# On non-projective normal surfaces

## 1. Introduction

The aim of this note is to construct some simple examples of non-projective normal surfaces, and discuss the degeneration of the Neron-Severi group and its intersection form. Here the word surface refers to a 2-dimensional proper algebraic scheme.

The criterion of Zariski \[3, Cor. 4, p. 328\] tells us that a normal surface $`Z`$ is projective if and only if the set of points $`zZ`$ whose local ring $`𝒪_{Z,z}`$ is not $``$-factorial allows an affine open neighborhood. In particular, every resolution of singularities $`XZ`$ is projective. In order to construct $`Z`$, we therefore have to start with a regular surface $`X`$ and contract at least two suitable connected curves $`R_iX`$.

Our surfaces will be modifications of $`Y=P^1\times C`$, where $`C`$ is a smooth curve of genus $`g>0`$; the modifications will replace some fibres $`F_iY`$ over $`P^1`$ with rational curves, thereby introducing non-rational singularities and turning lots of Cartier divisors into Weil divisors.

The Neron-Severi group $`\mathrm{NS}(Z)=\mathrm{Pic}(Z)/\mathrm{Pic}^{}(Z)`$ of a non-projective surface might become rather small, and its intersection form might degenerate. Our first example has $`\mathrm{NS}(Z)=`$ and trivial intersection form. Our second example even has $`\mathrm{Pic}(Z)=0`$. Our third example allows a birational morphism $`ZS`$ to a projective surface.

These examples provide answers for two questions concerning surfaces posed by Kleiman \[2, XII, rem. 7.2, p. 664\]. He has asked whether or not the intersection form on the group $`\mathrm{N}(X)=\mathrm{Pic}(X)/\mathrm{Pic}^\tau (X)`$ of numerical classes is always non-degenerate, and the first example shows that the answer is negative. Here $`\mathrm{Pic}^\tau (X)`$ is the subgroup of all invertible sheaves $``$ with $`\mathrm{deg}(_A)=0`$ for all curves $`AX`$. He also has asked whether or not a normal surface with an invertible sheaf $``$ satisfying $`c_1^2()>0`$ is necessarily projective, and the third example gives a negative answer. This should be compared with a result on smooth complex analytic surfaces \[1, IV, 5.2, p. 126\], which says that such a surface allowing an invertible sheaf with $`c_1^2()>0`$ is necessarily a projective scheme.

In the following we will work over an arbitrary ground field $`k`$ with uncountably many elements. It is not difficult to see that a normal surface over a finite ground field is always projective. It would be interesting to extend our constructions to countable fields.

## 2. A surface without ample divisors

In this section we will construct a normal surface $`Z`$ which is not embeddable into any projective space. The idea is to choose a suitable smooth curve $`C`$ of genus $`g>0`$ and perform certain modifications on $`Y=P^1\times C`$ called mutations, thereby destroying many Cartier divisors.

###### (2.1)

We start by choosing a smooth curve $`C`$ such that $`\mathrm{Pic}(C)`$ contains uncountably many different classes of rational points $`cC`$. For example, let $`C`$ be an elliptic curve with at least two rational points. We obtain a Galois covering $`CP^1`$ of degree 2 such that the corresponding involution $`i:CC`$ interchanges the two rational points. Considering its graph we conclude that $`i`$ has at most finitely many fixed points; since there are uncountably many rational points on the projective line, the set $`C(k)`$ of rational points is also uncountable.

Since the group scheme of $`n`$-torsion points in the Picard scheme $`\mathrm{Pic}_{C/k}`$ is finite, the torsion subgroup of $`\mathrm{Pic}(C)`$ must be countable. Since $`C`$ is a curve of genus $`g>0`$, any two different rational points $`c_1,c_2C`$ are not linearly equivalent, otherwise there would be a morphism $`CP^1`$ of degree 1. We conclude that $`\mathrm{Pic}(C)`$ contains uncountably many classes of rational points.

###### (2.2)

We will examine the product ruled surface $`Y=P^1\times C`$, and the corresponding projections $`\mathrm{pr}_1:YP^1`$ and $`\mathrm{pr}_2:YC`$. Let $`yY`$ be a rational point, $`f:XY`$ the blow-up of this point, $`EX`$ the exceptional divisor, and $`RX`$ the strict transform of $`F=\mathrm{pr}_1^1(\mathrm{pr}_1(y))`$. Then we can view $`f`$ as the contraction of the curve $`EX`$, and I claim that there is also a contraction of the curve $`RX`$. Let $`DX`$ be the strict transform of $`\mathrm{pr}_2^1(\mathrm{pr}_2(y))`$ and $`=𝒪_X(D)`$ the corresponding invertible sheaf. Obviously, the restriction $`D`$ is relatively ample with respect to the projection $`\mathrm{pr}_1f:XP^1`$; according to  some $`^n`$ with $`n>0`$ is relatively base point free, hence the homogeneous spectrum of $`(\mathrm{pr}_1f)_{}(\mathrm{Sym})`$ is a normal projective surface $`Z`$, and the canonical morphism $`g:XZ`$ is the contraction of $`R`$, which is the only relative curve disjoint to $`D`$. We call $`Z`$ the mutation of $`Y`$ with respect to the center $`yY`$.

###### (2.3)

We observe that the existence of the contraction $`g:XZ`$ is local over $`P^1`$; hence we can do the same thing simultaneously for finitely many rational points $`y_1,\mathrm{},y_n`$ in pairwise different closed fibres $`F_i=\mathrm{pr}_1^1(\mathrm{pr}_1(y_i))`$. If $`f:XY`$ is the blow-up of the points $`y_i`$, and $`E_iX,R_iX`$ are the corresponding exceptional curves and strict transforms respectively, we can construct a normal proper surface $`Z`$ and a contraction $`g:XZ`$ of the union $`R=R_1\mathrm{}R_n`$ by patching together quasi-affine pieces over $`P^1`$. Since $`Z`$ is obtained by patching, there is no reason that the resulting proper surface should be projective. We also will call $`Z`$ the mutation of $`Y`$ with respect to the centers $`y_1,\mathrm{},y_n`$.

###### (2.4)

Let us determine the effect of mutations on the Picard group. One easily sees that the maps

$$H^1(C,𝒪_C)H^1(Y,𝒪_Y)H^1(X,𝒪_X)$$

are bijective. Let $`𝔛`$ be the formal completion of $`X`$ along $`R=R_i`$; since the composition

$$H^1(C,𝒪_C)H^1(𝔛,𝒪_𝔛)H^1(R,𝒪_R)$$

is injective, the same holds for the map on the left. Hence the right-hand map in the exact sequence

$$0H^1(Z,𝒪_Z)H^1(X,𝒪_X)H^1(𝔛,𝒪_𝔛)$$

in injective, and $`H^1(Z,𝒪_Z)`$ must vanish. We deduce that the group scheme $`\mathrm{Pic}_{Z/k}^{}`$, the connected component of the Picard scheme, is zero. Since the Neron-Severi group of $`Y`$ is torsion free, the same holds true for $`Z`$, and we conclude $`\mathrm{Pic}^\tau (Z)=0`$.

###### (2.5)

Now let $`F_1,F_2Y`$ be two different closed fibres over rational points of $`P^1`$ and $`y_1F_1`$ a rational point. The idea is to choose a second rational point $`y_2F_2`$ in a generic fashion in order to eliminate all ample divisors on the resulting mutation. Let $`Z^{}`$ be the mutation with respect to $`y_1`$. By finiteness of the base number, $`\mathrm{Pic}(Z^{})`$ is a countable group, in fact isomorphic to $`^2`$. On the other hand, $`\mathrm{Pic}(F_2)`$ is uncountable, and there is a rational point $`y_2F_2`$ such that the classes of the divisors $`ny_2`$ in $`\mathrm{Pic}(F_2)`$ for $`n0`$ are not contained in the image of $`\mathrm{Pic}(Z^{})`$. Let $`Z`$ be the mutation of $`Y`$ with respect to the centers $`y_1,y_2`$.

I claim that there is no ample Cartier divisor on $`Z`$. Assuming the contrary, we find an ample effective divisor $`DZ`$ disjoint to the two singular points $`z_1=g(R_1)`$ and $`z_2=g(R_2)`$ of the surface. Hence the strict transform $`D^{}Z^{}`$ is a divisor with

$$D^{}F_2=\left\{y_2\right\},$$

contrary to the choice of $`y_2F_2`$. We conclude that $`Z`$ is a non-projective normal surface. More precisely, there is no divisor $`D\mathrm{Div}(Z)`$ with $`DF>0`$, where $`FZ`$ is a fibre over $`P^1`$, since otherwise $`D+nF`$ would be ample for $`n`$ sufficiently large. Hence the canonical map $`\mathrm{Pic}(P^1)\mathrm{Pic}(Z)`$ is bijective, $`\mathrm{Pic}(Z)/\mathrm{Pic}^\tau (Z)=`$ holds, and the intersection form on $`N(Z)`$ is zero.

## 3. A surface without invertible sheaves

In this section we will construct a normal surface $`S`$ with $`\mathrm{Pic}(S)=0`$. We start with $`Y=P^1\times C`$, pass to a suitable mutation $`Z`$, and obtain the desired surface as a contraction of $`Z`$.

###### (3.1)

Let $`y_1,y_2Y`$ be two closed points in two different closed fibres $`F_1,F_2Y`$ as in (2.5) such that the mutation with respect to the centers $`y_1,y_2`$ is non-projective. Let $`y_0Y`$ be another rational point in $`\mathrm{pr}_2^1(\mathrm{pr}_2(y_1))`$, and consider the mutation

$$Y\stackrel{f}{}X\stackrel{g}{}Z$$

with respect to the centers $`y_0,y_1,y_2`$. We obtain a configuration of curves on $`X`$ with the following intersection graph:

Here $`A`$ is the strict transform of $`\mathrm{pr}_2^1(\mathrm{pr}_2(y_1))`$ and $`B`$ is the strict transform of $`\mathrm{pr}_2^1(\mathrm{pr}_2(y_2))`$. Consider the effective divisor $`D=3B+2R_0+2R_1`$; one easily calculates

$$DB=1,DR_0=1,\text{and}DR_1=1,$$

hence the associated invertible sheaf $`=𝒪_X(D)`$ is ample on $`DX`$. According to , the homogeneous spectrum of $`\mathrm{\Gamma }(X,\mathrm{Sym})`$ yields a normal projective surface and a contraction of $`AR_2`$. On the other hand, the curves $`R_0`$ and $`R_1`$ are also contractible. Since the curves $`R_0`$, $`R_1`$ and $`AR_2`$ are disjoint, we obtain a normal surface $`S`$ and a contraction $`h:ZS`$ of $`A`$ by patching.

###### (3.2)

Let $``$ be an invertible $`𝒪_S`$-module; then $`=h^{}()`$ is an invertible $`𝒪_Z`$-module which is trivial in a neighborhood of $`AZ`$. Since the maps in

$$\mathrm{Pic}(P^1)\mathrm{Pic}(Z)\mathrm{Pic}(A)$$

are injective, we conclude that $``$ is trivial. Hence $`S`$ is a normal surface such that $`\mathrm{Pic}(S)=0`$ holds.

## 4. A counterexample to a question of Kleiman

In this section we construct a non-projective normal surface $`Z`$ containing an integral Cartier divisor $`DZ`$ with $`D^2>0`$. We obtain such a surface by constructing a non-projective normal surface $`Z`$ which allows a birational morphism $`h:ZS`$ to a projective surface $`S`$; then we can find an integral ample divisor $`DS`$ disjoint to the image of the exceptional curves $`EZ`$.

###### (4.1)

Again we start with $`Y=P^1\times C`$ and choose two closed points $`y_1,y_2Y`$ as in (2.5) such that the resulting mutation is non-projective. Let $`y_2^{}`$ be the intersection of $`F_2=\mathrm{pr}_1^1(\mathrm{pr}_1(y_2))`$ with $`\mathrm{pr}_2^1(\mathrm{pr}_2(y_1))`$, and $`f:XY`$ the blow up of $`y_1`$, $`y_2`$ and $`y_2^{}`$. We obtain a configuration of curves on $`X`$ with intersection graph

Here $`A`$ is the strict transform of $`\mathrm{pr}_2^1(\mathrm{pr}_2(y_2))`$, and $`A^{}`$ is the strict transform of $`\mathrm{pr}_2^1(\mathrm{pr}_2(y_2^{}))`$. One easily sees that there is a contraction $`XS`$ of the curve $`R_1R_2E_2`$ and another contraction $`XZ`$ of the curve $`R_1R_2`$. The divisor $`A^{}`$ is relatively ample on $`S`$ and shows that this surface is projective. On the other hand, I claim that there is no ample divisor on $`Z`$. Assuming the contrary, we can pick an integral divisor $`EZ`$ disjoint to the singularities; its strict transform $`DY`$ satisfies

$$DF_1=\left\{y_1\right\}\text{and}DF_2=\{y_2,y_2^{}\},$$

where $`F_i`$ are the fibres containing $`y_i`$. Since $`A^{}F_2=\left\{y_2^{}\right\}`$ holds, the class of some multiple $`ny_2\mathrm{Div}(F_2)`$ is the restriction of an invertible $`𝒪_Y`$-module, contrary to the choice of $`y_2`$. Hence the surface $`Z`$ and the morphism $`ZS`$ are non-projective.

Mathematisches Institut   
Ruhr-Universität   
44780 Bochum   
Germany   
E-mail: s.schroeer@ruhr-uni-bochum.de