly as ‘limits’ of admissible blow-ups of formal
schemes, the notion of admissible blow-ups is, so to speak, a main pillar of the
bridge from formal geometry to rigid geometry.
After discussing basic properties of admissible blow-ups, we define in ÷1.2 the
so-called strict transforms of admissible blow-ups and give a collection of basic
properties of them. In the final subsection, ÷1.3, we will see that admissible blow-
ups of a fixed coherent formal scheme constitute a cofiltered category that admits a
small cofinal set. This fact will be used later when we define coherent rigid spaces.
1.1 Admissible blow-ups

1.1. (a) Admissible blow-ups. Let X be an adic formal scheme of finite ideal
type (I.1.1.16). We assume for the moment that there exists an ideal of definition
of finite type OX . For k 0 we set Xk D .X; OX = kC1 /, which is a closed
subscheme of X. Let J OX be an admissible ideal (I.3.7.4). Consider for each
k 0 the projective Xk -scheme
L
Xk0 D Proj. n0 J n ˝ OXk / ! Xk :
For k l, we have obvious closed immersions Xk0 ,! Xl0 , compatible with the
immersion Xk ,! Xl , and thus get an inductive system of schemes fXk0 gk0 . It is
easy to see that this inductive system satisfies the conditions in I.1.4.3, and hence
the inductive limit X 0 D lim X 0 is an adic formal scheme of finite ideal type
!k0 k
endowed with the structural adic map
L
X 0 D lim Proj n0 J
n
˝ OXk ! X; ()
!k0
which is proper due to I.4.7.3. Note that the X-isomorphism class of the map ./
does not depend on the choice of the ideal of definition . Hence, the construction
of W X 0 ! X can be done without a globally defined idealSof definition of finite
type on X as follows. We consider an open covering X D ˛2L X˛ , where each
X˛ has an ideal of definition ˛ of finite type. Then, for an admissible ideal J on
X, define W X 0 ! X to be the gluing of ˛ W X˛0 ! X˛ constructed as above by
means of the admissible ideal JjX˛ .
Definition 1.1.1. Let X be an adic formal scheme of finite ideal type, and J OX
an admissible ideal. An adic morphism W X 0 ! X of adic formal schemes of
finite ideal type is said to be an admissible .formal/ blow-up along J if it is locally
isomorphic to a morphism of the form ./.
The admissible blow-ups are uniquely determined by admissible ideals, up to
canonical isomorphisms. Note that if X is quasi-compact (resp. quasi-separated,
resp. coherent), then so is X 0 . In the sequel, when we want to specify the blow-up
center J, we will write
J W XJ ! X:
The following proposition follows immediately from the fact that admissible blow-
ups are of finite type.
Proposition 1.1.2. Let X be an adic formal scheme of finite ideal type and
J OX an admissible ideal. If X is locally universally rigid-Noetherian .resp.
locally universally adhesive/, then so is the admissible blow-up XJ along J.
1.1. (b) Explicit local description. The formation of admissible blow-ups is an

effective local construction with respect to the Zariski topology (cf. 0.1.4.9), and
hence most of the properties of admissible blow-ups can be verified by reducing to
the affine situation.
Let A be an adic ring of finite ideal type (I.1.1.6), I A a finitely generated
ideal of definition, and J an I -admissible ideal of A. Then the admissible blow-
up of X D Spf A along J is the formal completion (cf. I, ÷1.4. (b)) of the usual
blow-up of the affine scheme Spec A,
Proj R.A; J / ! Spec A

L
([54], II, (8.1.3)), where R.A; J / D n0 J n is the Rees algebra (cf. 0, ÷7.5).
Suppose f0 ; : : : ; fr 2 J generate J , and consider the exact sequence

'
0 ! K ! AŒX0 ; : : : ; Xr ! R.A; J / ! 0;
where ' maps each Xi to fi in degree 1. Let a AŒX0 ; : : : ; Xr be the ideal
generated by all elements of the form
fi Xj fj Xi
for 0 i; j r. By [54], II, (2.9.2) (i), the map ' gives rise to an A-closed
immersion
Proj R.A; J / , ! PAr ;
which induces, by I.4.3.11, the closed immersion
5
Proj R.A; J / , ! PyAr
into the formal projective r-space PyAr over Spf A (cf. Exercise I.5.1 (2)). As PyAr is
˚ ˝˝ 0 ˛˛
covered by the affine open subsets Ui D Spf A X Xi
;:::; Xr
Xi i D0;:::;r
, we want to
describe explicitly the closed immersion
5
Proj R.A; J / Py r Ui , ! Ui
A
()
for each 0 i r. By I.1.4.6, the morphism ./ is the formal completion of the
closed immersion of schemes induced by the morphism of rings
0 0 fi -sat
A XX
;:::; X
i X
r
! R.A; J /.fi / D A X
i X
;:::; X
X
r
=ai ;
i i
f -sat
where ai D fi X 0
Xi
f0 ; : : : ; f i Xr
Xi
fr , and ai i is the fi -saturation of a; note
that in the ring R.A; J /.fi / the ideal JR.A; J /.fi / D .fi / is invertible (cf. [54], II,
(8.1.11)). Hence the morphism ./ is isomorphic to
˝˝ 0 ˛˛
Spf B , ! Spf A X X
;:::; X
X
r
;
i i
where
˝˝ X0 ˛˛ fi -sat ˝˝ X0 ˛˛
BDA Xi
;:::; Xr
Xi
=ai A Xi ; : : : ; Xr
Xi
: ()
(Recall 0, ÷8.4 for the definition of rings of restricted formal power series.)
Proposition 1.1.3. Suppose A is a t.u. rigid-Noetherian ring (I.2.1.1 (1)), and con-
sider the ideal
˝˝ 0 ˛˛
bi D fi X0
Xi
f0 ; : : : ; f i Xr
Xi
fr A XXi
;:::; X
Xi
r
:
f -sat f -sat ˝˝ X0 ˛˛ ˝˝ X0 ˛˛ fi -sat
(1) We have bi i D ai i A Xi
;:::; Xr
Xi
and B D A Xi
;:::; Xr
Xi
=bi .
(2) If A is an I -torsion free t.u. adhesive ring (I.2.1.1 (2)), then bfi -sat is finitely
generated and the ring B is IB-torsion free.
Proof. (1) First note that

f -sat ˝˝ X0 ˛˛ f -sat
bi ai i A Xi
;:::; Xr
Xi
bi i :
f -sat f -sat ˝˝ 0 ˛˛
Hence, to show the equality bi i D ai i A X Xi
;:::; X
Xi
r
, it suffices to show
fi -sat ˝˝ X0 ˛˛ X

that ai A X ;:::; Xr
Xi
is fi -saturated. Since A X0 ; : : : ; XXi
r
is I -adically uni-
i i
versally pseudo-adhesive, the map
X0 ˝˝ X0 ˛˛
A Xi
;:::; Xr
Xi
!A Xi
;:::; Xr
Xi
is flat (0.8.2.18), and hence so is its base change

X0 fi -sat ˝˝ 0 ˛˛ fi -sat ˝˝ X0 ˛˛
A Xi
;:::; X
X
r
=ai !A XX
;:::; X
X
r
=ai A X ;:::; X
X
r
:
i i i i i
Since the left-hand side is fi -torsion free, so is the right-hand side. Hence we have
f -sat ˝˝ 0 ˛˛
that ai i A X X
;:::; X
X
r
is fi -saturated, as desired. Now by 0.7.4.18 we know
i i
f -sat
that the ideal bi i is closed, whence the second equality.
(2) If A is I -torsion free, then so are the rings R.A; J / and R.A; J /.fi / . This
f -sat 0
implies that ai i is I -saturated. Since A X X
;:::; X
X
r
is I -adically adhesive,
i i
afi i -sat is finitely generated (0.8.5.3). Finally, since the completion map
X0 f -sat ˝˝ 0 ˛˛ fi -sat
A Xi
;:::; Xr
Xi
=a i !BDA XXi
;:::; Xr
Xi
=bi
X0 f -sat
is flat and the ring A Xi
;:::; Xr
Xi
=a i is I -torsion free, we conclude that B is
IB-torsion free.
It follows from (2) that if X is a locally universally adhesive formal scheme

(see (I.2.1.7)) such that OX is -torsion free, where is an ideal of definition of
X, then any admissible blow-up of X is finitely presented.
1.1. (c) Universal mapping property
Proposition 1.1.4. Let X be an adic formal scheme of finite ideal type, J OX

an admissible ideal, and W X 0 ! X the admissible blow-up of X along J.
(1) The morphism is proper.
1
(2) The ideal JOX 0 D . J/OX 0 is invertible. In particular, OX 0 is J-torsion
free.
(3) Universal mapping property. Given an adic morphism W Z ! X of adic

formal schemes of finite ideal type such that . 1 J/OZ is invertible, there exists a
unique morphism Z ! X 0 such that the resulting triangle
Z✵ ❴ ❴ ❴/ X 0
✵✵ ✌
✵✵ ✌✌✌
✵ ✌
✌
X
commutes.
Proof. (1) is clear by definition. To show (2), we may assume that X is affine,
X D Spf A, where A is an adic ring of finite ideal type. We need to verify that the
ring B as in ./ in ÷1.1. (b) is fi -torsion free. We will show this in 1.1.5 below.
To show (3), we may reduce to the affine situation X D Spf A and Z D Spf B;
let J A be an admissible ideal such that J D J. We may moreover assume that
JB is a principal ideal generated by a non-zero-divisor a 2 B. By the universality
of blow-ups of schemes, we have the unique morphism from Spec B to the blow-
up of Spec A along J , from which the desired morphism Z ! X 0 is obtained by
completion. The uniqueness is easy to see.
Lemma 1.1.5. Let A be a ring, I A a finitely generated ideal and let f 2 A.

Suppose that the ideal J D .f / is I -admissible (0.8.1.2) and that A is f -torsion
free. Then the I -adic completion Ay is f -torsion free.
Proof. We may assume that I J . We want to show that the map Ay ! Ay given by
x 7! f n x is injective for any n 1. Since the image J n of A ! A by x 7! f n x
is an open ideal of A, the subspace topology on J n induced by the I -adic topology
on A is the I -adic topology. Hence, by 0.3.2.4, the injectivity of Ay ! Ay follows
from the injectivity of the map A ! A given by x 7! f n x.
As a corollary of 1.1.5 we have the following result.
Corollary 1.1.6. Let X be an adic formal scheme with an ideal of definition of finite
type and X 0 ! X an admissible blow-up. If OX is -torsion free, then OX 0 is
OX 0 -torsion free. In particular, if is invertible on X, then OX 0 is invertible
on X 0 .
Proof. We may assume X is affine, X D Spf A, and X 0 ! Spf A is the admissible

blow-up along an admissible ideal J A. Let I A be a finitely generated ideal
of definition such that I D ; we may assume that I J . Using the notation
as in ÷1.1. (b), we have that B is f -torsion free, where JB D .f /. Since By is
y
f -torsion free by 1.1.5, it is I B-torsion free, because I By J B.
y
1.1. (d) Some basic properties. The following proposition follows immediately
from the universality (1.1.4 (3)) and the local description (÷1.1. (b)) of admissible
blow-ups.
Proposition 1.1.7. Let X ! Y be an adic morphism .resp. of finite type/ between

adic formal schemes of finite ideal type, and Y 0 ! Y an admissible blow-up. Then
there exist an admissible blow-up X 0 ! X and an adic morphism X 0 ! Y 0 .resp.
of finite type/ such that the diagram
X0 / Y0

X /Y
commutes. Explicitly, if J OY is an admissible ideal that gives the admissible

blow-up Y 0 ! Y , then one can take X 0 ! X to be the admissible blow-up along
the admissible ideal JOX .cf. I.3.7.6/.
Since the formation of admissible blow-ups is an effective local construction,

Proposition 1.1.8. Let X be an adic formal scheme of finite ideal type, and U X
an open subset. Let J be an admissible ideal on X, and X 0 ! X and U 0 ! U
the admissible blow-ups along J and JjU , respectively. Then U 0 Š X 0 X U .
In particular, the induced morphism U 0 ! X 0 is an open immersion.
Proposition 1.1.9 (extension of admissible blow-up). Let X be a coherent adic for-

mal scheme of finite ideal type, U X a quasi-compact open subset,
and let U 0 ! U be an admissible blow-up. Then there exists an admissible blow-
up X 0 ! X that admits an open immersion U 0 ,! X 0 such that the resulting
square

U0 / X0

U /X
is Cartesian.
Proof. Let J be an admissible ideal on U that gives the admissible blow-up

U 0 ! U . By I.3.7.15, there exists an admissible ideal Jz on X that extends J.
By 1.1.8, the admissible blow-up X 0 ! X along Jz has the desired property.
Proposition 1.1.10. The composition of two admissible blow-ups between coherent

adic formal schemes of finite ideal type is again an admissible blow-up.
Note that the analogous fact is known in the scheme case ([89], Première partie,
(5.1.4), which we present below in (E.1.7)). Before the proof of the proposition we
show the following lemma.
Lemma 1.1.11. Let Y be a quasi-compact scheme and OY a quasi-coherent
ideal of finite type. Let X D Yy be the formal completion of Y along . Then for
any admissible ideal J OX there exists a quasi-coherent ideal K OY of finite
type such that
(a) there exists n 1 such that n K, and
(b) KOX D J.
Proof. Take n 1 such that n OX J. The sheaf J= n is a quasi-coherent sheaf
of finite type on the scheme .X; OX = n OX / D .Y; OY = n /. Let K be the pull-
back of J= n by the canonical projection OY ! OY = n ; this is a quasi-coherent
ideal of finite type such that n K and K= n D J= n . By I.3.7.8 (2), we have
KOX D J.
Proof of Proposition 1.1.10. Consider the sequence of morphisms of coherent adic

formal schemes of finite ideal type
0
X 00 ! X 0 ! X;
where is an admissible blow-up along J OX and 0 is an admissible blow-

up along J 0 OX 0 . We are going to show that the composition ı 0 is an
admissible blow-up. Let OX be an ideal of definition of finite type (I.3.7.12),
and assume without loss of generality that J. We want to construct an a.q.c.
ideal J 00 OX of finite type such that
(a) kC1 J 00 for some k 0, and
(b) J 00 OX 0 D J 0 J n OX 0 for some n 1.
If this is done, then by the universality of admissible blow-ups (1.1.4 (3)), ı 0 is
easily seen to be isomorphic to the admissible blow-up of X along JJ 00 .
Step 1. We first construct an a.q.c. ideal J 00 that satisfies (a) and (b), but is
not necessarily of finite type. We first deal with the affine case X D Spf A, where
A is an adic ring with the finitely generated ideal of definition I A such that
D I D I OX . Let J A be the I -admissible ideal such that J D J ; we
may assume without loss of generality that I J . Let qW Y 0 ! Y D Spec A be
the blow-up along the ideal J . Then W X 0 ! X is the I -adic formal completion
of q, and hence by 1.1.11 we have a quasi-coherent ideal K 0 OY 0 of finite type
such that I n OY 0 K 0 for some n 1 and KOX 0 D J 0 . Let q 0 W Y 00 ! Y 0 be the
blow-up along K 0 . Then 0 W X 00 ! X 0 is the I -adic formal completion of q 0 .
Since J OY 0 is an ample invertible ideal, by [54], II, (4.6.8), there exists N0 1

such that K 0 ˝OY 0 J n OY 0 D K 0 J n OY 0 is generated by global sections for any
n N0 . Moreover, since q OY 0 =OY is J -torsion, there exists N1 ( N0 ) such
that for any n N1 , the sheaf of idealy K 0 J n OY 0 is generated by global sections
from OY . Hence, if we define K 00 to be the kernel of
OY ! q OY 0 =q K 0 J n OY 0
for n N1 , it satisfies
.a/0 kC1 OY K 00 for some k 0, and
.b/0 K 00 OY 0 D K 0 J n OY 0 .
Then J 00 D K 00 OX is an a.q.c. ideal satisfying (a) and (b).
Step 2. Let B be another adic ring that admits an open immersion
U D Spf B , ! X D Spf A:
Note that open immersions are adically flat (I.4.8.12). Set V D Spec B, and let
qW V 0 ! V be the blow-up along JB, which admits a canonical map V 0 ! Y 0 , and
q 0 W V 00 ! V 0 the blow-up along K 0 OV 0 . Then we have the commutative diagram
q0 q
V 00 / V0 /V

Y 00 / Y0
q
/Y
q0
which induces by the I -adic completion the commutative diagram
0
U 00 / U0 /U

X 00 / X0

/X
0
in which all vertical arrows are open immersions. Similarly to Step 1, we define for
a sufficiently large n the quasi-coherent ideal M 00 OV to be the kernel of
OV ! q OV 0 =q K 0 J n OV 0 :
We claim that J 00 D K 00 OX , as defined in Step 1 (for the same n), enjoys the prop-
erty that J 00 OU D M 00 OU . To show this, since both sides are complete sheaves, it is
enough to check that J 00 OU =I lC1 OU D M 00 OU =I lC1 OU for any l k, where k
is chosen so that kC1 OY K 00 and kC1 OU M 00 . Since J 00 =I lC1 OX D

K 00 =I lC1 OY is the kernel of OY =I lC1 OY ! q OY 0 =q K 0 J n OY 0 , and since
Ul D .U; OV =I lC1 OV / ,! Xl D .X; OY =I lC1 OY / is flat, J 00 OUl coincides with
the kernel of OV =I lC1 OV ! q OV 0 =q K 0 J n OV 0 , that is, we have J 00 OUl D
M 00 =OUl , as desired.
S Step 3. Now we discuss the general case. Take a finite affine open covering X D
˛2L X˛ , and consider for each ˛; ˇ 2 L a finite covering of X˛ˇ D X˛ \ Xˇ
by affine open subsets. If one takes n and k to be sufficiently large, one has for
each ˛ 2 L an a.q.c. ideal J˛00 such that kC1 OX˛ J˛00 and J 00 OX˛0 D J 0 J n OX˛0 ,
where X˛0 is the open subset of X 0 that is the admissible blow-up of X˛ along JO˛
(cf. 1.1.8). By what we have seen in Step 2, replacing n by a larger one if necessary,
we have J˛00 OX˛ˇ D Jˇ00 OX˛ˇ for all ˛; ˇ 2 L. Hence the ideals J˛00 glue to an a.q.c.
ideal J 00 of OX , which obviously satisfies (a) and (b).
Step 4. In view of [54], I, (9.4.9), and IV, (1.7.7), we know that the quasi-
coherent ideal J 00 = kC1 on the scheme Xk D .X; OX = kC1 / is the inductive limit
lim J 00 of quasi-coherent ideals of finite type. Since J 0 J n OX 0 is of finite type,
!2ƒ
there exists 2 ƒ such that the pull-back J00 of J00 by the canonical projection
OX ! OXk satisfies (b); it also satisfies (a) by the construction. Hence, replacing
J 00 by this J00 , we finally get the desired admissible ideal, and thus the proof of the
proposition is finished.
1.2 Strict transform

Definition 1.2.1. Let X be an adic formal scheme of finite ideal type, J an admissi-
ble ideal, and W X 0 ! X the admissible blow-up of X along J. For an OX -module
F , the strict transform of F by is the OX 0 -module given by
0 F D the completion of F =. F /J-tor
(cf. I.3.1.1 for the definition of the completion of sheaves).
Proposition 1.2.2. If F is an a.q.c. sheaf (I.3.1.3) .resp. a.q.c. OX -algebra/ on

X, then the strict transform 0 F is an a.q.c. sheaf .resp. a.q.c. OX -algebra/ on X 0 .
If, moreover, F is of finite type, then so is 0 F .
To show the proposition, we need to prepare a few lemmas. The following

lemma is a generalization of 1.1.5, and the proof is similar.
Lemma 1.2.3. Let A be a ring, I A a finitely generated ideal, and f 2 A an

element such that the ideal .f / is open with respect to the I -adic topology. If M is
an f -torsion free A-module, then its I -adic completion M y is f -torsion free.
Corollary 1.2.4. Let A be a ring, I A a finitely generated ideal, and f 2 A an

element such that the ideal .f / is open with respect to the I -adic topology. Then
for any A-module M we have
y f -tor D Mf -tor ;
M
where the left-hand side denotes the closure in M y of its f -torsion part, and the
y.
right-hand side is the closure of the image of Mf -tor in M
Proof. The exact sequence 0 ! Mf -tor ! M ! M=Mf -tor ! 0 induces the
exact sequence
4
y ! M =Mf -tor ! 0:
0 ! Mf -tor ! M
y f -tor Mf -tor . On the other
The last module is f -torsion free by 1.2.3, and hence M
hand, since the image of Mf -tor in M y is contained in M y f -tor , we have My f -tor
Mf -tor , whence the claim.
Corollary 1.2.5. Let A be a ring, I A a finitely generated ideal, and B an A-
algebra. Consider the respective I -adic completions Ay and By of A and B. Let
f 2 B be an element such that the ideal .f / is open with respect to the IB-adic
topology. Then for any finitely generated A-module M the I -adic completion of
My ˝ y B=.
y M y ˝ y B/
y f -tor coincides up to a canonical isomorphism with the I -adic
A A
completion of M ˝A B=.M ˝A B/f -tor .
Proof. It follows from 1.2.4 that the closure of the image of .M y ˝ y B/
y f -tor in
A
M b̋A B coincides with the closure of .M b̋A B/f -tor , which further coincides, again
by 1.2.4, with the closure of the image of .M ˝A B/f -tor .
I A, and J A an admissible ideal. Set X D Spf A and Y D Spec A, and
consider the commutative diagram
i
Y0 o X0
p

Y o X
where p is the blow-up along J , and is the admissible blow-up along J , the
formal completion of p. Then for any A-module .resp. A-algebra/ M we have
0M D p0M
z; b
z denotes the scheme-theoretic strict transform of M
where p 0 M z . In particular,
0
M is an a.q.c. sheaf .resp. a.q.c. OX 0 -algebra/. If, moreover, M is finitely
generated, then 0 M is of finite type.
Proof. Consider any affine open subset U D Spec B of Y 0 such that JB D .f / for
a non-zero-divisor f 2 B. Then 0 M is the sheafification of the presheaf
Uy 7 ! the completion of M
y ˝A B=.
y M y ˝A B/
y f -tor ;
b z is the sheafification of
and p 0 M
Uy 7 ! the completion of M ˝A B=.M ˝A B/f -tor :
These two sheaves coincide with each other due to 1.2.5. Since the f -torsion part
of the quasi-coherent sheaf p M
b
z is quasi-coherent, p 0 M
z is a completion of a quasi-
coherent sheaf, and hence is a.q.c.
Proof of Proposition 1.2.2. We may assume that X is affine. Then the admissible
blow-up W X 0 ! X is the formal completion of a blow-up of an affine scheme as
in 1.2.6, hence the assertion follows from I.3.2.8 and 1.2.6.
Proposition 1.2.7. Let X be a locally universally rigid-Noetherian formal scheme

(I.2.1.7), J an admissible ideal, and W X 0 ! X the admissible blow-up along J.
Then for any a.q.c. sheaf of finite type F we have
0 F D F =. F /J-tor :
Proof. We may assume that X is affine of the form X D Spf A, where A is a t.u.
rigid-Noetherian ring (I.2.1.1); we use the notation as in 1.2.6. Since p 0 M z is a
0 0 z
quasi-coherent sheaf of finite type on Y , its completion coincides with i p M due
to I.3.5.1. Then the assertion follows from the fact that the morphism i is flat.
We will indicate below in Exercise II.1.5 another proof of 1.2.7. It can be

shown that, in the situation as in 1.2.7, the strict transform of J coincides with the
pull-back ideal JOX 0 D . 1 J/OX 0 (cf. Exercise II.1.6).
Let f W Y ! X be an adic morphism of adic formal schemes of finite ideal
type and W X 0 ! X the admissible blow-up of X along an admissible ideal
J OX . Consider the base change Y X X 0 ! X 0 . By 1.2.2, the completion
of OY X X 0 =OY X X 0 ;J-tor is an a.q.c. OY X X 0 -algebra, which is a quotient of the
structure sheaf OY X X 0 (due to I.1.1.23 (1)). Hence one can consider the closed for-
mal subspace Y 0 ,! Y X X 0 defined by the ideal K D OY X X 0 ;J-tor (cf. I.4.3.3).
Definition 1.2.8. In the above situation, the composite map
Y 0 , ! Y X X 0 ! X 0
is called the strict transform of f by the admissible blow-up .

Proposition 1.2.9. Let W X 0 ! X be an admissible blow-up along an admissible

ideal J of an adic formal scheme X of finite ideal type and f W Y ! X an adic
morphism of adic formal schemes of finite ideal type. Let f 0 W Y 0 ! X 0 be the strict
transform of f by . Then the morphism Y 0 ! Y is the admissible blow-up along
the admissible ideal JOY .cf. I.3.7.6).
Proof. Let Y 00 ! Y be the admissible blow-up along JOY . By the universality

of admissible blow-ups applied to X 0 ! X, we get an X-morphism Y 00 ! X 0 .
Hence we get a morphism Y 00 ! Y X X 0 , which induces, in view of 1.1.4 (2), a
Y -morphism Y 00 ! Y 0 . On the other hand, since JOY 0 is invertible, the universal-
ity of admissible blow-ups applied to Y 00 ! Y implies that there exists a unique
Y -morphism Y 0 ! Y 00 , which is easily seen to be the inverse to Y 00 ! Y 0 .
Proposition 1.2.10. Let i W Y ,! X be a closed immersion of finite presentation of

locally universally rigid-Noetherian formal schemes and Y 0 ! Y an admissible
blow-up of Y . Then there exist an admissible blow-up X 0 ! X and a closed
immersion Y 0 ,! X 0 that coincides with the strict transform of i .
Proof. Let K be the admissible ideal of OY that gives Y 0 ! Y . Let J be the

pull-back of K by the map OX ! i OY , which is an admissible ideal (I.4.3.15).
Since K D JOY , the assertion follows from 1.2.9.
Proposition 1.2.11. Let X be a locally universally rigid-Noetherian formal scheme

with an ideal of definition such that OX is -torsion free and F an -torsion free
a.q.c. OX -module of finite type. Let J be an admissible ideal of X and W X 0 ! X
the admissible blow-up along J. Then
. F /J-tor D . F / -tor :
Proof. We may assume that X is affine, X D Spf A, with D I , where A is an

I -torsion free t.u. rigid-Noetherian ring. Let J D J with J D .f0 ; : : : ; fr /, and
B the ring as in 1.1.3 (1). Let M be an I -torsion free finitely generated A-module
such that F D M . We need to show that .M ˝A B/fi -tor D .M ˝A B/I -tor ; note
that, since M is finitely generated, we have M ˝A B D M b̋A B (0.8.2.18 (1)).
Since J is admissible, the inclusion .M ˝A B/fi -tor .M ˝A B/I -tor is clear. The
other inclusion is shown by an argument similar to that in the proof of 1.1.3. Let
P 2 R.A; J /.fi / ˝A M be an I -torsion element, and take N > 0 large enough
so that fiN P 2 M . Since M is I -torsion free, we have fiN P D 0, which im-
plies that P is a fi -torsion element. Hence we have .R.A; J /.fi / ˝A M /fi -tor D
.R.A; J /.fi / ˝A M /I -tor . Since R.A; J /.fi / ! B is flat (0.8.2.18 (2)), we have
the desired equality by base change.
Corollary 1.2.12. Let X be a locally universally rigid-Noetherian formal scheme,

and an ideal of definition of finite type of X. Suppose OX is -torsion free. Let F
be an -torsion free a.q.c. sheaf of finite type on X. Then for an admissible blow-
up W X 0 ! X the strict transform 0 F is an OX 0 -torsion free a.q.c. sheaf of
finite type on X 0 .
Note that, if X is locally universally adhesive, then 0 F is an a.q.c. sheaf of

finite presentation on X 0 (cf. I.3.5.10).
1.3 The cofiltered category of admissible blow-ups

Let X be a coherent adic formal scheme of finite ideal type. We define BLX to be
the category of all admissible blow-ups of X; more precisely
objects of BLX are the admissible blow-ups W X 0 ! X;
an arrow 0 ! between two objects W X 0 ! X and 0 W X 00 ! X is a
morphism X 00 ! X 0 over X:
X 00✵ / X0
✵✵ ✎
0
✵✵ ✎✎✎
✵ ✎
✎
X.
Proposition 1.3.1. (1) The category BLX is cofiltered .cf. 0, ÷1.3. (c)/, and idX
gives the final object.
(2) Define the ordering on the set AIdX .D the set of all admissible ideals of X/
as follows: J J 0 if there exists an admissible ideal J 00 such that J D J 0 J 00
opp
.cf. I.3.7.9/. Then AIdX is a directed set, and the functor
AIdX ! BLX
.where AIdX is regarded as a category; cf. 0, ÷1.2. (e)/ that maps J to the admissi-
ble blow-up along J is cofinal.
Proof. To show (1), we need to check the following facts.
(a) For two admissible blow-ups X 0 ! X and X 00 ! X, there exist an admis-

sible blow-up X 000 ! X and X-morphisms X 000 ! X 0 and X 000 ! X 00 .
(b) For two admissible blow-ups X 0 ! X and X 00 ! X and two X-morphisms
f0 ; f1 W X 00 ! X 0 , there exists an admissible blow-up X 000 ! X with an X-
morphism gW X 000 ! X 00 such that f0 ı g D f1 ı g.
Let X 0 ! X and X 00 ! X be admissible blow-ups along J and J 0 , respectively.

Let X 000 ! X be the admissible blow-up along JJ 0 (cf. I.3.7.9). Then by 1.1.4 (3)
one has the morphisms X 000 ! X 0 and X 000 ! X 00 as in (a). If f0 and f1 are as
in (b), we have f0 ı g D f1 ı g by the uniqueness in 1.1.4 (3), whence (b). We
have thus shown (1).
(2) is clear.
Corollary 1.3.2. The category BLX is cofiltered and essentially small; cf. 0,
÷1.3. (c).
Exercises
Exercise II.1.1. Let X be an adic formal scheme of finite ideal type, and J; J 0
OX admissible ideals. Let W X 0 ! X be the admissible blow-up along J, and
0 W X 00 ! X 0 the admissible blow-up along . 1 J/OX 0 . Show that the composi-
tion ı 0 W X 00 ! X coincides up to canonical isomorphism with the admissible
blow-up of X along J J 0 .
Exercise II.1.2. Let W X 0 ! X be an admissible blow-up along an admissible
ideal J on X, and f W Y ! X an adic morphism of adic formal schemes of finite
ideal type. Then there exist admissible blow-ups Z ! Y 0 D X 0 X Y and Z ! Y
such that the resulting diagram commutes:
Z
✠✠ ✸✸✸
✸✸
✠ ✠
0 /Y
Y
Exercise II.1.3. Let A be a t.u. rigid-Noetherian ring (I.2.1.1 (1)), I A a finitely
generated ideal of definition, and J A an I -admissible ideal. Let M be a finitely
generated A-module. Set F D M and J D J . Show that FJ-tor D .MJ -tor / .
Exercise II.1.4. Let X be a locally universally rigid-Noetherian formal scheme, F
an a.q.c. sheaf of finite type on X, and J OX an admissible ideal. Show that
F =FJ-tor is an a.q.c. sheaf of finite type.
Exercise II.1.5. Prove 1.2.7 by using Exercise II.1.4.
Exercise II.1.6. Let A ! B be an adic morphism of t.u. rigid-Noetherian rings,
I A a finitely generated ideal of definition of A, and J A an I -admissible
ideal. Suppose B is J -torsion free. Set X D Spf A, Y D Spf B, and J D J . Let
K be the kernel of J ˝OX OY ! JOY , and K the kernel of J ˝A B ! JB.
(1) Show that K D K .
(2) Show that K D .J ˝OX OY /J-tor .
2. Rigid spaces 471
2 Rigid spaces
In this section, we give the definition of rigid spaces and discuss their basic proper-
ties. We first define in ÷2.1 what we call coherent rigid spaces as the objects in the
quotient category of coherent adic formal schemes of finite ideal type modulo by all
admissible blow-ups. The coherent rigid spaces are, therefore, always of the form
‘X rig ’, induced from a coherent adic of finite ideal type formal scheme X, which we
call a formal model of the coherent rigid space. There are of course plenty of formal
models attached to a single coherent rigid space, but they are always connected by
admissible blow-ups and blow-downs.
A coherent rigid space thus defined comes with a natural topology, the so-called
admissible topology, which will be discussed in ÷2.2. Roughly speaking, this is the
topology most naturally induced by the Zariski topology on the formal schemes.
Since we are, at first, only able to speak about ‘coherent’ rigid spaces, open subsets
(or equivalently, open immersions) are temporarily restricted to only quasi-compact
ones. Endowed with this topology, the category of coherent rigid spaces gives
rise to the so-called coherent admissible site. Here it turns out that the adjective
‘coherent’ is justified by the fact that the topos associated to the coherent admissible
site is in fact coherent in the sense of [9], Exposé VI, (cf. 0.2.7.5). It also turns out
that the terminologies ‘coherent’ rigid space and ‘coherent’ open immersion (as
defined in 2.2.2) can be justified in the sense that they are exactly the coherent
objects in the topos, the so-called admissible topos. Since this justification is most
fluently done in terms of visualization, we postpone it to the next section.
General rigid spaces are defined to be sheaves on the coherent admissible site
that satisfy a certain ‘local representability’ property. The already defined coherent
rigid spaces are in fact rigid spaces in this generalized sense, since on the coher-
ent admissible site the representable presheaves are sheaves (2.2.10). This fact is
closely linked with one of the most important aspects of our birational approach
to rigid geometry (cf. Introduction). The (coherent) rigid spaces, which are at first
defined formally as objects in the above-mentioned quotient category, admit ‘patch-
ing’, modeled on ‘birational’ (D up to admissible blow-ups) patching of formal
schemes.
The definition of general rigid spaces given in ÷2.2. (c) allows one to enhance
the admissible topology to a slightly stronger and more consistent one, also called
the admissible topology. It is helpful, especially for the reader who is familiar to
Tate’s rigid analytic geometry, to remark that the admissible topology in the former
sense is the one somewhat similar to the so-called ‘weak topology’, and the latter
one to the ‘strong topology’ in Tate’s rigid analytic geometry (cf. [18]); see ÷B.2
for a more precise comparison of the topologies.
In ÷2.3 we will define the notion of (locally) of finite type morphisms. The final
subsection, ÷2.4, is devoted to fiber products of rigid spaces.
2.1 Coherent rigid spaces and their formal models

2.1. (a) Coherent rigid spaces
Definition 2.1.1. We define the category CRf as follows.

The objects of CRf are the same as those of AcCFs , the category of coher-
ent adic formal schemes of finite ideal type and adic morphisms:
obj.CRf/ D obj.AcCFs /I
for an object X of AcCFs we denote by X rig the same object regarded as

an object of CRf.
For X; Y 2 obj.AcCFs / we define
HomCRf .X rig ; Y rig / D lim HomAcCFs . ; Y /;

!
opp
where HomAcCFs . ; Y / is the functor BLX ! Sets that maps W X 0 ! X
to the set HomAcCFs .X 0 ; Y / (cf. 0, ÷1.3. (a)).
We sometimes describe the quotient functor as
QW AcCFs ! CRf; X 7 ! Q.X/ D X rig :
Note that by 1.3.1 the inductive limit in the above definition can be replaced by a
opp
filtered inductive limit along the directed set AIdX (cf. 0.1.3.1).
In the category CRf, the composition law
HomCRf .X rig ; Y rig / HomCRf .Y rig ; Z rig / ! HomCRf .X rig ; Z rig /
is described as follows. A morphism ' in HomCRf .X rig ; Y rig / is given by a diagram

of the form
X0❇
⑤ ❇❇
}⑤⑤⑤ ❇!
X Y
where X 0 ! X is an admissible blow-up (1.1.1). Similarly, a morphism in
HomCRf .Y rig ; Z rig / is given by Y Y 0 ! Z, where the first arrow is an admis-
sible blow-up. By 1.1.7, we have an admissible blow-up X 00 ! X 0 and an adic
2. Rigid spaces 473
morphism X 00 ! Y 0 such that the square in the following diagram commutes:
X 00 ❉
② ❉❉
|②②② ❉"
0
X ❊ Y 0❇
⑤⑤ ❊ ❊❊ ③③ ❇❇
}⑤
⑤ " |③
③ ❇
X Y Z.
By 1.1.10 one sees that the composition X 00 ! X is an admissible blow-up, and

hence the diagram X X 00 ! Z gives an element in HomCRf .X rig ; Z rig/. One
can verify that the resulting element in HomCRf .X rig ; Z rig / does not depend on the
choice of X 0 and Y 0 and thus gives the desired composition ı '.
Definition 2.1.2. (1) Objects of CRf are called coherent rigid .formal/ spaces.
(2) For an object X of AcCFs , the coherent rigid space X rig is called the as-
sociated .coherent/ rigid space. Similarly, for a morphism f W X ! Y of AcCFs ,
the associated morphism of rigid spaces is denoted by f rig W X rig ! Y rig .
Remark 2.1.3. The adjective ‘formal’ in the parentheses in (1) and also the let-
ter ‘f’ in the notation CRf are used for specifying that the above-defined rigid
spaces come from formal schemes, indicating future variants including, for exam-
ple, rigid Henselian spaces and rigid Zariskian spaces (cf. ÷D in the appendix),
which are the similarly defined spaces associated respectively to Henselian schemes
and Zariskian schemes.
By an easy but deft use of 1.1.4 (3), one can show the following proposition.
Proposition 2.1.4. Let X and Y be coherent adic formal schemes of finite ideal
type, and consider the rigid spaces X rig and Y rig . Then there exists an isomorphism

X rig ! Y rig in CRf if and only if there exists a diagram X Z ! Y consisting
of admissible blow-ups.
Corollary 2.1.5. Let f W X ! Y be a morphism in AcCFs . Then
f rig W X rig ! Y rig
is an isomorphism if and only there exists a commutative diagram
Z❆
⑥ ❆❆❆
~ ⑥⑥
⑥
X /Y
f
where both Z ! X and Z ! Y are admissible blow-ups.

By 2.1.5 and Exercise II.1.2, we have the following corollary.
Corollary 2.1.6. Consider the diagram
Xo X Z Y
f h

Zo Y.
If f rig is an isomorphism in CRf, then so is hrig .
2.1. (b) Formal models
Definition 2.1.7. (1) Let X be a coherent rigid space. A formal model of X is a

couple .X; / consisting of X 2 obj.AcCFs / and an isomorphism W X rig ! X
in CRf. In this way one obtains MX , the category of formal models of X, in which
an arrow .X; / ! .X 0 ; 0 / is defined to be a morphism f W X ! X 0 in AcCFs
such that 0 ı f rig D .
(2) Let 'W X ! Y be a morphism of coherent rigid spaces. A formal model
of ' is a triple .f; ; / consisting of a morphism f W X ! Y of AcCFs and

isomorphisms W X rig ! X and W Y rig ! Y such that the resulting square
f rig
X rig / Y rig

X /Y
'
commutes. They constitute the category M' of formal models of ', in which an
arrow .f W X ! Y; ; / ! .f 0 W X 0 ! Y 0 ; 0 ; 0 / is defined to be a couple of
morphisms .u; v/ consisting of uW X ! X 0 and vW Y ! Y 0 such that v ıf D f 0 ıu
and that the following diagram is commutative:
f rig
X rig / Y rig
urig vrig
0 rig / Y 0 rig
X ❉❉
0 ②② f 0 rig ❉ 0
②② ❉❉
|②
② ❉"
X / Y.
'
It is readily seen that these categories are cofiltered (due to 1.3.2).

2. Rigid spaces 475
Definition 2.1.8. (1) Let X be a coherent rigid space. A formal model .X; / of
X is said to be distinguished if OX is -torsion free for some .hence any/ ideal of
definition of X.
(2) Let 'W X ! Y be a morphism of coherent rigid spaces. A formal model
.f W X ! Y; ; / of ' is said to be distinguished if X and Y are distinguished
formal models of X and Y, respectively.
Proposition 2.1.9 (cf. 1.1.6). Let .X; / be a distinguished formal model of a co-
herent rigid space X, and W X 0 ! X an admissible blow-up. Then .X 0 ; ı rig /
is a distinguished formal model of X. If, moreover, X has an invertible ideal of
definition , then OX 0 is invertible.
We denote by Mdist dist
X (resp. M' ) the full subcategory of MX (resp. M' ) consist-
ing of distinguished formal models.
Proposition 2.1.10. The categories Mdist
X
and Mdist
' are cofiltered, and the inclu-
dist dist
sions MX ,! MX and M' ,! M' are cofinal. .Hence, in particular, any object
and any morphism of CRf have distinguished formal models./
Proof. The proposition follows from the following observation. Let X be an object
of AcCFs , and an ideal of definition of finite type; then the structure sheaf of
the admissible blow-up X 0 of X along is OX 0 -torsion free by 1.1.4 (2). Note the
following fact: for a morphism 'W X ! Y of coherent rigid spaces with a formal
model f W X ! Y , let Y 0 ! Y and X 0 ! X be the admissible blow-ups along an
ideal of definition of finite type on Y and OX , respectively; then by 1.1.4 (3)
we have the unique morphism f 0 W X 0 ! Y 0 (cf. 1.1.7), which gives a distinguished
formal model of '.
Definition 2.1.11. A coherent rigid space X is said to be empty if it has an empty
formal model.
An empty rigid space will be denoted by ;. For instance, if X has a formal
model that is a scheme (D 0-adic formal scheme), then X is empty. Later in 3.1.6
we will see that a coherent rigid space X is non-empty if and only if it has a non-
empty distinguished formal model. The following proposition follows easily from
the existence of formal models for morphisms of coherent rigid spaces.
Proposition 2.1.12. The empty rigid space ; is a strict initial object ([8] Exposé II,
4.5]) of the category CRf.
2.1. (c) Comma category CRf

Definition 2.1.13. Let be a coherent rigid space. We define the category CRf
as follows.
Objects of CRf are morphisms X ! in CRf with the target .

An arrow from X ! to Y ! is a morphism X ! Y in CRf such that
the following diagram commutes:
X✴ /Y
✴✴ ✏
✴✴ ✏✏✏
✴ ✏✏
.
Let S be a coherent adic formal scheme of finite ideal type, and set D S rig .
Let AcCFs=S be the category of coherent adic formal schemes adic over S (cf. I,
÷2.1. (c)). Then we have the canonical functor
AcCFs=S ! CRf ; X=S 7 ! X rig =S rig :
On the other hand, one can mimic the definition of CRf to define the quotient
category AcCFs=S = , that is, a category consisting of objects of AcCFs=S with
the set of arrows defined by
HomAcCFs=S = .X; Y / D lim HomS .X 0 ; Y /;

0
!
X !X
where the right-hand inductive limit is taken over all admissible blow-ups X 0 ! X.
Then the above functor obviously factors through the canonical functor
AcCFs=S = ! CRf : ()
Proposition 2.1.14. The functor ./ is a categorical equivalence.

Proof. It suffices to show the following fact: let Y ! S be a morphism of coherent
adic formal schemes of finite ideal type, and set Y D Y rig ; let X ! Y be a
morphism of coherent rigid spaces; then there exists a formal model of the form
X ! Y and, moreover, such a formal model is unique up to admissible blow-ups
of X. To see this, take an arbitrary formal model X 0 ! Y 0 of X ! Y. Replacing
Y 0 and X 0 by admissible blow-ups, we may assume that there exists an admissible
blow-up Y 0 ! Y (cf. 1.1.7 and 1.3.1). Hence X D X 0 ! Y gives the desired
formal model. The uniqueness is clear.
2.1. (d) Coherent universally Noetherian and universally adhesive rigid spaces
Definition 2.1.15. A coherent rigid space X is said to be universally Noethe-
rian (resp. universally adhesive) if it has a formal model .X; / for a coherent
universally rigid-Noetherian (resp. coherent universally adhesive) formal scheme
X (I.2.1.7).
2. Rigid spaces 477
By 1.1.2 we know that, whenever X has a universally rigid-Noetherian (resp.

universally adhesive) formal model, any admissible blow-up of it is again univer-
sally rigid-Noetherian (resp. universally adhesive). Hence, as in the proof of 2.1.10,
one can show that a coherent universally Noetherian (resp. universally adhesive)
rigid space has a distinguished universally rigid-Noetherian (resp. universally adhe-
sive) formal model. Note also that, similarly to the case treated in 2.1.14, one can
equivalently define universally Noetherian (resp. universally adhesive) rigid spaces
as objects in the quotient category of the form RigNoeCFs = (resp. AdhCFs =)
(cf. I.2.1. (c) for the notation), constructed similarly from the category of univer-
sally rigid-Noetherian (resp. universally adhesive) formal schemes.
2.2 Admissible topology and general rigid spaces

2.2. (a) Coherent admissible sites
Proposition 2.2.1. The following conditions for a morphism U ! X of coherent
rigid spaces are equivalent.
(a) There exists a formal model .j; ; / of U ! X such that the morphism
j W U ! X in AcCFs is an open immersion.
(b) There exists a distinguished formal model .j; ; / of U ! X such that
the morphism j W U ! X in AcCFs is an open immersion.
Proof. We only need to show (a) H) (b). Let j W U ! X be an open immersion
of coherent adic formal schemes of finite ideal type, and an ideal of definition
of finite type. Let X 0 ! X be the admissible blow-up along . Then, as we saw
in the proof of 2.1.10, X 0 gives a distinguished formal model of X. Consider the
induced open immersion jX 0 W U X X 0 ! X 0 . By 1.1.8, U X X 0 ! U coincides
up to isomorphism with the admissible blow-up along jU . Hence U X X 0 is a
distinguished formal model of U, and the open immersion jX 0 gives a distinguished
formal model of U ! X.
Definition 2.2.2. A morphism W U ! X of coherent rigid spaces is called a coher-
ent open immersion if it fulfills the equivalent conditions in 2.2.1.
We will justify ‘coherent’ in this terminology later in 3.5.4.
Proposition 2.2.3. (1) Let U ,! V and V ,! X be two coherent open immer-
sions of coherent rigid spaces. Then the composition U ! X is a coherent open
immersion.
(2) Let Y ! X be a morphism of coherent rigid spaces, and U ,! X a
coherent open immersion. Then the fiber product U X Y is representable in the
category CRf and the morphism U X Y ! Y is a coherent open immersion.
.The general fiber products will be discussed later in 2.4.1./
Proof. (1) Take open immersions U ,! V and V 0 ,! X that provides respective

formal models for U ,! V and V ,! X. Take admissible blow-ups V 00 ! V and
V 00 ! V 0 (cf. 2.1.4). By 1.1.9, one can take an admissible blow-up X 0 ! X such
that V 00 D V 0 X X 0 and V 00 ! X 0 is an open immersion. By I.1.2.8 (3), U 0 D
U V V 00 ! V 00 is an open immersion and gives a formal model of U ,! V due
to 1.1.8. The composition U 0 ! X 0 , which is an open immersion due to I.1.2.8 (1),
gives a formal model of U ! X.
j f
(2) Let U ,! X Y be a diagram in AcCFs , where j is an open immersion,
that gives rise to U ,! X Y by passage to the associated coherent rigid spaces.
Take the fiber product U X Y in the category AcCFs . Then one can easily check
that the desired fiber product U X Y is given by .U X Y /rig and hence that the
morphism U X Y ! Y is a coherent open immersion.
Proposition 2.2.4. Let X be a coherent rigid space and fU˛ ,! Xg˛2L a finite
family of coherent open immersions of coherent rigid spaces. Then there exists
a .distinguished/ formal model X of X and a finite family fU˛ ,! Xg˛2L of
open immersions of coherent adic formal schemes that induces by passage to the
associated coherent rigid spaces the given family fU˛ ,! Xg˛2L .
Proof. By induction with respect to the cardinality of L, we reduce to the situa-
tion where L D f0; 1g. Take a formal model U0 ,! X (resp. U1 ,! X 0 ) of
U0 ,! X (resp. U1 ,! X). There exist admissible blow-ups X 00 ! X and
X 00 ! X 0 (cf. 2.1.4); moreover, these admissible blow-ups can be taken so that
X 00 is a distinguished formal model of X (2.1.10). Then U00 D U0 X X 00 ! X 00
and U10 D U1 X 0 X 00 ! X 00 , which are open immersions by I.1.2.8 (3)), give the
desired formal models by 1.1.8.
Definition 2.2.5. Let X be a coherent rigid space and fU˛ ,! Xg˛2L a finite
family of coherent open immersions of coherent rigid spaces. This family is said to
be a covering of X if there exist a formal model X of X and a finite Zariski open
covering fU˛ ,! Xg˛2L that induces fU˛ ,! Xg˛2L by passage to the associated
coherent rigid spaces.
By an argument similar to that in the proof of 2.2.4 and by I.4.5.3 (3), one easily
sees the following fact: if fU˛ ,! Xg˛2L is a finite Zariski covering as above,
then for any admissible blow-up X 0 one has the finite Zariski covering fU˛0 D
U˛ X X 0 ,! X 0 g˛2L that also induces fU˛ ,! Xg˛2L . This shows, in particular,
that the formal model X in 2.2.5 can be taken to be distinguished.
Definition 2.2.6 (coherent small admissible site for coherent rigid space). Let X
be a coherent rigid space. Define the site Xad as follows.
Objects of the category Xad are coherent open immersions U ,! X be-
tween coherent rigid spaces.
2. Rigid spaces 479
Arrows from U ,! X to V ,! X are morphisms of coherent rigid spaces

over X.
For any object U ,! X the set of coverings Cov.U/ consists of finite
families of morphisms fU˛ ,! Ug˛2L that gives a covering of the coherent
rigid space U in the sense of 2.2.5.
The last-mentioned notion of coverings defines, by 2.2.3 and I.4.5.3, a pretopology
on the category Xad . The site Xad thus obtained is said to be the coherent small

admissible site associated to the coherent rigid space X. We denote by Xad the
topos induced from the site Xad , called the admissible topos associated to X.
Definition 2.2.7 (large admissible site of coherent rigid spaces). We endow CRf
with the following topology. For any object X of CRf the set of coverings Cov.X/
consists of finite families of coherent open immersions fU˛ ,! Xg˛2L that gives
a covering of X in the sense of 2.2.5. We denote the site thus obtained by CRfad ,
and the associated topos by CRf ad .
For a coherent rigid space the large admissible site CRf ;ad , defined on the
comma category CRf , and its associated topos CRf ;ad are defined similarly.
2.2. (b) Properties of coherent admissible sites. The following proposition is

clear by the definition of the admissible topology.
Proposition 2.2.8. Any object of the site Xad .resp. CRfad , resp. CRf ;ad / is quasi-

compact as an object of Xad .resp. CRf
ad , resp. CRf ;ad /. In particular, the topos

Xad .resp. CRfad , resp. CRf ;ad / has a generating full subcategory consisting of
quasi-compact objects.

Proposition 2.2.9. Let X be a coherent rigid space. Then the topos Xad is coher-
ent .0:2.7.5/.
Proof. By 2.2.8 and 2.2.3 (2) any object of Xad is coherent. Since the final object
X is a coherent objects, 2.2.3 (2) also implies that the category Xad is stable under
finite projective limits.
Proposition 2.2.10. On the site CRfad any representable presheaf is a sheaf.
To prove this, and for later purpose, here we introduce the notion of patching of
coherent rigid spaces:
Proposition 2.2.11 ((birational) patching of coherent rigid spaces). (1) Let X be

a coherent rigid space, and U0 ,! X and U1 ,! X coherent open immersions.
Then the Cartesian diagram
U0 ❇p
②< ❇❇
- ②②②② ❇❇
!
U01 ❋q X,
❋❋ ⑤=
❋❋ ⑤⑤⑤
" .⑤
U1
where U01 D U X U1 , is co-Cartesian in CRf.

(2) Consider the diagram
˛ ˇ
./ X -U, !Y
in CRf where ˛ and ˇ are coherent open immersions. Then there exists a co-
Cartesian and Cartesian square in CRf
X o
˛ ⑥⑥> ❅❅❅'
⑥ ❅❅
. ⑥⑥
U ❆p Z,
❆❆ ⑦?
❆❆ ⑦⑦⑦
ˇ /⑦
Y
where ' and are coherent open immersions.
Proof. (1) Let W be a coherent rigid space, and i W Ui ! W (i D 0; 1) morphisms

of coherent rigid spaces. Suppose 0 D 1 on U01 . Take two formal models
g0 W U0 ! W0 and g1 W U1 ! W1 of 0 and 1 , respectively. One can replace
W0 and W1 by a common admissible blow-up of them (due to 2.1.4), and U0 and
U1 by the strict transforms, so that we may suppose W0 D W1 , which we denote
by W . We can moreover replace each Ui (i D 0; 1) by an admissible blow-up,
which is a coherent open subset of a formal model Xi .i D 0; 1/ of X; replacing
X0 and X1 by a common admissible blow-ups, we may assume X0 D X1 , which
0
we denote by X. By the assumption, there exists an admissible blow-up U01 of
U01 D U0 \ U1 on which g0 and g1 are equal. By 1.1.9, there exists an admissible
blow-up X 0 ! X that extends the admissible blow-up U01 0 0
! U01 such that U01 Š
0 0
U01 X X . Hence, replacing X with X and Ui (i D 0; 1) with the pull-back by
the map X 0 ! X, we may assume that g0 D g1 on U01 . Then we have the unique
morphism gW X ! W such that gjUi D gi for i D 0; 1, and D g rig W X ! W
such that jUi D i for i D 0; 1. The uniqueness of is straightforward.
2. Rigid spaces 481
(2) Take formal models U ,! X and U 0 ,! Y of ˛ and ˇ, respectively, which

are open immersions. Since U rig Š U 0 rig , there exist two admissible blow-ups
U 00 ! U and U 00 ! U 0 (2.1.4). By 1.1.9 there exists an admissible blow-up
X 0 ! X of X such that U 00 D U X X 0 . Hence one can replace the formal model
U ,! X by U 00 ,! X 0 . Doing the same for U 0 ,! Y , one sees that we may assume
U D U 0 , that is, we may start with a diagram X - U ,! Y of open immersions
that induces the diagram ./ by passage to the associated coherent rigid spaces.
Now consider the push-out Z D X qU Y , the patching of X and Y along U , in
AcCFs , and set Z D Z rig . Thus we get the desired commutative diagram, which
is Cartesian, for we have U D X Z Y . The diagram thus obtained is co-Cartesian
as well, due to (1).
In the situation as in 2.2.11, the coherent rigid space Z is denoted by X qU Y
and called the coherent rigid space obtained by patching of X and Y along U. In
case U is empty (2.1.11), we write X q Y (disjoint sum) for X qU Y. Since the
square diagram in 2.2.11 is Cartesian, we have the following corollary.
Corollary 2.2.12. The disjoint sum X q Y is universally disjoint ([8], Exposé II,
4.5).
Corollary 2.2.13. In the category CRf any finite colimit consisting of coherent
open immersions is representable.
To prove 2.2.10, we still need a few more lemmas.
Lemma 2.2.14. Let j W U ,! X be a coherent open immersion of coherent rigid
spaces. If the singleton set fj W U ,! Xg is a covering .in the sense of 2.2.5/, then
j is an isomorphism.
This is clear from the definition of coverings (2.2.5).
Lemma 2.2.15. Let 'W X ,! Z and W Y ,! Z be coherent open immersions
of coherent rigid spaces, and set U D X Z Y. Then the canonical morphism
X qU Y ! Z .cf. 2.2.11/ is a coherent open immersion.
Proof. Take a formal model Z of Z and quasi-compact open immersions X ,! Z
and Y ,! Z that induce ' and , respectively, by the passage to the associated
rigid spaces. Set U D X Z Y . Then we have U D U rig . As in the proof of 2.2.11,
the morphism X qU Y ! Z of coherent rigid spaces is represented by the open
immersion X qU Y ,! Z, whence the result.
By 2.2.15 and 2.2.14 we have the following lemma.
Lemma 2.2.16. Let U0 ,! X and U1 ,! X be coherent open immersions of
coherent rigid spaces. Set U01 D U0 X U1 . Suppose that the induced morphism
U0 q U1 ! X is a covering of the site CRfad . Then U0 qU01 U1 ! X is an
isomorphism.
Proof of Proposition
` 2.2.10. Let X and U be coherent rigid spaces, and suppose a
covering ˛2L U˛ ! U is given. We need to show that the sequence
Y Y
HomCRf .U; X/ ! HomCRf .U˛ ; X/ !! HomCRf .U˛ˇ ; X/
˛2L ˛;ˇ 2L
is exact, where U˛ˇ D U˛ U Uˇ (cf. 2.2.3 (2)). By induction with respect to the
cardinality of the index set I , it suffices to show the asserion in the case I D f0; 1g.
But this case follows promptly from 2.2.16 and the fact that the square diagram as
in 2.2.11 (1) is co-Cartesian.
2.2. (c) General rigid space

Definition 2.2.17. (1) A sheaf F of sets on CRfad is said to be a stretch of coherent
rigid spaces if there exists an inductive system fUi gi 2J of coherent rigid spaces
indexed by a directed set such that
(a) for any i; j 2 J with i j the transitions map Ui ! Uj is a coherent

open immersion and
(b) for any coherent rigid space X we have
F .X/ D lim Hom.X; Ui /
!
i 2J
(that is, F is the inductive limit of the sheaves represented by Ui ).

In this situation, we also say that F is represented by the stretch of the coherent
rigid spaces fUi gi 2J .
(2) A morphism F ! G of sheaves of sets on CRfad is said to be (represented
by) a stretch of coherent open immersions if for any representable sheaf X and any
morphism X ! G of sheaves, F G X is represented by a stretch of coherent rigid
spaces fUi gi 2J and the map F G X ! X coincides with the inductive limit of
fUi ,! Xgi 2J .
Definition 2.2.18 (general rigid space). A sheaf F of sets on CRfad is called a
.general/ rigid space if
(a) there exists a surjective morphism of sheaves

a
YD Y˛ ! F
˛2L
(with the cardinality of the index set L being arbitrary), where each Y˛ is
represented by a coherent rigid space, and
2. Rigid spaces 483
(b) for any ˛; ˇ 2 L the projection

Y˛ F Yˇ ! Y˛
is a stretch of coherent open immersions .2.2.17 .2//.
A morphism 'W F ! G of rigid spaces is, by definition, a morphism of sheaves.

We denote by Rf the category of rigid spaces.
Proposition 2.2.19. Any sheaf representable by a coherent rigid space is a rigid
space. More generally, any stretch of coherent rigid spaces is a rigid space.
The proof is straightforward. Obviously, we have the fully faithful functor
CRf , ! Rf
that maps a coherent rigid space X to the sheaf represented by X.
Definition 2.2.20 (open immersion). Let 'W F ! G be a morphism of rigid spaces.
We say that ' is an open immersion if it is a stretch of coherent open immer-
sions .2.2.17 .2//. A G -isomorphism class of open immersions is called an open
rigid subspace of G .
By the definition of open immersions and 2.2.3 (2), we immediately deduce the
following result.
Proposition 2.2.21. Let U ! X be a coherent open immersion between coherent
rigid spaces. Then, regarded as a morphism between rigid spaces, it is an open
immersion.
Later in 3.5.4 we will show that, conversely, any open immersion between co-
herent rigid spaces are coherent open immersions.
By 2.2.3 and 2.2.15, we have the following proposition.
Proposition 2.2.22. (1) Let U ,! V and V ,! F be two open immersions of rigid
spaces. Then the composite U ! F is an open immersion.
(2) Let G ! F be a morphism of rigid spaces, and U ,! F an open immersion.
Then the fiber product UF G is representable in the category Rf and the morphism
U F G ! G is an open immersion.
2.2. (d) Universally Noetherian and universally adhesive rigid spaces

Definition 2.2.23. A (general) rigid space F is called a locally universally Noethe-
rian (resp. locally universally adhesive) rigid space if it has a covering as in
2.2.18 (a) such that each Y˛ .˛ 2 L/ is a coherent universally Noetherian (resp.
universally adhesive) rigid space (2.1.15). If the covering can be chosen such that
the index set L is finite, then F is said to be a universally Noetherian (resp. univer-
sally adhesive) rigid space.
According to our later terminology in 3.5.1 below, a locally universally Noethe-

rian (resp. locally universally adhesive) rigid space is universally Noetherian (resp.
universally adhesive) if it is quasi-compact.
Using some of the results in ÷3 below, one can show without vicious circle the
following fact: if F is represented by a coherent rigid space, then F is locally
universally Noetherian .resp. locally universally adhesive/ if and only if it is uni-
versally Noetherian .resp. universally adhesive/ in the sense as in 2.1.15. Indeed,
if F , assumed to be representable by a coherent rigid space, is locally universally
Noetherian (resp. locally universally adhesive) in the sense of 2.2.23, then by 3.5.2
we may assume that the covering fY˛ g˛2L is finite. By 3.5.4 we see that each map
Y˛ ! F is represented by a coherent open immersion. Let Y˛ be a universally
rigid-Noetherian (resp. universally adhesive) formal model of Y˛ for each ˛, and
X a formal model of the coherent rigid space that represents F . By 3.1.3, replac-
ing X by an admissible blow-up if necessary, we may assume that X has a Zariski
covering fU˛ g˛2L consisting of quasi-compact open subsets U˛ together with an
admissible blow-up U˛ ! Y˛ for each ˛ 2 L (here we used 3.4.1). Since each
U˛ is universally rigid-Noetherian (resp. universally adhesive), we deduce that X
is universally rigid-Noetherian (resp. universally adhesive).
2.2. (e) Admissible sites

Definition 2.2.24 (small admissible site). For a rigid space F we denote by Fad
the site defined as follows. As a category, it is the category of all open immersions
U ! F and morphisms over F . For an object U ! F the collection of cover-
ings Cov.U/ consists` of familes fU˛ ! Ug˛2L (indexed by an arbitrary set) of
morphisms such that U˛ ! U is an epimorphism of sheaves on CRfad . Note
that this defines a pretopology due to 2.2.3. We denote by Fad the topos associated
to the site Fad .
Note that, if X is a coherent rigid space and F is the general rigid space
represented by X .that is, the image of X by the functor CRf ,! Rf/, then
the site Xad defined in 2.2.6 and the site Fad defined in 2.2.24 are different. We
will see in 3.4.4, however, there exists a canonical morphism of sites Xad ! Fad

inducing an equivalence of topoi Xad ! Fad .
Definition 2.2.25 (large admissible site). We endow the category Rf with the fol-
lowing topology: for any object F of Rf the collection of coverings Cov.F / con-
sists of families of open immersions
` fU˛ ,! F g˛2L (indexed by an arbitrary set)
such that the map of sheaves U˛ ! F on CRfad is an epimorphism. Thanks to
2.2.22, this gives a pretopology on the category Rf. We denote this site by Rfad and
the associated to topos by Rfad .
For a rigid space G the large admissible site RfG ;ad , defined on the obvious
comma category RfG , and the associated topos Rf G ;ad are defined similarly.
2. Rigid spaces 485
2.3 Morphism of finite type

Definition 2.3.1. (1) A morphism 'W X ! Y of coherent rigid spaces is said to be
of finite type if it has a formal model f W X ! Y of finite type (I.1.7.1).
(2) Let 'W X ! Y be a morphism of rigid spaces where Y is a coherent rigid
space. Then ' is said to be locally of finite type if there exists a covering family
fU˛ ,! Xg˛2L of the site Xad , where each U˛ is a coherent rigid space, such
that for any ˛ 2 L the morphism U˛ ! Y is of finite type in the sense of (1).
If, moreover, such a covering family can be taken to be finite, we say that ' is of
finite type.
(3) For a morphism of general rigid spaces 'W X ! Y, we say ' is locally of
finite type (resp. of finite type) if there exists a covering family fV˛ ,! Yg˛2L of
the site Yad , where each V˛ is a coherent rigid space, such that for any ˛ 2 L the
induced morphism X Y V˛ ! V˛ is locally of finite type (resp. of finite type) in
the sense of (2). (Note that X Y V˛ is represented by a rigid space.)
One can show that these definitions are consistent with each other; cf. 3.5.2.
Proposition 2.3.2. (1) An open immersion is locally of finite type.
(2) The composite of two morphisms locally of finite type .resp. of finite type/ is
again locally of finite type .resp. of finite type/. If the composite ı' of morphisms
'W X ! Y and W Y ! Z is locally of finite type, then ' is locally of finite type.
Proof. (1) is clear. We show (2). Let 'W X ! Y and W Y ! Z be morphisms
of finite type. We may assume without loss of generality that X, Y, and Z are
coherent rigid spaces. Take respective formal models f W X ! Y and gW Y 0 ! Z.
Since Y rig Š Y 0 rig , by 2.1.4 we have the following diagram
Y 00 ❇
⑥⑥ ❇❇ 0
⑥ ❇❇
~⑥
⑥ !
X /Y Y0 / Z,
where the two oblique arrows are admissible blow-ups. Consider

f 0 W X 0 D X Y Y 00 ! Y 00 :
By 2.1.6 the morphism f 0 gives another formal model of ', and the composite
g ı 0 ı f 0 , which is of finite type (I.1.7.2 (2) and (4)), gives a formal model of
ı '.
To show the other assertion, take a formal model hW X 00 ! Z 0 of finite type of
the composite ı'. Since there exist admissible blow-ups Z 00 ! Z and Z 00 ! Z 0 ,
one can assume by the base change to Z 00 that Z 0 D Z. Replacing X 00 by a suitable
admissible blow-up, we may assume that there exists a map 00 W X 00 ! X 0 such
that h D g ı 0 ı f 0 ı 00 . Since h is of finite type, we deduce that f 0 ı 00 , which
is a formal model of ', is of finite type (I.1.7.2 (2)).
Proposition 2.3.3. Let 'W X ! Y be a locally of finite type morphism between

rigid spaces. If Y is locally universally Noetherian .resp. locally universally
adhesive/, then so is X.
Proof. We may assume without loss of generality that X and Y are coherent and
that ' has a formal model f W X ! Y of finite type; here, since admissible blow-ups
are of finite type, we may furthermore assume that Y is universally rigid-Noetherian
(resp. universally adhesive). Then X is universally rigid-Noetherian (resp. univer-
sally adhesive) (I.2.1.8).
Proposition 2.3.4. Let 'W X ! Y be a finite type morphism of coherent rigid

spaces. Then there exists a distinguished formal model f W X ! Y of ' of finite type.
Moreover, such formal models are cofinal in the category M' . If Y is universally
adhesive, then such formal models are always of finite presentation.
Proof. The first and the second assertions follow from 1.1.7 applied to the admis-
sible blow-up along an ideal of definition of finite type (cf. 2.1.10). Suppose Y
is universally adhesive (and hence so is X due to 2.3.3). If there exists a distin-
guished formal model as above of finite type consisting of universally adhesive
formal schemes, it is automatically of finite presentation due to I.2.3.1.
2.4 Fiber products of rigid spaces

'
Proposition 2.4.1. For any diagram in Rf of the form X ! Y the fiber
product X Y is representable in Rf.
Proof. We first deal with the case where the rigid spaces X, , and Y are coherent.
f g
Take a diagram X ! S Y in AcCFs such that f rig D ' and g rig D . Then
by I.1.2.5 there exists a fiber product X S Y in AcCFs . The desired coherent
rigid space X Y is then defined to be .X S Y /rig together with the projections
induced from the projections X S Y ! X and X S Y ! Y . By 2.1.6 one sees
easily that this gives a well-defined coherent rigid space, and X Y thus obtained
indeed gives a fiber product of the diagram in question.
In general, first construct the fiber product X Y in the category of sheaves
on the site CRfad . Then it is easy to see by the standard argument, with the aid of
2.2.3 (2), that, by what we have just seen for coherent rigid spaces, the last sheaf is
a rigid space.
Corollary 2.4.2. The quotient functor QW AcCFs ! CRf preserves fiber prod-
ucts.
2. Rigid spaces 487
Proposition 2.4.3. (1) If 'W X ! X 0 and W Y ! Y 0 are two open immersions

.resp. morphisms locally of finite type, resp. morphisms of finite type/ over a rigid
space , then the induced morphism ' W X Y ! X 0 Y 0 is an open
immersion .resp. a morphism locally of finite type, resp. a morphism of finite type/.
(2) If 'W X ! Y is an open immersion .resp. a morphism locally of finite type,
resp. a morphism of finite type/ over a rigid space and 0 ! is a morphism
of rigid spaces, then the induced morphism ' 0 W X 0 ! Y 0 is an open
immersion .resp. a morphism locally of finite type, resp. a morphism of finite type/.
Proof. By 0.1.4.1, we only need to show that for a diagram
'
X !Y Z
of rigid spaces, where ' is an open immersion .resp. a morphism locally of finite
type, resp. a morphism of finite type/, the induced morphism
'Z W X Y Z ! Z
is an open immersion .resp. a morphism locally of finite type, resp. a morphism of
finite type/. We may assume that X, Z, and Y are coherent rigid spaces and that '
is a coherent open immersion (resp. a morphism of finite type, resp. a morphism of
finite type). Then the claim follows from I.1.2.8 (2) and I.1.7.2 (3).
2.5 Examples of rigid spaces

2.5. (a) Rigid spaces of type (V)
Definition 2.5.1. A rigid space of type (V) is a rigid space X locally of finite type
over .Spf V /rig , where V is an a-adically complete valuation ring with a 2 mV nf0g
(cf. 0, ÷9.1). If, in particular, the valuation ring V is of height one, then X is called
a rigid space of type (VR ).
Since the topological ring V is t.u. adhesive (0.9.2.7), the coherent rigid space
.Spf V /rig is universally adhesive, and hence by 2.3.3 any rigid space of type (V) is
locally universally adhesive (2.2.23).
2.5. (b) Rigid spaces of type (N)

Definition 2.5.2. A rigid space of type (N) is a rigid space X that admits an open
covering fU˛ g˛2L consisting of coherent rigid spaces having Noetherian formal
models.
Since any Noetherian adic ring is t.u. adhesive, it follows that any rigid space
of type (N) is locally universally adhesive (2.2.23). It can be shown, with the aid
of 3.1.3 below, that if a coherent rigid space X is of type (N), then X has a Noethe-
rian formal model (Exercise II.3.4).
2.5. (c) Unit disk over a rigid space. Let X be a rigid space. The so-called
.closed/ unit disk over X, denoted by
DnX ;
is the rigid space defined as follows. When X is of the form X D .Spf A/rig ,
where A is an adic ring of finite ideal type, then DnX D .Spf AhhX1 ; : : : ; Xn ii/rig
(cf. 0, ÷8.4) or, what amounts to the same, the coherent rigid space associated to the
formal affine n-space A y n over A (Exercise I.5.1 (1)). Since any rigid space has an
A
admissible covering by open subspaces of the above form, one can define DnX for
general X by patching.
2.5. (d) Projective space over a rigid space. The projective space
n;an
PX
over a rigid space X is constructed as follows. When X is of the form X D

.Spf A/rig , one considers the formal projective space PyXn D PyAn (Exercise I.5.1 (2));
n;an n;an
then set PX D .PyXn /rig . For a general rigid space X one can define PX by
gluing.
Exercises
Exercise II.2.1. Show that in the category Rf of rigid spaces any colimit consisting
of open immersions is representable.
Exercise II.2.2. Consider the category AcFs of all adic formal schemes of finite
ideal type with adic morphisms. Then define the natural functor
AcFs ! Rf
extending QW AcCFs ! CRf (X 7! X rig ).
3 Visualization
The introduction of rigid spaces in the previous section is, so to speak, one of the
two most fundamental starting points of rigid geometry. The other one is the so-
called visualization, which we will discuss in this section. Our definition of rigid
spaces as ‘generic fibers’ of formal schemes, which we have given in the previous
section, is based on the creed that rigid geometry is like a ‘birational geometry’
of formal schemes. Because of this, one can say that the visualization of rigid
spaces is the way to enhance the birational geometric aspect of the rigid geometry.
It does this job by adopting Zariski’s old idea of birational geometry, by means of
3. Visualization 489
the so-called Zariski–Riemann spaces, which we will introduce in ÷3.1. There, the
Zariski–Riemann spaces are first constructed for coherent rigid spaces. Coherent
rigid spaces have formal models by definition, and the Zariski–Riemann space as-
sociated to a given coherent rigid space is defined to be the projective limit of all
formal models. As the admissible blow-ups of an arbitrary formal model comprise
a cofinal part of the totality of all formal models of the coherent rigid space, the
Zariski–Riemann space is equivalently defined as the filtered projective limit of
admissible blow-ups of a fixed formal model.
One of the most significant topological features of the Zariski–Riemann spaces
comes promptly after the definition in Theorem 3.1.2, which asserts that the
Zariski–Riemann space associated to a coherent rigid space is in fact a coherent
sober topological space (0.2.2.1). As stated in the introduction of 0, ÷2, the co-
herence or, especially, the quasi-compactness of the Zariski–Riemann spaces plays
a very important role in our theory of rigid geometry, similarly to how the quasi-
compactness of Zariski’s generalized Riemann spaces, proved by Zariski in 1944,
played one of the most important roles in his works of resolution of singularities
of algebraic varieties. It is also worthwhile remarking that introducing the Zariski–
Riemann spaces as above allows one to have a more lucid picture of what we have
called the ‘birational patching’ in the previous section (cf. 2.2.11). Indeed, the
‘birational patching’ gives the usual topological patching of the Zariski–Riemann
spaces along quasi-compact open subsets. Using this, in particular, the general
construction of Zariski–Riemann spaces associated to a general rigid space can be
given quite naturally.
In the next subsection, ÷3.2, we discuss the structure sheaves on the Zariski–
Riemann spaces. As the Zariski–Riemann spaces are locally given by projective
limits of formal schemes, they have the natural sheaves of rings, simply given by the
inductive limits of the structure sheaves of the formal schemes. This sheaf, called
int
the integral structure sheaf and denoted by OX is, needless to say, an important
object to consider. But, in view of the central tenet of rigid geometry that rigid
geometry is the geometry of ‘generic fibers’ of formal schemes, one has to ‘invert’
int
the ideal of definition in the sheaf OX to obtain the ‘correct’ structure sheaf of
the rigid spaces. This ‘inversion’ of ideals of definition is possible thanks to the
int
fact that the stalk at each point of the integral structure sheaf OX is a valuative
ring (0.8.7.1) with respect to the ideal of definition (3.2.6). The resulting sheaf
of rings, denoted by OX , is the one we take up as the structure sheaf of the rigid
space X, called the rigid structure sheaf or just structure sheaf of X. Since the
integral structure sheaf is, from the viewpoint of rigid geometry, regarded as the
canonical formal model of the structure sheaf, it retains the importance as a natural
object associated to the rigid space. For this reason, when considering visualization
int
of rigid spaces, one should consider the triple ZR.X/ D .hXi; OX ; OX /, the so-
called Zariski–Riemann triple, consisting of the Zariski–Riemann space hXi, the
integral structure sheaf, and the rigid structure sheaf, rather than the locally ringed
space .hXi; OX / alone.
In ÷3.3 we will study the points of Zariski–Riemann spaces. There, we will
see that the notion of points coincides with the one usually called rigid points in
classical rigid geometry. This is the place where valuation rings come into play
in rigid geometry; remember that, as stated in the introduction of 0, ÷6, valuation
rings are the most natural ‘value rings’ at points in rigid spaces, and thus play the
role of fields in algebraic geometry.
Subsection ÷3.4 is devoted to a comparison between admissible topology and
the topology (in the usual sense) of the Zariski–Riemann spaces. In the final Sub-
section, ÷3.5, we consider quasi-compactness and quasi-separateness and show that
these notions for rigid spaces and those for corresponding Zariski–Riemann spaces
coincide.
3.1 Zariski–Riemann spaces

3.1. (a) Construction in the coherent case. Let X be a coherent rigid space, and
take a formal model .X; / of X. Consider the functor SX W BLX ! LRsp from
the category of admissible blow-ups of X (÷1.3) to the category of locally ringed
spaces that maps each admissible blow-up X 0 ! X to the underlying locally ringed
space of X 0 . Consider the corresponding limit
lim SX ()
(cf. 0, ÷1.3 for the notation). Since the functor AIdX ! BLX (cf. 1.3.1 (2)) is
cofinal, one can replace the above limit by the projective limit (0.1.3.2)
lim XJ I
J2AIdX
note that such a limit exists in the category LRsp thanks to 0.4.1.10. Note also
that the limit ./ does not depend on the choice of the formal model X; indeed,
for example, if we change X by an admissible blow-up X 0 of X, then we have
a canonical functor BLX 0 ! BLX (simply by composition; cf. 1.1.10), which is
clearly cofinal, and hence the limits taken along BLX and BLX 0 coincide up to
canonical isomorphisms in the category LRsp. Hence the limit ./ depends only
on X up to canonical isomorphisms.
Definition 3.1.1. The underlying topological space of the limit ./ is called the
Zariski–Riemann space associated to X and denoted by hXi.
Let X be a coherent rigid space, and hXi the associated Zariski–Riemann space.
Let X be any formal model of X. Since hXi is the projective limit of all admissible
blow-ups of X, we have the projection map hXi ! X of locally ringed spaces,
called the specialization map and denoted by
spX W hXi ! X:
Clearly, we have h;i D ; (cf. 2.1.11 for the definition of empty rigid space ;).
More generally, for a scheme X (that is, a 0-adic formal scheme; cf. I.1.1.15) we
have hX rig i D ;.
3.1. (b) Functoriality. Let 'W X ! Y be a morphism in CRf. Then one can take
a formal model f W X ! Y of ', and by 1.1.7 we get a canonical continuous map
h'iW hXi ! hYi
of topological spaces. Thus the formation of the associated Zariski–Riemann spaces

gives rise to a functor
h iW CRf ! Top; ()
where Top denotes the category of topological spaces.
3.1. (c) Topological feature

Theorem 3.1.2. Let X be a coherent rigid space, and hXi the associated Zariski–
Riemann space.
(1) The topological space hXi is coherent (0.2.7.5) and sober (0, ÷2.1. (b)).
(2) For any formal model X of X, the specialization map spX is quasi-compact
(0.2.1.4 (2)), and closed.
Proof. Since the topological space hXi is, by definition, the projective limit of
coherent sober topological spaces with all the transition maps quasi-compact, (1)
follows from 0.2.2.10 (1). Since admissible blow-ups are proper, spX is a closed
map. Hence (2) follows from 0.2.2.14.
By the definition of the projective limit topology, the collection
² ˇ ³
ˇ X is a formal model of X and
spX 1 .U / ˇˇ
U is a quasi-compact open subset of X
gives an open basis of hXi consisting of quasi-compact open subsets. The follow-
ing proposition shows that this collection is actually the set of all quasi-compact
open subsets of hXi.
Proposition 3.1.3. (1) For any quasi-compact open subset U of hXi there exist a
formal model X and a quasi-compact open subset U X such that U D spX 1 .U /.
Moreover, the formal model X here can be taken to be distinguished.
(2) Let X be a coherent adic formal scheme of finite ideal type, and U X a
quasi-compact open subset. Set X D X rig and U D U rig . Then the induced map
hUi ! hXi maps hUi homeomorphically onto the quasi-compact open subset
spX 1 .U / of hXi.
The proposition says that the coherent small admissible site Xad is isomorphic
to the projective limit of the Zariski sites XZar of the formal models.
Proof. Obviously, it is enough to consider the case where hXi is non-empty.

(1) The first assertion follows from 0.2.2.9. Once such a model X and a quasi-
compact open subset U are found, we can similarly find a quasi-compact open sub-
set in any admissible blow-up X 0 of X; indeed, we just take U 0 D X 0 X U so that
U D spX 10 .U 0 /. By 2.1.10, in particular, we can assume that X 0 is distinguished.
(2) Consider the ordered sets AIdX and AIdU as in 1.3.1. The map
AIdX ! AIdU
given simply by restriction is an ordered map and is surjective by I.3.7.15. Hence

the map hUi ! hXi in question is the projective limit of the system of morphisms
fUJjU ! XJ gJ2AIdX . By 1.1.8, these morphisms are open immersions, and we
have UJjU Š XJ X U . Since the fiber product by an open immersion of (formal)
schemes and the fiber product of the underlying sets coincide (I.1.2.7), the desired
result follows from 0.4.1.11.
Proposition 3.1.4. The functor h iW CRf ! Top maps coherent open immersions
to open immersions and preserves finite colimits consisting of coherent open im-
mersions.
Proof. The first assertion follows from 3.1.3 (2). To show the other assertion, it
suffices to show that the functor h i preserves cofiber products by coherent open
immersions. Consider the patching diagram as in 2.2.11, and take, as in the proof
there, the patching Z D X qU Y of coherent adic formal schemes of finite ideal
type by open immersions that represents the patching diagram. Since the restriction
maps AIdZ ! AIdX , AIdZ ! AIdY , and AIdZ ! AIdU are surjective (I.3.7.15),
we have a
lim ZJ D lim XJ lim YJ ;
lim UJ
that is, hX qU Yi D hXi qhUi hYi.

3.1. (d) Non-emptiness

Proposition 3.1.5. Let X be a coherent rigid space and X a distinguished formal
model of X. Then the specialization map spX W hXi ! X is surjective.
Proof. We may assume in view of 3.1.3 that X is affine, X D Spf A. By the
assumption, the adic ring A is I -torsion free, where I A is an ideal of definition.
Note that, in this situation, Y n V .I / is dense in Y . Set Y D Spec A, and consider
the canonical map X D Spf A ! Y D Spec A. Take any admissible ideal J A,
and let Y 0 ! Y be the blow-up along J . The formal completion X 0 ! X is
an admissible blow-up of X, and any admissible blow-up is of this form. Since
Y 0 ! Y is proper and the identity outside V .I /, it is surjective. Hence X 0 ! X is
surjective. Now the assertion follows from 0.2.2.13 (2).
Corollary 3.1.6. The following conditions for a coherent rigid space X are equiv-
alent.
(a) The associated Zariski–Riemann space hXi is non-empty.
(b) There exists a non-empty distinguished formal model of X.
(c) There exists a non-empty formal model X of X with an ideal of definition
of finite type such that X is not -torsion.
(d) X is not an empty rigid space .2.1.11/.
Proof. Implication (a) H) (b) is clear. (b) H) (a) follows from 3.1.5. (b) H) (c)
is trivial. Let us show that (c) H) (b). Let X 0 ! X be the admissible blow-up
along . Since X is not -torsion, X 0 is non-empty. Thus X 0 gives a non-empty
distinguished formal model of X. As (d) H) (b) is trivial, it only remains to show
that (b) H) (d). Suppose that (b) holds, and let X be a formal model of X. Then
there exists a non-empty distinguished formal model X 0 that dominates X (2.1.9
and 2.1.10). Hence X is non-empty, thereby (b) H) (d).
3.1. (e) General construction

Definition 3.1.7 (Zariski–Riemann space for general rigid spaces). (1) Let F be a
sheaf represented by a stretch of coherent rigid spaces fUi gi 2J (2.2.17 (1)). Then
the induced inductive system fhUi igi 2J is a filtered inductive system of topological
spaces such that each transition map is an open immersion (3.1.3 (2)). We set
hF i D limhUi i;
!
i 2J
which is a sober topological space (0.2.1.2). It is clear that hF i does not depend,
up to canonical isomorphisms, on the choice of an inductive system fUi gi 2J rep-
resenting F . The space hF i is called the associated Zariski–Riemann space of F .
For an open immersion 'W F ,! G , where F and G are rigid space represented by
a stretch of coherent rigid spaces, one defines
h'iW hF i ! hG i
in a similar way.
`
(2) Let F be a rigid space, and take Y D ˛2L Y˛ ! F as in 2.2.18. Set
a
hYi D hY˛ i:
˛2L
For each ˛; ˇ 2 L the projections prW Y˛ F Yˇ ! Y˛ are open immersions, and

hence one defines hY˛ F Yˇ i and hpri as in (1). Set
a
hY F Yi D hY˛ F Yˇ i;
˛;ˇ 2L
and similarly for hpri. The maps hpri are local isomorphisms of topological spaces.
Define
hF i D hYi qhYF Yi hYi
` It is easy to see that hF i does not depend on the choice of the

as a topological space.
presentation Y D ˛2L Yi ! F . We call hF i the associated Zariski–Riemann
space of F .
Note that (1) and (2) are consistent with each other due to 3.1.4.
The mapping F 7! hF i is functorial: for a morphism 'W F ! G of rigid spaces
we have the canonically induced map h'iW hF i ! hG i of topological spaces. Thus
the functor ./ in ÷3.1. (b) extends to
h iW Rf ! Top: ()
By the construction of the Zariski–Riemann spaces and 3.1.2 (1), we have the
following result.
Proposition 3.1.8. The topological space hF i for a rigid space F is locally coher-
ent (0.2.2.21) and sober (0, ÷2.1. (b)).
Proposition 3.1.9. The functor h iW Rf ! Top maps open immersions to open
immersions and preserves colimits consisting of open immersions.
Proof. By 3.1.4 one sees that the functor h iW CRf ! Top preserves base change
of coherent open immersions by coherent open immersions. Hence, to show that
h iW Rf ! Top preserves open immersions, it suffices to check that, if 'W F ! G
is an open immersion, where F and G are rigid space represented by a stretch
of coherent rigid spaces, h'iW hF i ! hG i is an open immersion of topological

space; but this is clear from the definition. In order to check that h i preserves
colimits for open immersions, it is enough to show that it preserves finite colimits
for open immersion, since h i obviously preserves filtered inductive limits for open
immersions. But this easily reduces to the case of finite colimits of coherent rigid
spaces, which we have already dealt with in 3.1.4.
3.1. (f) Connectedness

Definition 3.1.10. We say that a rigid space X is connected if the associated
Zariski–Riemann space hXi is connected.
Proposition 3.1.11. A coherent rigid space X is connected if and only if any dis-
tinguished formal model is connected.
Proof. The ‘only if’ part follows from 3.1.5. By 1.1.6, hXi is the projective limit
of a projective system consisting of distinguished formal models. Hence the ‘if’
part follows from Exercise 0.2.9.
3.1. (g) Notation Let us use the following simplified notation for cohomologies
in the sequel.
Notation 3.1.12. (1) Let X be a rigid space and let hXi be the associated
Zariski–Riemann space. For an abelian sheaf F on hXi we write
Hq .X; F / D Hq .hXi; F /
for any q 0. When q D 0, we often denote it by .X; F / or by X .F /. Note
that Hq .X; –/ is the q-th right derived functor of X .
(2) Let 'W X ! Y be a morphism of rigid spaces. Then for any abelian sheaf
F on hXi we write
Rq ' F D Rq h'i F
for any q 0. When q D 0, we often denote it by ' F . Note that Rq ' is the q-th
right derived functor of ' .
3.2 Structure sheaves and local rings

3.2. (a) Integral structure sheaf. Let X be a coherent rigid space, and X a formal
model of X. Recall that the Zariski–Riemann space hXi has been defined as the
underlying topological space of the limit ./ in ÷3.1. (a), taken in the category of
int
locally ringed spaces. Hence it has the canonical sheaf of rings, denoted by OX ,
such that
int
.hXi; OX / D lim SX :
For any point x 2 hXi we have

int
OX;x D lim OXJ ;spX .x/ ;
! J
J2AIdX
where the inductive limit is taken in the category of local rings .with local homo-
morphisms/ .cf. 0.4.1.10/. If U ,! X is a coherent open immersion of coherent
int int
rigid spaces, then by 3.1.3 and 0.4.1.11 we have OX jhUi D OU . Hence one can
int
extend the definition of OX to general rigid spaces X as follows.
Definition 3.2.1 (integral structure sheaf). Let X be a rigid space, and hXi the
int
associated Zariski–Riemann space. The integral structure sheaf, denoted by OX ,
is the sheaf of local rings on the topological space hXi such that for any open
immersion j W U ,! X from a coherent rigid space U we have j 1 OX int int
D OU ,
int
where OU is the one defined as above.
The following proposition is easy to see.
Proposition 3.2.2. (1) If U ,! X is an open immersion of rigid spaces, the in-
int int
duced morphism .hUi; OU / ! .hXi; OX / is an open immersion of locally ringed
spaces.
(2) Let X be a coherent rigid space, and U a quasi-compact open subset of hXi.
Then there exist an open immersion U ,! X from a coherent rigid space such that
int int
the open immersion .U; OX jU / ,! .hXi; OX / is isomorphic to the induced open
int int
immersion .hUi; OU / ! .hXi; OX /.
Definition 3.2.3 (ideal of definition). (1) Let X be a coherent rigid space, and hXi
int
the associated Zariski–Riemann space. An ideal OX is said to be an ideal of
definition of finite type if there exist a formal model X and an ideal of definition of
finite type X such that D .spX 1 X /OX int
.
(2) Let X be a rigid space and hXi the associated Zariski–Riemann space. An
int
ideal OX is said to be an ideal of definition of finite type if for any open
immersion j W U ,! X from a coherent rigid space, jhUi is an ideal of definition
of finite type in the above sense.
The above two definitions (1) and (2) of ideals of definition coincide if X is a
coherent rigid space, that is, if is an ideal of definition of finite type in the sense
of (2); then there exists a formal model X of X and an ideal of definition of finite
type X of X such that D .spX 1 X /OX int
. Recall that, by I.3.7.12, any coherent
rigid space has an ideal of definition of finite type.
Proposition 3.2.4. Let X be a coherent rigid space, and an ideal of definition of
finite type. Then there exists a distinguished formal model X of X and an invertible
ideal of definition X such that D .spX 1 X /OX int
. Moreover, such formal models
are cofinal in the category of all formal models of X.
Proof. Let X be a formal model of X, and X an ideal of definition of finite type

on X such that D .spX 1 X /OXint
. Replacing X by the admissible blow-up along
X , we can make X invertible, and hence X is distinguished.
Corollary 3.2.5. Let X be a rigid space and an ideal of definition of finite type.
int int
Then is an invertible ideal of OX , and hence OX is -torsion free.
Proof. We may assume that X is coherent. By 3.2.4 there exists a formal model
X with an invertible ideal of definition X such that D .spX 1 X /OX int
. Let
0
W X ! X be an admissible blow-up. Then X 0 D X OX 0 is an invertible ideal
of definition (1.1.6). Since lim 0 spX 10 X 0 is an ideal of OX
int
, we have
!X
D lim spX 10 X 0 :
!0
X
int
Using this we easily deduce that OX is -torsion free and that is invertible.
3.2. (b) Rigid structure sheaf

Proposition 3.2.6. Let X be a coherent rigid space, hXi the associated Zariski–
Riemann space, and x 2 hXi a point. Let be an ideal of definition of finite type,
int
and set Ix D x . Then the stalk Ax D OX;x of the integral structure sheaf is
Ix -valuative .0.8.7.1/ and Ix -adically Henselian (0, ÷7.3. (a)).
int
Proof. Let X D X rig and D X OX , where X is an ideal of definition of X of
finite type. Let I D X;spX .x/ . Then Ax is the filtered inductive limit of Iz-adically
z
complete local rings and hence is Henselian with respect to Ix (0.7.3.1).
Let J be an Ix -admissible ideal (0.8.1.2) of Ax . We need to show that J is
an invertible ideal of Ax . Replacing X by an admissible blow-up if necessary, we
may assume that there exists a finitely generated ideal Jz OX;spX .x/ such that
JzAx D J . Now, since we may work locally around x 2 hXi, we can replace X by
any coherent open subspace U X such that x 2 hUi. In view of 3.2.2 (2), this
allows us to replace X by any quasi-compact open neighborhood U X of spX .x/.
We may therefore assume that X is affine, X D Spf A, and, moreover, that A has
a finitely generated ideal of definition I A and an I -admissible ideal JX A
such that I D X and JX OX;spX .x/ D Jz (hence JX Ax D J ). Now consider the
admissible blow-up X 0 ! X along JX . Then JX OX 0 is invertible. Since OX int
is
int
X -torsion free due to 3.2.5, it is JX -torsion free, and hence J D JX OX;x is an
int
invertible ideal of Ax D OX;x , as desired.
Corollary 3.2.7. Let X be a coherent rigid space, hXi the associated Zariski–
Riemann space, and x 2 hXi a point. Then for any ideal of definition of finite
int
type of hXi, we have x D .a/ for a non-zero-divisor a 2 OX;x .
By 0.8.7.8 and 0.8.7.13 we have the following corollary.

Corollary 3.2.8. Let X be a coherent rigid space, hXi the associated Zariski–
Riemann space, and x 2 hXi a point. Let be an ideal of definition of finite
T type of
int
hXi, and set .Ax ; Ix / D .OX;x ; x /. Set Ix D .a/ .cf. 3.2.7/ and Jx D n1 Ixn .

(a) Bx D lim Hom.Ixn ; Ax / D Ax a1 is a local ring, and Vx D Ax =Jx is a
!
n1
N
valuation ring, a-adically separated, for the residue field Kx of Bx , where
Ix Vx D .a/.
N
(b) Ax D ff 2 Bx W .f mod mBx / 2 Vx g.
(c) Jx D mBx .
N
Moreover, Bx is a Henselian local ring, and Vx is Henselian with respect to a-adic
topology.
Definition 3.2.9 (Rigid structure sheaf). Let X be a rigid space. We define a sheaf
of rings OX on its associated Zariski–Riemann space hXi as follows.
(1) If X is a coherent rigid space, then
OX D lim HomO int . n ; OX
int
/;
! X
n>0
where is an ideal of definition of finite type (cf. Deligne’s formula [53], (6.9.17)).
(Exercise II.3.2 verifies that this does not depend on the choice of .)
(2) In general, we construct OX by patching; that is, OX is the sheaf such that
for any open immersion U ,! X from a coherent rigid space, OX jhUi is the one
defined as in (1).
We call the sheaf OX the (rigid) structure sheaf of hXi. By the local description
given in 3.2.8 we have the following proposition.
Proposition 3.2.10. The sheaf OX is a sheaf of Henselian local rings, that is, for
any x 2 hXi the stalk OX;x is a Henselian local ring.
int
3.2. (c) Zariski–Riemann triple. We have so far obtained two sheaves OX and
OX , by which the space hXi is endowed with locally ringed structures in two ways.
Definition 3.2.11. Let X be a rigid space. Then the triple
int
ZR.X/ D .hXi; OX ; OX /
is called the Zariski–Riemann triple associated to the rigid space X.
See ÷A.1 for a general theory of triples.
Convention. By the structure sheaf of a rigid space X we always mean the rigid
structure sheaf OX on hXi, unless otherwise clearly stated.
3.2. (d) Reducedness
Definition 3.2.12. We say that a rigid space X is reduced if the ringed space
.hXi; OX / is reduced in the sense as in 0, ÷4.1.
It will be shown in 6.4.2 that a coherent universally Noetherian rigid space X

is reduced if and only if any distinguished formal model of X is reduced.
3.2. (e) Description of the local rings
Notation 3.2.13. Let X be a rigid space and x 2 hXi. We will often use the
following notations (cf. 3.2.8):
int
Ax D OX;x .
One can always find a coherent open neighborhood of x of the form h.Spf A/rig i
such that the adic ring A has a principal invertible ideal of definition I D .a/.
Considering the invertible ideal
Ix D IAx D aAx
of Ax , one has
1
Bx D A x a
D OX;x , Kx D Bx =mBx ;
T
Jx D mBx D n1 Ixn ;
Vx D Ax =Jx , kx D Vx =mVx .
Let aN be the image of a in Vx . Then Vx is an a-adically
N separated and Henselian
valuation ring with the residue field kx such that Frac.Vx / D Kx , and we have
Ax D ff 2 Bx W .f mod mBx / 2 Vx g.
Note that the objects Ax , Bx , Kx , Jx , Vx , and kx do not depend on the choice

of I D .a/ A. When we want to describe these local data, the following notion
will often prove useful.
Definition 3.2.14. Let X be a rigid space and x 2 hXi a point.

(1) A formal neighborhood of x in X is a pair .U; / consisting of a coherent
adic formal scheme of finite ideal type U and an open immersion
W U D U rig , ! X
such that x 2 hi.hUi/.

(2) By a morphism between formal neighborhoods .U; / and .U 0 ; 0 / we mean

an adic morphism hW U ! U 0 such that the resulting diagram
U rig ◆t ◆
◆◆◆
◆◆'
hrig X
♣♣8
*
♣♣♣♣0

U 0 rig
commutes.
We denote by FNX;x or simply by FNx the category of formal neighborhoods
of x in X. Formal neighborhoods are usually considered up to isomorphism in this
category.
A formal neighborhood U D .U; / is said to be affine if the formal scheme U
is affine. Note here that the category FNX;x is canonically cofiltered, and affine
formal neighborhoods give a cofinal family.
Suppose that X is coherent, and let X be a formal model of X. Then any
quasi-compact Zariski open neighborhood U X of spX .x/ gives rise to a formal
neighborhood .U; i rig/ of x, where i W U ,! X is the inclusion map. By 3.1.3,
considering all quasi-compact Zariski (affine) open neighborhoods of spX 0 .x/ in
any admissible blow-up X 0 of X, one has a system of formal neighborhoods that
gives a cofinal system of quasi-compact open neighborhoods of x in hXi.
Now suppose we are in the situation as in 3.2.13 with X D X rig , where X D
Spf A. We fix a system of affine formal neighborhoods considered together with
embedded formal models
f.U˛ D .Spf A˛ /rig ; j˛ W U˛ D Spf A˛ ,! X˛ /g˛2L
indexed by a directed set L; each U˛ D Spf A˛ is an affine open subset of an

admissible blow-up X˛ of X D Spf A that contains the point sp˛ .x/, where we
denote the specialization map spX˛ W hXi ! X˛ simply by sp˛ . (Here we may
assume that the directed set L has a minimum, say 0 2 L, and A0 D A.) For
˛ ˇ we assume that there exists a commutative diagram
jˇ
Uˇ / Xˇ
ˇ˛

U˛ / X˛
j˛
where ˇ ˛ is an admissible blow-up, such that for ˛ ˇ we have ˛ D

ˇ ˛ ı ˇ . In this situation we have the inductive system of rings fA˛ g˛2L . Note
that, by 1.1.6, each A˛ has the invertible ideal of definition IA˛ D .a/.
Taking L to be the set of all pairs .X 0 ; U 0 / consisting of admissible blow-ups

X of X0 and an affine neighborhood U 0 X 0 of spX 0 .x/ with the ordering defined
0
as above, we can construct a system as above such that the image of the forgetful
rig
map .U˛ ; j˛ W U˛ ,! X˛ / 7! .U˛ ; j˛ / is cofinal in FNX;x .
Proposition 3.2.15. (1) We have the canonical identifications

int
1
Ax D OX;x D lim A˛ and Bx D OX;x D lim A˛ a
:
! !
˛2L ˛2L
(2) Let J˛ for each ˛ 2 L be the ideal of A˛ that is the pull-back of Jx by the
int
map A˛ ! Ax D OX;x . Then Jx D lim J and
!˛2L ˛
Vx D lim A˛ =J˛ :
!˛
int
Proof. By the definition of the sheaf OX (÷3.2. (a)),
int
Ax D lim .U˛ ; OX / D lim lim .X 0 ; OX 0 /;
! ! !0
˛2L ˛2L X
where X 0 in the second limit runs through the totality of all admissible blow-ups of
Spf A˛ . One deduces by a standard argument (cf. 0.1.3.1), using the extension of ad-
missible blow-ups (1.1.9), that the last limit is canonically isomorphic to lim A .
!˛2L ˛
Then the second equality follows immediately. (2) follows from the first equality
of (1) and the exactness of filtered inductive limits (cf. 0.3.1.3).
3.2. (f) Generization maps. Let X be a rigid space, and x; x 0 2 hXi, and suppose
x 0 is a generization of x (cf. 0, ÷2.1. (a)). We have the generization map (0, ÷4.1. (b))
Ax ! Ax 0 : ()
Proposition 3.2.16. The generization map ./ maps Jx to Jx 0 , and induces a

local homomorphism Bx ! Bx 0 . In particular, it induces an injective morphism
Kx ,! Kx 0 , which maps Vx injectively into Vx 0 .
Proof. Since any open neighborhood of x in hXi contains x 0 , we may work in the
setting of 3.2.13, where X D X rig with X D Spf A. Then it is clear that the gener-
ization map Ax ! Ax 0 , which is obviously a-adic, maps Jx to Jx 0 and induces
Bx ! Bx 0 and Vx ! Vx 0 . Since Jx D mBx and Jx 0 D mBx0 , the map Bx ! Bx 0
is a local homomorphism and hence induces the injective morphism Kx ,! Kx 0
between the residue fields. Since Kx D Frac.Vx / and Kx 0 D Frac.Vx 0 /, the mor-
phism Vx ! Vx 0 is injective.
Theorem 3.2.17. Suppose X is locally universally Noetherian (2.2.23).

(1) Let p0 be the prime ideal of Ax D OX;xint
that is the pull-back of the maximal
int
ideal of Ax 0 D OX;x 0 by the generization map Ax ! Ax 0 . Then the induced a-adic
map .Ax /p0 ! Ax 0 is faithfully flat, and .Ax /p0 =.a/ ! Ax 0 =.a/ is an isomorphism.
(2) Set q0 D p0 =Jx . Then the a-adic map .Vx /q0 ! Vx 0 induced by the gener-
ization map Vx ! Vx 0 (3.2.16) is faithfully flat, and the induced map
.Vx /q0 =.a/ ! Vx 0 =.a/
is an isomorphism. In particular, we have the natural isomorphism

1
.Vx /q0 ! Vyx 0
between the a-adic completions.
(3) The generization map Bx ! Bx 0 (3.2.16) is faithfully flat.
Proof. Take a cofinal system of affine formal neighborhoods fU˛ D .SpfA˛ /rig g˛2L
of x as in ÷3.2. (e) and the filtered inductive system fJ˛ g˛2L of ideals as in
3.2.15 (2). Since each affinoid neighborhood hU˛ i of x contains x 0 , replacing the
index set L by a larger directed set, one can form the analogous cofinal system of
affine neighborhoods fU0˛ D .Spf A0˛ /rig g˛2L of x 0 and a filtered inductive system
fJ˛0 g˛2L of ideals such that U˛0 D Spf A0˛ is an affine open subset of U˛ D Spf A˛
for each ˛ 2 L. Indeed, for each ˛ 2 L one can form a cofinal system of open
neighborhoods of x 0 of the form fU0˛; D .Spf A0˛; /rig g2ƒ˛ in U˛ ; hence, one
can replace L by the set f.˛; /W 2 ƒ˛ g, by defining U˛; D U˛ .
Let p0˛ be the open prime ideal of A˛ that is the image of x 0 under the specializa-
tion map sp˛ W hU˛ i ! U˛ D Spf A˛ . We can assume that each A0˛ is a complete
localization of A˛ of the form A0˛ D .A˛ /ff˛ g , where f˛ 2 A˛ is an element not
contained in p0˛ . The sequence of open prime ideals fp0˛ g˛ gives by passage to the
inductive limit the open prime ideal p0 of OX;x int
D lim A corresponding to the
0
!˛2L ˛
generization x .
(1) Since A˛ is a t.u. rigid-Noetherian ring, the canonical map A˛ ! .A˛ /ff˛ g
is flat (0.8.2.18). Hence, by 3.2.15 (1), it follows that the morphism
Ax D lim A˛ ! lim A0˛ D Ax 0
! !
˛2L ˛2L
is flat. To show that .Ax /p0 ! Ax 0 is faithfully flat, it suffices to show that
.Ax /p0 =.a/ ! Ax 0 =.a/ is an isomorphism (0.7.3.6). By the exactness of the func-
tor for filtered inductive limits, we know that the ring .Ax /p0 =.a/ is isomorphic to
the inductive limit
lim .A˛ =.a//pN 0˛ ;
!
˛2L
where pN 0˛ D p0˛ =.a/. Since this limit is obviously isomorphic to lim A0 =.a/,
!˛2L ˛
we have the desired assertion.
(2) By 3.2.16 the map Vx ! Vx 0 is injective, and hence is flat. The pull-back
of the maximal ideal mVx0 is the open prime ideal q0 . To show that .Vx /q0 ! Vx 0
is faithfully flat, it suffices to show that .Vx /q0 =.a/ ! Vx 0 =.a/ is an isomorphism
(0.7.3.6), which follows from the fact that .Ax /p0 =.a/ ! Ax 0 =.a/ is an isomor-
phism, as shown in (1).

(3) follows immediately from (1) due to the equalities Bx D Ax a1 and Bx 0 D

Ax 0 a1 .
3.3 Points on Zariski–Riemann spaces

3.3. (a) Rigid points
Definition 3.3.1. (1) A rigid point of a rigid space X is a morphism of rigid spaces
of the form
˛W T D .Spf V /rig ! X;
where V is an a-adically complete valuation ring .a 2 mV n f0g/.
(2) Let X be a coherent adic formal scheme of finite ideal type. A rigid point
of X is an adic morphism of the form
˛W Spf V ! X;
where V is an a-adically complete valuation ring (a 2 V n f0g).

Two rigid points, ˛W T D .Spf V /rig ! X and ˇW D .Spf W /rig ! X, are

said to be isomorphic if there exists an isomorphism of rigid spaces T ! over
X; the isomorphy of rigid points of X is defined similarly.
Definition 3.3.2. Let X be a rigid space and Y an adic formal scheme of finite
int
ideal type (I.1.1.16). Let ˛W Y ! .hXi; OX / be a morphism of locally ringed
spaces. We say that the map ˛ is adic if for any open immersion U ,! X and an
ideal of definition of finite type of hUi, the ideal .˛ 1 /O˛ 1 .hUi/ is an ideal of
definition of the open formal subscheme ˛ 1 .hUi/ of Y .
Proposition 3.3.3. There exists a canonical bijection between the set of all iso-
morphism classes of rigid points of a rigid space X and the set of all isomor-
int
phism classes of adic morphisms ˛W Spf V ! .hXi; OX / of locally ringed spaces,
where V is an a-adically complete valuation ring, where two such morphisms,
˛W Spf V ! hXi and ˇW Spf W ! hXi, are said to be isomorphic if there exists

an isomorphism of formal schemes Spf V ! Spf W such that the resulting triangle
diagram commutes.
The bijection maps a rigid point ˛W T D .Spf V /rig ! X to the map h˛i; note
that we have h.Spf V /rig i D Spf V (Exercise II.3.3).
int
Proof. We give the inverse map. Let ˛W Spf V ! .hXi; OX / be an adic morphism,
and x the image of the closed point. Take a coherent open subspace U X such
that x 2 hUi. We have ˛.Spf V / hUi. Let U be a formal model of U, and
consider the specialization map spU W hUi ! U . Then the composition spU ı ˛
gives a rigid point of U . Taking rig , we get a rigid point
T D .Spf V /rig ! U , ! X:
In the sequel, by a rigid point of a rigid space X we sometimes mean a mor-
phism of locally ringed spaces as in 3.3.3.
Proposition 3.3.4. Let X be a rigid space.
(1) For x 2 hXi there exists a rigid point of the form
cx ! hXi;
˛x W Spf V mVb 7 ! x;
x
cx is the a-adic completion of Vx .in the notation as in 3.2.13), such that the
where V
induced map of stalks at x is the canonical map
int
Ax D OX;x cx :
!V
(2) Let ˛W Spf V ! hXi be a rigid point such that ˛.mV / D x. Then there
c
exists uniquely an injective homomorphism V c
x ,! V such that V dominates Vx
and the diagram
Spf V ◆˛
◆◆&
8 hXi
rrr
˛x
cx
Spf V
commutes.
Proof. We may assume that X is coherent.
N
(1) Take the a-adic completion Vcx of the a-adically
N separated valuation ring
int c
Vx . The map Ax D OX;x ! Vx induces the inductive system of homomorphisms
cx g, where X 0 runs through all admissible blow-ups X 0 ! X of X,
fOX 0 ;spX 0 .x/ ! V
and hence the projective system of adic morphisms fSpf V cx ! X 0 g. The desired
map ˛x is the projective limit of this system of morphisms.
int
(2) The morphism ˛ gives an a-adic homomorphism OX;x ! V . Since V is
c
a-adically complete, there exists a unique factorizing map Vx ! V . Since the
last map is a-adic, we deduce by 0.6.7.6 that the map V cx ! V is injective. Since
c
˛.mV / D ˛x .mVb / D x, V dominates Vx , as desired.
x
cx ! hXi
Definition 3.3.5. Let x 2 hXi be a point. Then the rigid point ˛x W Spf V
as in 3.3.4 (1) is called the associated rigid point of x.
In the rest of this subsection, X denotes a coherent rigid space. Let
˛W Spf V ! hXi
be a rigid point of X. It defines the point ˛.mV / in hXi. Thus we get a mapping
² ³
isomorphism classes
! hXi; ˛ 7 ! ˛.mV /: ()
of rigid points of hXi
If X is a formal model of X, then we have another mapping

² ³ ² ³
isomorphism classes isomorphism classes
! ; ˛ 7 ! spX ı ˛: ()
of rigid points of hXi of rigid points of X
Note that spX ı ˛ is a morphism of formal schemes, for it is a morphism of locally

ringed spaces, and is adic (and hence continuous).
Proposition 3.3.6. (1) The mapping ./ is surjective. Define an equivalence rela-
tion on the left-hand set generated by the relation given as follows: for rigid
points ˛W Spf V ! hXi and ˇW Spf W ! hXi, ˛ ˇ if there exists an injective
map f W V ,! W such that ˛ ı Spf f D ˇ and W dominates V . Then ./ induces
a bijection
² ³
isomorphism classes ı
! hXi: ./0
of rigid points of hXi
(2) The mapping ./ is bijective.
Note that in (1) the map Spf f W Spf W ! Spf V is automatically adic and that
V D Frac.V / \ W in Frac.W / (cf. (a) in 0.6.2.1). Note also that if ˛ ˇ, then
˛.mV / D ˛.mW /; thus the map ./0 as above is well defined.
For the proof of 3.3.6 we need the following lemma.
Lemma 3.3.7. Let W X 0 ! X be an admissible blow-up and ˛W Spf V ! X a

rigid point. Then there exists a unique rigid point ˛ 0 W Spf V ! X 0 such that the
resulting diagram commutes:
0
X
①;
˛0 ①
①
①
Spf V / X.
˛
Proof. Let J be an admissible ideal of X that gives the admissible blow-up .

Since J is of finite type, the ideal JV of V is invertible (0.6.2.2 (2)). Hence,
there exists a unique factoring map ˛ 0 as above. By I.1.3.6 (1), the morphism ˛ 0 is
adic.
Proof of Proposition 3.3.6. (1) Let x 2 hXi be a point. We use the notation
of 3.2.13. By 3.3.4 (1), we have a mapping x 7! ˛x from the set hXi to the
set of all isomorphism classes of rigid points of X. Clearly, for x 2 hXi we have
˛x .mVyx / D x. Hence ./ is surjective. To show the other half of (1), it suffices
to check that for a rigid point ˛W Spf V ! hXi such that ˛.mV / D x, we have
˛x ˛. But this follows from 3.3.4 (2).
(2) Let ˛W Spf V ! X be a rigid point. Since hXi is the projective limit of all
admissible blow-ups of X, by 3.3.7 we have a unique adic map
h˛iW Spf V ! hXi
such that spX ı h˛i D ˛. This yields a map from the set of all isomorphism classes
of rigid points of X to the set of all isomorphism classes of rigid points of hXi.
By the relation spX ı h˛i D ˛ and the uniqueness of the lifting, this map gives the
inverse to ./.
3.3. (b) Seminorms associated to points. Let X be a coherent rigid space, and
int
OX an ideal of definition of finite type (3.2.3). We have the valuation ring
Vx at x for the field Kx as in 3.2.13. Since Vx is a-adically p separated (where
Ax D .a/), we have the associated height-one prime p D .a/ (0.6.7.4), and
hence we have the corresponding height-one valuation on the field Kx with the
valuation ring Vp . We can then define, choosing a once for all fixed real number
0 < c < 1, the corresponding (non-Archimedean) norm (0, ÷6.3. (c)), denoted by
k kx; ;c W Kx ! R0 ;
uniquely determined by kakx; ;c D c. It is clear that another choice of and c
only leads to an equivalent norm.
For f 2 .X; OX / and x 2 hXi, we denote by f .x/ the image of f under the
composite map
.X; OX / ! Bx .D OX;x / ! Kx .D Bx =mBx /;
and write
kf .x/k ;c D kf .x/kx; ;c :
This construction yields a mapping (denoted also by k kx; ;c )
k kx; ;c W .X; OX / ! R0 ; f 7 ! kf .x/k ;c ;
which is a multiplicative seminorm on the ring .X; OX /, that is
k0kx; ;c D 0; k f kx; ;c D kf kx; ;c ;

kf C gkx; ;c maxfkf kx; ;c ; kgkx; ;c g;
kf gkx; ;c D kf kx; ;c kgkx; ;c ;
k1kx; ;c D 1.
Proposition 3.3.8. Let x; x 0 2 hXi, and suppose that x 0 is a generization of x.

Then we have the equality of the seminorms on .X; OX /:
k kx; ;c D k kx 0 ; ;c :
Proof. In view of 3.2.16, we have the generization map Kx ,! p Kx 0 that maps

0
Vx into Vx 0 . Consider the associated height-one prime
p p D aVx 0 of Vx 0 ; in
view of 0.6.7.6, the prime p D p0 \ Vx is equal to aVx and hence is the associ-
ated height-one prime of Vx . In particular, we have the local injective morphism
Vx;p ,! Vx 0 ;p0 and hence the injective mapping Kx =Vx;p

,! Kx0 =Vx0 ;p0 between
the value groups. Since this is an ordered mapping between the totally ordered sets
isomorphic to R mapping the class of a to the class of a, it is an ordered isomor-
phism. The claimed equality follows from this.
3.3. (c) Spectral seminorms. Let X and as in ÷3.3. (b). For f 2 .X; OX /
we set
kf kSp; ;c D sup kf .x/k ;c ;
x2hXi
which defines the map
k kSp; ;c W .X; OX / ! R0 :
It is easy to see that k kSp; ;c gives a seminorm on the ring .X; OX /, that is
k0kSp; ;c D 0; k f kSp; ;c D kf kSp; ;c ;

kf C gkSp; ;c maxfkf kSp; ;c ; kgkSp; ;c g;
kf gkSp; ;c kf kSp; ;c kgkSp; ;c ;
k1kSp; ;c D 1.
We called this the spectral seminorm on X. Clearly, changing and c only leads
to an equivalent seminorm.
3.4 Comparison of topologies

Proposition 3.4.1. Let fj˛ W U˛ ,! F g˛2L be a collection of open immersions of
rigid spaces. The following conditions are equivalent.
(a) fj˛ W U˛ ,! F`g˛2L is a covering family in the site Fad or, equivalently, in
Rfad .that is, ˛2L U˛ ! F is an epimorphism of sheaves on CRfad /.
(b) fhj˛ iW hU˛S
i ,! hF ig˛2L is a covering of the topological space hF i .that
is, hF i D ˛2L h˛ i.hU˛ i//.
Lemma 3.4.2. Let j W U ,! X be a coherent open immersion of coherent rigid

spaces. Then the following conditions are equivalent.
(a) j is an isomorphism.
(b) The singleton set fj W U ,! Xg is a covering in the coherent small site Xad .
(c) The singleton set fj W U ,! Xg is a covering in the large admissible site
Rfad .
(d) hj i is an isomorphism.
Proof. The equivalence of (a) and (b) is obvious. The implication (a) H) (c) is
clear. Suppose (c) holds and hj i is not an isomorphism. Since hj iW hUi ,! hXi
is an open immersion of locally ringed spaces, this means that hj i is not surjective,
and hence there exists x 2 hXi not lying in the image of hj i. Consider the associ-
cx /rig ! X. By definition of the coverings in the site Rfad
ated rigid point ˛x W .Spf V
(2.2.25), this should come from a map .Spf V cx /rig ! U, which contradicts what
we have supposed, since this implies that x lies in the image of hj i. Finally, we
show (d) ) (a). Suppose hj i is an isomorphism. In view of 2.2.1 there exists a dis-
tinguished formal model U ,! X of j . It suffices to show that U D X. Suppose
X n U is non-empty, and take a point x 2 X n U . By 3.1.5 there exists a rigid point
˛W Spf V ! X such that ˛.mV / D x. In view of 3.3.6 (2) there exists a unique lift
Q Spf V ! hXi of ˛. By 3.1.3 the point ˛.mV / lies outside hUi in hXi, which is
˛W
absurd.
Proof of Proposition 3.4.1. That (a) H) (b) follows from 3.1.9. Let us prove that
(b) H) (a). If fj˛ W U˛ ,! F g˛2L is not a covering, then there exists a coherent
open rigid subspace V of F such that fj˛ W U˛ F V ,! V g˛2L is not a cover-
ing. Hence, to show (a), we can assume that F is coherent. In this case, since
hF i is quasi-compact, it is covered by only finitely many of hU˛ i. Hence we can
assume that L is a finite set. Moreover, since hF i has an open basis consisting of
quasi-compact open subsets, we can assume that each U˛ is a coherent rigid space.
Let U be the rigid space defined by the quotient of sheaves

a a
U˛ F Uˇ ! ! U˛ ! U:
˛;ˇ 2L ˛2L
Thanks to 2.2.13 and the exactness of CRf ! Rf ad , U is represented by a coherent

rigid space, and the canonical morphism j W U ! F is a coherent open immer-
sion (2.2.15). Then the assertion follows from 3.1.4 and 3.4.2.
Corollary 3.4.3. Let X be a coherent rigid space, and fU˛ ,! Xg˛2L a covering
family in the small admissible site Xad .2.2.24/, where X is regarded as a general
rigid space. Then the covering family fU˛ ,! Xg˛2L can be refined by a covering
family in the coherent small admissible site (2.2.5). In particular, there exists a
finite subset L0 L such that fU˛ ,! Xg˛2L0 gives a covering in the site Xad .
Proof. Considering a covering of each U˛ by coherent rigid spaces, we may as-
sume that each U˛ is coherent. Then by 3.4.1 and by the fact that hXi is quasi-
compact due to 3.1.2 (1), we have a finite subset L0 L such that fU˛ ,! Xg˛2L0
already gives a covering. By 3.4.2, this gives a covering in the coherent small
admissible site, as desired.
Let F be a rigid space represented by a coherent rigid space X. Let Fad denote
the small admissible site as in 2.2.24, and Xad the coherent small admissible site as
in 2.2.5. There exists a canonical comparison morphism of sites
Xad ! Fad ()
obtained as follows. Consider the obvious functor of categories Xad ! Fad that
maps U ,! X to the associated morphism of the representable functors. To see
that the functor in question is a morphism of sites, it suffices to show that it maps
coverings to coverings, since it is obvious that coherent open rigid subspaces of X
and coherent open immersions generate the site Fad . But this follows from 3.4.1,
since a covering in the coherent site Xad induces an open covering by passage to
the associated Zariski–Riemann spaces (3.1.4). Since by 3.4.3 the topology on Fad
is generated by the topology on Xad , we have the following theorem.
Theorem 3.4.4. The morphism of sites ./ gives rise to an equivalence of topoi

Xad ! Fad :
Let F be a rigid space. Then for any open immersion U ,! F the induced
map hUi ! hF i is an open immersion of topological spaces (3.1.9). Hence one
has a natural functor
Fad ! Ouv.hF i/; ()
where Ouv.hF i/ is the category of open subsets of hF i. We claim that there exists
a canonical morphism of sites
Ouv.hF i/ ! Fad ()
underlied by the functor ./. By 3.1.9, the above functor maps all covering fami-
lies to open coverings of hF i. By 3.1.8, the topological space hF i has a generator
consisting of quasi-compact open subsets coming from coherent open rigid sub-
spaces of F . Hence we deduce that ./ induces a morphism of sites as above.
Theorem 3.4.5. Let F be a rigid space and hF i the associated Zariski–Riemann

space. Then the morphism ./ of sites induces an equivalence of topoi

top.hF i/ ! Fad ;
where top./ is the functor giving the associated topos.
Proof. We may assume that F is represented by a coherent rigid space. Then the
assertion follows from 3.1.3 and 3.4.1.
Theorem 3.4.6. The canonical functor CRf ,! Rf gives rise to a morphism of

sites CRfad ! Rfad . The site Rfad is generated by the objects in the image of
CRf ,! Rf. In particular, the topos Rf
ad .and, similarly, RfG ;ad for a rigid space
G / is generated by quasi-compact objects.
Proof. It is clear that the functor CRf ,! Rf gives rise to a morphism of sites
CRfad ! Rfad . By 3.4.3, the site Rfad is generated by the objects in the image of
CRf ,! Rf. Finally, by the second assertion of 3.4.3, the image of CRf ,! Rf
consists of quasi-compact objects.
3.5 Finiteness conditions and consistency of terminologies

3.5. (a) Finiteness conditions
Definition 3.5.1. (1) A rigid space F is said to be quasi-compact if it is quasi-

compact as an object of the topos CRf ad (cf. 0.2.7.3 (1)).
(2) A rigid space F is said to be quasi-separated if it is quasi-separated as an
object of the topos CRfad , that is, the diagonal map F ! F F of sheaves is
quasi-compact (cf. 0.2.7.3 (2)).
` that if a rigid space F is quasi-compact, then one can take the covering
Note
Y D ˛2L Y˛ as in 2.2.18 (a) with the index set L finite.
Proposition 3.5.2. A rigid space F is quasi-compact and quasi-separated if and

only if it is represented by a coherent rigid space.
This proposition allows us to say consistently that a rigid space F is coherent
if it is quasi-compact and quasi-separated.
Proof.`Suppose F is quasi-compact and quasi-separated. Take a surjective map
Y D ˛2L Y˛ ! F as in 2.2.18, where L is finite. Since F is quasi-separated,
each Y˛ F Yˇ is quasi-compact. Since F is covered by finitely many stretches
of coherent rigid spaces, it is covered by finite stretches of coherent rigid spaces
(2.2.17 (1)) and hence is coherent. Then one can refine the covering
a
YD Y˛ ! F
˛2L
so that each projection Y˛ F Yˇ ! Y˛ is a coherent open immersion. Hence

F is isomorphic to the coherent rigid space Y qYF Y Y. Note that since the
canonical functor from a site to the associated topos is exact, it preserves finite
cofiber products.
Proposition 3.5.3. A rigid space F is quasi-separated if and only if it is a stretch
of coherent rigid spaces (2.2.17 (1)).
Proof. The ‘if’ part is clear. Suppose F is quasi-separated, and take
a
YD Y˛ ! F
˛2L
as in 2.2.18. Let L`be the set of all finite subsets of L considered with the inclusion
order. Set YL0 D ˛2L0 Y˛ for any L0 2 L, and let XL0 be the image of YL0 . Then
XL0 is quasi-compact and quasi-separated and hence is represented by a coherent
rigid space by 3.5.2. Since F D lim 0 XL0 , we are done.
!L 2L
3.5. (b) Consistency of open immersions. The following propositions shows that
the terminologies ‘open immersion’ and ‘coherent open immersion’ are consistent.
Proposition 3.5.4. Let U and X be coherent rigid spaces and W U ,! X an
open immersion. Then is a coherent open immersion. Moreover, it is coher-
ent (0.2.7.4 (3)) as an arrow in the topos Rf
ad .
Proof. One can write U as the union of an increasing sequence of coherent open
rigid subspaces fUi g such that each Ui ,! X is a coherent open immersion. Since
U is quasi-compact as an object of Rf ad (3.4.3), there is an i such that U D Ui ,
and hence is a coherent open immersion. The last assertion follows from 2.2.3
and 3.5.2.
3.5. (c) Rigid space as quotient. The following proposition follows immediately
from the definition of rigid spaces.
Proposition 3.5.5. Let Y be a rigid space, and R an equivalence relation in the
sheaf Y Y on the site CRfad with the projection maps
q1
R // Y
q2
such that there exists a covering family fV˛ ! Rg such that qi W V˛ ! Y for each
i D 1; 2 and any ˛ is an open immersion. Then the quotient F of Y by R is a rigid
space.
3.5. (d) Consistency of finiteness conditions

Proposition 3.5.6. Let F be a rigid space. Then the topos Fad is algebraic
(0.2.7.5). Moreover, the following conditions are equivalent.
(a) F is quasi-separated .resp. coherent/.
(b) Fad is quasi-separated .resp. coherent/.
Proof. Let C be the set of all objects in Fad represented by coherent rigid spaces.
Then C generates the topos Fad (by 3.4.3). Clearly, C is stable under fiber products
and equalizers. Hence Fad is algebraic. Suppose F is quasi-separated. Then C
is further stable under products (over F ). Hence Fad is quasi-separated. If F is
coherent, then C is stable under all finite colimits, and hence Fad is coherent. Thus,
(a) H) (b). If, conversely, the topos Fad is quasi-separated, then F is a colimit of
coherent rigid spaces for which all transition maps are open immersions. Hence by
a similar reasoning as in 3.5.3 one sees that F is a stretch of coherent rigid spaces
and hence is quasi-separated. If Fad is coherent, then such a colimit is taken to be
finite, and hence F is coherent.
Proposition 3.5.7. Let F be a rigid space and let hF i be the associated Zariski–
Riemann space. Then the following conditions are equivalent.
(a) F is quasi-compact .resp. quasi-separated, resp. coherent/.
(b) hF i is quasi-compact .resp. quasi-separated, resp. coherent/ (cf. 0.2.1.4,
0.2.1.8, and 0.2.2.1).
Proof. Implication (a) H) (b) is clear by the construction of hF i and 3.1.2 (1). If
hF i is quasi-compact, then F is quasi-compact by 3.4.1. If hF i is quasi-separated
(resp. coherent), then the topos hF i is quasi-separated (resp. coherent), and hence
so is Fad by 3.4.5. But then by 3.5.6 we deduce that F is quasi-separated (resp.
coherent).
3.5. (e) Rigid spaces associated to adic formal schemes. Let X be an adic for-
mal scheme of finite ideal type, which is not necessarily coherent. We are going to
construct the associated rigid space X rig .
(1) Suppose X is coherent. In this case, we just take X rig as in ÷2.1. (a); the
resulting rigid space X rig is, therefore, coherent.
(2) Suppose X is quasi-separated. In this case, since X is locally coherent, there
exists an increasing family fUi gi 2I (where I is a directed set) of coherent
S rig
open subsets such that X D Ui . Then consider Ui for each i , and note
rig rig
that the induced morphism Ui ! Uj is a coherent open immersion for any
rig
i j . Thus we get the desired rigid space X rig by taking the union of Ui ;
note that the rigid space X in this case is a stretch of coherent rigid spaces
and hence is quasi-separated (3.5.3).
S
(3) In general, let X D ˛2L U˛ be an open covering by coherent open subsets.
rig
For each ˛ 2 L, consider U˛ as in (1). Since each intersection U˛ \ Uˇ is
quasi-separated, one can consider the rigid space .U˛ \Uˇ /rig as in (2). Since
rig
.U˛ \ Uˇ /rig ! U˛ is obviously an open immersion, one can define X rig by
rig
patching all U˛ along .U˛ \ Uˇ /rig .
Exercises
Exercise II.3.1 (Deligne’s formula). Let .X; Z/ be a universally pseudo-adhesive
pair of schemes such that X is coherent. Denote the defining ideal of Z by Z . Set
U D X n Z, and let j W U ,! X be the canonical open immersion. Then for any
finitely presented OX -module F and a quasi-coherent OX -module G , the canonical
map
n
lim HomOX . Z F ; G / ! HomOU .F jU ; G jU /
!
n0
n
is bijective. In particular, we have lim Hom. Z ; G / ! .U; G /.
!n0
Exercise II.3.2. Let X be a quasi-compact rigid space and ; 0 OX int
ideals of
definition of finite type. Show that there exist integers n; m > 0 such that m
0n .
Exercise II.3.3. Let T D Spf V , where V is an a-adically complete valuation
ring with a 2 mV n f0g, and consider the associated coherent rigid space T D T rig .
Show that the topological space hT i is homeomorphic to the underlying topological
space of T and, moreover, that
(a) the integral structure sheaf OTint is isomorphic to OT , and

(b) the rigid structure sheaf OT is isomorphic to OT a1 .
Exercise II.3.4. Show that the following conditions for a coherent rigid space X
are equivalent.
(a) X has a Noetherian formal model.
(b) There exists a cofinal family fX g2ƒ of formal models of X consisting of
Noetherian formal schemes.
(c) Any quasi-compact open subspace U of X has a Noetherian formal model.
(d) There exists an open covering fU˛ g˛2L of the coherent small admissible
site Xad such that each U˛ has a Noetherian formal model.
4 Topological properties
In this section we study several topological aspects of rigid spaces. Most of the
topological properties, which capture several geometric structures of rigid spaces,
are defined and discussed in terms of the associated Zariski–Riemann spaces and
are often easily grasped simply by point-set topology. Many of the statements
in this section will be, therefore, recasts of general topology statements, already
discussed in 0, ÷2.
The main aim of ÷4.1 is to show that for any rigid space X the associated
Zariski–Riemann space hXi, which we have already shown to be locally coher-
ent and sober (3.1.8), is a valuative space (0.2.3.1). The proof of this fundamental
result requires a careful study of generizations and specializations of points of adic
formal schemes of finite ideal type, especially their behavior under passage to the
admissible blow-ups. It turns out that, for a given point of the associated Zariski–
Riemann space, the corresponding rigid point carries all generizations of the point.
In ÷4.3 we study the separated quotient of the associated Zariski–Riemann
spaces (cf. 0, ÷2.3. (c)). It will turn out that the separated quotient is, as a set,
the subset of the Zariski–Riemann space consisting of the points of height 1.
A good thing about separated quotients is that they have nice topological features;
for example, the separated quotient of the Zariski–Riemann space associated to a
coherent rigid space is a compact1 space.
4.1 Generization and specialization

Proposition 4.1.1. Let X D X rig be a coherent rigid space, and x; y 2 hXi. Then
y is a generization (0, ÷2.1. (a)) of x if and only if for any admissible blow-up
X 0 ! X, spX 0 .y/ is a generization of spX 0 .x/ in X 0 .
To show this, we need the following preparatory lemma.
1
Recall that, as mentioned in the introduction, all compact topological spaces are assumed to be Haus-
dorff.
4. Topological properties 515
Lemma 4.1.2. Let X be a coherent adic formal scheme of finite ideal type, and
X D X rig . Let F hXi be a subset.
(1) For any X 0 2 obj.BLX / we have
spX 0 .Fx/ D spX 0 .F /;
where Fx is the closure of F in hXi, and spX 0 .F / is the closure of spX 0 .F / in

X 0.
(2) We have
\
Fx D spX 10 .spX 0 .F // D lim spX 0 .F /:
X 0 2obj.BLX / X 0 2obj.BLX /
Proof. Since each spX 0 is a closed map (3.1.2 (2)), (1) holds. Then (2) follows
from 0.2.2.19 (2).
Proof of Proposition 4.1.1. Suppose y is a generization of x, and set C D fyg.
By 4.1.2, spX 0 .C / D fspX 0 .y/g. Hence spX 0 .x/ is a specialization of spX 0 .y/. Con-
versely, suppose spX 0 .y/ is a generization of spX 0 .x/ for any X 0 , and set
C D fyg. By 4.1.2 (2),
C D lim fspX 0 .y/g;
X 0 !X
and so x 2 C , as desired.
Proposition 4.1.3. Let X be a coherent rigid space and x 2 hXi. Let
c
˛x W Spf V x ! hXi
cx bijectively
be the associated rigid point of x (3.3.5). Then ˛x maps the set Spf V
onto the set of all generizations of x.
Proof. Let us first show that any point in the image of ˛x is a generization of x.
Let y D ˛x .p/ for p 2 Spf V cx , and X a formal model of X. By 4.1.1, it suffices to
show that for any admissible blow-up X 0 ! X the point spX 0 .y/ is a generization
of spX 0 .x/. But this is clear, since p is a generization (in Spf Vcx ) of m .
bx
V
Conversely, suppose y is a generization of x, and let us show that there exists
a unique p 2 Spf V c x such that y D ˛x .p/. For any admissible blow-up X ! X,
0
find the prime ideal pX 0 of OX 0 ;spX 0 .x/ that corresponds to the generization spX 0 .y/.
The system fpX 0 g defines an ideal (easily seen to be prime) of the inductive limit
int
Ax D OhXi D lim 0 O 0 ; denote this by p. Since each pX 0 is open, p is
!X !X X ;spX 0 .x/
an open ideal with respect to the Ix -adic topology. Moreover, it is straightforward
to see that p contains Jx (in the notation as in 3.2.13); indeed, as one can easily
verify, the ideal pX 0 Ax contains Jx for any X 0 ! X. Hence p determines a prime
ideal of Vx , which we again denote by p. Then by 0.9.1.1 (5) we find that ˛x maps
cx bijectively onto the set of all generizations of x.
Spf V
4.1.3, 3.3.4 (2), and 0.6.7.6 immediately yield the following corollary.
Corollary 4.1.4. Let X be a coherent rigid space and ˛W Spf V ! hXi a rigid
point. Then ˛ maps the set Spf V surjectively onto the set of all generizations of
˛.mV /.
As in 0, ÷2.1. (a), for any point x 2 hXi we denote the set of all generizations
of x in hXi by Gx , and consider the order on Gx defined as follows: y z if z is
a generization of y.
Corollary 4.1.5. The set Gx equipped with the above order is a totally ordered set.
Proof. This follows immediately from the fact that Gx is the bijective image under
an order preserving map of Spf V cx with the order by inclusion, and that Spf V
cx is
cx is a valuation ring; cf. 0.6.2.1 (c)).
totally ordered (since V
Definition 4.1.6. Let X be a rigid space and x 2 hXi a point of the associated
Zariski–Riemann space.
(1) The height of the point x is the height of the associated valuation ring Vx
(defined as in 3.2.13). Note that this definition coincides with the one already
given in 0, ÷2.3.
(2) A generization y of the point x is called the maximal generization if it is the

maximal element in the ordered set Gx as in 4.1.5.
The maximal generization of x is, if it exists, uniquely determined, since Gx is

totally ordered (4.1.5).
Proposition 4.1.7. Let X be a coherent rigid space and x 2 hXi a point of the as-
sociated Zariski–Riemann space. Then the maximal generization of x exists. More-
over, the following conditions for a point y 2 hXi are equivalent.
(a) y is the maximal generization of x.

(b) y is a generization of x and is of height one.
(c) There exists a rigid pointp˛W Spf V ! hXi such that ˛.mV / D x and
˛.pV / D y, where pV D .a/ is the associated height-one prime .0:6.7.4/.
pV ! hXi such that ˛.mV / D x, we have

(d) For any rigid point ˛W Spf
˛.pV / D y, where pV D .a/.
cx ! hXi. By 4.1.3 and 0.6.7.5, the

Proof. Take the associated rigid point ˛x W Spf V p
image xQ of the associated height one prime pVyx D .a/ is the maximal generiza-
tion of x, whence the existence. The equivalence of the above conditions follows
immediately from 3.3.4 and 0.6.7.6.
Corollary 4.1.8. Let X be a rigid space and hXi the associated Zariski–Riemann
space. Then the topological space hXi is valuative (0.2.3.1). Moreover, for any
morphism 'W X ! Y of rigid spaces the induced map h'iW hXi ! hYi between
the associated Zariski–Riemann spaces is valuative (0.2.3.21).
Proof. By 3.1.8 the topological space hXi is locally coherent (0.2.2.21) and sober
(0, ÷2.1. (b)) and is valuative due to 4.1.5 and 4.1.7. The last assertion follows from
4.1.7.
4.2 Tubes
4.2. (a) Tubes. The following statements are recasts of already proven ones; see
0.2.2.27, 0.2.3.5, and 0.2.3.7.
Theorem 4.2.1. Let X be a rigid space and U ,! hXi a retrocompact (0.2.1.7)

open subset of hXi. Then [
xD
U fxg:
x2U
x is the set of all specializations of points of U.

In other words, the closure U
Corollary 4.2.2. Let X be a rigid space and U ,! hXi a retrocompact open subset
of hXi. For x 2 hXi to belong to U x it is necessary and sufficient that the maximal
generization xQ of x belongs to U.
Proposition 4.2.3. Let X be a rigid space, and fU˛ g˛2L a family of retrocompact
open sets of hXi. Then
\ \
U˛ D U˛ :
˛2L ˛2L
Definition 4.2.4 (cf. 0.2.3.4). Let X be a rigid space. A tube closed subset of X is
a closed subset of hXi of the form Ux for a retrocompact open subset U hXi. The
complement of a tube closed subset is called a tube open subset. Tube closed and
tube open subsets are collectively called tube subsets.
Let X be a coherent adic formal scheme of finite ideal type, and Y a closed
subscheme of X of finite presentation defined by an admissible ideal (cf. I.3.7.7).
We set
CY jX D spX 1 .Y /ı ;
where . /ı denotes the topological interior kernel. The subset CY jX hX rig i

is called the tube of Y in X. Note that CY jX depends only on the topological
structure of Y . There is a canonical projection map CY jX ! Y induced from the
specialization map spX , which is clearly continuous.
Proposition 4.2.5. Let X be a coherent adic formal scheme of finite ideal type, and
Y a closed subscheme of X of finite presentation defined by an admissible ideal.
Then the subset CY jX is a tube open subset of X rig . Conversely, any tube open
subset of the coherent rigid space X is of this form for some X and Y .
Proof. Let U D X n Y , which is a coherent open subset of X, and U D spX 1 .U /.
Then CY jX is the complement of U, x whence the first assertion. Conversely, let U
be a quasi-compact open subset of hXi. We want to show that its complement
C D hXi n U x is of the form CY jX . Take a formal model X and a quasi-compact
open subset U X such that spX 1 .U / D U. Since U is quasi-compact, there exists
a closed subscheme Y of X0 of finite presentation with the underlying topological
space X n U (Exercise 0.5.1). Then we have C D CY jX .
The following statements are transcriptions of 0.2.3.6 and 0.2.3.8.
Proposition 4.2.6. Let X be rigid space, and C D .hXi n U/ı .where U hXi
is retrocompact open/ a tube open subset. Then a point x 2 hXi belongs to C if
and only if the maximal generization xQ does not belong to U. In particular, every
height-one point of hXi n U lies in C .
Proposition 4.2.7. (1) Any finite union of tube closed .resp. tube open/ subsets is
a tube closed .resp. tube open/ subset.
(2) Any finite intersection of tube closed .resp. tube open/ subsets is a tube
closed .resp. tube open/ subset.
4.2. (b) Explicit description

Proposition 4.2.8 (closure formula). Let X be a coherent adic formal scheme of
finite ideal type, Y X a closed subscheme of X defined by an admissible ideal
JY , and U D XnY the open complement. Let X D X rig be the associated coherent
rigid space, and set U D spX 1 .U /, where spX W X ! X is the specialization map.
Let be an ideal of definition of X, and n W Xn ! X the admissible blow-up along
Jn D C JYn . Then
\
xD
U spXn1 .Vn /;
n1
where Vn is the maximal open subset of Xn such that Jn OXn jVn D JYn OXn jVn for
n 1.
Proof. Let D be the right-hand side of the formula. We first show that for x 2 hXi
to belong to D it is necessary and sufficient that the maximal generization xQ of
x belongs to U. Let x 2 hXi and take V D Vx (as in 3.2.13). Let I and J be
the pull-back ideals of V of and JY , respectively, which are principal. By the
definition, a point x lies in D if and only if I is divisible by J n for any n 1. But
the last condition is equivalent to J V 0 D V 0 , where V 0 is the height-one valuation
ring associated to V , and hence is also equivalent to xQ 2 U. By 4.2.2, x 2 D if and
x and hence that D D U.
only if x 2 U, x
Proposition 4.2.9 (open interior formula). Let X be a coherent adic formal scheme
of finite ideal type, and Y X a closed subscheme of X defined by an admissible
ideal JY , and consider the associated coherent rigid space X D X rig . Let be an
ideal of definition of X. For n 1 we set Jn D C JYn , and let n W Xn ! X be
the admissible blow-up along Jn . Then
CY jX D spX 1 .Y /ı D lim spXn1 .Un /; ()

!
n1
where Un for each n 1 is the open subset of Xn that is maximal among the open
subsets U of Xn such that Jn OXn jU D OXn jU .
Note that the open subsets Un are quasi-compact. To prove the proposition, we
need the following lemma.
Lemma 4.2.10. Let X and Y be as in 4.2.9, and denote the right-hand side of ./
by C 0 .
(1) We have C 0 spX 1 .Y /.
(2) For x 2 hXi .where X D X rig / to belong to C 0 it is necessary and sufficient

that the maximal generization xQ of x belongs to spX 1 .Y /. In particular, every
height-one point of spX 1 .Y / belongs to C 0 .
Proof. (1) Let x 2 C 0 , and take V D Vx (as in 3.2.13). Let I and J be the pull-
back ideals of V of and JY , respectively, which are principal. By the definition
of C 0 there exists n 1 such that J n is divisible by I . Hence spX maps x to a
point in Y .
(2) If x 2 C 0 , then there exists n 1 such that J n is divisible by I , as before.
This implies, a fortiori, that any point of Spf Vy is mapped to a point of Y by the
composition spX ı ˛x ; hence so is, in particular, the height-one point of Spf Vy .
Conversely, if xQ is mapped by spX to a point in Y , then J n is divisible by I for
some n; but this means that x 2 C 0 .
Proof of Proposition 4.2.9. By 4.2.10 (1), it suffices to show the inclusion

CY jX C 0 . Let x 2 CY jX . Suppose that the maximal generization xQ belongs
to U D spX 1 .X n Y /. Then x 2 U. x On the other hand, since U and sp 1 .Y / are
X
disjoint, we deduce that Ux and CY jX are disjoint, which contradicts x 2 U. x Hence
1
xQ does not belong to U, and thus xQ 2 spX .Y /. Since xQ is of height one, we deduce
by 4.2.10 (2) that x 2 C 0 , as desired.
Proposition 4.2.11 (norm description of tube subsets). Let X D Spf A, where A is

an adic ring of finite ideal type with a finitely generated ideal of definition I A,
and set X D X rig . Let Y X be a closed subscheme defined by an admissible
ideal J D .f1 ; : : : ; fn / A. Then we have
CY jX D fx 2 hXiW kfi .x/k ;c < 1 for i D 1; : : : ; ng;
int
where D I OX . Here we consider fi ’s as elements of .X; OX / by the map
A ! .X; OX /.
Proof. In view of 4.2.6 and 3.3.8, it suffices to show that
spX 1 .Y / \ ŒX D fx 2 ŒXW kfi .x/k ;c < 1 for i D 1; : : : ; ng:
For any height-one point x 2 ŒX, consider the associated rigid point (3.3.5)
˛W Spf Vyx ! hXi. The composition spX ı ˛W Spf V cx ! X D Spf A is an adic
morphism of formal schemes, hence induces an adic morphism A ! V cx . Now for
i D 1; : : : ; n the inequality kfi .x/k ;c < 1 holds if and only if the image of fi in
Vx lies in the maximal ideal mVx , which is equivalent to, in view of 0.9.1.1 (2), that
the image of fi in V cx lies in its maximal ideal m . Since spX .x/, as an open prime
bx
V
ideal of A, is the inverse image of mVb under the map A ! V cx , this is equivalent
x
to spX .x/ 2 Y .
4.3 Separation map and overconvergent sets

4.3. (a) Separation map. Let X be a rigid space, and consider the associated
Zariski–Riemann space hXi. Consider the separation map (0, ÷2.3. (c))
sepX W hXi ! ŒX; x 7 ! the maximal generization of x;
here ŒX denotes the separated quotient consisting of height-one points of hXi,
cf. (4.1.7).
Proposition 4.3.1 (functoriality; cf. 0.2.3.10). Any morphism f W X ! Y of rigid

spaces induces a unique continuous map Œf W ŒX ! ŒY that makes the following
diagram commutative:
hf i
hXi / hYi
sepX sepY

ŒX / ŒY.
Œf
In other words, the formation of separated quotients is functorial.
4.3. (b) Overconvergent sets and tube subsets

Definition 4.3.2 (cf. 0.2.3.11). Let X be a rigid space, and S a closed (resp. open)
subset of hXi. Then S is said to be overconvergent if for any x 2 S , any generiza-
tion (resp. specialization) of x belongs to S .
Obviously, if S is a overconvergent set, then its complement hXi n S is also
overconvergent. The following statements are special cases of 0.2.3.13, 0.2.3.14,
and 0.2.3.15.
Proposition 4.3.3. Let X be a rigid space, and S a closed or an open subset
of hXi. Then S is overconvergent if and only if S D sepX1 .sepX .S //. .Hence
there exists a canonical bijection between the set of all overconvergent open .resp.
closed/ subsets of hXi and the set of all open .resp. closed/ subsets of ŒX./
Corollary 4.3.4. (1) Any finite intersection of overconvergent open subsets is an
overconvergent open subset. Any union of overconvergent open subsets is an over-
convergent open subset.
(2) Any finite union of overconvergent closed subsets is an overconvergent closed
subset. Any intersection of overconvergent closed subsets is an overconvergent
closed subset.
Proposition 4.3.5. Any tube closed .resp. tube open/ subset of a rigid space is an
overconvergent closed .resp. overconvergent open/ subset.
Definition 4.3.6 (cf. 0.2.3.16). Let X be a rigid space, and consider the separated
quotient ŒX of hXi. A closed (resp. open) subset C of ŒX is said to be a tube
closed (resp. tube open) subset if sepX1 .C / is a tube closed (resp. tube open) subset
of X.
By 4.3.5, there exists a canonical order preserving bijection between the set of
all tube closed (resp. tube open) subsets of X and that of tube closed (resp. tube
open) subsets of ŒX. Due to 0.2.3.17 we have the following proposition.
Proposition 4.3.7. Let X be a coherent rigid space.
(1) For any overconvergent closed set F the set of all tube open subsets contain-
ing F forms a fundamental system of neighborhoods of F .
(2) For overconvergent closed subsets F1 and F2 of hXi such that F1 \ F2 D ;,

there exist tube open subsets U1 and U2 such that Fi Ui for i D 1; 2 and
that U1 \ U2 D ;.
Corollary 4.3.8. Let X be a coherent rigid space.

(1) The separated quotient ŒX is a normal topological space.
(2) The separated quotient ŒX is a compact .hence Hausdorff/ space.
Proof. (1) follows from proposition 4.3.7 (1), since ŒX satisfied the T1 -axiom by
definition.
(2) follows from (1) and the quasi-compactness of hXi.
Corollary 4.3.9. Let X be a coherent rigid space. Then the set of all tube open
subsets of ŒX forms an open basis of the topological space ŒX.
Proof. This follows from 4.3.7 (2) and the fact that, since ŒX satisfies T1 -axiom,
any singleton set fxg for x 2 ŒX is a closed subset.
4.3. (c) Overconvergent interior
Definition 4.3.10 (cf. 0.2.3.28). Let X be a rigid space, and F a subset of hXi.
We denote by intX .F / the maximal overconvergent open subset in F and call it the
overconvergent interior of F in X.
The existence of intX .F / follows from 4.3.4. The following statements were
already proved in 0.2.3.29, 0.2.3.30, and 0.2.3.31.
Proposition 4.3.11. Let X be a rigid space, and U X a quasi-compact open

subspace. Suppose that
x V.
./ there is a coherent open subspace V of X such that U
Then for a height-one point y to belong to intX .U/ it is necessary and sufficient
that fyg U.
Condition ./ is automatic if X is quasi-separated and locally quasi-compact;

see 4.4.1 and 4.4.3 below.
Corollary 4.3.12. Under the assumptions of 4.3.11, the overconvergent interior

intX .U/ is described as
intX .U/ D sepX1 .ŒU n sepX .@U/;
x n U.
where @U D U
Corollary 4.3.13. Let X be a quasi-separated rigid space, and U a quasi-compact

open subspace of X. Suppose U x is quasi-compact. Then for a height-one point y
to belong to intX .U/ it is necessary and sufficient that fyg U.
4.4 Locally quasi-compact and paracompact rigid spaces

4.4. (a) Locally quasi-compact rigid spaces
Definition 4.4.1. A rigid space X is said to be locally quasi-compact if the associ-

ated Zariski–Riemann space hXi is locally strongly compact (0.2.5.1).
By 0.2.5.7, 0.2.5.5, 0.2.5.9, and Exercise 0.2.15, the following statements.
Theorem 4.4.2. Let X be a locally quasi-compact rigid space.
(1) The separated quotient ŒX is a locally compact space .in particular, it is
locally Hausdorff/, and the separation map sepX W hXi ! ŒX is proper.
(2) X is quasi-compact .resp. quasi-separated/ if and only if ŒX is quasi-compact

.resp. Hausdorff/.
Proposition 4.4.3. Let X be a quasi-separated rigid space. Then the following

(a) X is locally quasi-compact.
x is quasi-compact.
(b) For any quasi-compact open set U the closure U
(c) There is an open covering fU˛ g˛2L of X such that U˛ and U˛ are quasi-
compact for any ˛ 2 L.
4.4. (b) Paracompact rigid spaces
Definition 4.4.4 (cf. 0.2.5.13). A rigid space X is said to be paracompact if the

topological space hXi is paracompact.
For the proofs of the following statements, see 0.2.5.14 and 0.2.5.15, respec-
tively.
Lemma 4.4.5. Let X be a rigid space.

(1) X is paracompact if it admits a locally finite covering by quasi-compact open
sets.
(2) If fU˛ g˛2L is a locally finite covering such that U˛ is quasi-compact for any
˛ 2 L, then for each ˛ 2 L there are finitely many ˇ 2 L such that Uˇ
intersect U˛ .
Proposition 4.4.6. Let X be a paracompact quasi-separated rigid space. Then X
is locally quasi-compact.
Exercises
Exercise II.4.1 (general closure formula). Let X be a coherent adic formal scheme
of finite ideal type, J and K admissible ideals, and U the complement of V .J/
in X. Let Xn for n 1 be the admissible blow-up along the ideal K C J n , Vn
the maximal open subset of Xn , where J n generates the pull-back of K C J n . Set
U D spX 1 .U / and Vn D spXn1 .Vn / for n 1.
x is given by the formula
(1) Show that Vn is quasi-compact and that the closure U
\
UxD Vx n:
n1
(2) Suppose, moreover, that K is an ideal of definition of X. Show that the clo-
sure Cn of U inside Xn is contained in Vn and hence that the map CnC1 ! Cn
is proper.
(3) Suppose K is an ideal of definition. Show that
\
xD
U Vn :
n1
(4) Show that for any quasi-compact open subset U of a coherent rigid space X
x admits a countable system of neighborhoods.
the closure U
Exercise II.4.2. Let 'W X ! Y be a morphism between rigid spaces, and T hYi
a tube closed (resp. tube open) subset. Show that h'i 1 .T / is a tube closed (resp.
tube open) subset of hXi.
int
Exercise II.4.3. Let X be a coherent rigid space, and OX an ideal of defini-
tion of finite type. Let 0 < c < 1 be a real number.
(1) Show that for any f 2 .X; OX / the map kf ./k ;c W hXi ! R0 factors
through the separation map sepX W hXi ! ŒX.
(2) Show that the map kf ./k ;c W hXi ! R0 is continuous.
5. Coherent sheaves 525
5 Coherent sheaves
The aim of this section is to discuss coherent sheaves on locally universally Noethe-
rian rigid spaces (2.2.23) and their formal models. Here, by a coherent sheaf on a
rigid space X we mean a coherent sheaf of modules over the rigid structure sheaf
OX (cf. 3.2.9) on the associated Zariski–Riemann space hXi. In order to lay rea-
sonable foundations for the study of coherent sheaves on rigid spaces, it is of course
necessary first to establish that the rigid structure sheaf OX is coherent as a module
over itself, that is, the locally ringed space .hXi; OX / is cohesive (0.4.1.7) (the
analogue of Oka’s theorem in complex analysis). To show this fundamental result,
we first study in ÷5.1 formal models of an OX -module, that is, when X is coherent,
OX -modules that give rise to the given OX -module by passage to the functor ‘rig’
given by ‘inverting’ the ideal of definition. Then the coherence of the rigid struc-
ture sheaf is obtained from the existence theorem (weak form) of finitely presented
formal models for finitely presented OX -modules, which we will discuss in ÷5.2.
In ÷5.3 a stronger result on the existence of finitely presented formal models
will be stated and proved. This result asserts, roughly speaking, that the category of
coherent sheaves on a coherent universally Noetherian rigid space X is equivalent
to the quotient category of finitely presented sheaves on a fixed formal model X of
X modulo the so-called weak isomorphisms (cf. I, ÷C.2. (a)), that is, isomorphisms
up to torsion by ideals of definition.
5.1 Formal models of sheaves

5.1. (a) The ‘rig’ functor for OX -modules
Notation 5.1.1. For a rigid space X we denote by
Modint
X and ModX
int
the category of OX -modules and the category of OX -modules, respectively.
Let X be a coherent rigid space and X a formal model of X. For any OX -
module F we denote by F rig the OX -module defined by
F rig D spX 1 F ˝sp 1

OX OX ;
X
where spX W hXi ! X is the specialization map defined in ÷3.1. (a). For a morphism
'W F ! G of OX -modules we denote by ' rig the induced morphism
' rig W F rig ! G rig
of OX -modules. Thus we get the functor
rig W ModX ! ModX :

Proposition 5.1.2. Let X be an a coherent adic formal scheme with an ideal of

definition X of finite type, and FX an OX -module. For any admissible blow-up
W X 0 ! X, set X 0 D X OX 0 and FX 0 D FX . Then
rig
FX D lim lim spX 10 HomOX 0 . Xn 0 ; FX 0 /;
!0
!
WX !X n0
where the first inductive limit is taken along the cofiltered category BLX of all
admissible blow-ups of X .÷1.3/. Moreover, FX 0 in the right-hand side can be
replaced by the strict transform 0 F (1.2.1).
To show this, we first need to prove the following lemma.
int
Lemma 5.1.3. Let X be a coherent rigid space, and F an OX -module. Then we
have a canonical isomorphism

F ˝O int OX ! lim HomO int . n ; F /
X ! X
n>0
of OX -modules, where is an ideal of definition of hXi of finite type (3.2.3).

Proof. The morphism is constructed as follows. By 0.3.1.4, the left-hand side is
equal to
F ˝O int lim HomO int . n ; OX
int
/ D lim F ˝O int HomO int . n ; OX
int
/:
X ! X ! X X
n>0 n>0
On the other hand, we have a canonical morphism (cf. [54], 0I , (5.4.2))

lim F ˝O int HomO int . n ; OX
int
/ ! lim HomO int . n ; F /:
! X X ! X
n>0 n>0
The desired morphism is the composition of these two morphisms. To show that it
is an isomorphism, we may check it stalkwise at any point x 2 hXi. By 3.2.7 we
int
may put x D .a/ by a non-zero divisor a 2 Ax D OX;x . Then the map between
stalks is described as

Fx ˝Ax Ax a1 D Fx a1 ! lim HomO int . n ; F /x D lim HomAx .an Ax ; Fx /;
! X !
n>0 n>0
1
where the last equality is due to [51], (4.1.1), and the fact that is invertible (3.2.5).
Now the last module is easily seen to be isomorphic to Fx a , whence the lemma.

Proof of Proposition 5.1.2. Consider the canonical map
lim lim spX 10 HomOX 0 . Xn 0 ; FX 0 / !
!0
!
WX !X n0
rig
lim HomO int . n ; spX 1 FX ˝sp 1 OX OX
int
/ Š FX ;
! X X
n>0
where the last isomorphism is due to 5.1.3. To show that this is an isomorphism,
one can check stalkwise. Replacing X by the admissible blow-up along X , one
can assume that X is invertible. Then for any admissible blow-up W X 0 ! X
the ideal X 0 is again invertible (1.1.6). Let x 2 hXi, and set X;sp.x/ D .a/.
1 rig 1
Then OX D OX;x int
a
, and hence FX;x D spX 1 F ˝ OX;x
int
a
. On the other hand,
by [51], (4.1.1), we have
lim lim .spX 10 HomOX 0 . Xn 0 ; FX 0 //x D lim lim Hom..an /; FX 0 ;spX 0 .x/ /
!0
! !0
!
WX !X n0 WX !X n0
1
D lim FX 0 ;spX 0 .x/ ˝ OX 0 ;spX 0 .x/ a
;
!0
WX !X
rig
which coincides with Fx by 0.3.1.4. The second assertion is clear.
Corollary 5.1.4. Let X be a coherent adic formal scheme of finite ideal type, and
set X D X rig . Then the functor rig W ModX ! ModX is right-exact. If, moreover,
X is universally rigid-Noetherian (I.2.1.7), then it is exact
Proof. The first part is clear. To show the rest, as the proof of 5.1.2 indicates, it
suffices to show the following: let W X 0 ! X be an admissible blow-up of a co-
herent universally rigid-Noetherian formal schemes (I.2.1.7), where X 0 is assumed
0
to have invertible ideal of definition, and x 2 X ; then the map 0 OX;.x/ !
1 an
OX 0 ;x a (where a is a local generator of an ideal of definition of X ) is flat. To
this end, we may assume X is affine, X D Spf A, where A is a t.u. rigid-Noetherian
ring (I.2.1.1 (1)); since Zariski localization is flat on universally rigid-Noetherian
formal schemes (0.8.2.18), it suffices to verify that, in the notation of 1.1.3, the
map Spec B n V .IB/ ! Spec A is flat. This map can be written as the composition
Spec B n V .IB/ ! Spec A n V .I / ,! Spec A, where B is the I -adic completion
of an affine patch of a blow-up along an admissible ideal. By 0.8.2.18, this means
that the morphism Spec B n V .IB/ ! Spec A n V .I / is flat.
Corollary 5.1.5. Let X be a coherent adic formal scheme of finite ideal type. The
following conditions for an OX -module FX of finite type are equivalent.
rig
(a) FX D 0.
(b) There exists an admissible blow-up W X 0 ! X such that FX is an
X 0 -torsion module, where X 0 is an ideal of definition of finite type of
X 0.
(c) There exists an admissible blow-up W X 0 ! X such that the strict trans-
form 0 FX is zero.
Corollary 5.1.6. Let X be a coherent universally rigid-Noetherian formal scheme,

and X an ideal of definition of finite type of X. Let 'X W FX ! GX be a morphism
of OX -modules of finite type. Then the following conditions are equivalent.
rig
(a) 'X D 0.
(b) There exists an admissible blow-up W X 0 ! X such that the induced mor-
phism between strict transforms 'X 0 W FX 0 ! GX 0 is the zero map.
Proof. Implication (b) H) (a) is clear. The converse follows from 5.1.5 applied to
the image of 'X .
5.1. (b) Formal models and lattice models

Definition 5.1.7. Let X be a coherent universally Noetherian rigid space (2.2.23).
(1) Let F be an OX -module. A formal model of F is a datum ..X; /; .FX ; '//
consisting of
a formal model .X; / of X (2.1.7 (1)),
an a.q.c. OX -module FX of finite type (I.3.1.3),
rig
an isomorphism 'W FX ! F .
A formal model ..X; /; .FX ; '// is called a lattice model if .X; / is distinguished,
see 2.1.8 (1), and FX is of finite type and X -torsion free for some (hence all) ideal
of definition X of finite type.
(2) Let ˆW F ! G be a morphism of OX -modules. A formal model of ˆ is a
datum ..X; /; .ˆX W FX ! GX ; '; // consisting of
a formal model .X; / of X,
a morphism ˆX W FX ! GX of OX -modules, where FX and GX are a.q.c. of
finite type,
rig rig
isomorphisms 'W FX ! F and W GX ! G
such that the following square is commutative:
rig
rig ˆX
FX / G rig
X
'

F / G.
ˆ
If both ..X; /; .FX ; '// and ..X; /; .GX ; // are lattice models, then we say that
the formal model ..X; /; .ˆX W FX ! GX ; '; // is a lattice model.
Lattice models are particularly important when X is a coherent universally ad-

hesive rigid space: if X is universally adhesive and if ..X; /; .FX ; '// is a lattice
model of F , then FX is a coherent OX -module (I.7.2.3).
Proposition 5.1.8. If ..X; /; .FX ; '// is a formal model of F, where .X; / is a
distinguished formal model of X, then ..X; /; .FX0 ; '// with FX0 D FX =FX; -tor
gives a lattice model of F , where is an ideal of definition of X.
Proof. By Exercise II.1.4, FX0 is a.q.c. of finite type. By 5.1.4 and 5.1.5 we deduce
that FX0 gives a formal model.
The following proposition is obvious.
Proposition 5.1.9. Let X be a coherent universally Noetherian rigid space.
(1) Let F be an OX -module and ..X; /; .FX ; '// a formal model of F . Then
for any admissible blow-up W X 0 ! X, ..X 0 ; ı rig /; . FX ; '// is a formal
model of F . If ..X; /; .FX ; '// is a lattice model, then ..X 0 ; ı rig /; . 0 FX ; '//
is again a lattice model, where 0 F denotes the strict transform .1.2.1/.
(2) Let F ; G be OX -modules, ˆW F ! G a morphism OX -modules, and let
..X; /; .ˆX ; '; // be a formal model of ˆ. Then for any admissible blow-up
W X 0 ! X the pair ..X 0 ; ı rig /; . ˆX ; '; // is a formal model of ˆ. If
..X; /; .ˆX ; '; // is a lattice model, then ..X 0 ; ı rig /; . 0 ˆX ; '; // is again
a lattice model, where 0 ˆX W 0 FX ! 0 GX is the induced morphism between
strict transforms.
Proposition 5.1.10. Let X be a coherent universally rigid-Noetherian rigid space,
and X a distinguished formal model of X. Let F be a finitely presented OX -mod-
ule, and suppose we have two finitely presented formal models FX and GX of F
on X. Then, replacing X by an admissible blow-up and FX and GX by their strict
transforms if necessary, one can find positive integers n; m; l such that, up to iso-
morphisms, the following inclusions hold:
Xn FX Xm GX Xl FX ;
where X is an invertible ideal of definition of X of finite type.

Proof. First note that, since the X -torsion parts of FX and GX are locally bounded,
there exists l > 0 such that Xl FX and Xl GX are X -torsion free. Moreover, since
X is invertible, Xl FX and Xl GX are finitely presented.
Let x 2 X. The hypotheses imply that, replacing X by an admissible blow-up
and FX and GX by their strict transforms, we have FX;x a1 Š GX;x a1 , where
X;x D .a/. Consequently,
an FX;x am GX;x al FX;x

for some n; m > 0, Hence, by [51], (4.1.1), there exists an open neighborhood U
of x in X such that
. X jU /n FX jU . X jU /m GX jU . X jU /l FX jU :
Using the fact that X is quasi-compact, one gets the desired inclusions for suffi-
ciently large n and m.
5.1. (c) Weak isomorphisms

Definition 5.1.11 (cf. I, ÷C.2. (a)). Let X be a coherent adic formal scheme, and
X an ideal of definition of finite type.
(1) A morphism 'W F ! G of OX -modules is said to be a weak isomorphism
if there exists an integer s 0 such that Xs ker.'/ D 0 and Xs coker.'/ D 0.
(2) We say that two OX -modules F and G are weakly isomorphic if they are
connected by a chain of weak isomorphisms
F H1 ! H2 Hr ! G :
Proposition 5.1.12. Let 'X W FX ! GX be a morphism between a.q.c. sheaves of

finite type on a coherent universally rigid-Noetherian formal scheme X. Then the
(a) There exists an admissible blow-up W X 0 ! X such that 'X is a weak
isomorphism.
rig
(b) 'X is an isomorphism.
rig
Proof. By 5.1.4 and 5.1.5 we readily see that (a) implies (b). Suppose 'X is an
isomorphism. By 5.1.5, we have an admissible blow-up W X 0 ! X such that the
kernel and the cokernel of 'X are X 0 -torsion, where X 0 D OX 0 . By I.3.2,
these are bounded X 0 -torsion.
Corollary 5.1.13. Let X be a coherent universally rigid-Noetherian formal scheme,
and 'X W FX ! GX and X W GX ! HX weak isomorphisms between a.q.c. sheaves
of finite type on X. Then there exists an admissible blow-up W X 0 ! X such that
. X ı 'X / and 0 . X ı 'X / are weak isomorphisms.
Corollary 5.1.14. Let X be a coherent universally Noetherian rigid space, and X
a distinguished formal model of X. Let F be a finitely presented OX -module, and
FX a formal model of F on X. Then any a.q.c. sheaf GX of finite type on X weakly
isomorphic to FX is a formal model of F . In particular, for any ideal of definition
X of finite type of X and any positive integer n, Xn FX is a formal model of F .
The following proposition is a consequence of I.C.2.9.
Proposition 5.1.15. Let X be coherent universally rigid-Noetherian formal scheme

and let X D X rig . If a finite type OX -module F has a formal model on X, then it
has a formal model given by a finitely presented OX -module.
5.2 Existence of finitely presented formal models (weak version)

The main goal of this subsection is to prove the following theorem.
Theorem 5.2.1 (Existence of finitely presented formal models (weak form)). Let
X be a coherent universally Noetherian rigid space and 'W F ! G a morphism
of finitely presented OX -modules. Then there exist a formal model X of X and a
formal model 'X W FX ! GX of ' by finitely presented OX -modules.
As a special case where F D G and ' D idF , we have the following corollary.
Corollary 5.2.2. Let X be a coherent universally Noetherian rigid space and F a
finitely presented OX -module. Then there exists a finitely presented formal model
FX of F on a formal model X of X.
Furthermore, using 2.1.10 and 5.1.8 we deduce the following corollary.
Corollary 5.2.3. Let X and ' be as in 5.2.1. Then there exist a distinguished
formal model X of X and a lattice model 'X0 W FX0 ! GX0 of ' on X.
Note that, if X is universally adhesive (hence X is universally adhesive), then
lattice models are automatically finitely presented. To prove the theorem, we first
need to show the following lemma.
Lemma 5.2.4. Let X be a coherent universally rigid-Noetherian formal scheme
with an ideal of definition X of finite type, and FX and GX finitely presented
rig rig
OX -modules. Suppose there exists a morphism 'W FX ! GX of OX -modules,
where X D X rig . Then, replacing X by an admissible blow-up and FX and GX by
Q Xs FX ! GX of OX -modules,
their strict transforms, we can find a morphism 'W
rig
where s is a positive integer, such that 'Q D '.
Proof. Step 1. Replacing X by the admissible blow-up along X , we may assume
that the ideal of definition X is invertible. Let x 2 hXi. By 5.1.2 (and using the
notation therein), we have

Gxrig D lim GX 0 ;spX 0 .x/ a1 ;
0
!
X !X
where GX 0 is the pull-back (total transform) of GX by an admissible blow-up

X 0 ! X, and a is the generator of X;spX .x/ . On the other hand, by the defini-
tion of F rig we can write
1
Fxrig D FX;spX .x/ ˝OX;spX .x/ OX;x
int
a
:
Hence the stalk map 'x gives
int
1 1
'x W FX;spX .x/ ˝OX;spX .x/ OX;x a
! lim GX 0 ;spX 0 .x/ a
:
0
!
X !X
Let
1
x W FX;spX .x/ ! lim GX 0 ;spX 0 .x/ a
!
be the composition of 'x preceded by the canonical map
int
1
FX;spX .x/ ! FX;spX .x/ ˝OX;spX .x/ OX;x a
I
x is a morphism of OX;spX .x/ -modules. Since FX;spX .x/ is a finitely presented

OX;spX .x/ -module, there exist an admissible blow-up X 0 ! X and a map
1
x W FX;spX .x/ ! GX 0 ;spX 0 .x/ a
such that x is equal to the composition of x followed by the canonical map.

Hence we get a map
1
x0 W FX 0 ;spX 0 .x/ ! GX 0 ;spX 0 .x/ a
by base change. Since FX 0 ;spX 0 .x/ is finitely generated, one can find an integer
s 0 and a map
'Qx W as FX 0 ;spX 0 .x/ ! GX 0 ;spX 0 .x/
that gives the restriction of x0 . By construction,
'Qx ˝OX 0 ;sp OX;x D 'x :

X 0 .x/
Step 2. The previous step implies that for any x 2 hXi one can replace X by a
suitable admissible blow-up of X in such a way that there exists a map
'Qx W asx FX;spX .x/ ! GX;spX .x/
of OX;spX .x/ -modules that induces the stalk map 'x by base change. Here sx is
a non-negative integer, which depends on the point x. By [51], (4.1.1) (here we
use the fact that FX is finitely presented), one can take an open neighborhood U
of spX .x/ in X and a morphism 'QU W s FX jU ! GX jU such that 'QU;x D 'Qx .
rig
Moreover, one can take U sufficiently small such that 'QU D spX 1 'QU ˝O int jU OX jU
X
coincides with 'jU , where U D spX 1 .U /.
Sn
Step 3. Thus we get an open covering hXi D ˛D1 U˛ such that we have for
each ˛
an admissible blow-up X˛ ! X and a quasi-compact open subset U˛ of
X˛ such that U˛ D spX˛1 .U˛ /,
a positive integer s˛ , and
a morphism 'Q˛ W Xs˛ FX˛ jU˛ ! GX˛ jU˛ such that 'Q˛ D 'jU˛ .
rig

Since hXi is quasi-compact, the above open covering can be taken to be finite, and
hence the positive integer s D s˛ can be chosen independently of ˛. Moreover,
successive use of 1.1.9 yields an admissibleSblow-up X 0 that dominates all X˛ on
which there exists an open covering X 0 D n˛D1 U˛0 consisting of quasi-compact
open subsets for which for each ˛ there exists a morphism
'Q˛ W Xs FX 0 jU˛0 ! GX 0 jU˛0

rig
such that 'Q˛ D 'jU˛ . Now by 5.1.6 there exists a further admissible blow-up
W X 00 ! X 0 of X 0 on which the strict transforms of 'Q˛ glue together to a morphism
Q Xs 00 0 FX 0 ! 0 GX 0 , as desired.
'W
Proof of Theorem 5.2.1. First we claim that any finitely presented OX -module F
has a finitely presented formal model FX . Once this is shown, the assertion of the
theorem immediately follows from 5.2.4 since, replacing X by a further admissible
blow-up, one can assume that FX is X -torsion free (where X is an ideal of def-
inition of finite type) and that X has an invertible ideal of definition. But for this,
by 5.1.15 we only have to show that F has a formal model.
Let F be Sa finitely presented OX -module. Then there exist a finite open cover-
ing hXi D r˛D1 U˛ consisting of quasi-compact open subsets and, for each ˛, an
exact sequence
˚p '
˚q
OX jU˛ ! OX jU˛ ! F jU˛ ! 0:
(Here the numbers p and q depend on ˛.) By 3.1.3, 2.1.10, and 3.1.5,
S there exist
a distinguished formal model X of X and an open covering X D r˛D1 U˛ such
that U˛ D spX 1 .U˛ / for each ˛. Moreover, each U˛ can be identified with hU˛ i,
rig
where U˛ D U˛ . Replacing X by the admissible blow-up along X , we may
assume that X is invertible.
By 5.2.4, replacing X by an admissible blow-up, we have for each ˛ D 1; : : : ; r
a morphism
'Q˛ W Xs OX˚p jU˛ ! OX˚q jU˛
rig
such that 'Q˛ D '˛ . Since ˛ runs through a finite set, one can choose such an
admissible blow-up independently of ˛. Set Fz˛ D coker.'Q˛ /. Then Fz˛ is a finitely
rig
presented OX jU˛ -module such that Fz˛ Š F jU˛ .
Since X is coherent, U˛ˇ D U˛ \ Uˇ are quasi-compact. By 5.1.10 we deduce

that, replacing X by an admissible blow-up if necessary, there exist, for each pair
˛; ˇ of indices, positive integers m; l such that
Xn Fz˛ Xm Fzˇ Xl Fz˛
on U˛ˇ (here we used 1.1.9 to extend the possible admissible blow-up of U˛ˇ to an
admissible blow-up of X).
We want to show that there exists a finitely presented OX -module FzX such that,
for any ˛ D 1; : : : ; r,
s Fz˛ FzX t Fz˛
X X
on U˛ for some s; t > 0. This is shown by induction with respect to n, and thus we
reduce to the case n D 2, that is, X D U˛ [ Uˇ . But then the issue is to extend
the sheaf Xm Fzˇ to X. It follows from Exercise I.3.3 that one can do this to get the
desired extension as an a.q.c. sheaf FX of finite type. By the construction we have
Fz rig Š FX .
Corollary 5.2.5. Let X be a locally universally Noetherian rigid space. Then OX

is a coherent OX -module. In other words, the locally ringed space .hXi; OX / is
cohesive .0:4.1.7/.
Proof. Consider, for any open subspace U X, a morphism of OU -modules of

˚p
the form 'W OU ! OU . We need to show that ker.'/ is of finite type. As we may
work locally on U, we may assume that U is coherent, which, by a further formal
reduction, we may set X D U. By 5.2.4, we have a formal model X of X with
˚p
an invertible ideal of definition X and a morphism 'X W OX ! OX that gives rise
to ' by rig . Then, as the question is local on X, we may further assume that X is
affine, X D Spf A. The map 'X is given by a A-linear map A˚p ! A. Let K
be the kernel. Since A is t.u. rigid-Noetherian, we have an injective map K 0 ,! K
from a finitely generated A-module such that K=K 0 is I -torsion (where I A is
an ideal of definition). Since K=K 0 A˚p =K 0 , we know that K=K 0 is bounded
I -torsion. If we set K 0 D .K 0 / and K D K , we have a weak isomorphism
K 0 ,! K. Now by 5.1.4 the kernel of ' is isomorphic to K rig and hence to K 0 rig ,
which is of finite type.
5.3 Existence of finitely presented formal models (strong version)

As usual, we denote by CohX the category of coherent OX -modules. The goal of
this subsection is to show the following theorem.
Theorem 5.3.1. Let X be a coherent universally Noetherian rigid space (2.2.23),

and X a universally rigid-Noetherian formal model of X. Then the functor
FP rig
ModX ! CohX ;
FP
where ModX denotes the full subcategory of ModX consisting of finitely presented
OX -modules, induces an equivalence of the categories
FP
ModX =fweak isomorphismsg ! CohX :
As a corollary, we get a stronger result on existence of lattice models.
Corollary 5.3.2 (existence of finitely presented formal models (strong form)). Let
X be a coherent universally Noetherian rigid space, let X be a universally rigid-
Noetherian formal model of X, and let 'W F ! G be a morphism of finitely pre-
sented OX -modules. Then there exists a formal model 'X W FX ! GX of ' on X by
finitely presented OX -modules.
Similarly to ÷5.2, we immediately have the following two corollaries.
Corollary 5.3.3. Let X be a coherent universally Noetherian rigid space, X a uni-

versally rigid-Noetherian formal model of X, and F a finitely presented OX -mod-
ule. Then there exists a finitely presented formal model FX on X.
Corollary 5.3.4. Let X, X, and ' be as in 5.3.2. Then there exists a lattice model
'X0 W FX0 ! GX0 of ' on X.
In order to show the theorem, we need a few preparatory results.
Proposition 5.3.5. Let X be a coherent universally adhesive formal scheme that

is X -torsion free .resp. coherent universally rigid-Noetherian formal scheme/,
where X is an ideal of definition of finite type on X. Let W X 0 ! X be an
admissible blow-up.
(1) For any finitely presented OX -module G , Rq G is finitely presented
.resp. FP-approximated (I.C.2.7)/. If q > 0, it is bounded X -torsion. Moreover,
the canonical morphism G ! G is a weak isomorphism.
(2) For any finitely presented OX 0 -module F , Rq F is finitely presented .resp.
FP-approximated/. If q > 0, it is bounded X -torsion. Moreover, the canonical
morphism F ! F is a weak isomorphism.
Proof. We may assume that X is affine (note that the property ‘FP-approximated’
is local with respect to Zariski topology), X D Spf A, and that X D I , where
A is a t.u. adhesive ring .resp. t.u. rigid-Noetherian ring/, and I A is a finitely
generated ideal of definition. In this situation, the admissible blow-up is the
formal completion of the usual blow-up pW Y 0 ! Y D Spec A along an admissible
ideal J of A.
(1) Since X is affine, there exists a finitely presented OY -module H such that
H for D G , where for denotes the ‘virtual’ formal completion functor defined
in ÷9.1. (a). By I.1.4.7, G D .p H /for. Now we apply the comparison the-
orem (I.9.1.3) (resp. (I.C.3.3)) to deduce that Rq G D .Rq p p H /for for
q 0. By the finiteness theorem (I.8.1.3) (resp. (I.C.3.1)), Rq p p H is coherent
(resp. FP-approximated) and hence Rq G is coherent (resp. FP-approximated
by I.C.2.8). Moreover, when q > 0, Rq p p H is I -torsion, and hence so is
Rq G . It is now clear that G ! G is a weak isomorphism, for the kernel
and cokernel of the morphism H ! p p H are bounded I -torsion.
(2) By the existence theorem (I.10.1.2) (resp. (I.C.3.5)) one can take a coherent
OY 0 -module H such that H for D F . Then the assertion follows by a similar
argument as above.
Corollary 5.3.6. Let X be a coherent universally adhesive formal scheme that

is X -torsion free .resp. coherent universally rigid-Noetherian formal scheme/,
where X is an ideal of definition of finite type on X. Let W X 0 ! X be an
admissible blow-up.
(1) The sheaf OX 0 is finitely presented .resp. FP-approximated/, and the

canonical morphism OX ! OX 0 is a weak isomorphism.
(2) If q > 0, Rq OX 0 is bounded X -torsion.
Proof of Theorem 5.3.1. First we prove that the functor in question is essentially
surjective. Let F be an object of CohX . By 5.2.1 and 5.1.9 (1), there exist an
admissible blow-up W X 0 ! X and a finitely presented formal model FX 0 of F
on X 0 . By 5.3.5 (2), FX D FX 0 is finitely presented (resp. FP-approximated,
which can be replaced by a finitely presented formal model by an FP-approximation
(I.C.2.7 (1))). Hence the essential surjectivity is proven. By a similar argument one
can also show that for any morphism ' in CohX there exists a morphism 'X of
FP rig
ModX such that 'X D ' (resp. here we need to use the fact that the category of FP-
approximations is filtered; cf. Exercise I.C.2). Hence the functor in question is full
and essentially surjective. The faithfullness follows from 5.1.12 and 5.3.5 (2).
5.4 Integral models

Notation 5.4.1. Let X be a coherent rigid space, and X a formal model of X. For
int
any OX -module F we denote by spX F the OX -module defined by
spX 1 F ˝sp 1O
X
int
OX ;
X
that is, the pull-back by the morphism of locally ringed spaces

int
.hXi; OX / ! .X; OX /
whose underlying morphism of topological spaces is spX .
Theorem 5.4.2. Let X be a coherent rigid space.
int
(1) For any finitely presented OX -module F there exist a distinguished formal

model X of X and a finitely presented OX -module FX such that F Š spX FX .
(2) Let X be a distinguished formal model of X, and let FX and GX be
OX -modules. Suppose FX is finitely presented. Let 'X ; X W FX ! GX be two

morphisms of OX -modules such that spX 'X D spX X . Then there exists an ad-
0
missible blow-up W X ! X such that 'X D X .
int
(3) Let F and G be finitely presented OX -modules, and 'W F ! G a morphism
int
of OX -modules. Then there exist a distinguished formal model X of X, finitely
presented OX -modules FX and GX , and a morphism 'X W FX ! GX of OX -modules,

such that spX 'X D '.
Note that the formal model X 0 in (2) is again distinguished (2.1.9). Before
proceeding to the proof, let us insert here a useful set-up for the discussion, which
we will also use in later sections.
Here, for the proof of the theorem, and also for the later purpose, let us set up a
useful situation.
Situation 5.4.3. Let X be a coherent rigid space, and X a distinguished formal
model. For notational convenience, we display the set AIdX of all admissible ideals
of OX in the form AIdX D fJ˛ W ˛ 2 Lg, where L is an index set. The set L is
considered with the order defined by
˛ ˇ () there exists 2 L such that Jˇ D J˛ J :
opp
Note that the ordered set L is isomorphic to AIdX and hence is a directed set;
see 1.3.1 (2). The set AIdX has the trivial ideal OX , the corresponding element
of which in L is denoted by 0, that is, J0 D OX . We write X˛ D XJ˛ (the ad-
missible blow-up along the admissible ideal J˛ ) for each ˛, and the corresponding
morphism X˛ ! X0 D X is denoted by 0˛ . By 1.3.1 (2), the functor
Lopp ! BLX ; ˛ 7 ! .0˛ W X˛ ! X/
is cofinal. Note that by 2.1.9 each X˛ is again a distinguished formal model of X.

For ˛; ˇ 2 L such that ˛ ˇ we have the unique commutative diagram
˛ˇ
X˛✻ o Xˇ
✻✻
0˛ ✻
✟✟
✟ ✟ 0ˇ
X
thanks to the universality of admissible blow-ups (1.1.4 (3)). Again by universality,

one see easily that the morphism ˛ˇ is also an admissible blow-up; in fact, it is
the admissible blow-up along .0˛1 J /OX˛ , where Jˇ D J˛ J . Moreover, for
˛ ˇ we have ˛ˇ ı ˇ D ˛ . Thus we get a filtered projective system
fX˛ ; ˛ˇ g consisting of admissible blow-ups among distinguished formal models
of X indexed by the directed set L. By 1.3.1 (2),
int
lim X˛ D .hXi; OX /:
˛2L
For brevity we write sp˛ W hXi ! X˛ in place of spX˛ .
Proof of Theorem 5.4.2. In the situation as in 5.4.3, we may assume that hXi is the
projective limit along the directed set L. Then theorem follows from the formal
results 0.4.2.1 and 0.4.2.2.
For a (not necessarily coherent) rigid space X we have the functor
Modint
X ! ModX ; F 7 ! F ˝O int OX ;
X
where the last OX -module F ˝O int OX is, by a slight abuse of notation, often
X
denoted by F rig (resp. ' rig ) (and similarly for morphisms in Modint
X ).
Definition 5.4.4. Let X be a coherent universally Noetherian rigid space.

(1) Let F be a coherent OX -module. An integral model of F is a pair of the
form .Fz ; '/, where Fz is a finitely presented OX
int
-module and ' is an isomorphism

z rig
'W F ! F .
(2) Let ˆW F ! G be a morphism of coherent OX -modules. An integral model
of ˆ is a datum of the form . ẑ W Fz ! Gz; '; / consisting of
a morphism ẑ W Fz ! Gz of OX
int
-modules, where Fz and Gz are finitely pre-
sented,

and isomorphisms 'W Fz rig ! F and W Gzrig ! G
such that the following square is commutative:
ẑ rig
Fz rig / Gzrig
'

F / G.
ˆ
Definition 5.4.5. Let X be a coherent rigid space, and an ideal of definition

int
of hXi of finite type. A morphism 'W F ! G of OX -modules is said to be a
weak isomorphism if there exists an integer s 0 such that s ker ' D 0 and
s coker ' D 0.
Theorem 5.4.6. Let X be a coherent universally Noetherian rigid space. Then the
functor
rig
Modint;FP
X ! CohX ;
where Modint;FP
X
int
denotes the category of finitely presented OX -modules, induces a
categorical equivalence
ı
Modint;FP
X fweak isomorphismsg ! CohX ;
where the left-hand category is the localized category by the set of all weak iso-
morphisms. Moreover, for a locally free OX -module F one can find a locally free
int
OX -module Fz of the same rank such that Fz rig Š F .
The theorem says that any morphism ˆ of coherent OX -modules has an integral
model, uniquely determined up to weak isomorphism. The proof can be done by
combining 5.2.1 and 5.4.2 and using Exercise II.5.2. The details are left to the
reader. Notice that, since OX is coherent, any finitely presented OX -module is
coherent.
Exercises
Exercise II.5.1. Under the notation as in 5.1.10, suppose that X is universally
adhesive and that there exists an X -torsion free OX -module M that contains FX
and GX as OX -submodules. Show that both FX C GX and FX \ GX are lattice
models of F .
Exercise II.5.2. Let X be a coherent universally Noetherian rigid space, and F

a locally free OX -module of finite rank. Show that there exists a lattice model
.X; FX / of F such that FX is a locally free OX -module of the same rank.
6 Affinoids
In this section we discuss the so-called affinoids, which are, by definition, coherent
rigid spaces having an affine formal model. Our approach to the basic geometry
of affinoids arises from the following viewpoint. Since an affinoid X has a formal
model of the form X D Spf A, which is the I -adic completion of the scheme
Spec A, the geometries of the rigid space X should reflect the geometries of the
scheme Spec A n V .I /, the complement of the closed subset defined by an ideal of
definition. In ÷6.2 we will see this in the context of morphisms between affinoids;
roughly speaking, if A and B are t.u. adhesive, then morphisms X D .Spf A/rig !
Y D .Spf B/rig between affinoids always come from morphisms of affine formal
models of the form Spf A0 ! Spf B, where A0 is finite and isomorphic outside I
over A. In ÷6.3 we will see that, in the context of coherent sheaves, the category of
coherent sheaves on an affinoid X D .Spf A/rig , where A is a t.u. rigid-Noetherian
ring, is equivalent to the category of coherent sheaves on the Noetherian scheme
Spec A n V .I /.
Subsection ÷6.4 is devoted to the calculation of the cohomologies of coherent
sheaves on affinoids, where we find that the cohomologies on an affinoid X D
.Spf A/rig can be calculated by means of the cohomologies of the corresponding
coherent sheaf on the scheme Spec A n V .I /. This fundamental result for the calcu-
lation of cohomology on locally universally Noetherian rigid spaces leads us to the
notion of Stein affinoids, which is a genuine analogue of the classical Stein domains
in complex analytic geometry or of affine schemes in algebraic geometry. In fact,
any locally universally Noetherian rigid spaces can have an open covering consist-
ing of Stein affinoids and, moreover, such coverings, called Stein affinoid coverings,
are cofinal in the set of all coverings. Due to the basic Theorem A and Theorem B
proved in ÷6.5, Stein affinoid coverings are Leray coverings for computing the co-
homologies of coherent sheaves, and this fact, as in the classical complex analytic
geometry, algebraic geometry, etc., provides the foundations for the calculation of
cohomology on rigid spaces. Note that, in the classical situation, every affinoid is
a Stein affinoid.
In the final subsection, ÷6.6, we focus on the comparison between universally
Noetherian affinoids and their associated schemes, that is, the Noetherian schemes
of the form ‘Spec A n V .I /’ as above. This will give us a useful bridge between
local geometries of rigid spaces and those of schemes.
6.1 Affinoids and affinoid coverings

6.1. (a) Definition and basic properties
Definition 6.1.1. A coherent rigid space X is called an affinoid if there exists a

formal model .X; / of X with X affine.
6. Affinoids 541
We denote by ARf the full subcategory of CRf consisting of affinoids.

Definition 6.1.2. Let X be a rigid space.
(1) An affinoid open subspace of X is an isomorphism class over X of objects

U ,! X in the small site Xad (2.2.24) such that U is an affinoid. For a
point x 2 hXi, an affinoid neighborhood of x is an affinoid open subspace
U ,! X such that the image of hUi contains x.
(2) An affinoid covering of X is a covering
a
U˛ ! X
˛2L
of the site Xad such that each U˛ is an affinoid.
As the following proposition shows, any rigid space has an open basis consisting
of affinoid open subspaces.
Proposition 6.1.3. Let X be a rigid space, x 2 hXi, and V an open neighborhood
of x in hXi. Then there exists an affinoid neighborhood U ,! X of x such that the
image of hUi is contained in V.
Proof. We may assume X is coherent. Moreover, since the topology on hXi is gen-
erated by quasi-compact open subsets, we may assume that V is a quasi-compact
open neighborhood of x. Take a formal model X of X that admits a quasi-compact
open subset V X such that spX 1 .V / D V, and an affine open neighborhood
U V of spX .x/. Then U D U rig admits an open immersion U ,! X enjoying
the desired properties.
An affinoid X is said to be distinguished if it is of the form X D .Spf A/rig
for an I -torsion free A, where I A is an ideal of definition. If X D .Spf A/rig
is an affinoid, then considering the admissible blow-up along a finitely generated
ideal of definition I A, one finds that X is covered by distinguished affinoids.
Hence any rigid space has an open basis consisting of distinguished affinoid open
subspaces.
Corollary 6.1.4. Let X be a rigid space. Then any covering of the .coherent/ small
admissible site Xad is refined by an affinoid covering consisting of distinguished
affinoids.
If a rigid space X is locally universally Noetherian (resp. locally universally
adhesive), then, clearly, X has an open basis consisting of affinoid open subspaces
by affinoids of the form .Spf A/rig , where A is a t.u. rigid-Noetherian (resp. t.u.
adhesive) ring (I.2.1.1). In this situation, in view of the following proposition, the
difference between affinoids and distinguished affinoids is not important.
Proposition 6.1.5. Let X D .Spf A/rig be an affinoid, where A is a t.u. rigid-

Noetherian .resp. t.u. adhesive/ ring, and I A an ideal of definition. Then
A0 D A=AI -tor is again a t.u. rigid-Noetherian .resp. t.u. adhesive/ ring, and we
have X D .Spf A0 /rig . In particular, X is a distinguished affinoid.
Proof. By 0.7.4.18, AI -tor is closed in A with respect to the I -adic topology. Hence,
A0 D A=AI -tor is I -adically complete and hence is t.u. rigid-Noetherian (resp. t.u.
adhesive). Let Y ! Spf A be the admissible blow-up along I , and Y 0 ! Spf A0 the
admissible blow-up along IA0 . The latter map coincides with the strict transform
of the former by the closed immersion Spf A0 ,! Spf A. Since I OY is invertible,
it follows that Y 0 Š Y , that is, Spf A and Spf A0 are dominated by a common
admissible blow-up.
Convention. In the sequel, whenever we discuss an affinoid X that we know from

the context to be universally Noetherian .resp. universally adhesive/, it is always
supposed, unless otherwise clearly stated, to be of the form X D .Spf A/rig for a
t.u. rigid-Noetherian .resp. t.u. adhesive/ ring A.
The above convention will not be necessary, if one can show the following
statement (for which we do not know the proof): If X is universally Noetherian
and X D .Spf A/rig , then A is t.u. rigid-Noetherian.
6.1. (b) Affinoid subdomains
Definition 6.1.6. An affinoid open subspace of an affinoid X is called an affinoid

subdomain of X.
Examples 6.1.7 (examples of affinoid subdomains; cf. [18], (7.2.3/2) and (7.2.3/5)).
Let X D .Spf A/rig be an affinoid, and I D .a/ A an ideal of definition.
(Weierstrass subdomain) Let f1 ; : : : ; fm 2k .Spec A n V .I /; OSpec A / D

1(1)
A a . We can find a positive integer k such that a fi 2 A for i D 1; : : : ; m. Set
J D .ak ; ak f1 ; : : : ; ak fm /. Then J D J is an admissible ideal of X D Spf A.
Consider the admissible blow-up W X 0 ! X along J, and let U be the affine open
part of X 0 , where JOU is generated by a:
˝˝ ak f1 k ˛˛
U D Spf A ak
; : : : ; a afkm =I -tor:
The associated rigid space U rig is an affinoid subdomain of X, denoted by
X.f / D X.f1 ; : : : ; fm /
and called a Weierstrass subdomain.

6. Affinoids 543
1(2)
(Laurent subdomain) In the above situation, we moreover take g1 ; : : : ; gn 2
A a and l 1 such that a gj 2 A for j D 1; : : : ; n. Set Kj D .al ; al gj / ,
l
which are admissible ideals on X. Define Uj .j D 1; : : : ; n/ inductively as follows:

U0 D U ; let j W Xj0 ! Uj 1 be the admissible blow-up along the ideal Kj OUj 1 ,
and Uj .j D 1; : : : ; n/ the affine open part of Xj0 on which al gj generates the ideal
rig
Kj OXj0 . Then the rigid space Un is an affinoid subdomain of X, denoted by
1
X.f; g / D X.f1 ; : : : ; fm ; g1 1 ; : : : ; gn 1 /
and called a Laurent subdomain.

(3) (rational subdomain) Take elements f1 ; : : : ; fm ; g 2 A a1 such that the

ideal .f1 ; : : : ; fm; g/ of the ring A a1 is the unit ideal. As before, fix k 1 such
that ak f1 ; : : : ; ak fm ; ak g 2 A. Then J D .ak f1 ; : : : ; ak fm ; ak g/ is an open ideal,
and hence J D J is an admissible ideal on X D Spf A. Take the admissible blow-
up X 0 ! X along J, and let U be the affine part of X 0 , where the ideal JOX 0 is
generated by ak g:
˝˝ ak f1 k ˛˛
U D Spf A ak g
; : : : ; aakfgm =I -tor:
The associated rigid space U rig is an affinoid subdomain of X, denoted by

X fg D X fg1 ; : : : ; fgn
and called a rational subdomain.
6.2 Morphisms between affinoids

Definition 6.2.1. Let A ! A0 be an adic morphism of adic rings of finite ideal type,
and I A an ideal of definition. We say that the map A ! A0 (or Spf A0 ! Spf A)
is an isomorphism outside I if the morphism Spec A0 n V .IA0 / ! Spec A n V .I /
of schemes is an isomorphism.
Let A be an adic ring of finite ideal type with a finitely generated ideal of def-
inition I A, and W X 0 ! X D Spf A an admissible blow-up. We have a
ring homomorphism A ! A0 D .X 0 ; OX 0 / (cf. Exercise I.1.9). We consider the
IA0 -adic topology on A0 .
Proposition 6.2.2. Suppose that A is t.u. rigid-Noetherian. Then
(1) A ! A0 is a weak isomorphism (I.C.1.2).

(2) A0 endowed with the IA0 -adic topology is rigid-Noetherian (I.2.1.1 (1)).
(3) The morphism X 0 ! Spf A0 is an admissible blow-up. In particular, we

have .Spf A/rig Š .Spf A0 /rig .
Moreover, if A is t.u. adhesive (I.2.1.1 (2)) and I -torsion free, then A0 is finite over
A .and hence is again t.u. adhesive/.
Proof. (1) It is clear (due to GFGA comparison) that A and A0 are isomorphic out-
side I (that is, we have Spec A0 n V .IA0 / Š Spec A n V .I /); in particular, A0 is
Noetherian outside I . Hence, the kernel of A ! A0 is I -torsion; since AI -tor is
bounded I -torsion, the kernel is also bounded I -torsion. Let J D .f0 ; : :S
: ; fr /
A be an admissible ideal that gives the admissible blow-up , and X 0 D riD0 Ui
the affine covering as in ÷1.1. (b). It is clear that the cokernel of each map
A ! .Ui ; OUi / is bounded I -torsion, and hence the cokernel of A ! A0 is
also bounded I -torsion.
(2) Since it is already shown that A0 is Noetherian outside IA0 , it suffices to
show that A0 is IA0 -adic complete, which follows from Exercise I.C.1.
(3) By the universal mapping property (1.1.4 (3)), the morphism X 0 ! Spf A0
coincides with the admissible blow-up along the admissible ideal JA0 . If A is
t.u. adhesive and I -torsion free, then by 5.3.6 (1) the sheaf OX 0 is a coherent
OX -module, and hence A0 D .X; OX 0 / is a coherent A-module (I.3.5.6).
Definition 6.2.3. Let f W A ! A0 be an adic morphism between adic rings of finite

ideal type. We say that f is a strict weak isomorphism if it is a weak isomorphism

and induces an isomorphism .Spf A0 /rig ! .Spf A/rig of rigid spaces.
It follows from 6.1.5 that if A is a t.u. rigid-Noetherian ring and I A is

an ideal of definition, then A ! A0 D A=AI -tor is a strict weak isomorphism.
The above proposition shows that if A is t.u. rigid-Noetherian, then any admissible
blow-up X 0 ! Spf A induces the strict weak isomorphism A ! A0 D .X 0 ; OX 0 /.
Proposition 6.2.4. Let pW X 0 D Spf A0 ! X D Spf A be a morphism of affine adic

formal schemes of finite ideal type, and suppose that p is finite .I:4.2.2/ and an
isomorphism outside I . Then A ! A0 is a strict weak isomorphism. In particular,
a finite weak isomorphism between adic rings is a strict weak isomorphism.
Proof. Let qW Y 0 D Spec A0 ! Y D Spec A be such that qO D p. Then by I.4.2.1

the morphism q is finite. Set U D Y n V .I /, which is a quasi-compact open subset
of Y . By [89], Première partie, (5.7.12), (included below in E.1.9), there exists a
q 1 .U /-admissible blow-up W ! Y 0 such that the composition W ! Y 0 ! Y
is an U -admissible blow-up. Taking the I -adic completions, we get the admissible
blow-ups Z D W y ! Yb0 D X 0 and Z ! Yy D X.
6. Affinoids 545
Proposition 6.2.5. Consider a morphism between affinoids
'W .Spf A/rig ! .Spf B/rig ;
where A and B are t.u. rigid-Noetherian rings.

(1) There exists a diagram
0
> A `❆
⑥⑥⑥ ❆❆❆
⑥⑥ ❆
A B
consisting of adic morphisms of adic rings such that

(a) A0 is a rigid-Noetherian ring,
(b) A ! A0 is a strict weak isomorphism, and

(c) the induced morphism .Spf A/rig .Spf A0 /rig ! .Spf B/rig coincides with
the morphism '.
If, moreover, ' is an isomorphism, then the above diagram can be taken such that
B ! A0 is also a strict weak isomorphism.
(2) If A is t.u. adhesive, and is I -torsion free, where I A is an ideal of def-
inition, then the above diagram can be taken such that A ! A0 is a finite weak
isomorphism .and hence A0 is again t.u. adhesive/. If, moreover, ' is an isomor-
phism and B is a J -torsion free t.u. adhesive ring .where J B is an ideal of
definition/, then the diagram can be taken such that B ! A0 is also a finite weak
isomorphism.
Proof. The morphism ' comes from a diagram
X0 ●
✇✇ ●●
✇✇ ●●
{✇
✇ ●#
Spf A Spf B
where the left-hand arrow is an admissible blow-up. Set A0 D .X 0 ; OX 0 /. Then, as

we have seen in 6.2.2, the ring A0 with the IA0 -adic topology is a rigid-Noetherian
ring, and the map A ! A0 is a strict weak isomorphism, since both Spf A and
Spf A0 are dominated by X 0 . Moreover, we have the canonical map B ! A0
(cf. Exercise I.1.9). If ' is an isomorphism, then one can take a diagram as above
such that both X 0 ! Spf A and X 0 ! Spf B are admissible blow-ups (2.1.4).
Hence, in this case, B ! A0 is also a strict weak isomorphism. The rest of the
assertion follow from 6.2.2.
Proposition 6.2.6. Let A be an I -torsion free t.u. rigid-Noetherian, where I A is

an ideal of definition of A such that Spec A n V .I / is affine. Set X D .Spf A/rig and
Spec B D Spec A n V .I /. Then the integral closure Aint of A in B is canonically
int
isomorphic to .X; OX /.
The proposition follows immediately from 6.2.4 and 6.2.5 if the ring A is t.u.
adhesive. The general case follows from GFGA comparison and the following
observation. Let A be a ring with a finitely generated ideal I A. We assume
that A is I -torsion free, and U D X n V .I /, where X D Spec A is affine; we set
B D .U; OU /. We need to compare the integral closure Aint of A in B with the
ring
Az D lim .X 0 ; OX 0 /;
0
!
X !X
0
where X runs over all U -admissible blow-ups (cf. E.1.4 below) of X.
Lemma 6.2.7. We have Az D Aint .
Proof. The inclusion Aint Az can be shown by an argument similar to that in the
z take a U -admissible blow-up W X 0 ! X such that
proof of 6.2.4. For any f 2 A,
I OX 0 is invertible and f 2 .X 0 ; OX 0 /. Set Z D Spec AŒf . We want to show
that Z ! X is finite. Since AŒf is I -torsion free, U is dense in Z. We have a
h g
factorization X 0 ! Z ! X of . Now since h is proper and hence h.X 0 / is closed
and contains U , h.X 0 / D Z, that is, h is surjective. Hence g is proper. Since g is
proper and affine, it is finite (cf. F.4.1 below), as desired.
Theorem 6.2.8. Let A and B be adic rings with finitely generated ideals of def-
inition I A and J B, respectively. Suppose that A and B are t.u. rigid-
Noetherian .resp. t.u. adhesive and that A is I -torsion free and B is J -torsion
free/. Then the canonical map
´ ˇ µ
A0 ˇ p is a strict (resp. finite) ı
p ✄A ]❀❀ q ˇ
✄✄ ❀ ˇ weak isomorphism ! HomCRf .X; Y/:
ˇ and q is an adic morphism.
A B
is a bijection. Here the equivalence relation on the left-hand side is defined as
follows: .A ! A0 B/ and .A ! A00 B/ are equivalent if there exists a third
000
diagram .A ! A B/ as above sitting in the commutative diagram
0
= AO a❈❈
⑤⑤⑤ ❈❈
⑤ ❈
⑤⑤ 000
A❇ /A o B
❇❇ ④④
❇❇ ④
! }④④
A00 .
6. Affinoids 547
Proof. In view of 6.2.5, we only need to show the injectivity. Suppose we are given
a diagram
0
=A a❈❈
⑤⑤ ❈❈
⑤⑤
A❇ B
❇❇ ④
! }④④
A00
where the left-hand maps are strict (resp. finite) weak isomorphisms. Since we
have .Spf A0 /rig D .Spf A00 /rig , there exists admissible blow-ups X 000 ! Spf A0 and
X 000 ! Spf A00 . Moreover, one can choose such an X 000 that admits an admissible
blow-up X 000 ! Spf A compatible with the above two admissible blow-ups. Now,
applying 6.2.2, we have the diagram as in the theorem.
6.3 Coherent sheaves on affinoids

Let X D .Spf A/rig be an affinoid, where A is a t.u. rigid-Noetherian ring, and let
I A be a finitely generated ideal of definition. Set X D Spf A. Recall that there
exists a canonical exact categorical equivalence

ModAFP ! ModX
FP
; M 7 ! M
(I.3.5.6). On the other hand, if we set Y D Spec A, then by [53], (1.4.2) and (1.4.3),
we have an exact categorical equivalence

ModAFP ! ModFP
Y ;
z:
M 7 !M
Thus we have an exact equivalence of the categories

FP
ModX ! ModFP
Y ;
z:
M 7 ! M
Set U D Y n V .I /, and consider the diagram of categories
rig FP
CohX ModX ! ModFP
Y ! CohU ;
where the last functor is given by the restriction to U , F 7! F jU . By 5.3.1, for any
object F (resp. arrow ') in CohX there exists up to weak isomorphisms an object
FP rig rig
FX (resp. an arrow 'X ) in ModX such that FX D F (resp. 'X D '), which
gives rise to an object FU (resp. arrow 'U ) in CohU . It is clear that this gives a
well-defined functor
CohX ! CohU : ()
Theorem 6.3.1. The functor ./ is an exact categorical equivalence.
Proof. By 5.3.1, it suffices to show the equivalence

ModFP
Y =fweak isomorphismsg ! CohU ;
where by a weak isomorphism we mean a morphism 'W F ! G in ModFP Y whose

kernel and cokernel are annihilated by I s for some s > 0. But then, only essential
surjectivity calls for a proof, which follows from [53], (6.9.11).
Notation 6.3.2. The proof of 6.3.1 shows that we have a quasi-inverse functor
CohU ! CohX
defined similarly to ./, denoted by F 7! F rig by a slight abuse of notation.
In general, for a ringed space .X; OX / with coherent structure sheaf, a coherent
sheaf F is said to be Noetherian if for any point x 2 X there exists an open
neighborhood U such that any increasing sequence G1 G2 of coherent
subsheaves of F jU terminates, that is, there exists a number N such that GN D
GN C1 D : : :.2 By 6.3.1, we immediately have the following corollary.
Corollary 6.3.3. Let X be a locally universally Noetherian rigid space. Then the
sheaf OX is Noetherian.
6.4 Comparison theorem for affinoids

Theorem 6.4.1 (comparison theorem for affinoids). Let X D .Spf A/rig be an
affinoid, where A is a t.u. rigid-Noetherian ring (I.2.1.1), and set X D Spf A.
Consider the affine scheme Y D Spec A, and set U D Y n V .I /, where I A
is a finitely generated ideal of definition. Then for any coherent sheaf F on the
Noetherian scheme U , we have a canonical isomorphism
Hq .X; F rig / Š Hq .U; F /
for each q 0.
Proof. In view of 6.1.5, we may assume without loss of generality that A is I -

torsion free. Let X D I and D .spX 1 X /OX int
. Let GY be a finitely presented
sheaf on Y such that GY jU D F ([53], (6.9.11)). The formal completion FX D GyY
2
Note that the notion of Noetherness for sheaves as defined here is different from the one in [66],
Definition 11.1.1 (iii). Note also that, if the topological space X is locally coherent, then the open set U
in the definition can be arbitrary coherent open neighborhood of x.
6. Affinoids 549
gives a finitely presented formal model of F rig on X. Set Fz D spX

FX , which is
int
an OX -module on hXi. By 5.1.3 we have
Hq .X; F rig / D Hq .X; lim Hom. n ; Fz // D lim Hq .X; Hom. n ; Fz //;

! !
n0 n0
where the last equality is due to 0.3.1.16.

Set Y D Iz, which is a coherent ideal of OY . Let W X 0 ! X be the admissible
blow-up along X , and pW Y 0 ! Y the blow-up of the scheme Y along Y . Then
is the formal completion of p. Set X 0 D . 1 X /OX 0 , which is an invertible
ideal of definition. Starting with X0 D X 0 , we construct the system fX˛ g˛2L as
in 5.4.3. For any ˛ one can take the corresponding blow-up Y˛ ! Y 0 D Y0 ,
whose formal completion is X˛ ! X 0 D X0 . Moreover, for ˛ ˇ there exists a
morphism p˛ˇ W Yˇ ! Y˛ of schemes (in fact, a blow-up) whose formal completion
coincides with ˛ˇ . For any ˛ 2 L, let ˛ D .0˛1 X 0 /OX˛ , and F˛ the pull-back
of FX , which is the formal completion of the sheaf G˛ , the pull-back of GY by the
map Y˛ ! Y . Then, by 3.2.5, D sp˛ ˛ for any ˛ 2 L. By [53], 0, (5.4.9),
and 0.4.4.3 we calculate
lim Hq .X; Hom. n ; Fz // D lim Hq .X; sp0 HomOX 0 . 0n ; F0 //
! !
n0 n0
D lim lim Hq .X˛ ; HomOX˛ . ˛n ; F˛ //:

! !
n0 ˛2L
By the comparison theorem (I.C.3.3),

lim lim Hq .X˛ ; HomOX˛ . ˛n ; F˛ // D lim lim Hq .Y˛ ; HomOY˛ .J˛n ; G˛ //
! ! ! !
n0 ˛2L ˛2L n0
D lim Hq .Y˛ ; lim HomOY˛ .J˛n ; G˛ //;

! !
˛2L n0
where J˛ is the invertible ideal of OY˛ corresponding to ˛ .

Set U˛ D Y˛ n V .J˛ /. Since Y˛ is J˛ -torsion free, U˛ is a non-empty scheme.
By Deligne’s formula (cf. Exercise II.3.1) we have
lim HomOY˛ .J˛n ; G˛ / D j˛ j˛ G˛ ;
!
n0
where j˛ W U˛ ,! Y˛ is the open immersion. Since the blow-up Y˛ ! Y D Spec A

is isomorphic on U D Spec A n V .I /, and since U ,! Y˛ is an affine morphism,
we have by I.7.1.1 (2)
lim Hq .Y˛ ; lim HomOY˛ .J˛n ; G˛ // D Hq .U; GY jU /:
! !
˛2L n0
Consequently, we have Hq .X; F rig / D Hq .U; F /, as desired.

Corollary 6.4.2. Let X be a coherent universally Noetherian rigid space. The

(a) X is reduced .3.2.12/.
(b) There exists a cofinal collection fX g2ƒ of formal models of X consisting
of reduced distinguished formal models (2.1.8).
(c) Any distinguished formal model of X is reduced.
Here a formal scheme is said to be reduced if it is reduced as a ringed space;
see 0, ÷4.1. (a).
Proof. Suppose X is reduced, and let X be a distinguished formal model. By 6.4.1,

for any affine open subset Spf A of X, the ring H0 .Spec AnV .I /; OSpec A / (where I
is an ideal of definition) is reduced. Hence the nilradical of A is an I -torsion ideal,
which must be equal to zero, since A is I -torsion free. Thus we have (a) H) (c).
Implication (c) H) (b) is trivial. If (b) holds, then by 6.4.1 for any point x 2 hXi
the stalk OX;x is a reduced ring (since a filtered inductive limit of reduced rings is
reduced), whence (b) H) (a).
6.5 Stein affinoids

6.5. (a) Stein affinoids and Stein affinoid coverings
Proposition 6.5.1. Let X D .Spf A/rig be an affinoid, where A is a t.u. rigid-

Noetherian ring. Set X D Spf A. The following conditions are equivalent.
(a) H1 .X; F / D 0 for any coherent OX -module F .that is, X is ‘Stein’/.
(b) Hq .X; F / D 0 for q 1 and for any coherent OX -module F .
(c) Spec A n V .I / is an affine scheme, where I is a finitely generated ideal of
definition of A.
(d) There exists an I 0 -torsion free t.u. rigid-Noetherian ring A0 .where I 0 A0
is a finitely generated ideal of definition/ such that X D .Spf A0 /rig and that
Spec A0 n V .I 0 / is affine.
Proof. First we show (c) H) (d). Set A0 D A=AI -tor . Then, by 6.1.5, we have
X D .Spf A0 /rig . Since Spec A0 ,! Spec A is affine, Spec A0 n V .IA0 / is affine,
whence (d).
Next, let us show (d) H) (b). We work with the notation as in the proof of 6.4.1.
Take a coherent sheaf H on the Noetherian affine scheme U 0 D Spec A0 n V .I 0 /
such that F D H rig ; this is possible due to 6.3.1. Then, by 6.4.1, we have
Hq .X; F / D Hq .U 0 ; H /. If q > 0, then the right-hand cohomology is zero due
to 0.5.4.2 (1), whence (b).
6. Affinoids 551
(b) H) (a) is clear. It remains to show (a) H) (c). Set U D Spec A n V .I /.

We are to show that the Noetherian scheme U is affine. To this end, by Serre’s
criterion ([54], II, ÷5.2), it suffices to show that for any coherent sheaf H on U its
first cohomology group on U vanishes. But this follows from 6.3.1 and 6.4.1.
In 6.5.1, it is important to assume that X is an affinoid; in fact, there exists
an example of non-affinoid rigid space on which the higher cohomologies
of any coherent sheaf vanish [77].
Definition 6.5.2. A coherent universally Noetherian rigid space X is called a Stein

affinoid if it is an affinoid of the form .Spf A/rig for a t.u. rigid-Noetherian ring A
that satisfies the conditions in 6.5.1.
Example 6.5.3. Let R be an integrally closed Noetherian local domain of dimen-
sion 2, and set I D mR . Suppose R is I -adically complete. Then R is a t.u.
adhesive ring, and the rigid space X D .Spf R/rig is an affinoid, but is not a Stein
affinoid.
Proposition 6.5.4. Let X be a locally universally Noetherian rigid space. Then for
any point x 2 hXi there exists an affinoid open neighborhood U ,! X given by a
Stein affinoid U. Moreover, such affinoid open neighborhoods are cofinal in the set
of all open neighborhoods of x.
Proof. In the proof of 6.1.3, replace X by the admissible blow-up along an ideal of
definition. Since the ideal of definition of X is invertible, the scheme Spec AnV .I /
for any affine open subset U D Spf A of X, where I A is the ideal of definition,
is affine.
Clearly, if the rigid space X in the setting 6.5.4 is locally universally adhesive,
then one can take U as above to be of the form .Spf A/rig for a t.u. adhesive ring A.
Definition 6.5.5. Let X be a locally universally Noetherian rigid space.
(1) A Stein affinoid open subspace of X is an isomorphism class over X of ob-
jects U ,! X in the small site Xad (2.2.24) such that U is a Stein affinoid.
(2) A Stein affinoid covering of X is a covering

a
U˛ ! X
˛2L
of the site Xad such that each U˛ is a Stein affinoid.

The second assertion of 6.5.4 readily yields the following result.
Proposition 6.5.6. Let X be a locally universally Noetherian rigid space. Then
any admissible covering of X is refined by a Stein affinoid covering.
6.5. (b) Theorem A and Theorem B

Theorem 6.5.7 (Theorem A and Theorem B). Let X be a Stein affinoid, and F a
coherent OX -module.
(1) The sheaf F is generated by global sections. If X D .Spf A/rig , where A is

an I -torsion free t.u. rigid-Noetherian ring .I A is an ideal of definition/
such that U D Spec A n V .I / is affine, then there exists a finitely presented
A-module M such that M z rig Š F and
H0 .X; F / D lim HomA .I n ; M /:

!
n0
In particular, F 7! .X; F / gives the quasi-inverse to the functor

rig
CohU ! CohX
as in 6.3.2.
(2) For q > 0 we have Hq .X; F / D 0.
Proof. (2) is already proved in 6.5.1. As in the proof of 6.5.1, we have Hq .X; F / D
Hq .U; H /, where H is a coherent sheaf on U such that F D H rig (cf. 6.3.1).
If q D 0, it is isomorphic to lim HomA .I n ; M / by Deligne’s formula.
!n0
6.6 Associated schemes

6.6. (a) Definition and functoriality. Let X D .Spf A/rig be a universally Noethe-
rian affinoid, where A is a t.u. rigid-Noetherian ring with a finitely generated ideal
of definition I A. We set
s.X/ D Spec A n V .I /;
which is a Noetherian scheme. It follows from 6.2.5 that s.X/ does not depend
on the choice of A. The Noetherian scheme s.X/ thus defined is said to be the
associated scheme to the universally Noetherian affinoid X.
Let Y D .Spf B/rig be another universally Noetherian affinoid (where B is a t.u.
rigid-Noetherian ring), and 'W Y ! X a morphism of rigid spaces. Then by 6.2.5
we have the canonically induced morphism
s.'/W s.Y/ ! s.X/
of schemes. Thus the mapping sW X 7! s.X/ defines a functor s from the category
of all universally Noetherian affinoid to the category of Noetherian schemes.
6. Affinoids 553
Proposition 6.6.1. (1) Let W Y ,! X be an open immersion between universally

Noetherian affinoids. Then the morphism s./W s.Y/ ! s.X/ is flat.
(2) Let fU˛ g˛2L be a finite affinoid
` covering of a universally Noetherian affi-
noid X. Then the induced morphism ˛2L s.U˛ / ! s.X/ is faithfully flat.
Note that the affinoids U˛ in (2) are also assumed to be of the form U˛ D
.Spf A˛ /rig , where A˛ is a t.u. rigid-Noetherian ring (cf. our convention in the end
of ÷6.1. (a)).
Proof. Let Y D .Spf B/rig ,! X D .Spf A/rig be an open immersion between
universally Noetherian affinoids (where A and B are t.u. rigid-Noetherian rings).
By 3.1.3 and 1.1.9, we have a diagram of the form

U /X

Spf B Spf A
where the vertical arrows are admissible blow-ups, and the horizontal arrow is
a quasi-compact open immersion. Since admissible blow-ups over affine formal
schemes are algebraizable and since such an admissible blow-up has an open ba-
sis consisting of algebraizable affine open subspaces, to show (1) we only need to
show the following facts.
(i) For a diagram of the form

Spec R /X

Spec A
where the horizontal arrow is an open immersion and the vertical map is a
blow-up along an admissible ideal of A, the map
y n V .I R/
Spec R y ! Spec A n V .I /
is flat (where I A is a finitely generated ideal of definition).

(ii) For a set of finitely many diagrams fSpec R˛ ,! X ! Spec Ag˛2L of the
form as in (i) (with a fixed X ! Spec A) such that fSpf Ry˛ g˛2L covers the
formal completion of X, the morphism
a
Spec Ry˛ n V .I R
y˛ / ! Spec A n V .I /
˛2L
is faithfully flat.
In (i), since R is universally rigid-Noetherian, we know that the completion map

R!R y is flat, and hence the assertion is clear. In (ii), the map in question is flat
due to (i). Hence we only need to show that the map is surjective, and hence only
to show that all closed points are in the image (due to the going-down theorem;
cf. [81], Theorem 9.5). For any closed point x 2 Spec A n V .I / one has a valuation
ring V and a map Spec V ! Spec A such that the image of the generic point is x
and the image of the closed point lies in V .I /. By the valuative criterion, we have
a lift Spec V ! X, and hence Spf Vy ! Xy . There exists ˛ 2 L such that this
map factors though Spf Vy ! Spf R y˛ . Then we have the map Spec Vy ! Spec R y˛ ,
the image of the generic point under which lies outside V .I R y˛ / and is mapped
to x. This proves (1). The proof of (2) is similar; one can reduce to the situation as
in (ii).
6.6. (b) The comparison map. Let X D .Spf A/rig be a universally Noetherian
affinoid. The associated scheme s.X/ admits a canonical map, called the compari-
son map,
sW hXi ! s.X/; ()
constructed as follows.
For x 2 hXi, take a rigid point ˛W Spf V ! hXi, where V is an a-adically com-
plete valuation ring with a 2 mV n f0g, that maps the closed point to x (3.3.1 (1)).
Consider the composition spX ı ˛W Spf V ! X D Spf A, which is an adic mor-
phism of affine formal schemes. The last morphism induces the morphism
Spec V ! Spec A
of affine schemes and hence the morphism

Spec V a1 ! Spec A n V .I / D s.X/: ()
1
Since V a is a field (0.6.7.2), the map ./ gives rise to a point of s.X/, which we
denote by s.x/, and thus we obtain the desired map ./ set-theoretically. Note that
in the above construction the point s.x/ does not depend on the choice of the rigid
point ˛ due to 0.6.7.6 and 0.6.7.3.
Remark 6.6.2. Note that by the above construction we easily deduce the following
fact: for x; x 0 2 hXi such that x 0 2 Gx (that is, x 0 is a generization of x) we have
s.x/ D s.x 0 /. Hence the map s factors through the separation map (÷4.3. (a))
s
*
hXi / ŒX / s.X/;
sepX s
where, by a slight abuse of notation, we denote by the same s the resulting continu-
ous map ŒX ! s.X/.
6. Affinoids 555
When X is a Stein affinoid (6.5.2), the map ./ admits another description as
follows. In this case, by 6.4.1 we have
s.X/ D Spec .X; OX /;
which is a Noetherian affine scheme. For x 2 hXi the associated rigid point
˛W Spf V ! hXi induces the map .X; OX / ! Kx D V a1 , which is noth-
ing but the one induced by the restriction map .X; OX / ! Bx D OX;x . Hence
the point s.x/ coincides with the prime ideal that is the pull-back of the maximal
ideal of Bx by the last map.
Proposition 6.6.3. The set-theoretic map ./ extends canonically to a flat mor-
phism of locally ringed spaces .denoted by the same symbol/
sW .hXi; OX / ! .s.X/; Os.X/ /;
where Os.X/ is the structure sheaf of the scheme s.X/.

S
Proof. First note that the issue is local on X; more precisely, if X D ˛2L U˛
is an affinoid covering, then it suffices to show that the morphism hU˛ i ! s.X/
extends canonically to a flat morphism of locally ringed spaces for each ˛ 2 L.
Since this morphism factors through s.U˛ / and the morphism s.U˛ / ! s.X/ of
schemes is flat (6.6.1 (1)), we only have to show that each hU˛ i ! s.U˛ / extends
canonically to a flat morphism of locally ringed spaces. Thus we may assume that
X is a Stein affinoid. But in this case, s is nothing but the morphism corresponding
to the identity map of .X; OX / by the correspondence in [53], (1.6.3), and hence
the assertion is clear.
The following corollary is easy to see by 3.2.15 (1); the last assertion follows
from 6.6.1 (1).
Corollary 6.6.4. Let X D .Spf A/rig be a universally Noetherian affinoid, x 2 hXi

a point, and fU˛ D .Spf A˛ /rig g˛2L a cofinal system of formal neighborhoods of
x. For each ˛ 2 L, let x˛ be the image of x under the map sW hU˛ i ! s.U˛ /.
Then
OX;x D lim Os.U˛ /;x˛ :
!
˛2L
Moreover, for ˛ ˇ the transition map Os.U˛ /;x˛ ! Os.Uˇ /;xˇ is flat.
Proposition 6.6.5. Let X be a universally Noetherian affinoid. Then the correspon-

dence F 7! s F establishes the categorical equivalence

Cohs.X/ ! CohX :
Moreover, for any coherent sheaf F on s.X/ we have a canonical isomorphism

between the cohomologies

Hq .s.X/; F / ! Hq .X; s F /
for each q 0.
Proof. Since s F is nothing but F rig in the sense as in 6.3.2, the assertions are
rehashes of 6.3.1 and 6.4.1.
Exercises
Exercise II.6.1. Show that the intersection of two Weierstrass (resp. Laurent, resp.
rational) subdomains of an affinoid is again a Weierstrass (resp. Laurent, resp. ra-
tional) subdomain.
Exercise II.6.2. Let X be a locally universally rigid-Noetherian formal scheme,

see (I.2.1.7), and W X 0 ! X an admissible blow-up. Show that OX 0 is an a.q.c.
OX -algebra.
Exercise II.6.3. Let X be a universally Noetherian affinoid, and consider the com-
parison map sW hXi ! s.X/. Show that the image of s contains all closed points
of s.X/.
7 Basic properties of morphisms of rigid spaces

In this section we discuss several properties of morphisms between rigid spaces.
We give the definitions of those properties and establish some of the basic results,
such as base change stability, interrelation with other properties, etc. In discussing
separated morphisms and proper morphisms, we also give the valuative criterion.
Note that our properness in rigid geometry presented here is the so-called Raynaud
properness, that is, the one defined by means of the properness of the formal models.
This differs, a priori, from the one introduced by Kiehl in [69], the so-called Kiehl
properness. It will be our objective in one of the later chapters to show that, at least
in the adhesive case, these notions of properness are actually equivalent. In ÷7.5. (d)
we present the finiteness theorem for proper maps between universally adhesive
rigid spaces.
7. Basic properties of morphisms of rigid spaces 557
7.1 Quasi-compact and quasi-separated morphisms

Proposition 7.1.1. Let 'W X ! Y be a morphism of rigid spaces. Then the follow-
ing conditions are equivalent.
(a) There exists a covering fV˛ ! Yg˛2L in the small site Yad with each
V˛ a coherent rigid space such that V˛ Y X is a quasi-compact rigid
space (3.5.1 (1)) for each ˛ 2 L.
(b) For any morphism ! Y of rigid spaces with quasi-compact, Y X
is quasi-compact.
(c) The induced map h'iW hXi ! hYi is quasi-compact as a map of topological
spaces .cf. 0.2.1.4 (2)).

(d) The morphism of small admissible topoi 'ad W Xad ! Yad is quasi-compact
.cf. 0.2.7.7).
Proof. As (b) H) (a) is trivial, let us first show (a) H) (b). One easily reduces to
the case where Y and are coherent. In this case, X is quasi-compact and hence
is covered by finitely many coherent open rigid subspaces U˛ . Then Y X is
covered by finitely many coherent open rigid spaces U˛ Y and hence is quasi-
compact. To show the equivalence of (a) and (c), again one can reduce to the case
where Y is coherent. Then the issue is to show that X is quasi-compact if and only
if hXi is quasi-compact. But this has been done in 3.5.7. Finally, the equivalence
of (c) and (d) follows from 3.4.5.
Proposition 7.1.2. Let 'W X ! Y be a morphism of rigid spaces. Then the follow-
ing conditions are equivalent.
(a) For any morphism ! Y from a quasi-separated rigid space (3.5.1 (2)) ,
Y X is quasi-separated.
(b) The induced map h'iW hXi ! hYi is quasi-separated as a map of topologi-
cal spaces.

(c) The morphism of small admissible topoi 'ad W Xad ! Yad is quasi-separated
.cf. 0.2.7.7).
(d) The diagonal morphism X ! X Y X is quasi-compact.
Proof. By 3.4.5, (b) and (c) are equivalent. Condition (c) is equivalent to (a) when
the morphisms ,! Y are assumed to be an open immersion with coherent.
By 7.1.1 (b), (c) is still equivalent to (a) without this assumption.
Suppose that (d) holds. To deduce (c), it is enough to show that for any open
immersion ,! Y from a quasi-separated rigid space, the base change X is quasi-
separated. To this end, we may assume that Y is quasi-separated and that Y D
. For any quasi-compact open subspaces U; V X, the intersection U X V
coincides with the pull-back of UY V by the diagonal, and hence is quasi-compact.
Hence X is quasi-separated, thereby (c).
Conversely, since Yad has a generating family consisting of coherent open sub-
spaces, we deduce (c) H) (d), using 7.1.1.
Definition 7.1.3. A morphism 'W X ! Y of rigid space is said to be quasi-compact

(resp. quasi-separated) if it satisfies the conditions in 7.1.1 (resp. 7.1.2). If ' is
quasi-compact and quasi-separated, it is said to be coherent.
Remark 7.1.4. Note that an open immersion W U ,! X between coherent rigid

spaces is always coherent in the above sense; cf. 3.5.4. This again explains the
consistency of our terminology ‘coherent open immersion’ (defined in 2.2.2).
The following proposition is easy to see (cf. 0.1.4.1).
Proposition 7.1.5. (1) A locally of finite type morphism is of finite type if and only
if it is quasi-compact.
(2) The composition of two quasi-compact .resp. quasi-separated, resp.
coherent/ morphisms is quasi-compact .resp. quasi-separated, resp. coherent/.
(3) If 'W X ! X 0 and W Y ! Y 0 are two quasi-compact .resp. quasi-sep-
arated, resp. coherent/ morphisms over a rigid space , then the induced mor-
phism ' W X Y ! X 0 Y 0 is quasi-compact .resp. quasi-separated, resp.
coherent/.
(4) If 'W X ! Y is a quasi-compact .resp. quasi-separated, resp. coherent/
morphism over a rigid space and 0 ! is a morphism of rigid spaces, then the
induced morphism ' 0 W X 0 ! Y 0 is quasi-compact .resp. quasi-separated,
resp. coherent/.
7.2 Finite morphisms

Definition 7.2.1. (1) A morphism 'W X ! Y of coherent rigid spaces is said to be
finite if it has a finite (I.4.2.2) formal model f W X ! Y .
(2) A morphism 'W X ! Y of rigid spaces is said to be finite if it is coher-
ent (7.1.3) and for any open immersion V ,! Y from a coherent rigid space, the
induced morphism X Y V ! V between coherent rigid spaces is finite in the
sense of (1).
It follows from I.4.2.4 (4) that for a morphism 'W X ! Y of coherent rigid
spaces the definition (2) of the finiteness is consistent with (1).
Proposition 7.2.2. Let 'W X ! Y be a morphism of coherent universally Noethe-

rian rigid spaces. Then ' is finite if and only if there exists a finite and distinguished
formal model f W X ! Y of '.
Proof. The ‘if’ part is trivial. Let f W X ! Y be a finite formal model of ', and
Y 0 ! Y an admissible blow-up such that Y 0 is -torsion free, where is an ideal
of definition of Y . Let X 0 ,! X be the strict transform (1.2.8). Then by I.4.2.4 (2)
and (4) and I.4.3.5, the morphism X 0 ! Y 0 is finite.
Proposition 7.2.3. Let Y be a coherent universally Noetherian rigid space, and A

an OY -algebra that is coherent as an OY -module. Then there exists a unique up to
Y-isomorphisms finite morphism 'W X ! Y such that h'i OX Š A.
Proof. Let Y be a universally rigid-Noetherian formal model of Y. Then by 5.3.1

there exists an OY -algebra AY that is finitely presented as an OY -module. Let
X D Spf AY (I.4.1.9). Then the structural map f W X ! Y is finite (I.4.2.6). Let
' D f rig W X D X rig ! Y be the associated morphism of coherent rigid spaces.
To show that h'i OX Š A, we can assume that Y (and hence X) is affine, and it
suffices to show that .X; OX / D .Y; A/. But this follows from 6.4.1.
To show the uniqueness, suppose that there is another such finite morphism
' 0 W X 0 ! Y. Let X ! Y and X 0 ! Y be universally rigid-Noetherian formal
models of X ! Y and X 0 ! Y, respectively. Replacing Y by an affine open
subset, we may assume that Y is affinoid of the form .Spf B/rig , where B is a
t.u. rigid-Noetherian ring, and that X and X 0 are affinoids of similar form. Let
X D Spf A (resp. X 0 D Spf A0 ) be an affine formal model of X (resp. X 0 ) such
that A (resp. A0 ) is a t.u. rigid-Noetherian ring. By 6.4.1, Spec A0 and Spec A
are isomorphic outside the closed loci defined by an ideal of definition. By [89],
Première partie, (5.7.12) (recorded below in E.1.9), we have admissible blow-ups
X 00 ! X and X 00 ! X 0 , and thus X Š X 0 , as desired.
In the situation as in 7.2.3, the morphism ' is called the finite morphism asso-
ciated to A. By the uniqueness, one can also define the finite morphism associated
to a coherent OX -algebra on a general rigid space.
Proposition 7.2.4. Let 'W X ! Y be a morphism of locally universally Noetherian

rigid spaces. Then ' is finite if and only if it is the finite morphism associated to an
OY -algebra that is coherent as an OX -module.
Lemma 7.2.5. Let 'W X ! Y be a finite morphism of locally universally Noethe-

rian rigid spaces, and F a coherent OX -module. Then h'i F is a coherent
OY -module.
Proof. Take a finite formal model f W X ! Y of '. Since finite morphisms are
stable under base change (I.4.2.4 (4)), we may assume that Y has an invertible ideal
of definition (replacing Y by an admissible blow-up along an ideal of definition
of finite type). To show that h'i F is coherent, we may work locally and hence
may assume that Y is affine, Y D Spf B, with the invertible ideal of definition
I D .a/. Accordingly (I.4.2.4 (1)),X is also affine, X D Spf A. By 6.3.1, the
sheaf F corresponds to a coherent A a1 -module M . By 6.4.1,

.hXi; OX / D A a1 ; .hXi; F / D M

which are finite over the Noetherian ring .hYi; OY / D B a1 , since A is finite
over B (I.4.2.1). Since this holds for any sufficiently small affinoid open sets of Y,
we deduce that h'i F is a coherent OY -module.
Proof of Proposition 7.2.4. The ‘if’ part is clear. To show the converse, first note
that by 7.2.5 the sheaf h'i OX D A is a coherent OY -module. Then ' is isomor-
phic to the one associated to A, as one can verify by an argument similar to that in
the proof of (the uniqueness of) 7.2.3.
Proposition 7.2.6. (1) The composition of two finite morphisms between locally
universally Noetherian rigid spaces is finite.
(2) If 'W X ! X 0 and W Y ! Y 0 are two finite morphisms over a rigid space
, then the induced morphism ' W X Y ! X 0 Y 0 is finite.
(3) If 'W X ! Y is a finite morphism over a rigid space and 0 ! is a
morphism of rigid spaces, then the induced morphism ' 0 W X 0 ! Y 0 is
finite.
Proof. Statements (2) and (3) follow from I.4.2.4 (3) and (4). (Note that if (1)
holds, then properties (2) and (3) are equivalent due to 0.1.4.1.) To show (1), let
'W X ! Y and WY ! Z
be finite morphisms between coherent rigid spaces. One can take a diagram
f g
X ! Y0 ! Y !Z
consisting of coherent universally rigid-Noetherian formal schemes such that
f (resp. g) is a finite formal model of ' (resp. ) and
is an admissible blow-up.
Since we can work locally on Z, we can further assume that Z is affine, Z D Spf A.
Then, by GFGA existence theorem (I.C.3.5), one can algebraize the diagram into
the diagram of schemes
fQ Q
gQ
Xz ! Yz 0 ! Yz ! Zz D Spec A;
where fQ and gQ are finite morphisms and Q is a blow-up. By the algebraic flat-
tening theorem ([89]), there exists a U -admissible blow-up Z z 0 ! Z (with U D
Spec A n V .I /, where I A is an ideal of definition) such that the strict trans-
form Xz 0 (resp. Yz 00 ) of Xz (resp. Yz 0 ) is finite over Z
z 0 . By passage to the I -adic
completions of the resulting strict transforms, we obtain the diagram
f0 g0
X 0 ! Y 00 ! Z 0
consisting of finite morphisms such that ' D .f 0 /rig and D .g 0 /rig . Since g 0 ı f 0
is finite, ı ' is finite, as desired.
Proposition 7.2.7. Let 'W X ! Y be a finite morphism of rigid spaces. Then, for
any point y 2 hYi, the fiber h'i 1 .y/ is a finite set.
Proof. Let ˛y W Spf Vcy ! hYi be the associated rigid point of y (3.3.5). We need
to show that hX Y .Spf V by /rig i is a finite set. Hence, replacing Y by .Spf V
by /rig ,
rig
we may assume that Y is of the form .Spf V / , where V is an a-adically complete
valuation ring. Then X D .Spf A/rig , where A is finite flat over V . Since any
morphism from A to a valuation ring V 0 is induced from a unique morphism from
Ared to V 0 , we may further assume that A D Ared ; note that Ared for a topologically
of finite type V -algebra A is a-adically complete. Since A is finite over V , we have
A ˝ V K Š L1 Ln ;
where Li =K is a finite extension field for i D 1; : : : ; n. Now, in view of 3.3.6,
the points of hXi are in one-to-one correspondence with the valuation subrings of
A ˝V K containing A and dominating V . To see that there are only finitely many
such objects, it suffices to invoke the classical fact that the number of valuation
subrings of the finite extension Li (i D 1; : : : ; n) of K dominating V is finite (e.g.,
[27], Chapter VI, ÷8.3, Theorem 1).
7.3 Closed immersions

7.3. (a) Definition and first properties
Proposition 7.3.1. Let W Y ! X be a morphism of coherent universally Noethe-
rian rigid spaces. Then the following conditions are equivalent.
(a) There exists a formal model i W Y ! X of ' that is a closed immersion

between coherent universally rigid-Noetherian formal schemes.
(b) There exists a formal model i W Y ! X of ' that is a closed immersion
of finite presentation between coherent universally rigid-Noetherian formal
schemes.
(c) There exists a cofinal family of formal models fi W Y ! X g of consisting

of closed immersions between coherent universally rigid-Noetherian formal
schemes.
As a preparation for the proof, we first need the following lemma.
Lemma 7.3.2. Let i W Y ,! X be a closed immersion of coherent universally rigid-
Noetherian formal schemes. Then i factorizes as
i0 / Y0
i 00
Y / X;
where i 00 is a closed immersion of finite presentation and i 0 is a closed immersion

defined by a bounded Y 0 -torsion a.q.c. ideal, where Y 0 is an ideal of definition
of Y 0 .cf. I.4.3.12/.
Proof. Consider the surjective morphism OX ! f OY (I.4.3.8). By I.4.3.12, the
kernel K of this morphism is an a.q.c. ideal of OX . Then using Exercise I.3.4,
one finds an a.q.c. subideal K 0 K of finite type such that K=K 0 is bounded
X -torsion, where X is an ideal of definition of finite type on X. Let i 00 W Y 0 ,! X
be the closed immersion of finite presentation with the defining ideal K 0 (I.4.3.12).
Then we have the closed immersion i 0 W Y ,! Y 0 defined by K=K 0 .
Proof of Proposition 7.3.1. Let us show (a) H) (b). For a formal model i W Y ! X
of that is a closed immersion of coherent universally rigid-Noetherian formal
schemes, we obtain a factorization as in 7.3.2. We need to show that the closed
immersion i 00 gives another formal model of '. To this end, we perform the admis-
sible blow-up Y 00 ! Y 0 of Y 0 along an ideal of definition of finite type. Such an
admissible blow-up comes as the strict transform of the admissible blow-up of X
along the blow-up center of Y 00 ! Y 0 . The strict transform of Y is then isomorphic
to Y 0 , thereby the claim.
Implication (b) H) (c) follows from 1.2.10, 7.3.2, and the fact that the strict
transform of a closed immersion by an admissible blow-up is again a closed immer-
sion. Implication (c) H) (a) is trivial.
Remark 7.3.3. Note that, if the X in 7.3.1 (a) is coherent universally adhesive;
see (I.2.1.7) (and hence so is Y , and X and Y are coherent universally adhesive
rigid spaces), then one can always replace X and Y by distinguished formal models
by taking admissible blow-up along an ideal of definition of finite type. In this
situation, the closed immersion i W Y ,! X is automatically finitely presented. In
particular, one can further assume in (c) that each i is a closed immersion of finite
presentation.
Definition 7.3.4. A morphism W Y ! X of coherent universally Noetherian rigid
spaces (2.1.15) is said to be a closed immersion if it satisfies the conditions in 7.3.1.
Proposition 7.3.5. Let X be a coherent universally Noetherian rigid space and

K OX a coherent ideal. Then there exists uniquely up to canonical isomor-
phisms a closed immersion Y ,! X that induces an isomorphism of locally ringed

spaces .hYi; OY / ! .Z; OX =K/, where Z is the support of the sheaf OX =K.
Moreover, any closed immersion Y ,! X is isomorphic to the one obtained in this
way by a uniquely determined coherent ideal of OX .
The uniquely determined coherent ideal for a closed immersion Y ,! X stated

in the proposition will be called the defining ideal.
Proof. Let X be a coherent universally rigid-Noetherian formal model of X, which

we assume without loss of generality to have an invertible ideal of definition X .
rig
Then by 5.3.1 we have a finitely presented ideal KX of OX such that KX D K;
0 0
indeed, we have a finitely presented sheaf KX with the map KX ! OX such
0 rig
that KX D K; then KX D Xn K 0X for a sufficiently large n > 0 is a finitely
presented ideal of OX having the same property. Let i W Y ,! X be the closed
immersion of finite presentation corresponding to KX (I.4.3.12). Then we have the
morphism D i rig W Y D Y rig ,! X of coherent rigid spaces.
As in the proof of 7.3.1, one has a cofinal family of formal models fi W
Y ! X g of consisting of closed immersions between coherent universally rigid-
Noetherian formal schemes that dominates i W Y ,! X. We have hYi D lim Y .
For each , let KX be the defining ideal of the closed immersion i . Set K z D
lim spX1 KX , which is an ideal of OX int z ˝ OX D K. Since O int =K
such that K z
! X
is easily seen to be -torsion free (where is an ideal of definition (3.2.3)), we
deduce that
z D Supp OX =K:
Supp O int =K
X
Finally, by 0.2.2.13 (3), one sees that the map hYi ! hXi is closed, and then it is
int z
easy to see that it is actually an isomorphism onto the closed subset Supp OX =K.
To show the last assertion, let W Y ,! X be a closed immersion, and take a
formal model i W Y ,! X that is a closed immersion of finite presentation between
coherent universally rigid-Noetherian formal schemes. Since the question is local
on X, we may assume that X is affine of the form X D Spf A, where A is a t.u.
rigid-Noetherian ring (I.2.1.1). Then the closed immersion i W Y ,! X comes from
a surjective map A ! B, where Y D Spf B. Let K be the kernel of A ! B. Then
K is an a.q.c. ideal of OX that gives the kernel of OX ! i OY . It is then easy
to check that the coherent ideal K D .K /rig of OX recovers, up to isomorphism,
the closed immersion Y ,! X. The uniqueness is clear.
Corollary 7.3.6. Let W Y ! X be a morphism of coherent universally Noetherian

rigid spaces and fU˛ g˛2L a covering in the site Xad . Then is a closed immersion
if and only if for each ˛ 2 L the base change Y X U˛ ! U˛ is a closed
immersion.
The last corollary allows one to define closed immersions between locally uni-
versally Noetherian rigid spaces (2.2.23) consistently as follows.
Definition 7.3.7. (1) A morphism 'W Y ! X of locally universally Noetherian

rigid spaces (2.2.23) is called a closed immersion if it is coherent (7.1.3) and X has
a covering fX˛ g˛2L by coherent rigid spaces as in 2.2.18, such that for each ˛ 2 L
the base change Y X X˛ ! X˛ is a closed immersion in the sense of 7.3.4.
(2) A closed rigid subspace of a rigid space X is an equivalence class (by X-iso-
morphisms) of closed immersions Y ,! X.
By 7.3.5, any closed immersion as in (1) comes from a uniquely determined

coherent ideal, which we also call the defining ideal.
Proposition 7.3.8. A finite morphism W Y ! X of locally universally Noetherian

rigid spaces is a closed immersion if and only if the map OX ! hi OY .cf. 7.2.5/
is surjective.
Proposition 7.3.9. Let X be a Stein affinoid (6.5.2), and Y ,! X a closed immer-

sion. Then Y is a Stein affinoid.
Proof. Take a formal model X D Spf A of X with a t.u. rigid-Noetherian ring A

such that Spec A n V .I / is affine, where I A is an ideal of definition. As in
the proof of 7.3.5, the defining ideal of Y ,! X comes from a finitely presented
ideal of OX and thus from a finitely presented ideal K A. Set B D A=K and
Y D Spf B. Then the closed immersion Y ,! X of finite presentation gives a
formal model of Y ,! X. Clearly, Spec B n V .IB/ is affine.
Proposition 7.3.10. Let Y ,! X be a closed immersion of locally universally

Noetherian rigid spaces. Then the induced map hYi ! hXi maps hYi homeomor-
phically onto an overconvergent closed subset of hXi.
Proof. Let x 2 hYi and y be a generization of x in hXi. We need to show that

y belongs to hYi. Let ˛W Spf Vcx ! hXi and ˇW Spf W yx ! hYi be the associated
int int
rigid points (3.3.5). The surjective map OhXi;x ! OhYi x
(cf. I.4.3.7) gives rise
to a local surjective map hW Vx ! Wx . Since h is, at the same time, a-adic, it is
an injective map (cf. the proof of 0.6.7.6). Hence, h is an isomorphism, and thus
cx Š W
V yx . Now since y belongs to the image of ˛, we deduce that y belongs to
hYi, as desired.
Proposition 7.3.11. (1) Any closed immersion is a finite morphism.

(2) If 'W Z ! Y and W Y ! X are closed immersions, then so is the compo-
sition ı '.
(3) If 'W X ! X 0 and W Y ! Y 0 are two closed immersions over a rigid
space such that either X and X 0 , or X and Y 0 are locally of finite type over ,
then the induced morphism ' W X Y ! X 0 Y 0 is a closed immersion.
(4) If 'W X ! Y is a closed immersion over a rigid space and 0 ! is a
morphism of rigid spaces such that either X and Y are locally of finite type over
or that 0 is locally of finite type over , then the induced morphism
' 0 W X 0 ! Y 0
Proof. (1) is clear. (2) can be shown by an argument similar to that in 7.2.6 (1).
(3) follows easily from I.4.3.10 (2). Finally, (4) follows due to 0.1.4.1.
7.3. (b) Irreducible rigid spaces

Definition 7.3.12. We say that a locally universally Noetherian rigid space X is
irreducible (or, more adequately, globally irreducible) if the following condition is
satisfied: if hXi D hYi [ hZi, where Y and Z are closed rigid subspaces (7.3.7) of
X, then either hXi D hYi or hXi D hZi holds.
7.3. (c) Open complement

Definition 7.3.13. Let X be a locally universally Noetherian rigid space, and let
Y ,! X be a closed subspace. The open complement of Y in X is the open
subspace U of X, denoted by X n Y, such that hUi D hXi n hYi.
The Zariski–Riemann space hUi of the open complement U is, therefore, an
overconvergent open subset of X, due to 7.3.10. The actual construction of U is
given as follows.
Construction 7.3.14. It is enough to perform the construction in the case where
the space X is coherent. Take a cofinal family of formal models fi W Y ! X g
of Y ,! X consisting of closed immersions between coherent universally rigid-
S schemes (7.3.1). For any , let U be the open complement of
Noetherian formal
Y in X . Then 2ƒ spX1 .U / gives the complement hXi n hYi.
rig
Now define for any ˛ the coherent rigid space U D U . For we have
an obvious coherent open immersion U ,! U . Hence fU g is an increasing
family of coherent rigid spaces and defines a S
quasi-separated rigid space (stretch
of coherent rigid spaces; cf. 2.2.17 (1)) U D 2ƒ U . There exists an obvious
open immersion U ,! X. By 3.1.9, hUi D hXi n hYi, as desired.
7.3. (d) Closed subspaces of an affinoid. Let X D .Spf A/rig be a universally

Noetherian affinoid, where A is a t.u. rigid-Noetherian ring with a finitely gen-
erated ideal of definition I A. Consider the associated Noetherian scheme
s.X/ D Spec A n V .I / (see ÷6.6. (a)) and the comparison map sW hXi ! s.X/
(see ÷6.6. (b)).
For any closed subscheme Z s.X/, take a closed subscheme Z x Spec A of
finite presentation such that Z D Z x \ s.X/. Take the I -adic completion Z y of Z,
x x
which is a closed formal subscheme of Spf A of finite presentation. Then we have
the closed subspace Z D .Z/ y rig of X. By the construction, if J is the defining
x
coherent ideal of Z on s.X/, then the coherent ideal J rig (6.3.2) gives the defining
ideal of Z on X. Note that, since the coherent ideal J rig is nothing but the pull-
back sheaf s J D JOX (cf. 6.6.3 and 6.6.5), the locally ringed space .hZi; OZ / is
canonically isomorphic to the fiber product
Z s.X/ hXi
in the category LRsp.
Proposition 7.3.15. (1) For any closed subset Z .resp. open subset U / of s.X/, the
pull-back s 1 .Z/ .resp. s 1 .U // in hXi is an overconvergent closed .resp. open/
subset (4.3.2).
(2) For any closed subscheme Z of s.X/ there exists a unique closed subspace
Z of X such that .hZi; OZ / is isomorphic to the fiber product Z s.X/ hXi in
the category of locally ringed spaces. Moreover, the correspondence Z 7! Z
establishes the bijection between the set of all closed subschemes .resp. irreducible
closed subschemes/ of s.X/ and the set of all closed subspaces .resp. irreducible
closed subspaces/ of X.
Proof. (1) follows from 4.3.3 and 6.6.2. Since closed subspaces of X are deter-
mined by its coherent defining ideal of OX , (2) follows from 6.6.5.
Notation 7.3.16. For a closed subscheme Z of s.X/, the corresponding closed

subspace Z of X as in 7.3.15 (2) is denoted by
s Z:
On the other hand, for a closed subspace Z of X, the corresponding closed sub-
scheme of s.X/ is (consistently) denoted by
s.Z/:
Note that we have hs Zi D s 1

.Z/ as a topological space.
7.4 Immersions
7.4. (a) Immersions and rigid subspaces
Definition 7.4.1. A morphism 'W Y ! X of locally universally Noetherian rigid

spaces (2.2.23) is said to be an immersion if it is a composition ' D j ı i , where i
is a closed immersion and j is an open immersion.
Proposition 7.4.2. Let 'W Y ! X be a morphism of locally universally Noetherian

rigid spaces, and fV˛ ,! XgS ˛2L a family of open immersions such that ' factors
through the open immersion ˛2L V˛ ,! X. Then ' is an immersion if and only
if for any ˛ 2 L the base change Y X V˛ ! V˛ is an immersion.
Proof. The ‘only if’ part is clear. Let us show the other part. Take an open im-
mersion U˛ ,! V˛ for each ˛ 2 L, such that the immersion Y X V S˛ ! V˛
factors through the closed immersion Y X V˛ ,! U˛ . Set U D ˛2L U˛ ,
which is an open subspace of X. Then by 7.3.6 the morphism Y ! U is a closed
immersion.
Proposition 7.4.3. (1) If 'W Z ! Y and W Y ! X are immersions, then so is the

composition ı '.
(2) If 'W X ! X 0 and W Y ! Y 0 are two immersions over a rigid space
such that either X and X 0 or X and Y 0 are locally of finite type over , then the
induced morphism
' W X Y ! X 0 Y 0
is an immersion.
(3) If 'W X ! Y is an immersion over a rigid space and 0 ! is a
morphism of rigid spaces such that either X and Y are locally of finite type over
' 0 W X 0 ! Y 0
is an immersion.
To show (1), we need to prove the following lemma.
Lemma 7.4.4. Let Z ,! Y be an open immersion, and Y ,! X a closed immer-

sion. Then the composition Z ,! X is an immersion.
Proof. We identify Y with a closed subspace of X, and Z with an open subspace

of Y. There exists an open subset U of hXi that contains hZi as a closed subset.
Let U X be the open subspace supported on U. Then Z ,! U is a closed subset
given by the defining ideal of Y ,! X restricted on U.
Proof of Proposition 7.4.3. (1) follows from 7.4.4. (2) follows from 7.3.11 (3) and
the corresponding (obvious) assertion for open immersions. Due to 0.1.4.1, asser-
tion (3) follows automatically.
Proposition 7.4.5. Let 'W X ! Y be a morphism of locally universally Noetherian
rigid spaces. Then the diagonal morphism X W X ! X Y X is an immersion.
Proof. As in the proof of I.4.6.1, we may assume, in view of 7.4.2, that ' has a
formal model of the form Spf A ! Spf B. The diagonal map X in this case is a
closed immersion due to I.4.3.7.
Definition 7.4.6. Let X be a locally universally Noetherian rigid space. A .locally
closed/ rigid subspace of X is an X-isomorphism class of immersions Y ,! X.
7.5 Separated morphisms and proper morphisms

7.5. (a) Closed morphisms
Proposition 7.5.1. Let 'W X ! Y be a morphism between coherent rigid spaces.
(a) h'iW hXi ! hYi is a closed map.
(b) For any point x 2 hXi,
h'i.fxg/ D fh'i.x/g:
(c) Any distinguished formal model f W X ! Y of ' is closed.
(d) There exists a cofinal subset C of formal models of ' consisting of closed
maps.
Proof. Implication (a) H) (b) is a consequence from general topology. To show
(b) H) (c), let f W X ! Y be a distinguished formal model of ', and take an ideal
of definition Y of finite type of Y . Set X D Y OX . Denote by X0 and Y0
the closed subschemes of X and Y defined respectively by X and Y , and let
f0 W X0 ! Y0 be the induced morphism. We need to show that f .Z/ is closed for
any closed subset Z X. By [54], II, (7.2.2), it suffices to show that f .Z/ is
closed under specialization.
Take z D f .x/ 2 Z. By 3.1.5, we can find a point u 2 hXi such that spX .u/ D
x. Since the specialization map spX is closed (3.1.2 (2)), spY .fh'i.u/g/ D fzg. It
then follows from our hypothesis that
spY .fh'i.u/g/ D spY .h'i.fug// D f .spX .fug//:
Now since Z is closed, spX .fug/ Z. Hence, fzg F .Z/, as desired.

Implication (c) H) (d) is obvious; (d) H) (a) follows from 0.2.2.13 (3).
Definition 7.5.2. A morphism 'W X ! Y of rigid spaces is said to be closed if the

associated map h'iW hXi ! hYi is closed.
Proposition 7.5.3. An immersion between locally universally Noetherian rigid

spaces is a closed immersion if and only if it is closed.
Proof. The ‘only if’ part is clear. Let 'W Y ,! X be an immersion, which we
suppose to be closed. By 7.3.6, we may assume that X is coherent. Write ' D j ı,
where W Y ,! U is a closed immersion, and j W U ,! X is an open immersion.
Since the image of hYi in hXi is closed, and hence is quasi-compact, we may
assume that U is quasi-compact, and hence that it is a quasi-compact open subspace
of X. Then one can take, using 1.1.9 if necessary, the coherent rigid-Noetherian
distinguished formal models Y ,! U ,! X consisting of a closed immersion
followed by a coherent open immersion, so that the composite Y ,! X gives a
formal model of . By 7.5.1, Y ,! X is closed, and is an immersion. Then by
I.4.5.10, one deduces that Y ,! X is a closed immersion, and hence ' is a closed
immersion, as desired.
7.5. (b) Separated morphisms and proper morphisms
Definition 7.5.4. Let 'W X ! Y be a morphism of rigid spaces.

(1) The morphism ' is said to be universally closed if for any morphism Z ! Y
of rigid spaces the base change 'Z W X Y Z ! Z is closed.
(2) The morphism ' is said to be separated if the diagonal morphism
X W X ! X Y X
is quasi-compact and closed.

(3) The morphism ' is said to be proper if it is of finite type, separated, and
universally closed.
Note that, due to 7.4.5 and 7.5.3, a morphism 'W X ! Y of locally universally
Noetherian rigid spaces (2.2.23) is separated if and only if the diagonal morphism
X W X ! X Y X is a closed immersion. Proposition 7.5.5 follows immediately
from the definition.
Proposition 7.5.5. Any separated morphism is quasi-separated.

Theorem 7.5.6. Let 'W X ! Y be a finite type morphism of coherent rigid spaces.
(a) ' is separated.
(b) Any distinguished formal model f W X ! Y of ' is separated.
(c) There exists a separated formal model f W X ! Y .
(d) There exists a cofinal set of formal models of ' consisting of separated
morphisms.
Proof. First let us prove that (a) H) (b). Take a distinguished formal model
f W X ! Y of ', and consider the commutative diagram
X0 /Z

X / X Y X
where the right vertical map is the admissible blow-up along an ideal of definition
of finite type, and the left vertical map is the strict transform. Since X is a dis-
tinguished formal model of X, the map X 0 ! X, which is again an admissible
blow-up, is surjective. Hence, to show that X ! X Y X is closed, it suffices to
show that X 0 ! X Y X is closed. Since the admissible blow-up is proper, we
only need to show that X 0 ! Z is closed. But since this is a distinguished formal
model of X ! X Y X, it is closed due to 7.5.1.
Implication (b) H) (c) is obvious. To show that (c) H) (d), take a separated
formal model f W X ! Y of '. For any formal model gW X 0 ! Y 0 of ' there exists
a formal model h dominating g of the form
f Y idY 00
X 00 ! X Y Y 00 ! Y 00 ;
where and Y 00 ! Y are admissible blow-ups. The morphism h is clearly sepa-

rated (I.4.6.8 (2)), whence the claim.
Finally, implication (d) H) (a) follows from the following observation: by 7.5.1
the diagonal morphism X ! X Y X is closed.
Proposition 7.5.7. Let 'W X ! Y be a separated morphism of locally universally

adhesive rigid spaces (2.2.23), where Y D .Spf B/rig is a Stein affinoid with B a t.u.
adhesive ring (I.2.1.1). Then for any Stein affinoid open subspaces U D .Spf P /rig
and V D .Spf Q/rig of X with P and Q t.u. adhesive, U X V is a Stein affinoid
open subspace of the form .Spf R/rig with R t.u. adhesive.
Proof. Consider the open subspace U Y V of X Y X, which is a Stein affinoid,

since we have U Y V D .Spf P 0 Spf B Spf Q0 /rig , where P 0 and Q0 are as in 6.2.5.
Note that the schemes Spec B n V .I / (where I B is an ideal of definition),
Spec P 0 n V .IP 0 /, and Spec Q0 n V .IQ0 / are affine.
First we show that U Y V is a Stein affinoid. It is an affinoid of the form
Spf P 0 b̋B Q0 ; the scheme Spec P 0 b̋B Q0 n V .I.P 0 b̋B Q0 // is the pull-back of the
affine scheme Spec P 0 ˝B Q0 n V .I.P 0 ˝B Q0 // by the affine map
Spec P 0 b̋B Q0 ! Spec P 0 ˝B Q0
and hence is affine. This shows that U Y V is a Stein affinoid.
Now the space U X V in question is the pull-back of U Y V by the closed
immersion X ! X Y X and hence is a closed subspace of the Stein affinoid
U Y V . Now the assertion follows from 7.3.9.
Proposition 7.5.8. Let 'W X ! Y be a morphism of locally universally Noethe-
rian rigid spaces, and W Y ! Z a separated and locally of finite type morphism
between locally universally Noetherian rigid spaces. Then the graph map
' W X ! X Z Y
Proof. Since Y ! Z is locally of finite type, the fiber product X Z Y is locally
universally Noetherian. Then the proof goes similarly to I.4.6.12.
By an argument similar to that in I.4.6.14, we have the following result.
Proposition 7.5.9. Let P be a property of morphisms in the category of locally uni-
versally Noetherian rigid spaces satisfying (I), (C) in 0, ÷1.5. (b) and the mutually
equivalent conditions .Bi / for i D 1; 2; 3 with Q D ‘locally of finite type’ in 0,
÷1.5. (c). Suppose that any closed immersion satisfies P . Then the following holds:
if 'W X ! Y and W Y ! Z are morphisms of locally universally Noetherian rigid
spaces such that ı ' satisfies P and is separated and locally of finite type, then
' satisfies P .
Corollary 7.5.10. Let 'W X ! Y and W Y ! Z be morphisms of locally univer-
sally Noetherian rigid spaces, and suppose is separated and locally of finite type.
If ı ' satisfies one of the following conditions, then so does ':
(a) locally of finite type .resp. of finite type/,
(b) quasi-compact .resp. quasi-separated, resp. coherent/,
(c) finite,
(d) closed immersion .resp. immersion/,
(e) closed .universally closed/.
Proposition 7.5.11. (1) The composition of two separated morphisms of locally

universally Noetherian rigid spaces is separated.
(2) An open immersion of rigid spaces is separated. A closed immersion of rigid
spaces is separated.
(3) Let 'W X ! Y be a morphism of rigid spaces, and fV˛ ,! Yg˛2L an
admissible covering. Then ' is separated if and only if X Y V˛ ! V˛ is separated
for each ˛ 2 L.
Proof. (1) Let 'W X ! Y and W Y ! Z be separated morphisms of rigid spaces.

Since the diagonal morphism Y ! Y Z Y is a closed immersion, so is the mor-
phism X Y X ! X Z X (as it is the base change of the former morphism by the
canonical morphism X Z X ! Y Z Y). The diagonal X ! X Z X coincides
with the composite of X ! X Y X followed by X Y X ! X Z X, whence
the result.
(2) is clear.
(3) Set U˛ D X Y V˛ for each ˛ 2 L. Then the diagonal U˛ ! U˛ V˛ U˛
is the base change of X ! XY X by the open immersion U˛ V˛ U˛ ! XY X.
Then taking the associated maps between the Zariski–Riemann spaces, we deduce
the desired equivalence of conditions by 7.5.1.
Corollary 7.5.12. All rigid spaces here are supposed to be locally universally
Noetherian.
(1) If 'W X ! X 0 and W Y ! Y 0 are two separated morphisms over a rigid

space , then the induced morphism ' W X Y ! X 0 Y 0 is separated.
(2) If 'W X ! Y is a separated morphism over a rigid space and 0 ! is a

morphism of rigid spaces, then the induced morphism ' 0 W X 0 ! Y 0
is separated.
(3) If the composition ı ' of two morphisms of rigid spaces is separated, then
' is separated.
Proof. By 7.5.11 (3), we may assume that the rigid spaces in question are all coher-
ent. Then the assertions follow easily from 7.5.6, I.4.6.8, and I.4.6.5. To show (3),
we use the fact that an admissible blow-up is separated. Note that (1) and (2) are
equivalent due to 0.1.4.1.
Theorem 7.5.13. Let 'W X ! Y be a separated morphism of finite type of coherent

rigid spaces. The following conditions are equivalent.
(a) ' is proper (7.5.4 (3)).

(b) Any distinguished formal model f W X ! Y of ' is proper.
(c) There exists a proper formal model f W X ! Y .
(d) There exists a cofinal set of formal models of ' consisting of proper mor-
phisms.
Proof. First we show (a) H) (b). Take a distinguished formal model f W X ! Y of

'. To see that f is proper, it suffices by Exercise I.5.4 to show that
yN ! A
f Y idAy N W X Y A yN
Y
Y Y
is closed for any N 0. But the morphism f Y idAy N is nothing but the formal
Y
model of ' Y idDN (cf. ÷2.5. (c)), and so the claim follows from 7.5.1.
Y
Implication (b) H) (c) is obvious. To show (c) H) (d), take a proper formal
model f W X ! Y of '. For any formal model gW X 0 ! Y 0 of ', there exists a
model h dominating g of the form
f Y idY 00
X 00 ! X Y Y 00 ! Y 00 ;
where and Y 00 ! Y are admissible blow-ups. The morphism h is clearly proper,

see I.4.7.5 (3), whence the claim.
Finally, let us show (d) H) (a). By 7.5.1, the morphism ' is closed. It suffices
then to see that (d) is preserved after base change. But since (d) implies (c), and
since (c) is preserved after base change, the claim follows.
Proposition 7.5.14. (1) A finite morphism is proper.

(2) The composition of two proper morphism between locally universally Noethe-
rian rigid spaces is proper.
(3) Let 'W X ! Y be a morphism of rigid spaces, and fV˛ ,! Yg˛2L a cover-
ing in the small admissible site Yad . Then ' is proper if and only if X Y V˛ ! V˛
is proper for each ˛ 2 L.
Proof. (2) and (3) are easy to see. We show (1). Let 'W X ! Y be a finite mor-
phism of rigid spaces. Since properness is a local condition due to (3), we may
assume that both Y and X are coherent. Then it is proper by 7.5.13 and I.4.7.4.
Corollary 7.5.15. (1) If 'W X ! X 0 and W Y ! Y 0 are two proper morphisms

over a rigid space , then the induced morphism ' W X Y ! X 0 Y 0 is
proper.
(2) If 'W X ! Y is a proper morphism over a rigid space and 0 ! is a
morphism of rigid spaces, then the induced morphism ' 0 W X 0 ! Y 0 is
proper.
(3) Suppose that the composition ı ' of two morphisms between rigid spaces
is proper. If is separated, ' is proper.
Proof. We first claim the following fact: if X ! Y is a separated morphism and
Y is quasi-separated, then X is quasi-separated. This indeed follows from 7.5.5.
Hence, in particular, if it is proper and Y is coherent, then X is again coherent.
Combining this with 7.5.14 (3), we may assume that the rigid spaces in question
are all coherent; then the claim follows easily from 7.5.13 and I.4.7.5. In view
of 0.1.4.1 (2) also holds. Finally, (3) can be shown by an argument similar to that
in the proof of 7.5.12 (3).
Corollary 7.5.16. Let 'W X ! Y be a separated morphism of finite type of rigid
spaces. Then ' is proper if and only if ' Y idDN W X Y DN N
Y ! DY is closed for
Y
any N 0.
Proof. One can assume that Y (and hence X also) is coherent. Then the corollary
follows from the argument in the proof of (a) H) (b) of 7.5.13.
7.5. (c) Valuative criterion

Theorem 7.5.17. Let 'W X ! Y be a morphism of finite type between locally
universally Noetherian rigid spaces.
(1) The morphism ' is separated if and only if the following condition is satis-
fied: Let ˛W T ! Y be a rigid point .cf. 3.3.1 .1// with a generization T 0 ! T ,
and suppose we are given a commutative diagram
ˇ
T0 /X
'

T /Y
˛
Then there exists at most one morphism T ! X making the resulting diagram
commutative.
(2) The morphism ' is proper if and only if the following condition is satisfied:
Let ˛W T ! Y be a rigid point with a generization T 0 ! T , and suppose we
are given a commutative diagram as above. Then there exists a unique morphism
T ! X making the resulting diagram commutative.
Here by a generization of a rigid point ˛W T D .Spf V /rig ! Y we mean the

rigid point of the form T 0 D .Spf V 0 /rig ! T ! Y, where V 0 D Vyp by a prime
ideal p V .
Proof. (1) Suppose that ' is separated and that a rigid point ˛W T D .Spf V /rig !
Y is given. Consider the base change X Y T ! T , which is again separated
by 7.5.12 (2). We need to show is that if ˇQ1 and ˇQ2 are two sections having the
common generization ˇ (as in the diagram below), then ˇQ1 D ˇQ2 :
ˇ
T 0 ■ / X Y\ T\
■■■
■■ ˇQ1 ;ˇQ2
■■
■$
T.
To show this, we may assume that Y D T and thus that X D X Y T . The
two sections define the morphism T ! X T X, which, restricted to T 0 , factors
through the diagonal morphism X ! X T X. Since the diagonal morphism is a
closed immersion, it gives rise to a closed immersion hXi ,! hX T Xi. Hence
the map hT i ! hX T Xi factors through hXi. By 3.3.3, we get a rigid point
T ! X, which coincides with the sections ˇQ1 and ˇQ2 . Hence ˇQ1 D ˇQ2 , as desired.
Suppose, conversely, that the condition in (1) is satisfied. We want to show that
the diagonal morphism X W X ! X Y X is closed. By 7.5.1, this is the case if
and only if
hX i.fxg/ D fhX i.x/g
for any x 2 hXi. As the left-hand side is clearly contained in the right-hand side,
we need to show that for any x 2 hXi and a specialization y 0 of y D hX i.x/,
there exists a specialization x 0 of x that is mapped to y 0 .
Let W D V cx , and let ˇW T 0 D .Spf Vyx /rig ! X be the rigid point associated
to x (3.3.5). Consider the inclusion of valuation rings Vc c
y 0 ,! Vy ,! W ; the last
injectivity is due to the fact that the map is an adic homomorphism (0.6.7.6). Let
V be the integral closure of Vc y 0 in W . Then V is again an a-adically complete
valuation ring, and W is a localization of V . We have a rigid point
Q T D .Spf V /rig ! X Y X:
ˇW
The rigid point ˇQ gives rise to two rigid points ˇQ1 ; ˇQ2 W T ! X by projections. Let
˛W T ! Y be the composition ' ı ˇQ1 D ' ı ˇQ2 . Then we have the commutative
diagram
ˇ
T0 /X
'

T /Y
˛
together with two T -sections ˇQ1 and ˇQ2 . Since T 0 is a generization of T , ˇQ1 D ˇQ2 .
Let x 0 be the image of the closed point under the map
hˇQ1 i D hˇQ2 iW Spf V ! hXi:
Then by the construction the point x 0 is a specialization of x and is mapped to y 0

by the map hX i.
(2) We first show the ‘only if’ part. Suppose that ' is proper and that the dia-
gram as above is given. Since the properness is stable under base change (7.5.15 (2)),
we may assume T D Y. Then we have the diagram
ˇ
T 0❇ /X
❇❇
❇❇ '
❇
T
where ˇ is a T 0 -section of ', and we need to show that there exists a section
ˇQ of ' that extends ˇ (the uniqueness follows from separatedness and what we
have already shown above). Set T D .Spf V /rig and T 0 D .Spf W /rig , where
W is a localization of V . Let x be the image of the closed point under the map
hˇiW Spf W ! hXi. Since ' is closed, h'i.fxg/ D fh'i.x/g D Spf V . Hence
there exists a specialization x 0 of x that is mapped to the closed point of Spf V by
h'i. By 4.1.3 and 3.3.4 (2), the map hˇi factors through the associated rigid point
Spf Vcx 0 ! hXi. Hence we have a chain of maps
Spf W ! Spf Vc
x 0 ! Spf V I
accordingly, we have
V ! Vc
x 0 ! W:
All these maps are injective, since they are adic homomorphisms (0.6.7.6). More-
over, the first map is local; that is, Vcx 0 dominates V . Since W is a localization of
V , we have Frac.V / D Frac.Vc x 0 /. Hence, V D Vc x 0 . Thus we get the rigid point
Spf V ! hXi and a section T ! X, as desired.
Suppose, conversely, that the condition in (2) is satisfied. Due to the uniqueness,
' is separated; since the condition in question is stable under base change, it suffices
to show that the morphism ' is closed. By 7.5.1 this is equivalent to that for any
x 2 hXi we have the equality
h'i.fxg/ D fh'i.x/g:
As the left-hand side is clearly contained in the right-hand side, we need to show
that for any x 2 hXi and a specialization y 0 of y D h'i.x/, there exists a special-
ization x 0 of x that is mapped to y 0 .
cx , and let
Set W D V
ˇW T D .Spf W /rig ! X
be the associated rigid point. Similarly to the proof of (1) as above, we have inclu-
sions of valuation rings
Vc c
y 0 , ! Vy , ! W:
Let V be the integral closure of Vc

y 0 in W . Then we have a rigid point
˛W T D .Spf V /rig ! Y:
We have, by the hypothesis, a T -section T ! X of '. Let x 0 be the image of the

closed point under the corresponding map Spf V ! hXi. Then x 0 is a specializa-
tion of x that is mapped to y 0 .
7.5. (d) Finiteness theorem. Let us include here a finiteness theorem of coho-
mologies of coherent sheaves for proper morphisms of universally adhesive rigid
spaces. First we note the following ‘boundedness’ result for cohomologies of sepa-
rated (7.5.4 (2)) and quasi-compact (7.1.3) morphisms of rigid spaces.
Proposition 7.5.18. Let 'W X ! Y be a separated and quasi-compact morphism

between universally adhesive rigid spaces (2.2.23). There exists an integer r > 0
such that for any coherent OX -module F and any q r, we have Rq ' F D 0.
If, moreover, Y is a Stein affinoid, then one can take as r the minimum number of
Stein affinoids in a Stein affinoid covering of X.
Proof. This follows immediately from that fact that, by 7.5.7 and 6.5.7, a Stein
affinoid covering is a Leray covering for coherent sheaves.
For a rigid space X we denote by D .X/ ( D “ ”, C, , b) the derived

category of the abelian category of OX -modules. The full subcategory of D .X/
consisting of objects with coherent cohomologies is denoted by Dcoh .X/. The next
theorem establishes the finiteness of coherent cohomologies of proper (7.5.4 (3))
morphisms between quasi-compact universally adhesive rigid spaces.
Theorem 7.5.19 (finiteness theorem for proper morphisms). Let 'W X ! Y be

a proper morphism between universally adhesive rigid spaces (2.2.23). Then the
functor R' maps Dcoh .X/ to Dcoh .Y/ for D “ ”, C, , b.
To show the theorem, we need the following lemma.

Lemma 7.5.20. Let fXi ; pij gi 2I and fYi ; qij gi 2I be projective systems of ringed
spaces indexed by a common directed set I , and ffi W Xi ! Yi gi 2I a morphism of
these systems .that is, qij ı fj D fi ı pij for any i j / such that
for any i 2 I the underlying topological spaces of Xi and Yi are coher-
ent (0.2.2.1) and sober (0, ÷2.1. (b)),
for any i j the underlying continuous mapping of the transition maps
pij W Xj ! Xi and qij W Yj ! Yi are quasi-compact (0.2.1.4 (2)), and
for any i 2 I the underlying continuous mapping of fi W Xi ! Yi is quasi-
compact.
Let 0 2 I be an index and F0 an OX0 -module. Then the canonical morphism
lim qi Rq fi p0i

F0 ! Rq f p0 F0
!
i 0
is an isomorphism for any q 0, where qi for i 2 I is the canonical projection

Y D lim Yj ! Y .
j 2I

Proof. Since lim pi 1 p0i F0 Š p0 F0 by 0.4.2.4, the desired result for
!i 2I
q D 0 follows from 0.3.1.15 and 0.4.2.7. The general assertion can be shown
by an argument similar to that in 0, ÷3.1. (g).
Proof of Theorem 7.5.19. By a standard reduction process similar to that in I,
÷8.4. (b), it suffices to show that for any coherent OX -module F the sheaf Rq ' F
is a coherent OY -module. For this we may assume that Y is coherent (and then
so is X). By 5.3.1, there exist a distinguished formal model f W X ! Y of ' and
rig
a coherent OX -module FX such that FX D F . By 7.5.13, the morphism f is
proper. Now applying I.11.1.1, we know that Rq f FX is a coherent OY -module.
Since any distinguished model of ' is proper and distinguished models are cofinal
among all the formal models, we get the assertion by 7.5.20 and Deligne’s formula
(Exercise II.3.1).
7.6 Projective morphisms

Let Y be a coherent universally Noetherian rigid space, and 'W X ! Y a proper
morphism (hence X is coherent). Let L be an invertible OX -module. By 5.4.6,
int
one can take an invertible OX -module LC that gives an integral model of L.
Definition 7.6.1. The sheaf LC is said to be '-positive, or positive relative to ', if
there exist a formal model f W X ! Y of ' and an invertible sheaf LX such that

spX LX D LC and that LX is ample, that is, L0 D L= X L is f0 -ample, where
X is an ideal of definition of finite type of X and f0 W X0 ! Y0 is the induced
morphism of schemes obtained by mod X -reduction.
Definition 7.6.2. A proper morphism 'W X ! Y of coherent universally Noethe-

rian rigid spaces is said to be projective if there exists a pair .L; LC / consisting of
an invertible OX -module L and an invertible integral model of it such that LC is
'-positive.
Proposition 7.6.3. Let 'W X ! Y be a morphism of coherent universally Noethe-

rian rigid spaces, where Y D .Spf B/rig is an affinoid with B t.u. rigid-Noetherian.
Then ' is projective if and only if there exist a finitely generated B-module E and
1
a Y-closed immersion X ,! P .E/rig .
Proof. The ‘if’ part is easy to see. To show the ‘only if’ part, we may assume that B
is I -torsion free, where I is an ideal of definition of B. Let .L; LC /, where L is of
an invertible OX -module and LC is an invertible integral model that is '-positive.
Take a formal model f W X ! Y 0 of ' and an f -ample LX such that spX
LX D LC .
0
By [54], II, (4.6.13) (iii), we may assume that between Y and Y D Spf B there is
an admissible blow-up W Y 0 ! Y . We may also assume that OX is I -torsion free.
Let J be the admissible ideal of Y such that is the admissible blow-up along
J. Then JOY 0 is -ample, and hence LX ˝OY f .JOY 0 /˝n for some n > 0 is
ı f -ample ([54], II, (4.6.13) (ii)). By an argument similar to that in the proof
of [54], III, (5.4.3), applied to the proper map ı f , we get a Y -closed immersion
1
X ,! P .E/ for some B-module E of finite type, whence the desired result.
Proposition 7.6.4. (1) Any closed immersion is projective.

(2) If 'W Z ! Y and W Y ! X are projective, then so is the composition ı '.
If ı ' is projective and is separated, then ' is projective.
(3) If 'W X ! X 0 and W Y ! Y 0 are two projective morphisms over a rigid
space such that either X and X 0 or X and Y 0 are locally of finite type over ,
then the induced morphism ' W X Y ! X 0 Y 0 is projective.
(4) If 'W X ! Y is a projective morphism over a rigid space and 0 ! is
a morphism of rigid spaces such that either X and Y are locally of finite type over
' 0 W X 0 ! Y 0
is projective.
Proof. (1) is clear. To show (2), let .L; LC / (resp. .M; M C /) be the pair as in 7.6.2
for the morphism ' (resp. ). Let f W X ! Y (resp. gW Y 0 ! Z) be a formal
model of ' (resp. ) with the relatively ample sheaf LX (resp. MY 0 ) as in 7.6.1.
By [54], II, (4.6.13) (iii), we may assume that Y is an admissible blow-up of Y 0 .
Write the admissible blow-up as W Y ! Y 0 , and let J be the blow-up center. Then,
by [54], II, (4.6.13) (ii), the sheaf LX ˝ f .JOY 0 ˝ MY˝m 0 /
˝n
for sufficiently
large n and m is ample relative to the composite map g ı ı f . Let this sheaf be

NX . Then the pair ..spX NX /rig ; spX NX / guarantees that the composition ı '
is projective. Thus the first half of (2) is proved. (3) and (4) are proved by similar
arguments with the aid of [54], II, (4.6.13) (iii) and (iv). Finally, in view of 7.5.9,
the second half of (2) follows.
Exercises
Exercise II.7.1. Let X ! Z - Y be a diagram consisting of universally Noethe-
rian affinoids, where the second morphism is a closed immersion. Show that the
canonical morphism of the associated schemes (cf. 6.6. (a))
s.X Z Y/ ! s.X/ s.Z/ s.Y/
is an isomorphism.
Exercise II.7.2. Let Y be a rigid space and ˛W T ! Y a rigid point. We say that the
rigid point ˛ is essentially of finite type if T is Y-isomorphic to the associated rigid
point (3.3.5) to a point x of the disk DN Y for some N 0. Show that in 7.5.17 (2)
it is enough to use a rigid point of Y essentially of finite type.
8 Classical points
The main aim of this section is to discuss the so-called classical points. Classical
points are, roughly speaking, the points of rigid spaces of type (VR ) (2.5.1) or of
type (N) (2.5.2) that are, so to speak, already dealt with in classical rigid geometry.
In ÷8.1 we first introduce a useful concept, the spectral functors, which provides a
general framework for dealing with several kinds of points on rigid spaces. Spec-
tral functors are useful not only in this section, but in later sections in the appendix,
where we discuss the classical rigid geometry (÷B) and Berkovich analytic geome-
try (÷C.6).
In ÷8.2 we define and discuss classical points. The basic facts discussed in
this subsection provide a platform for comparing later our rigid geometry with the
classical rigid geometry and with Berkovich analytic geometry.
In the final subsection, ÷8.3, we prove the Noetherness theorem (8.3.6), which
asserts that if X is a rigid space of type (V) or of type (N), then the local ring
Bx D OX;x at any point x 2 hXi is a Noetherian ring.
8. Classical points 581
8.1 Spectral functors

8.1. (a) Definitions
Definition 8.1.1. Let C be a subcategory of the category of rigid spaces Rf.
(1) We say that C is O-stable if for any X 2 obj.C / any open immersion
U ,! X belongs to C .
(2) We say that C is QCO-stable if for any X 2 obj.C / any quasi-compact
open immersion U ,! X belongs to C .
Definition 8.1.2. Let C be a subcategory of Rf, and
S W C ! Top
a functor. Consider the following conditions.
(a) There exists a natural transformation from S to h i that induces for any
X 2 obj.C / an inclusion of sets S.X/ hXi.
(b) S.X/ D ; if and only if X D ;.
(c) For any quasi-compact open immersion U ,! V in C the induced map
of topological spaces S.U/ ! S.V / maps S.U/ homeomorphically onto
S.V / \ hUi with the subspace topology induced by the topology on S.V /.
(d) For a quasi-compact open immersion U ,! V in C the equality S.U/ D
S.V / holds if and only if U D V .
The functor S is called a prespectral functor if it satisfies (a), (b), and (c). If it
furthermore satisfies (d), then it is called a spectral functor.
Note that we do not assume in (a) that the topology on S.X/ is the topology
induced by hXi. Note also that if S is prespectral (resp. spectral), then S jC 0 is
prespectral (resp. spectral) for any subcategory C 0 of C .
Proposition 8.1.3. Let C be a QCO-stable subcategory of Rf and S W C ! Top
a spectral functor. Then for any X in C and any quasi-compact open immersions
U ,! X and V ,! X, S.U/ D S.V / implies U D V .
Proof. The open immersion U \ V ,! U is quasi-compact and hence belongs
to C due to the QCO-stability. By 8.1.2 (c), we have S.U/ D S.X/ \ hUi and
S.V / D S.X/ \ hV i. Further, S.U/ D S.U/ \ S.V / D S.X/ \ hUi \ hV i D
S.X/\hU\V i by our assumption. Since the composition U\V ,! U ,! X is a
quasi-compact immersion, again by 8.1.2 (c) we have S.U\V / D S.X/\hU\V i
and hence S.U \ V / D S.U/. Then U \ V D U follows from 8.1.2 (d). By
switching the roles of U and V , we have V D U \ V . Thus we get U D V , as
desired.
8.1. (b) Continuity. Let S W C ! Top be a prespectral functor, and consider an

inductive system fUi gi 2I in C indexed by a directed set I and consisting of quasi-
compact open immersions Ui ,! Uj for i j . Then by 8.1.2 (c) one can define
S.U/, where U D lim Ui , by the formula
!i 2I
S.U/ D lim S.Ui /:
!
i 2I
In other words, any prespectral functor behaves continuously under filtered limits
by quasi-compact open immersions.
Let us discuss more general continuity properties of prespectral functors.
Definition 8.1.4. Let C be a subcategory of Rf. A prespectral functor S is said to
be continuous if for any small category D and any functor F W D ! C such that
F .f / is an open immersion for any morphism f in D, we have
S.lim F / D lim S ı F
! !
D D
in the category of topological spaces.

The following proposition is easy to verify; we leave the checking to the reader.
Proposition 8.1.5. Let C be an O-stable subcategory of Rf. Suppose C is stable
under the taking of disjoint sums. Let S W C ! Top be a continuous prespectral
functor.
(1) S commutes with disjoint sums, that is, for X˛ 2 C indexed by a set L, we
have a a
S X˛ D S.X˛ /:
˛2L ˛2L
(2) The functor S preserves the equivalence relation, that is, for X 2 obj.C /
and an open covering fU˛ g˛2L of X, let R be the equivalence relation defining X,
that is, a
R ! ! U˛ ! X
˛2L
is exact; then a
S.R/ !
! S.U˛ / ! S.X/
˛2L
is exact.
Remark 8.1.6. If S W C ! Top is a continuous spectral functor in the setting of
8.1.5, then if U ,! V is an open immersion, S.U/ D S.V / if and only if U D V .
The proof is given by an argument similar to that of 8.1.3.
Proposition 8.1.7. The functor
Œ W Rf ! Top
.the separated quotient; cf. ÷4.3. (a)/ is a continuous prespectral functor.

Proof. It is easy to see that the functor Œ is prespectral. The continuity follows
from 0.2.3.25.
Proposition 8.1.8. Suppose C is QCO-stable. Let S W C ! Top be a prespectral
functor. Then the following conditions are equivalent.
(a) Let X be a coherent space in C , and U X a quasi-compact open sub-

space. Then hUi \ S.X/ D S.X/ implies U D X.
(b) Let X be a non-empty coherent space in C , and X a distinguished formal
model of X. Then for any non-empty closed formal subscheme Y of X of
finite presentation, we have spX 1 .Y / \ S.X/ ¤ ;.
Proof. Let us first show that (a) H) (b). Let X, X, and Y be as in (b). Set U D
X n Y . Then U is a quasi-compact open subset of X, and hence spX 1 .U / is of
the form hUi, where U D U rig is a quasi-compact open subspace of X (3.1.3 (2)).
Suppose S.X/ hUi. Then U D X. Since X is distinguished, U D X (3.1.5),
which contradicts the assumption Y ¤ ;.
Next we show the converse. Suppose S.X/ hUi. Take a distinguished
formal model X of X containing a quasi-compact open subset U corresponding to
U. If U ¤ X, then by 3.1.5 the complement Y D X n U is non-empty. Since U
is quasi-compact, Y carries a structure of a formal scheme in such a way that we
have a closed immersion Y ,! X of finite presentation. But spX1 .Y / \ S.X/ ¤ ;
contradicts S.X/ hUi.
8.1. (c) Regularity. Let X be a topological space. Then an open subset U X

is said to be regular if .Ux /ı D U . Similarly, a closed subset C of X is said to be
regular if C ı D C . Note that, if S is a regular open (resp. closed) subset of X, the
complement X n S is a regular closed (resp. open) subset.
Definition 8.1.9. A prespectral functor S is said to be real valued if S.X/ is a
subset of ŒX for any X 2 obj.C /.
Proposition 8.1.10. Let C be a QCO-stable subcategory of Rf, and S W C ! Top
a real valued spectral functor.
(1) For a quasi-compact open immersion U ,! X in C , the open subset hUi
and its closure hUi are regular in hXi.
(2) For a rigid space X in C , any tube open subset (4.2.4) of hXi is regular.
Proof. First we prove (1). By 8.1.2, S.U/ D S.X/ \ hUi. Since S is real valued,
it is also equal to S.X/ \ ŒU. Hence, by 8.1.3, for two quasi-compact open immer-
sions U ,! X and V ,! X, ŒU D ŒV implies U D V . Then the regularity of
hUi follows by an argument similar to that in the proof of 0.2.4.4. The regularity
of hUi follows as a consequence.
We prove (2). Since C is QCO-stable, any retrocompact open set U of X
belongs to C . By (1), hXi n hUi is a regular open subset. Any tube open subset of
X is of this form by 4.2.5, and the claim follows.
8.1. (d) Density argument
Theorem 8.1.11. Let X be a coherent rigid space, and S a spectral functor (8.1.2)
defined on the category of quasi-compact open subspaces of X. Then
int int
.hXi; OX / D ff 2 .hXi; OX /W fx 2 OX;x for any x 2 S.X/g:
We first prove the following lemma.
Lemma 8.1.12. Let X be a coherent rigid space. Define a subset Wf hXi for
f 2 .hXi; OX / by
int
Wf D fx 2 hXiW fx 2 OX;x g:
Then Wf is a quasi-compact open subset of hXi.
Proof. Take x 2 hXi. If x 2 Wf , then it is clear that Wf contains a quasi-compact

open neighborhood of x. Suppose x 62 Wf . With the notation as in 3.2.13, since
.f mod mBx / 2 Vx is non-zero, f is invertible in Bx D OX;x . This implies
int
that g D 1=f belongs to Ax D OX;x . Thus there exist a quasi-compact open
rig
neighborhood of x of the form U D U , where U is a quasi-compact open subset
of a formal model X of X, and an element h 2 .U; OU / that gives g via the
inductive limit. Replacing U by a smaller set if necessary, we may assume that U
is affine, U D Spf B, that hB is an open ideal of B, and that f h D 1. Then we
have Wf \ hUi D .Spf Bfhg /rig . This implies that the inclusion map Wf ,! hXi
is quasi-compact (cf. 0.2.1.4 (2)) and hence that Wf is quasi-compact.
Proof of Theorem 8.1.11. Suppose f 2 .hXi; OX / belongs to the right-hand side

of the equality. Then S.X/ D S.Wf /, where Wf is the quasi-compact open sub-
space of X such that hWf i D Wf as in 8.1.12. Since S is a spectral functor, we
have Wf D X, and hence the assertion follows.
8.2 Classical points

8.2. (a) Point-like rigid spaces
Definition 8.2.1. A rigid space Z is said to be point-like if it is coherent and reduced

and there exists a unique minimal point in hZi.
Proposition 8.2.2. Let Z be a universally Noetherian point-like rigid space.

(1) The set hZi coincides with the set Gx of all generizations of the minimal
point x. In particular, the set hZi is totally ordered with respect to the ordering by
generization.
(2) Any distinguished formal model Z of Z is reduced and has the underlying
topological space totally ordered by the ordering by generization with the unique
minimal point.
Proof. (1) is clear by definition. Let Z be a distinguished formal model of Z. Then

Z is reduced by 6.4.2. By 3.1.5, the specialization map spZ W hZi ! Z is surjective,
which yields (2).
Example 8.2.3. If V is an a-adically complete valuation ring, then .Spf V /rig is a

point-like rigid space.
8.2. (b) Structure of point-like rigid spaces
Proposition 8.2.4. Any universally Noetherian point-like rigid space is a Stein

affinoid.
Proof. Let Z be a point-like rigid space, and x 2 hZi the minimal point. By 6.5.4,
one can take a Stein affinoid neighborhood V of x. Then by 8.2.2 (1) one sees that
Z D V.
Proposition 8.2.5. Let Z D .Spf A/rig be a universally Noetherian Stein affinoid,

and suppose that A is an I -torsion free t.u. rigid-Noetherian ring, where I A
is an ideal of definition of A. Set Spec B D s.Z/ D Spec A n V .I / .that is,
B D .Z; OZ //, and suppose that Spec B is Jacobson. Then Z is point-like if and
only if the following conditions are satisfied.
(a) A is a local integral domain and B D Frac.A/.

(b) the integral closure Aint of A in B is an I -adically separated Henselian
valuation ring.
int
Moreover, in this situation, we have Aint D OZ;z , where z is the unique minimal
point of hZi.
Proof. Suppose that Z is point-like, and let z be the unique minimal point of hZi.
Since s.Z/ D Spec A n V .I / D Spec B is reduced and A is I -torsion free, A is
a reduced ring. Let ˛W .Spf c Vz /rig ! Z be the associated rigid point at z. Since
hZi coincides with the set of all generizations of z, and since Spf A is a distin-
guished formal model of Z, the composite map Spf c Vz ! hZi ! Spf A is surjec-
tive (cf. 3.1.5).
We claim that the underlying topological space of s.Z/ D Spec B consists of
one point. Let x 2 s.Z/ be a closed point, and suppose s.Z/ ¤ fxg. Since Spec B
is Jacobson, there exists another closed point y ¤ x of s.Z/. But, as we have
seen in 7.3.15 (2), non-empty closed subschemes of s.Z/ correspond bijectively to
non-empty closed subspaces of Z, which are, however, always supported on the
whole topological space hZi due to 7.3.15 (1), since Z is point-like. But this is
absurd, and hence we deduce by contradiction that s.Z/ D Spec B consists of one
point. This shows that the map Spec c Vz ! Spec A is surjective, and hence Spec A
is irreducible. Therefore, A is a local integral domain such that B D Frac.A/; in
particular, we have a local injective homomorphism A ,! c Vz .
int int int
By 6.2.6 we know that A D .Z; OZ / D OZ;z . The composite morphism
A ,! Aint D OZ;z int
! Vz is, since A ,! cVz is injective, a local injective homo-
morphism. Now since A is a subring of Vz , and since Vz is integrally closed, we
have Aint Vz and hence Aint D Vz , which is an I -adically separated Henselian
valuation ring (cf. 3.2.13).
Conversely, suppose that Z satisfies (a) and (b). Set Y D Spec A and U D
Spec B, and consider the U -admissible blow-ups (which are, by passage to the
formal completions, exactly corresponding to admissible blow-ups of X D Spf A)
of Y (cf. E.1.4). We denote by hY i the classical Zariski–Riemann space, that is, the
projective limit of all U -admissible blow-ups (cf. E.2.2). By the valuative criterion,
one has a morphism Spec Aint ! hY i; let zQ be the image of the closed point. Now
we claim that any blow-up Y 0 ! Y D Spec A along an admissible ideal is affine.
Take an affine open subset U 0 D Spec A0 Y 0 that contains the image of zQ under
the specialization map hY i ! Y 0 . We have an inclusion A0 ,! Aint that factorizes
A ,! Aint . Suppose there exists a closed point y 2 Y 0 n U 0 . There exist a valuation
ring V and a morphism Spec V ! Y 0 that dominates y. Since y is also mapped
to z, which is the unique closed point of Spec A, we have a map Aint ,! V that
factorizes A ,! V . Hence in hY i the point zQ is a specialization of the image of
the closed point of Spec V ! hY i. But this is absurd, since the specialization map
hY i ! Y 0 is a closed map (cf. E.2.5).
In particular, we deduce that any admissible blow-up X 0 ! Spf A is affine, say
X D Spf A0 , where A0 is contained in Aint . Hence we have the surjective map
0
b
Spf Aint ! X 0 . Since this holds for any admissible blow-up X 0 , by 0.2.2.13 (2)
b b
we have the surjective map Spf Aint ! hZi. Since Aint is an I -adically complete
valuation ring (0.9.1.1), we deduce that hZi has a unique minimal point. By 6.2.6,
int
we have OZ;z D Aint D Vz . Since the local ring at the maximal point is given by
int
B, the fractional field of OZ;z D Aint D Vz , it follows by 3.2.17 that the local ring
at each point of hZi is a subring of B, and hence is an integral domain. Hence Z is
reduced, and thus we have show that Z is point-like.
Proposition 8.2.6. (1) Let V be an a-adically complete valuation ring and Z a

point-like rigid space of finite type over D .Spf V /rig . Then Z is of the form
Z D .Spf W /rig , where W is quasi-finite, flat, and finitely presented over V . If V
is of height one, then W is finite over V .
(2) Let Z be a point-like rigid space of type (N) (÷2.5. (b)). Then Z is of the
form Z D .Spf W /rig , where W is an a-adically complete discrete valuation ring.
We show the following lemma before the proof.
Lemma 8.2.7. Let A be a Noetherian I -adically Zariskian ring. Then the scheme
Spec A n V .I / is Jacobson ([54] IV, (10.4.1)), and the closure fpg in Spec A of any
closed point p 2 Spec A n V .I / is of the form Spec B, where B is a 1-dimensional
semi-local ring. Moreover, we have fpg n V .I / D fpg.
Proof. Since 1 C I A , one easily sees that any non-empty closed subset of
Spec A meets V .I /. Hence it follows from [54], IV, (10.5.7), that Spec A n V .I /
is a Jacobson scheme. Let p be an ideal maximal in Spec A n V .I /, and set Y D
fpg, where the closure is taken in Spec A. Since p is not an open prime, it is not
maximal in A (0.7.3.3). Let q be any prime ideal that strictly contains p. Then q is
an open prime ideal, and hence Aq is IAq -adically Zariskian (0.7.3.3). By [109],
Chapter VIII, Theorem 10, A=q is an Artinian local ring. Hence q is actually a
maximal ideal of A, and thus we deduce that the ring B as above is of dimension 1.
By [54], IV, (10.5.3), we deduce that B is a semi-local ring.
Proof of Proposition 8.2.6. By 8.2.4, Z D .Spf W /rig , where W is topologically

finitely generated V -algebra in case (1), or is a Noetherian adic ring in case (2). In
both cases the scheme Spec W n V .I / (I W is an ideal of definition) is Jacobson
due to 0.9.3.10 and 8.2.7. In view of 8.2.5, we may assume that W is an I -adically
complete local integral domain and that its integral closure W int in Frac.W / is an
I -adically separated Henselian valuation ring.
(1) By 6.2.8, we may assume that the map Z ! has a distinguished formal
model of the form Spf W ! Spf V . Since we have the surjective map Spec W int !
Spec W , W is a local ring. By the assumption, W is topologically of finite presen-
tation over V (2.3.4), and a-torsion free (hence W is flat over V ).
We claim that the map Spec W ! Spec V is finite in case V is of height one.
The map Spf W ! Spf V is surjective, and the closed fiber of Spec W ! Spec V
is of dimension 0, since no scheme of finite type over a field of positive dimen-
sion can be totally ordered with respect to the order by generization. By Noether
normalization (0.9.2.10), we deduce that W is finite over V . p
For a general V we use the technique alluded to in 0.9.2.5. Let q D .a/
be a height-one prime (cf. 0.6.7.3). Since W =qW is flat over V =q, and since the
generic fiber of the map Spec W =qW ! Spec V =q is of dimension 0 (by the above-
mentioned reasoning), we deduce that W is of relative dimension 0 over V . Hence
W is quasi-finite over V , as desired.
(2) By 8.2.7, W is a local integral domain of dimension 1. Since W is Noethe-
rian, it follows that I contains mnW for some n > 0; that is, the I -adic topology
coincides with the topology defined by the maximal ideal. By [84], (32.2), we de-
duce that its normalization W int is finite over W . Hence in view of 6.2.4 we may
assume that W is normal. Then W is a Noetherian 1-dimensional integrally closed
local domain, hence is a discrete valuation ring, as desired.
8.2. (c) Classical points

Definition 8.2.8. Let X be a rigid space of type (V) (2.5.1) or of type (N) (2.5.2).
(1) A classical point of X is a point-like locally closed rigid subspace Z X
that is retrocompact, i.e., the immersion Z ,! X is quasi-compact.
(2) A classical point Z X is said to be closed if it is a closed subspace.
Recall that a rigid space X is said to be of type (VR ) if it is locally of finite
type over a rigid space of the form .Spf V /rig , where V is an a-adically complete
valuation ring (a 2 mV n f0g) of height one (2.5.1).
Proposition 8.2.9. (1) Any classical point of a rigid space of type (VR ) is closed.
(2) Let X be a coherent rigid space of type (N). Suppose X has a Noetherian
distinguished formal model X and an ideal of definition such that the scheme
X0 D .X; OX = / is Jacobson. Then any classical point of X is closed.
Proof. (1) follows immediately from 8.2.6 (1). To show (2), let Z ,! X be a
classical point; Z is a closed rigid subspace of a coherent open subspace U X,
and is of the form Z D .Spf W /rig for an a-adically complete discrete valuation ring
W ; see 8.2.6 (2). Passing to formal models, we have the sequence of morphisms
i j
Spf W , ! U , ! X 0 ! X;
where U rig D U, i is a closed immersion, j is an open immersion, and is an

admissible blow-up. Dividing out by the ideal of definition , we get the sequence
of morphisms of schemes
i0 j
Spec W =aW , ! U0 , ! X00 ! X0 :
Since X00 is Jacobson, the image of Spec W =aW in X00 is a closed point ([54], IV,
(10.4.7)). Hence, by 4.5.10, Spec W ,! X 0 is a closed immersion, and hence
Z ,! X is a closed immersion.
Proposition 8.2.10. Let X D .Spf A/rig be an affinoid of type (VR ) or of type (N),
where A is I -torsion free for a finitely generated ideal of definition I A.
(1) For any closed point x of the Noetherian scheme s.X/, there exists a unique
closed classical point Z D Z rig ,! X of X such that the image of s.Z/ ! s.X/
is x.
(2) Suppose .in type (N) case/ that Spec A=I is Jacobson. Then, for any classi-
cal point Z ,! X of X, s.Z/ is a point, and the image of the map s.Z/ ! s.X/
is a closed point of s.X/.
Proof. (1) Let x 2 s.X/ be a closed point. The construction as in ÷7.3. (d) gives the
closed subspace Z D fxg s.X/ hXi ,! X corresponding to x. We claim that this
indeed gives a closed classical point of X. To describe Z, let us take the reduced
closure Y D Spec W of fxg in Spec A. Then we have Z D .Spf W /rig . In type (VR )
case, by 0.9.2.12, W is finite over V , and hence, by 6.2.6 and 8.2.5, Z D .Spf W /rig
is a closed classical point of X. In type (N) case, W is a Noetherian 1-dimensional
semi-local domain (8.2.7); by an argument similar to that in the proof of 8.2.6 (2),
we deduce that W int , the integral closure of W , is finite over W , and is a complete
discrete valuation ring. Thus, similarly, Z D .Spf W /rig is a closed classical point.
The uniqueness is easy to see, and is left to the reader.
(2) Let Z D .Spf W /rig ,! X D .Spf A/rig be a classical point. One can
replace, due to 6.2.8, W by a finite algebra isomorphic outside I , so that we have
an immersion Spf W ,! Spf A. By 8.2.9, one can even do this in such a way that
Spf W ,! Spf A is a closed immersion. Then one obtains the closed immersion
Spec W ! Spec A, and hence, s.Z/ D Spec W a1 is a point mapped to a closed

point of s.X/ D Spec A a1 .
Corollary 8.2.11. Let X D .Spf A/rig be either an affinoid of type (VR ), or an affi-
noid of type (N) having a distinguished Noetherian formal model X, together with
an ideal of definition , such that the scheme X0 D .X; OX = / is Jacobson. Then
there exists a natural one to one correspondence between the set of all classical
points of X and the set s.X/cl of all closed points of the scheme s.X/.
Corollary 8.2.12. Let X be a rigid space of type (VR ) or of type (N), and F a
coherent sheaf on X. Then F D 0 if and only if F jZ D 0 for any classical point
Z ,! X.
Proof. We may assume that X is an affinoid, say X D .Spf A/rig . By 6.3.1, the
sheaf F corresponds to a coherent sheaf G on the associated Noetherian scheme
s.X/ D Spec A n V .I /. Clearly, F D 0 if and only if G D 0, which is further
equivalent to that Gx D 0 for any closed point of s.X/ (due to [54], IV, (5.1.11)).
In view of the correspondence established in 8.2.11, this is equivalent to F jZ D 0
for any classical point Z ,! X (here we have again used 6.3.1).
Corollary 8.2.13. Let X be a non-empty rigid space of either type (VR ) or type (N).
Then X has a classical point. Moreover, any non-empty rigid subspace Y of X has
a classical point of X.
Proof. We may assume that X is affinoid. Then the first assertion follows from
Corollary 8.2.11. For the second one, we can further assume that Y is an affinoid,
and consider the immersion Y ,! X. If Z ,! Y is a classical point, then the
composition Z ,! X defines a classical point of X (7.4.3 (1)).
In the sequel, we denote by
hXicl
the set of all (isomorphism classes of) classical points of X. Note that, if X is of
type (VR ) or (N), then due to 8.2.10 and 7.3.15 (2) the set hXicl can be naturally
regarded as a subset of hXi. Moreover, if Y X is a rigid subspace, then
hYicl D hXicl \ hYi:
8.2. (d) Functoriality

Proposition 8.2.14. Let Y be a rigid space of type (VR ), and 'W X ! Y a mor-
phism locally of finite type. Let W Z ,! X be a classical point of X. Then there
exists a unique classical point 0 W Z0 ,! Y of Y for which the diagram

Z /X
'

0 /Y
Z
0
where is a finite morphism, is communtative.

Proof. We may assume Z, X, and Y are affinoid, say Z D .Spf W /rig , X D
.Spf A/rig , and Y D .Spf B/rig , where W , A, and B are a-torsion free, and that is
a closed classical point. We may also assume that there exist a map Spf A ! Spf B
of finite presentation and a closed immersion Spf W ,! Spf A of finite presentation
that give formal models of ' and , respectively. By 8.2.10, the closed
immersion
Spec W ,! Spec A defines a closed point x of s.X/ D Spec A a1 . Since A a1

and B a1 are classical affinoid algebras over K D Frac.V / (0, ÷9.3. (a)), the image
y of x by the map Spec A ! Spec B is a closed point of s.Y/ by 0.9.3.7 and 0.9.3.6.
Hence the point y gives rise to a classical point 0 W Z0 ,! Y, which comes from the
formal model of the form Spf W 0 ! Spf B as in 8.2.10. By the construction, we
have the map Spf W ! Spf W 0 that gives the map as above. The morphism
Spec W ! Spec W 0 is finite due to 0.9.2.12. The uniqueness follows immediately
from the construction.
It follows from the proposition that we have the functor
X 7 ! hXicl
defined on the category of rigid spaces of type (VR ). By what we have seen
in ÷8.2. (c), this is a prespectral functor (8.1.1). We will see in the next subsec-
tion that it is in fact a spectral functor.
8.2. (e) Spectrality

Proposition 8.2.15. Let X be either a coherent formal scheme of finite type over
an a-adically complete valuation ring V of height one .where a 2 mV n f0g/ or a
coherent Noetherian formal scheme. We assume that X is -torsion free, where
is an ideal of definition of finite type on X. Then the map
spX jŒX W ŒX ! X
given by the specialization map (÷3.1. (a)), where X D X rig , is surjective.

Let us first prove the proposition in the (VR ) case.
Lemma 8.2.16. Let V be an a-adically complete valuation ring of height one
.where a 2 mV nf0g/, K D Frac.V /, and A a topologically of finite type V -algebra.
Suppose A is integral and V -flat and admits a finite injection
R D V hhT1 ; : : : ; Tn ii , ! A:
p
Let L D Frac.R/, and denote the localization of R at aR by W .note that W is
a valuation ring/. Then the integral closure Aint of A in B D A a1 is described as
˚
Aint D f 2 A a1 W f is integral over A ˝R W :

Proof. Only the inclusion ‘’ calls for the proof. Let f 2 A a1 be an element
of the right-hand side, and P D P .T / the characteristic polynomial of the mul-
1 map by f in EndL .A ˝R L/. Since f is integral over the
tiplication 1Tate
al-
gebra R a D R ˝V K, all coefficients of P .T / are integral over R a ([27],

Chapter V, ÷1.6, Proposition 17). Since R a1 is integrally closed (cf. 0.9.3.12),

we have P .T / 2 R a1 ŒT . Similarly, since f is integral over A ˝R W , we have
P .T / 2 W ŒT . Consequently, P .T / 2 RŒT . Now since P .f / D 0 in A ˝R L,
and since A is integral, we deduce that P .f / D 0 in A. This implies that f is
integral over R and hence integral over A.
Proof of Proposition 8.2.15 in the type (VR ) case. First note that we may assume
that X is reduced and thus that X is reduced (here we take the reduced model of
X, which will be discussed later in ÷8.3. (b)). Take y 2 X, and let Y be a closed
subscheme of X defined by an admissible ideal such that the underlying topological
space of Y coincides with fyg, the closure of the singleton set fyg in X; such a Y
exists, for the scheme Xred is Noetherian.
First we assume that y is a closed point of X. We may replace X by the admissi-
ble blow-up along the defining ideal of Y . Moreover, we may replace X by an affine
neighborhood of y. In this way, we may assume that X is affine, and Y is defined
by an element f 2 A. Since 1 A is an integral domain and .f / A is an admissible
ideal, we have 1=f 2 A a . By the Noether normalization theorem (0.9.2.10), we
have a finite injectionpR D V hhT1 ; : : : ; Tn ii ,! A. Let L D Frac.R/, and W the
localization of R at aR. Consider the finite W -algebra D D A ˝R W . Since
D is a-torsion free, D is finite flat over W , and f D is an admissible ideal of D.
By 8.2.16, the equality f D D D would imply that 1=f is integral over A, which
is absurd, since Y is non-empty. Hence, f D ¤ D, and we are reduced to the case
X D Spf D ˝W W y with V replaced by W y ; the assertion in this case is obvious, for
y
D ˝W W is finite over W . y
In the general case, we take an extension V ! V 0 of a-adically complete valu-
ation rings, and perform the base-change by Spf V 0 ! Spf V ; let us denote by XV 0
and YV 0 the V 0 -formal schemes obtained by the base-change of X and Y , respec-
tively. Let k 0 be the residue field of V 0 . If one can take such an extension V ! V 0
so that there exists an k 0 -rational point of Yk0 mapped by the canonical map to the
point y, the situation is reduced to the above-treated case. This is indeed possible
as follows. The generic point y D Spec K 0 of Y can be seen as a K 0 -rational point
y 0 of Y Spec k Spec K 0 , where k D V =mV is the residue field of V . Take a local
flat extension V ! U such that the closed fiber of Spec U ! Spec V is isomor-
phic to Spec K 0 ! Spec k. Taking a valuation ring dominating U and the a-adic
completion, we have the desired extension of valuation rings.
The following lemma, which we will use in the proof in type (N) case, is easy
to see, and the proof is left to the reader.
Lemma 8.2.17. Let X be a coherent universally Noetherian rigid space and X a
distinguished formal model with an ideal of definition X of finite type. Suppose
that for any point x 2 X there exist a valuation ring V of height one and a local
homomorphism OX;x ! V such that X;x V ¤ V; 0. Then spX jŒX W ŒX ! X is
surjective.
Proof of Proposition 8.2.15 in type (N) case. By 8.2.17 it suffices to prove the fol-
lowing fact: for a Noetherian local ring A with the maximal ideal mA and an ideal
I A such that A is I -torsion free, there exists a height-one valuation ring V and
a local homomorphism A ! V such that I V ¤ V; 0. We may assume that A is
complete. Since A is I -torsion free, U D Spec A n V .mA / is non-empty. Since
U is Jacobson ([54], IV, (10.5.9)), there is a closed point x of Spec A n V .I / that
is also closed in U . By replacing Spec A by the closure of x in Spec A, we may
assume that A is integral and one-dimensional ([54], IV, (10.5.9)). The claim is
clear in this case.
Now let us state an immediate but important corollary of 8.2.15.
Corollary 8.2.18. Let X be as in 8.2.15, Y a closed subscheme of X defined by an
admissible ideal of X, and U D X n Y . Set X D X rig and U D U rig . Then the
(a) Y is non-empty.
(b) ŒU ¤ ŒX.
(c) The tube open subset CY jX (cf. 4.2.5) is non-empty.
In particular, we deduce the following theorem.
Theorem 8.2.19. The functor
X 7 ! ŒX
given by going to the separated quotients (÷4.3. (a)) is a spectral functor on the
category of rigid spaces of type (VR ) or of type (N).
Note that the theorem implies, in particular, that the valuative space hXi is
reflexive (0.2.4.1).
Proposition 8.2.20. Let C be a category of rigid spaces. Suppose that X 7! ŒX is
a spectral functor on C . Then any prespectral functor S on C is a spectral functor.
Proof. Let X be a distinguished formal model of a coherent rigid space X in C ,
Y a non-empty closed subscheme of X defined by an admissible ideal of X, and
U D X n Y . We need to show that S.U/ ¤ S.X/, where U D U rig . Note
that (b) and (c) in 8.2.18 are equivalent to each other also in our situation. Since
ŒU ¤ ŒX by the assumption, the tube open subset T D CY jX corresponding to Y
is non-empty. This means that S.T / is non-empty, since S is a prespectral functor,
and hence that S.U/ ¤ S.X/ as S.U/ \ S.T / D S.U \ T / D ;.
By 8.2.19, Proposition 8.2.20 has the following corollary.
Corollary 8.2.21. The functor X 7! hXicl defined on the category of rigid spaces
of type (VR ) is a spectral functor.
The following statement, which for the type (VR ) case is contained in 8.2.19, is
an immediate corollary of 8.2.18.
Corollary 8.2.22. Let X be a rigid space of type (VR ) or of type (N), and U a
quasi-compact open subspace of X. If U ¨ X, then hUicl ¨ hXicl .
Corollary 8.2.23. Let X be a rigid space of type (VR ) or of type (N), and U; V
quasi-compact open subspaces of X. Then hUicl D hV icl implies U D V .
Proof. Apply 8.2.22 to U U [ V .
8.3 Noetherness theorem

8.3. (a) Comparison of complete local rings
Proposition 8.3.1. Let X D .Spf A/rig be an affinoid of type (V) or (N), and
x 2 hXi a closed classical point. Then for any n 1 we have the canonical
isomorphism
OX;x =mnX;x Š Os.X/;s.x/ =mns.X/;s.x/ :
In particular, we have
yX;x Š O
O ys.X/;s.x/ ;
where y denotes the completions with respect to the maximal ideals.
For the proof, we refer to [18], (7.3.2/3). Here we offer a non-elementary proof,
based on GAGA.
Proof. We may assume that A is a-torsion free. The closed classical point x is a
closed subspace Z ,! X, and let JZ OX be the coherent ideal that defines Z.
Take the corresponding coherent ideal Js.Z/ Os.X/ by the correspondence as in
6.6.5, which is the defining ideal of the closed point s.Z/ D s.x/ on s.X/; see the
proof of 8.2.10 (1). Then for any n 1, we have
Os.X/;s.x/ =mns.X/;s.x/ Š .s.X/; Os.X/ =Js.Z/
n
/
n
Š .X; OX =JZ / Š OX;x =mnX;x ;
as desired.
Corollary 8.3.2. Let V be an a-adically complete valuation ring of height one and
Y ,! X an open immersion of affinoids of finite type over .Spf V /rig . Then the
associated morphism s.Y/ ! s.X/ of Noetherian schemes is flat, and maps the
set of all closed points of s.Y/ injectively to the set of all closed points of s.X/.
Moreover, for any closed point y 2 s.Y/ we have
ys.Y/;y Š O
O ys.X/;x ;
where x is the image of y.

Proof. The flatness was already shown in 6.6.1 (1). Closed points of s.X/ are in
one to one correspondence with classical points of X due to 8.2.11; the restrictions
of them to Y are either empty or classical points of Y, and hence the fiber of each
closed point of s.X/ under the map s.Y/ ! s.X/ consists of at most one closed
point (cf. 8.2.10 (2)). The other assertion follows immediately from 8.3.1.
8.3. (b) Reducedness and irreducibility

Proposition 8.3.3. Let X be a rigid space of type (V), and NX the subsheaf of OX
consisting of locally nilpotent sections. Then NX is a coherent ideal of OX .
Proof. Considering affinoid coverings of X, we may assume that X is an affinoid
X D .Spf A/rig , where A is a-torsion free and topologically of finite type algebra
over an a-adically complete valuation ring Vp . Considering the base change by the
height one localization Vp of V , where p D .a/, one can assume without loss of
generality that V is of height one. Let N A a1 be the nilpotent radical of the

Noetherian ring A a1 , and consider the corresponding coherent ideal N OX on
X D .Spf A/rig ; see ÷6.3. Clearly we have N NX . We want to show N D NX .
Considering A=A \ N , which is again an a-torsion free topologically of finite type
V -algebra, one deduces the other inclusion from the following statement: if A a1
is reduced (that is, N D 0), then X is reduced, that is, OX;x is reduced for any
x 2 hXi. To show this, due to 3.2.15, it suffices to show that, for any affinoid
subdomain U D .Spf B/rig X, the ring BŒ a1 is reduced. But for this, we only

need to show that the local ring of U D s.U/ D Spec B a1 at every closed point is
reduced. For any y 2 U cl , the morphism OU;y ! O yU;y is faithfully flat, and hence
it suffices to show that OyU;y is reduced. Then, in view of 8.3.1, after all, what we
1

need to show is: if A a is reduced, then, for any classical point x 2 hXicl the
complete local ring O yX;x is reduced. But, again due to 8.3.1, this follows from the

y
reducedness of OX;s.x/ , where X D s.X/ D Spec A a1 , which is guaranteed by
1
the fact that the classical affinoid algebra A a is excellent (0.9.3.13).
By 7.3.5 we have the closed immersion
Xred , ! X
with the defining ideal NX . The rigid space Xred is determined up to canonical
isomorphisms. We call Xred the reduced model of X. By 3.3.6 (1) we deduce that
the topological spaces hXi and hXred i coincide.
Let X be a rigid space of type (V), J a coherent ideal of OX , and Z X
the closed subspace defined by J. Applying 8.3.3 to Z, one obtains a coherent
p
ideal of OX containing Jpof which the stalk at any x 2 hXi coincides with Jx .
We denote this sheaf by J. This is a coherent ideal sheaf of OX , of which the
corresponding closed subspace is Zred . In case X is an affinoid, say X D .Spf A/rig ,

then, if corresponds to an ideal I AŒ a1 as in ÷6.3 (that is, D I OX ), then
p p
corresponds to I .
Corollary 8.3.4. Let X D .Spf A/rig be an affinoid of type (VR ), and Z1 ; Z2 closed
subspaces of X. Let J1 and J2 p be the defining
p ideal of Z1 and Z2 , respectively.
Then hZ1 i D hZ2 i if and only if J1 D J2 .
Proof. The ‘if’ part is easy. To show the ‘only if’ part, let Z1 and Z2 be the closed
subschemes of s.X/ D Spec AŒ a1 corresponding to Z1 and Z2 , respectively, by the
correspondence as in 7.3.15. If hZ1 i D hZ2 i, we have hZ1 icl D hZ2 icl , and hence
the closed points in Z1 coincides with those of Z2 (8.2.11). Since the classical
affinoid algebra AŒ a1 is Jacobson (0.9.3.10), this means, if I1 and I2 are the ideals
p p
of AŒ a1 defining Z1 and Z2 , respectively, we have I1 D I2 . Since Ji D Ii OX
p p
for i D 1; 2, we have J1 D J2 .
Proposition 8.3.5. Let V be an a-adically complete valuation ring of height one,
and A a topologically finitely generated V -algebra.
(1) The affinoid X D .SpfA/rig is reduced if and only if so is the Noetherian

scheme s.X/ D Spec A a1 .
(2) The affinoid X D .Spf A/rig is irreducible

(7.3.12) if and only if so is the
Noetherian scheme s.X/ D Spec A a1 .

Proof. (1) Set B D A a1 .D .X; OX //, and let N be the nilpotent radical of
the ring B. As the proof of 8.3.3 indicates, X is reduced if and only if N D 0,
whence (1).

(2) We may assume that s.X/ D Spec A a1 is reduced, or what amounts to
1
the same, that the ring A a is reduced. Consider reduced closed rigid subspaces
Y; Z X, and the corresponding reduced closed subschemes s.Y/; s.Z/ of s.X/
(cf. 7.3.15). It follows from 8.3.4 that hXi D hYi [ hZi if and only if s.X/ D
s.Y/ [ s.Z/, and similarly that, for example, hZi D hXi holds if and only if
s.X/ D s.Z/. Hence we deduce that X is irreducible if and only if the scheme
s.X/ is irreducible.
Let A and X be as in 8.3.5, and
r
[
s.X/ D Xi
i D1
1
be the irreducible decomposition of the Noetherian scheme s.X/ D Spec A a
.
For each i D 1; : : : ; r, we have the uniquely determined closed rigid subspace

Xi of X such that s.Xi / D Xi (cf. 6.6.5); in fact, if qi is the ideal of B D A a1
corresponding to Xi , then Xi D .Spf A=qi \A/rig. By 8.3.5, each Zi (i D 1; : : : ; r)
is irreducible, and we have the irreducible decomposition
r
[
hXi D hXi i:
i D1
8.3. (c) Noetherness theorem

Theorem 8.3.6. Let X be a rigid space of type (V) or of type (N), and x 2 hXi a
point. Then the local ring OX;x is Noetherian.
Proof of Theorem 8.3.6 in the type (V) case. We may assume that X is an affinoid.
First we show the assertion in the following case: X is of finite type over .Spf V /rig ,
where V is an a-adically complete valuation ring of height one, and x 2 hXi is a
classical point. We use the notation as in the proof of 8.3.1, with R˛ D Os.U˛ /;x˛
for ˛ 2 L. By 6.6.4, we only need to check (c) in 0.3.1.5. As we have shown in the
proof of 8.3.1, we have R˛ =mn˛ Š Rˇ =mnˇ for any ˛ ˇ and n 1. Hence we
have m˛ Rˇ C mnˇ D mˇ for any n 1. But since Rˇ is Noetherian, every ideal is
closed, and hence we have m˛ Rˇ D mˇ , as desired.
To show the assertion in the type (V) case in general, note first that by 3.2.17 (3),
0.9.1.10, and 0.9.2.4, we may assume that V is of height one. Consider for any
point x 2 hXi the associated rigid point .Spf V 0 /rig ! X (3.3.5). By 3.2.17 (3),
we may assume that x is of height one and hence that V 0 is of height one. Consider
the base-change X 0 D X .Spf V /rig .Spf V 0 /rig and the induced diagram
Xo X 0]

.Spf V /rig o .Spf V 0 /rig
The rigid point .Spf V 0 /rig ! X 0 determines a classical point x 0 . By the special
case treated above, we know that OX 0 ;x 0 is Noetherian. Since V 0 is faithfully flat
over V , the map OX;x ! OX 0 ;x 0 is faithfully flat, and hence OX;x is Noetherian,
as desired.
Proof of Theorem 8.3.6 in the type (N) case. We may assume that X is an affinoid,
X D .Spf A/rig , where A is an I -adically complete Noetherian ring for an ideal
I A. Take a rigid point .Spf V /rig ! X, where V is an a-adically complete
valuation ring (a 2 mV n f0g), that maps the closed point to the point x 2 hXi.
Take a cofinal system of formal neighborhoods fU˛ D .Spf A˛ /rig g˛2L of x in
such a way that each Spf A˛ lies in an admissible blow-up of Spf A as an affine
open subspace; note that each A˛ is Noetherian. Let x˛ for each ˛ 2 L be the
image of x under the specialization map hXi ! Spf A˛ , that is, the image of
the closed point under Spec V ! Spec A˛ . Furthermore, let ˛ 2 Spec A˛ be
the image of the generic point under the morphism Spec V ! Spec A˛ , that is,
the image of x˛ under the map sW h.Spf A˛ /rig i ! Spec A˛ n V .IA˛ /. We have
OX;x D lim O , which we need to show to be Noetherian. To this end,
!˛2L Spec A˛ ;˛
set R˛ D OSpec A˛ ;x˛ ; we denote also by ˛ the image of ˛ in Spec R˛ .
Consider the completion R y˛ with respect to the maximal ideal; each R˛ ! R y˛
is faithfully flat, and for each ˛ ˇ we have the induced local map R˛ ! Rˇ .y y
Note that each R y˛ is quasi-excellent, since it is a Noetherian complete local ring.
Set B˛ D OSpec Ry˛ ;O˛ (where O˛ 2 Spec R y˛ is the point above ˛ 2 Spec R˛ ); for
˛ ˇ, we have the induced local morphisms B˛ ! Bˇ .
Now for ˛ ˇ the transition map A˛ ! Aˇ comes from a Zariski open part of
an admissible blow-up, hence so is R˛ ! Rˇ . Since R˛ ! R y˛ is flat, Ry˛ ! Ryˇ
is a composition of an admissible blow-up (with respect to the I -adic topology) fol-
lowed by completion with respect to a maximal ideal. Since R y˛ is quasi-excellent,
the formal fiber B˛ ! Bˇ is regular. Now we fix an ˛0 2 L and replace L by the
cofinal subset f˛ 2 LW ˛ ˛0 g. Then fdim B˛ g˛2L is upper-bounded by dim A˛0 .
Hence, by 0.3.1.6, we deduce that B D lim B is Noetherian. Now since any
!˛2L ˛
OSpec A˛ ;˛ ! B˛ is faithfully flat, we deduce that OX;x ! B is faithfully flat;
since B is known to be Noetherian, so is OX;x , as desired.
9 GAGA
In this section we discuss GAGA theorems in rigid geometry. The first subsection,
÷9.1, is devoted to the definition of GAGA functor, which associates to any sepa-
rated of finite type scheme X over U D Spec AnV .I /, where A is an adic ring with
a finitely generated ideal of definition I A, the ‘analytification’ X an , a separated
rigid space over the affinoid .Spf A/rig . Some of the basic properties of the GAGA
functor will be discussed in ÷9.1. (c). We also give a generalization of the GAGA
functor to non-separated schemes (÷9.1. (e)).
After discussing affinoid valued points (÷9.2), we introduce the so-called com-
parison maps and comparison functors in ÷9.3, by means of which the GAGA the-
orems, the GAGA comparison theorem and GAGA existence theorem, are formu-
lated and proved in ÷9.4 and ÷9.5 from GFGA theorems. Similarly to the GFGA
theorems (I, ÷9 and ÷10), our GAGA theorems are stated in terms of derived cate-
gorical language.
9. GAGA 599
9.1 Construction of GAGA functor

9.1. (a) The category EmbX jS . Let A be an adic ring of finite ideal type, and
I A a finitely generated ideal of definition. Set
S D Spec A - U D S n D;
where D D V .I / is the closed subset corresponding to I , and
D .Spf A/rig :
Let f W X ! U be a separated U -scheme of finite type. We define the category

EmbXjS as follows.
The objects are the commutative diagrams
/ Xx
X
f fN

U /S
where fNW Xx ! S is a proper S -scheme, and X ,! Xx is a birational

open immersion, that is, an open immersion onto a dense open subspace
of X (cf. E.1.2 (3) below).
A morphism .X ,! X/ x ! .X ,! Xx 0 / is an X-admissible S -modification
x x 0
X ! X (cf. E.1.2).
Note that the category EmbXjS is non-empty due to Nagata’s embedding theo-
rem (F.1.1).
Lemma 9.1.1. (1) The category EmbXjS is cofiltered.

x fNW Xx ! S / be an object of EmbXjS , and AId
(2) Let Xx D .X ,! X; x be
.X;X/
the set of all quasi-coherent ideals of OXx of finite type such that the corresponding
closed subscheme is disjoint from X .cf. ÷E.1. (b)/. We introduce an order on the
set AId.Xx ;X/ as follows: J J 0 if there exists J 00 2 AId.X;X/
x such that J D J 0 J 00 .
opp
Then AId.Xx ;X/ is a directed set, and the functor
AId.Xx ;X/ ! EmbXjS
that maps J into XxJ D .X ,! XxJ ; fNJ W XxJ ! S /, where XJ ! X is the blow-up
along J, is cofinal.
Proof. (1) We have to show that the following conditions are fulfilled.
(a) For Xx1 D .X ,! Xx1 ; fN1 W Xx1 ! S / and Xx2 D .X ,! Xx2 ; fN2 W Xx2 ! S /,
there exist an object Xx3 D .X ,! Xx3 ; fN3 W Xx3 ! S / and X-admissible
S -modifications Xx3 ! Xx1 and Xx3 ! Xx2 .
(b) For Xx1 D .X ,! Xx1 ; fN1 W Xx1 ! S / and Xx2 D .X ,! Xx2 ; fN2 W Xx2 ! S /
and two X-admissible S -modifications q0 ; q1 W Xx2 ! Xx1 , there exist an
object Xx3 D .X ,! Xx3 ; fN3 W Xx3 ! S / and an X-admissible S -modification
pW Xx3 ! Xx2 such that q0 ı p D q1 ı p.
To show (a), let Xx3 D Xx1 Xx2 , the join of Xx1 and Xx2 (cf. E.1.10); that is, the
closure of X in the product Xx1 S Xx2 . Then Xx3 ! S is proper. Clearly, the mor-
phisms by projections Xx3 ! Xx1 and Xx3 ! Xx2 are X-admissible modifications.
To show (b), consider the Cartesian diagram of S -schemes
.q0 ;q1 /
XxO 2 / Xx1 S Xx1
O
X
x
1
Z / Xx1
Since Xx1 is separated over S , the right-hand vertical map is a closed immersion,
and hence so is the left-hand one. The scheme Z contains a copy of X. Let Xx3
be the scheme-theoretic closure of X in Z. Then Xx3 defines an object of EmbXjS ,
and the map pW Xx3 ! Xx2 is clearly an X-admissible S -modification such that
q0 ı p D q1 ı p.
(2) follows immediately from [89], Première partie, (5.7.12), (see E.1.9).
9.1. (b) Construction of X an

Construction 9.1.2. We continue working in the setting of ÷9.1. (a). Let f W X !
U be a separated U -scheme of finite type, and
/ Xx
X
f fN

/S
U
be an object of EmbXjS . Set
Z D .Xx S U / n X;
Zx D the closure of Z in X;
x
Xz D Xx n Z:
x
9. GAGA 601
Let Xy y be the I -adic completion of the open immersion Xz ,! X.

z ,! Xx x We have
the open immersion
y y rig
z rig , ! .X/
.X/ x
of coherent rigid spaces.
Definition 9.1.3. Let the notation be as in 9.1.2. We define a sheaf X an on the site
Rf ;ad by
y
z rig ;
X an D lim.X/
!
opp
where the inductive limit is taken along the filtered category EmbXjS or, equiva-
lently, along the set AId.X;X/
x .
Proposition 9.1.4. The sheaf X an on Rf ;ad is a quasi-separated rigid space.

Proof. Let Xx D .X ,! X; x fNW Xx ! S / be an object of EmbXjS , and consider
an X-admissible blow-up Xx1 ! Xx , that is, a blow-up along an ideal in AId.Xx ;X/ .
Then the induced morphism Xxy ! Xx y is an admissible blow-up of coherent adic
1
formal schemes of finite ideal type, and thus we have the canonical isomorphism
.Xy y rig . It follows that the corresponding .Xy
x1 /rig Š .X/
x z1 /rig sits in the following
commutative diagram consisting of open immersions:
.Xy
:
z1 /rig r
❍
✈✈ ❍❍❍
, ✈✈✈ ❍$
y
z rig
y rig .
x
/ .X/
.X/
opp
As the set AId.Xx ;X/ is cofinal in EmbXjS , we deduce that X an is a stretch of coher-
ent rigid spaces and hence is quasi-separated (3.5.3).
Note that by the construction we always have a canonical open immersion
y
z rig , ! X an
.X/
x of EmbXjS .
for any object .X ,! X/
y rig . In particular, X an
x
Proposition 9.1.5. If f W X ! U is proper, then X an D .X/
is a coherent rigid space.
Proof. Take an arbitrary .X ,! Xx / 2 obj.EmbXjS /, and let Xx 0 be the closure of
X in Xx . Then by [89], Première partie, (5.7.12), (see E.1.9 below) one sees that
y xy 0 rig . When we replace Xx by Xx0 , then we have Z
x rig Š . X/
.X/ x D ;, thereby the
result.
In particular, we have U an D .D .Spf A/rig /.
Construction 9.1.6. Next we construct, for a given U -morphism hW Y ! X of

U -schemes of finite type, the morphism of rigid spaces
han W Y an ! X an :
Let us take arbitrary .X ,! X/ x 2 obj.EmbXjS / and .Y ,! Yx / 2 obj.EmbY jS /.

Let Y1 be the closure of the graph of h in the product Yx S X;
x x Yx1 is proper and
x x
admits a birational open immersion Y ,! Y1 , that is, .Y ,! Y1 / defines an object
of EmbY jS that sits in the commutative square
Y /X
_ _

Yx1 / Xx
Thus we get Yz ! X. z As both .X ,! X/ x 2 obj.EmbXjS / and .Y ,! Yx / 2

obj.EmbY jS / are taken arbitrary, we get the desired morphism han .
Thus we get a functor

X 7 ! X an
from the category of separated U -schemes of finite type to the category of rigid
spaces over , called the GAGA functor.
Remark 9.1.7. Our construction of the GAGA functor relies on Nagata’s embed-
ding theorem F.1.1. The first author has proven a strong version of the Nagata’s em-
bedding theorem (F.5.1) by which one can define the GAGA functor for algebraic
spaces as follows. In the setting of ÷9.1. (a), we consider a separated U -algebraic
space f W X ! U of finite type. We define the category EmbXjS as before, with
the additional condition that the boundary Xx n X is a scheme (cf. F.5.1 (a)). Now
in 9.1.2, since Xx S D and Xz S D are schemes, the formal completions Xy y
z and Xx
y y rig . Then one
z rig and .X/
x
are formal schemes and hence define the rigid spaces .X/
can just carry out the same construction to get the desired GAGA functor X 7! X an
from the category of separated U -algebraic spaces of finite type to the category of
rigid spaces over . See [31] for another approach to define GAGA functors for
algebraic spaces.
Let us finally remark that, if the adic ring A in ÷9.1. (a) is t.u. rigid-Noetherian
(resp. t.u. adhesive) (I.2.1.1), then the rigid space X an is locally universally Noethe-
rian (resp. locally universally adhesive) (2.2.23).
9. GAGA 603
9.1. (c) Some basic properties of the GAGA functor

Proposition 9.1.8. The GAGA functor
X 7 ! X an
maps a U -open immersion V ,! X to an -open immersion V an ,! X an and,

in case the adic ring A in ÷9.1. (a) is t.u. rigid-Noetherian, a U -closed immersion
Y ,! X to an -closed immersion Y an ,! X an .
Proof. First we prove that the functor X 7! X an maps an open immersion to an
open immersion. As in 9.1.6, one can consider morphisms of the form Vz ! Xz
starting from objects in EmbXjS and EmbV jS . By [89], Première partie, (5.7.11),
(included as E.1.8 below), the morphism Vz ! Xz can be replaced, by means of
an X-admissible blow-up and the strict transform, by an open immersion. Hence
the I -adic completion Vy
z ! Xyz is an open immersion, and thus .Vy y
z /rig ! .X/
z rig is
an open immersion of coherent rigid spaces. As the rigid spaces V and X an are
an
unions of them, we deduce that the morphism V an ,! X an is an open immersion

by definition 2.2.20.
Next we deal with the assertion for a closed immersion hW Y ,! X. To show
that han is a closed immersion, it suffices to show the following facts.
(a) For any object .X ,! X/x of EmbXjS , the closure Yx of Y in Xx gives an

object of EmbY jS .
(b) For any object .Y ,! Yx / of EmbY jS , there exists an object .X ,! X/
x of
x
EmbXjS such that the closure of Y in X dominates Y . x
If these properties are satisfied, we get a cofinal family fhQ W Yz ,! Xz g of closed
immersions over S indexed by a directed set such that lim .hO /rig D han , thereby
!
the assertion.
x and take the closure of the
Assertion (a) is clear. To see (b), take any .X ,! X/
graph of the map Y ,! Xx in Yx S X, x which clearly dominates Yx .
Proposition 9.1.9. Suppose in the setting of ÷9.1. (a) that A is t.u. rigid-Noetherian.
Let X be a separated U -scheme of finite type, and Y a closed subscheme of X. Then
.X n Y /an D X an n Y an
.cf. 7.3.13 for the notion of open complements of rigid spaces/.

Proof. As in the proof of the second part of 9.1.8, we have a cofinal family of
S closed immersions fhQ W Yz ,! Xz g such that lim .hO /rig D han . Then Vz D
!
Xz n Yz gives the cofinal family of embeddings V D X n Y ,! Vz as in 9.1.2.
y
Therefore, V an D lim .Vz /rig D X an n Y an .
!
Proposition 9.1.10. The GAGA functor X 7! X an is left-exact. Moreover, it is

compatible with base change, that is, for any adic morphism A ! A0 with S 0 D
Spec A0 and U 0 D S 0 n V .IA0 /, where I A is a finitely generated ideal of
definition, and for any separated of finite type U -scheme X .resp. morphism h
between separated of finite type U -schemes/, we have .X U U 0 /an Š X an 0
.resp. .h U U 0 /an Š han 0 /, where 0 D .Spf A0 /rig .
Proof. To show that the GAGA functor is left-exact, it suffices to show that it pre-
serves fiber products. Consider a diagram X ! Z Y of separated U -schemes
of finite type. We first suppose that X; Y; Z are proper over U . In this case,
.X Z Y /an is the associated rigid space of the formal completion of Xx Zx Yx ,
where Xx ! Z x Yx is a diagram consisting of Nagata compactifications. Hence,
in this case, the assertion is clear. In general, we first take Nagata compactifications
X, Y , and Z to embed them into a proper U -schemes and then apply 9.2.2 below to
compare rigid points of .X Z Y /an and those of X an Z an Y an . The compatibility
with base change can be proved similarly.
Corollary 9.1.11. Suppose that we are in the same situation as in ÷9.1. (a) and that
A is t.u. rigid-Noetherian. Then for any separated U -scheme X of finite type the
rigid space X an is separated.
Proof. By 9.1.10 and 9.1.8, the diagonal morphism
X an ! X an X an D .X U X/an
9.1. (d) Some examples

Examples 9.1.12. (1) The additive group Gan a . Consider the closed subscheme D
of PU1 corresponding to the 1-section, that is, PU1 n D D Ga;U . Clearly, we have
D an Š U an D Syrig . Then by 9.1.9, we have
Gaan D PU1;an n D an I
note that by 9.1.5 the projective space PU1;an coincides with P1;an D .PyS1 /rig defined
in ÷2.5. (d). Let JD be the ideal defining D y (the 1-section over S ) in Py 1 , and
S
consider the admissible blow-up of PyS by the admissible ideal JD CI n OPy 1 for each
1
S
n. Define Un to be the open part of the admissible blow-up where JD generates the
strict transform of JD C I n OPy 1 . Then we have
S
[
Gan
a D Unrig
n0
(cf. Exercise II.9.1).

9. GAGA 605
(2) The multiplicative group Gan

m . This has a similar description as above where
D is replaced by the union of the 1-section and the 0-section.
9.1. (e) GAGA functor for non-separated schemes. Let U and S be as in

÷9.1. (a), and X ! U a quasi-separated U -scheme locally of finite type. (Note
that, in the case where the ring A is t.u. rigid-Noetherian, anySU -scheme of finite
type X is quasi-separated, since it is Noetherian.) Let X D ˛2L U˛ be a finite
open covering by quasi-compact and separated schemes. Then we define X an to be
the rigid space representing the sheaf on CRfS an ;ad that sits in the following exact
sequence
a a
.U˛ \ Uˇ /an ! ! U˛an ! X an :
˛;ˇ 2L ˛2L
By 9.1.8, the rigid space X an does not depend on the choice of the open covering.
By 9.1.8, in case X is separated, the above X an coincides with the one defined
in 9.1.3.
A similar construction can be used to define han for a morphism hW X ! Y over
U between quasi-separated U -schemes of finite type. This yields the extension of
the GAGA functor to the category of all quasi-separated U -schemes of finite type.
9.2 Affinoid valued points

We continue working in the setting of ÷9.1. (a). Let T be an affinoid, and suppose
a morphism
˛W T ! X an
of rigid spaces is given.
Lemma 9.2.1. There exists Xz as in 9.1.2 such that the morphism ˛ factors through
y
z rig .
a morphism T ! .X/
Proof. Since T is quasi-compact, there exists a quasi-compact open subspace U

of X an such that ˛ maps T to U. Since X an is quasi-separated, U is coherent and
hence is coherent in the small admissible site .X an /ad . By [9], Exposé VI, 1.23,
y
there exists an Xz as in 9.1.2 such that U .X/
z rig , thereby the lemma.
We henceforth denote the morphisms T ! .X/ y y rig also by ˛.

z rig and T ! .X/
x
We now assume that T is a universally adhesive affinoid of the form T D T rig ,
where T D Spf B; we may furthermore assume without loss of generality that B is
J -torsion free, where J B is an ideal of definition.
Consider the commutative diagram
T ❇
˛ y rig
x
/ .X/
❇ ❇❇
❇❇ O
❇❇ .fN /rig
!
Syrig .
There exists an admissible blow-up T 0 ! T such that this diagram this induced
from a commutative diagram of formal schemes of the form
T0 y
/ Xx
O
fN

T / Sy
which in turn induces the diagram
T0❋ y T
/ Xx
❋❋ Sy
❋❋
❋❋
❋❋
❋"
T.
Since the morphisms in the last diagram are all proper (and of finite presentation,
since B is J -torsion free), by I.10.3.1 we have
Y0❍ / Xx S Y
❍❍
❍❍
❍❍
❍❍
❍#
Y
where Y D Spec B and Y 0 ! Y is the blow-up that gives the admissible blow-up
T 0 ! T by passage to the formal completions.
Since the morphism T 0 ! Xxy as above maps T 0 to the open formal subscheme
y
z we see that the morphism Y 0 ! Xx maps Y 0 to X.
X, z Therefore,
Q YU D Spec B n V .J / D s.T / ! X;
˛W ()
by the base change; cf. ÷6.6. (a) for the notion of the associated schemes s.T /.
9. GAGA 607
Theorem 9.2.2. Let T D .Spf B/rig be an affinoid, where B is a t.u. adhesive ring.
Then the map
8̂ 9
pairs .ˇ; h/ consisting of ˇW T ! S an >
ˆ
ˆ >
ˆ
ˆ and hW s.T / ! X such that the dia-> >
>
ˆ
ˆ >
>
° an ± < gram s.T / / X commutes, where the arrow =
morphisms ˛W T ! X of ❊❊
! ❊❊
rigid spaces ˆ
ˆ " >
>
ˆ
ˆ U >
>
ˆ s.T / ! s.S / D U is the one obtained from ˇ >
ˆ an >
:̂ >
;
by ÷6.6. (a)
given by
˛ 7 ! .f an ı ˛; ˛/
Q ()
.where ˛Q is the one as in .// is a bijection.
Proof. We are going to construct the inverse map of the map ./. Take a pair
.ˇ; h/ as above. As before, set T D T rig , where T D Spf B, and set Y D Spec B;
we suppose, moreover, that B is J -torsion free, where J B is an ideal of def-
inition. For a Nagata compactification Xx as in 9.1.2, there exist a YU -admissible
blow-up Y 0 ! Y and a morphism hW N Y 0 ! Xx that gives rise to the map h by base
change.
So far, we get a morphism ˛W T ! Xxan of rigid spaces. We need to show that
the image of this map lies in X an Xx an . Let Z
x be as in 9.1.2, and consider the
base change
Xx S Y 0 ! Y 0 :
The morphism hN gives a section of this morphism and hence gives a closed immer-
sion
i1 W Y 0 , ! Xx S Y 0 :
On the other hand, we have the closed immersion
x S Y 0 , ! Xx S Y 0 :
i2 W Z
Let Jj be the defining ideal of the closed immersion ij for j D 1; 2. These ideals
are of finite type, since the schemes we are working with are all J -torsion free.
Since i1 S U and i2 S U have the disjoint images, the ideal J1 C J2 is an open
ideal with respect to the J -adic topology. Let J be the push-out of the ideal J1 CJ2
by the projection map Xx S Y 0 ! X. x Then the blow-up along the ideal J is an
x
X-admissible blow-up. Replacing X by the one resulting via the blow-up (and
Y 0 and Zx by the strict transforms), we see that the image of hN is disjoint from Z.
x
N
Hence we have the morphism hW Y ! X, 0 z as desired.
By passage to the associated rigid spaces, we get
ON rig W T
˛ D .h/ y
z rig , ! X an :
! .X/
Then one can show that this ˛ depends only on the data .ˇ; h/ and that the map
.ˇ; h/ 7! ˛ gives the inverse map of ./.
Example 9.2.3. Let Z be a locally universally adhesive rigid space over S an .
As usual, we denote by Gan an an
a .Z/ the set of S -morphisms Z ! Ga . We have
Gan
a .Z/ D .Z; OZ /:
Indeed, since Gan a is a sheaf on the site CRfS an ;ad , we may assume that Z is a Stein
affinoid (cf. 6.5.6), and then the equality follows from 9.2.2.
Similarly, we have

Ganm .Z/ D .Z; OZ /
for any rigid space Z.
9.3 Comparison map and comparison functor

9.3. (a) Comparison map. We continue working in the setting of ÷9.1. (a) where
we assume that the adic ring A is t.u. rigid-Noetherian. Let f W X ! U be a
separated U -scheme of finite type. For any object .X ,! X/ y of EmbXjS , consider
z
the S -scheme X as in 9.1.2. For any affine open subset Spec B ,! Xz , its open part
Spec B n V .IB/ is an open subset of X. In this situation, we have the comparison
map
y rig i ! s..Spf B/
sW h.Spf B/ y rig / D Spec By n V .I B/
y
(÷6.6. (b)) and the composite morphism
y rig i ! Spec By n V .I B/
h.Spf B/ y ! Spec B n V .IB/ , ! X ()
of locally ringed spaces.

One can glue the morphisms ./ to a morphism
X W .hX an i; OX an / ! .X; OX /
of locally ringed spaces. Indeed, the set-theoretic map X W hX an i ! X is actually

obtained as follows. Let x 2 hX an i. Consider the associated rigid point
˛W T ! X an ;
cx /rig (3.3.5). Then, by 9.2.2, one has the morphism of schemes
where T D .Spf V 1
cx
Spec V 1
! X; since V c x a is a field (0.6.7.2), it defines a point y. Thus we
a
9. GAGA 609
get the map hX an i ! X given by x 7! y. It is clear that, compared with the

construction of the comparison map in the affinoid case (÷6.6. (b)), this last map
y rig . Hence we deduce that
coincides with the one as in ./ on each affinoid .Spf B/
the maps ./ for ˛ 2 L and i 2 J˛ glue together to a map X of locally ringed
spaces as above. Note that, simply by gluing, one can also define the morphism X
in the case where X is not necessarily separated.
The morphism X thus obtained for any U -scheme X of finite type is called the
comparison map.
Proposition 9.3.1. The comparison map X is flat.
Proof. Due to 6.6.3 it suffices to show that the map
Spec By n V .I B/
y ! Spec B n V .IB/
in ./ is flat. Since B is IB-adically t.u. rigid-Noetherian (I.2.1.1), we know that

the map B ! By is flat (0.8.2.18). The assertion follows immediately from this.
9.3. (b) Comparison functor
Proposition 9.3.2. The comparison map X gives rise to an exact functor
X W ModX ! ModX an :
Moreover, it maps the full subcategory CohX to CohX an .
We call the functor X the comparison functor.
Proof. The first half is clear by 9.3.1. Since X is a Noetherian scheme, coherent
OX -modules are exactly the OX -modules of finite presentation. Similarly, coherent
OX an -modules are nothing but finitely presented OX -modules (5.2.5). Hence the
second assertion follows.
Remark 9.3.3. Here is another description of the comparison functor for coherent
sheaves; here we assume that the scheme X is separated over U . Let F be a
coherent sheaf on the scheme X. Consider the quasi-compact open immersion
X ,! Xz as in 9.1.2, and extend F to a finitely presented OXz -module Fz ([53],
y y
6.9.11). Then the formal completion Fz on Xz is finitely presented, and thus we
y y /rig . By gluing we get the
get .Fz /rig (÷5.1. (a)), which is a coherent sheaf on .Xz
˛
desired coherent sheaf, which is nothing but X F .
9.4 GAGA comparison theorem

In this and next subsections, we work in the situation as in ÷9.1. (a) with the addi-
tional assumption that
./ the adic ring A is t.u. rigid-Noetherian.
The theorems in these subsections are announced in this case, but the proofs will
be done under the stronger assumption that A is t.u. adhesive. The general case can
be proven with the aid of what we discussed in I, ÷C; we present the details found
in [43].
Let
f WX ! Y
be a proper U -morphisms of separated and of finite type U -schemes. We have the
commutative diagram
X
Xo .hX an i; OX an /
f f an

Y o Y
.hY an i; OY an /
of locally ringed spaces, where X and Y are the comparison maps (÷9.3. (a)).
By I.8.1.3, Rf maps Dcoh .X/ to Dcoh .Y / for D “ ”, C, , b. On the other
hand, since the comparison functor X is exact (9.3.2), it induces an exact functor
D .X/ ! D .X an /
(cf. 0.C.4.6), where D .X an / D D .hX an i; OX an /. We write this functor as
M 7 ! M rig :
Since X is flat, one easily sees that this functor maps Dcoh .X/ to Dcoh .X an /. Simi-
larly, we get a canonical functor from Dcoh .Y / to Dcoh .Y an /.
Thus we get the diagram of triangulated categories
rig
Dcoh .X/ / D .X an /
coh
Rf Rfan

Dcoh .Y / / D .Y an /
rig
Note that by 7.5.18 the functor Rfan has finite cohomology dimension, whence the
right-hand vertical arrow.
9. GAGA 611
By an argument similar to that in I, ÷9.1, one has the comparison map
D f W rig ıRf ! Rfan ı rig;
and thus we obtain the diagram with a 2-arrow
rig
Dcoh .X/ / D .X an / .
coh ()
Rf Rf an
s 5=

sssssss
s
ss
sssss / an
Dcoh .Y / rig
D .Y /
Theorem 9.4.1 (GAGA comparison theorem). Suppose f W X ! Y is proper. Then

the natural transformation gives a natural equivalence; hence diagram ./ is
2-commutative.
We give here the proof only in case where the ring A in ÷9.1. (a) is t.u. adhesive;
for the proof of the general case, see [43].
Proof. First note that to show the theorem, we may restrict ourselves to considering
only objects M of Dbcoh .X/ that are concentrated in degree 0 by using a reduction
process similar to that in I, ÷9.3. (b) in the following way:
(1) first we may assume D b (standard);
(2) by induction with respect to the amplitude of M , taking the distinguished

triangle
C1
n M ! M ! nC1 M !
into account, we may assume that amp.M / D 0;
(3) finally, by a shift, we arrive at the hypothesis as above.
The theorem in this case will be shown in 9.4.2 below.
Proposition 9.4.2. Working under the assumption of 9.4.1, let F be a coherent

OX -module. Then the canonical morphism
.Rq f F /rig ! Rfan F rig
is an isomorphism for all q 0.

Proof. We first deal with the case where Y is proper over U . In this case, one can
take suitable objects X ,! Xx in EmbXjS and Y ,! Yx in EmbY jS sitting in the
Cartesian diagram

X / Xx
f fN

Y / Yx
Since X an D .X/ y rig and Y an D .Yx

x y /rig , one can show the claim by the similar
reasoning as in 6.4.1.
In general, Y an is the open complement (7.3.13) of a closed subspace Z in
y /rig (due to 9.1.9). Since f is proper, X an is, similarly, the open complement of
.Yx
W, the pull-back of Z, in .X/ y rig . Note that Xx an D .X/
x y rig and Yx an D .Yx
x y /rig . As the
U U
assertion is local on Y , one can reduce to the above case in the following way. First
extend the coherent sheaf F on X to a coherent sheaf G on the proper scheme XxU ;
this is possible because XxU is a Noetherian scheme. Then due to the first step, the
assertion is true for the morphism XxU ! YxU .
Now since f is proper, the commutative diagram

X / XxU
f fNU

Y / YxU
is Cartesian, and by 9.1.10 we have the Cartesian diagram

/ Xxan
X an U
f an fNU
an

Y an / Yx an
U
of rigid spaces. Hence we get the desired result by base change.

The following corollaries can be shown similarly, at least in the t.u. adhesive
situation, to I, ÷9.4.
Proposition 9.4.3. In the setting of 9.4.1, let f W X ! U be a proper U -scheme.
Then for M 2 obj.Dcoh .X// and N 2 DC coh .X/ we have the canonical isomorphism
R HomOX .M; N / Š R HomOX an .M rig ; N rig /
in DC .Ab/.
9. GAGA 613
Corollary 9.4.4. In the setting of 9.4.1, let f W X ! U be a proper U -scheme.

Then the comparison functor
rig
Dbcoh .X/ ! Dbcoh .X an /
is fully faithful.
9.5 GAGA existence theorem

We continue to work in the setting described in the beginning of ÷9.4.
Theorem 9.5.1 (GAGA existence theorem). Let f W X ! U be a proper U -scheme.
Then the comparison functor
rig
Dbcoh .X/ ! Dbcoh .X an /
Similarly to the comparison theorem, here we give the proof only in the case
where the ring A is t.u. adhesive; for the proof of the general case, see [43].
Proof. As we have already seen that the functor in question is exact and fully faith-
ful (9.4.4), we only need to show that it is essentially surjective. But then, by the
reduction process carried out by induction with respect to the amplitudes of objects
of Dbcoh .X an / involving the distinguished triangle
C1
n M ! M ! nC1 M !
(similarly to that in I, ÷10.2. (c)), it suffices to show that the functor
rigW CohX ! CohX an
is essentially surjective.
Take a diagram
/ Xx
X
f fN

/S
U
which is an object of EmbXjS ; as we saw in the proof of 9.1.5, we may, moreover,
assume that this diagram is Cartesian. We have X an D .X/ y rig (9.1.5). Moreover,
x
we may assume that Xx is I -torsion free.
Let F be a coherent OX an -module. Then by 5.3.1 there exists a coherent
O xy -module Gz such that .Gz/rig D F . By I.10.1.2, we get a coherent OXx -module G
X
whose formal completion coincides with Gz. Now the sheaf G jX is the desired one,
for we have .G jX /rig D F , as we have seen in 9.3.3.
By an argument similar to that in I.10.3.1, one obtains the following corollary.

Corollary 9.5.2. The GAGA-functor
an W PSchU ! Rf ;
where PSchU denotes the category of proper U -schemes, is fully faithful.
9.6 Adic part for non-adic morphisms

Finally, let us observe that one can apply Berthelot’s construction of tubes [14]
to construct canonical rigid spaces associated to non-adic morphisms of formal
schemes. The relation with GAGA will be shown in Exercise II.9.2.
9.6. (a) Adic part. Let f W X ! Y be a morphism between adic formal schemes
of finite ideal type. We do note assume that f is adic. Let X D X rig and Y D Y rig
be the associated rigid spaces (÷3.5. (e)). If X is not adic over Y , X does not admit
the structural map X ! Y. However, following [14], ÷0.2, one can construct a
adic
canonical open rigid subspace X=Y X, called the adic part over Y, that admits
the Y-structure, as follows.
Consider the subset U of hXi defined as follows:
² ˇ ³
ˇ b b
U D x 2 hXi ˇˇ f ı spX ı ˛x W Spf Vx ! Y is adic, where ˛x W Spf Vx ! hXi is the :
associated rigid point of x (3.3.5)
Proposition 9.6.1. (1) U is open in hXi.

adic
(2) There exists a canonical open rigid subspace X=Y of X with the canonical
adic adic
morphism X=Y ! Y such that hX=Y i D U.
Proof. To show (1), we can restrict ourselves to affine situation. Consider
f W X D Spf A ! Y D Spf B;
and let I (resp. J ) be a finitely generated ideal of definition of A (resp. B) such that
JA I . We may moreover suppose, replacing Y by the admissible blow-up along
J if necessary, that J is invertible and principal, J D aB. Note that A is a-adically
complete due to 0.7.2.5 (b). Suppose x 2 U. Since the composition B ! A ! V cx
cx is an ideal of definition of V
is adic, aV cx , and hence I V n cx aV
cx for some n > 0.
Set I n D .f1 ; : : : ; fr / and consider the admissible blow-up Xz of X D Spf A along
the admissible ideal JA C I n D .a; f1 ; : : : ; fr /; Xz has the affine open part given
by Spf AI n , where
˝˝ ˛˛
AI n D A fa1 ; : : : ; far ;
9. GAGA 615
that is, the part where .JA C I n /OXz is generated by J OXz . The map
c
spX ı ˛x W Spf V x ! X D Spf A
factors through Spf AI n . Since .Spf AI n /rig is an open subspace of X D X rig and
c
since any point y 2 h.Spf AI n /rig i satisfies I V c rig
y aVy , we have h.Spf AI n / i
U, and thus the openness of U follows.
As the above argument shows, for any x 2 U there exists a positive integer
c
n > 0 such that I n V c
x aVx , and hence the open subset U hXi is described as
[
UD h.Spf AI n /rig i;
n>0
where each h.Spf AI n /i is naturally identified with a coherent open subset of hXi.
Hence one can construct the desired rigid subspace in this case by
adic
X=Y D lim .Spf AI n /rig ;
!
n>0
which clearly does not depend on the choice of the ideal of definition I . The con-
struction in the general case is given by gluing, whence (2).
Remark 9.6.2. In the situation as in the proof of 9.6.1, consider Z D Spf A, where
A is now considered as an adic ring for the J -adic topology, and W D Spec A=I .
Then by the open interior formula (4.2.9), we have U D CW jZ ; cf. Exercise II.9.2.
adic
Remark 9.6.3 (cf. [14], (0.2.6)). In the affine case the rigid space X=Y admits,
as in the proof of 9.6.1, another open covering as follows. Set I D .f1 ; : : : ; fr /.
Define, for any positive integer n > 0,
˝˝ f1n frn ˛˛ ˝˝ ˛˛
A.n/ D A a
;:::; a
D A T1 ; : : : ; Tr =.f1n aT1 ; : : : ; frn aTr /:
Then the rigid space U.n/ D .Spf A.n//rig is an open subspace of X such that
.Spf AI n /rig U.n/ .Spf AI nr /rig
for any n > 0. Hence,

adic
X=Y D lim U.n/:
!
n>0
Note that the open immersion U.n/ ,! U.m/ for m > n is given by the map
A.m/ ! A.n/, which maps fim =a to f m n .fin =a/ for i D 1; : : : ; r.
9.6. (b) Functoriality. In the situation as above, suppose X is coherent. Let Z be

a coherent adic formal scheme of finite ideal type, and gW Z ! Y an adic morphism.
adic
Suppose we are given a morphism Z D Z rig ! X=Y of rigid spaces over Y. Then
adic
the composition with the open immersion X=Y ,! X is induced by the rig-functor
from a Y -morphism Z 0 ! X of formal schemes, where Z 0 is an admissible blow-
up of Z. Conversely, suppose we are given a Y -morphism of the form Z 0 ! X
from an admissible blow-up Z 0 of Z. For any admissible ideal J of X, since Z 0 is
adic over Y , JOZ 0 is an admissible ideal of Z 0 . In other words, for any admissible
blow-up X 0 ! X, there exist an admissible blow-up Z 00 ! Z 0 and a morphism
Z 00 ! X 0 such that the diagram
Z 00 / X0

Z0 /X
commutes. Hence we have a morphism Z ! X of rigid spaces. For any point z 2

hZi, the map Spf c Vz ! Y is adic, and so the composition Spf c
Vz ! hZi ! hXi
has its image in the open part U as in ÷9.6. (a). We therefore obtain a morphism
adic
Z ! X=Y of rigid spaces over Y.
Thus we have established the existence of a canonical bijection

lim HomY .Z 0 ; X/ ! HomRfY .Z; X=Y
adic
/;
!0
Z
where Z 0 runs over all admissible blow-ups of Z.
Proposition 9.6.4. Let Y be an adic formal scheme of finite ideal type, and Y D
Y rig . Then the mapping X 7! .X rig /adic
=Y
yields a natural functor AcFsY ! RfY
from the category of adic formal schemes over Y to the category of rigid spaces
over Y.
Proof. We need to show that any morphism W ! X in AcFsY naturally induces

a morphism .W rig /adic
Y ! .X rig /adic rig
Y . For any open subspace U X D X , we
adic adic
have UY D U \ XY . Hence, by a standard patching argument, we may assume
that X is coherent.
The proof of 9.6.1 shows that every point of .W rig /adic
Y
has a coherent open
neighborhood of the form Z for a formal subscheme Z W 0 , adic over Y , of
rig
an admissible blow-up W 0 of W . By what we have seen above, we have canoni-

cally a morphism Z rig ! XYadic . Then by gluing we obtain the desired morphism
.W rig /adic
Y ! XY .
adic

9. GAGA 617
9.6. (c) Adic part for formally locally of finite type morphisms
Definition 9.6.5. Let f W X ! Y be a (not necessarily adic) morphism between
adic formal schemes of finite ideal type. We say that f is formally locally of finite
type if, for any x 2 X, there exist an open neighborhood V Y of y D f .x/
and an open neighborhood U X of x such that f .U / V , and that, if (resp.
V ) is an ideal of definition of U (resp. V ) of finite type such that JOX , the
induced morphism .X; OX = / ! .Y; OY =J/ of schemes is locally of finite type.
If, in addition, f is quasi-compact, it is said to be formally of finite type.
Note that, in view of I.1.7.3, if f W X ! Y is adic, then f is formally locally
of finite type (resp. formally of finite type) if and only if it is locally of finite type
(resp. of finite type).
Proposition 9.6.6. Let f W X ! Y be a formally locally of finite type morphism
between adic formal schemes of finite ideal type, and set X D X rig and Y D Y rig .
adic
Then the rigid space X=Y is locally of finite type over Y.
Proof. I suffices to treat the affine case. In the notation as in the proof of 9.6.1,
the assumption implies that B=J ! A=I is of finite type. We have AI =IAI D
AI =aAI , which is, then, topologically of finite type over B. Hence the assertion
follows.
9.6. (d) Examples

Example 9.6.7 (open unit disk). Let B be an adic ring of finite ideal type, with a
finitely generated ideal of definition J , and consider the formal power series ring
A D BŒŒX1 ; : : : ; Xr with an ideal of definition I D JA C .X1 ; : : : ; Xr /. In this
adic
case the rigid space X=Y (where X D .Spf A/rig and Y D .Spf B/rig ) is called

the open unit disk over Y. To describe X=Y locally over Y, we assume that J is
invertible and J D aB. As in 9.6.3, we have
adic
S ˝˝ X n X n ˛˛rig
X=Y D n>0 Spf A a1 ; : : : ; ar :
Here, note that we have
˝˝ X n X n ˛˛
A a1 ; : : : ; ar D BhhX1 ; : : : ; Xr ; Y1 ; : : : ; Yr ii=.X1n aY1 ; : : : ; Xrn aYr /;
and hence ˝˝ X1n Xrn ˛˛rig
Spf A a
;:::; a
is naturally viewed as a rational subdomain (6.1.7)
Xn Xn
DrY a1 ; : : : ; ar
of the unit disk DrY over Y (÷2.5. (c)). Thus, X=Y adic
is isomorphic to the open sub-
r r X1
n
Xrn
space of DY that is the union of all DY a ; : : : ; a .
adic
By the last description of the open unit disk X=Y , if, for example, B D V is an
a-adically complete valuation ring, then it has the following set-theoretic descrip-
tion:
adic
hX=Y i D fx 2 hDrY iW kXi .x/ka;c < 1; i D 1; : : : ; rg;
where k kx;a;c is the seminorm defined as in ÷3.3. (b).
Example 9.6.8 (open annulus). Let V be an a-adically complete valuation ring,

adic
and set A D V ŒŒX; Y =.XY a/. Then one sees that the adic part X=Y (where
rig rig
X D .Spf A/ and Y D .Spf V / ) is isomorphic to the open part of the unit disk
D1Y D .Spf V hhXii/rig characterized by
adic
hX=Y i D fx 2 hD1Y iW c < kX.x/ka;c < 1g:
Example 9.6.9 (Berthelot’s tube (cf. [14], ÷1)). Let P be a locally of finite type
scheme over S D Spec V , where V is an a-adically complete valuation ring of
height one, and X a closed subscheme of the scheme P0 D .P; OP =aOP /. Con-
sider the formal completion Py jX of P along X. Then
..Py jX /rig /adic

D XŒP ;
where D .Spf V /rig .
Exercises
Exercise II.9.1. In the setting of ÷9.1. (a), let X be a separated U -scheme of finite
type. Show that X an is a union of countably many affinoids.
Exercise II.9.2. Let A be an adic ring of finite ideal type, I A an ideal of

definition, and J A a finitely generated ideal contained in I . Consider D D
V .J / X D Spec A and the formal completions Xy D Spf A and Xj y D of X along
I and J , respectively. Set X D .X/y rig and D .Xj y D /rig . Show that X adic is
=
canonically isomorphic to .X n D/an .
10 Dimension of rigid spaces

This section gives generalities on dimension and codimension in rigid geometry.
Like in complex analytic geometry, the dimension of rigid spaces is defined to be
the supremum of local dimension at each point (÷10.1. (a)), which is defined as the
Krull dimension of the local ring. In ÷10.1. (f) we will briefly discuss the so-called
10. Dimension of rigid spaces 619
dimension function, which will be used in the next section. In case the rigid spaces
in consideration are of type (N) or of type (V), the notion of dimension has several
nice interpretations and properties, which will be discussed in ÷10.1. (c). We have,
moreover, the GAGA comparison of dimensions, as discussed in ÷10.1. (e).
In ÷10.2 we briefly discuss codimension of rigid subspaces. The final section
÷10.3 gives the notion of relative dimension for locally of finite type morphisms of
rigid spaces.
10.1 Dimension of rigid spaces
10.1. (a) Dimension
Definition 10.1.1. Let X be a rigid space.
(1) Let x 2 hXi be a point. The dimension of X at x, denoted by
dimx .X/;
is the Krull dimension dim.OX;x / of the local ring OX;x at x.
(2) The dimension of X, denoted by dim.X/, is defined by
dim.X/ D sup dimx .X/:

x2hXi
We set dim.X/ D 1 if X is empty. Notice that, if X is locally universally

Noetherian, and if y is a generization of x, then we have dimy .X/ dimx .X/,
since OX;y is faithfully flat over OX;x (3.2.17 (3)).
Example 10.1.2. Let V be an a-adically complete valuation ring of arbitrary

(positive) height, and set X D .Spf V /rig . Then
dim.X/ D 0;
since, in this case, hXi consists only of one point with the local ring being isomor-
phic to the fractional field of V .
Proposition 10.1.3. Let X be a universally Noetherian rigid space, and Y a rigid

subspace (7.4.6) of X.
(1) For any point x 2 hYi we have dimx .Y/ dimx .X/.
(2) We have dim.Y/ dim.X/.
Proof. (1) follows immediately from the fact that OY;x is a quotient of OX;x ;
see 7.3.5.
(2) follows immediately from the definition of the dimensions.
Proposition 10.1.4. Let X be a rigid space, and fU˛ g˛2L a covering of Xad
(2.2.24). Then we have
dim.X/ D sup dim.U˛ /:
˛2L
Proof. By 10.1.3 we have sup˛2L dim.U˛ / dim.X/. On the other hand, for any
x 2 hXi there exists U˛ containing x. Then dimx .X/ D dimx .U˛ / dim.U˛ /.
Hence we have dim.X/ sup˛2L dim.U˛ /.
Proposition 10.1.5. Let X be a universally Noetherian rigid space, and x 2 hXi

a point. Then we have
dimx .X/ sup dim .U; OU /;

x2U
where U in the right-hand side runs through all Stein affinoid neighborhoods of x in
X, and the dimension dim .U; OU / is the Krull dimension of the ring .U; OU /.
Proof. Let p0 ¨ p1 ¨ ¨ pn be a strictly increasing chain of prime ideals

of OX;x . Let U be an arbitrary Stein affinoid open neighborhood of x. Set U D
.Spf A/rig , where A is a t.u. rigid-Noetherian ring, and define B by Spec AnV .I / D
Spec B, where I A is an ideal of definition (that is, B D .U; OU /). Consider
Pi;U D ker.B ! OX;x =pi / for i D 0; : : : ; n, which is a prime ideal of B. Since
lim Pi;U D pi ;
!
x2U
where the left-hand limit is taken along all Stein affinoid open neighborhoods of x,
there exists a sufficiently small U such that
P0;U ¨ P1;U ¨ ¨ Pn;U ;
from which the assertion follows.

10.1. (b) Germs of rigid subspaces. Let X be a locally universally Noetherian

rigid space (2.2.23), and x 2 hXi a point. We define an equivalence relation on
the set of all rigid subspaces of X as follows: two rigid subspaces Z1 and Z2 are
equivalent if and only if there exists a quasi-compact open neighborhood U of x
such that Z1 \ U D Z2 \ U as rigid subspaces of U. An equivalence class with
respect to this equivalence relation is called a germ of a rigid subspace at x. Given
a rigid subspace Z X, the associated germ at x will be denoted by
Zx :
Clearly, for a rigid subspace Z and a quasi-compact open neighborhood U of x,
we have Zx D .Z \ U/x . Hence, when considering a germ Zx , one can always
replace Z by a rigid subspace of the form Z \ U, which, moreover, can be assumed
to be a closed rigid subspace of U.
A germ Zx is said to be reduced if it comes from a reduced rigid subspace Z
(cf. 3.2.12).
Let Z1;x and Z2;x be two germs of rigid subspaces at x. We say that a germ
Z1;x is contained in Z2;x , written Z1;x Z2;x , if there exists a quasi-compact
open neighborhood U of x such that Z1 \ U is a rigid subspace of Z2 \ U. In
type (V) case, by ÷8.3. (b), any germ contains the uniquely determined reduced
model.
Let Zx be a germ of a rigid subspace at x, and suppose Z is a closed subspace
of a quasi-compact open neighborhood U of x. Then we have the defining coherent
ideal J of OU . Taking the stalk at x, we get a finitely generated ideal Jx of OX;x .
We denote this ideal by I.Zx / and call the ideal of Zx .
Proposition 10.1.6. Let X be a locally universally Noetherian rigid space. Then
the correspondence
Zx 7 ! I.Zx /
establishes a bijection between the set of all germs of rigid subspaces at x and the
set of all finitely generated ideals of OX;x . Moreover, if Z1;x and Z2;x are two
germs at x, then Z1;x Z2;x if and only if I.Z1;x / I.Z2;x /. In type (V) case,
reduced germs correspond to finitely generated radical ideals.
Proof. The inverse to the above-mentioned correspondence is constructed as fol-
lows (cf. ÷7.3. (d)). Let J be a finitely generated ideal of OX;x . Then there ex-
ist an affinoid open neighborhood U D .Spf A/rig ofx (where A is a t.u. rigid-
Noetherian ring) and a finitely generated ideal J 0 of A a1 such that J D J 0 OX;x

(cf. 3.2.15 (1)). Take a finitely generated ideal Jz of A such that JzA a1 D J 0 . Let
Z ,! Spf A be the closed immersion of finite presentation corresponding to Jz, and
consider the associated rigid space Z D Z rig , which is the closed subspace of U.
The germ Zx of Z is easily seen to be independent of the choice of U, A, and Jz,
and thus we have the desired inverse to the correspondence Zx 7! I.Zx /.
In type (V) case, we know, thanks to 8.3.6, that the local ring OX;x is Noethe-
rian, and hence every ideal corresponds to a germ. Then it follows from 8.3.3 that
a germ Zx is reduced if and only if the corresponding ideal I.Zx / is a radical
ideal.
Let Z1;x and Z2;x be two germs of rigid subspaces at x. We may assume that
these germs come from closed rigid subspaces Z1 and Z2 of a quasi-compact open
neighborhood U of x. Then the intersection Z1;x \ Z2;x is defined to be the germ
of Z1 U Z2 at x (cf. 7.3.11 (4)). It is clear that we have the equality
I.Z1;x \ Z2;x / D I.Z1;x / C I.Z2;x /
of finitely generated ideals of OX;x . One can define the union Z1;x [ Z2;x as the
germ corresponding to the product I.Z1;x / I.Z2;x /.
A germ Zx at x is said to be prime if the corresponding ideal I.Zx / is a prime
ideal of OX;x . In type (V) case, this is equivalent to that Zx is reduced and irre-
ducible (that is, non-empty and whenever Zx D Z1;x [ Z2;x by reduced germs
Z1;x ; Z2;x , we have either Zx D Z1;x or Zx D Z2;x ).
Let X be a locally universally Noetherian rigid space, and x 2 hXi a point such
that the local ring OX;x is Noetherian; the last assumption is always valid if X is
of type (V) or of (N); see 8.3.6. A chain of prime germs of rigid subspaces at x is
the diagram
./ Z0;x , ! Z1;x , ! , ! Zn;x
consisting of prime germs at x such that for i D 0; : : : ; n 1 we have Zi;x ¤

Zi C1;x . The number n in ./ is called the length of the chain ./.
Proposition 10.1.7. Let X be a rigid space, and x 2 hXi a point such that the
local ring OX;x is Noetherian .e.g. X is of type (V) or of (N)/. Then the local ring
OX;x is Noetherian, and we have dimx .X/ < C1. Moreover, dimx .X/ coincides
with the supremum of the lengths of all chains of prime germs of rigid subspaces
at x.
Proof. The local ring OX;x is Noetherian due to 8.3.6, and hence is of finite Krull
dimension. The other assertion is clear by the definition of prime germs.
10.1. (c) Dimension of rigid spaces of type (V) or of type (N)

Theorem 10.1.8 (comparison of the dimensions for affinoids). Let X D .Spf A/rig
be an affinoid of type (V) or of type (N). Then for any closed classical point x 2
hXicl (8.2.8) we have
dimx .X/ D dims.x/ .s.X//;
where s.X/ is the Noetherian scheme associated to X (÷6.6), and dims.x/ .s.X//
denotes the dimension at s.x/ of the Noetherian scheme s.X/ in the usual sense
.cf. [54], IV, ÷5.1/.
Proof. By 8.3.1 we have
b X;x / D dim.O
dim.OX;x / D dim.O b s.X/;s.x/ / D dims.x/ .s.X//;
which shows the assertion.

Proposition 10.1.9. Let X be a rigid space of type (V) or of type (N). Then,
dim.X/ D sup dimx .X/:
x2hXicl
Proof. The inequality supx2hXicl dimx .X/ supx2hXi dimx .X/ is trivial.
We need to show the opposite inequality. For any x 2 hXi, there exists a Stein
affinoid U D .Spf A/rig neighborhood of x such that
dimx .X/ dim .U; OU / D sup dim Os.U/;z
z2s.U/cl
due to 10.1.5. Since, as in 8.2.10 (1), any closed point of s.U/ gives rise to a closed
classical point of U, and hence a classical point of X, we have, by 10.1.8,
sup dim Os.U/;z sup dim OX;y ;
z2s.U/cl y2hXicl
from which we deduce the desired inequality.

Corollary 10.1.10. Let X D .Spf A/rig be an affinoid of type (V), or an affinoid of
type (N) having a distinguished Noetherian formal model X, together with an ideal
of definition , such that the scheme X0 D .X; OX = / is Jacobson. Then we have
dim.X/ D dim.s.X//:
Proof. If X is a finite type affinoid over .Spf V /rig , where V is an a-adically com-
valuation ring, we may replace V by its height one localization Vp , where
plete p
p D .a/ is the associated height one prime, and thus may assume that X is of
type (VR ). Then, by 8.2.11, 10.1.9 and 10.1.8, we have
dim.X/ D sup dimx .X/ D sup dim Os.X/;z D dim s.X/;
x2hXicl z2s.X/cl
as desired.
Corollary 10.1.11. Let X be a coherent rigid space of type (VR ), and X a distin-
guished formal model of X, which is a finite type formal scheme over an a-adically
complete valuation ring V of height 1. Denote by Xk D X ˝V k the closed fiber
of X, which is a finite type scheme over the residue field k D V =mV . Then we have
dim.X/ D dim.Xk /:
Proof. We may assume X D .Spf A/rig , where A is an a-torsion free topologically

of finite type V -algebra. Take a finite injection V hhX1 ; : : : ; Xd ii ,! A with the
V -flat kernel (0.9.2.10). By 10.1.10, we have dim.X/ D dim.Spec AŒ a1 / D d . On
the other hand, since we have a finite injection kŒX1 ; : : : ; Xd ,! Ak D A ˝V k,
we have dim.Xk / D d , thereby the claim.
10.1. (d) Calculation of the dimension

Proposition 10.1.12. Let V be an a-adically complete valuation ring, and consider
the unit disk Dn over D .Spf V /rig .cf. ÷2.5. (c)/. We have
dim.Dn / D n:
Once this proposition is established, one can apply the Noether normalization
theorem (0.9.2.10) to compute dimensions of rigid spaces of type (V).
To show the proposition, we consider the ring V hhX1 ; : : : ; Xn ii of restricted
formal power series (0, ÷8.4); we have Dn D .Spf V hhX1 ; : : : ; Xn ii/rig . By 10.1.10,

dim.Dn / D dim.s.Dn // D dim.Spec V hhX1 ; : : : ; Xn ii a1 /:
p
Since V hhX1 ; : : : ; Xn ii a1 D Vp hhX1 ; : : : ; Xn ii a1 , where p D .a/ (cf. 0.9.1.10),

we may assume that V is of height one. Now the ring V hhX1 ; : : : ; Xn ii a1 , the Tate
algebra (cf. 0, ÷9.3. (a)), is Noetherian, and hence it suffices to show the following
proposition.
Proposition10.1.13.
Let V be an a-adically complete valuation ring of height one,
and K D V a1 .D Frac.V /, cf. 0.6.7.2/:

(1) The maximal ideals of V hhX1 ; : : : ; Xn ii a1 are exactly the kernels of K-algebra

homomorphisms of the form V hhX1 ; : : : ; Xn ii a1 ! K 0 , where K 0 is a finite
extension of K.

(2) For any closed point z of Spec V hhX1 ; : : : ; Xn ii a1 we have

dimz .Spec V hhX1 ; : : : ; Xn ii a1 / D n:
Proof. The proof of (1) has been given in 0.9.3.7, and that of (2) in 0.9.3.9.
Corollary 10.1.14. Let A be a topologically finitely generated algebra over an

a-adically complete valuation ring V . Let V 0 be an a0 -adically complete valuation
ring and V ! V 0 an adic homomorphism. Set A0 D A b̋ V V 0 . Then
dim..Spf A/rig / D dim..Spf A0 /rig /:

p
Proof. We may assume that A is a-torsion free (hence V -flat). Let p D .a/ be
the associated height-one prime of V , and consider the height-one valuation ring
Vp . Since Vp ˝V V 0 is just the height-one localization of V 0 , we may assume
that V and V 0 are of height one. By Noether normalization (0.9.2.10), there exists
map V hhX1 ; : : : ; Xn ii ,! A. Then we have
an injective finite dim..Spf A/rig / D
1 0
dim.Spec A a / D n. On the other hand, by applying b̋ V V , we have the injective
finite homomorphism V 0 hhX1 ; : : : ; Xn ii ,! A0 (I.4.2.4 (4)); note that the morphism
V ! V 0 is injective (since it is adic (0.6.7.6)) and hence is flat. Therefore, we have
dim..Spf A0 /rig / D n, as desired.
The following corollary follows immediately from 10.1.14.
Corollary 10.1.15. Let X be a rigid space locally of finite type over D .Spf V /rig ,
where V is an a-adically complete valuation ring. Let V 0 be an a0 -adically com-
plete valuation ring, and V ! V 0 an adic map. Set 0 D .Spf V 0 /rig . Then
dim.X/ D dim.X 0 /:
Corollary 10.1.16. Let V be an a-adically complete valuation ring of height one,

and A an a-torsion free topologically finitely generated V -algebra, whichisfur-
ther assumed to be an integral domain. Set X D .Spf A/rig , and B D A a1 D
.X; OX /. Then dimx .X/ is constant for x 2 hXicl , and is equal to dim.X/,
which is further equal to the Krull dimension dim B.
Proof. In view of 10.1.8, we need to show that dimz .Spec B/ is constant for
z 2 .Spec B/cl ; the other assertions follow from 10.1.9 and 10.1.10. The claim
is clear in the case A D V hhX1 ; : : : ; Xn ii by 10.1.13 (2). In general, by Noether
normalization (0.9.3.6), we have a finite injective map KhhX1 ; : : : ; Xn ii ,! B.
Then, since KhhX1 ; : : : ; Xn ii is integrally closed (0.9.3.12), the ring extension
B=KhhX1 ; : : : ; Xn ii satisfies going-up and going-down properties (cf. [81], The-
orem 9.4), from which the desired constancy of the dimension follows.
Corollary 10.1.17. Let V and X be as in 10.1.16, and U X a non-empty open

subspace of X. Then we have
dim.X/ D dim.U/:
10.1. (e) GAGA comparison of the dimensions
Proposition 10.1.18. Let V be an a-adically complete valuation ring and let A be

a V -algebra of finite type. Consider the morphism of schemes

W Spec Ay a1 ! Spec A a1 ;
where Ay is the a-adic completion of A.

(1) The morphism maps closed points of Spec Ay a1 injectively to closed points
1
of Spec A a .

(2) For any closed point x 2 Spec Ay a1 , the induced map between the completed
local rings is the isomorphism
y
O y
y 1 ;x Š OSpec AŒ 1 ;.x/ ;
Spec AŒ a a
where the completions are taken with respect to the adic topology defined by
the maximal ideals. In particular,

dimx Spec Ay a1 D dim.x/ Spec A a1 :
Proof. Clearly, we may assume that V is of height one and that A is a-torsion
free (that is, flat over V ). Write A D V ŒX1 ; : : : ; Xn =J for an a-saturated (hence
finitely generated) ideal J . We have Ay D V hhX1 ; : : : ; Xn ii=J V hhX1 ; : : : ; Xn ii.
Hence the map in question is rewritten as

Spec V hhX1 ; : : : ; Xn ii a1 =J V hhX1 ; : : : ; Xn ii a1
1 1
! Spec V ŒX1 ; : : : ; Xn a
=J V ŒX1 ; : : : ; Xn a
:

By 10.1.13 (1), the maximal ideals of Ay a1 are exactly the kernels of the map

of the form Ay a1 ! K 0 , where K 0 is a finite extension of K D V a1 . Hence

one gets a maximal ideal of A a1 , which is a K-algebra of finite type. Since the
map above is uniquely determined by the images of the Xi ’s, this correspondence
between maximal ideals is injective. Thus we have shown (1). On the other hand,
we already know that (2) is true when A D V ŒX1 ; : : : ; Xn , since, in this case, the
completed local rings in question are isomorphic to the ring of formal power series.
By taking the quotient modulo J , we get the desired assertion (since J is finitely
generated).
Now let us consider the following situation. Let V be an a-adically complete
valuation ring of height one, and set K D Frac.V / D V a1 . Let
f W X ! Spec K
be a K-scheme of finite type. Then using the GAGA functor (÷9.1. (e)) one can
consider the rigid space
f an W X an ! .Spf V /rig
of finite type over V .
Proposition 10.1.19. For any classical point x 2 hX an icl of X an we have the canon-
ical isomorphism
yX; .x/ Š O
O yX an ;x
X
of complete local rings. .Here X W hX an i ! X is the comparison map .÷9.3. (a)/:/

In particular,
dimx .X an / D dimX .x/ .X/:
Proof. Since the question is local, we may assume that X is affine; replacing by
a suitable (e.g., projective) compactification, we may furthermore assume that X
is proper. One can choose an affinoid neighborhood U D .Spf A/ y rig of x, which
comes from an affine open neighborhood Spec A X of .x/. Then we need to
show that
OyU;x Š Oy 1 :
Spec AŒ a ;.x/

But this follows from 8.3.1 and 10.1.18 (2), since s.U/ D Spec Ay a1 .
Theorem 10.1.20 (GAGA comparison of dimensions). Let V be an a-adically

com-
plete valuation ring, and X a finite type scheme over K D Frac.V / D V a1 . Then
we have
dim.X an / D dim.X/:
To show the theorem, we may assume that V is of height one. Then in view
of 10.1.19 the theorem follows from the following lemma, which in turn is an easy
consequence of 9.2.2.
Lemma 10.1.21. In the above situation, the comparison map X W hX an i ! X maps

the set of all classical points hX an icl bijectively onto the set of all closed points X cl
of X.
10.1. (f) Dimension function
Definition 10.1.22. Let X be a rigid space of type (V) or of type (N). We define
the function
d D dX W hXi ! Z0 [ f 1g;
which we call the dimension function on X, by
d.x/ D inf dim.U/

x2hUi
for x 2 hXi, where U runs through all open neighborhood U of x.
Proposition 10.1.23. Let V be an a-adically complete valuation ring of height one,

and A an a-torsion free topologically finitely generated V -algebra. Suppose that
X D .Spf A/rig is reduced .that is, the nilpotent radical of B D AŒ a1 is zero;
cf. 8.3.5/. Let
[r
XD Xi
i D1
be the irreducible decomposition .as in ÷8.3. (b)/. Then, for any x 2 hXi, we have
d.x/ D maxfdim.Xi /W i D 1; : : : ; r; x 2 hXi ig:
Proof. Since closed rigid subspaces are overconvergent closed subsets (7.3.10), we
have fi W x 2 hXi ig D fi W Gx \ hXi i ¤ ;g (where Gx denotes, as before, the
set of all generizations of x), which we denote by Ix . Since Ix is the set of in-
dices i D 1; : : : ; r such that hUi \ hXi i ¤ ; for any open neighborhood U of x,
one can choose a sufficiently small affinoid open neighborhood U of x such that
(i) d.x/ D dim.U/ and (ii) Ix D fi W hUi \ hXi i ¤ ;g hold. By 10.1.10, we have
d.x/ D dim .U; OU / (Krull dimension), and hence
d.x/ D max dim .Xi \ U; OXi \U /

i 2Ix
D max dim .Xi ; OXi / D max dim.Xi /;

i 2Ix i 2Ix
where the second equality is due to 10.1.17, and the third one again by 10.1.10.
Corollary 10.1.24. Let X be a rigid space of type (VR ). The dimension function
d D dX is upper-semi continuous on hXi; moreover, fx 2 hXiW d.x/ cg for any
c 2 R is the underlying topological space of a closed rigid subspace of X.
10.2 Codimension
Definition 10.2.1. Let X be a locally universally Noetherian rigid space.
(1) Let x 2 hXi be a point, and Yx a germ of a rigid subspace Y at x. The

codimension of Yx in X at x, denoted by
codimx .Y; X/;
is the number defined as follows. If Yx is a prime germ, then it is the supre-
mum of the lengths of all possible chains of prime germs of rigid subspaces
at x
Z0;x , ! Z1;x , ! , ! Zn;x ;
where Z0;x D Yx ; in general, it is the infimum of the codimensions in X
of Zx at x, where Zx runs over the set of all prime germs that are contained
in Yx .
(2) Let Y be a closed subspace of X. Then the codimension of Y in X, denoted

by codim.Y; X/, is defined by
codim.Y; X/ D inf codimx .Y; X/:
x2hXi
10.3 Relative dimension

Proposition 10.3.1. Let 'W X ! Y be a locally of finite type morphism between
locally universally Noetherian rigid spaces, and y 2 hYi. Let
˛W D .Spf V /rig ! Y
be a rigid point such that Spf V ! hYi maps the closed point to y. Then the
number dim.X Y / depends only on ' and y, and not on the choice of the rigid
point ˛.
Proof. Since any rigid point factors through the associated rigid point ˛y (3.3.5), it
suffices to show that the number in question is the same as the one with ˛ replaced
by ˛y . However, this follows immediately from 10.1.15.
Definition 10.3.2. Let 'W X ! Y be a morphism locally of finite type between
rigid spaces, and y 2 hYi. Then the relative dimension of ' at y, denoted by
dimy .'/
(or by dimy X), is the number dim.X Y /, where ˛W D .Spf V /rig ! Y is a
rigid point such that Spf V ! hYi maps the closed point to y (which is independent
of the choice of ˛ due to 10.3.1).
Theorem 10.3.3 (GAGA comparison of relative dimension). Let S D Spec A

where A is an adic ring with a finitely generated ideal of definition I A, D D
V .I /, and U D S n D. Let X; Y be U -schemes of finite type, and f W X ! Y a
morphism over U . Then for any y 2 hY an i we have
dimy .f an / D dimY .y/ .f /:
Proof. Let Spf V c an

y ! hY i be the rigid point associated to the point y. Then
1
Y .y/ is the image of Spec V cy a ! Y , and hence we need to prove is that the
c
dimension of the rigid space X an Y an .Spf Vy / of type (V) is equal to the dimension
1 1
c
of the scheme X Y Spec Vy a of finite type over the field V c y a . Hence in view
1
of 9.1.10 we may assume B D V D V cy and Y D Spec V a . But the assertion in
this case is nothing but 10.1.20.
11 Maximum modulus principle

In this section we discuss the maximal modulus principle for coherent rigid spaces
of type of type (VR ). The statement is given in 11.2.4 below. To show the theorem,
we first give a classification of points on rigid spaces of type (VR ) in the spirit of
the classical classification of valuations as in 0, ÷6.6. This part of the discussion is
interesting in its own right and can be read independently. Especially, in the case
of the unit disk (÷11.1. (c)), one finds a strong analogy between our classification
and Berkovich’s classification of points in [11], 1.4.4. The proof of the maximal
modulus principle is based on the so-called spectral seminorm formula (11.2.1),
which says that the spectral seminorm takes the maximum value of the norms at at
most finitely many divisorial points.
11.1 Classification of points

11.1. (a) Basic inequality. Let V be an a-adically complete valuation ring of
height-one, K D Frac.V / the fractional field, and k D V =mV the residue field.
We denote by the value group of V , that is, D K =V .
Let X be a coherent rigid space of finite type over D .Spf V /rig . For any
point x 2 hXi we use the notation as in 3.2.13. We set
d.x/: the dimension function (10.1.22);
int
t .x/ D tr:degk kx (kx is the residue field of OX;x , or equivalently, of Vx );
x D Kx =Vx , the value group of the valuation ring Vx ;
rat-rank.Vx j V / D dimQ .x = / ˝ Q.
11. Maximum modulus principle 631
The valuation ring Vx at

px is a-adically separated (3.2.8) and has the associated
height-one prime px D aVx (0.6.7.4). We set
Vxx D Vx =px ,
which is a valuation ring such that ht.Vx / D ht.Vxx / C 1. One easily sees that
rat-rank.Vxx / rat-rank.Vx j V /:
Theorem 11.1.1. (1) We have the inequality
rat-rank.Vx jV / C t .x/ d.x/:
In particular, rat-rank.Vxx / and ht.Vx / D ht.Vxx / C 1 are finite, and we have
ht.Vx / C t .x/ d.x/ C 1:
(2) If rat-rank.Vx jV / C t .x/ D d.x/, then x = is a finitely generated Z-mod-

ule, and kx is a finitely generated extension of k.
(3) If rat-rank.Vxx / C t .x/ D d.x/, then the value group of Vxx is isomorphic as
a group to Zd for some d 0.
(4) If ht.Vx / C t .x/ D d.x/ C 1, then the value group of Vxx is isomorphic
as an ordered group to Zd .with d D ht.Vxx // equipped with the lexicographical
order .cf. 0.6.1.3).
Proof. First let us show (1). We take an affinoid open neighborhood U D .Spf A/rig
of x, where A is an a-torsion free topologically finitely generated V -algebra, such
that d.x/ D dim.U/. Since we may work locally around x, we may set X D U
without loss of generality. By Noether normalization 0.9.2.10, we may assume that
A D V hhX1 ; : : : ; Xn ii. We argue by induction with respect to n as follows. Let
R D V hhX1 ; : : : ; Xn 1 ii so that A D RhhXii (X D Xn ). Set Y D .Spf R/rig ,
and let y be the image of the point x under the map hXi ! hYi induced by the
canonical inclusion R ,! A D RhhXii; note that the induced morphism Vy ! Vx
is a-adic, and hence is injective. By induction it suffices to show the inequality
dimQ .x = y / ˝ Q C tr:degky kx 1: ()
To show this, consider the valuation vx on A associated to the valuation ring

Vx , and its restriction v 0 on A0 D RŒX. Let V 0 be the valuation ring of the valu-
ation v 0 , and V 0 and kV 0 the value group and the residue field of the valuation v 0 ,
respectively.
Claim. We have x D V 0 and kx D kV 0 .

Indeed, since V 0 is a-adically dense in Vx and a 2 mVx , we have kx D kV 0 .
Moreover, since Vx is a-adically separated, for any f 2 Vx there exists N 1 such
that vx .f / < vx .aN /. If f D gCaN h with g 2 V 0 , then vx .f / D vx .g/ D v 0 .g/.
Hence we have the other equality.
Now we apply 0.6.5.3 to get the desired inequality ./. If equality holds in ./,
then kx is a finitely generated field extension of ky , and x = y is finitely generated.
Hence by induction we deduce (2).
Let us show (3). We may replace X by an affinoid neighborhood X D .Spf A/rig
for an a-torsion free p A. Let K be the kernel of the morphism A ! Vxx , and set
A0 D A=K. Since aA 2 K, A0 is a finite type domain over k with the val-
uation A0 ,! Vxx . Let R be the localization of A0 at the prime ideal mVxx \ A0 .
Then, as can be shown easily with the aid of the Noether normalization 0.9.2.10,
one has dim.R/ d.x/. Hence we have the desired result by 0.6.5.2 (2). Similarly,
(4) follows from 0.6.5.2 (3).
11.1. (b) Divisorial points. Let V be an a-adically complete valuation ring of

height one, and X a coherent rigid space of finite type over D .Spf V /rig . We use
the notation as in the previous paragraph.
Definition 11.1.2. (1) A point x 2 hXi is said to be divisorial .over V / if t .x/ D
d.x/.
(2) Let X be a distinguished formal model of X, and x 2 hXi a divisorial
point. We say that x is residually algebraic over X if kx is an algebraic extension
of the residue field kspX .x/ at spX .x/ 2 X.
By 11.1.1, we have the following proposition.
Proposition 11.1.3. If x 2 hXi is divisorial, then x is of height one (4.1.6 (1)) and
x = is a finite group. If, moreover, x is residually algebraic over a distinguished
formal model X of X, then kx is a finite extension of kspX .x/ .
11.1. (c) Example: Unit disk. Let V be an a-adically complete valuation ring
1
of height one, and K D Frac.V /. We consider the unit disk DK D D1 D
.Spf V hhT ii/rig over D .Spf V /rig (cf. ÷2.5. (c)).
1
Proposition 11.1.4. (1) For x 2 hDK i one and only one of the following cases
occurs.
(a) Divisorial case. x is divisorial. In this case, x is of height one, t .x/ D

d.x/ D 1, and x = is finite.
(b) Subject-to-divisorial case. x is of height two. In this case, t .x/ D 0, and

x = is finitely generated, with rat-rank.Vx jV / D 1. Moreover, the maxi-
mal generization xQ of x (4.1.6 (2)) is divisorial.
(c) Irrational case. x is of height one, t .x/ D 0, and rat-rank.Vx jV / D 1.
In this case, x = is finitely generated.
(d) Limit case. x is of height one, t .x/ D 0, and rat-rank.Vx jV / D 0.
(2) Classical case. If the kernel of V hhT ii ! Vx is non-trivial, then x falls in

case (d). In this case x is a classical point (8.2.8), and x = is finite.
Remark 11.1.5. Note the similarity between the classification as in (1) and the
classification of valuations in 0, ÷6.6. (c).
Proof of Proposition 11.1.4. First suppose that the kernel J of A D V hhT ii ! Vx
is non-trivial. Since J is clearly a-saturated, J is a finitely generated prime ideal of
1
A. Since dim.DK / D dim.Spec KhhT ii/ D 1 (10.1.12), J defines a closed point on
1
the associated scheme s.DK / D Spec KhhT ii. It follows as in the proof of 8.2.10
1
that W D A=J is finite over V and that .Spf W /rig ,! DK defines a classical point,
which is nothing but x. By 11.1.1,
rat-rank.Vx j V / C t .x/ D dim..Spf W /rig / D 0;
and hence x is of height one, t .x/ D 0, and x = is finite, which proves (2).
Let us show (1). Note first that ht.Vx / 2 by 11.1.1 (1) and that we always
have d.x/ D 1. If ht.Vx / D 2, then we have the equalities in 11.1.1 with t .x/ D 0.
Since rat-rank.Vx j V / 1, we have rat-rank.Vx j V / D 1, and hence x = is
finitely generated by 11.1.1 (2).
Next, we assume ht.Vx / D 1. Then t .x/ D 0 or 1. If t .x/ D 1, then
d.x/ D t .x/, and hence x is divisorial. We have the equality as in 11.1.1 (2)
with rat-rank.Vx j V / D 0, and hence x = is finite (case (a)). Suppose t .x/ D 0.
Then rat-rank.Vx j V / D 0 or 1. If rat-rank.Vx j V / D 1, then t .x/ D 0, and hence
x = is finitely generated (11.1.1 (2)), which is case (c). If rat-rank.Vx j V / D 0,
we are in case (d).
It remains to show that if ht.Vx / D 2, then the maximal generization xQ of x is
divisorial. We have ht.VxQ / D 1. Since Vx is a composite of VxQ and a height-one
valuation ring for kxQ over k, kxQ is not algebraic over k. Hence we have t .x/ Q D 1,
which means that xQ is divisorial.
Remark 11.1.6. The above classification compares with the Berkovich’s classifi-
cation of points on a unit disk ([11], 1.4.4) as follows. Berkovich deals only with
height-one points, and so case (b) does not occur.
Berkovich’s type (1) and type (4) points fall in the limit case (d); moreover,
type (1) points are precisely the points in the classical case (2).
Type (2) points correspond to the divisorial case (a).

Type (3) points correspond to the irrational case (c).
The comparison is carried out as follows. We assume for simplicity that K

is algebraically closed; note that in this case, if x = is finite, then x D .
We fix a 2 mV n f0g and a real number 0 < c < 1 and consider the valuation
k kW K ! R0 associated to the valuation ring V such that jaj D c (cf. 0.6.3. (c)).
For u; b 2 V with b ¤ 0 one has the ‘closed subdisk’
D.u; jbj/ D ‘fkT uk jbjg’
defined as follows. Consider the admissible blow-up
Xu;b ! X D Spf V hhT ii
along the admissible ideal J D .b; T u/ 2 V hhT ii. It has the affine part
U 0 D Spf V hh T b u ii, and we set D.u; jbj/ D U rig , which has the open immersion
1 1
D.u; jbj/ ,! DK . As an open subspace of hDK i, it coincides with spX 10 .U /.
It is easy to see the following fact: a (not necessarily height-one) point x 2
1
hDK i lies in hD.u; jbj/i, the closure of hD.u; jbj/i D spX 10 .U / in hDK
1
i, if and only
if
kT ukx jbj;
where k kx D k kx; ;c (with D aO int1 ) is the seminorm associated to the point
DK
1
x (÷3.3. (b)). This leads one to consider the overconvergent closed subsets of hDK i
of the form
1
D.u; r/ D fy 2 hDK iW kT uky rg
for u 2 V and r 2 R0 .
1
For any height-one point x 2 hDK i, consider the family of subsets fE.f /g
indexed by f 2 A D V hhT ii, where
1
E.f / D fy 2 hDK iW kf ky kf kx g:
By the Weierstrass preparation theorem (Exercise 0.A.3), this family is determined

only by E.f /’s for polynomials f 2 V ŒT . Moreover, if f D g1 gr in V ŒT ,
then E.f / contains the intersection E.g1 /\ \E.gr /. Hence the family fE.f /g
is filtered, and the subfamily fE.T u/gu2V consisting only of the subsets deter-
mined by linear polynomials is cofinal. Since kT ukx kT vkx implies
E.T u/ E.T v/, fE.T u/gu2V is a ‘family of embedded disks’ (according
to Berkovich’s terminology [11], 1.4.4).
1
Now recall Berkovich’s classification of points: height-one points of DK
are in one to one correspondence with equivalence classes of families of embed-
ded disks (see [11], 1.4.4, for more details). Hence in our setting the collection
fE.T u/gu2V defines a point in Berkovich’s sense.
To understand the types of the Berkovich points thus obtained, we need to con-
sider the set of radii fkT ukx gu2V ; we set
rx D inffkT ukx W u 2 V g:
Note that this value rx lies in kKkx . If fT un gn0 is such that lim kT un kx D rx ,
then, since jun um j D kun um kx D k.T um / .T un /kx for n; m 0,
fun gn0 is a Cauchy sequence in V , and we have rx D kT ukx for u D lim un .
(i) Suppose that rx 62 jKj. Then since the value group of Vx is strictly larger
than , the point x, which is of type (3) in Berkovich’s classification, falls
into the irrational case (c). Note that, in this case, for any u 2 V and for
any b 2 V such that kT ukx > jbj, the rigid point Spf V cx ! Xu;b hits
the closed fiber Xu;b ˝V k at the double point (the intersection of the two
irreducible components).
(ii) If rx 2 jK j, then x is of Berkovich type (2). For u 2 V and b 2 V n f0g
such that rx D jbj D kT ukx , the rigid point Spf V c x ! Xu;b hits the
0 T u
generic point of U D Spf V hh b ii.
In particular, x is divisorial (that is, t .x/ D 1).
(iii) Suppose rx D 0. In this case, for any b 2 V n f0g there exists u 2 V such
that kT ukx jbj; then the rigid point Spf V cx ! Xu;b hits the closed
fiber Xu;b ˝V k at a closed point on the affine part U 0 ˝V k. The points
in this case, of type (1) or (4) in Berkovich’s classification, fall into case (d)
(limit case).
11.2 Maximum modulus principle

11.2. (a) Spectral seminorm formula. Let V be an a-adically complete valuation
ring of height one, and X a coherent rigid space of finite type over D .Spf V /rig .
We fix once for all a real number 0 < c < 1, which gives rise to a non-archimedean
norm
k kW K D V a1 ! R0
with jaj D c, and the spectral seminorm k kSp D k kSp; ;c (÷3.3. (c)), where
int
D aOX .
Let X be a flat and of finite type formal scheme giving a distinguished formal
model of X, Xk D X ˝V k its closed fiber, where k is the residue field k D V =mV
of V , and .Xk /red the reduced model of Xk . Notice that Xk and .Xk /red are finite
type schemes over k. We define
I.X/ D the set of all points of .Xk /red of which the closure is an irreducible
component of .Xk /red ;
D.X/ D the set of all divisorial points in hXi that are residually algebraic
over X (11.1.2).
Notice that, due to 11.1.3, one can equivalently define D.X/ as the set of all
divisorial points of hXi that are residually finite over X.
Theorem 11.2.1. (1) For any z 2 I.X/, the set spX 1 .z/, where spX W hXi ! X is
the specialization map, is non-empty, and is contained in D.X/.
(2) We have [
D.X/ D spX 1 .z/:
z2I.X/
(3) (Spectral seminorm formula) The set D.X/ is finite. Moreover, for any
f 2 .X; OX /, we have
kf kSp D max kf kx ;
x2D.X/
where k kx D k kx; ;c is the seminorm at the point x (÷3.3. (b)).

Lemma 11.2.2. Let A be an a-torsion free topologically of finite type integral
domain over V , and set X D .Spf A/rig . Then, for any proper closed subspace
Z ¨ X, we have dim.Z/ < dim.X/.
Proof. Let d D dim.X/, and take a finite injection V hhX1 ; : : : ; Xd ii ,! A with
V -flat cokernel (see 0.9.2.10). Any proper closed subspace Z ¨ X corresponds to
a proper closed subscheme Z Spec AŒ a1 (7.3.15) such that dim.Z/ D dim.Z/
(10.1.10), and hence to a V -flat proper closed subscheme Z x Spec A. Since a
proper closed subscheme of Spec A does not contain the generic point of Spec A,
its image under the finite and dominant map X ! A D Spf V hhX1 ; : : : ; Xd ii does
not contain the generic point, and hence is a proper closed subspace of A. Hence,
to show the lemma, one can reduce to the case X D A, and the assertion in this
case is clear.
Proof of Theorem 11.2.1. First notice that, for any open subset U X, we have
rig
S / D I.X/ \ .Uk /red and D.U / D D.X/ \ hU Si. In particular, if X D
I.U
S˛2L U˛ is a finite open covering, we have I.X/ D ˛2L I.U˛ / and D.X/ D
˛2L D.U˛ /. Hence the assertions (1), (2), and
S
the finiteness (3) are reduced to
rig
those for each U˛ . Moreover, since ŒX D ˛2L ŒU˛ , the spectral seminorm
kf kSp on X is equal to the maximum of the spectral seminorms of f on U˛ ’s.
Hence the last assertion of (3) can also be reduced to that on each U˛ . We can
therefore assume that X is affine, say X D Spf A, where A is an a-torsion free
topologically finitely generated V -algebra.
Let us first show the theorem under the additional assumption that A is an inte-
gral domain. If d is the Krull dimension of A D AŒ a1 , then we have dim.X/ D d
by 10.1.10. Take a finite injection V hhX1 ; : : : ; Xd ii ,! A with V -flat cokernel
(see 0.9.2.10), and set A D Spf V hhX1 ; : : : ; Xd ii. Notice that, passing to the closed
fibers, we still have finite injection kŒX1 ; : : : ; Xd ,! Ak D A ˝V k. Notice
that, by 10.1.23, the dimension function d.x/ is constant, that is, d.x/ D d for all
x 2 hXi.
Let us show (1). Since the specialization map spX W hXi ! X is surjective
(see 3.1.5), spX 1 .z/ for z 2 I.X/ is non-empty. Let us show the inclusion spX 1 .s/
D.X/. For any z 2 I.X/, let Zz be the closure fzg in .Xk /red , which is an irre-
ducible component of .Xk /red . Set
[
Cz D Zz 0 ;
z 0 2I.X/nfzg
and let U be the open complement of Cz in X, which is an open formal subscheme

of X. Then .Uk /red D Zz n Cz is irreducible and non-empty. Since dim.U /rig D
d holds by 10.1.17, we have dim..Uk /red / D d by 10.1.11. Since U satisfies
.Uk /red \ I.X/ D fzg, we have t .x/ d for any x 2 spX 1 .z/. Such an x is, since
d.x/ D d , always divisorial by the inequality in 11.1.1, hence belonging to D.X/.
Next we show (2). For x 2 D.X/, we have, by constancy of the dimension
function (10.1.23), d.x/ D d , hence t .x/ D d . This means that x dominates the
generic point of Ak , the closed fiber
Sof A, hence belonging to spX 1 .z/ for some
1
z 2 I.X/. Thus we have D.X/ z2I.X/ spX .z/. The other inclusion follows
from (1).
Let us show (3). We show that the set D.X/ is finite. First, notice that D.A/
consists of a single point, which we denote by w. Since X ! Arig is finite, we
readily see that D.X/ is the preimage of w by the map hXi ! hArig i, which is
finite due to 7.2.7.
Next, let us show the spectral seminorm formula. Since by definition kf kSp
maxx2D.X/ kf kx , we need to show kf kSp maxx2D.X/ kf kx . Suppose that for
any x 2 D.X/ we have kf n kx jam j for n; m 1. Since by 8.2.16
Aint D ff 2 .X; OX /W f is integral at each x 2 D.X/g;
this implies f n =am 2 Aint . Therefore, kf n kSp jajm . We have shown that, for
m m
any n; m 1, maxx2D.X/ kf kx jaj n implies kf kSp jaj n . By taking the
m
limit jaj n ! maxx2D.X/ kf kx , the desired inequality follows.
Finally, let us discuss the general case X D Spf A, where A is not necessarily
an integral domain. We may assume that A is reduced. Let
[
Spec A D Zxi ; Z x i D Spec Ai .i 2 I /;
i 2I
x i is the closure of
where I is a finite set, be the irreducible decomposition; each Z
1
an irreducible component of the Noetherian scheme Spec AŒ a . For i 2 I , set
[
Sxi D xj \ Z
Z xi ;
j ¤i
and set Zi D Zcx i and Si D Sb xi . Since Z

x i is irreducible and Sxi is a V -flat proper
closed subscheme of Z x i , we have, by 11.2.2, dim.S rig / < dim.Z rig /. In particular,
i i
rig
we have dim..Si;k /red / < dim.Zi / (10.1.11). By the above-discussed case of
integral domains, any irreducible component of .Zi;k /red is of dimension di D
rig
dim.Zi /, which implies that the complement Ui of .Si;k /red in Zi is dense in Zi ,
and that D.Zi / D D.Ui /.
We claim that the following equalities hold:
[ [
D.X/ D D.Zi /; I.X/ D I.Zi /: ./
i 2I i 2I
S
Indeed, by 10.1.23, we have D.X/ i 2I D.Zi /, and the other inclusion follows
by [ [ S
D.Zi / D D.Ui / D D i 2I Ui D.X/:
i 2I i 2I
Since Ui is dense in Zi , we have I.Zi;red / D I.Ui;red / for i 2 I . Hence

[ [ S
I.Zi / D I.Ui / D I i 2I Ui D I.X/;
i 2I i 2I
S
where the last equality follows from the fact that i 2I Ui is dense in X.
By the equalities ./ and the above argument on the case where A is an integral
domain, one deduces the assertions (1), (2), and the finiteness in (3). To show the
spectral seminorm formula, notice first that we have an irreducible decomposition
[ rig
hXi D hZi i ./
i 2I
of the rigid space X D .Spf A/rig (see ÷8.3. (b)). Then the decompositions ./
and ./ and the spectral seminorm formula in the integral domain case imply the
spectral seminorm formula in general.
Remark 11.2.3. The theorem shows that there exists a canonical surjective map
D.X/ ! I.X/;
that is, any point in D.X/ dominates an irreducible component of .Xk /red , hence a
point in I.X/.
11.2. (b) Maximum modulus principle. We continue to use the notation fixed in
the beginning of ÷11.2. (a).
Theorem 11.2.4 (maximum modulus principle). Let X be a coherent rigid space

over D .Spf V /rig .
(1) There exists a positive integer e 1 such that for any f 2 .X; OX / the
1
value kf kSp belongs to jK j e [ f0g.
(2) For any f 2 .X; OX / there exists a non-empty quasi-compact open sub-
space U X such that
hUi D fx 2 hXiW kf kx D kf kSp g:
(3) For any f 2 .X; OX / the set hXicl \ fx 2 hXiW kf kx D kf kSp g is non-
empty, that is, the maximum value of kf kx is attained at a classical point.
Proof. Since the group x = is finite at a divisorial point, (1) follows immediately
from 11.2.1. By 8.2.13, assertion (3) will follow from (2). Thus it suffices to
show (2).
By a reduction process similar to that in the beginning of the proof of 11.2.1,
we
may assume that X D X rig , with X D Spf A. Let f 2 .X; OX / D A a1 . Since
the case kf kSp D 0 is trivial, we assume kf kSp ¤ 0. By (1), there exist b 2 K
and e 1 such that kf e kSp D jbj. We may replace f by f e =b without changing
the right-hand set of the desired equality and thus may assume that kf kSp D 1.
Then 8.2.16 implies that f 2 Aint . By 6.2.7, there exists an admissible blow-up
X 0 ! X such that f 2 .X 0 ; OX 0 /. We take the non-empty localization Xf0
by f , and consider the corresponding non-empty quasi-compact open subspace
U D .Xf0 /rig of X. It is then obvious that hUi D fx 2 hXiW kf kx D 1g.
11.2. (c) Reduction scheme. We use the same notation as in ÷11.2. (a). The fol-
lowing theorem says that birational geometry (in our sense; see Introduction) is
easier around residually finite divisorial points.
Theorem 11.2.5. Let X be a coherent rigid space of finite type over D .Spf V /rig ,
X a distinguished formal model of X, and x 2 hXi a divisorial point that is
residually finite over X. Then any admissible blow-up W X 0 ! X is finite near
spX .x/.
Proof. Let U D Spf A be an open neighborhood of z D spX .x/ that does not
intersect any other components fz 0 g with z 0 2 I.X/ and z 0 ¤ z. Take a finite
dominant morphism U ! A D Spf V hhX1 ; : : : ; Xd ii (by Noether normalization;
see 0.9.2.10). Note that D.A/ consists of a single point, which we denote by w.
Set W D Spf Vc w , and consider the canonical morphism W ! A. Then XW D
0
0
X A W is an admissible blow-up of XW D X A W . Since XW is finite flat
0 0
over W , XW is finite over W . In particular, XW ! XW is finite. Since X 0 ! X is
of finite type, there exists an open neighborhood Uk0 of z in Uk (D the closed fiber
of U ) such that k W Xk0 ! Xk is finite over Uk0 . Hence is finite over the open
subspace U 0 of U corresponding Uk0 .
Definition 11.2.6. Let X be a coherent rigid space of finite type over

D .Spf V /rig .
(1) Two distinguished formal models Xi (i D 1; 2) of X are said to be strictly

equivalent if there exists a third distinguished formal model X3 of X with
finite morphisms X3 ! Xi (i D 1; 2).
(2) For a distinguished formal model X of X, let CX be the category of distin-

guished formal models X 0 of X finite over X, and morphisms over X. Set
R.X; X/ D lim .Xk0 /red

X 0 2CX
(where .Xk0 /red denotes the reduced model of the closed fiber Xk0 of X 0 ),
which is representable in the category of schemes. We call R.X; X/ the
reduction scheme of X relative to X.
Notice that the strict equivalence is an equivalence relation, and that the cate-
gory CX is directed; indeed, for two finite X10 ! X and X20 ! X in CX , there
exists an admissible blow-up W ! X dominating both X10 and X20 ; then take the
Stein factorization W ! Z ! X (see I.11.3.2), and observe that Z is finite over
X, and that Z dominates both Xi0 (i D 1; 2).
Notice also that the scheme R.X; X/ depends only on the strict equivalence
class of X, and the construction is canonical; that is, for a finite type morphism
f W X ! Y between coherent formal schemes of finite type over V , we have the
canonical morphism
R.f /W R.X; X/ ! R.Y; Y /;
where Y D Y rig . Indeed, for any object Y 0 ! Y in CY , the objects in CX dominat-

ing X Y Y 0 form a cofinal subcategory CX0 , and hence one obtains
R.X; X/ D lim .Xk0 /red ! R.Y; Y / D lim .Yk0 /red :

0
X 0 2CX Y 0 2CY
Remark 11.2.7. If X D .Spf A/rig , then the reduction scheme R.X; X/ coincides
with the spectrum of the k-algebra Ax (where A is the associated classical affinoid
1
algebra A D AŒ a ) discussed in [18], ÷6.3. See A.4.10 in the appendix.
Proposition 11.2.8. Let X be a coherent rigid space of finite type over D

.Spf V /rig , and X a distinguished formal model of X over V . Then there exists
a distinguished formal model X 0 with the following properties.
(a) The formal model X 0 dominates X by a finite morphism X 0 ! X.
(b) The canonical map D.X 0 / ! I.X 0 / induced by spX 0 is bijective.
(c) For any x 2 D.X 0 /, the residue field kx is isomorphic to the residue field
kspX 0 .x/ at spX 0 .x/ 2 X 0 .
Proof. Let us first try to find an admissible blow-up Z ! X that satisfies (b) and
(c). Notice that, by the construction of the Zariski-Riemann space hXi, for two
distinct points x; y 2 hXi, there exists an admissible blow-up Z ! X such that
spZ .x/ ¤ spZ .y/. Since D.X/ is a finite subset of hXi, one can take an admissible
blow-up Z0 ! X such that D.X/ ! I.Z0 / is injective. Notice that
lim kspZ .x/ D kx

!
Z
holds, where Z runs through distinguished formal model dominating Z0 . Since, for
any x 2 D.X/, kx =kspZ .x/ is a finite extension, we can take an admissible blow-
0
up Z dominating Z0 such that kspZ .x/ D kx for any x 2 D.X/. Thus we have
the desired admissible blow-up Z ! X with the properties (b) and (c). Then, the
formal model X 0 in the Stein factorization Z ! X 0 ! X (see I.11.3.2) satisfies all
of the required properties, since Z and X 0 are isomorphic over an open subspace
of X that contains I.X/ D spX .D.X//; see 11.2.1.
Remark 11.2.9. The proposition and the proof of 11.2.1 show that, if X is affine,
then the spectral seminorm formula (11.2.1 (3)) with D.X/ replaced by a proper
subset of it, does not hold.
Theorem 11.2.10. Let X be a coherent rigid space of finite type over D .Spf V /rig ,
and X a distinguished formal model of X over V .
(1) .finiteness/ The reduction scheme R.X; X/ is a scheme of finite type over k.
(2) .stability/ There exists a distinguished formal model Z 0 finite over X such
that .Zk0 /red D R.X; X/. Moreover, for any distinguished formal model Z
finite over Z 0 , we have .Zk /red D R.X; X/. .We call such a formal model
Z 0 a stabilized model./
Proof. Let X 0 be a distinguished formal model with the properties (a), (b), and (c)
in 11.2.8. For any object Z of CX dominating X 0 , the finite map .Zk /red ! .Xk0 /red
is birational, and thus .Zk /red is dominated by the normalization W of .Xk0 /red .
Hence R.X; X/ is dominated by W . Since W is finite over .Xk0 /red , R.X; X/ is
finite over .Xk0 /red , which shows (1). (2) is clear, since any increasing sequence of
quasi-coherent algebras between O.Xk0 /red and OW is stationary.
Theorem 11.2.11. For any morphism f W X ! Y of coherent formal schemes of

finite type over V , the following conditions are equivalent.
(a) f is proper .resp. separated, resp. affine, resp. finite/.

(b) R.f / is proper .resp. separated, resp. affine, resp. finite/.
Proof. Take a formal model f 0 W X 0 ! Y 0 of f rig W X rig ! Y rig , where X 0 and

Y 0 are stabilized model of X rig and Y rig , respectively, so that R.f / is given by
.fk0 /red W .Xk0 /red ! .Yk0 /red . Then the assertion follows from the fact that a mor-
phism gW S ! T of schemes is proper (resp. separated, resp. affine, resp. finite)
if and only if so is gred W Sred ! Tred . For separatedness, see [54], I, (5.5.1), and
for properness, see [54], II, (5.4.6). As for affineness, one first uses the absolute
Noetherian approximation ([98], C.9), [54], IV, (8.10.5), and Serre’s criterion [54],
II, (5.2.1). Finally, the claim for finiteness follows from F.4.1 in the appendix.
Remark 11.2.12. One can define the so-called reduction map
red.X; X/W hXi ! R.X; X/
by spZ , where X is a stabilized model. It is straightforward to see that the map

red.X; X/ is continuous; it is, moreover, surjective, even restricted on the subset
ŒX consisting of maximal points; see 8.2.15.
Exercises
Exercise II.11.1. Let V be an a-adically complete valuation ring of height one,
K D Frac.V / D V a1 its fraction field, and k D V =mV its the residue field.

Set A D V hhT1 ; : : : ; Tn ii and A D A a1 D KhhT1 ; : : : ; Tn ii (the Tate algebra),
1
and consider the corresponding coherent rigid space DK D .Spf A/rig (the unit
disk). Let j jW K ! R0 be the non-Archimedean norm such that jaj D c
for a fixed real number 0 < c < 1, and consider the spectral seminorm
int
k kSp D k kSp; ;c , where D aOD 1 , and the Gauss norm k kGauss (0, ÷9.3. (a))
K
1
on A D .DK ; OD1 / (cf. 6.4.1).
K
(1) Show that

k kSp D k kGauss :
(2) Let x 2 hDK 1

i be such that the rigid point Spf V cx ! Spf A hits the closed
fiber Spec A ˝V k D Spec kŒT1 ; : : : ; Tn at the generic point. Show that the
seminorm k kx D k kx; ;c coincides with the spectral seminorm k kSp .
Exercise II.11.2. Consider the situation as in Exercise II.11.1.
(1) For f 2 A, infx2hXi kf kx is positive if and only if f 2 A .
(2) Consider the map kf ./kW hXi ! R0 given by x 7! kf kx . Then f is unit
in A if and only if the image of kf ./k consists only of one non-zero value;
otherwise, the image is the closed interval Œ0; kf kGauss .
(3) Suppose jKx j ¤ R>0 , where Kx is the algebraic closure of K. Then for a
non-zero non-unit f 2 A and r 2 .0; kf kGauss n jKx j, the open subspace
U such that hUi D fx 2 hXiW kf kx ¤ rg is a non-empty overconver-
gent open subspace that fails to enjoy the following property (the so-called
hicl -admissibility; cf. ÷B.1. (a) below): for any coherent rigid space V of fi-
nite type over D .Spf V /rig and any -morphism 'W V ! X that maps
h'i.hV icl / hUicl , we have '.V / U.
Let V be an a-adically complete valuation ring of height one,

Exercise II.11.3.
and K D V a1 the fraction field. Let X be a rigid space of finite type over D
.Spf V /rig . Consider an extension V V 0 of a-adically complete valuation rings,
and let X 0 be the base change of X on 0 D .Spf V 0 /rig .
(1) Show that if the extension V V 0 is finite, then an open subspace U of X

is a tube open subset if and only if its inverse image U0 by the morphism
X 0 ! X is a tube open subset of X 0 .
(2) Find an example of an overconvergent open subspace U of X that is not a

tube open subset, but for which the inverse image U0 is a tube open subset of
X 0.
Exercise II.11.4. Use 11.2.4 (1) and 6.4.1 to deduce the following elementary ver-
sion of the reduced fiber theorem (cf. [23]). Let V be an a-adically complete val-
uation ring of height one, X a coherent finite type flat formal scheme over V , and
X D X rig the associated coherent rigid space over K D Frac.V /. Suppose that X
is geometrically reduced over K, that is, for any finite extension K 0 =K the base-
change XK 0 is reduced. Then there exist a finite separable extension K 0 =K and an
admissible blow-up X 0 ! X ˝V V 0 , where V 0 denotes the integral closure of V in
K 0 , such that X 0 ! Spf V 0 is flat and has the reduced geometric fiber.
A Appendix: Adic spaces

In this section we explain the relationship between our rigid spaces and adic spaces
[59], [60], and [61]. One of our goals is to show that the formation of the Zariski–
int
Riemann triple .hXi; OX ; OX / associated to a rigid space X gives a functor
ZRW RigNoeRf ! Adsp
from the category of locally universally Noetherian rigid spaces (2.2.23) to the
category of adic spaces.
A.1 Triples
As we saw in ÷3.2. (c), to any rigid space X is canonically associated the Zariski–
int
Riemann triple ZR.X/ D .hXi; OX ; OX / (3.2.11). Huber’s adic spaces are, on the
other hand, defined as a similar kind of triples. Therefore, it will be convenient, for
the comparison between rigid spaces and adic spaces to establish a general theory
of triples.
Definition A.1.1. (1) A triple is a data .X; OXC ; OX / consisting of a topological
space X and two sheaves OXC and OX of topological rings on X together with an
injective morphism W OXC ,! OX of sheaves of topological rings such that
(a) the injection maps OXC isomorphically onto an open subsheaf of OX , and
(b) X C D .X; OXC / and X D .X; OX / are topologically locally ringed spaces.
(2) A morphism of triples .X; OXC ; OX / ! .Y; OYC; OY / is a morphism of topo-

logically locally ringed spaces
' D .'; h/W .X; OX / ! .Y; OY /

A. Appendix: Adic spaces 645
1
(where hW ' OY ! OX ) such that
(a) h.' 1
OYC / OXC , and
(b) the induced morphism ' C D .'; h/W .X; OXC/ ! .Y; OYC / is a morphism of
topologically locally ringed spaces.
We denote by Tri the category of triples. The following notion of triples will be
essential in discussing adic spaces.
Definition A.1.2. (1) A valued triple is a triple .X; OXC ; OX / together with a set
fvx gx2X consisting of, for each x 2 X, a continuous (additive) valuation vx of
C C
OX;x such that OX;x D fs 2 OX;x W vx .s/ 0g and mX;x (D the maximal ideal of
C
OX;x ) D fs 2 OX;x W vx .s/ > 0g. Here, a valuation v on a topological ring A is
continuous if for any 2 v , where v is the value group, there exists an open
neighborhood U of 0 in A such that v.x/ > for every x 2 U (cf. [59], ÷3).
(2) A morphism
' D .'; h/W ..X; OXC; OX /; fvx gx2X / ! ..Y; OYC; OY /; fvy gy2Y /
of valued triples is a morphism of triples such that

./ for any x 2 X, v'.x/ is equivalent3 to vx ı hx .
We denote by VTri the category of valued triples.
Remark A.1.3. Note that, if
..X; OXC ; OX /; fvx gx2X / and ..Y; OYC ; OY /; fvy gy2Y /
are valued triples, any morphism of topologically locally ringed spaces,
' D .'; h/W .X; OX / ! .Y; OY /;
with property ./ as above gives automatically a morphism of valued triples.
Definition A.1.4. A triple .X; OXC ; OX / is said to be analytic if for any x 2 X there
exist an open neighborhood U X of x and an open ideal sheaf of OXC jU such
that
C
(a) for any y 2 U , the ideal y OX;y is finitely generated, and the topology
C
of OX;y is y -adic, and
3
See, e.g., [59], ÷2, for the equivalence of valuations; in our case, the condition means that there exists

an ordered isomorphism W v'.x/ [ f1g ! vx [ f1g (where vx etc. are taken to be the value
groups (0, ÷6.2. (b)) of the valuations) such that ı v'.x/ D vx ı hx .
C
(b) for any y 2 U , the ring OX;y is y -valuative (0.8.7.1) and
C
OX;y D lim Hom. yn ; OX;y /:
!
n1
The ideal sheaf as above will be called an ideal of definition over U . We

denote by AnTri the full subcategory of Tri consisting of analytic triples.
Remark A.1.5. If .X; OXC ; OX / is an analytic triple, then for any x 2 X the topo-
C
logical ring OX;x is an extremal f-adic ring (0, ÷B.1. (c)) with OX;x a ring of defini-
tion. In particular, by 0.B.1.6, for any morphism
'W .X; OXC ; OX / ! .Y; OYC ; OY /
of triples between analytic triples, the map
C C
OY;'.x/ ! OX;x
is adic for any x 2 X.
Let .X; OXC ; OX / be an analytic triple. Then, by 0.8.7.8, for any x 2 X the ring
Bx D OX;x has the canonical valuation
vx W OX;x ! x [ f1g
such that
C
OX;x D ff 2 Bx W vx .f / 0g
and
C
mX;x D ff 2 Bx W vx .f / > 0g:
C
1
Indeed, since Ax D OX;x T andn Bx D Ax a (where x D .a/),
is a-valuative
the ring Vx D Ax =Jx , where Jx D n1 a Ax , is an a-adically separated valu-
ation ring of the fraction field Kx D Bx =Jx , and so induces the valuation vx as
above. Moreover, it follows from A.1.5 and Exercise 0.8.8 that for any morphism
.'; h/W .X; OXC; OX / ! .Y; OYC; OY / of analytic triples and for any x 2 X, the
valuations v'.x/ and vx ı hx are equivalent. Thus we have a canonical functor
AnTri ! VTri, which is clearly fully faithful.
To sum up, we have the commutative diagram of categories
forgetful
VTri g❖ / Tri
❖❖❖ O
❖❖❖
❖❖❖
❖❖❖
❖❖❖ ?
4T
AnTri
where the arrows denoted by ,! are fully faithful.
int
Theorem A.1.6. (1) By X 7! ZR.X/ D .hXi; OX ; OX /, we have a functor,
again defined by ZR, from the category Rf of rigid spaces to the category AnTri of
analytic triples.
(2) The functor ZRW RigNoeRf ! AnTri, restricted to the category of locally
universally Noetherian rigid spaces, is faithful.
Proof. (1) Clear.

(2) By the patching argument, it is enough to discuss morphisms between Stein
affinoids of the form X D .Spf A/rig , where A has 1 an invertible ideal of definition
int
aA. By 6.2.6 and 6.4.1, we have .X; OX / D A a and .X; OX / D Aint , where

Aint is the integral closure of A in A a1 . Suppose we are given two morphisms
'; W X D .Spf A/rig ! Y D .Spf B/rig between Stein affinoids of the above
form. In view of 6.2.2 and 6.2.5, we may assume that these morphisms are induced
by two adic morphisms f; gW B ! A, respectively. If ZR.'/ and ZR. / give
the same morphisms of triples, then we have f a1 D g a1 , as a homomorphism

B a1 ! A a1 . Since aA is an invertible ideal of A, A ! A a1 is injective, and
hence f D g.
A.2 Rigid f-adic rings

A.2. (a) T.u. rigid-Noetherian f-adic rings. First recall that for a complete f-adic
ring A (0, ÷B.1. (d)) we have defined in 0, ÷B.1. (d) the restricted power series ring
AhhX1 ; : : : ; Xn ii. If A0 A is a ring of definition (0, ÷B.1. (b)), then A0 is an adic
ring of finite ideal type (I.1.1.6), and
AhhX1 ; : : : ; Xn ii D A0 hhX1 ; : : : ; Xn ii ˝A0 A:
Recall also that for an ideal of definition I0 A0 we have the equality
Spec AhhX1 ; : : : ; Xn ii n V .I0 AhhX1 ; : : : ; Xn ii/

D Spec A0 hhX1 ; : : : ; Xn ii n V .I0 A0 hhX1 ; : : : ; Xn ii/
due to 0.B.1.1. Since the topology on A coincides with the one induced by the
filtration fI0k gk0 , the scheme Spec AhhX1 ; : : : ; Xn ii n V .I0 AhhX1 ; : : : ; Xn ii/ does
not depend on the choice of the ideal of definition I0 .
Definition A.2.1. A complete f-adic ring A is said to be t.u. rigid-Noetherian if

Spec AhhX1 ; : : : ; Xn ii n V .I0 AhhX1 ; : : : ; Xn ii/ .defined as above/ is a Noetherian
scheme for any n 0.
Note that, if A is a bounded complete f-adic ring (0, ÷B.1. (c)) or, equivalently,
an adic ring of finite ideal type, then the above definition coincides with the one
in I.2.1.1, since we have A D A0 in the above notation. Note also that, if A is a
Tate ring, this notion coincides with that of ‘strongly Noetherian’ defined in [60],
÷2. The following proposition follows immediately from 0.B.1.1.
Proposition A.2.2. A complete f-adic ring A is t.u. rigid-Noetherian if and only if

any ring of definition A0 A is t.u. rigid-Noetherian .in the sense as in (I.2.1.1)/.
A.2. (b) Finite type extensions. In this paragraph we discuss finite type mor-
phisms between complete f-adic rings in a special situation; for the general defi-
nition, see [60], ÷3.
Let A be a t.u. rigid Noetherian f-adic ring, A0 A a ring of definition, and
I0 A0 a finitely generated ideal of definition. Consider an ideal J A, and
set J0 D J \ A0 . As we saw in I.2.1.3, the ideal J0 A0 is closed in A0 , and
the quotient B0 D A0 =J0 is again t.u. rigid-Noetherian. The quotient B D A=J
is obviously an f-adic ring, and B0 B is a ring of definition. Then, by 0.B.1.7,
B is again complete. Since B0 is t.u. rigid-Noetherian, B is a t.u. rigid Noetherian
f-adic ring by A.2.2.
Let 'W A ! B be a continuous homomorphism between t.u. rigid Noetherian
extremal f-adic rings; note that, by 0.B.1.6, the map ' is automatically adic. We say
that ' is of finite type if the ring B is, as an A-algebra, isomorphic to an A-algebra
of the form
AhhX1 ; : : : ; Xn ii=a
for an ideal a AhhX1 ; : : : ; Xn ii (cf. [60], 3.3 (iii)). By the above observation
and 0.B.2.5, the topological ring B is topologically isomorphic, hence isomorphic
as an f-adic ring, to the above quotient of AhhX1 ; : : : ; Xn ii.
A.2. (c) Rigidification of f-adic rings
Definition A.2.3. Let A be a t.u. rigid-Noetherian f-adic ring, and A0 ; A1 A two

rings of definition of A. We say that A0 and A1 are strictly (resp. finitely) equivalent
if there exists a diagram A0 ,! A2 - A1 consisting of strict (resp. finite) weak
isomorphisms (6.2.3) between rings of definition of A.
It follows from 6.2.2 that, if A0 and A1 are t.u. adhesive (I.2.1.1), then strict
equivalence is equivalent to finite equivalence. For a t.u. rigid-Noetherian f-adic
ring A and a ring of definition B A, we denote by C.B/ the strict equivalence
class that contains B.
Definition A.2.4. (1) A strict equivalence class of rings of definition of a t.u. rigid-
Noetherian f-adic ring A is called a rigidification of A.
(2) A pair .A; C / consisting of t.u. rigid-Noetherian f-adic ring A and a rigidifi-
cation of A is called an f-r-pair.
Example A.2.5. Let V be an a-adically complete valuation ring (a 2 mV n f0g),
and K D Frac.V /. Then K with the topology defined by the filtration fan Vpgn0 is
a t.u. rigid-Noetherian f-adic ring having V as a ring of definition. Let p D .a/ be
the associated height-one prime (0.6.7.4), and consider the height-one localization
Vz D Vp . Then Vz coincides with the set K o of all power-bounded elements and
is also a ring of definition; If ht.V / > 1, then V and Vz are not strictly equivalent,
since .Spf V /rig 6Š .Spf Vz /rig .
If .A; C / is an f-r-pair, then the affinoid X D .Spf A0 /rig for A0 2 C does not
depend, up to isomorphisms, on the choice of the ring of definition A0 . The affinoid
X thus obtained will be called the affinoid associated to the f-r-pair .A; C /.
Definition A.2.6. Let .A; C / and .A0 ; C 0 / be two f-r-pairs. A continuous homo-
morphism 'W A ! A0 is said to be rigid if there exist A0 2 C and A00 2 C 0 such
that '.A0 / A00 and the induced morphism A0 ! A00 is adic.
Let 'W A ! B be a finite type morphism between t.u. rigid-Noetherian ex-
tremal f-adic rings (÷A.2. (b)). If A is equipped with a rigidification (A.2.4) C ,
then B has a canonically induced rigidification defined as follows. As we have
seen in ÷A.2. (b), B is topologically isomorphic to an f-adic ring of the form
AhhX1 ; : : : ; Xn ii=a. Then for any A0 C the ring A0 hhX1 ; : : : ; Xn ii=a0 , where
a0 D a \ A0 hhX1 ; : : : ; Xn ii, is a ring of definition of B and hence defines a rigidifi-
cation of B. Note that the rigidification of B thus obtained does not depend on the
choice of A0 2 C .
A.3 Adic spaces

A.3. (a) Affinoid rings
Definition A.3.1. An affinoid ring is a pair A D .A˙ ; AC / consisting of an
f-adic ring A˙ and a subring AC A˙ that is open, integrally closed in A˙ , and
contained in .A˙ /o (the subset of A˙ consisting of power-bounded elements (0,
÷B.1. (b))).4 The ring AC is called the subring of integral elements of A.
Let A D .A˙ ; AC / be an affinoid ring. By a ring of definition of A we mean
a ring of definition of the f-adic ring A˙ contained in AC . When A0 is a ring of
definition of A, a finitely generated ideal of definition I0 A0 is called an ideal of
definition of A.
4
In Huber’s original notation (such as in [59], ÷3), affinoid rings are written as A D .AB ; AC /. Here,
in this book, we prefer to denote the ring in the first entry by A˙ instead of AB .
We say that an affinoid ring A D .A˙ ; AC / is complete (resp. extremal) if

the f-adic ring A˙ is complete (resp. extremal f-adic). For an affinoid ring A D
y D .A
.A˙ ; AC / its completion is given by the pair A y ˙; A
y C / consisting of the
completions of the respective topological rings. It turns out that this is again an
affinoid ring, hence a complete affinoid ring.
Definition A.3.2. Let A D .A˙ ; AC /, B D .B˙ ; BC / be affinoid rings.
A homomorphism 'W A ! B of affinoid rings is a continuous homomorphism
'W A˙ ! B˙ such that '.AC / BC . It is said to be adic if 'W A˙ ! B˙ is
adic (0, ÷B.1. (b)).
A.3. (b) Adic spectrum. Let A D .A˙ ; AC / be an affinoid ring. The associated
adic spectrum Spa A is the topological space defined as follows.
As a set, it consists of all (equivalence classes of) valuations5
vW A˙ ! [ f1g
(cf. 0.6.2.4) that satisfy v.x/ 0 for x 2 AC and are continuous (in the
sense as in A.1.2 (1)).
The topology is the one generated by the subsets of the form
fvW v.x/ v.y/ ¤ 1g
for any x; y 2 A˙ .
It is well known that Spa A is a coherent sober topological space (cf. [59], The-
orem 3.5 (i)).
Definition A.3.3. A subset U of Spa A is said to be rational if there exist f0 ; : : :,
fn 2 A˙ such that the ideal .f0 ; : : : ; fn / is open and
U D fv 2 Spa AW v.fi / v.f0 / ¤ 1; i D 1; : : : ; ng:

The rational subset as above is often denoted by R f1 ;:::;f f0
n
. Clearly, these
subsets form a basis of the topology on Spa A.
Let U D R f1 ;:::;ff0
n
be a rational subset of X D Spa A. Define the topological
f ;:::;f

ring A˙ 1 f0 n as follows.

As a ring, A˙ f1 ;:::;f f0
n
is A˙ f10 .

A˙ f1 ;:::;ff0
n
has the ring of definition B ff10 ; : : : ; ffn0 with the ideal of defi-

nition IB ff10 ; : : : ; ffn0 , where B is a ring of definition of A˙ with the ideal
of definition I B.
5
Although in [59] valuations are written multiplicatively, here we prefer to write them additively.
f1 ;:::;fn

We denote the completion of A˙ f0
by
˝˝ f1 ;:::;fn ˛˛
A˙ f0
:
It turns out that this ring is an f-adic ring determined only by U . Define the presheaf
OX by ˝˝ ˛˛
OX .U / D A˙ f1 ;:::;f
f0
n
for any rational subset U X D Spf A written as above, and OX .V / for any open
subset V by the projective limit lim OX .U / taken over all rational subsets
U V
contained in V endowed with the projective limit topology. We also define the
presheaf OXC by
OXC .U / D ff 2 OX .U /W v.f / 0 for any v 2 U g
for any open subset U .

If A is a complete affinoid ring, then
.Spa A; OX / D A˙ and .Spa A; OXC / D AC
(cf. [60], Proposition 1.6 (iv)).

By definition, for any x 2 X D Spa A, the stalk OX;x is canonically equipped
with the continuous valuation
vx W OX;x ! x [ f1g;
and we have
C
OX;x D ff 2 OX;x W vx .f / 0g:
Proposition A.3.4 ([60], Proposition 1.6 (i) and (ii)). (1) For any x 2 X D Spa A,
the stalk OX;x is a local ring with the maximal ideal
mX;x D ff 2 OX;x W vx .f / D 1g:

C
(2) For any x 2 X D Spa A, the stalk OX;x is a local ring with the maximal
ideal
C
mX;x D ff 2 OX;x W vx .f / > 0g:
A.3. (c) Adic spaces. The presheaf OX on X D Spa A may not be a sheaf (cf. [60],
÷1), but if it is a sheaf, then so is OXC . In this case, one obtains a valued triple (A.1.2)
..X D Spa A; OXC ; OX /; fvx gx2X /: ()
Definition A.3.5. An affinoid adic space is a valued triple that is isomorphic in

VTri to a triple of the form ./ as above, where OX is assumed to be a sheaf.
Note that if X D Spa A is an affinoid adic space, then any rational subdomain
U X, endowed with the structures induced from X, is also an affinoid adic
space.
Remark A.3.6. In [60], ÷2, and [61], ÷1.1, Huber defined affinoid adic spaces as
objects of a category V , which is defined as follows. Objects of V are triples of the
form .X; OX ; fvx gx2X / consisting of a topological space X, a sheaf of complete
topological rings OX , and a collection of valuations fvx gx2X of the stalks OX;x .
A morphism ' D .'; h/W .X; OX ; fvx gx2X / ! .Y; OY ; fvy gy2Y / in V is a mor-
phism of topologically ringed spaces satisfying the compatibility condition ./ as
in A.1.2 (2). However, by what we have remarked in A.1.3, our definition is equiv-
alent to Huber’s. The same remark also applies to the definitions of morphisms of
affinoid adic spaces, of adic spaces, and of morphisms of adic spaces, which will
be given soon below.
Morphisms of affinoid adic spaces are defined to be morphisms in VTri, in view

of the following proposition.
Proposition A.3.7 ([60] Proposition 2.1 (i)). Let X D Spa A and Y D Spa B be
affinoid adic spaces, where A is complete.
(1) Every homomorphism B ! A canonically induces a morphism X ! Y of

valued triples.
(2) The mapping
fB ! AW homomorphism of affinoid ringsg ! HomVTri .X; Y /
thus obtained is bijective.
Definition A.3.8. (1) An adic space is a valued triple ..X; OXC ; OX /; fvx gx2X / that
is locally an affinoid adic space.
(2) A morphism ..X; OXC ; OX /; fvx gx2X / ! ..Y; OYC; OY /; fvy gy2Y / of adic
spaces is a morphism of valued triples.
We denote by Adsp the category of adic spaces.
Proposition A.3.9. (1) The underlying topological space of an adic space is a

valuative space (0.2.3.1).
(2) The underlying continuous map of a morphism of adic spaces is valua-
tive (0.2.3.21) and locally quasi-compact (0.2.2.24).
Proof. (1) The underlying topological space of an adic space X is clearly a locally
coherent sober space. It follows from [61], Lemma 1.1.10 (i), that, for any x 2 X,
the set Gx of all generizations of x is totally ordered. Then the assertion follows
from 0.2.3.2 (1).
(2) It follows from [61], Lemma 1.1.10 (iv), that the underlying continuous map
of a morphism of adic spaces is valuative. It is clearly locally quasi-compact, for
morphisms between affinoid adic spaces are quasi-compact.
A.3. (d) Analytic adic spaces. In the sequel, we will call that an affinoid ring
A D .A˙ ; AC / extremal (resp. Tate) if the f-adic ring A˙ is extremal (resp.
Tate) (0, ÷B.1. (c))
Definition A.3.10. Let X D ..X; OXC ; OX /; fvx gx2X / be an adic space. A point
x 2 X is said to be analytic if there exists an affinoid open neighborhood U D
Spa A of x given by an extremal affinoid ring A. If all points of X are analytic, we
say that the adic space X is analytic.
Note that a point x 2 X is analytic if and only if there exists an affinoid open
neighborhood U D Spa A of x given by a Tate affinoid ring A. Indeed, U D Spa A
is an affinoid open neighborhood of x by given an extremal affinoid ring A, and
I D .f0 ; : : : ; fn / is an ideal of definition of a ring of definition of A˙ , and then
the rational subsets U f0 ;:::;f fi
n
.i D 0; : : : ; n/ cover U , and the corresponding
˝˝
˙ f0 ;:::;fn
˛˛
f-adic rings A fi
are Tate rings.
Note also that any morphism
..X; OXC ; OX /; fvx gx2X / ! ..Y; OYC; OY /; fvy gy2Y /
of analytic adic spaces is adic, that is, for any affinoid open U X and affinoid
open V Y with U V , OY .V / ! OX .U / is adic (due to 0.B.1.6; cf. [60],
Proposition 3.2 (i)).
We denote by AnAdsp the full subcategory of Adsp consisting of analytic adic
spaces.
Proposition A.3.11. Let A D .A˙ ; AC / be an extremal affinoid ring, and I A˙
be an ideal of definition of a ring of definition of A˙ . Consider the associated
affinoid adic space ..X D Spa A; OXC ; OX /; fvx gx2X /, and x 2 X.
C C
(1) The ring OX;x is I OX;x -valuative (0.8.7.1). Moreover,
C C
OX;x D lim Hom.I n OX;x ; OX;x /:
!
n1
C
(2) The valuation on OX;x induced by the valuation ring Vx D OX;x =Jx .where
T n C
Jx D n1 I OX;x / is equivalent to vx .
C
Proof. Set Ax D OX;x andSBx D OX;x . Then IAx D .a/ for a non-zero-divisor
a 2 Ax . By 0.B.1.1, Bx D n0 ŒAx W I n Ax . By this and the fact that IBx D Bx ,
we have Bx D lim Hom.I n Ax ; Ax /. Since the valuation vx is continuous,
T ! n1
Jx D n1 I n Ax D ff 2 Bx W vx .f / D 1g, which is a prime ideal both in Ax
and in Bx . By [60], Proposition 1.6 (i), Jx is a maximal ideal of Bx . Hence Kx D
Bx =Jx is a field, which contains Vx D Ax =Jx . Since Vx D fs 2 Kx W vx .s/ 0g,
Vx is a valuation ring, which is clearly a-adically separated; in particular, Kx D
Vx a1 D Frac.Vx /. Then by 0.8.7.8 (2), Ax is IAx -valuative, which yields (1).
(2) is clear.
It follows from the proposition that analytic adic spaces are analytic triples,
see A.1.4. By A.3.11 and Exercise 0.8.8 (cf. A.1.5), we have the following corol-
lary.
Corollary A.3.12. The forgetful functor
..X; OXC ; OX /; fvx gx2X / 7 ! .X; OXC ; OX /
from the category AnAdsp of analytic adic spaces to the category AnTri of triples
is fully faithful.
For the reader’s convenience, we insert here the definition of locally of finite
type morphisms between analytic adic spaces; see [60], ÷3, for the general defini-
tion. For a complete affinoid ring A D .A˙ ; AC /, we have the affinoid ring
AhhX1 ; : : : ; Xn ii D .A˙ hhX1 ; : : : ; Xn ii; AC hhX1 ; : : : ; Xn ii/;
defined as follows: A˙ hhX1 ; : : : ; Xn ii was already defined in 0.B.1. (d), and

AC hhX1 ; : : : ; Xn ii is the subring consisting of power series with coefficients in
AC . A homomorphism A ! B of affinoid rings is called a quotient mapping
if A˙ ! B˙ is surjective, continuous, and open, and the integral closure in B˙ of
the image of AC coincides with BC . A homomorphism A ! B of complete ex-
tremal affinoid rings is said to be .topologically/ of finite type if it factors through
a quotient mapping AhhX1 ; : : : ; Xn ii ! B (cf. [60], 3.5 (iii); see also ÷A.2. (b));
note that, in this case, B˙ is generated by finitely many elements over A˙ (cf. 0,
÷B.1. (d)).
Definition A.3.13. A morphism f W X ! Y between analytic adic spaces is said to
be locally of finite type if for any x 2 X there exist an open affinoid neighborhood
U Š Spa A of x and an affinoid open subset V Š Spa B of Y such that f .U / V
and the induced homomorphism B ! A is topologically of finite type. If, more-
over, (the underlying continuous mapping of) f is quasi-compact (0.2.1.4 (2)), we
say that f is of finite type.
A.4 Rigid geometry and affinoid rings

A.4. (a) Affinoid rings associated to f-r-pairs
Proposition A.4.1. Let .A; C / be an f-r-pair (A.2.4), and set
A˙ D A; AC D lim B:
!
B2C
Then A D .A˙ ; AC / is a complete affinoid ring.

Proof. It is clear that AC is open in A˙ . To show that AC is integrally closed in
A˙ , suppose x 2 A˙ is integral over AC . Then x is integral over some B 2 C .
The homomorphism B ! BŒx is finite, and hence BŒx is open and bounded
in A˙ . For a finitely generated ideal of definition I B, we have by 0.B.1.1
the equality Spec B n V .I / D Spec BŒx n V .IBŒx/, and hence B ! BŒx is
isomorphic outside I (6.2.1). Hence, by 6.2.4, we deduce BŒx 2 C and thus
x 2 AC . To verify that AC is contained in .A˙ /o , we only have to remark that
any element of AC is contained in a ring of definition, and hence is power-bounded.

Definition A.4.2. (1) An a-r-pair is a pair R D .AR ; CR / consisting of a complete
C
affinoid ring AR D .A˙ ˙
R ; AR / with AR t.u. rigid-Noetherian, and a rigidification
C
CR of A˙ R that satisfies the compatibility condition AR D lim B.
!B2CR
(2) For two a-r-pairs R D .AR ; CR / and R0 D .AR0 ; CR0 /, a homomorphism of
a-r-pairs is a homomorphism 'W AR ! AR0 enjoying the following property: there
exist B 2 CR and B 0 2 CR0 such that '.B/ B 0 and the induced homomorphism
B ! B 0 is adic (cf. A.2.6).
Note that any homomorphism of a-r-pairs is adic. The proposition A.4.1 shows
that any f-r-pair .A; C / canonically induces an a-r-pair R D .AR ; CR / with A˙
R D
A and CR D C . We call this a-r-pair the a-r-pair associated to the f-r-pair .A; C /.
A.4. (b) Stein affinoids and analytic affinoid pairs. Let X be a Stein affinoid
(6.5.2) X D .Spf A/rig with Spec A n V .I / affine, where I A a finitely generated
ideal of definition. We may assume that A is I -torsion free (6.1.5). As we saw
in 0, ÷B.1. (b), the ring B with Spec B D Spec A n V .I / is a complete extremal
f-adic ring (0, ÷B.1. (c)) having A (resp. I ) as a ring (resp. an ideal) of definition.
By 6.4.1,
.X; OX / D B:
Moreover, by 6.2.2,
int
.X; OX /D lim .X 0 ; OX 0 / D lim A0 ;
0
! 0
!
X !Spf A A 2C.A/
where X 0 ! Spf A runs through all admissible blow-ups of Spf A (see ÷A.2. (c) for
the definition of C.A/). By 6.2.6, the following results hold true.
int
Proposition A.4.3. In the situation as above, .X; OX / coincides with the integral
closure of A in .X; OX /.
Theorem A.4.4. Let X be a Stein affinoid.
C
(1) The pair AX D .A˙
X ; AX / defined by
A˙
X D .X; OX /; AC int
X D .X; OX /;
is a complete extremal affinoid ring such that A˙

X is t.u. rigid-Noetherian.
(2) Any distinguished affine formal model X D Spf A of X induces a strict equiv-
alence class C.A/ of A˙ X defined by A, which depends only on X. Moreover,
if we denote by CX D C.A/ the rigidification thus obtained, then
AR.X/ D .AX ; CX /
is an a-r-pair.
Definition A.4.5. (1) An affinoid ring isomorphic to AX as in A.4.4 (1) is called
an analytic affinoid ring associated to X.
(2) An a-r-pair isomorphic to AR.X/ as defined in A.4.4 (2) is called an ana-
lytic affinoid pair associated to X.
It is clear that for any morphism 'W X ! Y of Stein affinoids there is a canon-
ical induced homomorphism AR.'/W AR.Y/ ! AR.X/ of a-r-pairs. Thus, AR
gives rise to a functor from the opposite category of the category of Stein affinoids
to the category of a-r-pairs.
Theorem A.4.6. The functor AR thus obtained is fully faithful with the essential
image being the totality of analytic affinoid pairs.
Proof. Let X and Y be Stein affinoids, and consider the map
HomCRf .X; Y/ ! Hom.AR.Y/; AR.X//;
where the last set is the set of homomorphisms of a-r-pairs. It is not difficult to
see that this map is injective (left to the reader). To show the surjectivity, take
a homomorphism W AR.Y/ ! AR.X/ of a-r-pairs. Let Spf A and Spf B be
distinguished affine formal models of X and Y, respectively. On the other hand, let
A0 and B0 be rings of definition in CX and CY , respectively, such that .B0 /
A0 and the map B0 ! A0 is adic. One can replace B0 and A0 by strict weak
equivalence and thus assume that B D B0 and A D A0 (cf. 6.2.5 and A.2.2). Hence
we get the map 'W X ! Y induced by the adic map B ! A. It is straightforward
to check that AR.'/ D .
A.4. (c) Visualization and adic spectrum
Theorem A.4.7. Let X be a Stein affinoid, and consider the analytic affinoid pair
AR.X/ D .AX ; CX / associated to X. Then the adic spectrum X D Spa AX is
canonically homeomorphic to hXi: Moreover, under this identification, the sheaf
OXint
.resp. OX / coincides with the presheaf OXC .resp. OX /; see ÷A.3. (b).
Proof. Set B D .X; OX /. To construct the map hXi ! X D Spa AX , take

x 2 hXi. Then one has the associated rigid point ˛x W Spf V cx ! hXi (3.3.5). Let
Spf A be a distinguished formal affine model of X, and I a finitely generated ideal
of definition of A. Then the rigid point induces an adic map A ! V cx . Since V
cx is
c
a-adically separated, where I Vx D .a/, and since B D lim n
Hom.I ; A/, this
!n1
adic map gives rise to a continuous valuation vx W B ! x [ f1g, where x is the
value group of the valuation ring V cx , whence the desired map x 7! vx . It is easy to
see that this map is continuous.
To construct the inverse map X D Spa AX ! hXi, take a continuous valuation
vW B ! [ f1g, and consider the composition vW A ! [ f1g. The kernel
v 1 .0/ is a prime ideal, and thus the map factors through a field; taking the inverse
image of the subset consisting of positive values, one gets a valuation ring V that
factors through v. Set I V D .a/; we have a ¤ 0 and a 62 V . Then V is a-adically
separated due to the continuity of v. By 0.9.1.1, the a-adic completion Vy is an
a-adically complete valuation ring having the same value group as V , and thus we
get the rigid point ˛W Spf Vy ! Spf A, whence ˛W Spf Vy ! hXi (cf. 3.3.6). It is
straightforward to see that the maps thus obtained are continuous and inverses to
one another, and thus the first assertion of A.4.7 is shown.
Next we compare the structural presheaves. To this end, since the issue is local,
we may replace A by an affine part of the admissible blow-up along the ideal of
definition I , and thus we may assume that I D .a/ is invertible. Take f0 ; : : : ; fn 2
B such that the ideal .f0 ; : : : ; fn / in B is the unit ideal (hence is open). In this
situation we consider the rational subdomains
f0 fk 1 fkC1 fn

Uk D X fk
; : : : ; fk
; fk
; : : : ; fk
S
for k D 0; : : : ; n (6.1.7 (3)), which give a covering hXi D nkD0 hUk i by quasi-
compact open subsets. Note that the rational subdomains hUk i correspond to the ra-
tional subsets Uk D fv 2 Spa AX W v.fi / v.fk / ¤ 1; i ¤ kg of X D Spa AX
under the map constructed above. Since this covering comes from the admissible
blow-up along the admissible ideal .al f0 ; : : : ; al fn / (with l 0 sufficiently large),
the open coverings of this form are cofinal, and hence it is enough to show that the
presheaves take the same values on the subsets hUk i.
For k D 0; : : : ; n we have
˝˝ f0 ;:::;fk 1 ;fkC1 ;:::;fn
˛˛
.Uk ; OX / D B fk
()
by definition (÷A.3. (b)). On the other hand,

˝˝ al f0 l al fkC1 a l fn
˛˛
.hUk i; OX / D A al f
; : : : ; aafl fk 1
; l
a fk
; : : : ; l
a fk
˝A B ()
k k
by 6.5.7 (1), which is nothing but the right-hand side of ./. Hence we have OX D
OX . Since .Uk ; OXC / consists of elements in .Uk ; OX / that have non-negative
int
values at any v 2 Uk , it coincides with .hUk i; OX /, because in view of 0.8.7.8 the
int
inequality vx .fx / 0 for f 2 .hUk i; OX / holds if and only if fx 2 OX;x .
Corollary A.4.8. Let AX be the analytic affinoid ring associated to a Stein affinoid
X, and consider X D Spa AX . Then the presheaves OX and OXC are sheaves,
thereby defining the affinoid adic space (A.3.5) ..X; OXC ; OX /; fvx gx2X /, which is,
as a valued triple, canonically isomorphic to the Zariski–Riemann triple ZR.X/
associated to X.
Notice that the Zariski–Riemann triple ZR.X/ is an analytic triple (A.1.6),
and hence is naturally regarded as a valued triple.
Proof. The first assertion follows immediately from A.4.7. One can check the sec-
ond assertion by a calculation as in the proof of A.4.7.
A.4. (d) Description of power-bounded elements. Let X D .Spf A/rig be a Stein

affinoid, where A is an I -torsion free (where I A is a finitely generated ideal of
definition) t.u. rigid-Noetherian ring such that Spec A n V .I / is affine. In this para-
graph, we are interested in the subring .X; OX /o of power-bounded elements (0,
÷B.1. (b)) in the f-adic ring .X; OX /. We first remark that the following inclusion
holds:
.X; OX /o ff 2 .X; OX /W fx 2 OX;x

int
for any x 2 ŒXg:
Indeed, if x 2 ŒX, then the valuation at x (cf. 3.2.13) is of height one, and may
take values in R. If f 2 .X; OX / is power-bounded, then the value of fx is
int
non-negative, which implies that fx 2 OX;x .
Proposition A.4.9. Suppose that there exists a real valued spectral functor
(8.1.9) defined on the category of quasi-compact open subspaces of X. Then we
have the equality
.X; OX /o D .X; OX int
/:
Moreover, .X; OX /o coincides with the integral closure of A in .X; OX /.
Proof. The first assertion follows from the above remark and 8.1.11. The second
one follows from A.4.3.
By 8.2.19, we have the following corollary.
Corollary A.4.10. Let X be a Stein affinoid of type (VR ) or of type (N). Then
.X; OX /o D .X; OX
int
/:
Moreover, if X D Spec A is a distinguished affine formal model of X, where A is

a topologically of finite type algebra over an a-adically complete height one valua-
tion ring in type (VR ) case, or, in type (N) case, an I -adically complete Noetherian
ring .where I A is a finitely generated ideal of definition/ such that X n V .I / is
affine, then .X; OX /o is the integral closure of A D .X; OX / in .X; OX /.
A.4. (e) Rigidification and finite type extensions
Theorem A.4.11. Let A be a t.u. rigid-Noetherian extremal f-adic ring, and C

a rigidification (A.2.4) of A. Let A D .A˙ ; AC / be the associated affinoid
ring (A.4.1). Then the following categories are canonically equivalent.
(a) The category of A-algebras of finite type .cf. ÷A.2. (b)/ with rigid (A.2.6)
A-algebra homomorphisms .note that, as we have seen in ÷A.2. (c), any
finite type extension of A has the canonical rigidification induced from C /.
(b) The category of finite type affinoid rings (÷A.3. (d)) over A.
(c) The category of finite type affinoid rings over A with discrete A-algebra
homomorphisms that preserve the positive parts.
We will use the following lemma for the proof of the theorem.
Lemma A.4.12. Let A be as in A.4.11, and B an A-algebra of finite type. Let

A0 A and B0 B be respective rings of definition, and I0 A0 a finitely
generated ideal of definition. Consider elements f1 ; : : : ; fn 2 B0int in the inte-
gral closure of B0 in B. Then the subring B1 of B weakly generated over B0 by
f1 ; : : : ; fn (0, ÷B.1. (d)) is a ring of definition of B. Moreover, B1 is generated over
B0 by f1 ; : : : ; fn , and defines the same rigidification as B0 .
Proof. Since f1 ; : : : ; fn 2 B0int , the ring B0 Œf1 ; : : : ; fn is finite over B0 and hence
is I0 -adically complete. Consequently, B1 D B0 Œf1 ; : : : ; fn , which is a ring of
definition. It is clear that B1 is generated by f1 ; : : : ; fn and B0 . Since B1 is finite
over B0 , they define the same rigidification by 6.2.4.
Proof of Theorem A.4.11. It is clear that there exist the canonical functors, one
from category (a) to category (b), and another from category (b) to category (c).
We are going to show that there exists the canonical functor from (c) to (a), which
gives a quasi-inverse to the composite functor from category (a) to category (c). Let
B D .B˙ ; BC / and B0 D .B0˙ ; B0C / be affinoid rings of finite type over A, and
'W B˙ ! B0˙ an A-algebra homomorphism such that '.BC / B0C . Replacing
A0 in the same rigidification class if necessary, one can take topologically finitely
generated rings of definition B0 BC and B00 B0C over A0 . Then replace B00 by
the ring generated by B00 and '.B0 /, which is, by A.4.12, again a ring of definition
that gives rise to the same rigidification. Since '.B0 / B00 , it defines a morphism
in category (a).
Corollary A.4.13. Let A be a t.u. rigid-Noetherian extremal f-adic ring, and C a

rigidification of A. Let A D .A˙ ; AC / be the associated affinoid ring. Suppose
that there exists a real valued spectral functor (8.1.9) defined on the category of all
rigid spaces of finite type over the affinoid associated to .A; C / (÷A.2. (c)). Then
the following categories are equivalent:
(a) the category of affinoid rings of finite type over A, and

(b) the category of A-algebras of finite type with continuous A-algebra homo-
morphisms.
Proof. By A.4.11, it suffices to check that morphisms in the category (b) preserve
the positive part. This follows from A.4.9.
The significance of the corollary lies in that the latter category does not refer
to rigidifications; in other words, the rigidifications in this situation are canonical.
Note that, by 8.2.19, the hypothesis in A.4.13 is automatic in the type (VR ) and
type (N) cases.
A.4. (f) Analytic rings of type (N)
Definition A.4.14. An f-adic ring A is called an analytic ring of type (N) if it is

complete, extremal (0, ÷B.1. (c)), and admits a Noetherian ring of definition.
Proposition A.4.15. Let A be an analytic ring of type (N), and A0 a Noetherian

ring of definition of A. For any ring of definition R of A contained in Ao , the
subring generated by A0 and R in Ao is finite over A0 .
Proof. Let J be an ideal of definition of R. Replacing J by a power of J if nec-
essary, we may assume that J A0 and that JA0 is an ideal of definition of A0 .
The subring R is a subset of M0 D fx 2 Aint 0 W J x A0 g, which is an
A0 -submodule of Aint
0 . Let X be the blow-up of Spec A centered at the ideal JA.
We have J OX D OX .1/. Then M0 is an A0 -submodule of .X; O. 1//, and the

last module is a finitely generated A0 -module. Since A0 is Noetherian, M0 is a
finitely generated A0 -module, and hence the ring generated by A0 and R is finite
over A0 .
Corollary A.4.16. Let A be an analytic ring of type (N). Then the strict equivalence
class containing a Noetherian ring of definition is unique.
For an analytic ring A of type (N) we denote by C0 .A/ the finite equivalence
class (A.2.3) containing a Noetherian ring of definition.
Proposition A.4.17. Let A be an analytic ring A of type (N). Then every ring of
definition of A belonging to C0 .A/ is Noetherian.
Proof. The assertion follows immediately from the Eakin–Nagata theorem, which
guarantees that for a finite ring extension A B of rings with B Noetherian, A is
Noetherian.
Corollary A.4.18. Let X be a universally adhesive affinoid. If X has at least one
Noetherian affine formal model, then any distinguished affine formal model X of
X is Noetherian.
Proof. This follows from 6.2.6, 6.2.8, and A.4.17.
Proposition A.4.19. Let A and A0 be analytic rings of type (N). Suppose we are
given rigidifications induced from C0 .A/ and C0 .A0 / of A and A0 , respectively.
Then any homomorphism of affinoid rings 'W .A; Ao / ! .A0 ; A0o/ is a homomor-
phism of a-r-pairs (A.4.2).
Proof. By 0.B.1.4 (2) and 0.B.1.6, ' is adic. Let A0 and A00 be Noetherian rings
of definition of A and A0 , respectively. Let A000 be the subring of A0 generated
by A00 and '.A0 /. We claim that A000 is finite over A00 . Indeed, since '.A0 / is
bounded, there exists n 0 such that I00n '.A0 / A00 , where I00 A00 is an ideal
of definition. This means that A000 ŒA00 W I00n . But since ŒA00 W I00n is obviously
finite over A00 (because Spec A0 D Spec A00 n V .I00 /), we see that A000 is finite.
The discussion above yields the following result (cf. A.4.13 and 8.2.19).
Theorem A.4.20. The following categories are canonically equivalent.
(a) The category of a-r-pairs given by analytic rings of type (N) with homomor-
phisms of a-r-pairs.
(b) The category of affinoid rings given by analytic rings of type (N) .without
rigidifications/.
(c) The category of analytic rings of type (N) with continuous ring homomor-
phisms.
A.4. (g) Canonical rigidifications of classical affinoid algebras. Let V be an

a-adically complete valuation ring of height one .a 2 mV nf0g/, and K D Frac.V /.
Recall that any classical affinoid algebra A over K (0.9.3.1) is a complete Tate ring
(c)). For any subring A A topologically of finite type over V such
(0, ÷B.1.
that A a1 D A, the rigid space X D .Spf A/rig is a Stein affinoid, and hence
by A.4.4 (1) and A.4.10, the pair .A; Ao / is an affinoid ring (A.3.1).
Definition A.4.21 (canonical subring). For a classical affinoid algebra A over K

we define
Acan D ff 2 AW .f mod m/ is integral over V for any maximal ideal m Ag;
and call Acan the canonical subring of A.
Note that the subring Acan depends only on the K-algebra structure, and not on
the topological (f-adic) structure of A.
Proposition A.4.22 (Uniqueness of affinoid ring structure). Let A be a classical

affinoid algebra over K, and choose a ring of definition A A that is topologically
finitely generated over V . Let X D .Spf A/rig be the associated Stein affinoid. Then
Acan D .X; OX /o .D Ao / D .X; OX

int
/:
The significance of the proposition lies in that the affinoid ring structure .A; Ao /
actually does not depend on the topology on A; combined with the previously ob-
tained results in ÷A.4. (e), this shows that such an A also possesses the canonical
rigidification, that is to say, the assignment A Ý X is canonical, depending only
on the K-algebra structure of A.
Proof. For any x 2 hXicl , denote by mx A the corresponding maximal ideal;

see 8.2.11. Let f 2 A D .X; OX /. If f 2 Acan , then the image of f in
OX;x =mX;x is finite over Vx D O int =mX;x , the valuation ring at x, and hence
belongs to Vx (here we partially used the notation as in 3.2.13). Hence the germ
int int
fx 2 OX;x lies in OX;x . Now by 8.1.11 and 8.2.21 we have f 2 .X; OX /. This
int
shows the inclusion Acan .X; OX /, while the opposite inclusion is easy to see.
The other equality follows from A.4.10.
Corollary A.4.23. For any K-algebra homomorphism 'W A ! A0 between clas-

sical affinoid algebras over K, we have '.Ao / A0o . In particular, ' induces a
morphism of affinoid rings .A; Ao / ! .A0 ; A0o /.
Thus one deduces, in particular, that any K-algebra homomorphism between

classical affinoid algebras is continuous. This assertion is considered to be one of
the most fundamental results in classical rigid analytic geometry.
Proof. In view of 8.2.11 and 8.2.14, the inclusion '.Ao / A0o follows immedi-
ately from A.4.22. For the second, one needs to check that the topologies on A
and A0 are uniquely determined and that a ring of definition of finite type over V
is mapped into a ring of definition of finite type over V . This follows from A.4.11.

Corollary A.4.24. In the setting of A.4.23, the morphism
'W .A; Ao / ! .A0 ; A0o /
is a map of a-r-pairs with respect to the canonical rigidifications .÷A.2. (b)/.
Compiling all results so far obtained, we have the following theorem.
Theorem A.4.25. Let V be an a-adically complete valuation ring of height one,

and K D Frac.V / its fraction field. Set D .Spf V /rig . Then the following
categories are canonically equivalent:
(a) the category of affinoids of finite type over and morphisms over ;
(b) the opposite category of the category of classical affinoid algebras over K
and K-algebra homomorphisms.
A.5 Rigid geometry and adic spaces

We already know that for a Stein affinoid X the Zariski–Riemann triple ZR.X/ is
canonically identified with the affinoid adic space
..X D Spa AX ; OXC ; OX /; fvx gx2X /
associated to the analytic affinoid pair AR.X/ D .AX ; CX / (A.4.8). In particular,

we know that in this situation the presheaves OXC and OX are sheaves. Therefore,
by the definition of adic spaces (A.3.8), we have the following theorem.
Theorem A.5.1. (1) Let X be a locally universally Noetherian rigid space. Then
the associated valued triple ZR.X/ D .ZR.X/; fvx gx2X / is an analytic adic
space (A.3.10).
(2) Let 'W X ! Y be a morphism between locally universally Noetherian rigid
spaces. Then the morphism ZR.'/W ZR.X/ ! ZR.Y/ of valued triples is a mor-
phism of adic spaces.
Proof. (1) follows immediately from A.4.8. Since morphisms of adic spaces are,
by definition, morphisms of valued triples, (2) follows as well.
Thus we have the functor

ZRW RigNoeRf ! AnAdsp
from the category of locally universally Noetherian rigid spaces to the category of
analytic adic spaces, which is faithful due to A.1.6 (2).
Theorem A.5.2. Let be a locally universally Noetherian rigid space. Then the vi-
sualization functor ZR establishes a categorical equivalence between the category
of locally of finite type rigid spaces over and the category of adic spaces locally
of finite type (A.3.13) over ZR./.
Proof. In view of A.4.13, it suffices to show that the functor in question is fully
faithful, for then the essential surjectivity follows by a standard patching argument.
It is obvious that for any locally of finite type X over , the adic space ZR.X/ is
locally of finite type over ZR./. We need to show that, for any X and Y locally
of finite type over , the map
Hom .X; Y/ ! HomZR. / .ZR.X/; ZR.Y//;
already known to be injective, is bijective. We may assume that , X,
and Y are Stein affinoids. Since the functor AR is fully faithful (A.4.6), we
only need to check that any morphism 'W ZR.X/ ! ZR.Y/ canonically gives
a map AR.Y/ ! AR.X/ of a-r-pairs (which is automatically adic). Since
int
AX D ..X; OX /; .X; OX // etc., the morphism ' induces a homomorphism
AY ! AX of affinoid rings. As we have seen in ÷A.2. (c), the rigidifications CX
and CY are canonically determined by the rigidification C of AR./, and it is
clear that, in view of the definition of topologically of finite type affinoid rings
(cf. [60], ÷3, p. 534ff), these rigidifications are preserved by ZR./-morphisms of
adic spaces.
Theorem A.5.3. The category of analytic spaces of type (N) and the category of
rigid spaces of type (N) .2.5.2/ are equivalent.
Here by an analytic space of type (N) we mean an adic space that is locally
isomorphic to the adic spectrum of a complete affinoid ring A D .A˙ ; AC /, where
A˙ is an analytic ring of type (N) (A.4.14) and AC D Aı .
Proof. Due to A.4.19, one can show by an argument similar to that in the proof
of A.5.2 that the functor ZR is fully faithful from the category of rigid spaces of
type (N) to the category of analytic spaces of type (N). It is clear that the functor in
question is essentially surjective.
Remark A.5.4. Let X be a coherent universally rigid-Noetherian formal scheme

X such that OX is -torsion free, where is an ideal of definition. We do not know
the answer to the question: if the associated rigid space X rig is of type (N), is X
Noetherian as a formal scheme? Notice that this is true if X is universally adhesive.
B. Appendix: Tate’s rigid analytic geometry 665
B Appendix: Tate’s rigid analytic geometry

B.1 Admissibility
B.1. (a) Admissibility with respect to a spectral functor. Throughout this para-
graph we fix
an O-stable subcategory C of the category of rigid spaces (8.1.1 (1)) con-
sisting of quasi-separated rigid spaces,
a continuous spectral functor S (8.1.2, 8.1.4) defined on C .
We assume that the data .C ; S / satisfy the following weak left-exactness.
(a) For any arrow 'W X ! Y in C and any open subspace V Y, we have
S.' 1 .V // D S.'/ 1 .S.V //.
open subspaces fU˛ g˛2L of X belonging to C , we have
(b) ForSany family ofS
S. ˛2L U˛ / D ˛2L S.U˛ /.
Definition B.1.1. Let X 2 obj.C /. An open subspace U X is said to be .C ; S /-

admissible if
for any arrow 'W V ! X in C , where V is coherent and S.'/.S.V //
S.U/, we have '.V / U.
It is clear that if W Y ! X is a morphism in C and U X is a .C ; S /-ad-

1
missible open subspace, then .U/ is a .C ; S /-admissible open subspace of
Y. Note that, for any X 2 obj.C /, any quasi-compact open subspace U
X is .C ; S /-admissible; indeed, for 'W V ! X as above, since S.' 1 .U// D
S.'/ 1 .S.U// D S.V /, we have ' 1 .U/ D V due to 8.1.6.
Proposition B.1.2. Let X be a rigid space in C and U a .C ; S /-admissible open

subspace of X. Then U is the maximal open subspace of X among the open
subspaces V X such that S.V / S.U/.
Proof. For any quasi-compact open subspace V X such that S.V / S.U/,
we have V U. Thanks to the continuity of S , U is the union of all such quasi-
compact subspaces.
Remark B.1.3. One can similarly show the following fact: for X 2 obj.C /, an
open subspace U X is .C ; S /-admissible if and only if for any 'W V ! X in C ,
where V is coherent, ' 1 .U/ is the maximal open subspace of V among the open
subspaces W V such that S.W/ D S.' 1 .U//.
For X 2 obj.C / we denote by A.X/ the category of .C ; S /-admissible open

subspaces in X and open immersions.
Corollary B.1.4. The spectral functor S is conservative on A.X/, that is, for
U; U0 2 obj.A.X//, S.U/ D S.U0 / implies U D U0 .
Definition B.1.5. Let X be a rigid spaceSin C , and U X a .C ; S /-admissible

open subspace. An open covering U D ˛2L U˛ is said to be .C ; S /-admissible
if every U˛ .˛ 2 L/ is .C ; S /-admissible.
By B.1.4 and the weak left-exactness of S we have the following result.
Proposition B.1.6. By attaching to each X 2 obj.C / the category A.X/ together

with the notion of .C ; S /-admissible coverings, we have a Grothendieck topology
on the category C . The associated topos is equivalent to the large admissible
topos (2.2.25) restricted to C .
As we remarked before, any quasi-compact open subspace is .C ; S /-admissible.

Here is another example of .C ; S /-admissible subspaces.
Proposition B.1.7. Any tube open subset (4.2.4) of X is .C ; S /-admissible.
Proof. Let T D hXi n hUi be a tube open subset (4.2.4), where U X is a

retrocompact open subspace. Since the inverse image of a tube open subset by a
morphism of coherent rigid spaces is again a tube open subset (cf. Exercise II.4.2),
it suffices to show, by B.1.3, that T is the maximal among all open subsets W X
such that S.W/ D S.T /. For any quasi-compact open subspace V X such
that S.V / S.T /, we have S.U \ V / D S.U/ \ S.V / D ;. This shows that
U \ V D ; and hence that hV i T . Then the assertion follows from continuity
of S .
B.1. (b) G-topology on a topological space. Let us recall the definition of

G-topologies on a topological space X (cf. [18], (9.1.1)). Let Ouv.X/ be the cate-
gory of open subsets of X; the objects of Ouv.X/ are the open subsets of X, and
for two open subsets U; V X
8
<¹º; if U V ,
HomOuv.X/ .U; V / D
:;; otherwise.
A G-topology on X is a Grothendieck topology on a full subcategory A of

Ouv.X/ such that U; V 2 obj.A/ implies U \ V 2 obj.A/; open subsets in A
(resp. coverings of ) are called -admissible open subsets (resp. -admissible open
coverings).
For example, the topology on X itself gives rise to a G-topology in an obvious
way. We call this G-topology the canonical G-topology.
If is a G-topology on a topological space X and Y X is a subset, then one

can consider the induced G-topology on Y , denoted by jY , as follows.
jY -admissible open subsets are the open subsets of Y of the form U \ Y
for a - admissible open subset U .
jY -admissible coverings of an jY -admissible open subset U \ Y are
the open coverings of the form fY \ U˛ g˛2L for a -admissible covering
fU˛ g˛2L of U .
Let X be a topological space and a G-topology on X such that the associ-
ated topos top. / is equivalent to the canonical topos top.X/. Then it may
be the case, for a subset Y X, that the topoi top. jY / and top.Y / are not equiva-
lent. For example, consider X D R with the topology given by the open intervals
with rational extremities; although gives the topos equivalent to the one given by
R itself, the topoi top. jQ / and top.Q/ are different from each other, for the for-
mer is equivalent to top. / (and hence the rational line Q with this G-topology is
connected (cf. [18], (9.1.1))), whereas the topological space Q is, as is well known,
totally disconnected.
In general, for a topological space X, a subset Y X, and a G-topology
on X the associated topos of which is equivalent to the canonical one, the topos
top. jY / is equivalent to top.X/ if satisfies the following condition: if U; V are
-admissible open subsets, then Y \ U D Y \ V implies U D V .
B.1. (c) G-topology associated to a spectral functor. Now we return to the situa-
tion considered in the beginning of ÷B.1. (a). We introduce the notion of .C ; S /-ad-
missibility (and thus a G-topology) on each topological space S.X/ with X 2
obj.C /.
Definition B.1.8. For X 2 obj.C /, a .not necessarily open/ subset U S.X/ is

said to be .C ; S /-admissible if the following conditions are satisfied.
(a) There exists an open subspace U X such that S.U/ D U .
(b) For any morphism 'W V ! X in C , where V is coherent and such that
S.'/.S.V // U , there exists a collection
S of quasi-compact open sub-
spaces fU˛ g˛2L such that U D ˛2L S.U˛ / and the covering
fS.' 1 .U˛ //g˛2L of S.V / .which is a covering due to the weak
left-exactness assumption in ÷B.1. (a)/ is refined by a finite covering of the
form fS.Vj /gj 2J given by quasi-compact open subspaces Vj V .
Note here that a priori the collection fU˛ g˛2L of quasi-compact open subspaces
of X may depend on the map '; we will show in B.1.10 that actually such a collec-
tion can be taken independently on '.
Proposition B.1.9. For X 2 obj.C /, a subset U S.X/ is .C ; S /-admissible

if and only if it is of the form U D S.U/ for a .C ; S /-admissible open subspace
U X.
Note that thanks to B.1.4 the .C ; S /-admissible open subspace U is uniquely
determined by U . To prove the proposition, we need the following lemma.
Lemma B.1.10. Let X be a coherent rigid space in C and fU˛ g˛2L a collection
of quasi-compact open subspaces of X. Then fU˛ g˛2L covers X if and only if
S
(a) S.X/ D ˛2L S.U˛ / and
(b) fS.U˛ /g˛2L admits a finite refinement of the form fS.Vj /gj 2J , where Vj
are quasi-compact open subspaces of X.
Proof. The ‘only if’ part is clear. Let us show the ‘if’ part. Take for each j 2 J an
index ˛.j / 2 L such that S.Vj / S.U˛.j / /. Since S is spectral and S since Vj and
U˛.j
S/ are quasi-compact, we have VSj U˛.j / . From S.X/ D j 2J S.Vj / D
S.
S j 2J j V /, we deduce that X D V
j 2J j , since S is spectral, and thus X D
˛2L U˛ , as desired.
Proof of Proposition B.1.9. Suppose that there exists a .C ; S /-admissible open

subspace U X such that U D S.U/. Then any open covering fU˛ g˛2L
of U consisting of quasi-compact open subspaces fulfills B.1.8 (b), and thus the
‘if’ part is clear. To show the ‘only if’ part, consider the set fUW S.U/ D U g
(non-empty by the definition B.1.8 (a)). Due to the continuity of S , this set has
the maximal element U. We need to show that this U is .C ; S /-admissible. Let
V be a coherent rigid space in C , and 'W V ! X a morphismSin C such that
S.'/.S.V // U . Let fU˛ g˛2L be as in B.1.8 (b), and set U0 D ˛2L U˛ . Since
S.U/ D S.U0 / D U , we have U0 U. Since the covering fS.' 1 .U˛ //g˛2L
of S.V
S/ admits1 a finite refinement fS.Vj /gj 2J as in B.1.8 (b), B.1.10 implies that
V D ˛2L ' .U˛ / D ' .U / and thus '.V / U0 U.
1 0

Definition B.1.11. Let X be a rigid space in C and U S.X/ a .C ; S /-admissible

subset. A collection fU˛ g˛2L of subsets of S.X/ is called a .C ; S /-admissible
covering of U if the following conditions are satisfied.
(a) Each U˛ is a .C ; S /-admissible subset of S.X/.
(b) For any morphism 'W V ! X in C from a coherent rigid space such that
S.'/.S.V // U , fS.'/ 1 .U˛ /g˛2L admits a finite refinement of the form
fS.Vj /gj 2J , where each Vj V is a quasi-compact open subspace, that
covers S.V /.
One has the following proposition, which can be shown by an argument similar
to that in B.1.10.
Proposition B.1.12. Let X be a rigid space in C and fU˛ g˛2L a family of .C ; S /-

admissible open subspaces of X. Then fU˛ g˛2L is a .C ; S /-admissible covering
of X if and only if fS.U˛ /g˛2L is a .C ; S /-admissible covering of S.X/.
B.2 Rigid analytic geometry

B.2. (a) Classical affinoids. Let V be an a-adically complete valuation ring of
height one (a 2 mV n f0g), and K D Frac.V /. As in 0, ÷6.3. (c), the field K has
a non-Archimedean valuation k kW K ! R0 and is complete with respect to the
associated metric topology.
Let AffK be the category of classical affinoid algebras over K (0.9.3.1) and
opp
K-algebra homomorphisms. We consider the dual category AffK , called the cate-
gory of (classical) affinoids over K. For a classical affinoid algebra A, we consider
the set Spm A of all closed points in Spec A; recall that any classical affinoid al-
gebra is a Jacobson ring (0.9.3.10). Then for any morphism 'W A ! B in AffK ,
opp
the corresponding morphism in AffK is interpreted as the map Spm B ! Spm A
(m 7! ' 1 .m/), the existence of which is guaranteed by 0.9.3.7.
Subsets of an affinoid Spm A of the form
fx 2 Spm AW kf1 .x/k 1; : : : ; kfr .x/k 1g
with f1 ; : : : ; fr 2 A form a basis of a topology on the set Spm A, called the canon-
ical topology (cf. [94], ÷9, and [18], 7.2.1). Here, for an element f 2 A and a point
x D m 2 Spm A, we write f .x/ D .f mod m/, which lies the finite extension
K 0 D A=m of K (0.9.3.7), and denote, by a slight abuse of notation, the unique
extension of the norm kk on K to K 0 by the same symbol. Note that any morphism
opp
Spm B ! Spm A in AffK is continuous with respect to the canonical topologies.
B.2. (b) Affinoid subdomains
Definition B.2.1. A subset U Spm A is said to be an affinoid subdomain if the

functor FU W AffK ! Sets defined by
FU .B/ D f' 2 HomK .A; B/W ' .Spm B/ U g
for B 2 obj.AffK / is representable by a classical affinoid algebra over K; in other

words, these exists a K-algebra homomorphism A ! AU of classical affinoid
algebras over K that satisfies the following universal mapping property: for any
K-algebra homomorphism A ! B of classical affinoid algebras over K such that
the image of the induced map Spm B ! Spm A lies in U , there exists a unique
K-algebra homomorphism AU ! B such that the diagram
A✼ / AU
✼✼ ✄
✼✼ ✄
✄
B
commutes.
The classical affinoid algebra AU as above is uniquely determined up to isomor-

phisms. It is, moreover, known that the map Spm AU ! Spm A gives a homeo-
morphism onto U (cf. [18], 7.2.2 and 7.2.5).
over K, and A a topologically finitely
Let A be a classical affinoid algebra
generated V -algebra such that A D A a1 (cf. 0.9.3.1). Consider the affinoid X D
.Spf A/rig in the sense of 6.1.1. Then, by 8.2.11, the set Spm A coincides with the
set of all classical points X0 of X. It is straightforward to see, using A.4.25, that
for any affinoid subdomain (in the sense of 6.1.6) U D .Spf B/rig X, the subset
U D U0 X0 of classical points gives 1 an affinoid subdomain of Spm A, with
the classical affinoid algebra AU D B a . The famous Gerritzen–Grauert theorem
[45] states the converse.
Theorem B.2.2 (cf. Gerritzen and Grauert [45]). In the situation as above, a sub-
set U Spm A is an affinoid subdomain if and only if there exists an affinoid
subdomain U D .Spf B/rig X D .Spf A/rig .in the sense of 6.1.6/ such that U
U0 of UI in this case, the related classical
coincides with the set of classical points
affinoid algebra is given by AU D B a1 .
We will prove this theorem independently from [45] in the next volume
(cf. Introduction). But, for the reader’s convenience, let us include here the argu-
ment to deduce this theorem from the classical Gerritzen–Grauert theorem
(e.g., [18], 7.3.5).
Suppose U D Spm B ,! X D Spm A is an affinoid subdomain, and take
U D .Spf B/rig ! X D .Spf A/rig such that U0 S ! X0 is the given U ,! X. Take
a finite covering by rational subdomains X D ˛2L X˛ , where X˛ D Spm A˛ ,
such that U \ X˛ D Spm A˛ b̋ A B is a Weierstrass domain of X˛ D Spm A˛ ([18],
7.3.5/2). Since X˛ is a rational subdomain of X, there exists A˛ as in 6.1.7 (3)
such that X˛ D .Spf A˛ /rig gives a rational subdomain of X and X˛ D .X˛ /0 for
˛ 2 L. Since U \ X˛ is a Weierstrass domain, there exists B˛ as in 6.1.7 (1) such
that U˛ D .Spf B˛ /rig gives
S a rational subdomain of X˛ and U \ X˛ D .U˛ /0
for ˛ 2 L. Since U D ˛2L U˛ , and U˛ ,! X˛ and X˛ ,! X are all open
immersions for ˛ 2 L, we deduce that U ,! X is an open immersion, as desired.
B.2. (c) Rigid analytic spaces. We next introduce the so-called weak G-topology
and strong G-topology on affinoids.
[18], 9.1.4. The weak G-topology on an affinoid X D Spm A is defined as
follows:
the admissible open subsets are the affinoid subdomains;
the admissible coverings are the finite coverings by affinoid subdo-
mains.
[18], 9.1.4/2. The strong G-topology on an affinoid X D Spm A is defined
as follows:
a subset U X S is an admissible open subset if and only if it has
a covering U D ˛2L U˛ by affinoid subdomains of X such that
for any morphism f W Y ! X of affinoids with f .Y / U , the
induced covering ff 1 .U˛ /g˛2L is refined by an admissible
covering of weak G-topology on Y ;
S
a covering U D ˛2L V˛ of an admissible open subset V by
admissible open subsets is an admissible covering if and only if for
any morphism f W Y ! X of affinoids with f .Y / U , the induced
covering ff 1 .V˛ /g˛2L is refined by an admissible covering in the
weak G-topology on Y .
The structure presheaf OX on the affinoid X D Spm A is defined as follows. For
any affinoid subdomain U X, we set OX .U / D AU . It follows from the univer-
sal mapping property of affinoid subdomains that this indeed yields a presheaf OX .
Theorem B.2.3 (Tate’s acyclicity theorem [94], ÷8). The presheaf OX is a sheaf
with respect to the weak G-topology, and hence uniquely extends to a sheaf with
respect to the strong G-topology .cf. [18], 9.2.3).
Definition B.2.4 (cf. [18], 9.3.1/4). (1) An affinoid space over K is a locally
G-ringed space .X; OX / over K, that is, a pair consisting of a G-topological space
X and a sheaf of local rings over K on X with respect to the G-topology, that is
K-isomorphic to the locally G-ringed space of the form .Spm A; OSpm A / consid-
ered with the strong G-topology.
(2) A rigid analytic space over K is a locally G-ringed space .X; OX / over K
such that the following conditions are satisfied.
(a) The G-topology of X enjoys the following properties.
(G0 ) ; and X are admissible open subsets of X.
(G1 ) For an admissible open subset U X and a subset V U , V is

admissible open in X if there exists an admissible covering fU˛ g˛2L
of U such that each V \ U˛ is admissible open in X.
(G2 ) If an open covering of an admissible open subset U consisting of
admissible open subsets admits a refining admissible covering, it is
an admissible covering of U .
(b) There exists an admissible covering fX˛ g˛2L of X such that, for each
˛ 2 L, .X˛ ; OX jX˛ / is an affinoid space over K.
(3) A morphism of rigid analytic spaces .X; OX / ! .Y; OY / over K is a
K-morphism of locally G-ringed spaces over K.
B.2. (d) Comparison with rigid spaces. Let V and K be as in the beginning
of ÷B.2. (c). Set D .Spf V /rig , and let C be the category of rigid spaces locally of
finite type over . By 8.2.21, the functor S D h icl is a continuous spectral functor
defined on C which satisfies properties (a) and (b) in the beginning of ÷B.1. (a).
For a rigid space X in C , let
X0 D .X0 ; 0 ; OX0 /
be the G-ringed space over K defined as follows.

As a set, X0 is the set of all classical points of X:
X0 D hXicl :
The G-topology 0 is the topology on X0 D S.X/ given by the admissible

open subsets as in B.1.8 and the admissible coverings as in B.1.11. (It is
clear that .C ; S /-admissible subsets of X0 D S.X/ are open subsets with
respect to the subspace topology on X0 induced by the topology on the
Zariski–Riemann space hXi).
OX0 is the sheaf of local rings defined as follows: for any quasi-compact
open subspace U X,
OX0 .hUicl / D OX .hUi/
(note that quasi-compact open subspaces are .C ; S /-admissible).

It is clear by the construction that for an -morphism 'W X ! Y of locally of
finite type rigid spaces, one has the uniquely induced morphism '0 W X0 ! Y0 of
G-ringed spaces over K. Moreover, if ' is an open immersion, then so is '0 .
Theorem B.2.5. For a locally of finite type -rigid space X, the G-ringed space
X0 D .X0 ; 0 ; OX0 / thus obtained is a rigid analytic space over K in the sense of
[18], (9.3.1/4). Thus we have a functor
X 7 ! X0
from the category of locally of finite type -rigid spaces to the category of rigid
analytic spaces over K. Moreover, this functor gives a categorical equivalence
from the category of quasi-separated locally of finite type -rigid spaces to the
category of quasi-separated rigid analytic spaces over K.
Here, a rigid analytic space is said to be quasi-separated (in the sense of Tate) if
the intersection of two affinoid subdomains is a finite union of affinoid subdomains.
Notice that the quasi-separatedness in the last assertion is necessary due to the
following example. Let X be any non-empty finite type affinoid over , and U D
X nfxg, where x is a non-classical closed point of X. Then the gluing of two copies
of X along U is a non-quasi-separated -rigid space, of which the associated rigid
analytic space is the same as that of X.
Proof of Theorem B.2.5. Let us first show step by step that X0 D .X0 ; 0 ; OX0 / is
a rigid analytic space over K and, at the same time, that the functor X 7! X0 is
fully faithful.
Step 1. Suppose X is an affinoid, X D .Spf A/rig , where A is a topologically
finitely generated algebra over V . In this case the ring A D A a1 is a classical
affinoid algebra (0, ÷9.3. (a)). By 8.2.11, the set X0 is canonically identified with
the set Spm A of all closed points in Spec A.
Claim. The G-topology 0 coincides with the strong G-topology on the affinoid
X0 D Spm A.
To show the claim, first note the following facts.
For a quasi-compact open subspace U X, U0 X0 is an affinoid
subdomain in the sense of B.2.1 if and only if U is an affinoid subdomain
of X in the sense of 6.1.6 (Gerritzen–Grauert theorem [45]; cf. B.2.2).
S collection fU˛ g˛2L of quasi-compact
For a finite S open subspaces of X,
X0 D ˛2L .U˛ /0 if and only if X D ˛2L U˛ ; this follows from the
fact that S D h icl is a spectral functor.
Then the claim is evident thanks to the definitions of admissible open subsets
(B.1.8) and admissible coverings (B.1.11).
Now it is immediate from 6.4.1 and the definition of the sheaf OX0 as above
that the resulting G-ringed space .X0 ; 0 ; OX0 / is an affinoid space in the sense
of B.2.4 (1).
Finally, we show that the functor X 7! X0 restricted to the full subcategory

consisting of finite type affinoids over is fully faithful (with the essential image
being the full subcategory consisting of affinoid spaces over K). Consider affi-
noids X D .Spf A/rig and Y D .Spf B/rig , where A; B are topologically finitely
generated V -algebras. It is well known in classical rigid analytic
geometry
that
morphisms X0 D Spm A ! Y0 D Spm B (where A D A a1 and B D B a1 ) of
affinoid spaces over K are in canonical one-to-one correspondence with K-algebra
homomorphisms B ! A. Based on this fact, the desired full faithfulness follows
from A.4.25.
Step 2. Suppose X is a quasi-compact open subspace of an affinoid. In this case,
since X is the union of a finite collection of affinoids U˛ with the property that any
intersection U˛ \ Uˇ is again an affinoid, it is easy to see that .X0 ; 0 ; OX0 / is
actually a rigid analytic space over K. One can also show that the functor X 7! X0
restricted to the full subcategory consisting of rigid spaces of this type is fully faith-
ful; indeed, this follows from the affinoid case by a standard patching argument.
Step 3. Suppose X is coherent. In this case X is the union of a finite collection
of affinoids U˛ with the property that any intersection U˛ \ Uˇ is quasi-compact.
Hence the assertion follows from Step 1 and Step 2.
Step 4. If X is quasi-separated, then by 3.5.3 it is a stretch of coherent rigid
spaces (2.2.17 (1)), and thus the assertion follows easily. Then the assertion in
the general case also follows in view of the definition of general rigid spaces as
in 2.2.18.
Next we show the other assertion, that is, the essential surjectivity. By [18],
(9.3.2) and (9.3.3), (by patching of analytic spaces and analytic mappings) we may
restrict to the affinoid case. But then the assertion is clear.
The following result is a consequence of the proof.
Corollary B.2.6. Under the categorical equivalence in B.2.5, affinoids .resp. sepa-
rated spaces, resp. coherent spaces/ corresponds to affinoid spaces .resp. separated
analytic spaces, resp. coherent analytic spaces/.
B.2. (e) Coherent sheaves. Let X be a rigid space locally of finite type over
D .Spf V /rig , and X0 D .X0 ; 0 ; OX0 / the associated rigid analytic space.
By 8.2.23, the subset X0 D hXicl of hXi is very dense. Hence, it follows from
the definitions of the G-topology 0 and the structure sheaf OX0 that we have the
canonical equivalence between the locally ringed topoi

.Xad ; OX / Š .X0;ad ; O X0 /
C. Appendix: Non-archimedean analytic spaces of Banach type 675

(induced by the obvious inclusion X0 ,! X of sites), where Xad denotes the small

admissible topos associated to X (2.2.24) and X0;ad the topos associated to 0 . In
particular, the functor F 7! F0 D F jX0 gives rise to categorical equivalences

ModX ! ModX0 ; CohX ! CohX0 :
C Appendix: Non-archimedean analytic spaces of Banach type

In this appendix, we will introduce and discuss metrized analytic spaces, and the
relationship with Berkovich’s analytic geometry. Our construction is based on a
spectral theory of filtered rings (÷÷C.1–C.4). It will turn out that the new notion
of spectra, the so-called valuative spectra, is, under certain conditions, equivalent
to that of reified adic spectra introduced by Kedlaya [67], and can be seen as a
globalization of Temkin’s work [96]. The interpretation of Berkovich spaces is
given in ÷C.6.
C.1 Seminorms and norms

Let us first recall some basic notions and terminology related to seminormed and
normed rings (cf. [18], [11]).
Let M be an abelian group, written additively. A seminorm on M is a function
j jW M ! R0 ; x 7 ! jxj;
satisfying the following conditions:
(a) j0j D 0;
(b) for x; y 2 M , jx yj jxj C jyj.
A seminorm j j is called a norm if fx 2 M W jxj D 0g coincides with f0g. A
seminorm or norm j j is said to be non-archimedean if it satisfies the following
condition:
(b/0 jx yj maxfjxj; jyjg for any x; y 2 M .
Two seminorms j j and j j0 on M are said to be equivalent if there exist real
numbers C; C 0 > 0 such that, for any x 2 A,
jxj0 C jxj C 0 jxj0 :
The zero seminorm is the seminorm j j such that jxj D 0 for all x 2 M . The
trivial norm is a norm j j defined for x 2 M by
´
0 if x D 0,
jxj D
1 otherwise.
A seminormed group (resp. normed group) is a pair .M; j j/ consisting of an

abelian group M and a seminorm (resp. norm) j j on M .
Let A be ring. A .ring/ seminorm on A is a seminorm on the underlying additive
group of A such that
(c) j1j 1;
(d) jxyj jxj jyj for any x; y 2 A.
It follows that j1j is either 0 or 1, and it is 0 if and only if j j is the zero
seminorm.
A seminorm j j on a ring A is said to be power-multiplicative if j1j D 1
and jx n j D jxjn for any x 2 A and n 1. It is multiplicative if j1j D 1 and
jxyj D jxj jyj for any x; y 2 A. Multiplicative norm are called a valuations.
If j j and j j0 are seminorms on A with j j power-bounded, and if there exists
a real number C > 0 such that jxj C jxj0 for all x 2 A, then jxj jxj0 for
all x 2 A (that is, C can be chosen p to be 1). Indeed, for any positive integer n,
we have jxjn C jxj0n , hence jxj n C jxj0 , thereby the claim. In particular, two
power-bounded seminorms on a ring are equivalent if and only if they are equal.
A seminormed ring (resp. normed ring) is a pair .A; j j/ consisting of a ring A
and a seminorm (resp. norm) j j on A.
For a seminormed group .M; j j/ and a surjective homomorphism W M ! N
of abelian groups, the residue seminorm jjres on N induced from jj is the seminorm
on N defined for y 2 N by
jyjres D inffjxjW .x/ D yg:
When is a ring homomorphism, the residue seminorm induced from a ring semi-
norm is again a ring seminorm.
Let .A; j jA / and .B; j jB / be seminormed groups (resp. seminormed rings),
and f W A ! B a group (resp. ring) homomorphism.
f is said to be bounded if there exists a real number C > 0 such that
jf .x/jB C jxjA
for all x 2 A. (By an argument similar to the one above, the number C can
be 1, if j jB is power-bounded.)
f is said to be admissible if the residue seminorm on the image f .A/ in-
duced from j jA is equivalent to the restriction of j jB . Admissible injective
(resp. surjective) homomorphisms are often called admissible monomor-
phisms (resp. admissible epimorphisms).
A seminormed module over a seminormed ring .A; j jA / is a seminormed group

.M; j jM / such that
(e) there exists C > 0 such that jaxjM C jajA jxjM for all a 2 A and all
x 2 M.
Let .M; j jM / and .N; j jN / be non-archimedean seminormed modules over a
non-archimedean seminormed ring .A; j jA /. Then, the tensor product M ˝A N ,
can be endowed with following seminorm, called the tensor-product seminorm: for
x 2 M ˝A N ,
n ˇ n
X o
ˇ
jxj D inf max jmi jM jni jN ˇ x D mi ˝ ni ; mi 2 M; ni 2 N :
1i n
i D1
The completion of M ˝A N with respect to the tensor-product seminorm will be

denoted by
M b̋A N;
and called the complete tensor product.
A Banach ring is a normed ring .A; j j/ such that A is complete with respect to
the metric defined by the norm. Note that the zero ring f0g with the zero map as its
norm is a Banach ring, which can be characterized as a Banach ring .A; j jA / such
that j1jA < 1. Moreover, any ring A with the trivial norm j jtriv is a Banach ring.
C.2 Graded valuations

C.2. (a) Graded rings and modules. Many notions on rings and modules admit
‘graded versions,’ which generalize those of the classical theory of rings and mod-
ules. Here we recall some of the basic material on graded rings and modules, espe-
cially on graded fields and graded valuation rings (cf. [86], [87], [96]).
Let be an abelian group, written multiplicatively, with the unit element 1 2 .
A -graded ring is a commutative ring with 1 D 1G 2 G of the form
M
GD Gd ;
d 2
where Gd for d 2 are additive subgroups of G such that Gd Gd 0 Gd d 0

for anyL d; d 0 2 . Similarly, a -graded G-module is a G-module of the form
M D d 2 Md satisfying Gd Md 0 Md d 0 . Note that, in this situation, the
unit-element part G1 is a commutative ring, and all pieces Gd and Md for d 2
are G1 -modules; in fact, one canL easily show that 1G 2 G1 (cf. [87], 1.1.1). Note
also that, for a graded ideal I D d 2 Id of G, I D G if and only if I1 D G1 .
Notice that, if D f1g (the trivial group), then all that follows throughout this
subsection reduces to the classical theory of rings and modules.
For -graded rings G; G 0 , a homomorphism f W G ! G 0 of -graded rings is

defined to be a ring homomorphism that preserves the grading. One can similarly
define morphisms of -graded G-modules. One has thus categories of -graded
rings and modules. If 0 is a subgroup of , then by restriction of the grading one
obtains a functor from the category of -graded rings to the category of 0 -graded
rings. A left adjoint to this functor is given byL
‘0-extension’ of the gradings, that is,
to any 0 -graded ring G 0 , we associate G D d 2 Gd with
´
Gd if d 2 0 ;
Gd D
¹0º otherwise
(cf. [87], 1.1.2). L

A -graded integral domain is a non-zero -graded ring G D Gd such
that the product ab of any non-zero homogeneous elements a; b 2 G is non-zero.
A -graded field is a non-zero -graded ring G such that any non-zero homoge-
neous element is invertible. Note that a -graded integral domain (resp. -graded
field) G is not necessarily an integral domain (resp. a field), but the unit-element
part G1 is always an integral domain (resp. a field) in the usual sense.
A homogeneous ideal p G of a -graded ring G is prime if p ¤ G and
the set Sp of all homogeneous elements of G n pL is closed under multiplication, or
equivalently, the quotient -graded ring G=p D d 2 Gd =.p\Gd / is a -graded
integral domain. A maximal element in the set of all homogeneous proper ideals
in G is called a maximal homogeneous ideal. It follows that a homogeneous ideal
m G is maximal if and only if G=m is a -graded field.
By a standard argument using Zorn’s lemma, one can show that any non-zero
-graded ring has a maximal homogeneous ideal.
Let G be a -graded ring, and m G a homogeneous ideal. Then m is
the unique maximal homogeneous ideal of G if and only if 1 62 m and any non-
invertible homogeneous element of G belongs to m. In this situation, G is said to
be local. In other words, a local -graded ring is a -graded ring that has a unique
maximal homogeneous ideal.
Let G be a -graded ring, and S G a multiplicative subset consisting of
homogeneous elements. Then one P has the natural grading by on the localization
GS D S G given by .GS /d D d 0 Dd d 00 .S \ Gd 00 / 1 Gd 0 for d 2 (cf. [87],
1
8.1). For example, if p G is a prime homogeneous ideal, then one has the
set Sp as above, and one can form the localization Sp 1 G, which we denote by
Gp . Notice that Gp is a local -graded ring, in which pGp is the unique maximal
homogeneous ideal. In particular, if G is a -graded integral domain, then G.0/ ,
the graded localization by the prime homogeneous ideal .0/, is a -graded field,
called the graded fraction field, and denoted by Frac .G/.
C.2. (b) Graded valuation rings. Let be an abelian group. We only consider
gradings by , and drop ‘’ from the notation.
Definition C.2.1 ([96], ÷1). (1) Let K be a graded field. A graded subring V of K
is called a graded valuation ring for K if for any homogeneous non-zero x 2 K,
either x or x 1 is contained in V .
(2) A graded valuation ring is a graded integral domain V that is a graded
valuation ring for its graded fraction field K D Frac .V /.
Notice that, in the situation as in (1), any graded subring W of K that contains
V is again a graded valuation ring. Notice also that, if V is a graded valuation ring
for K, then the unit-element part V1 is a valuation ring for K1 (in the usual sense;
see 0, ÷6.2. (a)).
Let .G1 ; mG1 / and .G2 ; mG2 / be local graded subrings of a graded field K.
We say that G1 dominates G2 if G2 G1 and mG2 D mG1 \ G2 .
Proposition C.2.2. Let K be a graded field, and V a graded subring of K. Then

the following conditions are equivalent:
(a) V is a graded valuation ring for K;
(b) Frac .V / D K, and the set of all homogeneous principal ideals of V is totally
ordered with respect to inclusion;
(c) Frac .V / D K, and the set of all homogeneous ideals of V is totally ordered
with respect to inclusion;
(d) V is local, and .V; mV / is its maximal element with respect to the order by
domination in the set of all local graded subrings of K.
We provide the proof, which mimics the proof of the classical case (cf. [27],
Chapter VI, Theorem 1), for the reader’s convenience.
Proof. (a) H) (b). For two non-zero principal homogeneous ideals aV; bV V ,
we have aV bV or bV aV , according to whether a=b 2 V or b=a 2 V .
(b) H) (c). Let I; J V be two homogeneous ideals such that I 6 J . Take a
homogeneous a 2 I n J . For any non-zero b 2 J , either a=b or b=a belongs to V .
But b=a 2 V has to hold, since a 62 J . Hence b D a .b=a/ 2 I , which shows that
J I.
(c) H) (a). For any non-zero homogeneous a=b 2 K, where a; b are homo-
geneous elements in V , we have a=b 2 V or b=a 2 V , according to whether
aV bV or bV aV .
(c) H) (d). Take a maximal homogeneous ideal m of V , which is unique due to

the assumption. Hence, V is a local graded ring. Let W be a local graded subring
of K that dominates V . For any non-zero homogeneous x 2 W , either x 2 V or
x 1 2 V . Since mV W mW ¤ W and x 1 62 mW , we have x 2 V , which
implies W D V .
(d) H) (a). Let x 2 K n V be a homogeneous element. We want to show that
x 1 2 V . We first show that x is not integral over V . Indeed, if x is integral
over V , then the graded subring W D V Œx of K is finite over V . One can take
a maximal ideal m (in the usual sense) of V containing mV ; since mW ¤ W ,
we have mV W ¤ W . (The last inequality also follows from the graded version of
Nakayama’s lemma; see [86], 8.4.) Thus there exists a maximal homogeneous ideal
m0 of W that contains mV W . Since Wm0 dominates V , we have x 2 Wm0 D V by
the assumption, a contradiction.
Thus x is not integral over V , and hence by [27], Chapter VI, ÷1.2, Lemma 1,
the ideal of V Œx 1 generated by mV and x 1 is not equal to V Œx 1 itself, and
hence there exists a maximal homogeneous ideal m00 of V Œx 1 that dominates V .
Therefore, x 1 2 V Œx 1 m00 D V , as desired.
The last part of the above proof shows that the following statement holds.
Proposition C.2.3. Let V be a graded valuation ring for K D Frac .V /. Then V

is graded integrally closed, i.e., any homogeneous element x 2 K integral over V
lies in V .
Finally, let us state the existence of graded valuation rings that dominate given
local graded rings.
Proposition C.2.4. Let K be a graded field, and A K a local graded subring.

Then there exists a graded valuation ring V for K that dominates A.
Proof. By a standard argument using Zorn’s lemma, one can show that there exists
a maximal local graded subring V K that dominates A. By C.2.2, V is a graded
valuation ring.
C.2. (c) Graded valuations. For a graded ring G, let us denote the set of all ho-
mogeneous elements by
[
h.G/ D Gd :
d 2
Definition C.2.5. Let K be a graded field, and a totally ordered commutative

group (0, ÷6.1. (a)). A graded valuation v of K with value target group is a
mapping
vW h.K/ ! [ f1g
which maps non-zero elements to elements in and satisfies the following condi-
tions:
(a) v.xy/ D v.x/ C v.y/ for all x; y 2 h.K/;
(b) v.x C y/ inffv.x/; v.y/g for all x; y 2 h.K/ of the same degree;
(c) v.1/ D 0 and v.0/ D 1.
If v is a graded valuation of K, then, for d 2 ,
Vd D fx 2 Kd W v.x/ 0g
L
is a subgroup of Kd (due to (b) and (c)), and V D d 2 Vd is a graded subring of
K (due to (a)). One deduces, using the conditions (a), (b), and (c), that, for any non-
zero homogeneous x 2 K, we have v.x/ 0 or v.x 1 / 0. Hence, V is a graded
valuation ring for K. The maximal homogeneous ideal of V is the homogeneous
ideal generated by fx 2 h.K/W v.x/ > 0g.
Conversely, for a graded valuation ring V , one has a graded valuation v of
the graded fraction field K D Frac .V /, which gives back, in the manner de-
scribed above, the given V up to isomorphism; the construction is as follows. Let
U.K/ be the multiplicative group of the non-zero homogeneous elements of K,
and U.V / the multiplicative group of the invertible homogeneous elements of V .
By C.2.2 (b), one can show that
V D U.K/=U.V /
is a totally ordered commutative group with the property that the image of h.V /nf0g
is the set of all positive elements. Then the mapping
´
Œx .D x mod U.V // if x ¤ 0;
vW h.K/ ! V [ f1g; v.x/ D
1 if x D 0;
is a graded valuation of K. It is clear that V is the ‘non-negative’ part; that is,

Vd D fx 2 Kd W v.x/ 0g for all d 2 .
As in the classical case, one can define the notion of equivalence of graded val-
uations in such a way that, by the above correspondence, the set of all equivalence
classes of graded valuations of K is mapped bijectively onto the set of all graded
valuation rings for K.
C.2. (d) Generization and specialization of graded valuations. Similarly to the

classical case, we have the following result.
Proposition C.2.6. Let V be a graded valuation ring for a graded field K. Then
there exist canonical order-preserving bijections among the following sets:
(1) the set of all homogeneous prime ideals of V with the inclusion order;
(2) the set of all graded subrings .¤ V / lying between V and K .which are auto-
matically graded valuation rings/ with the reversed inclusion order;
(3) the set of all proper isolated subgroups of V with the reversed inclusion order.
The bijections are described similarly to the ones in 0.6.2.9.
Corollary C.2.7. Let V be a graded valuation ring for a graded field K. Then any
graded subring W of K containing V is a graded valuation ring for K, and the set
of all such subrings is totally ordered with respect to inclusion.
Based on these results, we can introduce the following notions similarly to the
classical case.
Definition C.2.8. Let K be a graded field.
(1) For two graded valuation rings V; W for K, we say V is a specialization of W ,

or W is a generization of V , if V W .
(2) The height of a graded valuation ring V , denoted by ht .V /, is the height of
the value group V .
Note that ht .V / D 0 if and only if V D K.
C.2. (e) Unit-element part. As mentioned before, the unit-element part V1 of a

graded valuation ring V for the graded field K is a valuation ring (in the usual
sense) for the unit-part K1 of K. The maximal ideal mV1 of V1 is equal to mV \ V1 .
In general, for a -graded field F , we set
F D fd 2 W Fd ¤ f0gg:
Then F is a subgroup of (since F is a graded field). Note that, if d 2 F , we

have Fd Fd 1 D F1 , and Fd is a one dimensional vector space over F1 .
Proposition C.2.9. Let V be a graded valuation ring for a graded field K, and
k D V =mk the graded residue field of V .
(1) We have
k D fd 2 W Vd Vd 1 D V1 g:
In particular, k is a subgroup of K .which may not coincide with K /.
(2) For any d 2 k , Vd is a free V1 -module of rank one.
(3) For any d 2 ,

´
mV1 Vd if d 2 k ;
.mV /d D
Vd if d 62 k :
Proof. (1) If d 2 k , we have .mV /d D mV \ Vd ¤ Vd , and hence there exists

u 2 Vd that is invertible in V . For any x 2 V1 , we have x D .xu/u 1 2 Vd Vd 1 ,
hence V1 D Vd Vd 1 . Conversely, if Vd Vd 1 D V1 , there exist u 2 Vd invertible
in V , and hence kd D Vd =.mV \ Vd / ¤ 0.
(2) Since mV1 Vd mV \ Vd , we have mV1 Vd ¤ Vd for d 2 k . Take
x 2 Vd n mV1 Vd . Let us show that x freely generates Vd . For y 2 Vd , we have
y D ux or x D uy for some u 2 V1 according to whether y=x 2 V or x=y 2 V . If
y 2 Vd n mV1 Vd , then u must be invertible in V , and thus y 2 xV1 . If y 2 mV1 Vd ,
then y D ux should hold, and hence y 2 xV1 . Now, since V is a graded integral
domain, Vd is V1 -torsion free. Hence Vd is freely generated by x.
(3) It suffices to show that mV \ Vd D mV1 Vd for d 2 k . The inclusion
mV1 Vd mV \ Vd is clear. In the proof of (2), we have shown that Vd =mV1 Vd
is, as a vector space over k1 D V1 =mV1 , spanned by the residue class of x; as it
is non-zero (since d 2 k ), it has to be of dimension one. Hence the surjection
Vd =mV1 Vd ! Vd =.mV \ Vd / is an isomorphism, which shows that mV \ Vd D
mV1 Vd , as claimed.
Definition C.2.10. Let V be a graded valuation ring for a graded field K, and
k D V =mk the graded residue field of V . We say V is non-degenerate if the
equality k D K holds.
As a corollary of C.2.9, we have the following result.
Corollary C.2.11. In the setting C.2.9, V is non-degenerate if and only if mV1 V D

mV .
Proposition C.2.12. Let V be a graded valuation ring for a graded field K. Sup-
pose V is non-degenerate.
(1) Any generization W of V is also non-degenerate.
(2) The canonical map Vd ˝V1 Vd 0 ! Vd d 0 is an isomorphism, whenever Vd and

Vd 0 are non-zero.
Proof. (1) Any generization W of V is of the form W D Vp for a homogeneous
prime ideal p V . The graded residue field kW of W is then the graded fraction
field of V =p. For d 2 , .kV /d ¤ 0 implies .V =p/d ¤ 0, and hence .kW /d ¤ 0.
(2) By C.2.9 (2), it suffices to show that
.Vd =mV1 Vd / ˝V1 =mV1 .Vd 0 =mV1 Vd 0 / ! Vd d 0 =mV1 Vd d 0
is surjective. This follows from the equality mV1 V D mV (C.2.11) and the fact that
V =mV D kV is a graded field.
Remark C.2.13. Note that a graded valuation ring V for a graded field K is non-
degenerate if and only if it enjoys the following properties:
(a) each Vd for d 2 K is a free V1 -module;
(b) for any d; d 0 2 K , Vd ˝V1 Vd 0 Š Vd d 0 .
Indeed, the ‘only if’ part was already shown in C.2.9 (2) and C.2.12(2). Conversely,
if (a) and (b) hold, then for any d 2 K , one can take the free generator x of Vd
as a V1 -module. The condition (b) with d D d 1 implies that x is invertible in V .
Then, for any ax 2 .mV /d , since v.ax/ D v.a/ > 0, we have a 2 mV1 , showing
that .mV /d D mV1 Vd . Hence V is non-degenerate by C.2.11.
Proposition C.2.14. Let V be a graded valuation ring for a graded field K. Sup-
pose V is non-degenerate. Then the inclusion K1 ,! U.K/ induces an isomor-
phism

i W K1 =V1 ! V
.see ÷C.2. (c) for the notation./
Notice that, since U.V / \ K1 D V1 , the map in question is always injective.
But, as the following proof indicates, non-degeneracy of V is essential for i to be
surjective.
Proof. To prove that i is surjective, it suffices to show that the mod U.V / class
of any non-zero x 2 Vd with d 2 K is contained in the image of i . Since
d 2 K D k , one can take a free generator u of Vd as a V1 -module (see C.2.9
(2)). Note that u is invertible in V , that is, u 2 U.V /. Then x=u 2 K1 , and
its modulo V1 class does not depend on the choice of u. Thus, x mod U.V / is
contained in the image of i .
By 0.6.2.9, C.2.6, and C.2.14, we have the following result.

Corollary C.2.15. Let V be a graded valuation ring for a graded field K. Suppose
V is non-degenerate.
(1) The mapping p 7! p1 D p\V1 gives a bijection from the set of all homogeneous
prime ideals of V to the set of prime ideals of V1 .
L
(2) The mapping W1 7! W1 ˝V1 V D d 2 .W1 ˝V1 Vd / gives a bijection from
the set of all valuation rings for K1 containing V1 to the set of all graded
valuation rings for K containing V .
C.2. (f) The space of graded valuations. We continue the discussion of graded
objects with the grading by a fixed abelian group . Let A be a graded ring, and
K a graded A-algebra that is a graded field; notice that we do not assume that the
homomorphism A ! K is injective. Define
² ˇ ³
ˇ V is a graded valuation ring for K, and is
ZR.K; A/ D V K ˇˇ :
a graded A-subalgebra of K
For any graded A-subalgebra B of K, set
U.B/ D ZR.K; B/;
which is a subset of ZR.K; A/. The subsets of the form U.B/ are closed under
finite intersection. Indeed, if B1 ; B2 are graded A-subalgebras of K, then
U.B1 / \ U.B2 / D U.B/; ./
where B is the graded A-subalgebra of K generated by (homogeneous generators

of) B1 and B2 .
Note that, in case D f1g and A is a subring of K, then ZR.K; A/ is the classi-
cal Zariski-Riemann space associated to X D Spec A (see E.2.3 below). In general,
similarly to the classical case, we consider the topology on ZR.K; A/ generated by
subsets of the form U.B/ with B of finite type (viz., generated by finitely many
homogeneous elements) over A.
Theorem C.2.16 (cf. [96], ÷2). The topological space ZR.K; A/ is a coherent val-
uative space .see 0.2.3.1 for the definition of valuative spaces/.
Proof. Set X D ZR.K; A/, and consider the set h.K/ of homogeneous elements
of K. For any non-zero f 2 h.K/, the two open sets U.AŒf / and U.AŒf 1 /
cover X. More precisely, one has
1 1
X n U.AŒf / D fV 2 U.AŒf /W f 2 mV g:
For any f 2 h.K/, set C.f / D X n U.AŒf /, and for any family of elements
ff˛ g˛2L of h.K/, set \
C.ff˛ g˛2L / D C.f˛ /:
˛2L
If none of the f˛ ’s is zero, let J be the ideal of B D AŒf˛ W ˛ 2 L generated by

f˛ 1 for all ˛ 2 L. It follows from the above description that
´
¹V 2 XW J mV º if f˛ ¤ 0 for all ˛ 2 L,
C.ff˛ g˛2L / D
; otherwise.
In particular, in view of C.2.4, the family of open subsets fU.AŒf˛ /g˛2L covers X
if and only if J D B.
Now let us show that X is quasi-compact. Take a family T fC˛ g˛2L of closed
subsets of X with the finite intersection property,T that is, ˛2L0 C˛ ¤ ; for any
finite subset L0 L. We want to show that ˛2L C˛ is non-empty. Assume
the contrary. As in [24], Chap. I, ÷9, Exer. 1, we may reduce to the case where
C˛ D C.f˛ / while f˛ 2 h.K/ for ˛ 2 L. Then, by what we have seen above, we
have f˛ ¤ 0 for all ˛ 2 L, and we have the relation
X
1D c˛ f˛ 1
˛2L0
T
for a finite subset L0 L and c˛ 2 AŒf˛ 1 W ˛ 2 L0 . But this implies ˛2L0 C˛ D ;,
contradicting the assumed finite intersection property. It follows that X is quasi-
compact. Moreover, since this implies that each U.B/, where B is a finite-type
graded A-subalgebra of K, is quasi-compact, we have also shown that X has an
open basis consisting of quasi-compact open subsets.
It is then easy to see that X is quasi-separated. Indeed, it suffices to show
that the intersection of open subsets U.B1 / \ U.B2 /, where B1 ; B2 are finite type
graded A-subalgebras of K, is quasi-compact, which follows from what we have
seen in ./ above.
So far, we have shown that X is a coherent topological space. Next, let us show
that X is sober. It is easy to see that X is a T0 -space (0, ÷2.1. (b)). Let Z be an
irreducible closed subset of X. Let FZ be the set of all open subsets U of X such
that U \ Z ¤ ;. Then, since Z is irreducible, FZ is a prime filter (see 0, ÷2.2. (b)).
Now, referring to the fact that FZ has to be generated by open subsets of the form
U.B/ for a finite type graded A-subalgebra B of K, we define V to be the union
of all such B’s such that U.B/ 2 FZ . Since U.AŒf / \ Z ¤ ; for any f 2 B
with U.B/ 2 FZ , it follows that V is a graded A-subalgebra of K. We claim that
V is a graded valuation ring for K. Indeed, as we have seen above, any non-zero
f 2 h.K/ gives an open covering fU.AŒf /; U.AŒf 1 /g of X, and hence at least
one of f and f 1 belongs to V . Since the point in X corresponding to V belongs
to all open subsets U such that U \ Z ¤ ;, it is the unique generic point of Z.

Thus, we have shown that X is a sober space.
Finally, let us remark that, to show that X is valuative, we only have to invoke
C.2.7, for it asserts that the set of generizations of a point in X is totally ordered;
see 0.2.3.2 (1).
C.3 Filtered valuations

Throughout this subsection, we take D RC , the multiplicative group of positive
real numbers, and all gradings and filtrations are indexed by RC , often without
mentioning it.
C.3. (a) Filtered rings. In the sequel, we will consider filtered objects indexed by
RC . For each filtered object .M; F /, where F D fFr gr>0 is an increasing (viz.,
Fr Fr 0 for r r 0 ) filtration by subobjects of M indexed by RC , the associated
graded object GrF M is defined by
M [
GrF M D Fr =F<r ; where F<r D Fr 0 :
r 2RC r 0 <r
For f 2 Fr , we set
Œf r D .f mod F<r /;
which is an element of GrF ;r M D Fr =F<r .
Notation C.3.1. For two filtration F D fFr gr>0 and F 0 D fFr0 gr>0, we will often
write
F F 0;
or say ‘F is contained in F 0 ,’ to mean that Fr Fr0 for any r > 0.
Definition C.3.2 (cf. [86], Chapter I, 1.1). (1) An RC -filtered ring, or filtered ring
for short, is a pair .A; F / consisting of a (commutative) ring A with unit 1 D 1A and
an ascending filtration F by additive subgroups satisfying the following conditions:
(a) F is RC -multiplicative, that is, 1 2 F1 , and Fr Fr 0 Frr 0 for r; r 0 > 0;

S
(b) F is exhaustive (cf. 0, ÷7.1. (a)), that is, r >0 Fr D A.
(2) A morphism f W .A; FA/ ! .B; FB / between filtered rings is a ring homo-
morphism f W A ! B such that f ..FA /r / .FB /r for any r > 0. In this situation,
as usual, we often say that .B; FB / is an .A; FA /-algebra.
Given a filtered ring .A; F /, one can endow A with the linear topology defined
by the filtration F D fFr gr 2RC (see 0, ÷7.1. (b)). We call such a topological ring an
RC -linearly topologized ring. For an RC -linearly topologized ring A, a filtration of
definition is a multiplicative and exhaustive filtration F on A for which the induced
linear topology coincides with the topology of A.
It can be shown that
if F1 ; F2 are filtrations of definition and F1 F F2 , then F is also a
filtration of definition;
if F1 ; F2 are filtrations of definition, then F1 \ F2 D f.F1 /r \ .F2 /r gr 2RC
is also a filtration of definition.
We say that two filtration of definition F and F 0 are equivalent if there exist
positive numbers c; c 0 0 such that Fr Fc00 r and Fr0 Fcr for all r > 0.
Let .A; F / be a filtered ring. We set
\
F0 D Fr :
r >0
We say that .A; F / is separated if F0 D f0g.

Let .A; F / be a filtered ring, and I A an ideal. Then A=I has the induced
filtration Fx (cf. 0, ÷7.1. (a)), defined by Fxr D .Fr C I /=I for r > 0, which makes
the pair .A=I; Fx/ an .A; F /-algebra.
A filtered multiplicative system of .A; F / is a collection S D fSr gr>0 of subsets
of A such that the following conditions are satisfied:
Sr Fr for all r > 0;
1 2 S1 , and Sr Sr 0 Sr r 0 for all r; r 0 > 0.
In this situation, one has the induced filtration S 1 F on S 1
A given by
X
.S 1 F /r D Sr 0 1 Frr 0
r 0 >0
for r > 0, and thus we obtain an .A; F /-algebra .S 1 A; S 1F /. Note that the
canonical map
x 1 GrF A ! GrS 1 F S 1 A;
.S/
where Sx is the multiplicative subset of GrF A induced from S , is an isomorphism
of graded rings.
y Fy / given by
The completion of a filtered ring .A; F / is the filtered ring .A;
Ay D lim A=Fr ; Fyr D lim Fr =Fr 0 ; for r > 0.
r >0 r >r 0
There exists a canonical homomorphism .A; F / ! .A; y Fy / of filtered rings. If this

morphism is an isomorphism, we say that .A; F / is complete.
More generally, if F 0 is another filtration on A with F F 0 , one has the

induced filtration FF0^ on Ay given by .FF0^ /r D lim 0 Fr0 =Fr 0 for r > 0.
r>r
If .B1 ; F1 / and .B2 ; F2 / are .A; F /-algebras, then B1 ˝A B2 has the filtration
Fz defined by
X
Fzr D image..F1 /s ˝ .F2 / t ! B1 ˝A B2 /
stDr
for any r > 0, which gives rise to a filtered ring .B1 ˝A B2 ; Fz / sitting in the
canonical commutative square
.B1 ;O F1 / / .B1 ˝A B2 ; Fz /
O
.A; F / / .B2 ; F2 /.
The filtration Fz is called the tensor-product filtration. The completion of .B1 ˝A

B2 ; Fz /, denoted by
.B1 b̋A B2 ; F1 b̋ F F2 /;
is called the complete tensor product of .B1 ; F1 / and .B2 ; F2 / over .A; F /.
C.3. (b) Filtrations and seminorms. Let .A; F / be a filtered ring. Define a new
filtration F C by
\
FrC D Fr 0 ; for any r > 0.
r 0 >r
The resulting object .A; F C / is a filtered ring, which is a filtered .A; F /-algebra.
Moreover, we have
C
F<r D F<r ; for any r > 0,
and hence the induced morphism GrF A ! GrF C A is always injective, viz., we
can regard GrF A as a subring of GrF C A.
Let .A; F / be a filtered ring. Since the filtration F is exhaustive, one can define
a function W A ! R0 by
.x/ D inffrW x 2 Fr g
for x 2 A. Since F is multiplicative, one can easily show that the mapping is a
non-archimedean seminorm (÷C.1) on the ring A. It is a norm if and only if .A; F /
is separated, and is the trivial norm if and only if F is trivial; here, we say that the
filtration F is trivial if Fr D f0g for 0 < r < 1 and Fr D A for r 1.
Conversely, if we are given a ring A and a non-archimedean seminorm on A,

one can define the filtration F by
1
.F /r D .Œ0; r/ D ff 2 AW .f / rg
for r > 0, which makes the pair .A; F / a filtered ring. It is easy to see that, starting
from a filtered ring .A; F /, the resulting filtration F , where is the associated
seminorm of F , coincides with F C , and that this gives rise to the bijection between
the following sets:
the set of all filtrations F on A such that F D F C ;

the set of all non-archimedean seminorms on A.
In this way, one sees that the notion of filtered rings gives a refinement of the notion
of non-archimedean seminormed rings. Let us say that a filtration F in a filtered
ring .A; F / is of seminorm type if F D F C .
If F is a filtration of definition of an RC -linearly topologized ring A, then so is
F C , and F and F C are equivalent. Indeed, we have F F C and .F C /r Fcr
for any c > 1 and r > 0. Thus, it follows that equivalence classes of filtrations of
definition are in one-to-one correspondence with the equivalence classes of semi-
norms on A.
Note that the condition f ..FA /r / .FB /r (r > 0) for filtered morphisms as
in C.3.2 (2) implies B .f .x// A .x/ for any x 2 A, where A and B are the
associated seminorms of FA and FB , respectively. In particular, filtered homomor-
phisms induce bounded homomorphisms between the corresponding seminormed
rings.
y Fy / of .A; F / is isomorphic to the completion
Note also that the completion .A;
of .A; F C /, and hence Ay is a Banach ring, isomorphic to the completion of A with
respect to the seminorm associated to F . (Caution: the induced filtration Fy may
not be of seminorm type.)
For a filtered ring .A; FA / and a surjective ring homomorphism A ! B, con-
sider the induced filtration FB on B as in ÷C.3. (a). If A is the seminorm cor-
responding to FAC , then the seminorm on B corresponding to FBC is the residue
seminorm induced from A (÷C.1).
Let .B1 ; F1 / and .B2 ; F2 / be .A; F /-algebras, and consider the tensor-product
filtration Fz . Then the seminorm on B1 ˝A B2 corresponding to Fz C is nothing but
the tensor-product seminorm (÷C.1) constructed from the seminorms 1 , 2 , and
corresponding to F1C , F2C , and F C , respectively. Hence, in the setting considered
at the end of ÷C.3. (a), the complete tensor product B1 b̋A B2 coincides with the
complete tensor product of the corresponding seminormed rings (as in ÷C.1).
C.3. (c) Filtered polynomial and power series algebras. Let X be a set, and
fix a function wW X ! RC , which we call a weight function. Let ZŒX be the
Z-polynomial ring with the variables in X, where the variable corresponding to
x 2 X is denoted by Xx . Let MX be the free (additive) commutative monoid with
the basis X, which is identified with the set of all monomials by the correspondence
X Y
MX 3 ˛ D mx Œx ! X ˛ D .Xx /mx 2 ZŒX:
x2X x2X
We extend the function w to MX , hence to the set of all monomials in ZŒX, in

such a way that w.X ˛Cˇ / D w.X ˛ /w.X ˇ / for all ˛; ˇ 2 MX . For any f D
P ˛
˛ a˛ X 2 ZŒX, we define the weight of f by
´
sup¹w.X ˛ /W a˛ ¤ 0º if f ¤ 0;
w.f / D
0 if f D 0;
which induces a filtration Fw on ZŒX defined by
.Fw /r D ff 2 ZŒXW w.f / rg
for any r > 0.

For a filtered ring .A; F /, consider the tensor product AŒX D A ˝Z ZŒX
with
P the tensor product filtration (÷C.3. (a)), also denoted by Fw . Explicitly, f D
˛
˛ a˛ X 2 AŒX belong to .Fw /r if and only if a˛ 2 Fr=w.X ˛ / for any ˛. The
associated seminorm, which corresponds to FwC by the correspondence in ÷C.3. (b),
is nothing but the Gauss seminorm k kGauss , given by
kf kGauss D maxfw.X ˛ /ka˛ kW ˛ 2 MX g

P
for f D ˛ a˛ X ˛ 2 AŒX, where k k denotes the seminorm on A associated to
the filtration F .
Note that, by construction, we have
.AŒX; Fw / Š lim .AŒX 0 ; FwjX 0 /;

!
0
X X
where X 0 runs through all finite subsets of X. Note also that we have an isomor-
phism of graded rings

GrFw AŒX ! .GrF A/ŒX;
where the grading on .GrF A/ŒX is defined by the grading of GrF A and the weight
by aX ˛ (a 2 Fr ) mapped to Œar X ˛ .
If .A; F / is complete, then the completion of .AŒX; Fw / is called the weighted

power series algebra over .A; F /, and is denoted by
Ahh.X; w/ii:
As an A-algebra, Ahh.X; w/ii is isomorphic to the completion of AŒX with respect

to the Gauss seminorm k kGauss .
In the sequel, these notions and statements will be considered often in the case
where X D f1; 2; : : : ; ng and w.i / D ri > 0 for i D 1; 2; : : : ; n. In this case, as
usual, the weighted power series algebra Ahh.X; w/ii will be denoted by
1
Ahhr Xii D Ahhr1 1 X1 ; : : : ; rn 1 Xn ii
n X ˇ o
ˇ
D am X m 2 AŒŒX ˇ r m kam kA ! 0 as jmj ! 1 ;
m2Nn
where r m D r1m1 rnmn , X m D X1m1 Xnmn , and jmj D m1 C C mn for

m D .m1 ; : : : ; mn / 2 Nn . This algebra will play an important role in ÷C.4. (b)
below.
C.3. (d) Filtered valuation fields

Definition C.3.3. A filtered field is a separated filtered ring .K; F / with K a field
(in the usual sense).
Definition C.3.4. A filtered valuation field is a filtered field .K; F / that satisfies
the following conditions:
(a) GrF C K is a graded field (÷C.2. (a));
(b) GrF K is a graded valuation ring for GrF C K (C.2.1 (1)).
Note that, as we have seen in ÷C.3. (b), GrF K is, in general, regarded as
a graded subring of GrF C K. Note also that, in (b) above, we allow the case
GrF K D GrF C K, that is, F D F C . In this case, we say that the filtered val-
uation field .K; F / is of maximal type. If .K; F / is a filtered valuation field of
maximal type, then F D F C is of seminorm type, that is, F corresponds to a semi-
norm W K ! R0 on K (÷C.3. (b)). Since the filtration F is separated, and K is a
field, one sees that the seminorm is a valuation (absolute value). Note that may
be a trivial one, that is, .x/ D 1 for all non-zero x 2 K.
Conversely, as we saw in ÷C.3. (b), any non-archimedean valued field .K; /
gives rise to a filtered valuation field .K; F / of maximal type. Thus we see that
filtered valuation fields of maximal type are virtually the same objects as non-
archimedean valued fields. The notion of filtered valuation field in general gives,
therefore, a refinement of the notion of non-archimedean valued field. In general,
for a filtered valuation field .K; F /, .K; F C / is a filtered valuation field of maximal
type, called the associated maximal type of .K; F /. The valuation correspond-
ing to the maximal type will be called the associated absolute value of the filtered
valuation field .K; F /.
Proposition C.3.5. If .K; F / is a filtered valuation field, then the seminorm cor-
responding to the filtration F C is a non-archimedean absolute value on K. Con-
versely, given a non-archimedean absolute value on K and a graded valuation
subring G for GrF K, there exists a unique filtration F on K that makes the pair
.K; F / a filtered valuation field such that G D GrF K and that F D F C .
Proof. The first assertion is easy to see, as we have already discussed above. Let
be a non-archimedean absolute value on K, and G a graded valuation ring for
GrF K. Define the filtration F D fFr gr 0 so that, for each r > 0, Fr is the
preimage of Gr under the map
.F /r ! GrF ;r K D .F /r =.F /<r :
Then, clearly, .K; F / is a filtered valuation field with GrF K D G. One easily sees
that F C D F . The uniqueness is clear.
Corollary C.3.6. Let .K; / be a non-archimedean valued field with the absolute
value W K ! R0 , and Ky the completion of K with respect to . Then there exists
a natural bijection between the set of all filtrations F on K that make the resulting
pair .K; F / a filtered valuation field with the associated absolute value , and the
set of all filtrations Fz on Ky that make the pair .K;
y Fz / a filtered valuation field with
the associated absolute value equal to the extension O of on K. y
y
Proof. This follows from C.3.5 and the isomorphism GrFv K Š GrFvO K.
Remark C.3.7. Note that, if .K; F / is a filtered valuation field, then F1 is a val-
uation ring for K in the usual sense. Indeed, F1 =F<1 is a valuation ring for the
field .F /1 =.F /<1 , where is the associated absolute value (see ÷C.2. (b)). On
the other hand, .F /1 D fx 2 KW .x/ 1g is clearly a valuation ring for K, with
residue field .F /1 =.F /<1 . Hence, by the patching argument (0.6.4.2), F1 is a
valuation ring.
Based on this, we call F1 the associated valuation ring of the filtered valuation
field .K; F /. It is a valuation ring for the field K (in the usual sense).
Proposition C.3.5 suggests that a filtered valuation field .K 0 ; F 0 / should be said
to dominate .K; F / by a morphism .K; F / ! .K 0 ; F 0 / when the absolute value
F 0 extends F and GrF 0 K dominates GrF K in the sense as in ÷C.2. (b). This last
condition can be boiled down to the following one.
Definition C.3.8. Let .K; F / and .K 0 ; F 0 / be filtered valuation field. We say that
.K 0 ; F 0 / dominates .K; F / by a morphism .K; F / ! .K 0 ; F 0 / if Fr0 \ K D Fr for
any r > 0.
Definition C.3.9. Let .K; F / is a filtered valuation field, and D F the associ-
ated absolute value on K. The height of .K; F /, denoted by ht.K; F /, is the pair
.ht./; ht.GrF K//.
Here, ht./ denotes the height of the corresponding valuation ring .F /1 D
fx 2 KW .x/ 1g, which is 0 or 1, according as is trivial or non-trivial.
Definition C.3.10. Let K be a field, and suppose we have two filtrations F1 and
F2 on K such that .K; Fi / (i D 1; 2) are filtered valuation fields with the same
maximal type. We say F1 is a specialization of F2 , or F2 is a generization of F1 , if
F1 F2 .
Notice that the ‘same maximal type’ condition is equivalent to that these filtra-
tions induce the same absolute value on K. Thus F1 is a specialization of F2 if an
only if the valuation ring GrF1 K is a specialization of the valuation ring GrF2 K.
In particular, the set of all generizations of a fixed .K; F / is a totally ordered with
respect to the inclusion order (see C.2.7).
C.3. (e) Filtered valuation via valuation. Let us first remark that, when we con-
sider absolute values W K ! R0 as a valuation (of height 0 or 1), the ordering
of RC is the reverse of the standard ordering, hence is the reverse to the index-
ordering for the filtrations F D fFr gr >0 ; in fact, RC as a value target group is the
one isomorphic to the standard R via

.RC ; rev / ! .R; /; x 7 ! logc x
for some 0 < c < 1.
Definition C.3.11. Let K be a field.
(1) An RC -valuation v of K is a valuation of the form
vW K ! .RC / [ f.0; C1/g;
where is a totally ordered commutative group, and RC is endowed

with the lexicographic order. The induced valuation v RC W K ! R0 (resp.
v Gr W K ! [ fC1g) given by the first (resp. second) projection is called the
absolute value (resp. graded part) associated to v.
(2) Let .K; v/ and .K 0 ; v 0 / be two fields with RC -valuations with value target
groups v D RC and v0 D RC 0 , respectively. A homomorphism
.'; /W .K; v/ ! .K 0 ; v 0 / of RC -valuation fields consists of a field homomor-
phism 'W K ! K 0 and a homomorphism of ordered groups W v ! v0 such
that the following conditions are satisfied:
(a) is of the form D idRC , where W ! 0 is a homomorphism

of ordered groups;
(b) v 0 ı ' D ı v.
We say that v 0 dominates v if, for f 2 K, v Gr .f / > 0 implies v 0Gr .'.f // > 0.
(3) Two RC -valuations v1 and v2 on K are said to be equivalent if there exist

an RC -valuation v on K and homomorphisms .K; v/ ! .Ki ; vi / by which
.Ki ; vi / dominates .K; v/ for i D 1; 2.
Let .K; F / be a filtered valuation field. One has the associated absolute value
D F W K ! R0 , and the graded valuation ring GrF K for GrF C K, hence the
value group of the associated graded valuation vF (see ÷C.2. (c)). Then one can
define an RC -valuation on K with value target group RC by
K 3 f 7 ! v.f / D ..f /; vF .Œf .f / // 2 .RC / [ f.0; C1/g:
Notice that, from this RC -valuation v, the filtration F is recovered by

1 1
Fr D f0g [ v ..0; r/ / [ v .frg 0 /
for r > 0. By this, one can show the following result.
Proposition C.3.12. The construction above gives rise to a bijection from the set
of all filtrations F on K that make the pair .K; F / a filtered valuation field, to the
set of all equivalence classes of RC -valuations on K.
Remark C.3.13. RC -valuations can be regarded as so-called reified valuations by

K. Kedlaya [67] with an extra structure. According to [67], 5.1, a reified valuation
on a field K is a valuation vW K ! [ f0g, where is written multiplicatively,
with a reification, viz., an order-preserving homomorphism rW RC ! . In terms
of this, an RC -valuation on K is interpreted as a reified valuation .v; r/ on K with
an order-preserving homomorphism pW ! RC such that p ı r D idRC .
C.3. (f) Non-degenerate filtered valuations
Proposition C.3.14. Let .K; F / be a filtered valuation field, D F the asso-

ciated absolute value on K, and vW K ! .RC / [ f.0; C1/g the associated
RC -valuation. Then the following conditions are equivalent:
(a) the graded valuation ring GrF K is non-degenerate .see C.2.10/;
(b) for any r 2 .K /, there exists fr 2 K such that v.fr / D .r; 0/;
(c) the value group v.K / of v is isomorphic to the product .K / v Gr .K /

.with the lexicographic order/ as a totally ordered group.
Proof. (a) H) (b). Let r 2 .K /. Then GrF C ;r K ¤ f0g. Since GrF K is
non-degenerate, there exists an element in GrF ;r K, that is invertible in GrF K
(see C.2.9 (1)). This means that there exists fr 2 K such that v.fr / D .r; 0/.
(b) H) (c). By assumption, we have a splitting .K / ,! v.K / by r 7! .r; 0/,
from which the assertion follows by a standard argument.
(c) H) (b). is clear.
(b) H) (a). For any r 2 .K /, there exists fr 2 K such that .f / D r
and Œf r is invertible in GrF K, from which the non-degeneracy of GrF K follows
by C.2.9 (1).
Definition C.3.15. A filtered valuation field .K; F / is said to be non-degenerate if

it satisfies one, hence all, of the conditions in C.3.14.
Note that there exist filtered valuation fields that are not non-degenerate. Indeed,
they can be obtained by an RC -valuation vW K ! .RC / [ f.0; C1/g with the
value group not being a product of totally ordered abelian groups; cf. 0.6.5.2.
Proposition C.3.16. Let .K; F / be a non-degenerate filtered valuation field. Then

any generization of .K; F / is again non-degenerate. Moreover, there exists a natu-
ral bijection between the set of all generizations of .K; F / and the set of all gener-
izations .in the usual sense/ of F1 .
Proof. As we have remarked at the end of ÷C.3. (d), F 0 is a generization of F if

and only if GrF 0 K is a generization of GrF K. Hence the last assertion of the
proposition follows from C.2.15 (2) and what we have seen in C.3.7. The first
assertion follows from C.2.12 (1).
Proposition C.3.17. Let .K; F / be a non-degenerate filtered valuation field, and

the associated absolute value.
(1) For any r 2 D .K /, Fr is a free F1 -module of rank one.
(2) For any r; r 0 2 D .K /, the map by multiplication Fr ˝F1 Fr 0 ! Frr 0 is

an isomorphism.
Proof. Take fr as in C.3.14 (b). For any x 2 Fr , we have fr 1 x 2 F1 , and hence

Fr D F1 fr . Thus we have shown the first assertion, and also the second assertion
follows.
Remark C.3.18. In summary, a non-degenerate filtered valuation field amounts to

the following data (cf. C.2.13):
a field K equipped with a non-archimedean absolute value W K ! R0 ;
for any r 0, a submodule Fr of .F /r D fx 2 KW .x/ rg, such that
S
(a) for any r 0, Fr D r 0 2 \Œ0;r Fr 0 ;
(b) F1 is a valuation ring for K, and the valuation ring .F /1 of is the
generization of F1 ;
(c) for r 2 D .K /, Fr is a free F1 -submodule of .F /r of rank one,
and Fr ˝F1 .F /1 Š .F /r ;
(d) for r; r 0 2 , Fr ˝F1 Fr 0 Š Frr 0 compatibly with the multiplication
map .F /r ˝.F /1 .F /r 0 Š .F /rr 0 .
Finally, let us show that, in a certain situation, the formation of filtered valua-
tions reduces to that of usual valuations. Let .K; F / be a non-degenerate filtered
valuation field with the associated absolute value K , and L=K a field extension
with an absolute value L that extends K . We assume K .K / D L .L /. Take a
valuation ring V for L such that
(a) V contains F1 ;
(b) L is a generization of V .
Then the filtration FL of L defined by
.FL /r D Fr V Š Fr ˝F1 V
for r 2 RC gives a filtered valuation field .L; FL / such that .FL /1 D V . Since each
.FL /r for r 2 L .L / is free of rank one over V , and .FL /rr 0 D .FL /r .FL /r 0 ,
.L; FL / is non-degenerate.
Proposition C.3.19. Let .K; F / be a non-degenerate filtered valuation field with

the associated absolute value K , and L=K a field extension with an absolute value
L that extends K . Suppose K .K / D L .L /. Then any filtration Fz of L that
makes the pair .L; Fz / a filtered valuation field over .K; F / is obtained as above.
Proof. By assumption, for any r 2 L .L /, Fzr contains Fr , and Fr Fz1 Fzr .
Hence .L; Fz / is a generization of .L; FL / obtained as above from V D Fz1 . By
C.3.16, both of them are non-degenerate. Moreover, they have the same ‘F1 ’-part.
Hence, again by C.3.16, they coincide with each other, which is what we wanted to
show.
C.3. (g) Examples of filtered valuations. Let .K; F / be a filtered valuation field,
vW K ! .RC / [ f.0; C1/g
the associated RC -valuation, and D v RC the associated absolute value. Let X

be a set with a weight function wW X ! RC , and consider the polynomial algebra
.KŒX; Fw / as in ÷C.3. (c). The seminorm corresponding to FwC is the Gauss norm
k kGauss , and we have an isomorphism

GrF C .KŒX/ ! .GrF K/ŒX;
w
P
mapping aX ˛ (.a/ D r) to Œar X ˛ . For any non-zero f D ˛2MX a˛ X ˛ 2
KŒX, we have X
Œf D Œa˛ w.˛/ 1 r X ˛ ;
˛2MX
where Œf D Œf r with r D kf kGauss . We have

(a) Œfg D Œf Œg for non-zero f; g 2 KŒX;
(b) if kf kGauss D kgkGauss and Œf C Œg ¤ 0, then Œf C g D Œf C Œg and
the function
´
.kf kGauss ; v Gr.contGr .Œf /// if f ¤ 0;
vX;w .f / D
.0; C1/ if f D 0;
defined on KŒX extends to an RC -valuation of the quotient field K.X/

with value target group RC .
Here contGr .H / for homogeneous H 2 .GrF K/ŒX is the graded GrF K-submod-
ule of GrF K generated by the classes of coefficients of H , and v Gr .contGr .H //
is defined to be v Gr .a/, where a is a generator of contGr .H /. (One easily checks,
as in the classical case, that contGr .HH 0 / D contGr .H / contGr .H 0 / for homoge-
neous H; H 0 .) The RC -valuation vX;w will be called the Gauss valuation of K.X/,
and often denoted by vGauss . The absolute value part of vGauss is the Gauss norm
k kGauss .
Note that the equality (a), which simply follows from the fact that .GrF K/ŒX
is a graded integral domain, implies the Gauss lemma for the Gauss seminorm.
Example C.3.20. We apply the above construction to the extreme case X D RC
and w D idRC . In this situation, the Gauss norm k kGauss on K.X/ has the value
group equal to the whole RC . Moreover, if we denote by Xr the indeterminacy
corresponding to r 2 RC , then we have vGauss .Xr / D .r; 0/, which shows that the
filtered valuation field given by .K.X/; vGauss / is non-degenerate (due to C.3.14).
We denote the filtered valuation field over .K; F / thus obtained by
K st D .K.RC /; vGauss /;
and call it the standard extension. The standard extension is a non-degenerate fil-
tered valuation field over any given .K; F /, having RC as its value group of the
absolute value part. Moreover, the formation K 7! K st is functorial.
Note that the existence of standard extension also shows that any filtered valua-
tion field can be embedded into a non-degenerate isometric extension.
C.4 Valuative spectrum of non-archimedean Banach rings

In this subsection, we define and discuss valuative spectra of non-archimedean com-
mutative Banach rings.
C.4. (a) Gelfand–Berkovich spectrum.

Definition C.4.1 ([11], ÷1.2). Let .A; k kA / be a commutative Banach ring. The
Gelfand–Berkovich spectrum M.A/ of A is
the set of all bounded multiplicative seminorms on A,
with the weakest topology such that all the functions
jf ./jW M.A/ ! R0 ; z D k kz 7 ! jf jz
with f 2 A are continuous.

Here, a seminorm j jW A ! R0 is bounded if there exists C > 0 such that
jf j C kf kA for any f 2 A.
As indicated above, for any point z 2 M.A/, the corresponding seminorm on
A is often denoted by j jz . The kernel ker.j jz / D ff 2 AW jf jz D 0g is a closed
prime ideal of A, and the seminorm j jz induces a valuation on the integral domain
A= ker.j jz /, and hence on its fraction field. The Hausdorff completion of this field
with respect to the valuation is denoted by H.z/, and called the complete residue
field at z. As usual, the image of an element f 2 A in H.z/ is denoted by f .z/;
thus, jf .z/j denotes the value jf jz .
The topological space M.A/ is compact, and is non-empty if A ¤ f0g ([11],
1.2.1). Note that f 2 A is invertible in A if and only if the function z 7! jf .z/j
is everywhere non-zero on M.A/. If A is non-archimedean, then H.z/ for any
z 2 M.A/ is non-archimedean.
In the sequel, all seminorms and norms are assumed to be non-archimdean,
unless otherwise clearly stated. Note that the norm j jz on the complete residue
field H.z/ may be a trivial one.
For f 2 A, we will denote by kf kSp the spectral seminorm
kf kSp D sup jf .z/j;

z2M.A/
which is equal to the spectral redius

1 1
.f / D inf kf n kAn D lim kf n kAn I
n1 n!1
Sp
see [11], ÷1.3. By this we can define an RC -filtration FA on A, called the spectral
filtration, as
Sp
.FA /r D ff 2 AW kf kSp rg;
Sp
which yields an RC -filtered ring (C.3.2) .A; FA /. It follows that, for any z 2
Sp
M.A/, the map f 7! f .z/ maps .FA /r to .Fjjz /r for any r > 0, that is, the
residue map A ! H.z/ is a morphism of filtered rings (C.3.2). Note that the
filtered field H.z/ with the spectral filtration coincides with .H.z/; Fjjz /, hence is
a filtered valuation field of maximal type (C.3.4).
In general, any bounded homomorphism f W A ! B induces the morphism
Sp Sp
f W .A; FA / ! .B; FB /
of filtered rings, and hence the morphism
GrF Sp A ! GrF Sp B
A B
of graded rings.
For a commutative Banach ring A, denote by ASp the completion of A with
Sp
respect to the spectral filtration FA (the so-called uniform completion). The canon-
ical morphism A ! ASp induces an isomorphism

M.ASp / ! M.A/;
and we have .ASp /Sp D ASp . A Banach ring A is said to be uniform, or a Banach
function ring, if A ! ASp is a bounded isomorphism.
Let .A; F / be a filtered ring, and consider filtered homomorphisms of the form
.A; F / ! .K; F /, where K is a filtered valuation field of maximal type. For two
such homomorphisms, .A; F / ! .K; F / and .A; F / ! .K 0 ; F 0 /, consider the
relation by domination, that is, the relation given by a commutative diagram
5
.K; F /
❧❧❧
❧❧❧
.A; F / ❘
❘❘❘
❘❘)
.K 0 ; F 0 /,
where by the down-arrow .K 0 ; F 0 / dominates .K; F / (see C.3.8). Consider the

equivalence relation generated by this relation, and set
² ³
equivalence class of filtered homomorphisms of the form
M.A; F / D :
.A; F / ! .K; F / to a filtered valuation field of maximal type
Consider the completion Ay D AyF of A with respect to the filtration F . Then Ay is

a Banach ring with respect to the norm induced from the seminorm F associated
to F . For any .A; F / ! .K; F /, the norm on K induces a seminorm on A, y
which is clearly multiplicative and bounded. Hence, we have the natural map
y
M.A; F / ! M.A/: ./
Theorem C.4.2. The map ./ is a bijection. In particular, if GrF A ¤ f0g, then
M.A; F / is non-empty.
Proof. Let z 2 M.A/ y be given by ˛W Ay ! H.z/. We want to show that the compo-
sition
˛
A ! Ay ! H.z/
extends to a filtered map .A; F / ! .H.z/; Fjjz /. Since A ! Ay obviously respects
the filtrations, we may assume A D A. y Consider the uniform completion A ! ASp ,
which factorizes A ! H.z/. The morphism A ! ASp respects filtration, because
kf kA kf kASp . The morphism ASp ! H.z/ also respects the filtration, since the
norms on both sides are power-multiplicative, and hence kf kASp jf .z/j. Hence
we have shown the first assertion. Since GrF A ¤ f0g implies Ay ¤ f0g, the second
assertion follows from [11], 1.2.1.
Next let us give a few technical corollaries.
Corollary C.4.3. Let .A; F / be a filtered ring. For a graded prime ideal p of
GrF A, there exists a filtered valuation field .K; FK / over .A; F / such that the
graded valuation ring GrFK K dominates .GrF A/p .
Proof. Let Sxp be the graded multiplicative system corresponding to the ideal p
(cf. ÷C.2. (a)), and Sp D f.Sp /r g the corresponding filtered multiplicative system of
A, where .Sp /r is the preimage of .Sxp /r under the map Fr ! Fr =F<r D GrF ;r A.
The filtered localization A0 D Sp 1 A has .GrF A/p as its associated graded ring,
which is non-zero. By C.4.2, there exists a filtered homomorphism .A0 ; F 0 / ! K,
where K D .K; F / is a filtered valuation field of maximal type. The image of
GrF 0 A0 in GrF K is a local graded subring. Now by C.2.4 and C.3.5, there exists
a filtered valuation .K; FK / over .A0 ; F 0 / such that GrFK K dominates .GrF A/p .

Corollary C.4.4. Let .K; FK / be a filtered valuation field, and .M; FM / and
.L; FL / filtered valuation fields that dominate .K; FK /. Then there exists a filtered
valuation field .N; FN / sitting in the commutative diagram
.M; F / / .N; FN /
O M O
.K; FK / / .L; FL /
consisting of dominating filtered homomorphisms.
Proof. Let us denote by K ; L ; M the associated absolute values of K; L; M ,

respectively, and set VK D .FK /1 , VL D .FL /1 , and VM D .FM /1 . Replacing
K; L; M by the respective fields K st ; Lst ; M st constructed as in C.3.20, we may
assume K; L; M are all non-degenerate, and having the whole RC as their value
group. By C.3.19, we have
.FL /r D .FK /r ˝VK VL ; .FM /r D .FK /r ˝VK VM
for all r > 0. Set A D L ˝K M , with the tensor product filtration FA . Since
.FA /r D .FK /r ˝VK .VL ˝VK VM / for r > 0, the canonical surjection
W GrFL L ˝GrFM M GrFM M ! GrFA A
is an isomorphism.
Now, take a graded prime ideal p of GrFA A lying above the graded maximal
ideals of GrFL L and of GrFM M . By C.4.3, one has a filtered homomorphism
.A; FA / ! .N; FN / to a filtered valuation field such that GrFN N dominates
.GrFA A/p . This .N; FN / gives the commutative square as asserted.
C.4. (b) RC -finite type algebras. Let A be a Banach ring. Recall that, for an n-
tuple r D .r1 ; : : : ; rn / of positive real numbers, the RC -power series ring in the
variables T D .T1 ; : : : ; Tn / with coefficients in A is
1
Ahhr T ii D Ahhr1 1 T1 ; : : : ; rn 1 Tn ii
° X ˇ ³
ˇ
D am T 2 AŒŒT ˇˇ r m kam kA ! 0 as jmj ! 1 ;
m
m2Nn
where r m D r1m1 rnmn , T m D T1m1 Tnmn , and jmj D m1 C C mn for

m D .m1 ; : : : ; mn / 2 Nn . It is a Banach ring with the Gauss norm
kf kAhhr 1 T ii D sup r m kam kA
m2Nn
P m
for f D m2Nn am T ; see ÷C.3. (c). By (11.2.1 (3)), we have
kf kAhhr 1 T ii;Sp D sup r m kam kA;Sp
n2Nn
P m
for f D m2Nn am T (Exercise II.C.3), and the filtered ring .Ahhr 1 T ii,
Sp Sp Sp
FAhhr 1 T ii / is isomorphic to the completion of .AŒX; Fw /, where Fw is the ten-
Sp
sor product filtration of FA on A and Fw on ZŒX; see ÷C.3. (c). Passing to the
associated graded algebras, we have an isomorphism
1
GrF Sp Ahhr T ii ! .GrF Sp A/ŒX; ŒTi ri 7 ! Xi ;
Ahhr 1 T ii A
where each Xi on the right-hand side is of degree ri (i D 1; : : : ; n).

Definition C.4.5. A Banach A-algebra B is said to be of RC -finite type if it is
isomorphic to a Banach A-algebra of the form
1
Ahhr T ii=a
by a bounded isomorphism, where a Ahhr 1 T ii is a closed ideal. If one can take
such an isomorphism with r D .1; : : : ; 1/, then we say B is of finite type.
An important class of RC -finite type A-algebra is now introduced as follows.
Let f D .f0 ; f1 ; : : : ; fn / be an .n C 1/-tuple of elements of A such that
.f0 ; f1 ; : : : ; fn / D A;
and r D .r1 ; : : : ; rn / an n-tuple of positive real numbers. The RC -rational algebra
over A corresponding .f; r/ is
D f1 fn E
A r1 1 ; : : : ; rn 1 D Ahhr 1 T ii=.f0 T1 f1 ; : : : ; f0 Tn fn /;
f0 f0
which is a Banach A-algebra by the residue norm. An RC -finite type A-algebra
isomorphic to the one of this form will be called an RC -rational localization of A.
Note that D f1 fn E
U0 .f; r/ D M A r1 1 ; : : : ; rn 1
f0 f0
is identified with the closed subset
fz 2 M.A/W jfi .z/j ri jf0 .z/jg
of M.A/, the so-called RC -rational subdomain of M.A/.
C.4. (c) Integrally closed filtrations

Definition C.4.6. Let .A; F / be a filtered ring, and r 2 RC . We say x 2 A is
r-integral over F if an equality of the form
x n C a1 x n 1
C C an 1x C an D 0 ./
holds for some n 1 and ai 2 Fr i for i D 1; : : : ; n.
Lemma C.4.7. Let .A; F / be a filtered ring, and x 2 A. Then x is r-integral
.r > 0/ if and only if x 2 FrC and Œxr 2 GrF C A is integral over the graded
subring GrF A.
Proof. To show the ‘only if’ part, suppose x is r-integral, and the equality ./
above holds for ai 2 Fr i (i D 1; : : : ; n). Let k k be the seminorm corresponding
to F C (see ÷C.3. (b)). Since kai k r i for i D 1; : : : ; n, we have
kx n k sup r i kx n i k;
i D1;:::;n
from which kxk r follows. Hence x 2 FrC . It is then clear that Œxr is integral
over GrF A.
To show the converse, choose ai 2 Fr i for i D 1; : : : ; n such that
Œxnr C Œa1 r Œxnr 1
C C Œan 1 r n 1 Œxr C Œan r n D 0:
Then ˛ D x n C a1 x n 1
C C an 1x C an belongs to F<r n , and the equality
x n C a1 x n 1
C C an 1x C an ˛D0
implies that x is r-integral.
Definition C.4.8. Let .A; F / be a filtered ring.
(1) For r > 0, define
Frint D fx 2 AW x is r-integral over F g:
Then F int D fFrint gr >0 is, by C.4.7, an RC -multiplicative filtration on A
containing F . The filtration F is said to be integrally closed if F D F int .
(2) Let F 0 be an RC -multiplicative (see C.3.2 (a)) filtration of A containing F .

0
The integral closure of F in F 0 , denoted by F int;F , is defined by
0
Frint;F D Fr0 \ Frint
for any r > 0.
Proposition C.4.9. (1) If .A; F / is a filtered ring with F integrally closed, then for
any filtered multiplicative system S D fSr gr>0 of A (see ÷C.3. (a)), the filtration
S 1 F on S 1 A is integrally closed.
(2) Let .A; F0 / be a filtered ring, and F an integrally closed RC -multiplicative
filtration containing F0 . Then the completion FF^0 of F with respect to F0
(see ÷C.3. (a)) is integrally closed.
Proof. (1) can be shown similarly to the classical case. To show (2), let x be an
element of .FF^0 /C n
r satisfying x Ca1 x
n 1
C Can 1 x Can D 0 for ai 2 .FF^0 /r i
(i D 1; : : : ; n). Take z 2 A such that x z 2 .FF^0 /<r , and bi 2 Fr i such that
ai bi 2 .FF^0 /<r i (i D 1; : : : ; n). Then we have
Œznr C Œb1 r Œznr 1

C C Œbn 1 r n 1 Œzr C Œbn r n D 0
in GrFF^ A^ F0 D GrF A. Since F is integrally closed, z 2 Fr by C.4.7, whence

0
x 2 .FF^0 /r , as desired.
Proposition C.4.10. Let .A; F0 / be a filtered ring, and F an RC -multiplicative fil-

tration containing F0 . Consider the set M.A; F0 / as in C.4. (a), and the associated
Sp
spectral filtration F.A;F0 / .
Sp Sp
(1) If F is contained in F.A;F0 / , then F int F.A;F0 / .
Sp
(2) For any r > 0, any element of .F.A;F0 / /<r is r-integral over F . In particular,
Sp Sp
F C D F.A;F0 / if F is integrally closed and F F.A;F0 / .
Sp
(3) If Fz is an RC -multiplicative filtration containing F such that Fz C D F.A;F0 / ,
then
z
.F int;F /r D fx 2 Fzr W Œxr is integral over GrF ;r Ag ./
for r > 0.
Proof. (1) Take a point zW .A; F0 / ! Kz of M.A; F0 /, where Kz is a filtered

valuation field of maximal type. By assumption, the image of F is contained in FKz .
Observe that the homomorphism .A; F / ! .Kz ; FKz / factors through .A; F C /.
Since r-integral elements belong to FrC for any r > 0 (C.4.7), it follows that the
image of F int is contained in FKz , from which the assertion follows.
Sp
(2) Let be the seminorm on A corresponding to F0C . If x 2 .F.A;F0 / /<r , then
.x N / < r N for some N 1 (see ÷C.4. (a)). Then ˛ D x n is contained in .F0 /r n ,
and x n ˛ D 0 shows that x is r-integral over F0 , hence over F . If F is integrally
Sp Sp
closed and F F.A;F0 / , then we have F<r D .F.A;F0 / /<r for any r > 0, which
Sp
implies F C D F.A;F0 / .
(3) Let x be an element in the right-hand set of ./. As in the proof of C.4.7,
one has ai 2 Fr i for i D 1; : : : ; n such that ˛ D x n C a1 x n 1 C C an 1 x C
Sp
an belongs to F<r n . Since F<r n D .F.A;F0 / /<r n , there exists N 1 such that
ˇ D ˛ N 2 F<r nN , by an argument similar to that in the proof of (2). Then
z
.x n C a1 x n 1 C C an 1 x C an /N ˇ D 0 shows that x 2 .F int;F /r . The other
inclusion is easy to see.
Theorem C.4.11. Let .A; F0 / be a filtered ring, and F and Fz be RC -multiplicative
Sp
filtrations on A such that F0 F Fz and Fz C D F.A;F0 / . Then
² ˇ ³
z ˇ for any morphism .A; F / ! .K; FK / to a filtered
.F int;F /r D x 2 Fzr ˇˇ
valuation field, the image of x is contained in .FK /r
for r > 0.
Proof. First note that the filtration FK in a filtered valuation field .K; FK / is inte-
z
grally closed, due to C.4.7 and C.2.3. By this, one sees that .F int;F /r is contained
in the right-hand set. To show the opposite inclusion, take x 2 Fzr such that Œxr is
not integral over GrF A in GrFz A. By [27], Chap. VI, ÷1.2, Lemma 1, .GrFz A/Œxr
1 1
is non-zero, andSŒxr generates a proper graded ideal of .GrF A/ŒŒxr .
Let S D r >0 Sr be the filtered multiplicative subset (÷C.3. (a)) generated
by x, such that x 2 Sr and Ax D S 1 A with the filtration Fx induced from F .
We have GrFx Ax Š .GrF A/Œxr . Since the graded ideal of GrFx Ax generated
by Œxr 1 is a proper ideal, by C.4.3, there exists a filtered valuation field .K; FK /
over .Ax ; Fx / such that the graded maximal ideal of GrFK K contains the image of
Œxr 1 , hence the image of x is not contained in .FK /r , since, if it is, then the image
of x in GrFK K is invertible.
Corollary C.4.12. Let .A; F0 / be a filtered ring, F an RC -multiplicative filtration
Sp
on A such that F0 F F.A;F0 / . Suppose .A; F / is integrally closed. Then
the filtration Fw in the weighted polynomial algebra .AŒX; Fw / as in ÷C.3. (c) is
integrally closed. Similarly, the filtration Fyw in the weighted power series algebra
.Ahh.X; w/ii; Fyw /, the completion of .AŒX; Fw / with respect to the filtration F0;w
induced from F0 is integrally closed.
Proof. Let us show the assertion under the assumption that .A; F / is a filtered
valuation field; the general case can be reduced to this case by C.4.11. Let v be the
corresponding RC -valuation, and vGauss the Gauss valuation of AŒX (see ÷C.3. (g)).
Take f 2 AŒX such that f n C a1 f n 1 C C a0 D 0 for ai 2 .Fw /r i . From this
and the fact that vGauss .ai / .r i ; 0/, we have vGauss .f / .r; 0/, hence f 2 .Fw /r .
This shows that Fw is integrally closed.
Finally, Fyw in .Ahh.X; w/ii; Fyw / is integrally closed due to C.4.9 (2).
C.4. (d) Power bounded filtration
Definition C.4.13. (1) Let .A; k k/ be a seminormed ring, and r > 0 a positive
real number. An element f 2 A is said to be r-power bounded if
n
sup r kf n k < C1:
n1
(2) Let .A; F / be a filtered ring, and k k the seminorm corresponding to the
filtration F C (see ÷C.3. (b)). Then we say f 2 A is r-power bounded if it is
r-power bounded as an element of the seminormed ring .A; k k/.
Similarly to the classical notion of power-boundedness, the r-power-bounded-

ness is closely related to the universality property of power series algebras.
Proposition C.4.14. Let A be a Banach ring. For X D .X1 ; : : : ; Xn /, r D

.r1 ; : : : ; rn /, and a Banach ring B, there exists a natural bijection between the
following sets:
1
(a) the set of all bounded homomorphisms of the form Ahhr Xii ! B;
(b) the set of all n-tuples f D .f1 ; : : : ; fn / of elements of B, where fi is ri -power

bounded for i D 1; : : : ; n.
This follows from the following lemma.
Lemma C.4.15. For f 2 A and r > 0, the following conditions are equivalent:
(a) f is r-power bounded;
(b) the canonical homomorphism

1
A ! Ahhr T ii=.T f/
is a bounded isomorphism.
Proof. Suppose (b) holds, and set B D Ahhr 1 T ii=.T f /. The residue norm
on B induced from the Gauss norm on Ahhr 1 T ii is equivalent to the norm on A.
Since kT n kB r n for n 1, f is r-power bounded. Conversely, suppose f is
r-power bounded, and consider the homomorphism
1 1
Ahhr S ii ! Ahhr T ii; S 7 !T f;
and observe that it is a bounded isomorphism with the inverse given by T 7! S Cf .

Passing to the quotient by .Sx /, we get the bounded isomorphism
1 1
A ! Ahhr S ii=.S / ! Ahhr T ii=.T f /;
as desired.
The following is a corollary of the last proposition.
Corollary C.4.16. Let A be a Banach ring, f D .f0 ; : : : ; fn / an .n C 1/-tuple
of elements of A, that generate the unit ideal A, and r D .r1 ; : : : ; rn / an n-tuple
of positive real numbers. Then, for a Banach A-algebra B, there exists a natural
bijection between the following sets:
(a) the set of all bounded homomorphisms of the form
D f1 fn E
A r1 1 ; : : : ; rn 1 ! BI
f0 f0
(b) the set of all n-tuples z D .z1 ; : : : ; zn / of elements of B such that, for i D
1; : : : ; n, zi is ri -power bounded and f0 zi D fi .
In particular, any bounded A-algebra homomorphism between RC -rational local-
ization over A (see ÷C.4. (b)) is an epimorphism in the category of Banach rings.
Definition C.4.17 (power bounded filtration). For a seminormed ring .A; k k/, the
power bounded filtration on A, denote by FAo , is a filtration fFAo gr 2RC defined by
.FAo /r D fx 2 AW x is r-power boundedg:
For a filtered ring .A; F D FA /, the power bounded filtration on A is defined

similarly, in reference to the r-power-boundedness as in C.4.13 (2), and is denoted
by F o D FAo .
Note that the power bounded filtration F o is an exhaustive and RC -multiplica-
tive filtration, hence defining a filtered ring .A; F o / (see C.3.2). Moreover, for a
filtered ring .A; F /, we have
Sp
F o F Sp ; F<r Fro
for r > 0, since the spectral seminorm k kSp bounds from above the seminorm
k k, and is power-multiplicative. It follows from the following proposition that F o
is integrally closed (C.4.8), and, for any filtration of definition F0 , the inclusions
.F0 /int F o F Sp
hold.
Proposition C.4.18. Let .A; k k/ be a seminormed ring, and F0 a filtration of
definition of A. Let F be an RC -multiplicative filtration on A such that F0 F
F o . Then F int F o . In particular, F o is integrally closed.
Proof. Let x 2 FrC satisfy an equality of the form
x n C a1 x n 1
C C an 1x C an D 0;
where ai 2 Fr i for i D 1; : : : ; n. For any k n, we have an expression
n X
X
xk D C a x n i
i D1
where C 2 Z and runs over all partitions of k .n i / such as D .1; : : : ; n / 2

P Q
Zn0 and jnD1 j j D k .n i /, and a D jnD1 aj j . By assumption, there
exists C 1 such that kail k C r i l . Then
kx k k Dr k
1
with D D .r C /n supi D1;:::;n r i kx n i k, which shows that x 2 Fro .
Corollary C.4.19. Let .A; F0 / be a filtered ring. Let F be an RC -multiplicative
filtration on A such that F0 F F o . Then F int F o . In particular, F o is
integrally closed.
Proposition C.4.20. Let .A; F / be a filtered ring.
S
(1) For a filtered multiplicative subset S D r>0 Sr (see ÷C.3. (a)), the filtration
S 1 F o on S 1 A is contained in .S 1 F /o .
(2) Passing to the completion with respect to F , we have .Fy /o D .F o /^

F.
(3) The induced filtration .F o /w on the weighted polynomial algebra .resp. power
series algebra/ AŒX .resp. Ahh.X; w/ii/ coincides with the power bounded
filtration of AŒX .resp. Ahh.X; w/ii/.
Proof. (1) and (2) are easy to see. For (3), it suffices, due to (2), to discuss the case
of the polynomial algebra. For a monomial cX ˛ in .Fw /r , we have c 2 Fs , where
s D w.X ˛ / 1 r, and X ˛ is w.X ˛ /-power bounded. By assumption, c is s-power
bounded, and hence the claim follows.
C.4. (e) RC -affinoid rings

Definition C.4.21. An RC -affinoid ring, or an affinoid Banach ring, is a triple
A D .A; F0 ; F / consisting of the following data:
a Banach ring A with a filtration F0 of definition;
an integrally closed filtration F such that F0int F F Sp .
Note that, by C.4.11, Fr contains .F Sp /<r , and any RC -affinoid ring structure
of A is obtained from that of the uniform completion ASp by taking the preimage
under the map A ! ASp .
In the sequel, we will often drop the filtration of definition F0 from the notation
of RC -affinoid rings, and write them as a pair A D .A; FA /. The underlying
Banach ring A of an RC -affinoid ring A will be denoted by
AB :
The graded ring GrFA AB will be simply denoted by
Gr A:
Definition C.4.22. Let A D .A; FA / and B D .B; FB / be two RC -affinoid rings.

A homomorphism 'W A ! B of RC -affinoid rings is a bounded homomorphism
' B W A ! B that respects the filtrations, that is, ' B ..FA /r / .FB /r for all r > 0.
In this situation, the Banach affinoid ring B is also called an A-affinoid algebra.
We denote by
RC -Aff
the category of RC -affinoid rings. We have a forgetful functor
A 7 ! AB
from RC -Aff to the category of Banach rings with bounded homomorphisms. Note
that, if 'W A ! B is a homomorphism of RC -affinoid rings, then, replacing the
filtration of definition FA;0 of A by FA;0 \ .' B / 1 .FB;0 /, which is also a filtration
of definition of A, one can always assume that ' B respects filtrations of definition.
Note also that any complete filtered valuation field .K D K; y F / can be uniquely
Sp
regarded as an RC -affinoid ring, since F0 D F0 D F FK D F C , where the
int
first equality is due to C.2.3 and C.4.7.

The category of RC -affinoid rings has tensor products. For two RC -affinoid
rings Ai D .Ai ; FAi / (i D 1; 2) over A D .A; FA /, we first take, as above, filtra-
tions of definition of A, A1 , and A2 such that .Ai ; FAi ;0 / are filtered algebras over
.A; FA0 /, and then take the complete tensor product B D A1 b̋A A2 with respect to
these filtrations of definition; then the completion of FA1 ˝FA FA2 with respect to
the filtration of definition of B gives a filtration, the integral closure of which FB

gives an RC -affinoid ring B. Then the pair B D .B; FB / gives the desired tensor
product of the RC -affinoid rings A1 and A2 over A.
For an RC -affinoid ring A D .A; FA /, the power series algebra Ahhr 1 Xii as in
÷C.4. (b) has the canonical A-affinoid ring structure by FA;w ; see ÷C.3. (c) for the
definition of the filtration FA;w .
For any RC -finite type A-algebra with a presentation (that is, an admissible
epimorphism (see ÷C.1) of A-algebras)
1
W Ahhr Xii ! B
has an A-affinoid ring structure by the integral closure of the filtration induced
from FA;w ; note that the A-affinoid algebra structure on B may depend on the
choice of the presentation . In particular, any RC -rational localization B D
Ahhr1 1 ff01 ; : : : ; rn 1 ffn0 ii is equipped with a structure of A-affinoid algebra, which
we henceforth denote by
r 1f ; : : : ; r 1f
1 n n
A 1 ;
f0
and call it the RC -rational localization of A.
Proposition C.4.23. Let A D .A; FA / be an RC -affinoid ring (C.4.21) with

FA .FA /o . Then, for any RC -finite type A-algebra B and any A-affinoid
algebra structure B D .B; FB / on B, we have FB .FB /o .
Proof. Let Ahhr 1 Xii ! B be a presentation. By C.4.20 (3), we have .FA /w

.FAo /w . Passing to the quotient, we have that the image of .FA /w , and hence also
the integral closure FB , is contained in .FB /o .
C.4. (f) Valuative spectrum. In the sequel, for an RC -affinoid ring A, we write
M.A/ D M.AB /.
Definition C.4.24. Let A D .A; FA / be an RC -affinoid ring.
(1) A valuation v of A is a pair v D .z; F /, where z 2 M.A/ and F is a filtration

on the complete residue field H.z/ that makes the pair .H.z/; F / a filtered
valuation field over .A; FA /.
(2) We set
Specval A D the set of all valuation of A,
and call it the valuative spectrum of the RC -affinoid ring A D .A; F /.
(3) For a filtered ring .A; F0 /, consider an integrally closed multiplicative filtra-
Sp
tion F on A such that F0int F F0 . We define
y Fy /:
Specval .A; F / D Specval .A;
We are going to define a topology on the set Specval A. For an .n C 1/-tuple

f D .f0 ; f1 ; : : : ; fn / of elements in A D AB such that .f0 ; f1 ; : : : ; fn / D A, and
n-tuple r D .r1 ; : : : ; rn / of positive real numbers, define a subset
² ˇ ³
ˇ fj .z/
U0 .f; r/ D x D .z; F / 2 Spec A ˇ val ˇ 2 Frj for j D 1; : : : ; n
f0 .z/
of Specval A; note that f0 .z/ ¤ 0 on U0 .f; r/. We call a subset of this form a
rational subdomain (or more precisely, RC -rational subdomain). For example, for
f; g 2 A and r; s > 0,
n ˇ f .z/ 1 o
ˇ
U0 ..g; f; 1/; .r; s// D .z; F / ˇ g.z/ ¤ 0; 2 Fr ; 2 Fs
g.z/ g.z/
is a rational subdomain.
Note that the intersection of finitely many rational subdomains is again a ra-
tional subdomain; e.g., for f D .f0 ; f1 ; : : : ; fn /, r D .r1 ; : : : ; rn / and f 0 D
.f00 ; f10 ; : : : ; fm0 /, r 0 D .r10 ; : : : ; rm
0
/, we have
U0 .f; r/ \ U0 .f 0 ; r 0 / D U0 .h; s/;
where
h D .f0 f00 ; fi fj0 W 0 i n; 0 j m; .i; j / ¤ .0; 0//;
s D .ri rj0 W 0 i n; 0 j m; .i; j / ¤ .0; 0//:
Definition C.4.25. We endow a topology on Specval A in such a way that the set of
all RC -rational subdomains forms an open basis.
r1 1 f1 ;:::;rn 1 fn
Note also that the homomorphism A ! A. f0
/ of A-affinoid alge-
bras induces a bijection
r 1 f ; : : : ; r 1f
1 n n
Specval A 1 ! U0 .f; r/:
f0
One can show, similarly to the classical case as in [18], 7.2.4, that a rational subdo-
main of a rational subdomain is, via the bijection as above, again a rational subdo-
main. From this, one sees that the above bijection is in fact a homeomorphism.
If B and B0 are RC -rational localizations of A, the complete tensor product

B A B0 provides the RC -rational localization that gives the intersection U \ U 0 ,
b̋
where U D Specval B and U 0 D Specval B0 are the corresponding RC -rational
subdomains.
Subsets of the following form are useful for our later argument; for f; g 2 A
and r > 0, define
² ˇ ³
ˇ f .z/
val ˇ
B.g; f; r/ D .z; F / 2 Spec A ˇ g.z/ ¤ 0; 2 Fr ;
g.z/
and call it a basic subset. A basic subset is an open subset, since
[
B.g; f; r/ D U0 ..g; f; 1/; .r; s//:
s>0
Moreover, since
n
\
U0 .f; r/ D B.f0 ; fi ; ri /
i D1
holds for f D .f0 ; f1 ; : : : ; fn / and r D .r1 ; : : : ; rn /, the basic subsets form a

subbase of the topology on Specval A.
There is a canonical map
sepA W Specval A ! M.A/;
which sends x D .z; F / into z. This map is surjective; indeed, there exists a
(non-continuous, in general) section of sepA , which maps z to .z; Fz /, where Fz
is the filtration on H.z/ corresponding to the absolute value of H.z/, that is, the
filtration such that .H.z/; Fz / is of maximal type. We can view M.A/ as a subset
of Specval A in this manner. For a rational subdomain U D U0 .f; r/ as above, the
r1 1 f1 ;:::;rn 1 fn
image sepA .U / coincides with M.A. f0
//; in particular, sepA .U / is a
closed subset in M.A/.
Proposition C.4.26. The map sepA is continuos.
Proof. By the definition of the topology of M.A/, subsets of the form
X.f ; r / D fz 2 M.A/W jf .z/j < r g
for f 2 A, D ˙1 (where, if D 1, we tacitly suppose f .z/ ¤ 0 in the left-

hand set), and r > 0, form an open basis of the topology of M.A/. In accordance
with this, define a subset X.f ; r / of Specval A by
´S
s<r U0 ..1; f /; s/ if D 1;
X.f ; r / D S
1
s 1 <r 1 U0 ..f; 1/; s / if D 1:
Since for any .z; F / 2 Specval A and r > 0 one has F<r D .Fz /<r , we have
sepA1 .X.f ; r // D X.f ; r /;
from which the assertion follows.
C.4. (g) Basic properties of the valuative spectrum. We first note the following
topological property of valuative spectra.
Lemma C.4.27. Let A be an RC -affinoid ring, and A1 and A2 be A-affinoid alge-

bras. Then the canonical mapping of topological spaces
Specval A1 b̋ A A2 ! Specval A1 Specval A Specval A2
is surjective.
Proof. This follows from C.4.4.
For z 2 M.A/, we set
Cz D sepA1 .z/ D fx D .z; F / 2 Specval Ag;
with the subspace topology as a subspace of Specval A.
Lemma C.4.28. There exists a canonical homeomorphism

z W Cz ! ZR.GrFz H.z/; Gr A/;
where Fz is the filtration on H.z/ induced from the absolute value; see ÷C.2. (f).
In particular, Cz is a valuative space.
Proof. The last assertion is a consequence of C.2.16. We need to construct a home-

z
omorphism as in the first assertion. Set H.z/ D GrFz H.z/, which is a graded field,
z
and A D Gr A. Conside the map
z W Cz
z
! ZR.H.z/; z
A/; z ! GrF H.z//:
.z; F / 7 ! .A
We claim that z is bijective. First, notice that, since fz W A ! .H.z/; Fz / is a fil-

tered homomorphism, it induces a graded homomorphism fQz W A z ! H.z/.
z For
Q z
a filtered valuation F on H.z/, fz ..FA /r / Fr if and only if .fz /r .Ar /
.GrFz .H.z///r . Hence the claim follows from C.3.5.
Next, we show that z is an open map. It suffices to show that z .U / is open

for U D Cz \ U0 .f; r/, where f D .f0 ; f1 ; : : : ; fn / and r D .r1 ; : : : ; rn /. For
x D .z; F / 2 Cz , x 2 U if and only if
(a) f0 .z/ ¤ 0 and jfi .z/=f0 .z/j ri for i D 1; : : : ; n,
(b) fi .z/=f0 .z/ 2 Fri .
Notice that, under (a), the condition (b) is equivalent to the following one:
z
(b)0 the residue class Œfi .z/=f0 .z/ri 2 .H.z// ri belongs to .GrF H.z//ri for i D
1; : : : ; n.
z
Hence, if we introduce the graded A-subalgebra z
B of H.z/ by
´ f .z/
z 1 ; : : : ; fn .z/
A if (a) holds,
f0 .z/ f0 .z/
BD
z
H.z/ otherwise,
we have z .U / D U.B/, which shows the claim.

Finally, to conclude the proof, we need to show that any open subset of
ZR.GrFz H.z/; Gr A/ can be obtained in this way. Since subsets of the form
z
U.AŒ˛/ z
for ˛ 2 H.z/ give an open basis of the topology of ZR.GrFz H.z/; Gr A/,
we need to find an open subset U of Cz such that z .U / D U.AŒ˛/.z Let A be
the image of A in H.z/. Since the fraction field of A is dense in H.z/, there ex-
ists f; g 2 A such that g.z/ ¤ 0 and f .z/=g.z/ represents ˛. Then we have
z
z .B.g; f; r// D U.AŒ˛/.
In the next paragraph, we will show the following theorem.
Theorem C.4.29. Let A be an RC -affinoid ring. Then Specval A is a coherent

valuative space.
From this theorem and C.4.28 we obtain the following corollary.
Corollary C.4.30. Let A be an RC -affinoid ring, and x D .z; F / 2 Specval A.

Then the homomorphism A ! .H.z/; F / induces a homeomorphism from
Specval .H.z/; F / to the set Gx of all generizations of x with the subspace topol-
ogy. In particular, sepA W Specval A ! M.A/ gives the T1 -quotient (0, ÷2.3. (c)).
Finally, by 0.2.4.6, we have the following statement.
Corollary C.4.31. .Specval A/ref is a coherent valuative space.

C.4. (h) Proof of Theorem C.4.29
Lemma C.4.32. Let z 2 M.A/. If a finite family fUj gj 2J of rational subdomains

of Specval A covers Cz , then there exists an open neighborhood V of z in M.A/
such that fUj gj 2J covers sepA1 .V/.
Proof. Set X D Specval A. Write each Uj as a finite intersection of basic subsets,

\
Uj D Bi
i 2Ij
Q S
for j 2 J . For k D .ij /j 2J 2 j 2J Ij , we set Bk D j 2J Bij . We have
[ [ \ \
Uj D Bi D Bk :
j 2J j 2J i 2Ij k2K
Hence, to show the lemma, we only need to show the following claim.
C LAIM . Let B be a finite union of basic subsets of X. If B contains sepA1 .z/,
then there exists an open neighborhood V of z in M.A/ such that sepA1 .V/ is
contained in B.
To prove this, write B as a finite union of basic subsets
[
BD Bi ;
i 2I
where Bi D .B; gi ; fi ; ri / for i 2 I . If there is an i0 2 I such that jfi0 .z/=gi0 .z/j <
ri0 , then
V D fw 2 M.A/W jfi0 .w/=gi0 .w/j < ri0 g
enjoys the desired property.
We may thus assume that jfi .z/=gi .z/j ri for any i 2 I . Let T 0 D .Ti0 /i 2I
and r 0 D .ri /i 2I . For z 0 2 sepA .X/ with fi .z 0 / ¤ 0 and jgi .z 0 /=fi .z 0 /j ri 1 for
any i 2 I , define
gi .z 0 /
'z 0 W Ahhr 0 T 0 ii ! H.z 0 /; Ti0 7 ! ;
fi .z 0 /
and set
Ahhrz0 T 0 ii D Gr.FA /w Ahhr 0 T 0 ii:
Let Gz 0 be the image of Ahhrz0 T 0 ii in H.z

z 0 / D GrF 0 H.z 0 / under the homomor-
z
phism induced from 'z 0 . Set hi .z / D 'z 0 .Ti0 / for i 2 I . Then hi .z 0 / belongs to
0
.Fz 0 /r 1 .
i
Now, the following two conditions are equivalent:

(a) fBi gi 2I covers Cz 0 ;
(b) the homogeneous ideal of Gz 0 generated by Œhi .z 0 /r 1 for i 2 I is Gz 0 itself.
i
Indeed, with the map z 0 as in C.4.28, we have z 0 .Bi / D B.Ahhrz0 T 0 iiŒ˛i /, where
z 0 /. If (a) holds, then for the subset I 0 D
˛i is the class of fi .z 0 /=gi .z 0 / in H.z
0 0
fi 2 I W jfi .z /=gi .z /j D ri g, fBi gi 2I 0 already covers Cz 0 , since we assumed that
jhi .z 0 /j D jgi .z 0 /=fi .z 0 /j ri 1 . Since ˛i ¤ 0 for i 2 I 0 , we obtain (b) as
in the proof of C.2.16. Conversely, if (b) holds, then similarly, for I 00 D fi 2
I W Œhi .z 0 /r 1 ¤ 0g, fBi gi 2I 00 covers Cz 0 .
i
Now, by the assumption that fBi gi 2I covers Cz , there exists an expression
X
1D aN i Œhi .z/r 1
i
i 2I
for some aN i 2 Ahhrz0 T 0 ii of degree ri for i 2 I . One can take the preimage ai 2
.FAhhrz0 T 0 ii /ri of aN i by polynomials in T 0 . Then the polynomial
X
P .T 0 / D ai Ti0 1
i 2I
in T 0 belongs to .FAhhrz0 T 0 ii /1 and satisfies
j'z .P /.z/j < 1:

Define
² ˇ ˇ ˇ ˇ ³
ˇ ˇ ˇ 0 ˇ
0 ˇ 0
V D z 2 M.A/ ˇ fi .z / ¤ 0 .i 2 I /; ˇ P T 0 D gi .z /ˇ < 1
i fi
which is an open neighborhood of z in M.A/. To show that this V has the de-
0 0 1
sired property, suppose the contrary,
0
T i.e., there exists x D .z ; F /0 2 sep0A .V/ not1
covered by fBi gi 2I . Since x 2 i 2I .X n Bi /, we have jgi .z /=fi .z /j ri
for any i 2 I , and hence we have 'z 0 W Ahhrz0 T 0 ii ! H.z 0 / as above. Moreover,
j'z 0 .P /.z 0 /j < 1 holds by the definition of V. For ai .z 0 / D 'z 0 .ai / 2 .Fz 0 /ri , the
classes Œai .z 0 /ri and Œhi .z 0 /r 1 satisfy
i
X
Œai .z 0 /ri Œhi .z 0 /r 1 1 D .'z 0 .P /.z 0 / mod .Fz 0 /<1 / D 0:
i
i 2I
Thus we see that the homogeneous ideal in Gz 0 generated by Œhi .z 0 /r 1 for i 2 I
i
is Gz 0 itself. But this is absurd in view of the equivalence of the conditions (a) and
(b) above. We have therefore proved the claim, and hence the lemma.
Proof of Theorem C.4.29. Set X D Specval A. We first show that any rational sub-
domain U X is quasi-compact. To show this, we may assume without loss of
generality that U D X. Since M.A/ is compact, it suffices to show that D sepA
is proper. Note that, for any point z 2 M.A/, the fiber 1 .z/ is quasi-compact
due to C.4.28 and C.2.16. Hence, by [24], Chap. I, ÷10.2, Theorem 1, it suffices to
show that is a closed map. Assume the contrary. Let C X be a closed subset
such that .C / is not closed in M.A/, and take z 2 .C / n .C /, where .C /
denotes the closure of .C /. Let fWj gj 2J be an open covering of W D X n C by
rational subdomains.SBy our assumption, 1 .z/ C , and there is a finite subset
Jz J such that j 2Jz Wj contains 1 .z/. By C.4.32, there exists an open
S
neighborhood Vz of z in M.A/ such that j 2Jz Wj contains 1 .Vz /. Hence
C \ 1 .Vz / D ;, that is, z 2 .C /, which is absurd. Thus, we have shown that
is closed, and hence that any rational subdomain of X is quasi-compact. Notice
that rational subdomains are closed under finite intersection.
Next, we show that X is T0 . Take x D .z; F / and z 0 D .z 0 ; F 0 /. If z ¤ z 0 ,
then we can find open neighborhoods Vz and Vz 0 of z and z 0 , respectively, such
that Vz \ Vz 0 D ;. Then 1 .Vz / and 1 .Vz 0 / separate the points x and x 0 . If
z D z 0 , then we only need to invoke the T0 -ness of Cz Š ZR.GrFz H.z/; GrF A/.
Hence, we have shown that X is a coherent topological space. Next, we show
that X is sober. Let Z be an irreducible closed subset of X. Since D sepA is, as
we have seen above, a closed map, .Z/ is an irreducible closed subset of M.A/.
Since M.A/ is Hausdorff, .Z/ D fzg for some z 2 M.A/. Since Cz D 1 .z/
is sober (C.2.16), Z has the unique generic point, as desired.
Finally, by C.4.28 and C.2.16, we deduce that X is valuative.
C.4. (i) Relation with adic spectrum. Let A be a complete f-adic ring. Then A
is a Banach ring with respect to the following norm. Let A0 be a ring of definition
of A with an ideal of definition I0 (see 0.B.1.2), and fix a real number 0 < c < 1.
m
Define a decreasing filtration fF.A 0 ;I0 /
gm2Z indexed by integers by
´
m
I0m if m 0;
F.A 0 ;I0 /
D
ŒA0 W I0 m if m < 0:
Then the norm k kA on A is defined for f 2 A by

´
c n ; where n D inf¹m 2 ZW f 2 F.A
m
0 ;I0 /
º if f ¤ 0;
kf kA D
0 if f D 0:
Note that the norm k kA actually depends on the choice of .A0 ; I0 /. Note
also that a homomorphism 'W A ! B inducing an adic morphism .A0 ; I0 / !
.B0 ; I0 B0 / between the rings of definition, respects the filtrations F.A0 ;I0 / and
F.B0 ;I0 B0 / , and gives rise to a bounded homomorphism
'W .A; k kA / ! .B; k kB /:
For a Huber affinoid ring .A˙ ; AC / (in the sense as in A.3.1), an ideal I of AC
is called an ideal of definition, if there exists a pair .A0 ; I0 / consisting of a ring
of definition and an ideal of definition, such that I D I0 AC . Then the equiva-
lence class of the norm defined as above from .A0 ; I0 / depends only on the data
..A˙ ; AC /; I /.
Definition C.4.33. (1) A Banach ring is said to be of f-adic type if it is isomorphic
to an f-adic ring as a topological ring.
(2) An RC -affinoid ring A D .AB ; FA / is said to be of adic type if there exist
an affinoid ring .A˙ ; AC / in the sense as in A.3.1 and an topological isomorphism
AB Š A˙ that induces .FA /1 Š AC and M.A/ Š ŒSpa.A˙ ; AC /.
For an affinoid ring .A˙ ; AC / and an ideal of definition I AC , one can
construct an RC -affinoid ring A D .AB ; FA / of adic type such that AB Š A˙ ,
.FA /1 Š AC , and M.A/ Š ŒSpa.A˙ ; AC / as follows.
Set A D A˙ and choose .A0 ; I0 / such that I D I0 AC . Consider the norm
k k on A D A˙ defined as above, and the filtration F0 D F0C on A corresponding
to this norm. Then we define the multiplicative filtration FA on A as the integral
closure of the one generated by AC and F0 . This gives an RC -affinoid ring A D
.A; FA / such that .FA /1 Š AC . Note that the filtration FA does not depend on the
choice of .A0 ; I0 /, and contains FAo .
We need to check M.A/ Š ŒSpa.A˙ ; AC /. Observe first that, for any x 2
Spa.A˙ ; AC /, the maximal generization xQ of x corresponds to a continuous valu-
ation of height zero or one (since the topology is adic). Let 'x W A ! Kx be the
morphism to the corresponding valuation field. Since 'x is continuous, then there
exists a ring of definition A00 of A such that 'x .A00 / Vx , where Vx is the valuation
ring of Kx . Since 'x maps Ao to Vx , and A0 Ao , it follows from 'x induces a
continuous homomorphism A0 ! Vx , which is, moreover, adic, since the height
of V is one or zero.
Since A0 ! V is adic, the valuation k kx on Kx has the following description.
Consider the norm j jx on Kx determined as above by the ring of definition Vx and
the ideal of definition I0 Vx . Then, for any f 2 Kx ,
1 1
kf kx D lim jf n jxn D inf jf n jxn ;
n!1 n1
that is, k kx is the power-multiplicative norm associated to j jx .

Hence xQ gives a multiplicative and bounded seminorm

k kxQ W A ! R0 :
Thus we have the map
Spa.A˙ ; AC / ! M.A/; x 7 ! k kxQ :
It is clear by definition that this map factors through the separated quotient
ŒSpa.A; Ao/.
Proposition C.4.34. The resulting map
ŒSpa.A˙ ; AC / ! M.A/ ./
is a homeomorphism.
Proof. The map ./ is injective by the boundedness of k kxQ . For y 2 M.A/,
the corresponding bounded multiplicative seminorm y D j jy W A ! R0 defines a
(maximal) point of Spa.A˙ ; AC /; note that, since boundedness implies jjy kkA ,
we have jf jy 1 for any f 2 Ao . Thus the map ./ is bijective. To compare the
topologies of ŒSpa.A˙ ; AC / and M.A/, it suffices to show that the subsets of the
form fx 2 ŒSpa.A˙ ; AC /W jf .x/j < 1g with f 2 Ao form an open basis of the
topology of ŒSpa.A˙ ; AC /, which is easy to see.
If A D .AB ; FA / is an RC -affinoid ring of adic type, we write, by a slight abuse
of notation,
F1 .A/ D .AB ; .FA /1 /;
which is an affinoid ring in the sense of Huber. The notation indicates that Huber’s
affinoid structure is obtained by taking the F1 -part of RC -affinoid structures. We
have a continuous mapping
Specval A ! Spa F1 .A/; ./
called the 1-restriction map, which maps x D .z; F / to the induced valuation
.FA /1 ! F1 on AC D .FA /1 .
Proposition C.4.35. The 1-restriction map ./ is surjective.
Proof. For x 2 Spa F1 .A/, let V be the corresponding valuation ring, and K D
Frac.V /. Let V1 be the maximal generization, which corresponds to the point
sep.x/ in M.A/ Š ŒSpa F1 .A/, and W K ! RC be the corresponding absolute
value. Consider the subring G1 D V =.F /<0 of Kx D GrF K in degree 1, and let
G be the graded subring over Gr A generated by G1 in Kx . Note that G1 is a valua-
tion ring, and is the degree-1 part of the graded ring G. Take a graded valuation ring
Vz of K such that mG1 G mVz . Then Vz is a graded valuation ring with Vz1 D G1 ,
and the associated filtered valuation F of K gives a lift of x to Specval A.
Finally, let us describe the relation between valuative spectra and the reified adic
spectra of [67]. In [67], 6.1, Kedlaya introduced the notion of affinoid seminormed
ring, which can be interpreted in our language as a filtered ring .A; F / with a
seminormed type integrally closed filtration F contained in FAo . The Banach ring
case, the so-called affinoid Banach rings, are pairs of the form
.A; AGr /
consisting of a non-archimedean Banach ring A and a graded integrally closed

subring AGr of the graded ring GrF o A by the power-bounded filtration F o .6 A
morphism .A; AGr / ! .B; B Gr / between affinoid Banach rings in this sense is a
bounded homomorphism A ! B that induces AGr ! B Gr .
If .A; AGr / is an affinoid Banach ring in the sense of Kedlaya, then one can
define a multiplicative filtration F on A by
Fr D the preimage of .AGr /r under Fro ! .GrF o A/r D Fro =F<r

o
.
By C.4.18, the resulting filtration F is integrally closed, and so it yields an RC -

affinoid ring .A; F /. In this way, one can establish a categorical equivalence be-
tween the category of affinoid Banach rings in the sense of Kedlaya and the cate-
gory of RC -affinoid rings A D .A; FA / such that FA FAo .
Given an affinoid Banach ring .A; AGr/ in the sense of Kedlaya, the reified adic
spectrum Spra.A; AGr/ is the set of reified valuations, that is, pairs .v; r/ consisting
of a valuation
vW A ! [ f0g
with a value target group (written multiplicatively), and a order-preserving ho-
momorphism (called a reification)
rW RC ! ;
such that the following conditions are satisfied:

(a) for any r > 0, and f 2 Fr (where F is the filtration on A constructed from
AGr as above), v.f / r;
(b) for any 2 v (D the ordered subgroup generated by r.RC / and the image of
v), there exists r 2 RC such that r .
By (b), one has for any 2 v a positive real number
p. / D inffr 2 RC W rg;
6
It was Temkin [96] who first considered filtrations on Berkovich K-affinoid algebras of this kind and,
in particular, the associated graded rings.
which gives a splitting pW v ! RC of the reification r. Hence, as we have seen in

C.3.13, the reified valuation v gives an RC -valuation (C.3.11). Taking the condition
(a) into account, one can thus establish a canonical bijection

Spra.A; AGr / ! Specval .A; F /:
Moreover, comparing the notions of ‘rational subdomains’ on both sides, one can
show that this bijection gives a homeomorphism.
C.4. (j) RC -affinoid algebras of RC -finite type over K . Let K D .K; D j j/

be a non-archimedean Banach field. We allow the case where the valuation j j is
trivial.
We call a Banach K-algebra of the form
1
Khhr Xii D Khhr1 1 X1 ; : : : ; rn 1 Xn ii
(defined in ÷C.3. (c)) a Berkovich algebra, which is a Tate algebra (0, ÷9.3. (a)), if
r1 D D rn D 1.
Definition C.4.36 ([11], ÷2.1). (1) A Berkovich K-affinoid algebra (or simply, K-
affinoid algebra, if there is no danger of confusion) is a commutative Banach K-
algebra A that admits an admissible epimorphism (called presentation)
Khhr1 1 X1 ; : : : ; rn 1 Xn ii ! A: ./
(2) If a presentation ./ can be found with
r1 D D rn D 1;
or equivalently, with
p
r1 ; : : : ; rn 2 jK j D fr 2 RC W r n 2 jK j for some n 1g
(cf. [18], 6.1.5/4), then A is called a strictly K-affinoid algebra.
We denote by
B
AffK
the category of Berkovich K-affinoid algebras with bounded K-algebra homomor-
B
phisms. The category AffK contains AffK , the category of classical affinoid al-
gebras over K (0.9.3.1) and K-algebra homomorphisms, as a full subcategory (cf.
[18], 6.1.3/1).
Note that, if the norm j j of K is non-trivial, then strictly K-affinoid algebras
are nothing but classical affinoid algebras as discussed already in 0, ÷9.3. (a).
The Berkovich algebra Khhr 1 Xii is equipped with Gauss norm k kGauss , and
hence the filtration Fw D F Sp (see ÷C.3. (c)), which makes the pair
1
.Khhr Xii; FKhhr 1 Xii /
Sp
(where FKhhr 1Xii D FKhhr 1 Xii ) an RC -affinoid algebra over K D .K; F /.
For a Berkovich K-affinoid algebra A with a presentation as in ./, one has
a filtration on A induced from the filtration FKhhr 1 Xii (see ÷C.3. (a)), and thus A
can be regarded as an RC -affinoid algebra of RC -finite type over K D .K; F /.
The next theorem shows that this RC -affinoid algebra structure does not depend on
the choice of the presentation.
Theorem C.4.37. Let A D .A; FA / be an RC -affinoid algebra of RC -finite type

Sp
over K D .K; F /. Then FA D FA .
Proof. Choose a presentation Khhr 1 Xii ! A as in ./. We first assume that

jK j D RC . Take elements ai 2 K such that jai j D ri for i D 1; : : : ; n, which
give rise to an isometry
1
Khhr Xii ! KhhY ii;
where Y D .Y1 ; : : : ; Yn /, mapping Xi to ai Yi (i D 1; : : : ; n). In this way, we

can assume that the affinoid structure comes from a presentation as in ./ with
r1 D D rn D 1. In this case, .FA /1 is the integral closure of A0 D the image
of V hhXii in A, where V D .FK /1 is the associated valuation ring of K. Moreover,
Sp Sp
it is easy to see that .FA /r D .FK /r ˝.FK /1 .FA /1 for any r > 0. By A.4.22,
Sp Sp
we have .FA /1 D .FA /1 , and hence FA D FA .
In general, take an extension of Banach fields L=K such that jL j D RC ; e.g.,
Sp
the completion of K st as in C.3.20. Suppose FA ¤ FA . Then, by C.4.11, there
Sp
exists a filtered valuation field .M; FM / over A such that the image of FA is not
contained in FM . Consider the base change AL D .A b̋K L; FL / with the tensor
product filtration (see ÷C.3. (a)). By C.4.4, there exists a filtered valuation field
.N; FN / dominating .M; FM /, which sits in the commutative diagram
.M; F / / .N; FN /
O M O
A / AL
Sp Sp
Since, as we have already seen, FL D FAL , A ! .N; FN / factors through .A; FA /.
Sp
This means that the image of FA in N is contained in FM , which is absurd.
When considering Berkovich K-affinoid algebras, we henceforth regard them

as RC -affinoid algebras of RC -finite type over K in the canonical way as in the the-
orem. Note that one can also regard Berkovich K-affinoid algebras as RC -affinoid
algebras of adic type (C.4.33 (2)), if the valuation of K is non-trivial.
Corollary C.4.38. Let A be a Berkovich K-affinoid algebra, and L=K an exten-

sion of Banach fields. Set AL D A b̋K L. Then the canonical map
Specval AL ! Specval A
is surjective.
Proof. The RC -affinoid ring structure structure on AL is the integral closure of the
complete tensor product filtration of FA and FL . Hence the claim follows from
C.4.27.
Proposition C.4.39. Let A be a Berkovich K-affinoid algebra. Suppose jK j D

RC . Then the 1-restriction map (÷C.4. (i))
Specval A ! Spa F1 .A/
is a homeomorphism.
Proof. By C.3.19, the map in question is bijective. For f D .f0 ; f1 ; : : : ; fn / and

r D .r1 ; : : : ; rn /, one can take ai 2 K such that jai j D ri for i D 1; : : : ; n, hence
r 1 f ; : : : ; r 1f 1 1 g ; : : : ; 1 1g
1 n n 1 n
Specval A 1 D Specval A
f0 f
g ; : : : ; 0g
1 n
Š Spa F1 .A/ ;
f0
where gi D ai fi for i D 1; : : : ; n. This means that the ational subsets on both

sides are the same; see ÷A.3. (b).
Corollary C.4.40. For a Berkovich K-affinoid algebra A, the valuative space

Specval A is reflexive (0.2.4.1).
Proof. Take an extension L=K of Banach fields with jL j D RC . By C.4.38,

Specval AL ! Specval A is surjective, and Specval AL is reflexive by C.4.39, A.5.2,
and 8.2.19.
Corollary C.4.41. Suppose K has a non-trivial valuation. Then, for a Berkovich

K-affinoid algebra A, Spa F1 .A/ is reflexive.
C.4. (k) Reflexivity of valuative spectrum.

Theorem C.4.42 (local affineness). Let A be an RC -affinoid ring, X D Specval A,
and U ,! V an open immersion of quasi-compact open subsets of X. Then, for
any x 2 V , there exists a quasi-compact open neighborhood Wx of x in V such
that Wx and U \ Wx are RC -rational subdomains of X.
Lemma C.4.43. Let X be coherent sober space, U; V X quasi-compact open
subsets, and x 2 X. Suppose U \ Gx D V \ Gx , where Gx denotes the set of all
generizations of x in X. Then there exists a quasi-compact open neighborhood Wx
of x such that U \ Wx D V \ Wx .
Proof. By considering U \V instead of U , we may assume U V . Set C D XnU .
Suppose the assertion is false. Then C \ V \ W ¤ ; for any quasi-compact
open neighborhood W of x. Since C is coherent and sober, this implies Gx ¤ ;
(0.2.2.10 (2)), which is absurd.
Proof of Theorem C.4.42. We may assume V D X. Set x D .z; Fx /. The set Gx
of generizations of x in X is canonically identified with Specval .Kz ; Fx / regarded
as a subset of X. Since U \ Gx is a quasi-compact open subset of Gx , there exist
g; f 2 AB and r > 0 such that the basic subset (see ÷C.4. (f)) B.g; f; r/ contains
x and U \ Gx D B.f; g; r 1/ \ Gx . By C.4.43, there exists an RC -rational
neighborhood Wx of x contained in B.g; f; r/ such that U \ Wx D B.f; g; r 1/ \
Wx . Notice that, since Wx B.g; f; r/, B.f; g; r 1/ \ Wx is an RC -rational
subdomain of Wx , and hence of X.
Remark C.4.44. The proof indicates that, in the situation as in C.4.42, one can
take Wx D Specval B such that U \ Wx is an RC -rational subdomain of the form
Specval B. rf1 / for some f 2 .FB /r .
Proposition C.4.45. Let A be an RC -affinoid ring. Then the following conditions
are equivalent:
(a) X D Specval A is reflexive;
(b) for any RC -rational localization B D .B; FB / of A,
Sp
Specval .B; FB / ! Specval B
is bijective.
Proof. Suppose (a) holds, and let B D .B; FB / be an RC -rational localization
of A. By assumption, the quasi-compact open subspace Y D Specval B of X is
Sp
also reflective. Since ŒY D M.B/ D ŒSpecval .B; FB /,
Sp Sp
Y ref D .Specval .B; FB //ref , ! Specval .B; FB /:
This means that Y ref ,! Y factors as

Sp
Y ref , ! Specval .B; FB / , ! Y;
Sp
and also Y Š Specval .B; FB /.
Conversely, suppose (b) holds, and take an open immersion U ,! V of quasi-
compact open subsets of X such that ŒU D ŒV . By C.4.42, one has a finite
open covering fV˛ g˛2L of V such that V˛ and U \ V˛ are RC -rational subdomains
of X for any ˛ 2 L. We may assume that U \ V˛ ,! V˛ is induced from a
homomorphism B˛ ! B0˛ of RC -rational localizations of A. Our assumption
ŒU D ŒV implies ŒSpecval B˛ D ŒSpecval B0˛ . It follows from the assumption (b)
Sp
that B˛ and B0˛ are of spectral type, viz., FB˛ D FB˛ and similarly for FB0˛ .
From this and the fact that ŒSpecval B˛ D ŒSpecval B0˛ it follows that Specval B˛ D
Specval B0˛ for any ˛ 2 L (cf. C.4.46 below), thereby U D V .
Note that the proposition, together with C.4.37, gives another proof of C.4.40,
the reflexiveness of Specval A for a Berkovich K-affinoid algebra A.
Remark C.4.46. For an RC -rational localization A D .A; FA / ! A0 D .A0 ; FA0 /,
the following conditions are equivalent:
(a) ASp Š A0 Sp ;
(b) M.A/ is homeomorphic to M.A0 /;
Sp Sp
(c) Specval .A0 ; FA0 / ! Specval .A; FA / is bijective.
C.5 Non-archimedean analytic space of Banach type

C.5. (a) Admissible site of RC -affinoid rings. Let A D .A; FA / be an RC -affi-
noid ring. We denote by RA the category of RC -rational localizations of A
opp
(see ÷C.4. (e)). Morphisms in RA (resp. RA ) are all epimorphisms (resp. monomor-
opp
phisms) (C.4.16). When we regard an object B of RA as an object of RA ,
we denote it by S.B/; the same convention is applied also to arrows in RA .
opp
We define a notion of coverings in RA as follows: a collection of arrows
fS.B˛ / ! S.B/g˛2L is a covering of S.B/ if
[
Specval B D Specval B˛ :
˛2L
It is straightforward to check that this notion of covering defines a Grothendieck

opp
topology JA on RA . We set
opp
DA D .RA ; JA /;
and call it the admissible site of A.
Proposition C.5.1. There exists an equivalence of the associated topoi

DA Š top.Specval A/
.see 0, ÷2.7. (a) for the notation/.
Proof. Let R be the set of all RC -rational subdomains of Specval A (÷C.4. (f)). The
set R is partially ordered by inclusion, and is regarded as a category. We further
regard the poset R as a site in a standard manner; a covering of a 2 R is a finite
collection fb1 ; : : : ; br g of elements in R such that a D supfb1 ; : : : ; br g. (Note that
R is closed under finite intersections.) Since R generates the topology of Specval A
(C.4.25) and any U 2 R is coherent, the morphism of sites Specval A ! R induces
an equivalence of the associated topoi. Clearly, there exists a morphism of sites
j W R ! DA associated to the functor DA ! R that maps S.B/ to Specval B.
Suppose S.B/ ! S.B0 / induces Specval B Š Specval B0 . Due to this and the fact
that S.B/ ! S.B0 / is a monomorphism (and so S.B/ S.B0 / S.B/ Š S.B/),
S.B/ ! S.B0 / is a covering arrow, and hence, for any sheaf F on DA , we have
F .S.B// Š F .S.B0 // by the definition of the Grothendieck topology JA . Thus
j 1 induces an equivalence of the associated topoi. Then we obtain the desired
equivalence of topoi by composition of the equivalences obtained above.
zA on the site DA by
We define a presheaf O
zA .S.B// D BB :
O
This is a presheaf of Banach rings on DA , and we denote by OA the sheaf of rings

zA seen as a presheaf of rings. By C.5.1, one can regard
given by sheafification of O
val
OA as a sheaf on Spec A.
For x 2 Specval A, the stalk Ax D OA;x at x is a ring that allows the following
description. Let Sx be the category of RC -rational localization B is such that x lies
in the image of Specval B. Then, by what we have seen in ÷C.4. (f), Sx is directed,
and
Ax D lim BB ;
!
B2obj.Sx /
where the inductive limit is taken in the category of rings. Notice that the ring Ax
comes with a canonical ring homomorphism
Ax ! H.z/;
where x D .z; F /. Let us denote by mx the kernel of this map, and set
k.x/ D Ax =mx :
Proposition C.5.2. Let A be an RC -affinoid ring, and x D .z; F / 2 Specval A.
(1) An element h 2 Ax is invertible if and only if its image in H.z/ is non-zero.

In particular, .Ax ; mx / is a local ring, and thus .Specval A; OA / is a locally
ringed space.
(2) The field k.x/, view as a subfield of H.z/, is dense in H.z/.

Proof. (1) Let B be an object of Sx , and let H 2 B represent h 2 Ax . Replacing B
further by a rational localization around x if necessary, we may assume that jH.w/j,
viewed as a real-valued function of w 2 M.B/, is non-zero everywhere on M.B/.
Then H is invertible in B, and hence h is invertible in Ax .
(2) Let A0 be the image of A ! H.z/. Then, by the definition of the complete
residue field H.z/, the fraction field K 0 of A0 is dense in H.z/. Clearly, K 0 is a
subfield of k.x/, whence the claim.
Let x D .z; F / 2 Specval A. By C.5.2 (2), there exists a unique filtration Fx
on k.x/, the completion of which with respect to the seminorm k kz coincides
with F , viz., there exists a unique filtered valuation field of the form .k.x/; Fx /,
the completion of which is the given .H.z/; F /. Define a filtration FAx on Ax by
.FAx /r D the preimage of .Fx /r under Ax ! k.x/:
for r > 0, which obviously gives rise to a filtered ring .Ax ; FAx /.
Proposition C.5.3. (1) The filtered ring .Ax ; FAx / coincides with
lim B;
!
B2obj.Sx /
where the inductive limit is taken in the category of filtered rings.

(2) For r > 0,
.FA /r D ff 2 AW f 2 .FAx /r for any x 2 Specval Ag:
Proof. First notice that the category of filtered rings has small inductive limits,
which commute with the inductive limits in the category of rings by the forgetful
functor. Let .Ax ; F 0 / be the filtered inductive limit as in (1). By definition, we
have F 0 FAx . We first check that F<r 0
D .FAx /<r for r > 0. Let h 2 .FAx /<r ,
and take B from Sx and H 2 B such that h is represented by H . Since jH.z/j <
r, there is an overconvergent open neighborhood V of z in Specval A such that
jH.w/j < r for all w 2 sepA .V / M.A/. Replacing B by another one in Sx
with smaller valuative spectrum, we may assume that Specval B is contained in V ,
Sp 0
and hence that H 2 .FB /<r D .FB /<r . Thus we have h 2 F<r , as desired.
To show Fr0 D .FAx /r for r > 0, take ˛ 2 .FAx /r . Then, by what we have seen
in the proof of C.5.2 (2), Œ˛r 2 GrFAx Ax is represented by a= N where a; b 2 A,
N b,
aN and bN denote the image of a and b in Gr A, and bN ¤ 0. Let s be a positive real
number such that s > 1=jb.z/j. Then a=b in
r 1 a; s 1 1
BDA
b
represents a= N and ˛ a=b 2 F . Hence we have ˛ 2 F 0 , as desired, and
N b, 0
<r r
thus (1) is proved. (2) follows immediately from C.4.11.
The following proposition determines RC -rational localizations A ! B with
the same valuative spectrum, and thus clarifies the dependence of RC -rational sub-
domains on their presentations as the valuative spectra of RC -rational localizations.
Proposition C.5.4. Let A ! B be an RC -rational localization. Then Specval B D
Specval A if and only if B is isomorphic to an RC -rational localization of the form
r 1g ; : : : ; r 1g
1 n n
A 1
1
for gi 2 .FA /ri .i D 1; : : : ; n/.
Proof. Only the ‘if’ part calls for a proof. Set
r 1 f ; : : : ; r 1f
1 n n
BDA 1 ;
f0
as an A-affinoid algebra. The element f0 takes no zero value on M.B/, and hence
on M.A/, due to the assumption. This implies that f0 is invertible in A. Set
gi D f0 1 fi for i D 1; : : : ; n. The image of gi in B is in .FB /ri for i D 1; : : : ; n,
and thus B is isomorphic to the RC -rational localization as above. By the equality
Specval B D Specval A and C.5.3 (2), we have gi 2 .FA /ri for i D 1; : : : ; n.
C.5. (b) Sheaf condition of Banach type. Let A D .A; FA / be an RC -affinoid

ring, and consider the presheaf O zA on DA as in ÷C.5. (a), which is a presheaf of
Banach rings with all restriction maps being bounded homomorphisms.
Definition C.5.5. We say that O zA satisfies the sheaf condition of Banach type, or
that the RC -affinoid ring A is RC -sheafy, if, for any finite covering fS.B˛ /g˛2L of
S.B/,
Y Y
OzA .S.B// ! ker OzA .S.B˛ // ! OzA .S.B˛ b̋ B Bˇ //
!
˛2L ˛;ˇ 2L
is a bounded isomorphism ofQBanach rings. (Notice that the right-hand side is a

zA .S.B˛ //, and hence is a Banach ring.)
closed set of the Banach ring ˛2L O
Remark C.5.6. The ‘RC -sheafy’ condition is, in our situation, equivalent to
‘sheafy’ in [67], 3.19. Note that, as we have seen in the end of ÷C.4. (i), affinoid
Banach rings in the sense of Kedlaya are nothing but RC -affinoid rings of the form
A D .A; FA / such that FA FAo . As the next proposition shows, the last condition
in our situation is rather a consequence of RC -sheafiness.
We denote by
RC -AffSh
the full subcategory of RC -Aff, the category of RC -affinoid rings, consisting of
RC -sheafy RC -affinoid rings.
Proposition C.5.7. Let A D .A; FA / be an RC -affinoid ring, and suppose A is
RC -sheafy.
(1) The inclusion FA FAo holds.
(2) The functor B 7! Specval B gives an equivalence from the site of RC -rational
subdomains on Specval A to the site DA .
Proof. (1) Let f 2 .FA /r . Then Specval A D Specval Ahhr 1 f ii, since, by the
sheaf condition of Banach type, A ! Ahhr 1 f ii is a bounded homomorphism.
Hence f is r-power bounded.
(2) By (1) and C.4.23, we have FB FBo for any RC -rational localization B.
1
Thus for any r > 0 and f 2 .FB /r , the morphism B ! B. r 1 f / is a bounded ho-
momorphism. Hence for any rational localization B0 of B, Specval B0 D Specval B
implies the existence of a bounded isomorphism B Š B0 by C.5.4.
By C.5.7 (2), we see that an RC -rational subdomain U of Specval A determines
an RC -rational localization B up to isomorphism. In particular, for an RC -sheafy
RC -affinoid ring A, one can define a presheaf OA on Specval A such that, for any
RC -rational subdomain U D Specval B,
OA .U / D BB ;
and for any open subset V ,
OA .V / D lim OA .U /;
U
where U runs through all RC -rational subdomains contained in V . Note that this
zA
presheaf OA is a sheaf, and is nothing but the one corresponding to the sheaf O
on the site DA .
An important example of RC -sheafy RC -affinoid rings is provided by the
Berkovich K-affinoid algebras (uniquely regarded as RC -affinoid rings as
in ÷C.4. (j)).
Proposition C.5.8. Any Berkovich K-affinoid algebra A is RC -sheafy (C.5.5).
Proof. Note first that X D Specval A is reflexive (C.4.40), and that, for any
Sp
Berkovich K-affinoid algebra B, FB D FBo D FB due to C.4.37. Hence we
have a well-defined presheaf O z on the site of rational subdomains and finite cover-
ings by rational subdomains of M.A/ defined by, for any RC -rational subdomain
U D Specval B of X, O.ŒUz / D OzA .U / D BB . The sheaf condition for O z as in
z
[11], 2.2.5 is nothing but the sheaf condition of Banach type for OA .
For more information on the sheaf condition, see [67], ÷8.
C.5. (c) Metrized Banach ringed spaces.
Definition C.5.9. (1) A locally ringed space .X; OX / is a Banach ringed space if
it enjoys the following properties:
(a) X is a sober locally coherent space;
(b) for a coherent open subset U X, OX .U / is a Banach ring;
(c) the restriction map OX .V / ! OX .U / for U V , where U and V are coherent

open subsets, is a bounded homomorphism of Banach rings;
S
(d) for any finite open covering U D ˛2L U˛ of a coherent open subset U by
coherent open subsets, the isomorphism

Y Y
O.U / ! ker O.U˛ / ! ! O.U ˛ \ Uˇ /
˛2L ˛;ˇ 2L
is a bounded
Qisomorphism. (Note that the ring in the right-hand side is a closed
subring of ˛2L O.U˛ /.)
(2) A morphism f W .X; OX / ! .Y; OY / of Banach ringed spaces is a mor-

phism of locally ringed spaces, with locally quasi-compact underlying continuous
mappings, having the following property:
(e) for any coherent open subset U of X and any coherent open subset V of Y
such that U f 1 .V /, the induced homomorphism OY .V / ! OX .U / is a
bounded homomorphism.
By definition, any open subset of a Banach ringed space is naturally a Banach

ringed space, which we call an open subspace.
Definition C.5.10. Let X D .X; OX / be a Banach ringed space satisfying the

following conditions:
(a) the underlying topological space X is a valuative space;
(b) if x 2 X is a generization of y 2 X, then the natural ring homomorphism

OX;y ! OX;x is local.
An RC -valuation v of X D .X; OX / is a family of RC -filtered valuation fields

v D fvx D .k.x/; Fx /gx2X , where k.x/ is the residue field at x for x 2 X,
enjoying the following properties:
(c) if x is a maximal point, then vx is a filtered valuation field of maximal type;
(d) if x is a generization of y 2 X, then the local homomorphism OX;y ! OX;x

induces a filtered homomorphism vy D .k.y/; Fy / ! vx D .k.x/; Fx /.
A Banach ringed space satisying (a) and (b) and equipped with an RC -filtered val-
uation X D ..X; OX /; v/ is called an RC -metrized Banach ringed space.
In this setting, the structure sheaf OX has the multiplicative filtration FX defined
as follows. For any open subset U X and r > 0,
FX .U /r D ff 2 OX .U /W .fx mod mX;x / 2 .Fx /r for any x 2 U g:
By definition, any open subset of an RC -metrized Banach ringed space is natu-

rally an RC -metrized Banach ringed space, which we call an open subspace.
Definition C.5.11. A morphism
f W X D ..X; OX /; v/ ! X 0 D ..X 0 ; OX 0 /; v 0 /
of RC -metrized Banach ringed spaces is a morphism of Banach ringed spaces

f W .X; OX / ! .Y; OY / satisfying the following conditions:
(a) the underlying continuous mapping of f is valuative (0.2.3.21);
(b) for any x 2 X, the local homomorphism OX 0 ;f .x/ ! OX;x induces a dominat-
ing filtered homomorphism .k.f .x//; Ff .x/ / ! .k.x/; Fx /.
Note that a morphism f W X ! X 0 of RC -metrized Banach ringed spaces re-

spects the filtrations FX and FX 0 .
Theorem C.5.12. Let A be an RC -affinoid ring, and suppose A is RC -sheafy. Let

X D .Specval A; OA / be the resulting local by ringed space.
(1) The locally ringed space X is a Banach ringed space. Moreover, there exists
a natural RC -valuation vA of X, which make ..X D Specval A; OA /; vA / an
RC -metrized Banach ringed space.
(2) The functor

A 7 ! ..Specval A; OA /; vA /;
from the category of RC -sheafy RC -affinoid rings to the category of RC -
metrized Banach ringed spaces, is fully faithful.
Proof. (1) First, note that X is a locally ringed space due to C.5.2. To show (1),
we first check that X is a Banach ringed space. The condition (a) of C.5.9 is clear,
since X is coherent. For any coherent open subset U X, choose a finite open
covering fU˛ g˛2L by RC -rational subdomains, and define
Y Y
O.U / D ker OA .U˛ / ! ! O A .U˛ \ U ˇ :
/
˛2L ˛;ˇ 2L
Q
Then, as a closed subring of ˛2L OA .U˛ /, O.U / is a Banach ring and coincides
with OA .U / if U is an RC -rational subdomain. It is straightforward to see that,
in general, O.U / is independent of the choice of the finite covering fU˛ g˛2L , and
that the restriction map O.V / ! O.U / for U V is bounded, due to the sheaf
condition of Banach type. Thus, so far, we have shown that the conditions (b), (c),
(d) of C.5.9 are satisfied, and thus that X is a Banach ringed space.
Let us show the rest of (1). The condition (a) of C.5.10 follows from C.4.29.
The condition (b) is satisfied due to C.5.2 (1). Now, for each x 2 Specval A,
we attach the filtered valuation field vx D .k.x/; Fx / given in ÷C.5. (a). Then
vA D fvx gx2X satisfies the conditions (c) and (d) in C.5.10. Hence ..X D
Specval A; OA /; vA / an RC -metrized Banach ringed space.
(2) To check that any morphism 'W B ! A of RC -sheafy RC -affinoid rings
induces a morphism of RC -metrized Banach ringed spaces
f W X D ..Specval A; OA /; vA / ! Y D ..Specval B; OB/; vB /;
we only need to verify the following: if f .U / V , where U D Specval A0 (resp.
V D Specval B0 ) is an RC -rational subdomain of Specval A (resp. Specval B), then
there exists uniquely a morphism ' 0 W B0 ! A0 of RC -affinoid rings such that
'
B /A
res res

B0 / A0
'0
r 1g ;:::;r 1g
commutes. Set B0 D B. 1 1 g0 n n /. Let us show that '.gi /='.g0 / 2 .FA0 /ri
for i D 1; : : : ; n. Indeed, for any x 2 V D Specval A0 , k.x/ contains the im-
age of '.gi /='.g0 / by the assumption, and since ' respects filtrations, it lies
in .Fx /ri . Hence '.gi /='.g0 / 2 .FA0 /ri for i D 1; : : : ; n. Now, set A00 D
r 1 '.g /;:::;r 1 '.g /
A0 . 1 1
'.g0 /
n n
/, which allows a morphism B0 ! A00 . Since '.gi /='.g0 / 2
.FA0 /ri for i D 1; : : : ; n, we have U D Specval A0 D Specval A00 due to C.5.4.
Then, by C.5.7 (2), we have A00 Š A0 , whence the claim.
Conversely, suppose a morphism f as above is given. By definition, f induces
a bounded homomorphism of Banach rings 'W BB ! AB . Let x D .z; F / 2
Specval A. By the condition (b) of C.5.11, the composition
BB ! AB ! H.z/
and F on H.z/ define the point f .x/ of Specval B. Based on this, let us show that '
preserves the filtrations FB and FA , hence giving a morphism of RC -affinoid rings
B ! A. For h 2 .FB /r and y D f .x/ 2 Specval B, let hNy be the image of h
in the residue field k.y/. We know that hNy 2 .Fy /r . Then the image of '.h/ in
k.x/ coincides with the image of hNy , which belongs to .Fx /r by the condition (b)
of C.5.11. Hence, '.h/ 2 .FA /r .
Thus, ' induces a morphism gW X ! Y of RC -metrized Banach ringed spaces.
We need to show that f D g. For x D .z; F / 2 X, consider f .x/ D .f .z/; F 0 /
and g.x/ D .g.z/; F 00 /. Observe that the diagrams
' '
B /A B /A

.k.f .z//; F 0 / / .k.z/; F /; .k.g.z//; F 00 / / .k.z/; F /
are commutative with dominating lower horizontal arrows (see C.5.11 (b)). Then,
both f .x/ and g.x/ are the filtered valuations on B induced from the composition
B ! A ! .k.z/; F / ! .H.z/; F /;
which implies that f .x/ D g.x/.
Finally, we need to show that the morphism of the structure sheaves is the same
as the one induced by '. For two RC -rational subdomains U D Specval A0 and
V D Specval B of X and Y , respectively, such that f .U / V , the square of
bounded homomorphisms of Banach rings
'
B /A
res res

B0 / A0
is commutative, where is the bounded homomorphism induced by f . Since

0
B ! B is an epimorphism by (C.4.16), is equal to the homomorphism induced
from '. Since this is valid for all RC -rational subdomains U; V with f .U /
V , one sees, by considering filters of RC -rational subdomains, that f D g, as
desired.
Notation C.5.13. In the sequel, for an RC -affinoid ring A D .A; FA /, we simply
denote
Specval A D ..Specval A; OA /; vA /;
unless there is a danger of confusion.
Definition C.5.14. An RC -metrized Banach ringed space that is isomorphic to
Specval A for an RC -sheafy RC -affinoid ring A is called an RC -metrized affinoid
space. Especially, Specval A is called the RC -metrized affinoid space attached to A.
Any RC -rational subdomain Specval B of Specval A is an RC -metrized affinoid
space. Note that, in this situation, even if FA D FAo , FB and FBo may not be equal
to each other.
Definition C.5.15. An RC -metrized Banach ringed space X is an RC -metrized
analytic space if it is covered by open subspaces that are RC -metrized affinoid
spaces.
By the discussion above, any open subset of an RC -metrized analytic space is
again an RC -metrized analytic space, called an open subspace.
We denote by
MAnspRC
the full subcategory of the category of RC -metrized Banach ringed spaces consist-
ing of RC -metrized analytic spaces. By what we have seen above, there exists a
fully faithful functor
.RC -AffSh /opp ! MAnspRC ; A 7 ! Specval A;
with the essential image consisting of the RC -metrized affinoid spaces.

For an RC -metrized analytic space S , one can consider the comma category
R
MAnspS C
of RC -metrized analytic spaces over S with morphisms over S .

Definition C.5.16. A morphism f W X ! Y of RC -metrized analytic S space is said
open covering Y D i 2I Vi and,
to be locally of RC -finite type if there exists an S
for each i 2 I , an open covering f 1 .Vi / D j 2Ji Uij such that the following
(a) for i 2 I and j 2 Ji , Vi and Uij are RC -metrized affinoid spaces; say Vi Š
Specval Bi and Uij D Specval Aij ;
(b) by the homomorphism Bi ! Aij corresponding to Uij ! Vi , Aij is of

RC -finite type over Bi .
A morphism of RC -finite type is a locally of finite type morphism such that the
underlying continuous map is quasi-compact.
C.5. (d) Relation with adic spaces
Definition C.5.17. An RC -metrizedSanalytic space X is said to be of adic type if

there exists an open covering X D ˛2L U˛ by open RC -affinoid subspaces with
the following properties:
(a) for each ˛ 2 L, U˛ Š Specval A˛ , where A˛ is an RC -affinoid ring of adic

type (see C.4.33 (2));
S
(b) for ˛; ˇ 2 L, U˛ \ Uˇ has an open covering U˛ \ Uˇ D V with V D
Specval B , where B is a finite type RC -rational localization of both A˛ and

Aˇ , viz., B D A˛ 1f1 ;:::;1f
f0
n
, and similarly over Aˇ .
If X is an
SRC -metrized analytic space of adic type with an open affinoid cov-
ering X D ˛2L U˛ as above, each affine piece U˛ D Specval A˛ corresponds,
by 1-restriction (÷C.4. (i)), to an adic space Spa F1 .A˛ /; notice that the affinoid
ring F1 .A˛ / is sheafy due to the RC -sheafiness of A˛ . This construction can be
globalized by patching, and we get an adic space, denoted
F1 .X/
by gluing of fSpf F1 .A˛ /g˛2L .

We denote by
MAnspRC ;adic
the full subcategory of MAnspRC consisting of RC -metrized analytic space of adic
type. The above construction gives a functor
./1 W MAnspRC ;adic ! Adsp; X 7 ! F1 .X/;
called the 1-restriction functor to the category of adic spaces. Note that by C.4.35
there exists a continuous surjective map
X ! F1 .X/:
As indicated in ÷C.4. (i), from any affinoid ring .A˙ ; AC / in the sense of Huber
equipped with an ideal of definition I (in the sense therein), one can construct in a
standard way an RC -affinoid ring of adic type that gives back the original affinoid
ring by 1-restriction. This can also be globalized in the following way. Consider
an adic space X with an ideal of definition ; here, by an ideal of definition of
X, weSmean an ideal sheaf of OXC such that there exists an open affinoid covering
X D ˛2L U˛ with the property that each jU˛ comes from an ideal of definition
of A˛ (where U˛ D Spf A˛ ). For example, if the adic space comes from a rigid
space by the functor ZR (÷A.5), it is an ideal of definition in the sense of 3.2.3. We
also have to fix a real number 0 < c < 1. Then one can construct an RC -metrized
analytic space Xz such that F1 .X/ z D X by globalizing the local construction as
above, and thus we obtain a functor
² ³
adic spaces with ideal of definition and
! MAnspRC ;adic :
morphisms respecting ideals of definition
In particular, adic spaces that admit ideals of definition lie in the essential image of
the functor ./1 .
In this way, RC -metrized analytic spaces are regarded as ‘adic spaces (rigid
spaces) with extra higher structure,’ where the extra higher structure is an analogue
of a metric.
An important example of the last-mentioned functor is the following. Let
K D .K; D j j/ be a non-archimedean Banach field with non-trivial valua-
tion j jW K ! R0 , and a 2 K with 0 < jaj < 1, and set c D jaj (the following
construction actually does not depend on the choice of a, since the norm j j on
K is fixed). Let X D Spa A be an affinoid adic space of finite type (A.3.13)
over K. Then A˙ is a classical affinoid algebra over K (or, equivalently, a strictly
K-affinoid algebra), and AC D Ao (A.4.22). Moreover, by C.4.37, A can be
Sp
viewed uniquely as an RC -affinoid algebra with the filtration FA D FAo D FA .
Hence we have the functor (called the metrization functor)
X D Spa A 7 ! X met D Specval .A; FAo /
from the category of affinoid adic spaces of finite type over K to the category of
RC -metrized affinoid spaces of finite type over K. Note that the sheaf condition
on the adic space side (equivalent to Tate’s acyclicity) implies the sheaf condition
of Banach type, since continuity implies boundedness for K-linear maps (cf. [18],
2.1.8). By C.5.12 (2), gluing yields canonical fully faithful functor
R
./met W AdspK
lft
! MAnspKC
from the category of locally of finite type adic spaces over K to the category of
RC -metrized analytic spaces over K.
Corollary C.5.18. The functor X 7! X met thus obtained is a fully faithful functor
from the category of locally of finite type adic spaces over K to the category of
RC -metrized analytic spaces of RC -finite type over K. The essential image con-
sists of RC -finite type RC -metrized analytic spaces X over K having an open
RC -affinoid covering
[
XD U˛ ; U˛ D Specval A˛
˛2L
such that
(a) for each ˛ 2 L, U˛ is an RC -metrized affinoid space of finite type over K, viz.,
A˛ is of finite type over K (see C.4.5), and
(b) for each ˛; ˇ 2 L, U˛ \ Uˇ is also covered by RC -affinoid subdomains of finite

type over K.
Moreover, we have a canonical continuous surjection X met ! X .by the 1-restric-

tion map (÷C.4. (i)).
C.6 Berkovich analytic geometry

C.6. (a) Gerritzen–Grauert theorem. Let A be a Berkovich K-affinoid algebra
(C.4.36), and set X D M.A/.
Definition C.6.1 ([11], 2.2.1). A closed subset U M.A/ is said to be an affi-

noid subdomain if these exists a bounded K-algebra homomorphism A ! AU of
Berkovich K-affinoid algebras such that the following universal mapping property
holds: for any Berkovich L-affinoid algebra B, where L D .L; j j/ is a complete
isometric extension of K, and any bounded K-algebra homomorphism A ! B
such that the image of the induced map M.B/ ! M.A/ lies in U , there exists a
unique bounded K-algebra homomorphism AU ! B such that the diagram
A✽ / AU
✽✽ ✂
✽✽ ✂
✂
B
commutes.
One sees, as in the case of classical rigid geometry, that the Berkovich K-affi-
noid algebra AU is uniquely determined by U up to unique isomorphisms, and that
the map M.AU / ! M.A/ gives a homeomorphism onto U ([11], 2.2.4).
In the rest of this paragraph, we give an argument for the reducing Gerritzen–
Grauert type theorem for Berkovich K-affinoid algebras to the theorem for Tate’s
affinoid algebras, based on generalities of locally coherent spaces. For the pre-
ceding studies on affinoid subdomains and Gerritzen-Grauert type theorems in
Berkovich geometry, see [35] and [97].
Lemma C.6.2. Let X be a locally coherent space, and W X a subset of X

satisfying the following conditions:
(a) X n W with the subspace topology is sober and retrocompact (0.2.1.7) in X;
(b) W is stable under generizations.
Then W is open in X.
Proof. We may assume X is coherent. Set C D X n W . For any quasi-compact

open subset V X, C \ V is quasi-compact by (a). Since open sets of C of
this type form a basis of the topology which is stable under finite intersection, C is
coherent and sober. In particular, C \ V is coherent, for any quasi-compact open
subset V X.
Let x 2 W . Since C \ Gx D ; by (b) (where Gx denotes, as before, the set of
all generizations of x in X), there exists a quasi-compact open neighborhood Vx of
x such that C \ Vx D ;; indeed, otherwise C \ Gx D lim C \ V , the inverse
V
limit of non-empty coherent subsets with quasi-compact transition maps, has to be
non-empty due to 0.2.2.10. Thus we have, for any x 2 W , the existence of an open
neighoborhood Vx contained in W , which shows the assertion.
Corollary C.6.3. Let f W X ! Y be a quasi-compact surjective map between lo-

cally coherent sober spaces. Assume W Y is stable under generizations, and
f 1 .W / is open in X. Then W is open in Y .
Proof. We may assume that Y is coherent. Set C D Y n W . Let us check the

conditions (a) and (b) in C.6.2. It is easy to see that C ,! Y is quasi-compact,
since f 1 .C / D X n f 1 .W / is coherent and f is surjective. The subspace C is
a T0 -space, as Y is T0 . Let Z C be an irreducible closed subset. Consider the
0
set E of all quasi-compact
0
T open subsets of C , and set E D 1fUT2 EW U \ Z ¤ ;g.
T E is 1a filter, and U 2E 0 .U \ Z/ ¤ ;; indeed, f . U 2E 0 .U \ Z// D
Then
U 2E 0 f .U \ Z/ ¤ ; (0.2.2.10), since f is surjective and quasi-compact. It is
T
then easy to see that Z D fzg for z 2 U 2E 0 .U \ Z/. Hence C is sober, whence
the claim.
Theorem C.6.4. Let K be a non-archimedean Banach field, A a Berkovich K-affi-

noid algebra, and B another Berkovich K-affinoid algebra that gives an affinoid
subdomain in the sense of C.6.1. Then the induced mapping
Specval B ! Specval A
is an open immersion of topological spaces, viz., a homeomorphism onto an open

subset of Specval A.
Proof. Take an extension L=K of Banach fields such that jL j D RC . We first
check that
(a) f W Specval B ! Specval A is injective,
(b) fL W Specval BL ! Specval AL is an open immersion,
(c) fL .Specval BL / is the inverse image of f .Specval B/ under the canonical map
Specval AL ! Specval A.
For (a), observe first that H.f .z// Š H.z/ for z 2 M.B/. Then the filtered
valuation field structures on H.z/ are the same as those of H.f .z//, whence the
injectivity in question.
For (b), first note that BL gives an affinoid subdomain of M.AL / in the sense
of Berkovich, and both AL and BL are Tate’s affinoid algebras over L. Thus, (b)
is a consequence of the Gerritzen–Grauert theorem B.2.2 for Tate’s affinoid spaces,
which we assume in this book, due to C.4.39 and A.5.2.
For (c), take x D .z; F / 2 Specval AL , which maps to a point in f .Specval B/.
By the argument used to prove (a) above, the filtered homomorphism .A; FA / !
.H.z/; F / factors through B, and x lifts to a unique point of Specval BL . Then (c)
follows by C.4.37.
To conclude, we need to check that the subset W D f .Specval B/ is stable un-
der generizations. This also follows from the argument used to prove (a) above.
Hence W D f .Specval B/ is an open subset of Specval A by C.4.38 and C.6.3.
Replacing B by Berkovich K-affinoid algebras giving affinoid subdomains of
M.B/, one deduces that the map f is an open map.
C.6. (b) Berkovich analytic spaces

Definition C.6.5. (1) Let X be a locally Hausdorff topological space, and a net
(0.2.6.1 (2)) on X consisting of compact subsets. A K-affinoid atlas A on X with
the net is given by the following data:

(a) a Berkovich K-affinoid algebra AU and a homeomorphism U ! M.AU / for
each U 2 ;
(b) for each pair U; U 0 2 with U U 0 , a bounded K-algebra homomorphism

V
U W AU 0 ! AU that identifies U with an affinoid subdomain in U 0 Š M.AU 0 /
with the corresponding K-affinoid algebra AU ;
these data are assumed to satisfy the following cocycle condition:
00 0 00
(c) for any triple U; U 0 ; U 00 2 with U U 0 U 00 , we have U
U U
D U U
ı U 0 .
(2) A .Berkovich/ K-analytic space is a triple X D .X; ; A/ consisting of a

locally Hausdorff space X, a net on X, and a K-affinoid atlas A on X with the net
. For example, for any Berkovich K-affinoid algebra A, the set X D M.A/ with
the K-affinoid atlas given by affinoid subdomains gives a Berkovich K-analytic
space, called a .Berkovich/ K-affinoid space.
(3) A strong morphism of Berkovich K-analytic spaces
X D .X; ; A/ ! X 0 D .X 0 ; 0 ; A0 /
consists of
(a) a continuous map 'W X ! X 0 with the property that for each U 2 there exists
U 0 2 0 such that '.U / U 0 and
(b) for each pair .U; U 0 / with U 2 , U 0 2 0 , and '.U / U 0 , a bounded
K-algebra homomorphism U=U 0 W A0U 0 ! AU such that the induced map
M.AU / ! M.A0U 0 / is identified with 'jU W U ! U 0 via M.AU / Š U and
M.A0U 0 / Š U 0 .
(4) A strong morphism 'W X D .X; ; A/ ! X 0 D .X 0 ; 0 ; A0 / is said to be a
quasi-isomorphism if 'W X ! X 0 is a homeomorphism and, for any pair .U; U 0 /
as in (3) (b), the map M.AU / ! M.A0U 0 / identifies U Š M.AU / with an affinoid
subdomain in U 0 .
(5) The category of .Berkovich/ K-analytic spaces, denoted by BspK , is the
quotient category of the category of K-analytic spaces and strong morphisms by
quasi-isomorphisms.

(6) The category of .Berkovich/ strictly K-analytic spaces, denoted by BspK ,
is defined in the similar way, where all K-affinoid algebras in the K-affinoid atlas
are strictly K-affinoid.
Let X D .X; ; A/ be a K-analytic space. A subset W S X is said to be -
special if it is compact and there exists a finite covering W D niD1 Wi such that
Wi \ Wj (i; j D 1; : : : ; n) belongs to and that AWi b̋A AWj ! AWi \Wj is an
admissible epimorphism. In this case, one has a commutative Banach K-algebra
AW defined by
Y n Y
AW D ker A Wi ! AWi \Wj :
i D1 i;j
By the generalized Tate acyclicity theorem ([11], 2.2.5), the Banach K-algebra AW
does not depend, up to isomorphism, on the choice of the covering fWi gniD1 . We
define
the collection N to be the set of all subsets W X satisfying the following
condition: there exists U 2 with W U such that W is identified with
an affinoid subdomain of M.AU /;
the collection O to be the set of all N -special subsets S
W such that the algebra
AW is K-affinoid and, for any finite covering W D niD1 Wi as above, each
Wi is an affinoid subdomain of M.AW / with the corresponding K-affinoid
algebra AWi .
Then these collections are nets on X, and the K-affinoid atlas A extends uniquely
x and A
to K-affinoid atlases A y with respect to the nets N and O , respectively ([12],
1.2.6, 1.2.13).
The elements of O are called K-affinoid domains in X.
The O -special subsets are called K-special domains in X.
Similarly, one defines the notions of strictly K-affinoid domains and strictly
K-special domains.
C.6. (c) G-topology on Berkovich analytic spaces

Definition C.6.6. A subset Y X of a K-analytic space X D .X; ; A/ is called
a K-analytic domain if O jY D fV 2 O W V Y g is a net on Y .
In this case, Y endowed with the subspace topology carries the induced struc-
ture of a K-analytic space Y D .Y; O jY ; AjY /, where AjY is the induced atlas with
the net O jY , together with the canonical morphism Y ! X of K-analytic spaces.
Moreover,
any open subset U X is a K-analytic domain (but not conversely in
general);
the intersection of finitely many K-analytic domains is again a K-analytic
domain.
We now introduce the Grothendieck topology on X generated by the pretopol-
ogy defined as follows:
admissible open subsets are K-analytic domains;
an admissible covering of a K-analytic domain Y X is a family fY˛ g˛2L
of analytic domains in Y that is a quasi-net on Y .
We call this Grothendieck topology the G-topology on X; note that the admissible
open sets in it are not necessarily open subsets of the topological space X. One has
then a natural sheaf OXG , called the structure sheaf, on the resulting site XG in such
a way that, for any K-affinoid domain W X, we have
OXG .W / D AW :
Definition C.6.7 ([12], p. 22). A K-analytic space X D .X; ; A/ is said to be

good if every point x 2 X has a neighborhood W from O .
By definition, K-affinoid spaces are good. It is known that any K-analytic

space coming from a K-scheme of locally of finite type through the GAGA functor
(cf. [11], ÷3.4) is good. But there are many interesting non-good K-analytic spaces.
If X is good, then one can restrict the G-topology as above to open subsets and
open coverings to recover the usual topology of X. The resulting sheaf, obtained
from OXG by the restriction, is denoted by OX . It is known that the category of
coherent OXG -modules and that of coherent OX -modules are equivalent to each
other ([12], 1.3.4).
C.6. (d) Berkovich analytic spaces and RC -metrized analytic spaces. Let A be
a Berkovich K-affinoid algebra. We regard A as an RC -affinoid ring of RC -finite
type over K in the unique manner, as indicated in ÷C.4. (j).
Let X D .X; ; A/ be a Berkovich K-analytic space (C.6.5 (2)). For any U 2 ,
one has the K-affinoid algebra AU , and the corresponding RC -metrized affinoid
space Specval AU . Let DU be the distributive lattice of quasi-compact open sub-
sets of Specval AU . Then, DU gives a valuation (0.2.6.3) of U Š M.AU /. Now
Specval AU is homeomorphic to Spec DU , since the underlying topological space
of Specval AU is a reflexive valuative space (C.4.40). These data constitute a pre-
valuation vX D .; fDU gU 2 / (0.2.6.9 (1)) of the underlying topological space X.
By 0.2.6.16, one has the reflexive valuative space Spec vX given by
Spec vX D lim Spec DU

!
U 2
so that ŒSpec vX Š X. By 0.2.6.18, Spec vX is locally strongly compact (0.2.5.1).

By C.6.4 and C.5.8, the structures of RC -metrized analytic spaces on Specval AU
glue by open immersions, and hence we obtain an RC -metrized analytic space
locally of RC -finite type over K supported on Spec vX , which we denote by
X met :
It is obvious that any strong morphism (C.6.5 (3)) 'W X D .X; ; A/ ! X 0 D

.X ; 0 ; A0 / induces a morphism
0
' met W X met ! X 0met

of RC -metrized analytic spaces over K.7 Moreover, if ' is a quasi-isomorphism

(C.6.5 (4)), then ' met is an isomorphism, since the underlying topological spaces
are reflexive. Thus we obtain the functor
./met W X 7 ! X met
acting from the category BspK of Berkovich K-analytic spaces to the category
R -lft
MAnspKC of RC -metrized analytic spaces over K.
Theorem C.6.8. (1) The functor ./met gives a fully faithful functor from the cat-
R -lft
egory BspK to the category MAnspKC . Moreover, the essential image of ./met
consists of RC -metrized analytic spaces locally of RC -finite type with locally
strongly compact underlying topological spaces.
(2) For any Berkovich K-analytic space X, the admissible topos XG is equiv-
alent to the admissible topos of X met .cf. ÷C.5. (a)) as ringed topos. In particular,
it is spacial, and locally ringed.
(3) For any Berkovich K-analytic space X, the underlying topological space
of X met is a reflexive valuative space, and ŒX met is canonically homeomorphic to
X. Moreover, the underlying topological space of X met is quasi-separated .resp.
paracompact, resp. coherent/ if and only if X is Hausdorff .resp. paracompact,
resp. compact/.
Proof. (1) First consider the functor ./met restricted on Berkovich K-affinoid spaces
M.A/. In this case, the functor is given by M.A/ 7! Specval A, and the fully-
faithfulness in follows immediately from C.5.12 (2).
In general, we need to check the following conditions:
(a) if '; W X D .X; ; A/ ! X 0 D .X 0 ; 0 ; A0 / are two strong morphisms of
Berkovich K-analytic spaces such that the resulting morphisms f D ' met
and g D met coincide, then ' D ;
(b) for any valuative and locally quasi-compact morphism f W X met ! X 0met of
RC -metrized analytic spaces locally of RC -finite type over K, there exists
a diagram
'
X X 00 ! X 0
of strong morphisms of Berkovich K-analytic spaces such that the first mor-
phism is a quasi-isomorphism supported on the identity map idX and that
' met D f .
7
Notice that the underlying continuous map Spec vX ! Spec vX 0 of ' met is the one induced, via the
functor considered in 0.2.6.19, from the morphism .X; vX val
/ ! .X 0 ; vX
val
0 / of valued locally Hausdorff
spaces (0.2.6.11), which can be constructed from the strong morphism '.
(a) Since ŒX met Š X etc. as a topological space, ' and coincide as contin-
uous mappings of the underlying topological spaces. For any U 2 and U 0 2 0
such that '.U / U 0 (and hence .U / U 0 ), the maps f and g give the same
morphism Specval AU ! Specval AU 0 as a morphism of RC -metrized analytic
spaces. Hence, by what we have already shown, ' D as a strong morphism.
(b) Since f is valuative, it induces a continuous mapping Œf W X ! X 0 . Since
f is locally quasi-compact, one can find a refinement 00 of and the correspond-
ing K-affinoid atlas A00 with the property that, for any U 2 00 there exists U 0 2 0
such that f .U / U 0 . We then have Specval AU ! Specval AU 0 , which
induces A0U 0 ! AU (C.5.12 (2)). Hence we have a strong morphism
'W X 00 D .X; 00 ; A00 / ! X 0 . Since Œ' met D Œf as a continuous mapping X ! X 0 ,
by 0.2.4.12, we have ' met D f as a continuous mapping X met ! X 0met . It is then
obvious, by the affinoid case discussed above, that ' met D f as a morphism of
RC -metrized analytic spaces. Since
X 00 D .X; 00 ; A00 / ! X D .X; ; A/
is clearly a quasi-isomorphism supported on the identity map idX , we have verified
the claim.
Finally, by 0.2.6.18 the RC -metrized analytic space X met is locally strongly
compact. Conversely, if an RC -metrized analytic space W locally of RC -finite type
over K is locally strongly compact, by 0.2.6.19, W is homeomorphic to Spec v for
a valued locally Hausdorff space .X D ŒW ; v D . .v/; fvS g//, where .v/ D
fŒU W U 2 QCOuv.W /g and vŒU D fŒV ŒU W V 2 QCOuv.U /g. Hence, for
any RC -affinoid subdomain U W , one can set AŒU to be the corresponding
K-affinoid algebra, and thus we get a Berkovich K-analytic space .X; ; A/ such
that X met Š W .
(2) By C.6.4, the site XG is generated by rational subdomains, and hence the
associated topos is equivalent to the admissible topos of X met .
(3) That X met is reflexive and that ŒX met Š X are consequences of the con-
struction of X met . The other assertions follow from 0.2.6.19 and 0.2.5.17.
Thus, in case the valuation on K is non-trivial, we have, combined with the
functor X 7! X met considered in C.5.18, the 2-cartesian diagram of categories
./met
BspK / MAnspRC
O O K
./met
? ?
lsc,lft / Adsplft
AdspK K
lft
consisting of fully faithful functors, where AdspK is the category of locally of finite
lsc,lft lft
type adic spaces over K, and AdspK the full subcategory of AdspK consisting
of adic spaces with locally strongly compact underlying topological spaces. The
following corollary is easy to see.
lsc,lft
Corollary C.6.9. The category AdspK of locally strongly compact and locally of
finite type adic spaces over K is naturally categorically equivalent to the category

BspK of Berkovich strictly K-analytic spaces.
Note that the corollary is consistent with [61], 8.3.1, for the combination of
‘locally strongly compact’ and ‘quasi-separated’ is equivalent to ‘taut’ (cf. 0.2.5.6).
lft
Note also that, since the category AdspK of locally of finite type adic spaces over
K is equivalent to the category of locally of finite type rigid spaces over .Spf V /rig
(where V is the valuation ring of K) by the functor ZR (A.5.2), the above com-
lft lsc,lft
parison also applies to the situation where AdspK (resp. AdspK ) is replaced by
the category of locally of finite type (resp. and locally quasi-compact (4.4.1)) rigid
spaces over .Spf V /rig ; see C.6.12 below.
Remark C.6.10 (cf. [57], 4.4). Note that the fully faithful functor
R -lft
BW BspK , ! MAnspKC
is not a categorical equivalence. Indeed, there exists an RC -metrized analytic space
locally of RC -finite type (e.g., a locally of finite type adic space) over K whose
underlying topological space is not locally strongly compact. For example, let X
be a locally strongly compact and locally of finite type adic space over K, and
consider Y D X n fxg, where x 2 X is a closed point of height larger than one.
Then Y is still a locally of finite type adic space, but is not locally strongly compact.
Indeed, X and Y give rise to the same valuation on the locally Hausdorff space
ŒX D ŒY , and hence, if Y is locally strongly compact, then by 0.2.6.19, X and Y
have to be homeomorphic by a valuative map, which is absurd.
C.6. (e) Comparison with rigid spaces. Let V be an a-adically complete valua-
tion ring of height one (a 2 mV n f0g), and K D Frac.V /. Let X be a locally
quasi-compact (4.4.1) locally of finite type rigid space over D .Spf V /rig ; recall
that the locally-quasi-compactness assumption is satisfied if, for example, X is co-
herent (0.2.5.2). By 4.4.2, we know that the separated quotient X D ŒX is locally
compact (and hence is locally Hausdorff). If, moreover, X is quasi-separated, then
ŒX is Hausdorff.
Let U D fU˛ D .Spf A˛ /rig g˛2L be an open covering of X consisting of
affinoids such that U D fŒU˛ g˛2L is a net on ŒX (cf. 0.2.6.2). Then one has the
strictly K-analytic space
XB D .ŒX; U ; AU /
with the strictly K-affinoid atlas AU given by the affinoid algebra A˛ D A˛ Œ a1

and a homeomorphism ŒU˛ ! M.A˛ / (C.4.34 and A.4.22) for each ˛ 2 L.
It is clear by the construction that, if V D fV g2ƒ is another affinoid open cov-
ering of X that gives a refinement of fU˛ g˛2L , then the similarly defined strictly
K-analytic space XB0 D .ŒX; V ; AV / admits a canonical quasi-isomorphism
XB0 ! XB . Hence, the strictly K-analytic space XB is uniquely determined, up to
quasi-isomorphism, by the rigid space X. It is then clear that, for an -morphism
'W X ! Y of locally quasi-compact locally of finite type rigid spaces, we have the
induced morphism 'B W XB ! YB in the category of strictly K-analytic spaces.
Remark C.6.11. Let X and D U be as above. We define collections of subsets

N and O of X D ŒX as follows:
N D fŒV W V is an affinoid subdomain of some U˛ 2 g;
O D fŒV W V is a quasi-compact separated open subspace of Xg.
Then these are nets on X D ŒX; cf. [12], ÷1.2.
Note here that, if j W U ,! X is an open immersion of locally quasi-compact

locally of finite type rigid spaces over , then jB W UB ,! XB is an open immersion
in the sense as in [12], ÷1.3. Indeed, the net N on X D ŒX as above induces by
restriction a net of U D ŒU; more precisely, D fŒV 2 N j V Ug.
Theorem C.6.12 (cf. [12], 1.6.1). The functor X 7! XB establishes a categorical

equivalence from the category of all locally quasi-compact locallly of finite type

rigid spaces over D .Spf V /rig to the category BspK of all strictly K-analytic
spaces. Moreover, XB is Hausdorff .resp. paracompact Hausdorff, resp. compact/
if and only if X is quasi-separated .resp. paracompact and quasi-separated, resp.
coherent/.
Note that by 4.4.6 paracompact quasi-separated rigid spaces are locally quasi-
compact, and hence one has the functor X 7! XB for paracompact rigid spaces as
in the theorem.
R
Proof. Note that the functor X 7! XB followed by ./met W BspK ! MAnspKC in
÷C.6. (d) coincides (up to natural equivalence) to the composition of ZR (cf. A.5.2)
followed by X 7! X met (cf. C.5.18). Hence, the first assertion follows immediately
by C.6.9. The other assertions follow from 0.2.6.19 and 0.2.5.17.
Proposition C.6.13. Let X be a quasi-separated locally quasi-compact locally of

finite type rigid space over . Then the following conditions are equivalent:
(a) the associated strictly K-analytic space XB is good (C.6.7);
(b) for any point x 2 hXi, there exists a pair .U; V / of affinoid open neighbor-
hoods of x such that hUi hV i, where denotes the closure in hXi.
Proof. Let us first show (a) ) (b). We may assume that x is a height-one point.
There exists an affinoid open neighborhood V of x such that x, considered as a
point of ŒX, lies in the interior of ŒV . This implies that x 2 intX .V /. Take an
affinoid open neighborhood U of x contained in the open subset intX .V /. Then
by 4.2.1 and 4.3.13 we have hUi hV i, as desired. To show the converse, take
any height-one point x 2 ŒX and a pair .U; V / of affinoid open neighborhoods as
above. Since hUi hV i, x lies in the overconvergent interior intX .V / (4.3.13).
Hence ŒV gives a strictly affinoid neighborhood of x.
Exercises
Exercise II.C.1. Show that, for a filtered ring .A; F /, the following conditions are
equivalent:
(a) the associated graded ring GrF A is zero;
(b) F0 D A;
(c) 1 2 Fr for some r < 1.
(In this situation, we say that .A; F / is graded trivial.)
Exercise II.C.2. Let K be a field, and V a valuation ring for K. Suppose K has a
non-archimedean absolute value W K ! R0 that is a localization of the valuation
associated to V (of height 0 or 1). Show that there exists an RC -valuation v on K
with V equal to the associated valuation ring.
Exercise II.C.3. Let A be a commutative Banach ring. Prove the spectral semi-
norm formula
kf kAhhr 1 T ii;Sp D sup r m kam kA;Sp
n2Nn
P
for f D m2Nn am T m .
Exercise II.C.4. (1) Let A be an RC -affinoid ring. For f D .f0 ; f1 ; : : : ; fn / that
generates A, and for an n-tuple r D .r1 ; : : : ; rn / of positive real numbers, show
that there exist m1 ; : : : ; mn > 0 such that
n
\ n
\
U0 .f; r/ D B.f0 ; fi ; ri / D U0 ..f0 ; fi ; 1/; .ri ; si //
i D1 i D1
for si > mi .i D 1; : : : ; n/.

(2) Show that a finite intersection of basic subsets is a rational subdomain if and
only if its image under the separation map sepA is closed in M.A/.
Exercise II.C.5. For a -graded ring G, let Spec G be the graded spectrum, that
is, the set of all homogeneous prime ideals of G.
D. Appendix: Rigid Zariskian spaces 749
(1) For a homogeneous element f 2 h.G/, define

D.f / D fp 2 Spec GW f 62 pg:
The Zariski topology of Spec G is the topology generated by the sets D.f / with
f 2 h.G/. Show that Spec G is coherent and sober.
(2) (reduction map) Let A be an RC -affinoid ring. For x D .z; F / 2 Specval A,
let Px the kernel of the induced map GrA ! GrF H.z/ ! kx , where kx is the
graded residue field of the graded valuation ring GrF H.z/. Consider the map
spA W Specval A ! SpecRC Gr A; x 7 ! Px ;
called the .graded/ reduction map. Show that spA is continuous, quasi-compact,
and surjective.
(3) If A is a Berkovich K-affinoid algebra, then
spA jM.A/ W M.A/ ! SpecRC Gr A
is surjective.
D Appendix: Rigid Zariskian spaces

D.1 Admissible blow-ups
In this section we will only deal with Zariskian schemes (I, ÷B) of finite ideal type;
a Zariskian scheme X is said to be of finite ideal type if for any affine open set
U D Spz A of X the ring A has a finitely generated ideal of definition. In the
sequel, with a slight abuse of notation, we denote by CZs the category of coherent
Zariskian schemes of finite ideal type and adic morphisms. Similarly to the formal
schemes case (I.3.7.12) one can show the following result.
Proposition D.1.1. Let X be an object of CZs . Then X has an ideal of definition
of finite type.
For an affine Zariskian scheme X D Spz A associated to a pair .A; I / and an
admissible ideal J , one has the so-called admissible blow-up W X 0 ! X; the
Zariskian scheme X 0 is the one given by X 0 D Y 0 Zar jV .I / (cf. I, ÷B.1. (b)), where
Y 0 ! Y D Spec A is the blow-up along the ideal J . This construction gives,
by gluing, the general concept of admissible blow-ups W X 0 ! X of arbitrary
Zariskian schemes and admissible ideals; here, an ideal J of OX is said to be ad-
missible if it is quasi-coherent of finite type and open or, equivalently, if it is locally
representable as J ˙ (in the notation as in I, ÷B.1. (a)), where J is a finitely gener-
ated I -adically open ideal of A.
Let X be an object of CZs . We define BLX to be the category of all admissible
blow-ups of X as follows.
Objects of BLX are admissible blow-ups W X 0 ! X.

A morphism 0 ! between two objects W X 0 ! X and 0 W X 00 ! X
means a morphism that makes the resulting triangle
X 00✷ / X0
✷✷ ✌
0
✷✷ ✌✌✌
✷ ✌
✌
X
commute.
An argument similar to that in 1.3.1 yields the following result.
Proposition D.1.2. (1) The category BLX is cofiltered .cf. 0, ÷1.3. (c)/, and idX
gives the final object.
(2) Let us define an order on the set AIdX of all admissible ideals of OX as
follows: J J 0 if there exists an admissible ideal J 00 such that J D J 0 J 00 . Then
opp
AIdX is a directed set, and the functor
AIdX ! BLX
that maps J to the admissible blow-up along J is cofinal.
D.2 Coherent rigid Zariskian spaces

D.2. (a) The category of coherent rigid Zariskian spaces
Definition D.2.1. (1) We define the category CRz as follows.

Objects of CRz are the same as those of CZs ; that is,
obj.CRz/ D obj.CZs /:
For an object X of CZs we denote by X rig the same object regarded as an

object of CRz.
For X; X 0 2 obj.CZs / we set
HomCRz .X rig ; X 0 rig / D lim HomCZs .–; X 0 /;

!
where HomCZs .–; X 0 / is the functor
opp
HomCZs .–; X 0 /W BLX ! Sets
that maps W X 00 ! X into the set HomCZs .X 00 ; X 0 /.

D. Appendix: Rigid Zariskian spaces 751
By D.1.2, the inductive limit in the above definition can be replaced by a filtered
opp
inductive limit along the directed set AIdX . The composition law for morphisms
in the category CRz
HomCRz .X rig ; X 0 rig / HomCRz .X 0 rig ; X 00 rig / ! HomCRz .X rig ; X 00 rig /
is described similarly to the case of rigid (formal) spaces (÷2.1. (a)).

Definition D.2.2. (1) An object of the category CRz is called a coherent rigid
Zariskian space.
(2) For an object X of CZs the coherent rigid Zariskian space X rig is called
the associated .coherent/ rigid space. Similarly, for a morphism f W X ! X 0 in
CZs the associated morphism of rigid spaces is denoted by f rig W X rig ! X 0 rig .
We often denote by
QW CZs ! CRz; X 7 ! Q.X/ D X rig
the canonical quotient functor.

Similarly to the case of rigid (formal) spaces, one also defines consistently the
comma category CRz of coherent rigid Zariskian spaces over a fixed coherent
rigid Zariskian space .
The following assertions are shown similarly to 2.1.4, 2.1.5, and 2.1.6.
Proposition D.2.3. Let X and X 0 be objects of CZs , and consider the correspond-
ing rigid spaces X rig and Y rig . Then there exists an isomorphism X rig ! Y rig in
CRz if and only if it is represented by a diagram in CZs
X 00❈
⑤ ❈❈
⑤⑤ ❈❈
~⑤
⑤ !
X X 0,
where both arrows are admissible blow-ups.

Corollary D.2.4. Let f W X ! X 0 be a morphism in CZs . Then
f rig W X rig ! X 0 rig
is an isomorphism if and only there exists a commutative diagram
X 00❉
④ ❉❉
④④ ❉❉
}④
④ !
X / X0
f
where both X 00 ! X and X 00 ! X 0 are admissible blow-ups.

Corollary D.2.5. Consider the diagram
Xo X X 00 X 0
f h

00
X o X0
If f rig is an isomorphism in CRz, then so is hrig .
Definition D.2.6. (1) Let X be a coherent rigid Zariskian space. A model of X is

a couple .X; / consisting of X 2 obj.CZs / and an isomorphism W X rig ! X.
A model .X; / is said to be distinguished if X is -torsion free, where denotes
an ideal of definition of X.
(2) Let 'W X ! X 0 be a morphism of coherent rigid Zariskian spaces. A model
of ' is a triple .f; ; / consisting of a morphism f W X ! X 0 of CZs and iso-

morphisms W X rig ! X and W X 0 rig ! X 0 such that the resulting square
f rig
X rig / X 0 rig

X / X0
'
commutes. A model .f; ; / is said to be distinguished if X and X 0 are distin-

guished models of X and X 0 , respectively.
Similarly to the case of coherent rigid (formal) spaces, one can define the cate-
gory MX of models of X and the category M' of models of '; the details are left to
the reader. It is easy to see that these categories are cofiltered. We denote by Mdist
X
(resp. Mdist
' ) the full subcategory of MX (resp. M' ) consisting of distinguished
models. The following propositions are the counterparts of 2.1.9 and 2.1.10, and
are shown by a similar argument.
Proposition D.2.7. (1) If .X; / is a distinguished model of X and W X 0 ! X is

an admissible blow-up, then .X 0 ; ı rig / is a distinguished model of X.
(2) If, moreover, .an ideal of definition of X/ is an invertible ideal, then OX 0
is invertible.
Proposition D.2.8. The categories Mdist

X
and Mdist
' are cofiltered, and the inclusions
dist
MX ,! MX and Mdist ' ,! M ' are cofinal.
E. Appendix: Classical Zariski–Riemann spaces 753
D.2. (b) Visualization. Let X be a coherent rigid Zariskian space. One can define
the associated Zariski–Riemann space hXi in an entirely analogous way as in ÷3.1.
Let
spX W hXi ! X
be the specialization map, where X is a model of X. Similarly to 3.1.2 and 3.1.3,
we have the following theorem.
Theorem D.2.9. Let X be a coherent rigid Zariskian space, and hXi the associated
Zariski–Riemann space.
(1) The topological space hXi is coherent and sober .0:2.2.1/.
(2) The specialization map spX is quasi-compact .0:2.1.4 .2// and closed for
any model X of X.
Proposition D.2.10. (1) For any quasi-compact open subset U of hXi there exist a
model X and a quasi-compact open subset U of X such that U D spX 1 .U /.
(2) Let X be an object of CZs , and U a quasi-compact open subset of X.
Set X D X rig and U D U rig . Then the induced map hUi ! hXi maps hUi
homeomorphically onto the quasi-compact open subset spX 1 .U /.
One can define general rigid Zariskian spaces and their associated Zariski–
Riemann triples in a similar way, as in the case of rigid (formal) spaces. The details
are left to the reader.
E Appendix: Classical Zariski–Riemann spaces

E.1 Birational geometry
E.1. (a) Basic terminology. Throughout this section we fix once and for all a co-
herent (D quasi-compact and quasi-separated) scheme S and work entirely in the
category CAsS of coherent S -algebraic spaces with S -morphisms. Note that all
arrows in CAsS are automatically coherent.
Our main objects in this subsection are the pairs .X; U / consisting of an object
X 2 obj.CAsS / and a quasi-compact open subspace U of X; note that U is again
coherent, hence belongs to CAsS . With the objects of this kind, we treat the theory
of the so-called U -admissible birational geometry. Here, in order to include the
usual birational geometry (without reference to any U ), we admit the case where
U D ;.
Definition E.1.1. Let X be a coherent S -algebraic space, and U X a quasi-

compact open subspace. A morphism f W Y ! X in CAsS is said to be U -admissi-
ble if the induced morphism f 1 .U / ! U is an isomorphism.
Definition E.1.2 (cf. [54], I, ÷7). Let X and Y be coherent S -algebraic spaces, and
U X a quasi-compact open subspace.
(1) A .U -admissible/ rational map f W Y Ü X is the equivalence class of
a pair .V; fV / consisting of a quasi-compact dense open subspace V of Y and a
U -admissible S -morphism fV W V ! X, where the equivalence relation is defined
as follows: .V; fV / and .V 0 ; fV 0 / are equivalent if the morphisms fV and fV 0
coincide on a quasi-compact dense open subspace W of Y such that W V \ V 0 ;
since the intersection of two quasi-compact dense open subspaces of Y is again a
quasi-compact open dense subspace, this indeed defines an equivalence relation.
(2) A U -admissible rational map f W Y Ü X is said to be birational if it is the
equivalence class of a pair .V; fV / such that fV W V ! X is a U -admissible open
immersion onto a quasi-compact dense open subspace of X.
(3) A .U -admissible/ birational morphism f W Y ! X is a U -admissible S -mor-
phism that is birational, that is, there exists a quasi-compact open dense subspace
V of Y such that f jV W V ! X is an open immersion onto a quasi-compact dense
open subspace of X.
(4) A U -admissible S -morphism f W Y ! X is called a .U -admissible/ S -mod-
ification (or simply modification) if it is proper and birational.
The composition g ı f of a U -admissible rational map f W Y Ü X and an

f 1 .U /-admissible rational map gW Z Ü Y is defined in an obvious way and is a
U -admissible rational map. A U -admissible rational map f W Y Ü X is birational
if and only if there exists an f 1 .U /-admissible rational map gW X Ü Y such that
gıf (resp. f ıg) is represented by the identity map on a quasi-compact open dense
subspace of Y (resp. X). Note that when X and Y are schemes having finitely many
irreducible components our definition of birational morphisms coincides with that
in [53], (2.3.4).
E.1. (b) U -admissible blow-ups. We continue to work in the above setting; let X
be a coherent S -algebraic space, and U a quasi-compact open subspace of X.
Definition E.1.3. A U -admissible ideal is a quasi-coherent ideal J OX of fi-

nite type such that the closed subspace V .J/ of X corresponding to J is disjoint
from U .
We denote by AId.X;U / the set of all U -admissible ideals. One can introduce
the ordering to the set AIdX in a similar manner as in 1.3.1. Moreover, similarly
to I.3.7.6, for an S -morphism Y ! X of S -algebraic spaces one has the induced
map
AId.X;U / ! AId.Y;f 1 .U // ; J 7 ! JOY :
Definition E.1.4. Let X be a coherent S -algebraic space, and U a quasi-compact

open subspace of X. A U -admissible blow-up of X is a blow-up of X along a
U -admissible ideal J, that is, the morphism
M
XJ D Proj J n ! X:
n0
Clearly, the U -admissible blow-up is U -admissible as a morphism between

S -algebraic spaces. Note that the U -admissible blow-up is proper, since J is of
finite type. It is, in particular, birational if the open complement of the closed sub-
scheme V .J/ in X is dense.
Definition E.1.5. Let X be a coherent S -algebraic space, U X a quasi-compact
open subspace, and J a U -admissible ideal. Let W X 0 ! X the U -admissible
blow-up of X along J.
(1) For an OX -module F the strict transform of F by is the OX 0 -module
0 F D F =. F /J-tor :
Notice that 0 F is quasi-coherent if F is quasi-coherent.

(2) For a morphism f W Y ! X of coherent S -algebraic spaces the strict trans-
form of f by is the composite morphism Y 0 ,! Y X X 0 ! X 0 , where
the first arrow is the closed immersion given by the ideal .OY X X 0 /J-tor .
Note that in the situation as in (2) the morphism Y 0 ! Y is the f 1 .U /-admis-

sible blow-up along the ideal JOY .
The following fact will be frequently used (often tacitly) in the sequel.
Proposition E.1.6. Let X be a coherent algebraic space and U a quasi-compact
open subspace of X. Let Y ,! X be a quasi-compact open immersion, and set
V D Y \ U.
(1) For any U -admissible blow-up X 0 ! X the strict transform Y 0 ! Y coin-

cides with the base change X 0 X Y ! Y and is the V -admissible blow-up
of Y along the restriction of the blow-up center of X 0 ! X.
(2) (extension of U -admissible blow-up) Conversely, for any V -admissible blow-

up Y 0 ! Y there exists a U -admissible blow-up X 0 ! X that admits the
Cartesian diagram

Y0 / X0

Y / X:
Proof. (1) is clear. To show (2), let J be the blow-up center of Y 0 ! Y . The direct
image j J by the open immersion j W Y ! X is a quasi-coherent ideal of OX . By
0.5.5.6, we have a quasi-coherent ideal I of OX of finite type such that the support
of the corresponding closed subspace Z D V .I/ is X n U and that IjV J. The
closed subspace Z is a coherent algebraic space, and Z\Y is a quasi-compact open
subspace of Z. Consider the quasi-coherent ideal J=.IjV / of finite type on Z \ Y ,
and extend it to a quasi-coherent ideal of finite type on Z (0.5.5.6 and 0.5.5.7).
Pulling it back to OX , we get a U -admissible ideal e J that extends J. Then the
U -admissible blow-up X 0 ! X along e J satisfies the properties as in (2).
Here we include some facts on U -admissible blow-ups quoted from [89], Pre-
mière partie, ÷5, which are fundamental in the U -admissible birational geometry.
Proposition E.1.7 ([89], Première partie, (5.1.4)). Let X be a coherent scheme and
U X a quasi-compact open subset. Let W X 0 ! X be a U -admissible blow-up
along a quasi-coherent ideal J OX of finite type, and X 00 ! X 0 a 1 .U /-ad-
missible blow-up along a quasi-coherent ideal J 0 OX 0 of finite type. Then there
exists a quasi-coherent ideal J 00 of OX of finite type such that J 00 OX 0 coincides with
J m J 0n OX 0 for some positive integers m and n and that the composition X 00 ! X
coincides up to canonical isomorphisms with the U -admissible blow-up along the
ideal J J 00 .
The proposition says, in particular, that the composition of two U -admissible

blow-ups is again a U -admissible blow-up.
Proposition E.1.8. Let X be a coherent algebraic space, U a quasi-compact open

subspace of X, and f W Y ! X a separated morphism of algebraic spaces of finite
type. Suppose that the induced morphism f 1 .U / ! U is an open immersion.
Then there exists an U -admissible blow-up W X 0 ! X such that, if Y 0 denotes the
strict transform of Y , the resulting morphism Y 0 ! X 0 is an open immersion:
f0
Y0 / X0
0

Y / X:
f
Moreover, if U is dense in X, then the map 0 W Y 0 ! Y is an f 1

.U /-admissible
modification.
The first assertion is a special case of [89], Première partie, (5.7.11). The second
is clear, since Y 0 ! Y is proper.
Proposition E.1.9. Let X be a coherent algebraic space, U a quasi-compact open

subspace of X, and f W Y ! X a U -admissible proper morphism. Then there exists
a U -admissible blow-up W X 0 ! X such that, if Y 0 denotes the strict transform
of Y , the resulting morphism Y 0 ! X 0 is an isomorphism:

Y o X0
④
f ④④
}④④ 0
X:
In other words, there exists an f 1 .U /-admissible blow-up W X 0 ! Y such that

the composition X 0 ! Y ! X is a U -admissible blow-up.
This is a special case of [89], Première partie, (5.7.12).
E.1. (c) The correspondence diagram. Let S be a coherent scheme, and consider
the diagram
t9 X j t
t
, ttt
U▼ ()
▼▼▼
▼▼▼
&
Y
of coherent S -algebraic spaces, where j is a quasi-compact open immersion, and
Y is separated of finite type over S . Consider the induced map
i W U ! X S Y:
i p1
Since the composition U ! X S Y ! X, where p1 is the first projection, is
the open immersion j , the morphism i is a quasi-compact immersion (cf. [53],
(4.3.6) (iv)).
Definition E.1.10. The scheme-theoretic closure (cf. [72], II.4.6) of the image of
U in X S Y is called the join of X and Y along U and is denoted by X U Y .
The join X U Y comes with the morphisms
pW X U Y !X and qW X U Y !Y
induced, respectively, by the first and the second projections. The following propo-
sition is clear, and the proof is left to the reader.
Proposition E.1.11. Diagram ./ extends to the commutative diagram
? X `❇❇
❇❇ p
❇❇
/ ❇❇
/ XU Y
U❈
❈❈ ④④
❈❈ ④
❈❈ ④④
❈! }④④④ q
Y
of S -algebraic spaces, where the horizontal arrow is an open immersion. Moreover,

we have the following properties.
(1) The morphism p is U -admissible. If U ! Y is also an open immersion,

then q is U -admissible.
(2) If X .resp. Y / is proper over S , then q .resp. p/ is proper.
Note that, if X and Y are schemes, then all what we have done (and what we
will do in this paragraph) can be done within the category of schemes.
Proposition E.1.12. Consider the diagram ./ of coherent S -algebraic spaces.

(1) There exists a U -admissible blow-up X 0 ! X sitting in a commutative
diagram of the form
0
@ X _❅❅
✁✁✁ ❅❅ p0
✁ ❅❅
0 ✁✁ ✁ ❅❅
/O
U❈ / Z,
❈❈ ④④
❈❈ ④
❈❈ ④④
❈! }④④④ q 0
Y
where p 0 is the strict transform of pW X U Y ! X, which is an open immersion.
Moreover
(a) if X is proper over S , then q 0 is proper;

(b) if Y is proper over S , then one can take X 0 as above such that the map p 0
is an isomorphism.
(2) Suppose that the map U ! Y is an open immersion. Then there exist a
U -admissible blow-up X 0 of X and a U -admissible blow-up Y 0 of Y sitting in a
commutative diagram of the form

0
@ X _❅❅
✁✁✁ ❅❅ p0
❅❅
✁✁ ❅❅
0 ✁✁ /O

Uq / Z,
❋❋ l
❋❋ ✈✈L
❋❋ ✈✈
❋" {✈✈✈ q 0
Y0
consisting of open immersions, where Z is a U -admissible blow-up of the join
X U Y . Moreover, if X .resp. Y / is proper, then one can take X 0 and Y 0 as above
such that q 0 .resp. p 0 / is an isomorphism.
Proof. (1) By E.1.8, there exists a U -admissible blow-up X 0 of X such that the
strict transform Z ! X 0 of the map X U Y ! X is an open immersion. Asser-
tion (a) is clear. If Y is proper, then the map X U Y ! X is proper and U -admis-
sible. Then by E.1.9, one can take a U -admissible blow-up X 0 of X such that the
strict transform p 0 W Z ! X 0 of X U Y ! X is an isomorphism, whence (b).
(2) First, as in (1), we take X 0 and Z such that the resulting map Z ! X is
an open immersion. Since Z ! Y is also U -admissible, one can do the same for
this morphism to obtain the strict transform Z 0 ! Y 0 , which is an open immersion.
Then by E.1.6 there exists a U -admissible blow-up X 00 ! X 0 that induces the U -
admissible blow-up Z 0 ! Z. Hence we obtain the diagram of the form as in (2).
The other assertion is shown similarly to (b) of (1); here we use E.1.6 to keep the
resulting diagram consisting only of open immersions.
E.1. (d) Birational category. Let S be a coherent scheme with finitely many irre-
ducible components. Consider the category C defined as follows.
Objects are separated S -algebraic spaces X of finite type.
Arrows Y ! X between objects Y and X are given by (;-admissible)
rational maps f W Y Ü X.
We define the category BirS as the localized category of C by the set of all (;-ad-
missible) birational maps.
For any object X of the category C , that is, a separated S -algebraic space X of
finite type, we denote by
k.X/
the same object considered as an object in BirS , following the customary notation
in classical birational geometry.
Definition E.1.13. Let X be an object of BirS . A model of X is a pair .X; /

consisting of a separated S -algebraic space X of finite type and an isomorphism

W k.X/ ! X
in the category BirS .
Note that if X1 and X2 are models of X, then there exist a separated S -algebraic
space U of finite type and birational open immersions
j1 j2
X1 - U , ! X2 ;
that is, the images in j1 .U / and j2 .U / are dense in X1 and X2 , respectively. Hence
one can consider the join X1 X2 D X1 U X2 , which is again a model of X. Note
that, as we discussed in ÷E.1. (c), the join X1 X2 depends only on the closures of
U (that is, X1 and X2 ), and hence is independent on the choice of U .
E.2 Classical Zariski–Riemann spaces

E.2. (a) The cofiltered category of modifications. Let S be a coherent scheme
X a coherent S -algebraic space, and U X a quasi-compact open subspace.
We define the category Mdf.X;U / as follows: objects are U -admissible modifica-
tions (E.1.2 (4)) X 0 ! X and arrows between two such morphisms X 0 ! X and
X 00 ! X are X-morphisms X 0 ! X 00 .
Proposition E.2.1. (1) The category Mdf.X;U / is cofiltered, and idX gives the final
object.
opp
(2) The opposite ordered set AId.X;U / of the set of all U -admissible ideals with
the above-mentioned ordering is a directed set, and the functor
AId.X;U / ! Mdf.X;U /
that maps J to the blow-up XJ ! X along J is cofinal.
Proof. (1) We need to show that the following conditions are satisfied.
(a) For two U -admissible modifications X 0 ! X and X 00 ! X there exist a
U -admissible modification X 000 ! X and X-morphisms X 000 ! X 0 and
X 000 ! X 00 .
(b) For two U -admissible modifications X 0 ! X and X 00 ! X and two
X-morphisms f0 ; f1 W X 00 ! X 0 there exist a U -admissible modification
X 000 ! X and an X-morphism gW X 000 ! X 00 such that f0 ı g D f1 ı g.
Let us prove (a). By E.1.9, there exists a U X X 0 -admissible blow-up Y 0 ! X 0

(resp. a U X X 00 -admissible blow-up Y 00 ! X 00 ) such that Y 0 ! X 0 ! X (resp.
Y 00 ! X 00 ! X) is an U -admissible blow-up. Let J 0 (resp. J 00 ) be the blow-up
center of Y 0 ! X (resp. Y 00 ! X), and set J 000 D J 0 J 00 . Let X 000 ! X be the
U -admissible blow-up centered at J 000 . Then there are X-morphisms X 000 ! Y 0 and
X 000 ! Y 00 by the universality of blow-ups (cf. [89], Première partie, (5.1.2) (i)).
The composites X 000 ! Y 0 ! X 0 and X 000 ! Y 00 ! X 00 are the desired morphisms.
Next let us show (b). Take Y 0 , Y 00 , J 0 , and J 00 as above. The blow-up Y 0 ! X 0

(resp. Y 00 ! X 00 ) is centered at J 0 OX 0 (resp. J 00 OX 00 ). Hence, there exist two
maps h0 ; h1 W Y 00 ! Y 0 , induced respectively by f0 and f1 . Take the U -admissible
blow-up X 000 ! X along J 000 D J 0 J 00 . Then by the uniqueness in the universality
of blow-ups, the two compositions X 000 ! Y 00 ! Y 0 , where the second maps
are given by h0 and h1 , coincide. Hence if one defines g to be the composition
X 000 ! Y 00 ! X 00 , we have f0 ı g D f1 ı g, as desired.
(2) is clear by the argument above.
E.2. (b) The classical Zariski–Riemann spaces

Definition E.2.2. Let X be a coherent S -scheme and U a quasi-compact open
subset of X. Consider the functor S.X;U / W Mdf.X;U / ! LRsp that maps X 0 ! X
to the underlying locally ringed space of X 0 . The (classical) Zariski–Riemann space
associated to the pair .X; U /, denoted by hXiU , is the underlying topological space
of the limit
lim S.X;U / :
This limit is canonically identified with the limit taken along a directed set
lim XJ ;
J2AId.X;U /
which guarantees the existence of the limit (cf. 0.4.1.10). We have for any modifi-
cation X 0 ! X of X the canonical projection (specialization map) hXiU ! X 0 ,
which we denote by spX 0 . The inductive limit sheaf
OhXiU D lim spXJ1 OXJ
!
J2AId.X;U /
is a sheaf of local rings, called the structure sheaf of hXiU .

Any inclusion U1 ,! U2 of quasi-compact dense open subsets of X induces a
map
hXiU1 ! hXiU2 ;
which is quasi-compact due to 0.2.2.13 (1) and (3).
Notice that, in the above construction, one can actually replace X by the clo-
sure Ux of U in X without changing the formation of the locally ringed space
hXiU ; indeed, any irreducible component that does not touch U can be effaced
by a U -admissible blow-up. In particular, if U D ;, then the resulting space hXiU
is empty, while if U ¤ ;, we have hXiU ¤ ;, since it contains U . Because of this,
we should have a special treatment for what we really want to mean by hXi; , for
which we offer the following definition.
Definition E.2.3. If X is irreducible, we define
hk.X/i D limhXiU ;
U
where U runs over all non-empty quasi-compact open subsets, and call it the (clas-
sical) Zariski–Riemann space associated to X.
Remark E.2.4. Our classical Zariski–Riemann spaces defined as above generalizes

the so-called abstract Riemann manifolds introduced by O. Zariski (cf. [107]) in the
case where S is the spectrum of an algebraically closed field k and X is an algebraic
variety over k. Note that the first embryonic idea of abstract Riemann manifolds
emerged from the notion of abstract Riemann surface in the works of Dedekind and
Weber in the 19th century.
Theorem E.2.5. Let X be a non-empty coherent S -scheme and U a quasi-compact

open subset of X. .We allow U D ;, if X is irreducible, with the Zariski–Riemann
space hXi; replaced by hk.X/i defined as in E.2.3./
(1) (Zariski [107]) The topological space hXiU is coherent and sober
(0.2.2.1).
(2) For any object X 0 ! X of Mdf.X;U / the specialization map spX 0 is quasi-
compact and closed.
Proof. The proof is given by an argument similar to that of 3.1.2 when U ¤ ;.

The other case follows from 0.2.2.10 (1), 0.2.2.13 (1) and (3), and the fact that the
map hXiU1 ! hXiU2 induced by an inclusion U1 ,! U2 of quasi-compact open
subsets of X is quasi-compact and closed.
An argument similar to that in 3.1.3 yields the following result.
Proposition E.2.6. A subset V of hXiU is a quasi-compact open subset if and only

if there exist an object X 0 of Mdf.X;U / and a quasi-compact open subset V 0 of X 0
such that V D spX 10 .V 0 /.
Proposition E.2.7. Let X be a coherent S -scheme, and U X a quasi-compact

open subset.
(1) Let Y X be a quasi-compact open subset. Then we have hY iU \Y D

spX 1 .Y /, where spX W hXiU ! X is the specialization map, and a canonical
open immersion
.hY iU \Y ; OhY iU \Y / , ! .hXiU ; OhXiU /

(2) If X 0 ! X is a proper U -admissible morphism, then the induced morphism
.hX 0 iU ; OhX 0 iU / ! .hXiU ; OhXiU /
is an isomorphism.
Proof. (1) follows from E.1.6, and (2) from E.1.9.
E.2. (c) Comparison maps. Let X1 and X2 be coherent S -schemes, and consider
the diagram
X1 - U , ! X2
of quasi-compact S -open immersions onto dense open subsets. By E.1.12 (2) and
E.1.6, we have the following result.
Proposition E.2.8. Suppose that X1 is separated of finite type over S , and that X2
is proper over S . Then there exists a canonical open immersion
.hX1 iU ; OhX1 iU / , ! .hX2 iU ; OhX2 iU /

We call the open immersion thus obtained the comparison map of the models
X1 and X2 .
Corollary E.2.9. In the above situation, suppose that both X1 and X2 are proper
over S . Then the associated Zariski–Riemann space hX1 iU and hX2 iU are canon-
ically isomorphic.
E.2. (d) Relation with rigid Zariskian spaces. Let X be a coherent S -scheme
and U X a quasi-compact dense open subset. Set Z D X n U , which we
regard as a closed subscheme of X defined by a quasi-coherent ideal OX of
finite type. Let Y D X Zar jZ be the Zariskian completion (I, ÷B.1. (b)) with the
ideal of definition OY (I.B.3.1), and X D Y rig the associated rigid Zariskian
space (÷D.2. (a)). The open immersion j W U ,! X lifts to an open immersion

|QW U ,! hXiU of locally ringed spaces such that the diagram
hXi
< U
|Q②②②
②② spX
- ② ②②

U /X
j
commutes. Consider the closed subset hXiU n U and the inclusion map
{QW hXiU n U , ! hXiU :
Proposition E.2.10. There exists a canonical isomorphism
1 int
.hXiU n U; {Q OhXiU / ! .hXi; OX /
Proof. Let W X 0 ! X be a U -admissible blow-up, and J the blow-up center. The

morphism induces a morphism Zar W Y 0 D X 0 Zar j 1 .Z/ ! Y D X Zar jZ of
Zariskian schemes, which is in fact an admissible blow-up along the admissible
ideal JOY . The topological space hXiU n U is nothing but the projective limit
of the underlying topological spaces of the Zariskian schemes of the form Y 0 D
X 0 Zar j 1 .Z/ , where runs through the set of all U -admissible blow-ups of X.
Hence in order to show that there exists a canonical homeomorphism between the
topological spaces hXiU n U and hXi, it suffices to show that any admissible blow-
up of the Zariskian scheme Y extends naturally to a U -admissible blow-up of X.
Let Y 0 ! Y be an admissible blow-up of the Zariskian scheme Y along the
admissible ideal J. Take k 0 such that J kC1 OY . Consider the scheme
Yk D .Y; OY = kC1 OY /, which is canonically a closed subscheme of X. Let
ik W Yk ,! X be the corresponding closed immersion. Consider the surjective
map OX ! ik OYk of sheaves on X, and take the pull-back of the ideal Jk D
J= kC1 OY by this map. Denote the pull-back ideal by J. z Then clearly i 1 Jz D J,
where i W Z ,! X is the closed immersion; moreover, Jz is a U -admissible ideal.
Hence, if we denote by X 0 ! X the U -admissible blow-up along J, z then it in-
duces the admissible blow-up Y 0 ! Y that we have begun with, and the claim is
proved.
Since the sheaf pull-back i 1 commutes with filtered inductive limits, we have
1 int
{Q OhXiU Š OX , and thus the proposition is shown.
E.2. (e) Points of the Zariski–Riemann space. Let X be a coherent S -scheme,

and U a quasi-compact dense open subset of X. Let OX be a quasi-coherent
ideal of finite type such that X n U D V . /. Consider the set
´ µ
X -isomorphism classes of morphisms of the form ˛W Spec V ! X ,
where V is an V -adically separated valuation ring, :
which map the generic point to a point of U
There exists a map from this set to the Zariski–Riemann space hXiU , constructed
as follows. Let ˛W Spec V ! X be given, and set K D Frac.V /. For any
U -admissible modification X 0 ! X, we have a morphism Spec K ! X 0 such
that the diagram
Spec K / X0

Spec V /X
commutes, since X 0 ! X is isomorphic on U . Since X 0 ! X is proper, we have

a unique lift ˛X 0 W Spec V ! X 0 . Thus we have a projective system of morphisms
f˛X 0 W Spec V ! X 0 gX 0 and the map of locally ringed spaces Spec V ! hXiU . The
sought-for point of hXiU is the image of the closed point of Spec V .
We introduce an equivalence relation on the above set, which is generated
by the relation defined as follows: given ˛W Spec V ! X and ˇW Spec W ! X,
˛ ˇ if there exists a local injection f W V ,! W such that ˛ ı Spec f D ˇ
(cf. 0.6.4.5 (2)). There exists a map
´ µ
X -isomorphism classes of morphisms of the form ˛W Spec V ! X , ı
where V is an V -adically separated valuation ring, ! hXiU
which map the generic point to a point of U
()
induced by the mapping defined above. We equip the left-hand set with the weakest
topology such that the map ./ is continuous. By E.2.5 (3) and E.2.6, this topology
coincides with the one generated by subsets of the form
8̂ 9
-equivalence class of ˛W Spec V ! X >
< 0 =
that extends to Spec V ! X in such a
way that
;
:̂ >
;
0
the image is contained in Y
where X 0 ! X is a U -admissible modification and Y 0 is an affine open subset

of X 0 .
Theorem E.2.11. The map ./ is a homeomorphism.
The theorem can be verified by an argument similar to that in the proof of 3.3.6,
with the aid of the following lemma, which can be shown similarly to 3.2.6.
Lemma E.2.12. For any point 2 hXiU , the ring OhXiU ; is OhXiU ; -valuative,
see 0.8.7.1.
Finally, let us include here, as a corollary, the classical version (where U D ;)

of the theorem, which is well known in classical birational geometry.
Corollary E.2.13. Let X be a coherent and integral S -scheme of finite type and
k.X/ its function field. Then the topological space hXi is identified with the follow-
ing space: as a set, it is the set of all valuation rings for k.X/ dominating the local
ring OX;x of a point x of X. The topology is generated by subsets of the form
° ±
valuation ring for k.X / that
;
contains A
where A varies among the subrings of k.X/ arising from a dominant and finite type
morphism Spec A ! X over S .
Proof. Let U be a non-empty quasi-compact open subsets of X. The Zariski–

Riemann space hXi is the projective limit of all Zariski–Riemann spaces of the
form hXiU . Hence it is the projective limit of the spaces in the left-hand side of ./
as above. Suppose ˛W Spec V ! X belongs to this set. Then the image of the
generic point of V lies in any quasi-compact open subset of X and hence is the
generic point of X. It follows that the fractional field K D Frac.V / of V contains
the function field k.X/. Set W D V \ k.X/. Then W is a valuation ring for k.X/,
and the map W ,! V is local. Moreover, we have the morphism ˇW Spec W ! X
that is -equivalent to ˛. Conversely, if we are given a valuation ring W for k.X/
dominating a point of X, then the induced morphism ˇW Spec W ! X lies in hXiU
for all U .
F Appendix: Nagata’s embedding theorem
F.1 Statement of the theorem

In this section we give a complete proof of the following result, which generalizes
a famous theorem due to M. Nagata (cf. [85]).
Theorem F.1.1 (Nagata’s embedding theorem). Let Y be a coherent scheme and

f W X ! Y a separated morphism of finite type between schemes. Then there exists
a proper Y -scheme fNW Xx ! Y that admits a dense open immersion X ,! Xx
over Y .
F. Appendix: Nagata’s embedding theorem 767
F.2 Preparation for the proof

F.2. (a) Canonical compactification. Let f W X ! Y a separated morphism of
finite type between algebraic spaces, where Y is a coherent scheme. We say that f
(or X) is compactifiable if there exists a commutative diagram
j
X ❀ / Xz
❀❀ ☎☎
❀❀ ☎☎
f ❀ ☎☎ fQ
Y
such that fQ is proper and j is an open immersion. If this is the case, since the
scheme-theoretic closure of X in Xz is proper over Y , one can take fQ such that j is
a dense open immersion. In this situation, Xz is called a compactification of X over
Y . It is clear that, if f is affine, then f is compactifiable by a proper Y -scheme.
If X is a scheme, X is covered by open subschemes affine over Y , and hence is
locally compactifiable.
Suppose that f W X ! Y , where X is a scheme, is compactifiable by a proper
Y -scheme fNW Xx ! Y ; here we assume, without loss of generality, that Xx contains
X as a quasi-compact dense open subset. Then consider the Zariski–Riemann space
hXx iX , which is the projective limit of all X-admissible blow-ups of the scheme X.
x
0 x0
Let f W X ! Y be another compactification of f by a proper Y -scheme. Then
by E.2.9, the topological spaces hXx iX and hXx0 iX are canonically isomorphic, that
is, the space hXx iX does not depend, up to canonical isomorphisms, on the choice
of the compactification.
Definition F.2.1 (canonical compactification). Let f W X ! Y be compactifiable
by a proper Y -scheme fNW Xx ! Y . We write
x X;
hXicpt D hXi
and call it the canonical compactification of X over Y .
Note that the topological space hXicpt is coherent and sober (E.2.5 (1)) and has
X as a quasi-compact open subspace. By E.2.10,

hXicpt n X ! h.XxZar jZ /rig i;
where Z is a finitely presented closed subscheme of Xx with the underlying topo-
logical space Xx n X. The topological space hXicpt has the structure sheaf
OhXicpt D OhXi
x X:
Note also that, if Z ,! X is a closed immersion of separated and finite type

Y -schemes, and if X is compactifiable by a proper Y -scheme, then Z is compacti-
fiable by a proper Y -scheme, and hZicpt coincides with the closure of Z in hXicpt
with respect to the canonical inclusion Z ,! hXicpt .
Proposition F.2.2. (1) Let X ,! X 0 be a Y -open immersion of separated

Y -schemes of finite type. Suppose that X 0 is compactifiable by a proper Y -scheme.
Then X is compactifiable by a proper Y -scheme, and we have the canonical closed
map
.hXicpt ; OhXicpt / ! .hX 0 icpt ; OhX 0 icpt /
(2) Let f W U ! Y be a separated Y -scheme of finite type that is compactifi-
able by a proper Y -scheme, and j W U ,! X an open immersion into a separated
Y -scheme of finite type. Then we have the canonical open immersion
.hXiU ; OhXiU / , ! .hU icpt ; OhU icpt /
Proof. Let Xx 0 be a compactification of X 0 over Y . Since the closure Xx of X in Xx0
gives a compactification of X over Y , X is compactifiable by a proper Y -scheme.
Since any X 0 -admissible blow-up Xz 0 ! Xx0 induces an X-admissible blow-up
Xz ! Xx by the strict transform, we have the desired map by passage to the projec-
tive limits. By 0.2.2.13 (3), this map is closed, whence (1).
(2) follows from E.2.8.
Note that the quasi-compact open subset hXiU in hU icpt depends only on the
closure of U in X.
F.2. (b) General construction. Let f W X ! Y be a separated morphism of finite

type between coherent schemes. We are to construct the space hXicpt , again called
the canonical compactification, without assuming that X is compactifiable.
Let U be a quasi-compact open subset of X that is compactifiable by a proper
Y -scheme (e.g., affine over Y ). By F.2.2 (2) the space hXiU is regarded as a quasi-
compact open subset of hU icpt .
Definition F.2.3 (partial compactification). Set
hU iX
pc D hU icpt n hXiU n U ;
where the closure in the right-hand side is taken in hU icpt , and call it the partial
compactification of U relative to X.
Proposition F.2.4. Let X be a separated of finite type Y -scheme, and U X
a quasi-compact open subset, which is assumed to be compactifiable by a proper
Y -scheme.
0
(1) For any proper U -admissible morphism X 0 ! X, we have hU iX X
pc D hU ipc .
(2) There exists a proper U -admissible morphism X 0 ! X such that X 0 is com-

pactifiable by a proper Y -scheme.
The proposition says that, whenever discussing the partial compactification

hU iX
pc , one may assume X is compactifiable without loss of generality.
Proof. (1) The assertion is clear if X 0 ! X is a U -admissible blow-up, since, then,

the images of hXiU and hX 0 iU in hU icpt coincide with each other. The general
case reduces to this situation due to E.1.9.
(2) Take a proper Y -scheme Ux that contains U as an open subset. Consider
the join X U Ux , and take a U -admissible blow-up Ux 0 ! Ux such that the strict
transform, denoted by X 0 ! Ux 0 , of X U Ux ! Ux is an open immersion, as
in E.1.12 (1). Then X 0 is compactifiable by a proper Y -scheme (F.2.2 (1)), and
X 0 ! X is proper U -admissible (E.1.12 (1) (a)).
Lemma F.2.5. Let X be a separated of finite type Y -scheme, and U X a quasi-

compact open subset. We assume that X is compactifiable by a proper Y -scheme.
(1) The partial compactification hU iXpc coincides with the maximal open subset
of hU icpt on which the canonical map hU icpt ! hXicpt is an isomorphism.
(2) Set Z D X n U . Then we have
hU iX x
pc D hXicpt n Z;
where Z x denotes the closure of Z in hXicpt with respect to the canonical

inclusion Z ,! hXicpt .
Proof. (1) Take a compactification Xx of X and the closure Ux of U in X.

x We have
hXicpt D hXix X and hU icpt D hUx iU D hXi x U . For any U -admissible blow-up
Xx1 ! Xx , we have spXx1 .hXiU n U / D X1 n U , where X1 D X Xx Xx1 , and
\
hXiU n U D spXx1 .X1 n U /; ./
1
x1 !X
X x
where Xx1 of the left-hand side runs through all U -admissible blow-ups of X; x
see 0.2.2.19 (2).
Let W be a quasi-compact open subset of hU icpt , and take a U -admissible blow-
up Xx1 ! Xx and a quasi-compact open subset W1 Xx1 such that W D spXx1 .W1 /;
1
see E.2.6. In view of E.2.7 (1), the map hU icpt ! hXicpt is an isomorphism on W
if and only if
hW1 iU \W1 D hW1 iX1 \W1 ;
which is, furthermore, equivalent to that any X1 \ W1 -admissible blow-up of W1
is dominated by a U \ W1 -admissible blow-up. This is possible if and only if
U \ W1 D X1 \ W1 , or equivalently, W1 \ .X1 n U / D ;.
To sum up, we have shown the following: hU icpt ! hXicpt is an isomorphism

on W if and only if W1 \ .X1 n U / D ; for any U -admissible blow-up Xx1 ! Xx
and any quasi-compact open subset W1 Xx1 such that W D spXx1 .W1 /. By the
1
equality ./, the last condition is equivalent to that W hU iX
pc .
(2) Restricting to X-admissible blow-ups, one can similarly show the following:
a quasi-compact open W hXicpt D hXx iX lies in the image of hU iXpc if and only if,
for any X-admissible blow-up X1 ! X and a quasi-compact open subset W1 Xx1
x x
such that W D spXx1 .W1 /, we have W1 \ .X n U / D ;, which is equivalent to that
W \ Z D ;.
Let X be a separated of finite type Y -scheme, which we assume to be com-

pactifiable by a proper Y -scheme X. x Since the open immersion X ,! Xx is quasi-
compact, one can take a quasi-coherent ideal I OXx of finite type that gives a
closed subscheme with the underlying topological space Xx n X. Then, for any
x 2 hXicpt D hXi x X , the local ring OhXicpt ;x is Ix OhXicpt ;x -valuative; see E.2.12.
Set \
Jx D Ixn ;
n1
which is a prime ideal of OhXicpt ;x , giving the associated valuation ring Vx D

OhXicpt ;x =Jx ; see 0, ÷8.7. (b). By the morphism as in ÷E.2. (e), the generic point
of Spec Vx defines a generization xQ 2 hXicpt of x.
Lemma F.2.6. In the above situation, let U X be a quasi-compact open subset.

Then we have
hU iXpc D fx 2 hXicpt W x
Q 2 U g:
Proof. Let x 2 hXicpt . For any X-admissible blow-up Xx1 ! X, x we have

X
Q 2 X. Due to F.2.5 (2), x 2 hU ipc if and only if spXx1 .x/
spXx1 .x/ Q 62 Z D X n U ,
Q 2 U , whence the assertion.
that is, spXx1 .x/
Proposition F.2.7. Let X be a separated of finite type Y -scheme, and U1 ; U2 quasi-

compact open subsets of X.
(1) Suppose that U2 is compactifiable by a proper Y -scheme, and that U1 U2 .

Then there exists a canonical open immersion hU1 iX X
pc ,! hU2 ipc that extends
the inclusion map U1 ,! U2 .
(2) Suppose X is compactifiable by a proper Y -scheme. Then we have the fol-

lowing equalities in hXicpt :
hU1 iX X X
pc \ hU2 ipc D hU1 \ U2 ipc ; hU1 iX X X
pc [ hU2 ipc D hU1 [ U2 ipc :
Proof. (1) By F.2.4, we may assume without loss of generality that X is compactifi-
able by a proper Y -scheme. Then, by F.2.6, we have the inclusion hU1 iX X
pc ,! hU2 ipc
in hXicpt .
(2) follows immediately from F.2.6.
Let f W X ! Y be a separated and of finite type Y -scheme, and fU˛ g˛2L a finite
open covering of X such that each U˛ is compactifiable by a proper Y -scheme. De-
fine the topological space hXicpt by the following cokernel diagram in the category
Top of topological spaces
a a
hXicpt hU˛ iX
pc hU˛ \ Uˇ iXpc ;
˛2L ˛;ˇ 2L
that is, by patching the partial compactifications hU˛ iX pc along the open subspaces
hU˛ \ Uˇ iX pc . The space hXi cpt has the structure sheaf OhXicpt by patching the
structure sheaves OhU˛ icpt jhU˛ iX
pc
.
Proposition F.2.8. (1) For any quasi-compact open subset U of X that is com-
pactifiable by a proper Y -scheme, hU iX
pc is canonically an open subspace of hXicpt .
In particular, the formation of hXicpt does not depend on the choice of the finite
open covering fU˛ g˛2L .
(2) If X is compactifiable by a proper Y -scheme, then the above-defined hXicpt
coincides with the one defined in F.2.1.
Proof. First notice that (2) follows immediatelyS from F.2.7. As forS(1), since U and
all U˛ are compactifiable, we have hU iX pc D h ˛2L U \U˛ ipc D
X X
˛2L hU \U˛ ipc
by F.2.7 (2), and since each hU \ U˛ ipc is canonically an open subspace of hU˛ iX
X
pc
by F.2.7 (1), hU iX
pc is an open subspace of hXicpt . To show that the formation of
hXicpt does not depend on the choice of the finite open covering fU˛ g˛2L , one
employs the inductive argument based on the following statement, which follows
from what we have proven just now: for any quasi-compact open subset U X,
the space hXicpt constructed from the covering fU˛ g˛2L is canonically isomorphic
to the one from the covering fU˛ g˛2L [ fU g.
Definition F.2.9. The topological space
hXicpt
thus defined is called the canonical compactification of X over Y .
Note that, by the construction, hXicpt contains X as an open subset and that
there exists the canonical morphism hXicpt ! Y of locally ringed spaces such that
the diagram
j
X ❀ / hXicpt
❀❀
❀❀ ⑤⑤
f ❀ ⑤⑤⑤
}⑤
Y
commutes.
Let U be a quasi-compact open subset of X. For a finite open covering fU˛ g˛2L
of X as above, the collection of spaces fhU \ U˛ iX
pc g˛2L defines an open subset of
hXicpt , which we consistently denote by
hU iX
pc :
Note that the space hU iX

pc is, at the same time, an open subspace of hU icpt .
If X ,! X 0 is an open immersion of separated Y -schemes of finite type, then
an obvious patching argument shows that hX 0 iX can be regarded as an open subset
of hXicpt .
F.2. (c) Properties of canonical compactification
Proposition F.2.10. Any Y -open immersion X ,! X 0 of separated Y -schemes of

finite type canonically induces a closed map
.hXicpt ; OhXicpt / ! .hX 0 icpt ; OhX 0 icpt /

0
of locally ringed spaces. Moreover, the open subspace hXiX pc is the maximal one
among the open subspaces of hXicpt to which the restrictions of hXicpt ! hX 0 icpt
are open immersions.
Proof. The first assertion follows from F.2.2 (1) by patching. The last assertion
follows from the proof of F.2.7 (2).
Corollary F.2.11. The topological space hXicpt is quasi-compact.
Proof. Take a finite open covering fU˛ g˛2L of X such that each member Ui is
compactifiable by a proper Y -scheme. Since hXicpt is covered by the open subsets
hU˛ iX
pc , the map
`
˛2L hU˛ icpt ! hXicpt
is surjective by F.2.10. Since each hU˛ icpt is quasi-compact, the result follows.
Proposition F.2.12 (valuative criterion). Let V be a valuation ring, and set K D

Frac.V /. Suppose we are given a commutative diagram
ˇ
Spec K /X
f

Spec V / Y:
˛
Then there exists a morphism Spec V ! hXicpt of locally ringed spaces such that
hXicpt
t:
ttt
t
tt
Spec V /Y
˛
commutes. Moreover, this morphism is unique.
Proof. The assertion is clear if X is compactifiable. In general, take a quasi-
compact open subset U of X that contains the image of ˇ. We may assume that
U is compactifiable by a proper Y -scheme. Then we have W Spec V ! hU icpt
that lifts ˛. On the other hand, since the open subset hXiU of hU icpt is quasi-
compact, 1 .hXiU / has the minimal point p (0.6.2.3). We may then replace U by
a compactifiable quasi-compact open subset of X that contains the image x of .p/
under the specialization map spX W hXiU ! X. Then fpg D Spec V =p Spec V
is mapped to hU icpt by the map . It is easy to see by the construction that fpg
is actually mapped into hU iXpc . Then by patching the valuation rings Spec Vp D
.hXiU / ! X and Spec V =p D fpg ! hU iX
1
pc hXicpt (cf. 0, ÷6.4), one
obtains the desired lifting.
This result and the usual valuative criterion of properness admit the following
corollary.
Corollary F.2.13. Let X ,! X 0 be a dense Y -open immersion of separated
Y -schemes of finite type. If hX 0 iX D hXicpt , then X 0 is proper over Y .
F.3 Proof of Theorem F.1.1

F.3. (a) Lemmas
Lemma F.3.1 (intersection lemma). Let X ,! X1 and X ,! X2 be dense Y -open
immersions between separated Y -schemes of finite type, and consider the join
X1 X X2 .cf. E.1.10/. Then
hX1 X X2 iX D hX1 iX \ hX2 iX
in hXicpt .
Proof. It follows from E.1.12 (2) and E.1.6 that there exists projective systems
fXi; g2ƒ (i D 1; 2) and fZ g2ƒ indexed by a directed set ƒ and dense open
immersions
X1; - Z , ! X2;
that are compatible with the projection maps, such that hXi iX D lim Xi; for
2ƒ
X
i D 1; 2 and hX1 X2 iX D lim Z . Then the claimed equality follows from
2ƒ
the left-exactness of projective limits.
Lemma F.3.2 (patching lemma). Let X ,! X1 and X ,! X2 be dense Y -open
immersions between separated Y -schemes of finite type. Then there exists another
dense Y -open immersion X ,! Z of separated Y -schemes of finite type such that
hZiX D hX1 iX [ hX2 iX
in hXicpt .
Proof. By E.1.12 (2), we have a diagram
pQ1 pQ2
Xz1 z , ! Xz2
-W
consisting of X-admissible quasi-compact Y -open immersions, where Xz1 and Xz2

are admissible blow-ups of X1 and X2 , respectively. The sought-for Z is obtained
by gluing Xz1 and Xz2 along Wz in the usual sense. Note that the scheme W z is proper
X
over the join W D X1 X2 .
To conclude, we need to show that the model Z thus obtained is a separated
S -scheme; the key point is that the intersection hX1 iX \ hX2 iX is represented by
the join X1 X X2 , as we have seen in F.3.1. To show the claim, we use the valuative
criterion. Let V be a valuation ring and let K be its field of fractions. Suppose we
have two morphisms ˛1 ; ˛2 W Spec V ! Z dominating the same maximal point
such that ˛1 ˝V K D ˛2 ˝V K. We need to show that ˛1 D ˛2 . When the
closed point of Spec V is mapped by both ˛1 and ˛2 into either one of Xz1 ; Xz2 , the
claim immediately follows, since X1 and X2 are assumed to be separated. If, on the
contrary, say, ˛1 .Spec V / Xz1 and ˛2 .Spec V / Xz2 , since ˛1 and ˛2 coincide
on Spec K, we have a morphism
.˛1 ; ˛2 /W Spec V ! X1 X X2 ;
and hence ˇW Spec V ! W z , since W

z is proper over W D X1 X X2 . Now by the
construction the compositions
ˇ
Spec V z , ! Xzi , ! Xz
!W
(i D 1; 2) are nothing but ˛i , thereby the claim.

Lemma F.3.3 (local extension lemma). For any point y 2 hXicpt there exists a
dense Y -open immersion X ,! Xy of separated Y -schemes of finite type such that
hXy iX contains the point y.
Proof. Take a quasi-compact open subset U of X that is compactifiable by a proper
Y -scheme Ux such that y lies in hU iX X
pc . By the construction of hU ipc we have y 62
hXiU n U . It follows that there exists a quasi-compact open neighborhood V of y
in hU icpt that is disjoint from hXiU n U ; note that V hXicpt . Replacing the com-
pactification Ux of U by a U -admissible blow-up if necessary, we may assume that
there exists a quasi-compact open subset V of Ux such that spUx1 .V / D V (0.2.2.9).
Replacing V by V [ U if necessary, we may assume that V contains U . By the
construction, hXiU \ hV iU D U . Patching X and V along U birationally, we get
a separated Y -scheme of finite type Xy as in F.3.2, such that hXy iU D hXiU [ V.
(Here we used the fact that the specialization map spUx is surjective (0.2.2.13 (2))
and hence hV iU D V.) Since hXy iX \ hU iX X
pc D hXy iU \ hU ipc , hXy iX contains
y, as claimed.
F.3. (b) Proof of the theorem. Now we proceed to the proof of F.1.1. Let
f W X ! Y be a separated Y -scheme of finite type, where Y is a coherent scheme.
First, for any y 2 hXicpt we take Xy as in F.3.3 containing X such that y 2 hXy iX .
Now the quasi-compactness of hXicpt (F.2.11) implies that there exists a finite set
I of hXicpt such that fhXy iX gy2I gives a covering of hXicpt . Then, applying F.3.2
successively, we get a separated Y -scheme Xx of finite type containing X such that
S
hXx iX D y2I hXy iX D hXicpt :
By F.2.13, we conclude that Xx is proper over Y , which therefore gives the desired
compactification.
F.4 Application: Removing the Noetherian hypothesis

Proposition F.4.1. Let Y be a quasi-compact scheme, and f W X ! Y a morphism.
If f is proper and affine, then it is finite.
To show the proposition, we need several preparatory results.
Lemma F.4.2. Let X be a coherent scheme, and U a quasi-compact open subset
of X. Let fZ g2ƒ be a filtered projective system consisting of closed subscheme
of X indexed by a directed set ƒ, such that for each the transition maps
i W Z ! Z are closed immersions over X. Then,
\ \ \
U \ Z D .U \ Z / D Ux \ Z :
2ƒ 2ƒ 2ƒ
T T
Proof. The
T inclusion 2ƒ U \ Z 2ƒ .U \ Z / is obvious. Take
any x 2 2ƒ U \ Z and any quasi-compact open neighborhood V of x. Then
V \ .UT \ Z / ¤ ; for any 2 ƒ. By 0.2.2.10 (2), we deduce that
V \ . 2ƒ U \ Z / ¤ ;. Since this holds for any quasi-compact open neigh-
T
T V of x, we have x 2T 2ƒ .U \ Z /, whence the first equality. The fact
borhood
that 2ƒ U \ Z D Ux \ . 2ƒ Z / is shown in a similar manner.
Proposition F.4.3. Let Y be a coherent scheme and f W X ! Y a separated mor-
phism of finite type. Let fZ g2ƒ be a filtered projective system consisting of closed
subscheme of X indexed by a directed set ƒ, such that for each the tran-
sition maps i W Z ! Z are closed immersions over X. If the projective limit
lim Z is proper over Y , then there exists 0 2 ƒ such that Z is proper over
2ƒ
Y for any 0 .
Proof. Take a proper Y -scheme fNW Xx ! Y together with a dense Y -open immer-
sion X ,! Xx (F.1.1). Let Zx be the scheme-theoretic closure of Z in Xx for 2 ƒ.
x
Suppose that ZT x
\ .X n X/ ¤ ; for any 2 ƒ. Then by the quasi-compactness
of X we have 2ƒ Z x \ .Xx n X/ ¤ ;. On the other hand, we have by F.4.2
T T T
the equality 2ƒ Z x D Z . Therefore, we have 2ƒ Z x \ .Xx n X/ D
T 2ƒ T
x
. 2ƒ Z / \ .X n X/ ¤ ;. But since 2ƒ Z is proper over Y , it is closed in
T
x and hence . 2ƒ Z / \ .Xx n X/ D ;, which is absurd. Therefore, there exists
X,
˛0 such that Z X for 0 , that is, Z is proper.
Corollary F.4.4. Let Y be a coherent scheme, and f W X ! Y a separated mor-
phism of finite type. Let Z be a closed subscheme of X that is proper over Y . Then
there exists a closed subscheme Z 0 of X of finite presentation that is proper over Y
and contains Z scheme-theoretically.
Proof. This follows immediately from [53], (6.9.15), and F.4.3.
Proof of Proposition F.4.1. We may assume that Y is affine. If f is of finite presen-
tation, then there exist a proper and affine morphism f 0 W X 0 ! Y 0 between Noethe-
rian schemes ([54], IV, (8.10.5)) and a morphism Y ! Y 0 such that f D fY0 .
Since the assertion is well known in the Noetherian case, we have the desired result
for the case when f is finitely presented.
In general, write X as a closed subscheme of AnY for some n 0. By F.4.4,
there exists a closed subscheme X 0 , proper over Y , of AnY of finite presentation that
contains X scheme-theoretically. Since X 0 is finite over Y , so is X.
F.5 Nagata embedding for algebraic spaces

Finally, we include here the statement of the compactification theorem for algebraic
spaces ([40] and [30]).
Theorem F.5.1 (Nagata’s embedding theorem for algebraic spaces). Let Y be a

coherent algebraic space, and f W X ! Y a separated Y -algebraic space of finite
type. Then there exists a proper Y -algebraic space
fNW Xx ! Y
that admits a dense open immersion X ,! Xx over Y . Moreover,
(a) there exists a quasi-coherent ideal of OXx of finite type such that the under-
lying topological subspace of the corresponding closed subspace coincides
with the boundary @X D Xx n X and that .@X; OXx = / is a scheme
(b) if X is a scheme, then there exists a compactification fNW Xx ! Y as above
such that Xx is a scheme.
Note that, in view of 0.5.5.9, the contents of (a) can be rephrased without ambi-
guity as the assertion that the boundary @X D Xx n X ‘is’ a scheme.
Exercises
Exercise II.F.1. Let Y be a coherent scheme, f W X ! Y a separated Y -scheme
of finite type, and U X a quasi-compact open subset. Then the open immersion
j W U ,! X induces a closed map hj icpt W hU icpt ! hXicpt . Moreover, hj icpt maps
the open subset hU iXpc isomorphically onto an open subset of hXicpt .
Exercise II.F.2. Let Y be a coherent scheme, and f W X ! Y a separated Y -alge-

braic space of finite type. Let U be a quasi-compact open subspace of X that is a
scheme. Then there exists a U -admissible blow-up X 0 of X that is a scheme.
Solutions and hints for exercises
Chapter 0
Exercise 0.1.2. We may assume that I is countable. To skip the trivial cases, we
may further assume that I does not have maximal elements. For any fixed ˛0 2 I
we may replace I by the final subset f˛ 2 I W ˛ ˛0 g and thus may assume that
I has the minimum element ˛0 . Write I D f˛0 ; ˛1 ; ˛2 ; : : :g. Set L.0/ D ˛0 and
L.1/ D ˛1 and define L.k C 1/ D ˛l.kC1/ for k 1 inductively as follows:
l.k C 1/ is the smallest number such that ˛i < ˛l.kC1/ for l.k 1/ C 1 i l.k/.
Then the resulting map LW N ! I is final.
Exercise 0.2.3. The projective limit X is the underlying topological space of a
scheme that is affine over a coherent scheme; see [54], II, ÷8.2.
Exercise 0.2.7. (1) Consider for each i 2 I the set Gxi of all generizations of xi ,
which is coherent and sober due to 0.2.2.16. For i j there exists the canonical
T Gxj ,! Gxi , which is quasi-compact due to 0.2.1.6. Then the
inclusion map
intersection i 2I Gxi is non-empty due to 0.2.2.10.
(2) Use (1) and apply Zorn’s lemma.
S
Exercise 0.2.8. Set U D nkD1 Uk , and apply 0.2.2.12 to the case when V D Xi .
Exercise 0.2.9. Suppose that X is not connected, and take non-empty open subsets
U0 ; U1 X such that X D U0 [ U1 and U0 \ U1 D ;. Since U0 ; U1 are closed
and X is quasi-compact (0.2.2.10 (1)), U0 ; U1 are quasi-compact. By 0.2.2.9 there
exist quasi-compact open subsets U0i ; U1i Xi for some i 2 I such that U0 D
pi 1 .U0i / and U1 D pi 1 .U1i /, where pi W X ! Xi is the projection map. Since pi
is surjective (0.2.2.14), one deduces easily that Xi D U0i [ U1i and U0i \ U1i D ;.
Exercise 0.2.10. Let x; y 2 ŒX with x ¤ y. Since sepX 1 .x/ D fxg is an overcon-
vergent closed subset of X, by 0.2.3.13 there exists a unique open subset U ŒX
such that sepX 1 .U / D X n fxg. In particular, y 2 U and x 62 U .
Exercise 0.2.11. (1) follows from 0.2.5.7. To show (2), we may assume, in view
of 0.2.5.7, that X is quasi-separated, since the question is local on ŒX. Using
0.2.5.4, take for any x 2 U \ V , a pair .Ux ; Vx / of coherent open neighborhoods
in V of the closure of fxg in V such that Vx contains the closure Ux of Ux in V .
780 Solutions and hints for exercises
Then .U \ Ux ; U \ Vx / gives a pair of open neighborhoods of x in U \ V . Since

U \ Ux ,! Ux and U \ Vx ,! Vx are quasi-compact, U \ Ux and U \ Vx are
coherent. As we have U \ Ux U \ Vx , .U \ Ux ; U \ Vx / satisfies the condition
as in 0.2.5.4.
Exercise 0.2.12. (1) Since the question is local on Y , we may assume that Y is
Hausdorff. Replacing Y by the image of f endowed with the subspace topology
from Y , we may also assume that f is bijective. For any x 2 X, take a relatively
compact open neighborhood Ux of x in X. Then, since Ux is compact, f jUx is a
homeomorphism onto its image. Hence f is a local homeomorphism. Since f is
bijective, f is a homeomorphism.
(2) It suffices to show that a locally compact subspace of Y is open in its clo-
sure. One can reduce by localization to the case where Y is Hausdorff, and in this
situation the claim is well known.
(3) By 0.2.5.7, ŒU and ŒX are locally compact locally Hausdorff spaces.
Exercise 0.2.13. (1) To show the ‘if’ part, we may assume in view of 0.2.5.7 that
X is quasi-separated, since the question is local on ŒX. Let V X be a coherent
open subset. We need to show that U \ V is quasi-compact. Since ŒV is compact
and ŒU is closed, ŒZ \ ŒU D ŒZ \ U is compact. On the other hand, since
U \ V is locally strongly compact (Exercise 0.2.11), the separation map sepU \V
is proper (0.2.5.7), and hence U \ V is quasi-compact, as desired.
S
To show the ‘only if’ part, consider an open covering X D ˛2L U˛ by co-
herent open subsets. Since U \ U˛ is quasi-compact, ŒU \ ŒU˛ D ŒU \ U˛ is
compact, and hence is closed in the Hausdorff space ŒU˛ (0.2.3.18) for each ˛ 2 L.
Then it follows from 0.2.3.26 that ŒU is closed in ŒX.
(2) Take an open subset Z ŒX of ŒX that contains ŒU as a closed subset.
Then Z D sepX 1 .Z/ satisfies the desired property.
Exercise 0.2.14. Let U; V be locally strongly compact open subsets of a locally

strongly compact valuative space X. We want to show that U \V is locally strongly
compact. (Here, recall that X has an open basis consisting of coherent open sub-
sets.) Since the problem is local on ŒX, we may assume in view of Exercise 0.2.12
(3) that ŒU is closed in ŒX. By Exercise 0.2.13 (1), the inclusion map U ,! X is
quasi-compact. Now apply Exercise 0.2.11 (2).
Exercise 0.2.15. We want to show that, for any coherent open subset U X,
the inclusion map U ,! X is quasi-compact. Since U is locally strongly com-
pact (0.2.5.2), ŒU is identified with a subspace of ŒX (Exercise 0.2.12 (3)). Since
ŒU is compact and ŒX is Hausdorff, ŒU is closed in ŒX. Hence U ,! X is
quasi-compact by Exercise 0.2.13 (1).
Solutions and hints for exercises 781
Exercise 0.3.1. See [68], ÷2.

Exercise 0.3.3. Consider the homomorphism of the form A˚p ! A. We want to
show that its kernel is finitely generated. There exist i 2 I and a map A˚p
i ! Ai
that induces the above map by the tensor product with A. Since Ai is coherent, its
kernel K is finitely generated. Since A is flat over Ai , the kernel of A˚p ! A is
given by K ˝Ai A.
Exercise 0.3.4. The ring in question is coherent due to Exercise 0.3.3. To see that
it is not Noetherian, consider a prime number p and the sequence of ideals
p p p
n
.p/ . p/ .4 p/ .2 p/ ;
which one can show is strictly increasing using the p-adic valuation.
Exercise 0.4.1. We may assume that X is affine, X D Spf A, where A is a Noethe-
rian adic ring with an ideal of definition I A. Let p (resp. q) be the open
prime ideal corresponding to x (resp. y); we have p q. Then OX;x D AfS g
and OX;y D AfT g (in the notation as in [54], 0I , ÷7.6; notice that these are Noethe-
rian rings ([54], 0I , (7.6.18))), where S D A n p and T D A n q. We have a
commutative square of rings
.Ayp /qAyp / Ayq

O O
.AfS g /qAfS g / AfT g
where Ayp (resp. Ayq ) denotes the I -adic completion of the localization Ap (resp.
Aq ). One needs to show that the lower horizontal arrow is faithfully flat. By [54],
0I , (7.6.2) and (7.6.18), the vertical arrows are faithfully flat. Moreover, since the
I -adic completion of .Ayp /qAyp is nothing but Ayq , the upper horizontal arrow is
faithfully flat ([27], Chapter III, ÷3.5, Proposition 9). Hence .Afpg /qAfpg ! Afqg is
faithfully flat.
Exercise 0.4.2. Using 0.4.1.10, reduce the questions to questions for inductive
limits of rings. Then use the results in 0, ÷3.1. (a).
Exercise 0.4.3. Let pi W X ! Xi be the projection for each i 2 I . We need to
show that, for any quasi-compact open subset U X, the kernel of a morphism of
OU -modules of the form
˚p
'W OU ! OU
is of finite type. To show this, in view of 0.2.2.9 and 0.4.1.11, we may assume
U D X. By 0.4.2.1, there exists i 2 I and a morphism 'i W Fi ! Gi of finitely
presented OXi -modules such that pi 'i Š '. Since Xi is cohesive, these sheaves
are coherent OXi -modules, and hence Ki D ker 'i is again coherent. Now by
Exercise 0.4.2 (1) it follows that the induced sequence
˚p
0 ! pi Ki ! OX ! OX
is exact, where pi Ki is clearly of finite type.

Exercise 0.5.1. The ‘if’ part is clear. Suppose U is quasi-compact, and consider
a closed subscheme Y with the underlying topological space X n U . Let J be the
defining ideal of Y in X. By [54], I, (9.4.9), and IV, (1.7.7), one can write J as
a filtered inductive limit of quasi-coherent
S subideals Ji of OX of finite type. Set
Ui D X n V .Ji /. Then U D Ui . Since U is quasi-compact, we have U D Ui
for some i .
Exercise 0.5.2. By [53], (2.3.5), we know that f is an affine morphism. Thus we
can assume that X and Y are affine, X D Spec A and Y D Spec B. Let I A be
the nilpotent finitely generated ideal such that Iz D . By induction with respect to
n 1 such that I n D 0, we may assume that I 2 D 0. The assumption is that the
induced map A=I ! B=IB is surjective. By [81], Theorem 8.4, (see 0.7.2.4), B
is finitely generated as an A-module. To show that A ! B is surjective, it suffices
to show that the map I ! IB is surjective (by the snake lemma). Let C be the
cokernel of I ! IB. Then C is a finitely generated A-module such that IC D 0.
By Nakayama’s lemma, C D 0.
Exercise 0.5.3. We mimic the proof of [15], Exposé II, Corollary 2.2.2.1, which
refers to [15], Exposé II, Proposition 2.2.2, in which the Noetherian hypothesis
is used only in the end of the proof, where one refers to [54], I, (9.4.9). It uses
the fact that quasi-coherent sheaves of finite type on locally Noetherian schemes
are coherent. We replace this part of the proof by the following argument: for any
quasi-coherent sheaf F of finite type, there exist a coherent sheaf G and a surjective
morphism G ! F . This follows from [54], II, (2.7.9).
Exercise 0.6.2. (3) Embed Spec A into .PV1 /n , and show that the closure is finite
using the projections .PV1 /n ! PV1 .
Exercise 0.6.3. By Exercise 0.6.2 (1), it suffices to show that M is torsion free if
and only if M is a-torsion
T free.n This follows from the following observation: for
n
any x 2 V n f0g, since n0 .a / D 0, there exists n 0 such that x 62 .a /; then
we have an D xy for some y 2 V .
Exercise 0.6.4. (1) By 0.6.1.4, the totally order commutative group V is order iso-
morphic to an ordered subgroup of Rd (where d D ht.V /) with the lexicographical
order (cf. 0.6.1.3). Take a 2 V such that v.a/ D .i1 ; : : : ; id / with i1 > 0. Then
for any element bT2 V n f0g there exists n 0 such that v.b/ < v.an /, that is,
b 62 an V . Hence, n0 an V D f0g.
(2) Consider the quotient ring V =p, which is again a valuation ring such that
0 < ht.V =p/ < C1 (0.6.4.1 (1) and 0.6.4.3). Now apply (1).
Exercise 0.7.1. An element x 2 M lies in N x if and only if .x C F / \ N ¤ ; for
any 2 ƒ, where the last condition is equivalent to x 2 N C F for any 2 ƒ.
T
Exercise 0.7.2. Consider the closure J D 2ƒ .gA C I ./ / of the ideal gA. Let
x 2 J . For any 2 ƒ, we have a 2 A and b 2 I ./ such that x D ga C b .
For , we have g.a a / D b b 2 I ./ . Since .g mod I ./ / is a non-
zero-divisor in A=I ./ , we have a a 2 I ./ for any . HenceTfa g2ƒ is a
Cauchy sequence, converging to an element a 2 A. Since x ga 2 2ƒ I ./ D
f0g, we have x 2 gA.
Exercise 0.7.5. (1) By 0.3.2.8, the exact sequences
0 ! N=F .n/ ! M=F .n/ ! M=N ! 0
induce, by passage to the projective limits, the exact sequence
0 ! NF^ ! MF^ ! M=N ! 0
(cf. 0, ÷7.1. (d)).

(2) If F is separated, then the canonical maps M ! MF^ and N ! NF^ are
injective. Since M=N Š MF^ =NF^ , we have NF^ \ M D N .
Exercise 0.7.6. See [54], 0I , ÷7.7.
y
T a-adic completion V coincides with the a-adic completion of
Exercise 0.7.7. The
V =p, where p D n0 .an /.
Exercise 0.7.8. We show that the condition implies (AP) (resp. (APf)). Let M
be a finitely generated A-module and N M an A-module (resp. a finitely gen-
erated A-submodule). For any fixed n 0, consider Nx D N=I n N , which is an
x n x m x
A-submodule of M D M=I N . As N \ I M D 0 for some m 0, we have
N \ I mM I nN .
Exercise 0.7.9. Consider an exact sequence of the form
0 ! K ! A˚n ! M ! 0
and the induced commutative diagram with exact rows
0 / K^ / Ay˚n yO
/M /0
I A˚n
O \K
K ˝A Ay / Ay˚n / M ˝A Ay /0
./
where KI^ A˚n \K denotes the Hausdorff completion of K with respect to the in-
duced filtration I A˚n \ K. By 0.7.4.18, the image of ./ is closed in Ay˚n with
respect to the I -adic topology. This implies that the left-hand vertical map is sur-
jective. The right-hand vertical map is an isomorphism by the snake lemma.
Q
Exercise 0.8.1. We need to show that the map riD1 Spec .Afi /Zar ! Spec A
is surjective. It suffices to verify that for any prime ideal p A there exists i
.1 i r/ such that fin C ax 62 p for any n 0, a 2 I , and x 2 A. Suppose, by
n
contradiction, that for each 1 i r we have fi i C ai xi 2 p for some ni , ai , and
n
xi . One can assume n1 D Pr D nrn D n. Since .f1 P; : : : ; frn / D A, there exists
b1 ; : : : ; bn 2 A such that i D1 bi fi D 1. Then 1 C riD1 ai bi xi 2 p \ .1 C I /,
which is absurd, because A is I -adically Zariskian.
Exercise 0.8.2. Set L D image.f /. By 0.8.2.14, the topology on L defined by the

filtration fL \ an N gn0 coincides with the a-adic topology. Since N is a-adically
separated, L is a-adically separated, and hence the kernel ker.f / is closed in M
with respect to the a-adic topology. By 0.7.4.6, L is a-adically complete and hence
is Hausdorff complete with respect to the filtration fL \ an N gn0 . This implies
that L is closed in N (cf. Exercise 0.7.1).
Exercise 0.8.3. We may assume I .f /. Suppose f m x 2 aN for x 2 A and

m 1. By Exercise 0.7.1, for any n 1 we have f m x D an C yn , where an 2 a
and yn 2 I n . Since I .f /, one can write yn D f m zn for any n > m, where
zn 2 I n m . Then for n > m we have f m .x zn / D yn 2 a. Since a is f -saturated,
x zn 2 a for any n > m, whence x 2 aN .
T
Exercise 0.8.4. Due to Exercise 0.6.4 (2) there exists a 2 mV such that n0 an Vz

is a height-one prime ideal. Show that Vz a1 D W and apply 0.8.5.15.
Exercise 0.8.6. Consider the exact sequence 0 ! N \P ! N ˚P ! N CP ! 0.

Since N C P M is I -torsion free, it is finitely presented.
Exercise 0.8.8. (1) Since h is adic, h.J / J 0 , hence

h induces a local homomor-
phisms V ! V 0 . Moreover, h induces g D h a1 W B ! B 0 , which is local, for
h.J / J 0 . Since K D B=J ! B 0 =J 0 D K 0 , being a homomorphism between
fields, is injective, V ! V 0 is also injective. Moreover, since V ! V 0 is local
between valuation rings, one can easily show that V D K \ V 0 in K 0 .
(2) Since A D ff 2 BW .f mod J / 2 V g and V D K \ V 0 , we can deduce that

g .A0 / D A.
1
Exercise 0.9.1. We first show the claim in the case where both V and V 0 are of
height one. In this case, the real valued valuation on V restricts to that of V 0 , and
hence Cauchy sequences in V are Cauchy sequences in V 0 . Hence we have V bV c0
in this case. In general, take the associated height one primes p V and p V 0 ,
0
respectively. By 0.9.1.10, we have V b c Vp and similarly for V 0 . By this and the

above-discussed height one case, we have the desired result.
Exercise 0.9.2. (1) Let V be the filtered inductive limit of subrings V D lim A ,
!2ƒ
where each A is finitely generated over Z (and hence Noetherian). Localizing at
the prime ideal mV \ A , we may assume that A are local rings and that the maps
A ! A and A ! V are local. Let K D Frac.A / for 2 ƒ, and consider
the composite valuation K ,! K ! V [ f1g, which defines, as the subset
of all elements in K with non-negative values, a valuation ring V for K that
dominates the local ring A . Since A is Noetherian local, we know by 0.6.5.2
and 0.6.2.8 that each V is of finite height. Clearly, we have V D lim V , since
!2ƒ
A V V for each 2 ƒ.
(2) Suppose V is a-adically separated, and write V D lim V as in (1).
!2ƒ
We may assume T that a 2 VT for any 2 ƒ. Then each V is a-adically sepa-
rated, since n0 an V n0 an V D f0g. Suppose V is a-adically complete.
Then by Exercise 0.9.1, we have V c V , each of which is of finite height (see
0.9.1.1 (5)), and V D lim c
V .
!2ƒ
Exercise 0.9.3. First note that for any non-zero element T b 2 V there exists m 0
such that am divides b, but amC1 does not; in fact, since m0 am V D 0, we have
P
b 2 am V n amC1 V for some m 0. Let f D 1 ;:::;n b1 ;:::;n X11 Xnn . The
the numbers m such that b1 ;:::;n 2 am V namC1 V increase as j1 C Cn j ! 1.
Then the ideal cont.f / is generated by b1 ;:::;n ’s that have the minimal m.
Exercise 0.9.4. (1) The case k D 0 follows from [18], (7.1.1/2); then the equality
mkC1
0 A D mkC1 for any k 0 follows immediately. For k > 0 we look at the
following commutative diagram with exact rows:
0 / mk =mkC1 / A=mkC1 / A=mk /0

O O O
0 / mk =mkC1 / A0 =mkC1 / A0 =mk / 0.

0 0 0 0
The rightmost vertical arrow is an isomorphism by induction with respect to k. It

suffices to show that the map mk0 =mkC10 ! mk =mkC1 between finite-dimensional
vector spaces over the residue field A=m D A0 =m0 is an isomorphism. Since
mkC1
0 A D mkC1 , it is surjective. Since one sees easily that mkC1
0 D mkC1 \ A0 ,
it is injective, too.
b
(2) For any maximal ideal m A, the m-adic completion Am of Am is iso-
morphic to the m0 -adic completion of the regular local ring .A0 /m0 , where m0 D
m \ A0 , and hence Am is regular. Now apply Serre’s theorem ([81], Theorem 19.3).
p
Exercise 0.A.2. Let us set A0 D A ˝V V 0 and p D aV , the associated height one
prime of V . Note that V 0 D Vp .
(1) Let us first assume that A is V -flat. If V is of height one, then the desired
results follow from Noether normalization (0.9.2.10). In general, we know that A0
is finite over V 0 , and that A=pA is of finite type over V =p. Since A is V -flat, A is
of finite type over V due to 0.8.7.11 (2).
In case A is not necessarily V -flat, let J D Aa-tor and B D A=J . Notice that J
is finitely generated. Employing the inductive argument with respect to n for which
an J D 0, one may assume aJ D 0. Then one has the exact sequence:
Tor1 .B; V =a/ ! J ! A=aA ! B=aB ! 0; ./
with Tor1 .B; V =a/ D 0. We know B is of finite type over V , and take a generating
set fx1 ; : : : ; xn g. Take yi 2 A (i D 1; : : : ; n) that is mapped to xi in B. Let
z1 ; : : : ; zm be the topological generator of A over V , and consider the subring C D
V Œz1 ; : : : ; zm; y1 ; : : : ; yn A. In view of ./, we deduce that J C and C =J Š
B.
(3) By height-one localization and patching argument as above, one can reduce
to the situation where V is of height one. Since B D A=J is V -flat and finite
outside aV , it is quasi-finite over V . According to [54], IV, (18.12.3), one has
a decomposition B D B 0 B 00 , where B 0 is finite over V , and B 00 ˝V k D 0
(k D V =mV is the residue field). We have B b0 D Bb and B 00 D ker.B ! B/.b Now,
00 b 00
set A D ker.A ! A/; A is an ideal of A consisting of a-divisible elements,
that is, for any f 2 A00 and any n 1, there exists g 2 A00 such that f D an g.
Since the a-torsion part J of A is bounded, we have A00 \ J D f0g. By this and
J D ker.b A ! B/, y one has A00 Š B 00 , which gives a section to the surjective
morphism A ! B 00 by the composition A ! B D B 0 B 00 ! B 00 . Hence we
have a decomposition A Š A0 A00 with A0 ,! b A. Since A00 is a-divisible, we
00
have A ˝V .V =aV / D 0. Moreover, one has the exact sequence
0 ! J ! A0 ! B 0 ! 0:
In particular, A0 is a-adically complete, since so are J and B 0 .

Exercise 0.A.3. Apply 0.A.2.1 to get X 1 .f / D uf C r, where r has no exponent
in .1 .f /; 0; : : : ; 0/ C Nn , that is, r is a polynomial in X1 of degree < 1 .f /. Set
.f /
g D X1 1 r. We have uf D g. Dividing out by mV , we have the equality of
polynomials uN fN D gN with coefficients in k D V =mV ; since the leading degrees
in X1 of fN and gN coincides and their leading coefficients are units, we deduce that
uN 2 k and hence that u is a unit. For the uniqueness, observe that for a given f
the equality X 1 .f / D uf C r with r being a polynomial in X1 of degree < 1 .f /
determines u and r.
Chapter I
Exercise I.1.3. We may assume that X D Spf A for an admissible ring A and that
D I and 0 D I 0 for ideals of definition I; I 0 A. It is then easy to see
that I \ I 0 is an ideal of definition. If F D fF g2ƒ is a descending filtration of
ideals that defines the topology on A, then
.I \ I 0 / D lim I \ I 0 =F
F I \I 0
D lim I=F \ I 0 =F
F I \I 0
D .lim I=F / \ .lim I 0 =F /
D I \ I 0 ;
which shows that \ 0 is an ideal of definition.

Exercise I.1.4. We may assume that X D Spf A and D I , where I is an
ideal of definition of the adic ring A. Since A is I -adically complete, I is finitely
generated if I=I 2 is so (0.7.2.4). Then apply I.1.1.21.
Exercise I.1.5. See [53], (3.2.4).
Exercise I.1.6. Take g 2 A such that f j.g/ belongs to I A. y Then for an open
prime ideal p of Ay the element f does not belong to p if and only if j.g/ does not
y
belong to p, since p contains the ideal of definition I A.
Exercise I.1.8. By I.1.4.3, the space X is an adic formal schemes of finite ideal
type. To show that X ! Y is adic, we may work in the affine situation, and the
claim follows from 0.7.2.12.
Exercise I.3.1. We may assume that X is affine, X D Spf A, where A is an adic
ring with the finitely generated ideal of definition I such that D I . Then
by I.3.2.7 we have B D B for an I -adically complete A-algebra B. It follows
from I.3.2.8 (2) that B is an adically quasi-coherent sheaf of finite type if and only if
B is finitely generated as an A-module, which is further equivalent to B=IB being
finitely generated (0.7.2.4). Since B= B D B=IB z (I.3.2.2), the claim follows
from [53], (1.4.3).
Exercise I.3.2. We may assume that X is affine, X D Spf A, where A is a t.u.

rigid-Noetherian ring, and that D I , where I A is a finitely generated ideal
of definition. By I.3.5.6, the morphism ' comes from a morphism f W M ! N
between finitely generated A-modules, and we have coker.'/ D coker.f / , which
is an a.q.c. sheaf of finite type; in particular, its -torsion part is bounded, since
coker.f /I -tor is bounded I -torsion. Let K D ker.f /. By I.3.5.3, we deduce that
K D ker.'/. Since MI -tor is bounded I -torsion, KI -tor is also bounded I -torsion.
Exercise I.3.3. Set X0 D .X; OX = /, and define U0 similarly. Then F0 D F = F

is a quasi-coherent sheaf on X0 , and G0 D G = F jU is a quasi-coherent subsheaf of
F0 of finite type. Since X0 is a coherent scheme (I.1.6.9) and U0 is a quasi-compact
open subset of X0 , we may apply [54], I, (9.4.7), and IV, (1.7.7), to deduce that
there exists a quasi-coherent subsheaf G00 of F0 of finite type that extends G0 . Let
G 0 be the inverse image sheaf of G00 by the canonical map F ! F0 . By I.3.7.2 it is
an a.q.c. subsheaf of F of finite type.
Exercise I.3.4. For any open subset U X, consider the set SU of all finite type
a.q.c. subsheaves H of G jU such that s jU .G jU =H / D 0 for some s > 0. If U
is affine, one has SU ¤ ;. To show that SX ¤ ; by induction with respect to the
number of quasi-compact open subsets in a finite covering of X, we may assume
that X is covered by two quasi-compact open subsets U1 and U2 such that SU1 and
SU2 are non-empty. Take Hi 2 SXi for i D 1; 2. Let H12 be the a.q.c. subsheaf of
finite type of G jU1 \U2 on U1 \ U2 generated by H1 jU1 \U2 and H2 jU1 \U2 . Since
H12 =H1 jU1 \U2 is bounded -torsion, by Exercise I.3.3 one may extend the quasi-
coherent sheaf H12 .i D 1; 2/ onto Ui to get an a.q.c. subsheaf of finite type Hzi
of G jUi that contains Hi . The sheaves Hz1 and Hz2 patch together to an element
of SX . For H 2 SX the sheaf G =H is annihilated by n for some n > 0. Hence
it defines a quasi-coherent sheaf on the scheme .X; OX = n /. As it is an inductive
limit of quasi-coherent subsheaves of finite type, we get the desired result by pull-
back (cf.˜I.3.7.2).
Exercise I.3.5. Let M L, where L is a finitely generated A-module. Consider

the commutative diagram with exact rows (due to I.3.5.3)
0 / .M=N / / .L=N / / .L=M / /0

O O
0 / M / L / .L=M / / 0.
The desired exact sequence follows by the snake lemma.


rigid-Noetherian ring with a finitely generated ideal of definition I A.
(1) Consider for each k 0 the induced exact sequence
0 ! F =F \ kC1 G ! G = kC1 G ! H = kC1 H ! 0; ./
where D I . Since each F =F \ kC1 G is quasi-coherent, from I.1.1.23 we

deduce that the sequence
0 ! .X; F / ! .X; G / ! .X; H / ! 0
is exact. By I.3.5.3, we have F D .X; F / , which is a.q.c..

(2) Let N D .X; F / ,! M D .X; G /; M is finitely generated. We have
N D F and M D G . Hence the claim follows from I.3.5.3.

Exercise I.3.7. (1) See [53], (10.10.2.7).

(2) Use [53], (10.10.2.9), and I.3.5.6.
(3) It suffices to show that J is of finite type. We may assume that X is affine,
X D Spf A, where A is a Noetherian adic ring. Set J D .X; J/, which is an ideal
of A, and hence is finitely generated. We have the canonical morphism J ! J.
Now show that this is an isomorphism.
adhesive ring with a finitely generated ideal of definition I A and A is I -torsion
free. Consider the exact sequence
0 ! J \ J 0 ! J ˚ J 0 ! J C J 0 ! 0;
and compare it with the exact sequence
0 ! J \ J 0 ! J ˚ J 0 ! J C J 0 ! 0;
where J D .X; J/ and J 0 D .X; J 0 /, which are I -admissible ideals of A. By

Exercise 0.8.6, the intersection J \ J 0 is finitely generated. Hence, applying the
exact functor ./ in I.3.5.6, we get the first exact sequence from the second one.
This implies that J \ J 0 D .J \ J 0 / , which is an admissible ideal.
Exercise I.4.1. We may assume that X and Y are affine, X D Spf A and Y D
Spf B, and that the morphism f W X ! Y comes from an adic map B ! A between
adic rings of finite ideal type. Let I B be a finitely generated ideal of definition
of B such that I D , and M be the A-module such that F D M . Then we have
f M D MŒB
, where MŒB is the module M regarded as a B-module (I.4.1.4).
By I.3.2.4, f kC1 M D .I kC1 M / ŒB
D I kC1 MŒB
D I kC1 f M , which
shows the assertion for the module sheaf F . The other case is similar.
Exercise I.4.2. All the assertion follow from I.3.5.3.

Exercise I.4.3. We consider the conormal cones
L L
grI .A/ D n0 I n =I nC1 and grIB
.B/ D n0 I n B=I nC1 B

(cf. 0, ÷7.5). Since grIB .B/ D grI .A/ ˝A B D grI .A/ ˝A0 B0 , where A0 D A=I
and B0 D B=IB, and since Spf B ! Spf A is adically faithfully flat, we deduce
that the map grI .A/ ! grIB
.B/ is faithfully flat. Now consider
L L
grF .A/ D n0 F n =F nC1 and grFB .B/ D n0 F n B=F nC1 B;
which are a graded grI .A/-module and a graded grIB

.B/-module, respectively.

Since grFB .B/ D grF .A/ ˝grI .A/ grIB .B/, grF .A/ is finitely generated as a
grI .A/-module if and only if grF B .B/ is finitely generated as a grIB

.B/-module.
Hence the assertion follows from 0.7.5.2.
Exercise I.5.4. Set Xk D .X; OX =I kC1 OX / and Yk D .Y; OY =I kC1 OY / for
k 0 (where I A is a finitely generated ideal of definition), and consider the
induced map fk W Xk ! Yk . Then f is proper if and only if f0 is proper. Then the
claim follows from [54], II, (5.6.3) (where we first reduce to the case where Y is
affine, and use [54], IV, (8.10.5.1), instead of [54], II, (5.6.1)).
Exercise I.6.2. Use the same technique as in the proof of I.6.3.5; cf. [72], II.1.7.
Exercise I.6.3. We may assume that Y has an ideal of definition of finite type .
By I.3.7.10, we have fc n D n OX for n 1. Since fc J is an ideal of definition
of X, there exists n 1 such that fc n fc J OX . By this, one has an a.q.c.
ideal sheaf H containing I n such that fc J D fc H , whence H D J. Notice that
J is an open ideal of OY . In particular, J m for any m 1 is again an open a.q.c.
ideal. For a sufficiently large m 1 we have .fc J/m fc . Combined with
the canonical morphism fc J m ! .fc J/m , we conclude again by I.6.1.11 that
Jm .
Exercise I.6.4. See [72], II.3.13.
Exercise I.6.6. Reduce to the situation where X has an ideal of definition, and
apply [72], II.6.7, and I.6.3.21; cf. [89], Première partie, (5.7.7).
Exercise I.8.1. For any coherent sheaf F on X there exists, by I.8.1.2, an integer n
such that .f f F .n//. n/ ! F is surjective. Let M be the B-module such that
Mz D f F .n/. Find a finitely generated B-submodule N of M such that the map
.f Nz /. n/ ! F is surjective. Then replace N by a free B-module of finite rank.
Prove in this way that anyL coherent sheaf on X admits a resolution by coherent
sheaves of the form O.n/ m , which are projective objects in the category QCohX .
Then use 0.C.5.3 (2).
Exercise I.8.2. Take a quasi-compact representable étale covering Y ! X, and

set R D Y X Y . The projections p1 ; p2 W R ! Y give an étale equivalence
relation (defining X) such that .p1 ; p2 /W R ,! Y A Y is an immersion (resp. closed
immersion). Since Y and R are finitely presented over A, there exist a filtered
family fA g2ƒ of subrings of A of finite type over Z and a projective system
fp1; ; p2; W R ! Y g2ƒ of diagrams that converges to p1 ; p2 W R ! Y , such
that for each 2 ƒ, R and Y are finite type over A . Then by Exercise 0.1.3
p1; ; p2; W R ! Y defines an étale equivalence relation for sufficiently large
2 ƒ.
Exercise I.10.1. The ‘if’ part is clear. To show the converse, by a reduction argu-
ment similar to that in [54], III, (4.6.8), we may assume that Y D Z and that it is
affine, Y D Z D Spec A. Let I A be the finitely generated ideal that defines
W Z. Since f 1 .y/ is a singleton set for any y 2 W , there exists an open neigh-
borhood U of W such that f 1 .U / ! U is quasi-finite (this follows from [54], III,
(4.4.11), applied with the standard limit argument (cf. [54], IV, ÷8.10)). Hence, we
may assume f is quasi-finite; since f is proper of finite presentation, one deduces
by Zariski’s Main Theorem ([54], IV, (8.12.6)) that f is finite. Hence X D Spec B,
where B is a finite A-algebra. Now since A is I -adically universally adhesive (and
so is B), the map AZar ! Ay is faithfully flat (and so is B Zar ! B),
y where AZar is the
associated Zariskian ring (0.7.3.8 (2) and 0.8.2.18 (2)). Moreover, by 0.8.2.18 (1)
we know that By D B Zar ˝AZar A. y Hence the map Ay ! By is an isomorphism (resp.
surjective) if and only if AZar ! B Zar is an isomorphism (resp. surjective). Since
AZar is the inductive limit of the rings of the form A.1Ca/ , where a 2 I , we have
the desired result.
Exercise I.C.1. It suffices to show the assertion in the following two cases:
(a) f is injective;
(b) f is surjective.
Case (a). Since M=N is bounded I -torsion, we have I n M N for a suffi-
ciently large n 0. This implies that the subspace topology on N induced from
the I -adic topology on M is the I -adic topology, since I nCk N I nCk M D
I nCk M \ N I k N for any k 0. Hence by 0.3.2.8 and 0.7.2.3 the sequence
0 ! Ny ! M
y ! M=N ! 0
is exact, where y denotes the I -adic completion. The assertion follows from this.
Case (b). In this case, K D ker.f / is bounded I -torsion. Since the subspace
topology on K induced from the I -adic topology on N is the I -adic topology
arguing in much the same way as above we have the exact sequence
0 ! K ! Ny ! M
y ! 0:
Exercise I.C.2. Take any FP-approximations ˛W F 0 ! F and ˇ 0 W G 00 ! G , and

consider the fiber product K of the maps ' ı ˛ and ˇ 0 , which is an a.q.c. subsheaf
of the direct sum F 0 ˚ G 00 . Then mimic the argument as in the proof of II.C.2.3
(use Exercise I.3.4 in the formal scheme case).
Chapter II
Exercise II.1.2. Let J be an admissible ideal that gives the admissible blow-up
W X 0 ! X:
Consider the admissible ideals JOY on Y and JOY 0 on Y 0 , and let Z ! Y and
Z 0 ! Y 0 the respective admissible blow-ups. We want to show that Z and Z 0 are
isomorphic. By II.1.1.4 (3), there exists Z 0 ! Z that makes the resulting square
commutative. Similarly, by II.1.1.4 (3), we have Z ! X 0 , which induces Z ! Y 0 .
Then one sees, again by II.1.1.4 (3), that there exists an arrow Z ! Z 0 . It is then
easy to verify that these arrow Z ! Z 0 and Z 0 ! Z are inverse to each other.
Exercise II.1.3. Consider U D Spf Aff g X for any f 2 A. The module

.U; FJ-tor / is the J -torsion part of .U; F / D M b̋A Aff g D M ˝A Aff g ;
see (0.8.2.18 (1)). Since Aff g is flat over A (0.8.2.18 (2)), we have .U; FJ-tor / D
MJ -tor ˝A Aff g . On the other hand, since J is I -admissible, we have MJ -tor
MI -tor , and MJ -tor ˝A Aff g is bounded I -torsion. Then, by 0.8.1.4 and I.3.2.1,
we have .U; .MJ -tor / / D MJ -tor ˝A Aff g . Therefore, FJ-tor D .MJ -tor / , as
desired.
Exercise II.1.4. We may work in the affine situation X D Spf A where A is a t.u.
rigid-Noetherian ring. Then the claim follows from Exercise II.1.3 and I.3.5.3.
Exercise II.1.5. By I.3.6.2, we know that F is an a.q.c. sheaf of finite type on

X 0 . By I.3.7.6, the sheaf JOX 0 is an admissible ideal of OX 0 . Hence the assertion
follows from Exercise II.1.4.
Exercise II.1.6. Since B is J -torsion free, we have K D .J ˝A B/J -tor . In particu-

lar, we can deduce, similarly as in the hint for Exercise II.1.3, that K is a bounded
I -torsion module and hence is I -adically complete. From this it follows, by an
argument similar to that in the hint for Exercise II.1.3, that K D K , whence (1).
Then by Exercise II.1.3 one has (2).
Exercise II.2.2. For a quasi-separated X, cover X by coherent open subsets, and

then construct X rig as a stretch of coherent rigid spaces. In general, cover X by
coherent open subsets (e.g., affine), and mimic the construction as in II.2.2.18.
Exercise II.3.1. Mimic the proof of [53], (6.9.17), with the following modifica-
tions:
consider the modules R and S as in [53], p. 323; it follows that R=S is
I-torsion; since R=S is a submodule in the finitely generated A-module
A˚mn =S , the I-torsion is bounded;
use (AP) instead of Artin–Rees lemma in [53], p. 324.
Exercise II.3.2. We may assume that X is a coherent rigid space. Then there exists
a formal model X of X on which there exist ideals of definition X and X0 such
that D .spX 1 X /OX int
and 0 D .spX 1 X0 /OX
int
. Then the assertion follows from
the fact that there exist n; m > 0 such that Xm X0n X .
Exercise II.3.4. If X has a Noetherian formal model X, then any admissible blow-
up X 0 of X is again Noetherian, since X 0 is of finite type over X (cf. [54], I,
(10.13.2)), whence (a) H) (b). Next, suppose (b) holds, and let U X be a quasi-
compact open subspace. Then there exists a Noetherian formal model X of X
having a quasi-compact open subset U that corresponds to U (II.3.1.3), whence
(b) H) (c). Implication (c) H) (d) is clear. To show (d) H) (a), take a finite open
covering fU˛ g˛2L as in (d). By II.3.1.3, there exists a formal model X and an
open covering fU˛ g˛2L of X such that each U˛ gives a formal model of U˛ (cf. II,
÷3.4). Applying (a) H) (b) to each U˛ and replacing X by an admissible blow-up
if necessary, we may assume that each U˛ is Noetherian. Then X is Noetherian, as
desired.
Exercise II.4.2. Cf. 0.2.3.24.
Exercise II.5.1. Replacing X by admissible blow-ups and the sheaves by their
strict transforms, one can assume that n FX jU m GX jU FX jU holds for
positive integers n; m. Then since FX C GX is obviously a.q.c. of finite type and
also X -torsion free, it gives a lattice model. By the exact sequence
0 ! FX \ GX ! FX ˚ GX ! FX C GX ! 0;
FX \ GX is of finite type, since FX C GX if finitely presented. Hence the assertion

for FX \ GX follows.
Exercise II.5.2. We can start from the following situation (similarly to that in
Step 3 of the proof of II.5.2.4): X is a distinguished
S formal model of X having an
invertible ideal of definition X , hXi D n˛D1 U˛ is a finite open covering, and for
each ˛ we have
an admissible blow-up X˛ ! X and a quasi-compact open subset U˛ of
X˛ such that U˛ D spX˛1 .U˛ /;
a positive integer s (independent on ˛);
a formal model FX˛ of F on X˛ and a weak isomorphism
'Q˛ W Xs OX˚r jU˛ ! FX˛ jU˛
rig
such that 'Q˛ D 'jU˛ .
Note that, since X is invertible, each Xs OX˚r jU˛ is locally free. By an argument
similar to that in Step 3 of the proof of II.5.2.4, one finds a further admissible
blow-up on which the strict transforms of Xs OX˚r jU˛ and FX˛ jU˛ glue together
and gives rise to a weak isomorphism between the resulting lattice models. Taking
the admissible blow-up to be a distinguished formal model of X, one sees that the
resulting gluing of the strict transforms of Xs OX˚r jU˛ is locally free.
Exercise II.6.1. See [18], (7.2.3/7).
Exercise II.6.2. Let A0 D .X 0 ; OX 0 /, and consider the morphism
qW X 00 D Spf A0 ! Spf A
induced by the strict weak isomorphism A ! A0 (II.6.2.2). Then we have OX 0 D

q OX 00 . Since q is affine, q OX 00 is a.q.c. by I.4.1.5.
Exercise II.6.3. Set X D .Spf A/rig . For any closed point
x 2 s.X/ D Spec A n V .I /;
take a map Spec V ! Spec A from the spectrum of a valuation ring such that the
generic point is mapped to x and the closed points are mapped in V .I /. Then we
have a rigid point Spf Vy ! hXi.
Exercise II.7.2. Easy by II.7.5.16.
Exercise II.9.1. Take an object .X ,! X/ N of EmbXjS , and let Z and Z x be as

in II.9.1.2. Then, by II.9.1.9, we have X an D .XxU /an n Z an . Let J be the ideal
defining Zx in X,
x which we may assume to be invertible; we may moreover assume
I OXx is invertible. Let Xxn for each n 1 be the blow-up of Xx along the ideal
J n C I OXx , and Xzn the maximal open set of Xxn where J n OXxn generates the ideal
J n OXxn CI OXxn . Then Xzn ! Xx is affine for any n 1 and we have lim .Xyz /rig D
an
!n n
X .
Exercise II.C.1. Only (a) H) (c) calls for a hint. Suppose GrF A D f0g. Then
one can show F D F C . Consider the seminorm asssociated to F . Since 1 2
C
F<1 D F<1 , .1/ < 1, which implies (c).
Exercise II.C.2. Let F be the filtration induced from . Then .K; F / is a filtered
valuation field of maximal type, and we have V .F /1 . Consider Vx D V =.F /<1 ,
which is a subring of GrF ;1 K. We regard Vx as a graded local subring of GrF K by
0-extension (cf. II, ÷C.2. (a)). By II.C.2.4, there exists a graded valuation subring
of GrF K, whose unit-element part coincides with Vx . Hence by II.C.3.5, we have
a filtration F on K such that .K; F / is a filtered valuation field with F1 D V .
Exercise II.C.3. Reduce to the case where A is a Banach field by the proper con-
tinuous mapping M.Ahhr 1 T ii/ ! M.A/.
Exercise II.C.5. (3) Consider L D K st as in C.3.20. We first show that
SpecRC Gr AL ! SpecRC Gr A
is surjective. This follows from the surjectivity of spA and of
Specval AL ! Specval A:
Then the claim reduces to the strict case 11.2.12.

Exercise II.F.2. Take a proper Y -scheme Ux that contains U as an open subset.
Then, by II.E.1.12 (2), replacing Ux by a U -admissible blow-up if necessary, we
can find a U -admissible blow-up X 0 of X that admits an open immersion X 0 ,! Ux .
Since Ux is a scheme, X 0 is a scheme.
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List of Notations
Categories
— Sets and Spaces
Name Objects Morphisms See

Sets Sets . . . . . . . . . . . . . . . . . . . . . . . . . Maps . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷1.2. (b)
Top Topological spaces . . . . . . . . . . . Continuous maps . . . . . . . . . . . . . . . . . 0, ÷1.2. (b)
STop Sober top. spaces . . . . . . . . . . . . . Continuous maps . . . . . . . . . . . . . . . . . 0, ÷2.1. (b)
CSTop Coherent sober top. spaces . . . . Quasi-compact maps . . . . . . . . . . . . . . 0.2.2.8
Vsp Valuative spaces . . . . . . . . . . . . . . Valuative loc. q-cpt maps . . . . . . . . . . 0.2.4. (b)
RVsp Reflexive — . . . . . . . . . . . . . . . . . Valuative loc. q-cpt maps . . . . . . . . . . 0.2.4. (b)
Rsp Ringed spaces . . . . . . . . . . . . . . . . Morphisms of ringed spaces . . . . . . . .0, ÷4.1. (a)
LRsp Locally ringed spaces . . . . . . . . . Local morphisms . . . . . . . . . . . . . . . . . 0, ÷4.1. (a)
Tri Triples . . . . . . . . . . . . . . . . . . . . . . Morphism of triples . . . . . . . . . . . . . . . II.A.1.1

VTri Valued triples . . . . . . . . . . . . . . . . Morphism of valued triples . . . . . . . . II.A.1.2
AnTri Analytic triples . . . . . . . . . . . . . . . Morphism of triples . . . . . . . . . . . . . . . II.A.1.4
Sch Schemes . . . . . . . . . . . . . . . . . . . . . Morphisms of schemes . . . . . . . . . . . . 0, ÷5.1. (a)

SchS S -schemes . . . . . . . . . . . . . . . . . . S -morphisms . . . . . . . . . . . . . . . . . . . . . 0, ÷5.1. (a)
As Algebraic spaces . . . . . . . . . . . . . Morphisms of algebraic spaces . . . . . 0, ÷5.2. (a)
CAs Coherent — . . . . . . . . . . . . . . . . . Morphisms of algebraic spaces . . . . . II, ÷E.1. (a)
AsS S -algebraic spaces . . . . . . . . . . . S -morphisms . . . . . . . . . . . . . . . . . . . . . 0, ÷5.2. (a)
Zs Zariskian schemes . . . . . . . . . . . . Morphisms of Zariskian schemes . . . I, ÷B.1. (b)

AZs Affine — . . . . . . . . . . . . . . . . . . . . Morphisms of Zariskian schemes . . . I, ÷B.1. (b)
CZs Coherent — . . . . . . . . . . . . . . . . . Morphisms of Zariskian schemes . . . I, ÷B.1. (b)
Fs Formal schemes . . . . . . . . . . . . . . Morphisms of formal schemes . . . . . .I, ÷1.5. (a)

AcFs Adic — of finite ideal type . . . . Morphisms of formal schemes . . . . . .I, ÷1.5. (a)
AcFs Adic — of finite ideal type . . . . Adic morphisms . . . . . . . . . . . . . . . . . . I, ÷1.5. (a)
812 List of Notations
AcFs
=S — adic over S . . . . . . . . . . . . . . . . Adic morphisms . . . . . . . . . . . . . . . . . . I, ÷1.5. (a)
RigNoeFs Univ. rigid-Noetherian — . . . . . Morphisms of formal schemes . . . . . .I, ÷2.1. (c)
Univ. rigid-Noetherian — . . . . . Adic morphisms . . . . . . . . . . . . . . . . . . I, ÷2.1. (c)
RigNoeFs
RigNoeFs
=S — adic over S . . . . . . . . . . . . . . . . Adic morphisms . . . . . . . . . . . . . . . . . . I, ÷2.1. (c)
AdhFs Universally adhesive — . . . . . . . Morphisms of formal schemes . . . . . .I, ÷2.1. (c)
AdhFs Universally adhesive — . . . . . . . Adic morphisms . . . . . . . . . . . . . . . . . . I, ÷2.1. (c)
AdhFs
CFs Coherent formal schemes . . . . . Morphisms of formal schemes . . . . . .I, ÷1.6. (c)
AcCFs Adic — of finite ideal type . . . . Morphisms of formal schemes . . . . . .I, ÷1.6. (c)
AcCFs Adic — of finite ideal type . . . . Adic morphisms . . . . . . . . . . . . . . . . . . I, ÷1.6. (c)
AcCFs
RigNoeCFs Univ. rigid-Noetherian — . . . . . Morphisms of formal schemes . . . . . .I, ÷2.1. (c)
AdhCFs Universally adhesive — . . . . . . . Morphisms of formal schemes . . . . . .I, ÷2.1. (c)
AfFs Affine formal schemes . . . . . . . . Morphisms of formal schemes . . . . . .I, ÷1.5. (a)
AcFAsS Formal algebraic spaces . . . . . . . Morphisms of sheaves . . . . . . . . . . . . . I, ÷6.3. (a)
AcCFAsS Coherent — . . . . . . . . . . . . . . . . . Morphisms of sheaves . . . . . . . . . . . . . I, ÷6.3. (a)
Rf Rigid spaces . . . . . . . . . . . . . . . . . Morphisms of rigid spaces . . . . . . . . . II, ÷2.2. (c)

ARf Affinoids . . . . . . . . . . . . . . . . . . . . Morphisms of rigid spaces . . . . . . . . . II, ÷6.1. (a)
CRf Coherent rigid spaces . . . . . . . . . Morphisms of rigid spaces . . . . . . . . . II.2.1.1
Adsp Adic spaces . . . . . . . . . . . . . . . . . . Morphism of adic spaces . . . . . . . . . . II.A.3.8

AnAdsp Analytic adic spaces . . . . . . . . . . Morphism of adic spaces . . . . . . . . . . II.A.3.10
BspK Berkovich K-analytic spaces . . Morphisms of K-analytic spaces . . . II.C.6.5 (5)

BspK Strictly — . . . . . . . . . . . . . . . . . . . Morphisms of K-analytic spaces . . . II.C.6.5 (6)
— Sheaves
AShX Abelian sheaves on X . . . . . . . . Sheaf homomorphisms . . . . . . . . . . . . 0, ÷3.1. (e)
CohX Coherent sheaves . . . . . . . . . . . . . OX -linear morphisms . . . . . . . . . . . . . 0, ÷4.1. (c)
ModX OX -modules . . . . . . . . . . . . . . . . . OX -linear morphisms . . . . . . . . . . . . . 0, ÷4.1. (c)
QCohX Quasi-coherent sheaves . . . . . . . OX -linear morphisms . . . . . . . . . . . . . 0, ÷4.1. (c)
AQCohX Adically quasi-coh. sheaves . . . OX -linear morphisms . . . . . . . . . . . . . I, ÷3.1. (b)
List of notations 813
— Algebras, modules, etc.

Ab Abelian groups . . . . . . . . . . . . . . . Group homomorphisms . . . . . . . . . . . .0, ÷1.2. (b)
AlgA A-algebras . . . . . . . . . . . . . . . . . . A-algebra homomorphisms . . . . . . . . 0, ÷1.2. (b)
CohA A-modules . . . . . . . . . . . . . . . . . . A-module homomorphisms . . . . . . . . 0, ÷1.2. (b)
DLat Distributive lattices . . . . . . . . . . . Lattice homomorphisms . . . . . . . . . . . 0, ÷2.2. (b)
ModA A-modules . . . . . . . . . . . . . . . . . . A-module homomorphisms . . . . . . . . 0, ÷1.2. (b)
CohA Coherent — . . . . . . . . . . . . . . . . . A-module homomorphisms . . . . . . . . 0. 3.3.1
— Others
BLX admissible blow-ups of X . . . . . X -morphisms . . . . . . . . . . . . . . . . . . . . II, ÷1.3
EmbX jS Nagata embeddings of X=S . . . X -admissible S -modifications . . . . . II, ÷9.1. (a)
Mdf.X;U / U -admissible modifications . . . X -morphisms . . . . . . . . . . . . . . . . . . . . II, ÷E.2. (a)
Other symbols
— Operator symbols
Symbol Meaning See
Full subcategory of acyclic objects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷C.4
Ac .A/
AR.X/ Rigid analytic ring associated to X . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II.A.4.5
AIdX Set of admissible ideals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I.3.7.4
AId.X;U / Set of U -admissible ideals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II, ÷E.1. (b)
amp.F / Amplitude of F . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0.C.4.9
AutC .x/ Automorphism group . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷1.2. (a)

C .X; / Canonical flasque resolution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷3.1. (e)
Category of complexes of objects in A . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷C.2. (a)
C .A/
card.x/ Cardinality of x . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷1.1. (a)
Cart=I .E; F / Category of Cartesian functors from E to F . . . . . . . . . . . . . . . . . . . . . . 0, ÷2.7. (e)
codim.Y; X/ Codimension . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II.10.2.1 (2)
codimx .Y; X/ Codimension at x . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II.10.1.1 (1)
cone.f / Mapping cone . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0.C.3.1
cont.f / Content ideal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷9.2. (b)
D .A/ Derived category of A . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0.C.4.2
D .X / Derived category of OX -modules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷4.3. (a)
D
qcoh .X / — with quasi-coherent cohomologies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷4.3. (a)
D
coh .X / — with coherent cohomologies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷4.3. (a)
Dn
Unit disk over . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II, ÷2.5. (c)
Der:contA .; / Continuous derivations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I, ÷5.1. (a)
dim.X/ Dimension . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II.10.1.1 (2)
dimx .X/ Dimension at x . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II.10.1.1 (1)
EndC .x/ Set of endomorphisms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷1.2. (a)
Gx Set of all generizations of x . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷2.1. (a)
V Value group . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷6.2. (b)
X Global section functor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0.3.2.9
FNX;x Category of formal neighborhoods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II, ÷3.2. (e)
HomC .x; y/ Class of arrows from x to y in the category C . . . . . . . . . . . . . . . . . . . . . 0, ÷1.2. (a)
Hom:contA .; / Continuous A-linear maps . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I.5.1.1
ht./ Height . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷6.1. (a)
ht.V / Height . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0.6.2.6
Htp.F ; G / Set of arrows homotopic to zero . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷C.3. (a)
Id.A/ Set of all ideals of A . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷2.2. (b)
intX F Overconvergent interior . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷2.3. (g)
Isol./ Set of all isolated subgroups . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷6.1. (a)
IsomC .x; y/ Set of isomorphisms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷1.2. (a)
K .A/ Categories of complexes up to homotopy . . . . . . . . . . . . . . . . . . . . . . . . . 0.C.3.1
lim Limit, projective limit . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷1.3. (a)
lim Colimit, inductive limit . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷1.3. (a)
!
Lim 2-categorical limit . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷2.7. (e)
Lim 2-categorical colimit . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷2.7. (e)
!
LT.f / Leading term . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷A.2. (b)

MX Category of formal models . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II.2.1.7
Mdist
X
— of distinguished formal models . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II.2.1.8
N.A/ Topologically nilpotent elements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷B.1. (b)
NY =X Conormal sheaf . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Ex. I.5.3
.g/ Leading degree . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷A.2. (b)
OX Rigid structure sheaf . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II.3.2.9
int
OX Integral structure sheaf . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II.3.2.1
obj.C/ Class of objects in the category C . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷1.2. (a)
1
A=B Differential module . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I, ÷5.1. (b)
y1
Complete differential module . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I, ÷5.1. (c)
X=Y
1
X=Y Sheaf of differentials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I, ÷5.2. (a)
ouv.E / Set of all isom. classes of subobj’s of a final object . . . . . . . . . . . . . . . . . 0, ÷2.7. (b)
Ouv.X / Set of all open subsets of X . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0.2.2.5
Pn;an Rigid analytic projective n-space over . . . . . . . . . . . . . . . . . . . . . . . . . . II, ÷2.5. (d)

Proj S Homogeneous prime spectrum of S . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷5.4. (c)
pts.E / Set of all isomorphism classes of points of E . . . . . . . . . . . . . . . . . . . . . 0, ÷2.7. (b)
QCOuv.X / Set of all quasi-compact open subsets of X . . . . . . . . . . . . . . . . . . . . . . . 0.2.2.5

Set of all quasi-isomorphisms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷C.4. (a)
Qis .A/
s.X/ The associated scheme . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II, ÷6.6
sp.E / Associated topological space of E . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷2.7. (b)
Spa A Adic spectrum of A . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II, ÷A.3. (b)

Spec A Prime spectrum of A . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷2.2. (b)
Spf A Formal spectrum of A . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I, ÷1.1. (b)
Spz A Zariskian spectrum of A . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I.B.1.1
R.A; I / Rees algebra . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷7.5
rat-rank./ Rational rank . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷6.1. (a)

rat-rank.V / Rational rank . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0.6.2.6
n n Stupid truncations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷C.2. (d)
,
n n
, Truncations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷C.2. (d)
top.X / Topos associated to X . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷2.7. (a)
tr:deg Transcendental degree . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷6.5
y .E/
V Vector bundle . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Ex. I.5.2
ZR.X/ Zariski–Riemann triple associated to X . . . . . . . . . . . . . . . . . . . . . . . . . . II.3.2.11
— Spaces
Symbol Meaning See

An
S Affine n-space over S . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Ex. I.5.1 (1)
yn
A Affine n-space over S . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Ex. I.5.1 (1)
S
Gan
a Additive group . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II.9.1.12 (1)
Gan
m Multiplicative group . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II.9.1.12 (2)
PSn Projective n-space over S . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷5.4. (c)

yn
P Projective n-space over S . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Ex. I.5.1 (2)
S
— Maps, morphisms, arrows

Symbol Meaning See
Ü Rational map . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II.E.1.2 (1)
sepX Separation map . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷2.3. (c)
sepX Separation map . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II, ÷4.3. (a)
spX Specialization map . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II, ÷3.1. (a)
— Super- and subscripts, brackets, etc.

Symbol Meaning See
Ay Adic completion of A . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷7.2. (b)
A h Henselization of A . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷7.3. (a)
Ao Power-bounded elements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷B.1. (b)
A Zar Associated Zariskian of A . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷7.3. (b)
C opp Opposite category of C . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷1.2. (a)
0 0 t-structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷C.1
.D ;D /
Œk Shift functor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷C.2. (b)
y
M Adic completion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0.7.2.6
MF^ Hausdorff completion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷7.1. (c)
M -sheaf . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I, ÷3.2. (a)
M for Formal completion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I, ÷9.1. (a)
MI -tor I -torsion part . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷8.1. (c)
ŒX Separated quotient . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷2.3. (c)
y jY
X Formal completion along Y . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷8.6
X jY h Henselization along Y . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷8.6
X an Analytification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II, ÷9.1. (b)
X opp Ordered set with the reversed ordering . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷1.1. (b)
X rig Associated rigid space . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II.2.1.1
ref Reflexivization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0.2.4.6
X
X sob Associated sober space . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷2.1. (b)
X Zar jY Associated Zariskian along Y . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷8.6
Xad Small admissible site . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II.2.2.6
adic
X=Y Adic part . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II.9.6. (a)
hXi Associated Zariski–Riemann space . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II, ÷3.1. (a)
cl Classical points . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II, ÷8.2. (c)
hXi
hX iU Classical Zariski–Riemann space . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II.E.2.2
hU iX
pc Partial compatification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II.F.2.3
hX icpt Canonical compatification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II, ÷F.2. (a)

k kx; ;c Seminorm at x . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II, ÷3.3. (b)
k kSp; ;c Spectral seminorm . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II, ÷3.3. (c)
— Special symbols
Symbol Meaning See
2 Boolean lattice formed by two elements 0 and 1 . . . . . . . . . . . . . . . . . . . 0, ÷2.2. (b)
U Grothendieck universe . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 0, ÷1.1. (a)
Index
—A— adically quasi-coherent (a.q.c.) sheaf, 297–314,

abstract Riemann manifold, 762 321, 377–379, 389, 397, 465
– of finite type, 300, 314, 343–345, 468, 469
adhesive
morphism of –es, 300
– pair, 187–198, 221
admissible
pseudo- – –, 187–197, 211, 275, 290, 412,
– formal scheme, 290, 296
513
– ideal, 298, 315–317, 457, 463, 517, 518,
I -adically –, 187, 221
536
– pseudo- –, 187
extension of – –s, 317–319
universally –, 188, 198, 291, 292, 410
– site, 484–485
topologically – – (t.u. adhesive), 194, 212,
coherent – –, 477–482
221, 289, 290
– (topological) ring, 260, 318
– – formal algebraic space, 394–395
– – of finite ideal type, 261, 458
– – formal scheme, 289, 292–293, 318,
– topology, 477–482
394, 427, 460, 476, 531, 535, 536, 562
I - –, 171, 199, 220, 298, 316, 461
universally pseudo- –, 188 U - – birational geometry, 753
topologically – – (t.u. pseudo-adhesive), U - – blow-up, 408, 437, 544, 546, 586, 754–
194, 291 758
adic U - – ideal, 754
– topology, 352 U - – modification, 599, 754
– formal scheme, 197, 264, 292 U - – rational map, 754
– – of finite ideal type, 258, 264, 269, 292, affine
297, 367, 450, 457 – formal scheme, 262, 263
– morphism, 270 – morphism, 64, 320, 323
– morphism, 238, 260, 321, 650 – open covering, 198, 263
– part, 614–618 – open subset (subspace), 86, 263
— ring – scheme, 17, 68, 109, 110
f-— —, 718 cohomology of – –s, 114–116
– ring, 145, 260, 261 – space (in formal geometry), 363, 365, 488
– – of finite ideal type, 261, 298, 354, 397, –ness criterion, 119
458, 599, 647, 648 pseudo- –, 432, 436, 437
f- – –, 236–244, 647–649 affinoid, 216, 540–556, 605
– topology, 144–147, 169, 216, 237, 259, – covering, 541
260, 352, 440 – neighborhood, 541
adic space, 651–654, 663–664 – open (subspace), 541
affinoid –, 651, 658, 663 — ring, 719
analytic –, 653–654, 663, 664 Banach — —, 710
adic spectrum, 650, 657 RC - — —, 710, 711
adicalization, 279–280 – ring
adically quasi-coherent (a.q.c.) algebra, 321, extremal – –, 653
322, 326, 465 – ring, 649–650, 662
– of finite presentation, 311, 321, 373 analytic – –, 656, 658
– of finite type, 306, 321, 432 complete – –, 650, 651, 656
820 Index
extremal – –, 650, 653 U -admissible – map, 754

Tate – –, 653 blow-up, 408, 430
– subdomain, 542, 669 admissible –, 749
Laurent subdomain, 543 admissible –, 427, 430, 457–470, 472, 490,
rational subdomain, 543, 617 514, 526, 535, 749
Weierstrass subdomain, 542 U -admisible –, 408, 437, 544, 546, 586,
analytic – pair, 656, 657, 663 754–758
associated scheme to an –, 552–556, 566, bounded torsion condition, 173–178, 187
580, 606
Stein –, 663 —C—
Stein –, 550–552, 564, 570, 585, 655–658 carving lemma, 401, 407
universally Noetherian –, 552–554, 556, carving method, 405–409, 411, 420–421
566 category, 3
algebra – associated to an ordered set, 4
affinoid — cofiltered –, 6, 448, 451, 469, 470
Berkovich — —, 722, 738 derived –, 103, 251–254
classical — —, 722 discrete –, 4
affinoid –, 216 filtered –, 5
classical – –, 226–229, 241, 591, 662, 669, functor –, 4
673 opposite –, 3
Banach –, 227 triangulated –, 244–245
K- – –, 241 U- –, 3
Berkovich —, 722 center, 435
Rees –, 165 chain of prime germs of rigid subspaces, 622
Tate —, 722 length of a —, 622
Tate –, 227, 229, 591, 624 Chow’s lemma, 408
topological – of type (V), 216–231, 291 Chow, W-L., 408
algebraic space, 110–111, 395, 402, 777 class, 2
coherent –, 111, 753 classical point, 588, 623, 639, 672
formal –, 379 closed –, 588
universally cohesive –, 111, 402, 403, 405, codimension (of a rigid subspace), 629
419 coherent
algebraizable, 420, 421, 426, 452, 453 – algebraic space, 111, 753
ample (invertible sheaf), 118 – arrow (of a topos), 58
very –, 118 – module, 91–92
amplitude, 254, 428 – morphism (of algebraic spaces), 111, 116
analytic ring – morphism (of formal schemes), 282, 341
– of type (N), 660, 664 – morphism (of topoi), 59, 61
a-r-pair, 655, 656 – object (of a topos), 58
Artin–Rees lemma, 137, 156, 176 – ring, 91–92, 195
associated height one prime, 37, 221, 297, 506, universally – –, 92, 109, 196, 402, 405,
631, 649 409
associated height one prime ideal, 136 – scheme, 17, 513
– sheaf (on a ringed space), 96, 97, 320
—B— – sheaf (on a formal algebraic space), 398–
Baire’s category theorem, 169 399
Berkovich analytic space, 740–743 – (topological) space, 17–25, 71, 72, 77, 98,
Berkovich spectrum, 699 107, 442, 491, 578, 650
Berkovich, V.G., 456, 633 locally – –, 26–29, 442, 494, 517
Berthelot, P., 614, 618 – topos, 58–59, 61, 479
birational locally – –, 59
– morphism, 754 topologically universally –, 196, 212, 398,
– open immersion, 599 419
Index 821
cohesive (complete) sheaf of –s, 357

– (ringed space), 97, 109, 534 module of –s, 351
universally – (formal algebraic space), 398, dimension (of a rigid space), 619
419, 427 relative –, 629
universally – (schemes), 109, 199, 412, 436 directed set, 582
colimit, 4, 35 directed set, 6, 20, 97, 137, 469, 537
compactifiable, 767, 768 disjoint sum, 9, 288, 582
compactification division lemma, 233
canonical —, 768 dominate, 125
canonical –, 767, 771
partial —, 768 —E—
comparison map, 554, 566, 608, 609, 763
effective, 10
complete, 299, 377, 389
– adically flat descent, 371–373
– pull-back, 312, 358, 368, 386
– descent class, 10, 372, 375
– tensor product, 168, 267
elementary étale neighborhood, 118
Hausdorff –, 140, 144, 146, 260, 302
enough points, 57, 59
I -adically –, 146, 221, 303
equivalence relation, 11, 512, 582
completion, 299, 312, 377, 389
étale –, 380, 381
– (of a pair), 170, 195
formal –, 197, 259, 274–275, 278, 301, 388, essentially constant, 79
412, 458
Hausdorff –, 137, 140–142, 217, 261, 267 —F—
I -adic –, 352 f-adic ring, 236–244, 647–649, 718
I -adic –, 147–154, 161, 196, 216, 261, 303 Banach –, 241–242
existence of – –s, 153–154 complete —, 718
Zariskian –, 443 complete –, 239, 647, 650
complex, 209, 246 extremal –, 238–240, 646, 650, 653
acyclic –, 251 t.u. rigid-Noetherian –, 647, 648, 655
bounded –, 246 fiber product
morphism of –es, 246 – (of formal algebraic spaces), 384–385
conormal – (of formal schemes), 259, 269, 276
– cone, 166 — (of rigid spaces), 483
– sheaf, 358, 366 – (of rigid spaces), 477, 486–487
content ideal, 225, 233 filter (of lattices), 18, 22
core, 245, 253 prime —, 686
correspondence diagram, 757–759 prime –, 19, 29, 39
filtration (by submodules), 137–138, 351
—D— exhaustive –, 137, 350
Deligne, P., 59, 513, 552 I -adic –, 144
derivation I -good –, 158, 165, 166, 350, 410
canonical –, 357 induced –, 140, 142
continuous –, 351 – – on the cohomology, 209
derived category, 251–254, 399 separated –, 137, 139, 350
– of OX -modules, 103 topology defined by a —, 688
descent topology defined by a –, 138, 351
adically flat –, 367–373 finitely equivalent, 648
effective – –, 371–373 finitely generated
– datum, 371, 372 – outside I , 172
effective – class, 10, 372, 375 topologically –, 184, 221, 286, 290, 307,
Zariski –, 374 355, 673
diagonal map, 272, 281, 336 finitely presented
differential – outside I , 172
complete – module, 352 topologically –, 184, 294, 312
822 Index
flatness, 96, 342 FP-thickening, 448, 450, 451

faithfully- –, 107, 157, 345 f-r-pair, 649, 655
formal algebraic space, 379–384 functor, 3
coherent –, 380 – category, 4
fiber product of –s, 384–385 cofinal –, 6, 469
quasi-compact –, 380 cohomology –, 244, 247
universally adhesive –, 394–395 canonical – –, 103, 252–254, 399
universally cohesive –, 398, 419, 427 comparison –, 412, 419, 420, 609
universally rigid-Noetherian –, 394–395 diagonal –, 4
formal model exact – (of triangulated categories), 244
– (of a classical affinoid algebra), 228 fiber –, 57
distinguished – –, 228 final –, 6
– (of a coherent rigid space), 474, 477, 485, patching –, 204
490, 495, 525, 535 spectral –, 581–584, 591, 593, 665
distinguished – –, 475, 477, 486, 493, 496,
550, 656 —G—
– (of an OX -module), 528
Gabber, O., 1, 25, 169, 178, 182, 187, 224, 291
formal neighborhood, 499
GAGA, 598–618
affine –, 500
– comparison of dimensions, 626–627, 630
formal scheme, 263
– comparison theorem, 610–613
adic –, 197, 264, 292
– existence theorem, 613–614
– – of finite ideal type, 258, 264, 269, 292,
– functor, 602, 605
297, 367, 450, 457
generization, 14, 23, 129, 501, 514, 554, 585
admissible –, 290, 296
– map, 95, 501
affine –, 262
maximal –, 516, 517
coherent –, 282, 298, 317, 381
maximal –, 31, 520
fiber product of –s, 259, 269, 276
germ (of a rigid subspace), 621
Noetherian –
prime —, 622
locally – –, 328
reduced —, 621
Noetherian –
GFGA, 411
locally – –, 267
– comparison theorem, 411–418, 452
Noetherian –, 267
– existence theorem, 419–426, 452
locally – –, 293, 320, 330, 514
gluing of flatness, 178–180
quasi-separated –, 282
Grothendieck
separated –, 336
— topology, 742
universally adhesive –, 289, 292–293, 318,
– topology, 8, 666
394, 427, 476, 531, 535, 536, 562
– topos, 56
locally – –, 289, 292–293, 311, 460
– universe, 2
universally rigid-Noetherian –, 432
Grothendieck, A., 2
universally rigid-Noetherian –, 289, 290,
groupoid, 4
292–293, 318, 450, 452, 476, 527, 528,
Gruson, L., 221, 223, 235
535, 536
locally – –, 95, 289, 290, 292–294, 308,
311, 312, 321, 330, 339, 344, 345, 348, —H—
351, 357–359, 361, 373, 394, 398, 467, height
468, 470, 556 — (of a graded valuation (ring)), 682
formal spectrum, 37, 262–263, 322, 326 – (of a point), 29, 516
formal subscheme – (of a valuation (ring)), 37, 127, 224
closed –, 327 – (of a totally ordered commutative group),
open –, 263 122
open –, 270, 300 Henselian
FP-approximated, 448, 451, 535 – pair, 170, 198
FP-approximation, 448, 450 – scheme, 197
Index 823
I -adically –, 154–157, 208, 497 —K—

Henselization, 155 Kedlaya, K., 695, 721
– (of a pair), 170, 198 Kiehl, R, 556
(Weak) Hilbert Nullstellensatz, 229 Knutson, D., 110, 120
Hironaka, H., 232
homotopic, 249 —L—
– to zero, 249
Huber, R., 236, 649, 652 lattice, 18, 29
Boolean –, 19
distributive –, 18, 29, 39
—I— lattice model, 528, 531
I -good (filtration), 158, 165, 166, 350, 410 Laurent subdomain, 543
ideal leading degree, 233
content —, 233 leading term, 233
content –, 225 limit, 4
(of lattices), 18 co –, 4, 35
invertible –, 124–125, 199 inductive –, 5, 68–79, 231, 272, 526
prime – (of lattices), 19 projective –, 5, 19, 79–90, 97, 140
ideal of definition, 145, 170, 198, 259, 264, 265, local
317, 318, 386, 443, 496, 646, 649 – construction, 322
fundamental system of –s –, 259, 265, 266, – construction, 10
273 – on the target, 270
– of finite type, 265 – on the domain, 10
ideal pull-back, 95, 270, 316 – on the target, 10, 278
immersion local criterion of flatness, 69, 180–182
closed – (of formal algebraic spaces), 390, locally finite (covering), 46
400
closed – (of formal schemes), 326–332, 341, —M—
371, 375, 468 map
closed – (of rigid spaces), 561–565, 569, final –, 13
571, 603 map (continuous)
– (of formal algebraic spaces), 390 proper –, 34, 36
– (of formal schemes), 331–333, 341, 360, quasi-compact –, 16, 19, 20, 72, 77, 491,
371, 375 557, 654
– (of rigid spaces), 567–569 locally – –, 27–28, 35, 47, 652
open – (of formal algebraic spaces), 390 separation –, 31
open – (of formal schemes), 263, 269, 286, mapping cone, 250–251
294, 331, 371, 477 Maximum modulus principle, 639
open – (of rigid spaces), 483, 485, 494, 511, Mittag–Leffler condition, 67
581, 603 Mittag-Leffler condition, 80, 86, 211, 416, 434
coherent – –, 477, 492, 511, 558 model (in birational geometry), 760
open – (of ringed spaces), 94, 494 model (of a coherent rigid Zariskian space), 752
integral model, 538, 578 distinguished –, 752
irreducible modification
– topological space, 15 U -admissible –, 599, 754, 760
isolated subgroup, 122, 127, 682 module (OX - –)
isomorphic outside I , 543, 655 – of finite presentation, 309
module (OX - –)
—J— – of (finite) n-presentation, 95
– of finite presentation, 96, 310
Jacobson ring, 230, 669
– of finite type, 96
join, 600, 757, 760
– of 1-presentation, 96
morphism (of admissible/adic rings), 260
824 Index
adic –, 260, 321 unramified –, see neat morphism

morphism (of formal algebraic spaces) morphism (of pairs), 170
adic –, 386 adic –, 170
adically flat –, 391 morphism (of rigid spaces)
smooth –, 391 closed –, 568–569
affine –, 390 coherent –, 558
étale –, 385, 391 finite –, 558–561
finite –, 390 – locally of finite type, 485, 558
locally separated –, 393 – of finite type, 485
– locally of finite presentation, 394, 398 projective –, 578–580
– locally of finite type, 391 proper –, 569–574
– of finite presentation, 394 quasi-compact –, 557–558
– of finite type, 393 quasi-separated –, 557–558, 569
proper –, 393 separated –, 569–574
quasi-compact –, 392 universally closed –, 569
separated –, 393 morphism (of ringed spaces), 94
morphism (of formal schemes) flat –, 96, 342
adically quasi-affine –, 280 local –, 94, 308
finite –, 544 morphism (of topoi)
morphism (of formal schemes), 262, 263 coherent –, 59, 61
adic –, 270–272, 321, 324, 325, 329, 331, quasi-compact –, 59
336, 341, 343, 347, 349, 370, 375, 503 quasi-separated –, 59
adically faithfully flat –, 347–350, 362, 367 morphism (of Zariskian schemes), 442
adically flat –, 280, 312, 317, 347–350, 357, adic –, 444
361, 363, 375, 464 – locally of finite presentation, 444
adically locally of finite presentation –, 358, – locally of finite type, 444
361, 363 – of finite presentation, 444
adically of finite presentation –, 358 – of finite type, 444
adically quasi-affine –, 373, 384 quasi-compact –, 443
affine –, 320–325, 329, 337, 341, 371, 375
closed –, 334–336 —N—
universally – –, 334–336, 341 Nagata’s embedding theorem, 437, 599, 602,
coherent –, 282, 341 766–775
étale –, 361–363, 375 – for algebraic spaces, 776–777
finite –, 324–327, 341, 371, 375, 558 Nagata’s idealization trick, 232
flat –, 342–350 Nagata, M., 69, 231, 235, 437, 599, 602, 766
faithfully – –, 342–350 net, 48, 51, 740
– formally locally of finite type, 617 quasi- –, 48, 53
– formally of finite type, 617 Noether normalization, 225–226, 229, 625
– locally of finite presentation, 294, 321, Noetherian
376 – outside I
– locally of finite type, 286, 321, 341, 356, topologically universally – –, 289
375, 617 – outside I , 172, 175, 177, 182, 185, 187,
– of finite presentation, 294 192, 290, 544
– of finite type, 286, 341, 485, 617 locally – –, 172, 178
neat –, 358–361 topologically universally – –, 184–186,
proper –, 341–342, 458 194, 290
quasi-compact –, 280, 282–286, 341, 358, – sheaf, 548
367 norm
quasi-separated –, 282–286, 336, 341 Gauss –, 227, 241, 643
separated –, 336–341 non-Archimedean –, 129–130, 241, 506,
smooth –, 363–365, 375 669
surjective –, 333–334
Index 825
—O— – (of a topos), 57

open complement (of a closed rigid subspace), rigid –, 490, 503–506, 515, 520, 554, 574,
565 597
order type, 3, 29, 122 power-bounded, 237, 649, 658
finite –, 3 pre-valuation, 51
ordered saturated –, 52
– map, 3 primitive, 233
– homomorphism, 122 projective
– set, 2, 4–6, 14, 19, 77 – space (in formal geometry), 365
totally — – space (in rigid geometry), 488
— — commutative group, 681 pseudo-adhesive, 187–197, 275, 290, 309, 412
totally –, 3, 29, 128 universally –, 188
– – commutative group, 122–124, 217 topologically – – (t.u. pseudo-adhesive),
order(ing), 2, 469 194, 291
inclusion –, 128, 299 pseudo-affine, 432, 436, 437
lexicographical —, 232
lexicographical –, 123, 132, 134, 631 —Q—
term —, 232 quasi-coherent
overconvergent adically – (a.q.c.) sheaf, 297, 299–301, 326,
– interior, 36, 522 327, 356, 450, 528
– subset, 32, 42, 44, 521, 565, 566 – sheaf (on a ringed space), 96
– sheaf (on a scheme), 109, 114, 117, 275,
—P— 300
pair, 170, 290 quasi-compact
adhesive –, 187–198 – arrow (of a topos), 58
pseudo- – –, 187–197, 275, 290, 412, 513 – (formal algebraic) space, 380
topologically universally – –, 194, 221, – map, 16, 19, 20, 72, 77, 491, 557, 654
290, 412 locally – –, 27–28, 35, 47, 652
topologically universally pseudo- – –, 194, – morphism (of formal schemes), 280, 282–
291 286, 341, 358, 367
universally – –, 188, 198, 292, 410 – morphism (of topoi), 59
universally pseudo- – –, 188 – morphism (of Zariskian schemes), 443
a-r-pair, 655, 656 – object (of a site), 58
complete –, 170, 178 – (topological) space, 16, 17, 71, 267, 294,
f-r- –, 649, 655 442
quasi-isomorphism, 251
Henselian –, 170, 198
quasi-separated
ideal of definition a –, 170
– arrow (of a topos), 58
– of finite ideal type, 170
– morphism (of formal schemes), 282–286,
(scheme-theoretic) –, 197
336, 341
Zariskian –, 170, 198
– morphism (of topoi), 59
partially ordered set, see ordered set
– object (of a topos), 58
patching method, 203–208
– (topological) space, 17, 72, 77, 442
point
– topos, 59
classical —, 623
classical –, 588, 639, 672
closed –, 14 —R—
divisorial —, 636 rational rank
divisorial –, 632, 635 – (of a totally ordered commutative group),
generic –, 15 124
maximal –, 14, 31 – (of a valuation (ring)), 127
minimal –, 14 rational subdomain, 543, 617
– (of a formal algebraic space), 396 rational subset, 650
826 Index
Raynaud, M., 120, 216, 221, 223, 235, 455, 556 coherent – –, 476–477, 483
reduced model (of a rigid space), 595, 621 locally – –, 483–484, 487, 541, 551, 570–
Rees algebra, 165, 410, 423, 458 574, 602
reflexivization, 38–42 universally Noetherian —
representable locally — —, 620–622
– (pre)sheaf, 11, 375, 386 universally Noetherian –, 483–484, 528,
– étale covering, 380, 381, 386 529, 531, 535, 540, 550, 551
– map of sheaves, 11, 379 coherent – –, 476–477, 483, 562, 578, 579
resolution locally – –, 483–484, 502, 525, 534, 541,
canonical flasque –, 76 548, 551, 564, 565, 567–569, 602, 629,
canonical s-flasque –, 85 644, 663, 664
canonical strict –, 82 rigid subspace, 568, 620, 621
restricted formal power series, 183–187, 221, closed —, 565
459, 624 closed –, 564
– ring, 184, 240, 261 open –, 483, 557
retrocompact, 16, 17, 28–31, 35, 38, 45, 517 rigid Zariskian space, 749–753, 764
rigid space coherent –, 751
universally Noetherian – rigid-Noetherian ring, 309
locally – –, 567 rigid-Noetherian ring, 290, 291, 308–311, 543,
rigid analytic space, 669 545
rigid point, 490, 503–506, 515, 520, 554, 574, rigidification, 649, 659–661
597 ring of definition, 237, 239, 646, 647, 649
– essentially of finite type, 580 ringed space, 93–98
rigid space, 471–485 cohesive – –, 97
coherent — locally – –, 94, 490
birational patching of — —s, 480 reduced – –, 94
coherent –, 472–474, 485, 490, 511
connected –, 495 —S—
empty –, 475 s-flasque, 84, 87
fiber product of —s, 483 saturated
fiber product of –s, 477, 486–487 I - –, 171
general –, 482–484 saturation
irreducible —, 565, 596 I - –, 171, 187
locally quasi-compact —, 746 scheme, 109–110, 264
locally quasi-compact –, 522, 523 associated – to an affinoid, 552–556, 566,
paracompact —, 747 580, 606
paracompact –, 523 coherent –, 17, 513
point-like –, 585 Henselian –, 197
quasi-compact –, 484, 510, 557 reduction —, 639–642
quasi-separated —, 746, 747 universally cohesive –, 109–110, 436
quasi-separated –, 510, 557 Zariskian –, 198, 440–749
reduced model of a —, 595, 621 affine – –, 442
reduced —, 596 – – of finite ideal type, 749
reduced –, 499, 550, 585 segment, 122
— of type (N), 589, 623, 659 seminorm, 506–507, 618, 634–636, 675, 676,
– of type (N), 487, 580, 588–590, 594, 660, 689
664 multiplicative —, 699, 720
— of type (V), 623 multiplicative –, 507
– of type (V), 487, 580, 588 spectral —, 635
— of type (VR ), 589, 624, 659 spectral –, 507
– of type (VR ), 487, 580, 588–591, 594, 660 separated
universally adhesive –, 483–484, 529, 531, I -adically –, 146, 180, 209
577 idealwise –, 180
Index 827
separated quotient, 31, 48 Stone’s representation theorem, 19

separation map, 31, 520 strict (projective system), 79, 266, 304, 305
set strict transform, 430, 465–469, 526, 542, 755,
directed –, 6, 20, 97, 137, 469, 537, 582 758
ordered –, 2, 4–6, 14, 19, 77 strictly equivalent, 648, 656, 661
U-small –, 2 strictly initial, 9, 276
shift functor, 244, 247 structure sheaf
site, 56 integral –, 495–497
admissible –, 484–485 (rigid) –, 497–498
coherent – –, 477–482 subcategory
étale –, 374–376 thick –, 96, 103, 254, 449
large – –, 375, 385 subring of integral elements, 649
small – –, 376, 386 subspace
small open – (of a formal algebraic space), 380
essentially –, 6, 12, 79, 470 open – (of a ringed space), 94
– complete, 79 system
U- –, 2, 35 direct –, see inductive system
space (topological) inductive –, 582
coherent –, 17–25, 71, 72, 77, 98, 107, 442, inductive –, 5, 273
491, 578, 650 inverse –, see projective system
locally – –, 26–29, 442, 494, 517 projective –, 5, 20, 79, 211, 266
completely regular –, 16, 45 strict – –, 79, 266, 304, 305
irreducible –, 15
locally strongly compact –, 48 —T—
normal –, 33, 522 t-structure, 103, 245
paracompact –, 46–47 canonical –, 252–253, 255, 399
quasi-compact –, 16, 17, 71, 267, 294, 442 t.u. rigid-Noetherian ring, 543
quasi-separated –, 17, 72, 77, 442 t.u. rigid-Noetherian, 527
reducible –, 15 t.u. rigid-Noetherian ring, 547
sober –, 15, 19, 20, 29, 57, 72, 98, 442, 491, t.u. rigid-Noetherian, 459, 610, 658
493, 494, 517, 578, 650 t.u. rigid-Noetherian ring, 290–292, 312, 318,
spectral –, see coherent space 330, 331, 343, 355, 356, 398, 432, 450,
valuative —, 685, 715 452, 467, 470, 502, 536, 540–542, 545,
valuative –, 29–48, 129, 514, 517, 652 546, 548, 550, 552, 563, 566, 579, 602,
valued compact –, 49 603, 608, 648
valued locally Hausdorff –, 52 t.u. adhesive ring, 290–292, 311, 318, 419, 432,
specialization, 14, 29, 129, 517 459, 487, 540–542, 544–546, 551, 570,
specialization map, 491, 493, 591, 753, 761 602, 607, 611, 613, 648
spectral functor, 581–584, 591, 593, 665 t.u.a. ring, 536
continuous –, 582, 665 Tate ring, 239, 240, 653, 662
pre –, 581, 591, 593 Tate, J., 216, 227, 229, 591, 624
real valued –, 583, 658, 660 Temkin, M., 721
stable thickening, 232
base-change –, 8, 11, 277–279 topologically nilpotent, 146, 237, 259
O- –, 581, 582, 665 topology
QCO- –, 581, 583 adic –, 144–147, 169, 216, 237, 259, 260,
– under a topology, 9, 10, 279, 325, 370, 372 352, 440
standard basis, 234 admissible –, 477–482
Stein affinoid, 550–552, 585, 655–657 canonical – (on differentials), 351
– covering, 551 étale –, 110, 111, 115, 199, 374–379
– open (subspace), 551 Grothendieck —, 742
Stein factorization, 432–438 Grothendieck –, 8, 666
pre- –, 435 – associated to a subcategory, 8, 11
828 Index
— defined by a filtration, 688 divisorial –, 133

– defined by a filtration, 138, 351 filtered —, 687–699
topos, see Grothendieck topos — — field, 692–694
admissible –, 479, 675 graded —, 681
coherent –, 58–59, 61, 479 RC —, 694, 698
locally – –, 59 trivial –, 127
étale –, 376 — of a compact space, 743
fibered –, 60 – of a compact space, 49
I - –, 60 – of a locally Hausdorff space, 47–56
localic –, 58–59, 62, 63 — ring
quasi-compact –, 63–64 graded — —, 677–687
quasi-separated –, 59 – ring, 121–136, 201, 216, 516, 765
ringed –, 376 a-adically complete – –, 37, 49, 216, 221,
sheaf –, 56 224, 241, 291, 296, 412, 419, 487, 503,
spacial –, 56–59, 61–63 587, 649
Zariski –, 376 a-adically separated – –, 134–136, 193,
torsion 201, 217, 498
bounded –, 171, 173, 446 composite of – –s, 131
– – condition, 173–178, 187 discrete – –, 130, 587
I - –, 171 – – of finite height, 129
– free, 171 valuative
– part, 171 I - – ring, 653
triple, 644–647 I - – ring, 199–208, 220, 497, 646
analytic –, 645–647, 654 – criterion, 574–577
valued –, 645–647, 651, 652, 658, 663 — map, 732
Zariski–Riemann –, 489, 644, 658, 663 – map, 34, 47, 517, 652
truncation, 247–248 — spectrum, 711–714
stupid –, 247 — (topological) space, 685, 715
tube, 30–31, 517–518 locally strongly compact — —, 743
– closed subset, 521 reflexive — —, 724, 743
– closed subset, 30, 31, 33, 35, 517, 518, – (topological) space, 29–48, 129, 514, 517,
521 652
– open subset, 521 locally strongly compact – –, 37, 42–47
– open subset, 30, 31, 33, 35, 517, 518, 521, reflexive – –, 37–42, 45, 47, 593
583, 593, 666 value group, 127, 645
– subset, 30, 517 vector bundle, 357, 366
visualization, 471, 488–513
—U—
—W—
Ullrich, P., 428
weak
unit disk, 488, 617, 618, 624, 632–635
– isomorphism, 447
open –, 617
– isomorphism, 445–447, 525, 539, 543
universal image, 79–81
strict – –, 544–546, 648
universally effectively epimorphic, 8
weak isomorphism, 530, 539, 548
– – epimorphism, 8, 9
weakly
universe, see Grothendieck universe
– injective, 447
– finitely generated (modules), 446
—V— – finitely presented (modules), 446
valuation, 126–127, 241, 650 – injective, 446
associated –, 127 – isomorphic, 446
center of a –, 132 – surjective, 446, 447
continuous –, 645 Weierstrass preparation theorem, 236
continuous –, 650, 651 Weierstrass subdomain, 542
Index 829
—Z— associated –, 155, 198, 440, 791

Zariski’s Main Theorem, 791 – – (of a pair), 170
Zariski, O., 13, 133, 762, 791 I -adically –, 155–157
Zariski–Riemann space, 490–495, 753 – pair, 170, 198
classical –, 761–767 – ring, 440
Zariski–Riemann triple, 489, 498, 644, 663 – scheme, 198, 440–749
Zariski-Riemann space affine – –, 442
classical —, 685 – – of finite ideal type, 749
Zariskian – spectrum, 440
Kazuhiro Fujiwara Monographs in Mathematics

Kazuhiro Fujiwara and Fumiharu Kato
Fumiharu Kato
Rigid geometry is one of the modern branches of algebraic and arithmetic geometry. It
has its historical origin in J. Tate’s rigid analytic geometry, which aimed at developing an
Kazuhiro Fujiwara
analytic geometry over non-archimedean valued fields. Nowadays, rigid geometry is a
discipline in its own right and has acquired vast and rich structures, based on discoveries
Fumiharu Kato
of its relationship with birational and formal geometries.
Foundations of
In this research monograph, foundational aspects of rigid geometry are discussed,
putting emphasis on birational and topological features of rigid spaces. Besides the rigid
geometry itself, topics include the general theory of formal schemes and formal algebraic
Rigid Geometry I
spaces, based on a theory of complete rings which are not necessarily Noetherian. Also
included is a discussion on the relationship with Tate‘s original rigid analytic geometry,
V.G. Berkovich‘s analytic geometry and R. Huber‘s adic spaces. As a model example of
applications, a proof of Nagata‘s compactification theorem for schemes is given in the
appendix. The book is encyclopedic and almost self-contained.
ISBN 978-3-03719-135-4
www.ems-ph.org
Monographs / Fujiwaro/Kato | Font: Rotis Semi Sans | Farben: Pantone 116, Pantone 287 | RB 41.7 mm

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Foundations of Rigid Geometry I

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Kazuhiro Fujiwara Monographs in Mathematics

Foundations of Rigid Geometry I

Foundations of Rigid Geometry I

Previously published in this series:

Kazuhiro Fujiwara Fumiharu Kato

Key words: Rigid geometry, formal geometry, birational geometry

© 2018 European Mathematical Society

European Mathematical Society Publishing House

Email: info@ems-ph.org | Homepage: www.ems-ph.org

Typeset using the authors’ TEX files: M. Zunino, Stuttgart, Germany

5 Schemes and algebraic spaces . . . . . . . . . . . . . . . . . . . . . . . . 108

6 Valuation rings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 121

7 Topological rings and modules . . . . . . . . . . . . . . . . . . . . . . . . 137

9 Topological algebras of type (V) . . . . . . . . . . . . . . . . . . . . . . . 216

A Appendix: Further techniques for topologically of finite type algebras . . . . . 231

B Appendix: f-adic rings . . . . . . . . . . . . . . . . . . . . . . . . . . . 236

C Appendix: Addendum on derived categories . . . . . . . . . . . . . . . . . 244

I Formal geometry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 257

1 Formal schemes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 258

2 Universally rigid-Noetherian formal schemes . . . . . . . . . . . . . . . . . 289

3 Adically quasi-coherent sheaves . . . . . . . . . . . . . . . . . . . . . . . 297

3.3 A.q.c. algebras of finite type . . . . . . . . . . . . . . . . . . . . . . . . . 306

4 Several properties of morphisms . . . . . . . . . . . . . . . . . . . . . . . 320

5 Differential calculus on formal schemes . . . . . . . . . . . . . . . . . . . 350

6 Formal algebraic spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . 366

7 Cohomology theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 396

8 Finiteness theorem for proper algebraic spaces . . . . . . . . . . . . . . . . 401

8.4 Proof of Theorem 8.1.3 . . . . . . . . . . . . . . . . . . . . . . . . . . . 409

9 GFGA comparison theorem . . . . . . . . . . . . . . . . . . . . . . . . . 411

10 GFGA existence theorem . . . . . . . . . . . . . . . . . . . . . . . . . . 419

11 Finiteness theorem and Stein factorization . . . . . . . . . . . . . . . . . . 427

A Appendix: Stein factorization for schemes . . . . . . . . . . . . . . . . . . 435

B Appendix: Zariskian schemes . . . . . . . . . . . . . . . . . . . . . . . . 440

C Appendix: FP-approximated sheaves and GFGA theorems . . . . . . . . . . . 445

II Rigid spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 455

1 Admissible blow-ups . . . . . . . . . . . . . . . . . . . . . . . . . . . . 457

2 Rigid spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 471

4 Topological properties . . . . . . . . . . . . . . . . . . . . . . . . . . . . 514

5 Coherent sheaves . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 525

6.4 Comparison theorem for affinoids . . . . . . . . . . . . . . . . . . . . . . 548

7 Basic properties of morphisms of rigid spaces . . . . . . . . . . . . . . . . . 556

8 Classical points . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 580

10 Dimension of rigid spaces . . . . . . . . . . . . . . . . . . . . . . . . . . 618

11 Maximum modulus principle . . . . . . . . . . . . . . . . . . . . . . . . 630

A Appendix: Adic spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . 644

A.4 Rigid geometry and affinoid rings . . . . . . . . . . . . . . . . . . . . . . 655

B Appendix: Tate’s rigid analytic geometry . . . . . . . . . . . . . . . . . . . 665

C Appendix: Non-archimedean analytic spaces of Banach type . . . . . . . . . . 675

D Appendix: Rigid Zariskian spaces . . . . . . . . . . . . . . . . . . . . . . 749

E Appendix: Classical Zariski–Riemann spaces . . . . . . . . . . . . . . . . . 753

F Appendix: Nagata’s embedding theorem . . . . . . . . . . . . . . . . . . . 766

Solutions and hints for exercises . . . . . . . . . . . . . . . . . . . . . . . . . . 779

List of notations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 811

goes on to construct a locally ringed space X D .X; OX / by introducing the sheaf

The admissibility imposes, most importantly, a strong finiteness condition on ana-

 Functoriality of points does not hold. If K 0 =K is an extension of complete

Figure 1. Topological visualization.

3. Raynaud’s approach to rigid analytic geometry. To adopt the spectra as in

category is equivalent to the quotient category of the category of finitely generated

Formal +3 Rigid analytic

Figure 2. Raynaud’s approach to rigid geometry.

gularization problem for algebraic varieties, Zariski introduced abstract Riemann

6. Birational approach to rigid geometry. As we have already mentioned above,

Functoriality of points does not hold. If K 0 =K is an extension of complete

Relation with Tate’s rigid analytic geometry. Let V be an a-adically com-

Relation with Huber’s adic geometry. As we have already remarked above,

sepX W hXi ! ŒX

the functor .5/ is given by the enriched visualization, defined on locally

Chapter III. Formal flattening theorem

Chapter IV. Enlargement theorem

Chapter V. Equivalence theorem and analytification

By an exact functor between derived categories (of any sort) we always

Let .X; / and .Y; / be ordered sets. A map f W X ! Y is said to be ordered

1.2. (e) Category associated to an ordered set. To an ordered set X D .X; /

Definition 1.4.8. Let D C be a subcategory of C containing all isomorphisms

(1) A subset I A is called an ideal if (a) 0 2 I , (b) a; b 2 I implies a _ b 2 I ,

(2) A subset F A is called a filter if (a) 1 2 F , (b) a; b 2 F implies a ^ b 2 F ,

Proof. Set Ai D QCOuv.Xi / for each i 2 I . The transition maps pij , i j ,