BOUNDS ON THE TORSION SUBGROUP SCHEMES OF NÉRON–SEVERI GROUP SCHEMES

HYUK JUN KWEON

Abstract. Let X,→ Pr be a smooth projective variety defined by homogeneous polyno- mials of degree ≤ d over an algebraically closed field. Let Pic X be the Picard scheme of X. Let Pic0 X be the identity component of Pic X. The Néron–Severi group scheme of 0 X is defined by NS X = (Pic X)/(Pic X)red. We give an explicit upper bound on the order of the finite group scheme (NS X)tor in terms of d and r. As a corollary, we give an 1 ab upper bound on the order of the finite group π´et(X, x0)tor. We also show that the torsion subgroup (NS X)tor of the Néron–Severi group of X is generated by less than or equal to (deg X − 1)(deg X − 2) elements in various situations.

1. Introduction In this paper, we work over an algebraically closed base field k. Although char k is arbi- trary, we are mostly interested in the case where char k > 0. The Néron–Severi group NS X of a smooth projective variety X is the group of divisors modulo algebraic equivalence. Thus, we have an exact sequence 0 → Pic0 X → Pic X → NS X → 0. Néron [27, p. 145, Théorème 2] and Severi [31] proved that NS X is a finitely generated abelian group. Hence, its torsion subgroup (NS X)tor is a finite abelian group. Poonen, Testa and van Luijk gave an algorithm for computing (NS X)tor [29, Theorem 8.32]. The author gave an explicit upper bound on the order of (NS X)tor [21, Theorem 4.12]. As in [32, 7.2], define the Néron–Severi group scheme NS X of X by the exact sequence

0 0 → (Pic X)red → Pic X → NS X → 0. If char k = 0, then Pic0 X is an abelian variety, so NS X is a disjoint union of copies of Spec k. However, if char k = p > 0, then Pic0 X might not be reduced, and Igusa gave the first example [18]. Thus, the Néron–Severi group scheme may have additional infinitesimal arXiv:2008.01908v2 [math.AG] 27 Sep 2021 p-power torsion. The torsion subgroup scheme (NS X)tor of NS X is a finite commutative group scheme. It is a birational invariant for smooth proper varieties due to [28, p. 92, Proposition 8] and [1, Proposition 3.4]. The first main goal of this paper is to give an explicit upper bound b on the order of (NS X)tor. Let expa b := a .

Date: September 28, 2021. 2010 Subject Classification. Primary 14C05; Secondary 14C20, 14C22. Key words and phrases. Néron–Severi group, Castelnuovo–Mumford regularity, Gotzmann number. This research was supported in part by Samsung Scholarship and a grant from the Simons Foundation (#402472 to Bjorn Poonen, and #550033). 1 Theorem 5.10. Let X,→ Pr be a smooth connected projective variety defined by homoge- neous polynomials of degree ≤ d. Then

#(NS X)tor ≤ exp2 exp2 exp2 expd exp2(2r + 6 log2 r).

One motivation for studying (NS X)tor is its relationship with fundamental groups. Recall that if k = C, then 1 ab π (X, x0)tor ' H1(X, Z)tor 2  ' Hom H (X, Z)tor, Q/Z ' Hom((NS X)tor, Q/Z). 1 ab However, if char k = p > 0, then π (X, x0)tor is not determined by (NS X)tor. Therefore, an 1 ab upper bound on #(NS X)tor does not give an upper bound on #π´et(X, x0)tor. Nevertheless, 1 ab π (X, x0)tor is isomorphic to the group of k-points of the Cartier dual of (NS X)tor [32, Propo- 1 ab sition 69]. Hence, we give an upper bound on #π´et(X, x0)tor as a corollary of Theorem 5.10. 1 ab As far as the author knows, this is the first explicit upper bound on #π´et(X, x0)tor. Theorem 6.6. Let X,→ Pr be a smooth connected projective variety defined by homogeneous polynomials of degree ≤ d with base point x0 ∈ X(k). Then ´et ab #π1 (X, x0)tor ≤ exp2 exp2 exp2 expd exp2(2r + 6 log2 r). N Let π1 (X, x0) be the Nori’s fundamental group scheme [28] of (X, x0). Then we also give a N ab similar upper bound on #π1 (X, x0)tor. The second main goal of this paper is to give an upper bound on the number of generators ∞ of (NS X)tor. If ` 6= char k, then (NS X)[` ] is generated by at most (deg X − 1)(deg X − 2) elements by [21, Corollary 6.4]. The main tool of this bound is the Lefschetz hyperplane theorem on étale fundamental groups [11, XII. Corollaire 3.5]. Similarly, we prove that the Lefschetz hyperplane theorem on Picτ X gives an upper bound on the number of generators of (NS X)[p∞]. However, the author does not know whether this is true in general. Never- theless, Langer [22, Theorem 11.3] proved that if X has a smooth lifting over W2(k), then the Lefschetz hyperplane theorem on Picτ X is true. This gives a bound on the number of generators of (NS X)tor. Theorem 8.4. If X,→ Pr is the reduction of a smooth connected projective scheme X ,→ r over W (k), then (NS X) is generated by (deg X − 1)(deg X − 2) elements. PW2(k) 2 tor

In Section3, we prove that #(NS X)tor ≤ dimk Γ(HilbQ X, OHilbQ X ) for some explicit Hilbert polynomial Q. Section4 bounds dimk Γ(Y, OY ) for an arbitrary projective scheme Y,→ Pr defined by homogeneous polynomials of degree at most d. Section5 gives an upper ´et ab N ab bound on #(NS X)tor. Section6 gives an upper bound on #π1 (X, x0)tor and #π1 (X, x0)tor. τ Section7 discusses the Lefschetz-type theorem on Pic X. Section8 proves that (NS X)tor is generated by less than or equal to (deg X − 1)(deg X − 2) elements if X has a smooth lifting over W2(k). 2. Notation

Given a scheme X over k, let OX be the structure sheaf of X. We sometimes denote Γ(X) = Γ(X, OX ). Let Pic X be the of X. If X is integral and locally noetherian, then Cl X denotes the Weil divisor class group of X. If Y is a closed subscheme 2 of X, let IY ⊂X be the sheaf of ideal of Y on X. If X is a projective space and there is no confusion, then we may let IY = IY ⊂X . Given a k-scheme T and a k-algebra A, let X(T ) = Hom(T,X) and X(A) = Hom(Spec A, X). r Suppose that X is a projective scheme in P . Let HilbQ X be the of X corresponding to a Hilbert polynomial Q. Let HilbP X be the Hilbert scheme of X parametrizing closed subschemes Z of X such that IZ has Hilbert polynomial P . In partic- ular,

P (n) Hilb X = Hilb n+r X. ( r )−P (n)

Now, suppose that X is smooth. Let CDivQ X be the subscheme of HilbQ X parametrizing r divisors with Hilbert polynomial Q. If D ⊂ P is an effective divisor on X, let HPD be the Hilbert polynomial of D as a subscheme. Let Pic X be the Picard scheme of X. Let Pic0 X be the identity component of Pic0 X. Let Picτ X be the disjoint union of the connected components of Pic X corresponding to 0 0 τ τ 0 (NS X)tor. Let Pic X = (Pic X)(k) and Pic X = (Pic X)(k). Let NS X = Pic X/(Pic X)red, 0 ´et N and let NS X = Pic X/ Pic X. Given x0 ∈ X(k), let π1 (X, x0) and π1 (X, x0) be the étale fundamental group and Nori’s fundamental group scheme [28] of (X, x0), respectively. Given a vector space V , let Gr(n, V ) be the Grassmannian parametrizing n-dimensional linear subspaces of V . Let S be a separated k-scheme of finite type, and let X be a S-scheme, with the structure map f : X → S. Then given a point t ∈ S, let Xt be the fiber over t. Let F be a quasi- coherent sheaf on X, then let Ft be the sheaf on Xt which is the fiber of F over t. Let g : T → S be a morphism. Let p1 : X ×S T → X and p2 : X ×S T → T be the projections. Then as in as in [19, Definition 9.3.12], for an invertible sheaf L on X, let LinSysL /X/S be the scheme given by

 LinSysL /X/S(T ) = D D is a relative effective divisor on XT /T such that ∗ ∗ OXT (D) ' p1L ⊗ p2N for some invertible sheaf N on T .

Given a set S and T , let S qT be the disjoint union of S and T . Let #S be the cardinality of S. Let N be the set of nonnegative integers, and N

 a0,0 a0,1 . . . a0,n−1   a1,0 a1,1 . . . a1,n−1  (ai,j)i

f(M) := (ϕ(ai,j))i

3. Numerical Conditions Let ı: X,→ Pr be a closed embedding of a smooth connected projective variety X. Let H ⊂ X be a hyperplane section of X. The goal of this section is to describe an integer m such that

(1) #(NS X)tor ≤ dimk Γ(HilbHPmH X) . For a positive integer m, consider the diagram τ HilbHPmH ←- CDivHPmH X → Pic X  (NS X)tor, in which the middle morphism is yet to be defined. The natural embedding CDivHPmH X,→ τ HilbHPmH X is open and closed [20, Theorem 1.13]. The natural quotient Pic X  (NS X)tor is faithfully flat [5, VIA, Théorème 3.2]. Suppose that there is a faithfully flat τ morphism CDivHPmH X → Pic X for some large m. Then Γ((NS X)tor) ,→ Γ(CDivHPmH ) is injective by [10, Corollaire 2.2.8], and Γ(HilbHPmH )  Γ(CDivHPmH ) is surjective, so we get (1). Such m will be obtained as a byproduct of the construction of Picard schemes. The theorem and the proof below are a modification of the proof of [19, Theorem 9.4.8]. Theorem 3.1. Let m be an integer such that (2) H1(X, L (m)) = 0 for every numerically zero invertible sheaf L . Then the morphism given by τ (CDivHPmH X)(T ) → (Pic X)(T )

D 7→ OXT (D − mHT ) is faithfully flat. Proof. Let Picσ X be the union of the connected components of Pic X parametrizing in- vertible sheaves having the same Hilbert polynomial as OX (m). Then for any k-scheme T , (Picσ X)(T ) → (Picτ X)(T ) L 7→ L (−m) 4 gives an isomorphism. Because of the cycle map

σ (CDivHPmH X)(T ) → (Pic X)(T )

D 7→ OXT (D), σ σ σ CDivHPmH X can be regarded as a (Pic X)-scheme. The identity Pic X → Pic X gives σ σ a (Pic X)-point of Pic X, and it is represented by an invertible sheaf L on XPicσ X . Then σ σ σ CDivHPmH X is naturally isomorphic to LinSysL /X×Pic X/ Pic X as (Pic X)-schemes by σ definition. For every closed point t ∈ Pic X, Lt(−m) is numerically zero, so 1 H (X × {t}, Lt) = 0.

Hence, [19, 9.3.10] implies that LinSysL /X×Picσ X/ Picσ X ' P(Q) for some locally free sheaf σ σ τ Q on Pic X. Since P(Q) → Pic X is faithfully flat, CDivHPmH X → Pic X is also faithfully flat.  We now need to find an integer m satisfying (2). Recall the definition of Casteln- uovo–Mumford regularity.

Definition 3.2. A coherent sheaf F on Pr is m-regular if and only if i r H (P , F (m − i)) = 0 for every integer i > 0. The smallest such m is called the Castelnuovo–Mumford regularity of F . Mumford [26, p. 99] showed that if F is m-regular, then it is also t-regular for every t ≥ m.

Definition 3.3. Let P be the Hilbert polynomial of some homogeneous ideal I ⊂ k[x0, . . . , xr]. The Gotzmann number ϕ(P ) of P is defined as

ϕ(P ) = inf{m | IZ is m-regular for every r closed subvariety Z ⊂ P with Hilbert polynomial P }. If Z ⊂ Pr is a projective scheme, then let ϕ(Z) be the Gotzmann number of the Hilbert polynomial of IZ .

Given a homogeneous ideal I ⊂ k[x0, . . . , xr], Hoa gave an explicit finite upper bound on ϕ(HPI ) [16, Theorem 6.4(i)]. We will describe m in terms of Gotzmann numbers of Hilbert polynomials.

Lemma 3.4. Let L be a numerically zero invertible sheaf on X. Then L ((d − 1) codim X) is generated by global sections.

Proof. See [21, Lemma 3.5 (a)].  Lemma 3.5. Let L be a numerically zero invertible sheaf on X. Then for every i ≥ 1, n ≥ (d − 1) codim X and m ≥ max{ϕ(nH), ϕ(X)}, we have

Hi(X, L (m − n)) = 0. 5 Proof. There is an effective divisor Z on X such that IZ⊂X = L (−n) by Lemma 3.4. i r i r Since IZ and IX are m-regular, H (P , IZ (m)) = 0 and H (P , IX (m)) = 0 for all i ≥ 1. Consider the exact sequence

0 → IX → IZ → ı∗IZ⊂X → 0. Then its long exact sequence shows that i i r H (X, L (m − n)) = H (P , ı∗IZ⊂X (m)) = 0 for every i ≥ 1.  We are ready to prove the main theorem of this section. Theorem 3.6. Assume that n ≥ (d − 1) codim X and m ≥ max{ϕ(nH), ϕ(X)}. Then

#(NS X)tor ≤ dimk Γ(HilbHPmH X) . τ Proof. The quotient Pic X → (NS X)tor is faithfully flat. Lemma 3.5 and Theorem 3.1 give τ a faithfully flat morphism CDivHPmH X → Pic X. As a result, their composition gives an injection

Γ((NS X)tor) ,→ Γ(CDivHPmH X) by [10, Corollaire 2.2.8]. Recall that CDivHPmH X is an open and closed subscheme of

HilbHPmH X. Consequently,

#(NS X)tor = dimk Γ(NS X)tor

≤ dimk Γ(CDivHPmH X)

≤ dimk Γ(HilbHPmH X) . 

Therefore, if we bound dimk Γ(Y, OY ) for a general projective scheme Y , and explicitly describe Hilbert schemes in projective spaces, then we can bound #(NS X)tor.

4. The Dimension of Γ(Y, OY ) Let Y,→ Pr be a projective scheme defined by a homogeneous ideal I generated by homogeneous polynomials of degree at most d. The aim of the section is to give an upper bound on dimk Γ(Y, OY ) in terms of r and d. First, we reduce to the case where I is a monomial ideal.

r Lemma 4.1. Let  be a monomial order. Let Y0 ,→ P be a projective scheme defined by in(I). Then

dimk Γ(Y, OY ) ≤ dimk Γ(Y0, OY0 ). Proof. By [15, Corollary 3.2.6] and [15, Theorem 3.1.2], there is a flat family Y → Spec k[t] such that

(1) Y0 ' Y0 and (2) Yt ' Y for every t 6= 0.

Hence, dimk Γ(Y, OY ) ≤ dimk Γ(Y0, OY0 ) by the semicontinuity theorem [13, Theorem 12.8].  6 Theorem 4.2 (Dubé [6, Theorem 8.2]). Let I ⊂ k[x0, . . . , xr] be an ideal generated by homogeneous polynomials of degree at most d. Let  be a monomial order. Then in(I) is generated by monomials of degree at most

r−1 d2 2 2 + d . 2 Hence, we will focus on the case where I is a monomial ideal. Let m be a monomial and I be a monomial ideal of k[x0, . . . , xr]. Then by abusing notation, we denote (m) (m) := . I I ∩ (m)

Definition 4.3. Let m ∈ k[x0, . . . , xr] be a monomial, and let I ⊂ k[x0, . . . , xr] be a mono- d d mial ideal. Let M(m, I) be the set of monomials in (m) \ (I ∪ (x0, . . . , xr)). In particular, (m) #M(m, I) = dim . k d d I + (x0, . . . , xr)

Definition 4.4. Given a monomial m ∈ k[x0, . . . , xr], let µ(m) + 1 be the number of i such that xi | m.

Definition 4.5. Let I be a monomial ideal with minimal monomial generators m0, m1, . . . , mn−1. Then

µ(I) := µ(m0) + µ(m1) + ··· + µ(mn−1). Suppose that I is generated by monomials of degree at most d. We want to show that r dimk Γ(Y, OY ) ≤ d . By induction on µ(I), we will show a slightly stronger proposition: for every monomial m ∈ k[x0, . . . , xr] whose exponents are at most d, we have   #M(m, I) dim Γ r, (^m)/I ≤ . k P d r r+1 r Since Γ(Y, OY ) = Γ(P , (1)]/I) and #M(m, I) ≤ d , it follows that dimk Γ(Y, OY ) ≤ d .

b0 b1 bn−1 Lemma 4.6. For some n ≤ r + 1, let I = (x0 , x1 , . . . , xn−1 ) such that bi > 0 for every i < n. Then  1 if n < r,  dimk Γ(Y, OY ) = b0 . . . bn−1 if n = r, and 0 if n = r + 1.

Proof. Suppose that n < r, and take a nonzero function f ∈ Γ(Y, OY ). Take any i and j such deg g that n ≤ i < j ≤ r. In the open set xi 6= 0, we have f = g/xi such that g ∈ k[x0, . . . , xr] deg h and xi - g. In the open set xj 6= 0, we have f = h/xj such that h ∈ k[x0, . . . , xr] and xj - h. Therefore, in the open set xixj 6= 0, we have deg h deg g gxj = hxi .

Therefore, deg g = deg h = 0. As a result, f is constant meaning that dimk Γ(Y, OY ) = 1. If n = r, then dimk Γ(Y, OY ) = b0 . . . bn−1 by Bézout’s theorem. If n = r + 1, then Y is empty, so dimk Γ(Y, OY ) = 0.  7 Lemma 4.7. Let m be a monomial and I be a monomial ideal such that µ(I) > 0. Then there are monomials m0 and m1, and monomial ideals I0 and I1 such that

M(m, I) = M(m0,I0) q M(m1,I1),

 r   r   r  dimk Γ P , (^m)/I ≤ dimk Γ P , (m^0)/I0 + dimk Γ P , (m^1)/I1 ,

µ(I0) < µ(I) and µ(I1) < µ(I). Proof. Since µ(I) > 0, there is a minimal monomial generator n0 of I such that µ(n0) > 0. Let J be the ideal generated by the other minimal monomial generators of I. Then I = (n0) + J 0 0 s and n 6∈ J. We may assume that n = xi n where s > 0 and xi - n. Grouping the monomials in M(m, I) according to whether the exponent of xi is ≥ s or < s yields s s M(m, I) = M (lcm(xi , m), (n) + J) q M (m, (xi ) + J) . Moreover, the short exact sequence s (lcm(xi , m)) (m) (m) 0 → → → s → 0. (n) + J I (xi ) + J implies that ! !   (lcm(^xs, m)) ^(m) r ^ r i r dimk Γ P , (m)/I ≤ dimk Γ P , + dimk Γ P , s . (n) + J (xi ) + J Finally, we have µ((n) + J) ≤ µ(n) + µ(J) < µ(n0) + µ(J) = µ(I) s and similarly µ((xi ) + J) < µ(I). 

Lemma 4.8. Let m ∈ k[x0, . . . , xr] be a monomial whose exponents are at most d. Let I ⊂ k[x0, . . . , xr] be an ideal generated by monomials of degree at most d. Then   #M(m, I) dim Γ r, (^m)/I ≤ . k P d Proof. This will be shown by induction on µ(I). If µ(I) < 0, then I = (1), so

 r  dimk Γ P , (^m)/I = 0. Suppose that µ(I) = 0. Then by changing coordinates, we may assume that for some n ≤ r + 1, b0 b1 bn−1 a0 a1 ar I = (x0 , x1 , . . . , xn−1 ) and m = x0 x1 . . . xr such that 0 < bi ≤ d for every i < n, and 0 ≤ aj ≤ d for every j ≤ r. If ai ≥ bi for some i < n, then m ∈ I, so (m)/I = 0. Thus, we may assume that ai < bi ≤ d for every i < n. r Let ı: Y,→ P be the projective scheme defined by I. Then (^m)/I is a subsheaf of ı∗OY . Hence, if n < r, then Lemma 4.6 implies that

 r  dimk Γ P , (^m)/I ≤ 1. deg m Suppose that n = r. Since the open set defined by xr 6= 0 contains Y , multiplying by xr gives an isomorphism (gm) (gm) ×xdeg m : → (deg m). r I I 8 Moreover, multiplication by m−1 gives an isomorphism (m) k[x , . . . , x ] ×m−1 : (deg m) → 0 r . I b0−a0 br−1−ar−1 (x0 , . . . , xr−1 ) Hence, by Lemma 4.6,

 r  dimk Γ P , (^m)/I = (b0 − a0)(b1 − a1) ... (br−1 − ar−1). Suppose that n = r + 1. Then since Y is empty,

 r  dimk Γ P , (^m)/I = 0. Because r−n+1 #M(m, I) = (b0 − a0)(b1 − a1) ... (bn−1 − an−1)d ,   we have Γ Pr, (^m)/I ≤ #M(m, I)/d in every case.

Now, suppose that µ(I) > 0 and assume the induction hypothesis. Then we have m0, m1, I0 and I1 as in Lemma 4.7. Thus,  r   r   r  Γ P , (^m)/I ≤ Γ P , (m^0)/I0 + Γ P , (m^0)/I0 #M(m ,I ) #M(m ,I ) ≤ 0 0 + 1 1 (by the induction hypothesis) d d #M(m, I) = . d  Corollary 4.9. Let Y,→ Pr be a projective scheme defined by monomials of degree at most d. Then r dimk Γ(Y, OY ) ≤ d . Proof. Let I be the ideal generated by the defining monomials of Y . Then

 r  dimk Γ(Y, OY ) = dimk Γ P , (1)]/I #M(1,I) ≤ (by Lemma 4.8 with m = 1) d r = d .  Now, we are ready to prove the main theorem of this section. Theorem 4.10. Let Y,→ Pr be a projective scheme defined by homogeneous polynomials of degree at most d. Then r−1 d2 r2 dim Γ(Y, O ) ≤ 2r + d k Y 2 Proof. This follows from Lemma 4.1, Theorem 4.2 and Corollary 4.9. 

The artinian scheme Spec Γ(Y, OY ) satisfies the universal property: every morphism f : Y → G to an artinian scheme G uniquely factors through the natural morphism p: Y → Spec Γ(Y, OY ) [13, Exercise II.2.4]. Thus, Y and Spec Γ(Y, OY ) has the same number of connected compo- r nents. Andreotti–Bézout inequality [4, Lemma 1.28] then implies that dimk Γ(Y, OY )red ≤ d . r Thus, we may expect that dimk Γ(Y, OY ) ≤ d , and this is true if Y is defined by monomials by Corollary 4.9. 9 Question 4.11. Let Y,→ Pr be a projective scheme defined by homogeneous polynomials of degree at most d. Is r dimk Γ(Y, OY ) ≤ d ? One the other hand, Mayr and Meyer [25] constructed a family of ideals whose Castelnuovo– Mumford regularities are doubly exponential in r. Thus, the doubly exponential upper bound on dimk Γ(Y, OY ) might be unavoidable.

5. Hilbert Schemes Let X,→ Pr be a smooth connected projective variety defined by polynomials of de- gree at most d. The aim of this section is to give an explicit upper bound on #(NS X)tor. P Theorem 3.6 implies that it suffices to give an upper bound on dimk Γ(Hilb X) for a P polynomial P . Gotzmann explicitly described Hilb Pr as a closed subscheme of a Grass- mannian [9][17, Proposition C.29]. Let Rn := k[x0, . . . , xr]n for n ∈ N. Theorem 5.1 (Gotzmann). Let t ≥ ϕ(P ) be an integer. Then there exists a closed immer- sion given by P r Hilb P (A) → Gr(P (t),Rt)(A) r [Z] 7→ Γ(PA, IZ (t)) for every k-algebra A. Therefore, we have closed immersions P P r VP (t)  Hilb X,→ Hilb P ,→ Gr(P (t),Rt) ,→ P Rt

P P r VP (t) where Hilb X,→ Hilb P is the natural embedding and Gr(P (t),Rt) ,→ P( Rt) is the Plücker embedding. We will bound the degree of defining equations of HilbP X VP (t) P in P( Rt). Then Theorem 4.10 will gives an upper bound on dimk Γ(Hilb X). For simplicity, let n + r Q(n) := dim R − P (n) = − P (n). n r The theorem below is a refomulation of the work in [17, Appendix C].

Theorem 5.2. Let t ≥ max{ϕ(P ), d} be an integer. Let A be an k-algebra, and let Sn = P A[x0, . . . , xr]n. Then M ∈ Gr(P (t),Rt)(A) is in (Hilb X)(A) if and only if

(a) FittQ(t+1)−1(St/(S1 · M)) = 0 and r (b) Γ(PA, IXA (t)) ⊂ M.

Proof. Note that M ⊂ St is a projective A-module of rank P (t). Nakayama’s lemma and [17, Proposition C.4] imply that St/(S1 · M) is locally generated by Q(t + 1) elements. Thus, [7, Proposition 20.6] implies that FittQ(t+1)(St/(S1 · M)) = A. Hence, by [7, Proposition 20.8], M satisfies (a) if and only if S1 ·M ∈ Gr(P (t+1),Rt+1)(A), which by [17, Proposition C.29] P is equivalent to M ∈ (Hilb Pr)(A). Let Z be the A-scheme defined by the polynomials in M. Then M satisfies (b) if and only if Z ⊂ XA. Therefore, M ∈ Gr(P (t),Rt)(A) satisfies both (a) and (b) if and only if P M ∈ (Hilb X)(A).  10 For simplicity, we replace Rt by a k-vector space V , and P (t) by a nonnegative integer n ≤ dim V . Let e0, e1, . . . , edim V −1 be an ordered basis of V . Given a: N

Definition 5.3. Given a: N

Definition 5.4. Given a: N

Let b0, b1,..., b(dim V )n−1 be all the functions N

Proof. Let a: N

zb det Jb = = det Jb ∈ Γ(Ua). za det Ja −1 −1 In particular, za[j7→i]/za = xi,j, meaning that za Ka = J. Thus, im J ⊂ im za L, so it suffices −1 to prove that im za Kb ⊂ im J for every b: N

 zb[m7→0]   det Jb[m7→0]  n−1 1 X w = . = . = C v ∈ im J m z  .   .  m,j j  a j=0 zb[m7→dimk V −1] det Jb[m7→dim V −1] Lemma 5.6. Let m and q be nonnegative intergers. Let W be a k-vector space and let u: V q → W be a linear map. For every k-algebra A, let q H(A) = {M ∈ Gr(n, V )(A) | Fittdim W −m(WA/uA(M )) = 0}, so H is a subfunctor of Gr(n, V ). Then there is a closed scheme F ⊂ Gr(n, V ) defined by homogeneous polynomials of degree m such that H is represented by G ∩ Gr(n, V ).

Proof. For i < q, let ui be the ith component of u, so u = u0 ⊕ · · · ⊕ uq−1. Let  ⊕n(dim V )n ⊕n(dim V )n ⊕n(dim V )n  Λ := u0 (L) u1 (L) ··· uq−1 (L) . Vn Let V,→ P ( V ) be the closed subscheme defined by the m × m minors of Λ. We will show that H is represented by F ∩ Gr(n, V ). Take Ua as in the proof of Lemma 5.5. For a k-algebra A, take an A-module M ∈ Ua(A). Then M is represented by a k-algebra morphism f : Γ(Ua) → A. Then Lemma 5.5 implies −1 that M = im f(za L). Thus, q −1  −1  uA(M ) = u0,A im f(za L) + ··· + uq−1,A im f(za L)  ⊕n(dim V )n −1   ⊕n(dim V )n −1  = im f u0 (za L) + ··· + im f uq−1 (za L) −1 = im f(za Λ). Hence, we have a free resolution

−1 n f(z Λ) W ... Aqn(dim V ) a W A 0. A u(M q)

s −1 Consequently, Fittdim W −m(WA/u(M )) is generated by m × m minors of f(za Λ). As a result, M ∈ H(A) if and only if M ∈ F (A). Since M is arbitrary, this imples that H is represented by F ∩ Gr(n, V ).  Lemma 5.7. Let U be a linear subspace of V . For every k-algebra A, let

H(A) = {M ∈ Gr(n, V )(A) | UA ⊂ M}, so H is a subfunctor of Gr(n, V ). Then H is represented by the intersection of a linear space Vn and Gr(n, V ) in P ( V ). Proof. See [12, p. 66].  P VP (t) Hence, we can bound the degree of the defining equation of Hilb X,→ P( Rt). P VP (t) Theorem 5.8. The closed embedding Hilb X,→ P( Rt) is defined by homogeneous polynomials of degree at most P (t + 1) + 1. Proof. The Plücker relations are quadratic [12, p. 65]. Thus, it follows from Theorem 5.2, Lemma 5.6 with u(f0, f1, . . . , fr) = x0f0 + x1f1 + ··· + xrfr and Lemma 5.7.  12 Therefore, an upper bound on Gotzmann numbers will give an explicit construction of the Hilbert scheme. Such a bound is given by Hoa [16, Theorem 6.4(i)].

Theorem 5.9 (Hoa). Let I ⊂ k[x0, . . . , xr] be a nonzero ideal generated by homogeneous polynomials of degree at most d ≥ 2. Let b be the Krull dimension and c = r + 1 − b be the codimension of k[x0, . . . , xr]/I. Then b−1 3 b2 ϕ(HP ) ≤ dc + d . I 2 Now, we are ready to give an upper bound:

Theorem 5.10. Let X,→ Pr be a smooth connected projective variety defined by homoge- neous polynomials of degree ≤ d. Then

#(NS X)tor ≤ exp2 exp2 exp2 expd exp2(2r + 6 log2 r).

Proof. If X is a projective space or dim X ≤ 1, then (NS X)tor is trivial. Therefore, we may assume that d ≥ 2, 2 ≤ dim X ≤ r − 1. Let n = dr and m = (dr)r22r−1 . Then n ≥ (d − 1) codim X, and Theorem 5.9 with 2 ≤ b ≤ r implies that  r2r−1 3 2 r−1 max{ϕ(nH), ϕ(X)} ≤ (dr)r−1 + dr ≤ (dr)r 2 = m. 2 Therefore, Theorem 3.6 implies that

#(NS X)tor ≤ dimk Γ(HilbHPmH X) . Let t = (dr)r422r−2 . Theorem 5.9 implies that  r2r−1 3 2 r−1 max{ϕ(mH), d} ≤ mr−1 + m ≤ mr 2 = t. 2

Therefore, Theorem 5.8 implies that HilbHPmH X is defined by polynomials of degree at VP (t) VP (t) most D = P (t + 1) + 1 in P( Rt). Let N = dimk Rt, and let P be the Hilbert 1295 polynomial of ImH . Because r ≥ 3 and t ≥ 6 dr, t + r + 1 D = P (t + 1) + 1 ≤ + 1 ≤ tr. r and   dim Rt dim R t+r tr/4 N = ≤ 2 t = 2( r ) ≤ 2 . P (t) Therefore, Theorem 3.6 and Theorem 4.10 implies that N 2 N2N−1 N2N #(NS X)tor ≤ Γ(HilbHPmH X) ≤ 2 (D /2 + D) ≤ (2D) . Furthermore, r N2N N N N N tr/2 2t log2(2D) ≤ N2 (1 + log2 D) ≤ N · 2 · (1 + r log2 t) ≤ 2 · 2 · 2 ≤ 2 r 2t 5 2r−2 6 2r−2 logd log2 log2 2 = r logd t = r 2 (1 + logd r) ≤ r 2 . As a resulut,

(3) #(NS X)tor ≤ exp2 exp2 exp2 expd exp2(2r + 6 log2 r − 2).  13 In the rest of this section, we drop the condition that X is connected. Let Y0,Y1,...,Yn−1 be the connected components of X.

Theorem 5.11. Let X,→ Pr be a smooth projective variety defined by homogeneous poly- nomials of degree ≤ d. Then

#(NS X)tor ≤ exp2 exp2 exp2 expd exp2(2r + 7 log2 r). Proof. Since Pic X = Pic Y0 × Pic Y1 · · · × Pic Yn−1, we have (NS X)tor = (NS Y0)tor × (NS Y1)tor · · · × (NS Yn−1)tor. r r The Andreotti–Bézout inequality [4, Lemma 1.28] implies that n ≤ d and deg Yi ≤ d for every i. Moreover, every Yi is defined by homogeneous polynomials of degree at most deg Yi by [14, Proposition 3]. Without loss of generality, we may assume that

#(NS Y0)tor = max{#(NS Yi)tor | 0 ≤ i < n}. Then

dr #(NS X)tor ≤ (#(NS Y0)tor) dr ≤ (exp2 exp2 exp2 expdr exp2(2r + 6 log2 r − 2)) (by (3))  r r622r−2 r ≤ exp2 exp2 exp2 (d ) d 7 2r ≤ exp2 exp2 exp2 expd r 2

= exp2 exp2 exp2 expd exp2(2r + 7 log2 r).  6. Application to Fundamental groups

Let X be a smooth connected projective variety with base point x0 ∈ X(k). If k = C, then ´et ab the torsion abelian group (Pic X)tor is the dual of the profinite abelian group π1 (X, x0) . More explicitly, π´et(X, x )ab = Hom((Picτ X) , / ) = lim(Picτ X)[n]∨. 1 0 tor Q Z ←− n>0 This can be generalized to algebraically closed fields k of arbitrary characteristic by us- τ N ing Pic X and Nori’s fundamental group scheme π1 (X, x0). Before proceeding, note that ´et ab N ab π1 (X, x0) = π1 (X, x0) (k) due to [8, Lemma 3.1]. τ Theorem 6.1 (Antei [1, Proposition 3.4]). The commutative torsion group scheme (Pic X)tor N ab is the Cartier dual of the commutative profinite group scheme π1 (X, x0) . More precisely, πN (X, x )ab = lim(Picτ X)[n]∨. 1 0 ←− n>0 ´et ab ∨ N ab ∨ If k = C, then π1 (X, x0)tor ' (NS X)tor. We will show that π1 (X, x0)tor ' (NS X)tor for N ab general base fields. Then Theorem 5.10 gives an upper bound on #π1 (X, x0)tor. Lemma 6.2. Let A be a proper commutative group scheme. Let A0 be the identity component 0 of A. Then for every large and divisible m, we have mAtor = Ared,tor. 14 0 0 Proof. Notice that Ared is an abelian variety and A/Ared is a finite group scheme. Suppose 0 that m divides #(A/Ared). Since multiplication by m is surjective on the abelian variety 0 0 0 0 Ared, we get mA = Ared. As a result, mA = Ared, meaning that mAtor = Ared,tor.  Lemma 6.3. Let A be a commutative group scheme of finite type. Let B be a subgroup scheme of A. Suppose that B is an abelian variety. Then for every positive integer n, the natural morphism A[n] A ϕ: → [n] B[n] B is an isomorphism. Proof. By the snake lemma,

0 B A A/B 0

×n ×n ×n 0 B A A/B 0

gives the exact sequence A B 0 −→ B[n] −→ A[n] −→ [n] −→ . B nB Since B is an abelian variety, we have B/nB = 0. 

Theorem 6.4. Let X be a smooth connected projective variety with base point x0 ∈ X(k). Then N ab ∨ π1 (X, x0)tor ' (NS X)tor. Proof. Keep in mind that limits commute with kernels and colimits commute with cokernels. Keep in mind that the Cartier duality is a contravariant equivalence. Theorem 6.1 implies that ! πN (X, x )ab = lim lim(Picτ X)[n]∨ [m] 1 0 tor −→ ←− m>0 n>0 = lim lim ((Picτ X)[n]∨[m]) −→ ←− m>0 n>0  (Picτ X)[n] ∨ = lim lim −→ ←− τ m>0 n>0 m(Pic X)[n] !∨ (Picτ X)[n] = lim lim −→ −→ τ m>0 n>0 m(Pic X)[n] lim (Picτ X)[n] !∨ = lim −→n>0 −→ lim m(Picτ X)[n] m>0 −→n>0  (Picτ X) ∨ = lim tor −→ τ m>0 m(Pic X)tor 15 !∨ (Picτ X) = lim tor ←− τ m>0 m(Pic X)tor  τ ∨ (Pic X)tor = 0 (by Lemma 6.2) (Pic X)red,tor lim (Picτ X)[n] !∨ = −→n>0 lim (Pic0 X) [n] −→n>0 red !∨ (Picτ X)[n] = lim −→ 0 n>0 (Pic X)red[n] !∨ = lim(NS X) [n] (by Lemma 6.3) −→ tor n>0 ∨ = (NS X)tor.  N ab Therefore, we obtain an upper bound on #π1 (X, x0)tor. Theorem 6.5. Let X,→ Pr be a smooth connected projective variety defined by homogeneous polynomials of degree ≤ d with base point x0 ∈ X(k). Then N ab #π1 (X, x0)tor ≤ exp2 exp2 exp2 expd exp2(2r + 6 log2 r). N ab Proof. Theorem 6.4 implies that #π1 (X, x0)tor = #(NS X)tor. Therefore, the bound follows from Theorem 5.10.  ´et ab Suppose that char k = p > 0 and ` 6= p is a prime number. Since π1 (X, x0) = N ab ´et ab ∞ ∞ ∨ π1 (X, x0) (k), Theorem 6.4 implies that π1 (X, x0) [` ] = (NS X)[` ] . However, this is not true for p-power torsions. Hence, a bound on #(NS X)tor such as [21, Theorem 4.12] ´et ab does not give a bound on #π1 (X, x0)tor. Theorem 6.6. Let X,→ Pr be a smooth connected projective variety defined by homogeneous polynomials of degree ≤ d with base point x0 ∈ X(k). Then ´et ab #π1 (X, x0)tor ≤ exp2 exp2 exp2 expd exp2(2r + 6 log2 r). ´et ab ∨ Proof. By [32, Proposition 69], we have π1 (X, x0)tor = (NS X)tor(k). Therefore, ´et ab ∨ #π1 (X, x0)tor = #(NS X)tor(k) ≤ #(NS X)tor, and the bound follows from Theorem 5.10. 

7. Lefschetz Hyperplane Theorem Throughout the section, X,→ Pr is a smooth connected projective variety satisfying dim X ≥ 2, and H is a smooth hyperplane section of X. In this section, we discuss the Lefschetz hyperplane theorem for Picτ X. If k = C, the exponential sequence gives a short exact sequence 1 H (X, Z) ⊗Z R τ 2 0 −→ −→ Pic X −→ H (X, Z)tor −→ 0. H1(X, Z) 16 With the natural analytic topology, the Pontryagin duality gives an exact sequence

τ H1(X, Z) 0 −→ H1(X, Z)tor −→ Homcont(Pic X, R/Z) −→ −→ 0. H1(X, Z)tor The Lefschetz hyperplane theorem implies that the map H1(H, Z) → H1(X, Z) is surjective. Therefore, the lemma below implies that Picτ X → Picτ H is injective. Lemma 7.1. Let f : A → B be a surjective morphism between finitely generated abelian groups. Consider the morphism between exact sequences

0 0 Ator A A/Ator 0 g f∗ f∗

0 0 Btor B B/Btor 0 where the outer vertical morphisms are induced by f. Then g : A0 → B0 is surjective.

Proof. This follows from the snake lemma.  We expect a similar Lefschetz-type theorem for any algebraically closed field k. Over a general base field, we have the Lefschetz hyperplane theorem for étale fundamental groups [11, XII. Corollaire 3.5]. Hence, for a prime number ` 6= char k, (Pic X)[`∞] → (Pic H)[`∞] is injective by Theorem 6.1. However, étale fundamental groups lack the information of (Pic X)[p∞]. Theorem 7.2. Let X be a smooth connected projective variety, and let H be a smooth hyperplane section of X. If dim X ≥ 2, then the kernel of r : Picτ X → Picτ H is a finite commutative group scheme with a connected Cartier dual.

0 Proof. Let ` 6= char k be a prime number. The connected component (ker r)red of (ker r)red 0 is an abelian variety without `-torsion points. Therefore, (ker r)red = 0 and ker r is a finite commutative group scheme. Take a base point x ∈ H, and let M = #(ker r). Then (ker r)∨ = ker(Picτ X → Picτ H)∨ = ker (Pic X)[M] → (Pic H)[M]∨ = coker ((Pic H)[M]∨ → Pic X)[M]∨)  πN (H, x)ab πN (X, x)ab  = coker 1 → 1 (by Theorem 6.1). N ab N ab Mπ1 (H, x) Mπ1 (X, x) We have πN (X, x)ab π´et(X, x)ab 1 (k) = 1 N ab ´et ab Mπ1 (X, x) Mπ1 (X, x) by [8, Lemma 3.1]. Moreover, π´et(H, x)ab π´et(X, x)ab 1 → 1 ´et ab ´et ab Mπ1 (H, x) Mπ1 (X, x) 17 is surjective by the Lefschetz hyperplane theorem for étale fundamental groups [11, XII. ∨ ∨ Corollaire 3.5]. Thus, (ker r) (k) = 0, meaning that (ker r) is connected. 

One may want to show that r : Picτ X → Picτ H is injective. Unfortunately, the Lefschetz hyperplane theorem for Nori’s fundamental group scheme is no longer true [2, Remark 2.4]. Nonetheless, we still have the Lefschetz hyperplane theorem in some cases.

Theorem 7.3. Let d be a sufficiently large integer. Then for any smooth hyperplane section H0 of the d-uple embedding of X,→ Pr, the natural map

r : Picτ X → Picτ H0 is a closed embedding.

N 0 Proof. Let M = #(ker r). If d is sufficiently large, then the natural map π1 (H , x) → N π1 (X, x) is faithfully flat by [3, Theorem 1.1]. In this case,

 πN (H, x)ab πN (X, x)ab  (ker r)∨ = coker 1 → 1 = 0 N ab N ab Mπ1 (H, x) Mπ1 (X, x)

as in the proof of Theorem 7.2.  Theorem 7.4 (Langer [22, Theorem 11.3]). Suppose that X has a lifting to a smooth pro- jective scheme over W2(k). Then

r : Picτ X → Picτ H is a closed embedding.

The author does not know whether or not Picτ X → Picτ H is injective in general. How- ever, the author conjectures that Picτ X → Picτ H can fail to be a closed embedding if char k = p > 0, because of the failure of the Kodaira vanishing theorem. The argument below is a reformulation of the work in [3, Section 2] and [22, Example 10.1].

n Definition 7.5. Let αpn be the kernel of the p -power Frobenius endomorphism on Ga.

Theorem 7.6. Let D be a smooth ample effective divisor on X. Then the natural map

τ τ r(αp):(Pic X)(αp) → (Pic D)(αp)

1 is injective if and only if H (X, OX (−D)) = 0.

1 Proof. Suppose that H (X, OX (−D)) 6= 0. Because dim X ≥ 2, there is a large integer n 1 n such that H (X, OX (−p D)) = 0. Let FX : X → X be the absolute Frobenius morphism. n ∗ n Then (FX ) OX (−D) = OX (−p D). Thus, we have the diagram with exact rows and columns 18 as below. 0 0

1 h 1 Hfppf (X, αpn ) Hfppf (D, αpn )

i

1 f 1 g 1 0 H (X, OX (−D)) H (X, OX ) H (D, OD)

n ∗ n ∗ (FX ) (FX )

1 n 1 0 H (X, OX (−p D)) H (X, OX )

1 n ∗ 1 n Take a nonzero s ∈ H (X, OX (−D)). Then (FX ) (f(s)) = 0, because H (X, OX (−p D)) = 1 0. Thus, there is a nonzero t ∈ Hfppf (X, αpn ) such that f(s) = i(t). On the other hand, h(t) = 0, since g(f(s)) = 0. Therefore, h is not injective. By [1, Proposition 3.2], the natural morphism τ τ r(αpn ):(Pic X)(αpn ) → (Pic D)(αpn ) τ is isomorphic to h, so is also not injective. Let ϕ: αpn → Pic X be a nonzero element of ker r(αpn ). Then the image of ϕ is αpm for some m > 0. Furthermore, αpm has a subgroup isomorphic to αp. Thus, we have the commutative diagram below.

αpn ϕ

τ τ αp αpm Pic X Pic D

The second row gives a nonzero element in the kernel of

τ τ r(αp):(Pic X)(αp) → (Pic D)(αp).

1 1 1 Now, suppose that H (X, OX (−D)) = 0. Then H (X, OX ) → H (D, OD) is injective, 1 1 and so is Hfppf (X, αp) → Hfppf (D, αp). By [1, Proposition 3.2],

τ τ r(αp):(Pic X)(αp) → (Pic D)(αp)

is also injective. 

1 Raynaud [30] gave an ample effective divisor D such that H (X, OX (−D)) 6= 0. Lau- ritzen [23] [24] showed that the Kodaira vanishing theorem can fail even if D is very am- ple. However, the author does not know any example of a very ample divisor D such that 1 H (X, OX (−D)) 6= 0. Thus we still do not know the answers to the following.

Question 7.7. Let X be a smooth connected projective variety of dim X ≥ 2, and let H be a smooth hyperplane section. Is the map Picτ X → Picτ H always injective? Is the map Picτ X → Picτ H always a closed embedding? 19 8. The Number of Generators of (NS X)tor Let dim X,→ Pr be a smooth connected projective variety such that dim X ≥ 1. The aim of this section is to prove that (NS X)tor is generated by at most (deg X − 1)(deg X − 2) elements, if X has a lifting over W2(k). In the rest of the section, let C be the intersection of X with dim X −1 general hyperplanes in Pr. Then C is a smooth connected curve, and the genus g(C) of C is at most (deg X − 1)(deg X − 2)/2. Since Picτ C = Jac C, we have a natural map r : Picτ X → Jac C. Theorem 8.1. Let C be a general curve section. Then ker r is a finite commutative group scheme with a connected dual. Proof. By Theorem 7.2 applied repeatedly, r is a composition of homomorphisms with finite connected kernel, so ker r also is finite and connected.  Lemma 8.2. If X,→ Pr is the reduction of a smooth connected projective scheme X ,→ r over W (k), then ker r = 0. PW2(k) 2 Proof. Let V,→ r be a general hyperplane, and let H = X ∩ V . Let V ,→ r be a P PW2(k) lifting of V . Then V ∩ X is a smooth projective scheme, and H is its reduction. Therefore, if dim X ≥ 1, then the hypothesis on X is inherited by a general hyperplane section H. We may now apply Theorem 7.4 iteratively to obtain the result. 

Theorem 8.3. If ker r is connected, then (NS X)tor is generated by (deg X − 1)(deg X − 2) elements.

Proof. Let N = #(NS X)tor. Then (NS X)tor is a quotient group of (Pic X)[N]. Since ker r is connected, Picτ X → (Jac C)(k) is injective. Thus, (Picτ X)[N] → (Jac C)(k)[N] is also injective. The group (Jac C)(k)[N] is generated by 2g(C) elements, and 2g(C) ≤ (deg X−1)(deg X− 2). Thus, its subquotient (NS X)tor is also generated by ≤ (deg X − 1)(deg X − 2) ele- ments. 

Theorem 8.4. If X,→ Pr is the reduction of a smooth connected projective scheme X ,→ r over W (k), then (NS X) is generated by (deg X − 1)(deg X − 2) elements. PW2(k) 2 tor Proof. This follows from Lemma 8.2 and Theorem 8.3.  Furthermore, the p-power torsion subgroups have smaller upper bounds. Theorem 8.5. Suppose that char k = p > 0. Then (NS X)[p∞]∨(k) is generated by at most (deg X − 1)(deg X − 2)/2 elements. If ker r is connected, then (NS X)[p∞] is also generated by at most (deg X − 1)(deg X − 2)/2 elements. 20 Proof. Take a sufficiently large integer N. Let (Jac C)∨ be the dual abelian variety of (Jac C). Since (Jac C)∨[pN ] = (Jac C)[pN ]∨, (Jac C)∨[pN ](k) → (Pic X)[pN ]∨(k) is surjective by Theorem 8.1. Because N is large, (NS X)[p∞]∨ is a subgroup scheme of (Pic X)[pN ]∨. Since (Jac C)∨(k)[pN ] is generated by ≤ (deg X − 1)(deg X − 2)/2 elements, so is (NS X)[p∞]∨(k). Now, suppose that ker r is connected. Then we have an injection (Picτ X)[pN ] → (Jac C)(k)[pN ]. Because N is large, (NS X)[p∞] is a quotient of (Picτ X)[pN ]. Since (Jac C)(k)[pN ] is gener- ∞ ated by ≤ (deg X − 1)(deg X − 2)/2 elements, so is (NS X)[p ].  Acknowledgement The author thanks his advisor Bjorn Poonen for his careful advice. The author thanks János Kollár for answering questions regarding Lefschetz-type theorems. The author thanks Barry Mazur for suggesting Nori’s fundamental group schemes. The author also thanks Chenyang Xu, Steven Kleiman and Davesh Maulik for many helpful conversations.

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Department of Mathematics, Institute of Technology, Cambridge, MA 02139-4307, USA Email address: [email protected] URL: https://kweon7182.github.io/

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