Linear Algebraic Groups and Their Lie Algebras

Linear algebraic groups and their Lie algebras
Daniel Miller
Fall 2014
Contents
1 Introduction
1.1 Disclaimer . . . . . . . . .
1.2 Notational conventions . .
1.3 Main references . . . . . .
1.4 A bestiary of examples . .
1.5 Coordinate rings . . . . .
1.6 Structure theory for linear
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2
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algebras
Definition and first properties . . . . . . . . . .
The main examples . . . . . . . . . . . . . . . .
Homomorphisms and the adjoint representation
Tangent spaces . . . . . . . . . . . . . . . . . .
Functors of points . . . . . . . . . . . . . . . .
Affine group schemes and Hopf algebras . . . .
Examples of group schemes . . . . . . . . . . .
Lie algebra of an algebraic group . . . . . . . .
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4 Semisimple groups
4.1 Quotients revisited ? . . . . . . . . . . . . . . . . . . . . . . . . . . .
4.2 Centralizers, normalizers, and transporter schemes . . . . . . . . . .
4.3 Borel subgroups . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
37
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2 Lie
2.1
2.2
2.3
2.4
2.5
2.6
2.7
2.8
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algebraic groups
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3 Solvable groups, unipotent groups, and tori

3.1 One-dimensional groups . . . . . . . . . . . .
3.2 Solvable groups . . . . . . . . . . . . . . . . .
3.3 Quotients . . . . . . . . . . . . . . . . . . . .
3.4 Unipotent groups . . . . . . . . . . . . . . . .
3.5 Review of canonical filtration . . . . . . . . .
3.6 Jordan decomposition . . . . . . . . . . . . .
3.7 Diagonalizable groups . . . . . . . . . . . . .
3.8 Tori . . . . . . . . . . . . . . . . . . . . . . .
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Linear algebraic groups
4.4
4.5
4.6
4.7
4.8
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42
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5 Reductive groups
5.1 Root data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
5.2 Classification of reductive groups . . . . . . . . . . . . . . . . . . . .
5.3 Chevalley-Demazure group schemes . . . . . . . . . . . . . . . . . . .
55
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6 Special topics
6.1 Borel-Weil theorem . . . . . . . . . . . . . . . . . . . . . . . . . . . .
6.2 Tannakian categories . . . . . . . . . . . . . . . . . . . . . . . . . . .
6.3 Automorphisms of semisimple Lie algebras . . . . . . . . . . . . . . .
6.4 Exceptional isomorphisms . . . . . . . . . . . . . . . . . . . . . . . .
6.5 Constructing some exceptional groups . . . . . . . . . . . . . . . . .
6.6 Spin groups . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
6.7 Differential Galois theory . . . . . . . . . . . . . . . . . . . . . . . .
6.8 Universal enveloping algebras and the Poincare-Birkhoff-Witt theorem
6.9 Forms of algebraic groups . . . . . . . . . . . . . . . . . . . . . . . .
6.10 Arithmetic subgroups . . . . . . . . . . . . . . . . . . . . . . . . . .
6.11 Finite simple groups of Lie type . . . . . . . . . . . . . . . . . . . . .
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References
79
Maximal tori . . . . . . . . . . . . . . .
Root systems . . . . . . . . . . . . . . .
Classification of root systems . . . . . .
Orthogonal and symplectic groups . . .
Classification of split semisimple groups
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Introduction
The latest version of these notes can be found online at http://www.math.cornell.

edu/~dkmiller/bin/6490.pdf. Comments and corrections are appreciated.
1.1
Disclaimer
These notes originated in the course MATH 6490: Linear algebraic groups and their
Lie algebras, taught by David Zywina at Cornell University. However, the notes
have been substantially modified since then, and are not an exact reflection of the
content and style of the original lectures. In particular, the notes often switch from
a somewhat elementary approach to a more sheaf-theoretic approach. Any errors
are solely the fault of the author.
1.2
Notational conventions
We follow Bourbaki in writing N, Z, Q. . . for the natural numbers, integers, rationals,

. . . . The natural numbers are N = {1, 2, . . .}.
If A is a commutative ring, M is an A-module, and a A, we write M/a for

M/(aM ). In particular, A/a is the quotient of A by the ideal generated by a. All
abelian groups will be treated as Z-modules. So A is an abelian group and n Z,
the quotient A/n means A/n A even if A is written multiplicatively.
The notation X/S will mean X is a scheme over S. If S = Spec(A), we will
write X/A to mean that X is a scheme over Spec(A).
We write t x for the transpose of a matrix x.
Examples are closed with a triangle ..
Content that can be skipped will be delimited by a star ?. Usually this material
will be much more advanced.
1.3
Main references
The standard texts are [Bor91; Hum75; Spr09]. In these, the requisite algebraic
geometry is done from scratch in an archaic language. A good reference for modern
(scheme-theoretic) algebraic geometry is [Har77], and a (very abstract) modern
reference for algebraic groups is the three volumes on group schemes [SGA 3I ; SGA
3II ; SGA 3III ] from the Seminaire de Geometrie Algebrique. A source lying somewhat
in the middle is Jantzens book [Jan03].
1.4
A bestiary of examples
Let k be an algebraically closed field whose characteristic is not 2. For example,

k could be C or Fp (t). For now, we define a linear algebraic group over k to be a
subgroup G GLn (k) defined by polynomial equations.
Example 1.4.1 (General linear). The archetypal example of an algebraic group is
GLn (k) = {g Mn (k) : g is invertible}. As a subset of GLn (k), this is defined by
the empty set of polynomial equations.
.
Example 1.4.2 (Special linear). Let SLn (k) = {g GLn (k) : det(g) = 1}. This is
defined by the equation det(g) = 1.
.
Example 1.4.3 (Orthogonal). Let On (k) = {g GLn (k) : g t g = 1}. This is cut
out by the equations
n
X
gij gkj = ik
j=1
for 1 6 i, k 6 n.
Example 1.4.4 (Special orthogonal). This is SOn (k) = On (k) SLn (k).
Example 1.4.5. This group doesnt have a special name, but for the moment we
will write Un (k) for the group of strictly upper triangular matrices:
.
..
Un (k) =
. .. GLn (k).
1
Recall that a matrix g GLn (k) is unipotent if (g 1)m = 0 for some m > 1. All
elements of Un (k) are unipotent. The group Un (k) is defined by the equations
{gij = 0 for j < i, gii = 1}.
.
Example 1.4.6 (Multiplicative). We write Gm (k) = k for the multiplicative
group of k with its obvious group structure. Note that Gm = GL(1).
.
Example 1.4.7 (Additive). Write Ga (k) = k, with its additive
group
structure.
1 x
There is a natural isomorphism : Ga

U2 given by (x) =
. Since
1

1 x
1 y
1 x+y
=
,
1
1
1
this is a group homomorphism, and it is easy to see that is an isomorphism of the
underlying varieties.
.
Example 1.4.8. For any n > 0, Gna (k) = k n with the usual addition is a linear
algebraic group. We could embed it into GL2n (k) via 22 blocks and the isomorphism
Ga
U2 in Example 1.4.7.
.
Example 1.4.9 (Tori). For any n > 0, we
..
T (k) =
.
have a torus of rank n, namely
GLn (k).
This is clearly isomorphic to Gnm (k). We call any linear algebraic group isomorphic
to some Gnm a torus.
.
This list almost exhausts the class of simple algebraic groups over an algebraically
closed field. All of these groups make sense over an arbitrary field. But over nonalgebraically closed fields (or even base rings that are not fields) thinking of algebraic
groups in terms of their sets of points doesnt work very well.
1.5
Coordinate rings
The standard references [Bor91; Hum75; Spr09] all treat algebraic groups in terms
of their sets of points in an algebraically closed field. This leads to convoluted
arguments, and (sometimes) theorems that are actually wrong. It is better to use
schemes. Since we will (almost) never use non-affine schemes, we can study algebraic
groups via their coordinate rings.
Example 1.5.1. Consider G = GLn (k). For g = (gij ) Mn (k), we have g G if
and only if det(g) 6= 0. But this isnt an honest algebraic equation. We can remedy
this by noting that det(g) 6= 0 if and only if there exists y k such that det(g) y = 1.
Thus we can define the coordinate ring k[G] of G, as
k[G] = k[xij , y]/(det(xij )y 1).
For k-algebras A, B, write homk (A, B) for the set of k-algebra homomorphisms
A B. There is a natural identification
homk (k[G], k) = GLn (k).
For : k[G] k, put gij = (xij ) and b = (y). Then is well-defined exactly if
det(g) b = 1. So is uniquely determined by the choice of an invertible matrix
g GLn (k). Since b is determined by g and g can be chosen arbitrarily in GLn (k),
this correspondence is a bijection. So in some sense, k[G] recovers GLn (k).
.
Now let k be an arbitrary field. For concreteness, you could think of one of Q,
R, C, or Fp . Put A = k[xij , y]/(det(xij )y 1), and define GLn (R) = homk (A, R)
for any k-algebra R. We will think of GL(n)/k as Spec(A), which is a topological
space with structure sheaf (essentially) A. The punchline is that the coordinate ring
k[G] of an algebraic group G determines everything we need to know about G.
Example 1.5.2. Let k be a field not of characteristic 2. For d k , let Gd A2/k be
the subscheme cut out by x2 dy 2 = 1. In other words, k[Gd ] = k[x, y]/(x2 dy 2 1).
The group operation is
(x1 , y1 ) (x2 , y2 ) = (x1 x2 + dy1 y2 , x1 y2 + x2 y1 ).
We would like to realize
as a matrix group. Consider the map d : Gd GL(2)/k
Gd
x dy
given by (x, y) 7
. As an exercise, check that this is an isomorphism
y x
between Gd and the subgroup {g11 = g22 , x12 = dx21 } of GL(2)/k .
then consider the composite of Gd , GL(2)/k

If k = k,
GL(2)/k , the second
map being given by

1

d
d
g 7
g
.
1
1

a
b d
It sends (x, y) Gd to
. This has the same image as 1 : G1
b d
a
then Gd ' G1 .
GL(2)/k . So if k = k,
.
? Write Ad = k[x]/(x2 d). A more conceptual definition of Gd is that it is
the restriction of scalars Gd = RAd /k Gm . That is, for any k-algebra A, we have
Gd (A) = Gm (A k Ad ). ?
Example 1.5.3. Set k = R. We claim that G1 6' G1 . We give a topological proof.
The group G1 (R) A2 (R) is cut out by x2 y 2 = 1, hence non-compact. But
G1 (R) = {x2 + y 2 = 1} is compact. Thus G1 6' G1 over R. But we have seen
that G1 ' G1 over C. As an exercise, convince yourself that G1 ' Gm .
.
It turns out that twists of Gm over k up to isomorphism are in bijective

correspondence with k /2, via the correspondence d 7 Gd .
? This is easy to see. The k-forms of Gm is in natural bijection with H1 (k, Aut Gm ) =
1
H (k, Z/2). Kummer theory tells us that H1 (k, Z/2) = k /2. ?
1.6
Structure theory for linear algebraic groups
Let G be linear algebraic group over k. There is a filtration of normal subgroups

G
connected G
finite
semisimple
RG
torus
unipotent Ru G
1
solvable
reductive
Here, G is the identity component (for the Zariski topology) of G. The quotient
0 (G) = G/G is a finite group. We write RG for the radical of G, namely the
maximal smooth connected solvable normal subgroup of G. Finally, Ru G is the
unipotent radical of G, namely the largest smooth connected unipotent subgroup
of G. The quotient G /RG is semisimple, and the quotient G /Ru G is reductive.
In general, we say a connected algebraic group G is semisimple if RG = 1, and
reductive if Ru G = 1.
Weve seen examples of tori and unipotent groups, and everybody knows plenty
of finite groups. Here is a more direct definition of semisimple groups that allows us
to give some basic examples.
Example 1.6.1 (Semisimple). Let k = C, and let G be a connected linear algebraic
group over k. We say that G is simple if it is non-commutative, and has no proper
nontrivial closed normal subgroups. We say G is almost simple if the only such
subgroups are finite.
For example, SL(2) is almost simple, because its only nontrivial closed normal
subgroup is {1}.
A group G is semisimple if we have an isogeny G1 Gr G with the Gi
almost simple. Here an isogeny is a surjection with finite kernel.
.
Over C, the almost simple groups (up to isogeny) are:
An
Bn
Cn
Dn
label
(n > 1)
(n > 2)
(n > 3)
(n > 4)
group
SL(n + 1)
SO(2n + 1)
Sp(2n)
SO(2n)
dimension
n2 1
n(2n + 1)
n(2n + 1)
n(2n 1)
We make requirements on the index in these families to prevent degenerate cases

(e.g. B1 = 1) or matching (e.g. A2 = C2 ). There are five exceptional groups
label
E6
E7
E8
F4
G2
dimension
78
133
248
52
14
Later on, well be able to understand why this list is complete.
Lie algebras
A Lie algebra is a linear object whose representation theory is (in principle) manageable. To any linear algebraic group G we will associate a Lie algebra g = Lie(G),
and study the representation theory of G via that of g.
2.1
Definition and first properties
Fix a field k. Eventually well avoid characteristic 2, and some theorems will only
be valid in characteristic zero.
Definition 2.1.1. A Lie algebra over k is a k-vector space g equipped with a map
[, ] : g g g such that the following hold:
[, ] is bilinear (it factors through g g).
[x, x] = 0 for all x g ([, ] factors through
V2
g).
The Jacobi identity [x, [y, z]] + [y, [z, x]] + [z, [x, y]] = 0 holds for all x, y, z g.
We could
V2have defined a Lie algebra over k as being a k-vector space g together
with [, ] :
g g satisfying the Jacobi identity. We call [, ] the Lie bracket.
The Lie bracket satisfies a number of basic properties. For example, [x, y] =
[y, x] because
0 = [x + y, x + y]
(alternating)
= [x, x] + [x, y] + [y, x] + [y, y]
(bilinear)
= [x, y] + [y, x].
(alternating)
Later on, well use an alternate form of the Jacobi identity:

[x, [y, z]] [y, [x, z]] = [[x, y], z].
()
2.2
The main examples
V2
Example 2.2.1. Let V be any k-vector space. Then the zero map
V V
trivially satisfies the Jacobi identity. We call any Lie algebra whose bracket is
identically zero commutative (or abelian).
.
Example 2.2.2 (General linear). Again, let V be a k-vector space. The Lie algebra
gl(V ) = Endk (V ) as a k-vector space, with bracket [X, Y ] = X Y Y X. It is a
good exercise (which everyone should do at least once in their life) to check that
this actually is Lie algebra. When V = k n , we write gln (k) instead of gl(k n ).
.
Often, we will just write gln instead of gln (k). We will also do this for the other
named Lie algebras.
Example 2.2.3 (Special linear). Put sln (k) = {X gln (k) : tr x = 0}. Since
tr[x, y] = 0, this is a Lie subalgebra of gln . In fact, [gln , gln ] sln .
.
Example 2.2.4 (Special orthogonal). Put son (k) = {x gln (k) : t x = x}. This
is a Lie subalgebra of gln (k) because if x, y son (k), then
t
[x, y] = t y t x t x t y
= (y)(x) (x)(y)
= [x, y].
.

Example 2.2.5 (Symplectic). Let Jn =
1n
1n

gl2n (k). Put
sp2n (k) = {x gl2n (k) : Jx + t xJ = 0}.

As an exercise, check that this is a Lie subalgebra of gl2n .
As an exercise, show that R3 with the bracket [u, v] = u v (cross product) is a

Lie algebra over R.
Theorem 2.2.6 (Ado). Any finite dimensional Lie algebra over k is isomorphic to
a Lie subalgebra of some gln (k).
Proof. In characteristic zero, this is in [Lie13 , I 7.3]. The positive-characteristic
case is dealt with in [Jac79, VI 3].
Another good exercise is to realize R3 with bracket [u, v] = u v as a subalgebra
of some gln (R).
2.3
Homomorphisms and the adjoint representation
Definition 2.3.1. A homomorphism of Lie algebras : g h is a k-linear map

such that ([x, y]) = [x, y].
If : g h is a homomorphism of Lie algebras, then a = ker() is a Lie

subalgebra of g. This is easy:
[x, y] = [(x), (y)]
= [0, 0]
= 0.
Definition 2.3.2. A Lie subalgebra a of g is an ideal if [a, g] a, i.e. [a, x] a for
all a a, x g.
Equivalently, a g is an ideal if [g, a] a. If a g is an ideal, we define the
quotient algebra g/a to be g/a as a vector space, with bracket induced by that of g.
So
[x + a, y + a] = [x, y] + a.
Lets check that this makes sense. If a1 , a2 a, then
[x + a1 , x + a2 ] = [x, y] + [x, a2 ] + [a1 , y] + [a1 , a2 ]
[x, y]
(mod a).
If : g h is a Lie homomorphism, then we get an induced isomorphism
g/ ker()
im() h.
Example 2.3.3. Give k the trivial Lie bracket. Then tr : gln (k) k is a a
homomorphism. Indeed,
tr[x, y] = tr(xy) tr(yx) = 0.
We could have defined sln (k) = ker(tr); this is an ideal in gln , and gln (k)/sln (k)
k.
.
Definition 2.3.4. Let g be a Lie algebra over k. The adjoint representation of g is
the map ad : g gl(g) defined by ad(x)(y) = [x, y] for x, y g.
It is easy to check that ad : g gl(g) is k-linear, that is ad(cx) = c ad(x) and
ad(x + y) = ad(x) + ad(y). It is bit less obvious how the adjoint action behaves with
respect to the Lie bracket. We compute
ad([x, y])(z) = [[x, y], z]
=() [x, [y, z]] [y, [x, z]]
= (ad(x) ad(y))(z) (ad(y) ad(x))(z).
Thus ad[x, y] = [ad(x), ad(y)] and we have shown that ad : g gl(g) is a homomorphism of Lie algebras. If n = dimk (g) < , then ad : g gl(g) ' gln (k) is
an interesting finite-dimensional representation of g. If dim(g) > 1, it cannot be
surjective, and there are easy ways for it to fail to be injective.
Definition 2.3.5. Let g be a Lie algebra over k. The center of g is
Z(g) = {x g : [x, y] = 0 for all y g}.
10
Note that Z(g) = ker(ad). There is a natural injection g/ Z(g) , gl(g).

Definition 2.3.6. A Lie algebra g is simple if it is non-commutative, and has no
ideals except 0 and g.
Just as with simple algebraic groups, there is a classification theorem for simple
Lie algebras. Even better, since Lie algebras are more rigid than algebraic groups,
we dont have to worry about isogeny.
Theorem 2.3.7. Let k be an algebraically closed field of characteristic zero. Up to
isomorphism, every Lie algebra is a member of the following list:
An (n > 1)
Bn (n > 2)
Cn (n > 3)
Dn (n > 4)
exceptional
sln+1
so2n+1
sp2n
so2n
e6 , e7 , e8 , f4 , g2
The classification theorem for algebraic groups is proved via the classification
theorem for Lie algebras, which ends up being a matter of combinatorics.
2.4
Tangent spaces
For the sake of clarity, we give a scheme-theoretic definition of algebraic groups:

Definition 2.4.1. Let S be a scheme. An algebraic group over S is an affine group
scheme of finite type over S.
For the moment, we will say that an algebraic group G over S is linear if G is a
subgroup scheme of GL(L ) for some locally free sheaf L on S.
Fix a field k, and let G GL(n)/k be a linear algebraic group cut out by
polynomials f1 , . . . , fr . For any k-algebra R, we define
G(R) = {g GLn (R) : f1 (g) = = fr (g) = 0}.
This is a functor Algk Set. Since G is a subgroup scheme of GL(n)/k , the set
G(R) inherits the group structure from GLn (R). So we will think of G as a functor
G : Algk Grp. By the Yoneda Lemma, the variety G is determined by its functor
of points G : Algk Set.
We are especially interested in the k-algebra of dual numbers, k[] = k[x]/x2 .
Informally, should be thought of as a infinitesimal quantity in the style of Newton
and Leibniz. The scheme Spec(k[]) should be thought of as a point together with
a direction.
? For the moment, let k be an arbitrary base ring, X/k a scheme. We define
the n-Jet space of X to be the scheme Jn X whose functor of points is (Jn X)(A) =
X(A[t]/tn+1 ). By [Voj07], this functor is representable, so Jn X is actually a scheme.
The first jet space J1 X is called the tangent space of X, and denoted TX. The maps
A[t]/tn+1 A[t]/tn induce projections Jn+1 X Jn X. In particular, the tangent
space of X comes with a canonical projection : TX X. ?
11
Consider G(k[]). As a set, this consists of invertible n n matrices with entries

in k[] on which the fi vanish. The map 7 0 from k[] k induces a group
homomorphism : G(k[]) G(k). We will consider this map as the tangent
space of G(k). For each g G(k), the fiber 1 (g) is the tangent space of G at
g.
Note that
1 (g) = {g + v : v Mn (k) : fi (g + v) = 0 for all i}.
For each s, the polynomial fs has a Taylor series expansion
fs (xij ) = fs (g) +
Since fs (g) = 0, we get fs (g + v) =
X fs
(g)(xi,j gi,j ).
xi,j
i,j
fs
i,j xi,j (g)vi,j .
It follows that
X fs
1 (g) = g + v : v Mn (k) :
(g)vij = 0 for all 1 6 s 6 r .
xij
i,j
We will be especially interested in g = 1 (1). We will turn this into a Lie algebra
using the group structure on G.
? From the scheme-theoretic perspective, the identity element 1 G(k) comes
from a section e : Spec(k) G of the structure G Spec(k). The scheme-theoretic
Lie algebra of G is the fiber product
g = e 1 = T(G) G Spec(k).
By definition, g(A) = ker (G(A[]) G(A)) for any k-algebra A. Just as with
algebraic groups, we will write g/k for g thought of as a group scheme over k, and
just g for g(k). ?
2.5
Functors of points
Recall that schemes can be thought of as functors Algk Set. For example, affine
n-space is the functor An (A) = An . In fact, this is an algebraic group, the operation
coming from addition on A. Moreover, An is representable in the sense that
An (A) = homk (k[x1 , . . . , xn ], A),
via (a1 , . . . , an ) 7 (xi 7 ai ). Similarly, SL(n)/k sends a k-algebra A to SLn (A). It
is represented by the ring k[xij ]/(det(x) 1). In general, we take some polynomials
f1 , . . . , fr k[x1 , . . . , xn ], and consider the subscheme X = V (f1 , . . . , fr ) An
which represents the functor
X(A) = {a An : f1 (a) = = fr (a) = 0}.
12
This has coordinate ring k[x1 , . . . , xn ]/(f1 , . . . , fr ). Note that any finitely generated
k-algebras is of this form. In other words, all affine schemes of finite type over k are
subschemes of some affine space.
the Zariski topology. If f k[X] = A1 (X), we get (by
Clasically, one gives X(k)
k.
We define open subsets of X(k)
to be those of
definition) a function f : X(k)
the form {x X(k) : f (x) 6= 0}. More scheme-theoretically, we say that an open
subscheme of X is the complement of any V (f ) for f k[X].
? We can think of the Zariski topology as giving a Grothendieck topology on the
category of affine schemes over k. It is subcanonical, i.e. all representable functors
are sheaves. So if we formally put Aff k = (Algk ) , then the category of schemes over
k embeds into Shzar (Aff k ). When working with algebraic groups, often it is better
with the etale or fppf topologies. In particular, we will think of quotients as living
in Shfppf (Aff k ). ?
Definition 2.5.1. Let k be a feld. A variety over k is a reduced separated scheme
of finite type over k.
In particular, an affine variety is determined by a reduced k-algebra. We can
directly associate a geometric object to a k-algebra A, namely its spectrum
Spec(A) = {p A prime ideal}. Finally, we note that if X = Spec(A) is of finite
then X(k) = homk (A, k) is the set of maximal ideas in A.
type over k and if k = k,
2.6
Affine group schemes and Hopf algebras
An affine group G/k will give us a functor G : Algk Grp. As such, it should have
morphisms
m:GGG
multiplication
e : 1 = Spec(k) G
identity
i:GG
inverse
These correspond to ring homomorphisms

: A A k A
comultiplication
:Ak
counit
:AA
coinverse
Obviously the maps on groups satisfy some axioms like associativity etc. These can
be phrased by the commutativity of diagrams like
GGG
idm
mid
GG
GG
G.
Most sources do not give all these diagrams explicitly. One that does is the book
[Wat79].
13
It is a good exercise to show that we have the following maps for the additive
and multiplicative groups:
group
Ga
Gm
ring
k[x]
k[x1 ]
comultiplication
x 7 x 1 + 1 x
x 7 x x
coident.
x 7 0
x 7 1
coinverse
x 7 x
x 7 x1
The analogue of associativity for coordinate rings and comultiplication is the commutativity of the following diagram:
A
A k A
A k A
id
id
A k A k A.
The tuple (A, , , ) is called a Hopf algebra. In principle, all theorems about
algebraic groups can be rephrased as theorems about Hopf algebras, but this is not
very illuminating. The one advantage is that it is possible to speak of Hopf algebras
for which the ring A is not commutative. These show up in algebraic number theory,
combinatorics, and physics.
Theorem 2.6.1. If G is an affine group scheme of finite type over k, then it is a
linear algebraic group over k.
Proof. This is [SGA 3I , VIB 11.11]. Essentially, one looks at the action of G on
the (possibly infinite-dimensional) vector space k[G]. A general theorem yields a
faithful finite-dimensional representation V , and we get G as a subgroup-scheme of
GL(V ).
? If S is a dedekind scheme (noetherian, one-dimensional, regular) and G/S
is a affine flat separated group scheme of finite type over S, then the obvious
generalization of Theorem 2.6.1 holds for G; it is a closed subgroup of GL(L ) for
L a locally free sheaf on S [SGA 3I , VIB 13.5]. Interestingly, this fails for more
general base schemes. ?
2.7
Examples of group schemes
So all affine group varieties over k embed into GL(n)/k as an algebraic group. We
can think of an algebraic group in several ways:
1. As a group-valued functor on Algk .
2. As a commutative Hopf algebra over k.
3. As a subgroup of GLn (k) cut out by poynomials.
Example 2.7.1. The group of n-th roots of unity is n . Its coordinate ring is
k[x]/(xn 1). So
n (A) = {a A : an = 1},
14
with the group operation coming from multiplication in A. Note that n Gm .

is a cyclic group of order n.
If the base field k has characteristic p - n, then n (k)
p
p
However, if n = p, then x 1 = (x 1) . So the coordinate ring k[x]/((x 1)p )
is non-reduced. This is our first example of a group scheme that is not a group
variety. One realization of this is that p (Fp ) = 1. These problems can only occur
in characteristic p > 0. If G is a group scheme over a characteristic zero field, then
G is automatically reduced.
Let : Gm Gm be the homomorphism x 7 xp . Note that ker() = p . On
Fp -points, this map is an isomorphism, but is not an isomorphism of algebraic
groups.
.
Let G/k be a linear algebraic group. Recall that we defined the Lie algebra
g = Lie(G) of G to be the functor on k-algebras given by

g(A) = ker G(A[]/2 ) G(A) .
In subsection 2.4, we saw that if G GL(n)/k is cut out by f1 , . . . , fr , then the
k-valued points could be computed as
X f
g = X Mn (k) :
(1n ) Xij = 0 .
xij
i,j
Example 2.7.2 (Special linear). Consider SL(n)/k GL(n)/k , cut out by det = 1.
Its Lie algebra sln = Lie(sln ) is
sln = {1 + x : x Mn (k) and det(1 + x) = 1} .
The expansion of determinant is det(1 + x) = 1 + tr(x) + O(2 ). Thus
sln = {x Mn : tr(x) = 0} .
As a functor on k-algebras, sln (A) = {x Mn (A) : tr x = 0}.
Example 2.7.3 (Orthogonal). Recall that O(n) GL(n) is cut out by g t g = 1. So

t
Lie(On ) = {1 + x : (1 + x) (1 + x) = 1}
= {1 + X : x + t X = 0}
' {X Mn : t x = x}
= son .
If the characteristic of the base field is not 2, then dim(son ) = n(n 1)/2.
2.8
Lie algebra of an algebraic group
Fix a field k. Let G/k be a linear algebraic group. For any k-algebra A, write
A[] = k[t]/t2 . Then A 7 G(A[]) is a new group functor, and we can define the
Lie algebra of G to be
Lie(G)(A) = ker (G(A[]) G(A)) .
15
A priori, this is a group functor. Often, we will write g = Lie(G) to mean Lie(G)(k).
If G GL(n) is cut out by f1 , . . . , fr , then
g = {1 + x : x Mn (k) and f (1 + x) = 0 for all } .
The group operation is addition on x, i.e. (1 + x)(1 + y) = 1 + (x + y). Thus g is
a k-vector space.
? This section will contain many high-level interludes on the functorial definition
of Lie(G). They are all strongly influenced by the exposition in [SGA 3I , II 34].
Let O : Algk Algk be the functor A 7 A. Note that O is represented by k[t].
Thus A1/k has the structure not only of a group scheme, but of a k-ring scheme,
or (k, k)-biring in the sense of [BW05]. We define an O-module to be a functor
V : Algk Set such that for each A, the set V (A) is given an O(A) = A-module
structure in a functorial way.
If S : Algk Set is a functor, we will write SchS for the category of representable
functors X : Algk Set together with a morphism X S. A morphism (X
S) (Y S) in SchS is a morphism of functors X Y making the following
diagram commute:
X
Y
S.
There is an easy generalization of O to a ring object O SchS . It sends a scheme
X to the ring H0 (X, OX ) of regular functions on X.
For a scheme X, the first jet space J1 X is naturally an O-module in SchX . We
could be fancy and say that for any ring A, A[] is naturally an abelian group object
in AlgA /A, or we could define the O-module structure on J1 X

X directly. For
: Spec(A) X, we need to give
(J1 X)/X (A) = {f (J1 X)(A) : f = }
the structure of an A-module. Given a A, define a : A[] A[] by 7 a. This
is a ring homomorphism, so it induces a : J1 X(A) J1 X(A). The restriction of
this map to (J1 X)/X (A) is the desired action of A. See [SGA 3I , II 3.4.1] for a more
careful proof that this gives (J1 X)/X the structure of an O-module in SchX .
The point of all this is that if M is an O-module in SchY and f : X Y is a
morphism of schemes, then f M , defined by
p
(f M )(Spec(A)
X) = M (Spec(A)
X
Y)
is naturally an O-module in SchX . So if G is an algebraic group, J1 X is naturally
an O-module in SchG , and the morphism e : 1 G gives g = e J1 G the structure
of an O-module in Schk . ?

1n
Example 2.8.1 (Symplectic). Let J =
. Recall that
1n

Sp2n (A) = g GL2n (A) : t gJg = J .
16
Lets compute the Lie algebra of Sp2n . For X M2n (A), we have
t
(1 + x)J(1 + x) = (1 + t x)J(1 + x)
= J + (t xJ + Jx).
So sp2n (A) ' {x M2n (A) : t xJ + Jx = 0}.
Algebraic groups can be highly non-abelian, and so far all weve done is give
g = Lie(G) the structure of a vector space. Wed like to give g the structure of a Lie
algebra.
Let f : G H be a homomorphism of algebraic groups. Then f : G(A) H(A)
is a homomorphism for all k-algebras A. A morphism f : G H corresponds
by the Yoneda Lemma to a unique element homk (k[H], k[G]). For all A,
the induced map G(A) H(A) is defined by 7 via the identifications
G(A) = hom(k[G], A) and H(A) = hom(k[H], A).
Example 2.8.2. Recall that Gm (A) = A = hom(k[x1 ], A). All homomorphisms
f : Gm Gm come from x 7 xn for some n Z. On functors of points, this is
a 7 an for a A .
.
As before, let f : G H be a morphism of algebraic groups. Let g = Lie(G),
h = Lie(G). There is an induced map Lie(f ) : g h. On functors of points, it is
induced by the inclusions g J1 G, h J1 H and the fact that f : J1 G J1 H is a
group homomorphism. That is, for each k-algebra A, f : g(A) h(A) is induced
by the commutative diagram
G(A[])
g(A)
H(A[])
h(A).
In particular, a representation : G GL(n) induces a map on Lie algebras

g gln .
? The natural way of stating the above is that Lie is a functor from group
schemes over k to O-modules in Schk . Whats more, if G is a group scheme and
g = Lie(G), then by [SGA 3I , II 3.3], there is a natural isomorphism of A-modules
g(k) k A
g(A). So the functor g is actually determined by the vector space g(k).
This justifies our passing between g and g(k). ?
Lets construct the Lie bracket on the Lie algebra of an algebraic group. Recall
that for a Lie algebra g, we defined a map ad : g gl(g) = Endk (g) by ad(x)(y) =
[x, y]. The bracket on g is clearly determined by the adjoint map.
For g = Lie(G), well define the adjoint map directly, then use this to give g the
structure of a Lie algebra. For any g G(A), we have an action ad(g) : GA GA
given by x 7 gxg 1 for any B AlgA . So we have a homomorphism of group
functors ad : G Aut(G). In particular, G(k) acts on G by k-automorphisms.
? The general philosophy, due to Grothendieck and worked out carefully in SGA,
is that everything is a functor. That is, we think of every object as living in the
17
category of functors Algk Set. For example, if X and Y are schemes over k, then
hom(X, Y ) is the functor whose
hom(X, Y )(A) = homSchA (XA , YA ).
We recover the usual hom-set as hom(X, Y )(k). Similarly, we define Aut(G)(A) =
AutGrpA (GA ). These functors are not usually representable, but they are sheaves for
all the reasonable Grothendieck topologies on Schk . See [SGA 3I , I 13, II 1] for a
careful exposition along these lines. ?
By functoriality, there is a natural homomorphism Aut(G) Aut(g). Composing
this with the map ad : G Aut(G) gives a map ad : G Aut(g). Explicitly, the
map ad : G(A) Aut(g)(A) = Aut(gA ) sends g to the automorphism x 7 gxg 1
for any x G(B[]), B AlgA . It is easy to see that this action respects Omodule structure on g, so we in fact have a representation ad : G GL(g). Since
g(A) = g(k) k A, we can think of g as an honest k-vector space and define GL(g) as
the functor A 7 AutA (g k A). In either case, we have a morphism ad : G GL(g)
of linear algebraic groups.
Apply Lie() to the adjoint representation ad : G GL(g). We get a map
ad : g Lie(GL(g)) = gl(g). We claim that g together with [x, y] = ad(x)(y) is a
Lie algebra.
Example 2.8.3. Let G = GL(n). We wish to verify that our functorial definition of
ad : gln gl(gln ) agrees with the elementary definition ad(x)(y) = [x, y]. Start with
the action of GL(n) on gln . For any k-algebra A, this is the action by conjugation
of GLn (A) GLn (A[]) on gln (A) = ker(GLn (A[]) GLn (A)). This is because
g (1 + x)(g 1 ) = 1 + ad(g)(x).
So the functorial and elementary definitions of ad : GL(n) GL(gln ) agree.
Now lets differentiate ad : GL(n) GL(gln ). For A Algk , we have a
commutative diagram:
gln (A)
GLn (A[])
ad
GLn (A)
ad
gl(gln )(A)
GL(gln A[])
ad
GL(gln A)
All that remains is the simple computation

ad(1 + x)(y) = (1 + x)y(1 x)
= y + [x, y]
So as an endomorphism of gln A[], ad(1 + x) is of the form 1 + [x, ]. So when
we identify 1 + x with x, we get that ad(x) = [x, ] as desired. See [SGA 3I , II 4.8]
for a proof in much greater generality.
.
18
This example yields the general fact that Lie(G) is a Lie algebra. Choose an
embedding G , GL(n). By construction, the Lie functor is limit-preserving, so
g , gln . The bracket on g (as a subspace of gln is induced by the bracket on
gln . We have seen that the functorial definition of the bracket on gln matches the
elementary definition, so gln is a Lie algebra and g is a Lie subalgebras of gln .
Does Lie(G) determine G? The answer is an easy no! For example, SO(n) and
O(n) both have Lie algebra son . Also SL(n) and PSL(n) both have Lie algebra sln .
There is are the easy example Lie(Ga ) = Lie(Gm ) = gl1 . Finally, Lie(G) = Lie(G ),
so Lie(G) does not depend on the group 0 (G) = G/G of connected components
of G. However, given a semisimple Lie algebra g, there is a unique split connected,
simply-connected semisimple algebraic group G with Lie(G) = g.
Example 2.8.4. Lets go over the Lie bracket on GL(n) in a more elementary
manner. We have
gln = ker (GLn (k[]) GLn (k)) = {1 + x : x Mn (k)}

Mn (k).
Well write elements of Mn (k[]) as x + y; these should be thought of as a point x
together with an infinitesimal direction y. The adjoint map is the homomorphism
ad : GL(n) GL(gln ), defined on A-points as the map GLn (A) GL(gln (A))
given by ad(g)(x) = gxg 1 . So for A = k[], the group GLn (k[]) acts on Mn (k[])
by conjugation. Take any 1 + b GLn (k[]), and any x + y Mn (k[]). We
compute:
(1 + b)(x + y)(1 b)1 = (x + y + bx)(1 b)
= x + y + (bx xb)
= x + y + [b, x]
= (1 + [b, ])(x + y).
Thus ad(1 + b) = 1 + [b, ] as an element of Endk (gln ) = gl(gln ). Summing it all
up, we have a commutative diagram:
gln
ad
Mn
so that ad(x)(y) = [x, y].
gl(gln )
ad
End(Mn )
.
As we have already seen, Lie(G) does not determine G. Even worse, the functor
Lie is neither full nor faithful. Its not faithful because, for example, if is a finite
group and G a connected group, then Aut() , Aut(G), but since (G) G,
any automorphism of acts trivially on Lie( G). To see that Lie is not faithful,
note that hom(gl1 , gl1 ) is a one-dimensional vector space, while hom(Gm , Gm ) = Z.
Theorem 2.8.5. Let k be a field of characteristic zero, G/k a linear algebraic group.
Let g = Lie(G). The map H 7 Lie(H) from connected closed subgroups of G to Lie
subalgebras of g is injective and preserves inclusions.
19
Proof. If H1 H2 , use the functoriality of forming Lie algebras to see that Lie(H1 )
Lie(H2 ) as subalgebras of g. The nontrivial part is to show that Lie(H), as a
subalgebra of g, determines H. Let H1 , H2 be be two closed connected subgroups of
G such that h = Lie(H1 ) = Lie(H2 ). Then H3 = (H1 H2 ) is a closed connected
subgroup of G. Since fiber products are computed pointwise and the Lie functor
is exact, we have Lie(H3 ) = h. By Theorem 2.8.7, the Hi are all smooth, so
dim(Hi ) = dim h. But the only way H3 H1 can both be smooth and irreducible
with the same dimension is for H1 = H3 . Similarly H2 = H3 , so H1 = H2 .

a
1
Example 2.8.6. The subgroup Gm '
and
G
'
of GL(2)
a
a1
1
have Lie algebras that are abstractly isomorphic, but distinct as subalgebras of gl2 .
Thus Lie(H), seen as an abstract Lie algebra, does not determine H as a subgroup
of G.
.
Theorem 2.8.5 fails in positive characteristic. Also, surjectivity need not hold,
see e.g. GL(5). If we instead work in the category of smooth manifolds and Lie
groups, then every Lie subalgebra comes from a subgroup.
Theorem 2.8.7 (Cartier). Let k be a field of characteristic zero, G/k a linear
algebraic group. Then G is smooth.
Proof. The idea is that for k = C, G(C) must be smooth at most points g.
But any two points in G(C) have diffeomorphic neighborhoods, so G(C) itself is
smooth. For a careful proof in much greater generality, see [SGA 3I , VIB 1.6]. Even
SGA assumes that G is locally of finite type, but this is not necessary. See http:
//mathoverflow.net/questions/22553 for some discussion and references.
p
Example 2.8.8. Consider p = ker(Gm

Gm ) over k = Fp . That is, p (A) =
{a A : ap = 1}. The coordinate ring of p is k[x]/(xp 1). Note that
Lie(p )(A) = {1 + x : x A and (1 + x)p = 1}
= {1 + x : 1 + (x)p = 1}
= A.
In other words, p GL(1) has Lie algebra gl1 . Since p is connected over Fp ,
this provides a counterexample to Theorem 2.8.5 in characteristic p. Moreover,
p (Fp ) = 1, so p has no points.
.
If, on the other hand, the base field has characteristic not p, then (1 + x)p =
1 + px, which is 1 exactly when x = 0. So Lie(p ) = 0 as expected.
Solvable groups, unipotent groups, and tori
Recall that if G/k is an algebraic group, there is a canonical filtration

1 Ru G RG G G.
20
Each subgroup in the filtration is normal in G. The neutral component G of G, is

defined as a functor on k-schemes by
G (S) = {g : S G : g(|S|) |G| },
where |G| is the connected component of 1 in the topological space underlying G. By
[SGA 3I , VIA 2.3.1, 2.4], the functor G represents an open, geometrically irreducible,
subgroup scheme of G.By [SGA 3I , VIA 5.5.1], the quotient 0 (G) = G/G is etale
over k.
One calls RG the radical of G, an Ru G the unipotent radical. All possible
quotients in the filtration have names:
G /G is finite
G /RG is semisimple
G /Ru G is reductive
RG/Ru G is a torus
Ru G is unipotent .
3.1
One-dimensional groups
For simplicity, assume k is algebraically closed. Let G/k be a one-dimensional

smooth connected linear algebraic group. Currently, we have two candidates for G,
the additive group Ga and the multiplicative group Gm , given by
Ga (A) = (A, +)
Gm (A) = A
for all k-algebras A.
Theorem 3.1.1. Any one-dimensional connected smooth linear algebraic group over
an algebraically closed field is isomorphic to a unique member of {Ga , Gm }.
Proof. As a variety over k, G is smooth and one-dimensional. Thus there is a unique
smooth proper curve C/k with an open embedding G , C. The set S = C(k) r G(k)
is finite. Take g G(k). Then g : G

G given by x 7 g x is an automorphism
of curves. We can think of g as a rational map C C; by Zariskis main theorem,
this extends uniquely to an automorphism g : C

C. We obtain a group
homomorphism : G(k) , Aut(C).
Let g be the genus of C (if k = C, this is just the number of holes in the closed
surface C(C)). By [Har77, IV ex 5.2], if g > 2, then Aut(C) is finite. It follows that
g 6 1. Since S is finite, there is an infinite subgroup H G(k) that acts trivially
on S. Write Aut(C, S) for the group of automorphisms of C that are trivial on S;
there is an injection H , Aut(C, S). If g = 1, then Aut(C, S) is finite [Har77, IV
cor 4.7].
21
Weve reduced to the case g = 0. We can assume G C = P1/k = A1/k {}. It

is known that Aut(P1 ) = PGL(2) as schemes, so in particular Aut(P1/k ) = PGL2 (k)
[Har77, p. IV 7.1.1]. The action of PGL2 (k) is via fractional linear transformations:

ax + b
a b
x=
.
c d
cx + d
For any distinct , , P1 (k), there is a unique g PGL2 (k) such that g() = 0,
g() = 1, and g() = [this is equivalent to M0,3 = , it can be verified by a direct
computation]. If #S > 3, then this shows that Aut(P1/k , S) = 1, which doesnt work.
We now get two cases, #S {1, 2}. So without loss of generality, G = P1/k r {}
or G = P1/k r {0, }. So as a variety, G = Ga or Gm .
Well treat the case G = P1/k r {0, }. We can assume 1 P1 is the identity of
G. Pick g G(k) k ; then g : x 7 gx must be of the form x 7 ax+b
cx+d . Moreover,
g {0, } = {0, }. Either g (x) =
ax for a k , or g (x) = a/x. In the latter
case, g has a fixed point, namely a. But translation has no fixed points, so
g (x) = ax. Since g = g (1) = a, it follows that G = Gm .
The group Gm is reductive (better, a torus), and Ga is unipotent. For a general
(i.e., not necessarily linnear) connected one-dimensional algebraic group, there are
many possibilities, namely elliptic curves. Even over C, the collection of elliptic
curves is one-dimensional when interpreted as a variety in the appropriate sense.
3.2
Solvable groups
Let G/k be an algebraic group, and let g = Lie(G). It turns out that Lie(G ) = g.
There is a canonical sub-Lie algebra rad(g) g; in characteristic zero, this will
determine a connected linear algebraic subgroup RG G.
For the moment, let g be an arbitrary k-Lie algebra. Let Dg = [g, g] be the
subspace of g generated by {[x, y] : x, y g}. The subspace Dg is actually an ideal,
and the quotient g/Dg is commutative. Moreover, Dg is the smallest ideal in g with
this property.
Every Lie algebra comes with a canonical descending filtration D g, called the
derived series. It is defined by
D1 g = Dg
Dn+1 g = D(Dn g).
Definition 3.2.1. A Lie algebra g is solvable if the filtration D g is separated, that
is if Dn g = 0 for some n.
Lemma 3.2.2. A Lie algebra g is solvable if and only if there exists a decreasing
filtration g = g0 gn = 0 with each gi+1 an ideal in gi , and with gi /gi+1
commutative.
22
Proof. . This follows from the fact that Di g/Di+1 g is abelian for each i.
. Since g0 /g1 is commutative, we get Dg g1 . More generally, we get Di g gi
by induction, so gi = 0 for i 0 implies Di g = 0 for i 0.
Lemma 3.2.3. Let g be a finite-dimensional Lie algebra. Then g has a unique
maximal solvable ideal; it is called the radical of g, and denoted rad(g).
Proof. Let a be an ideal of g that is solvable, and has dim(a) maximal. Let b be any
solvable ideal. Then a + b is an ideal and (a + b)/a is solvable. From the general fact
that solvable Lie algebras are closed under extensions, we get that a + b is solvable,
so a + b = a, whence b a.
Definition 3.2.4. A Lie algebra k is semisimple if rad(g) = 0.
Example 3.2.5. Consider the Lie algebra
bn = {x gln : xi,j = 0 for all i > j}.
We claim that bn is solvable. This follows from the fact that
Dr bn = {x gln : xi,j=0 for all i > j r}.
To see that this is true, note that it is trivially true for r = 0, so assume it is true
for some r, and let x, y Dr bn . Note that
X
(xi,k yk,j yi,k xk,j )
[x, y]i,j =
k
(xi,k yk,j yi,k xk,j )
()
ir6k6j+r
Moreover, when i > j + r + 1, then all of the terms in () are zero, whence the
result. In some sense, bn is the only example of a solvable Lie algebra over an
algebraically closed field.
.
Theorem 3.2.6 (Lie-Kolchin). Let k be an algebraically closed field, g a finitedimensional solvable k-Lie algebra. Then there is an injective Lie homomorphism
g , bn for some n.
Proof. In characteristic zero, this follows directly from Corollary 2 of [Lie13 , I 5.3]
applied to the adjoint representation.
Example 3.2.7. One can check that:

1
rad(gl2 ) =
1
Dn (gl2 ) = sl2
for all n > 1
This is because sl2 is simple (has no non-trivial ideals).
23
Definition 3.2.8. Let G/k be a linear algebraic group. We say G is solvable if

there is a sequence of algebraic subgroups G = G0 G1 Gn = 1 such that
1. each Gi+1 is normal in Gi ,
2. each Gi /Gi+1 is commutative.
Example 3.2.9. Let G = B(n) GL(n) be the subgroup of upper-triangular
matrices (the letter B represents Borel). This is solvable, as is witnessed by the
filtration
G1 = {g GL(n) : gii = 1 for all i}
Gr = {g B(n)2 : gij = 0 for all i < j + r}
r > 1.
The map G0 Gnm defined by (aij ) 7 (a11 , . . . , ann ) induces an isomorphism
G0 /G1
Gnm . Similarly G1 Gn1
defined by (aij ) 7 (a1,2 , . . . , an1,n ) induces
a
n1
an isomorphism G1 /G2
Ga . In general, for i > 0, we have Gi /Gi+1
Gni
.
a
We could have chosen our filtration in such a way that Gi /Gi+1 {Ga , Gm }. .
Definition 3.2.10. Let G/k be a linear algebraic group. The derived group DG
(or G0 , or Gder ) is the smallest normal subgroup DG of G such that G/DG is
commutative.
The basic idea is that DG is the algebraic group generated by {xyx1 y 1 : x, y
G}.
Theorem 3.2.11. Let G/k be a smooth linear algebraic group. Then DG exists and
is smooth, and if G is connected then so is DG.
Proof. This essentially follows from [SGA 3I , VIB 7.1].
Just as for Lie algebras, we can define a filtration
D1 G = DG
Dn+1 G = D(Dn G).
Theorem 3.2.12. A linear algebraic group G is solvable if and only if Dn G = 1
for some n.
Example 3.2.13. If G B(n) GL(n), then G is solvable. Indeed, this follows
from D G D B(n).
.
Theorem 3.2.14 (Lie-Kolchin). Suppose k is algebraically closed. Let G GL(n)/k
be a connected solvable algebraic group. Then there exists x GLn (k) such that
xGx1 B(n).
Proof. Let V = k n , and consider V as a representation of G via the inclusion G ,
GL(V ). It is sufficient to prove that V contains a one-dimensional subrepresentation,
for then we could induct on dim(V ). For simplicity, we assume G is smooth. If G is
24
commutative, then the set G(k) is a family of mutually commuting endomorphisms

of V . It is known that such sets are mutually triangularisable, i.e. can be conjugated
to lie within B(n). (This follows from the Jordan decomposition.)
In the general case, we may assume the claim is true for DG. Recall that
X (DG) = hom(DG, Gm ) is the group of characters of DG. The group G acts on
X (DG) by conjugation:
(g )(h) = (ghg 1 ).
Even better, we can define X (DG) as a group functor:
X (DG)(A) = homGrp/A ((DG)/A , (Gm )/A ).
By [SGA 3II , 11.4.2], this is represented by a smooth separated scheme over k. We
define a subscheme
(A) = { X (DG)(A) : factors through G/A , GL(V )/A }.
Note that is finite and nonempty, and G is connected. Thus the induced action of
G on is trivial, so G fixes some (k). Let V be the suprepresentation of V
generated by all -typical vectors, i.e.
V (A) = hv V/A : g v = (g)v for all g G(A)}.
After replacing V by V , we may assume DG acts on V by a character . That is,
as a subgroup of GL(n), DG Gm . Since the determinant map kills commutators,
DG Gm SL(n) = n , so DG is finite. Since G connected, Theorem 3.2.11 tells
us that DG = 1, so G is abelian, and were done.
Example 3.2.15. If k is algebraically closed and G/k GL(n)/k is solvable, then
there exists a filtration G = G0 Gn = 1 such that G0 /G1 ' Grm , and all
higher Gi /Gi+1 ' Ga . We will see that this property determines G1 . We know
there is v k n which is a common eigenvector of all g DG(k). This gives us a
character : DG Gm .
.
Example 3.2.16. This shows that Theorem 3.2.14 does not hold over non-algebraically
closed fields. Let

a b
G/R =
GL(2)/R .
b a
Note that G(R) ' C (in fact, G = RC/R Gm ) via

a b
a + bi.
b a
The group G is commutative (hence solvable),
but

it is not conjugate to B(2) by an
1
element of GL2 (R). Indeed, note that
is not diagonalizable in GL2 (R)
1
because it has eigenvalues i.
.
For a general group, well have a subgroup RG, the radical of G. It will
be the largest connected normal solvable subgroup of G. It will turn out that
rad(g) = Lie(RG).
3.3
25
Quotients
Let G/k be an algebraic group, N G a sub-algebraic group. As functors of points,

N (A) is a normal subgroup of G(A) for all k-algebras A.
()2
Example 3.3.1. Let k = R, and consider 2 = ker(Gm Gm ) over k. Should

we consider the sequence
2
1 2 Gm
Gm 1
to be exact? On C-points, this is the sequence
2
1 {1} C
C 1
which is certainly exact. So we will write Gm = Gm /2 . Note however that the
2
sequence for R-points is 1 {1} R
R , which is not exact on the right. .
In general, if 1 N G H 1 is an exact sequence of algebraic groups,
we will not necessarily have surjections from the A-points of G to the A-points of H.
Definition 3.3.2. Let N/k G/k be a sub-algebraic group. A quotient of G by N
q
is a homomorphism G
Q of algebraic groups over k with kernel N , such that if
G
G0 vanishes on N , then there is a unique : Q G0 such that the following
diagram commutes:
q
1
N
G
Q
G0
Theorem 3.3.3. Quotients exist in the category of (possibly non-smooth) affine
group schemes of finite type over k.
Proof. This is [Mil14, 10.16].
=
If G/H is the quotient of G by a subgroup H, it is generally true that (G/H)(k)
G(k)/H(k).
? There is a more abstract, but powerful approach to defining quotients. Let Schk
be the category of schemes over Spec(k). We can regard any scheme over k as an
fppf sheaf on Schk via the Yoneda embedding. If H G is a closed subgroup-scheme,
we write G/H for the quotient sheaf of S 7 G(S)/H(S) in the fppf topology. By
[SGA 3I , VIA 3.2], this quotient sheaf is representable. By general nonsense, it will
satisfy more elementary definition of quotient. ?
3.4
Unipotent groups
Recall that for the moment, B(n) GL(n) is the subgroup of upper triangular
matrices and U (n) B(n) is the subgroup of strictly upper-triangular matrices.
26
Recall that in our filtration of B(n) GL(n), we had B(n)/U (n) ' Gnm , and all
further quotients were Gra for varying r. Wed like to generalize this to an arbitrary
connected solvable groups over algebraically closed fields. For the moment though,
k need not be algebraically closed.
Definition 3.4.1. Let G/k be an algebraic group. We say G is unipotent if it
admits a filtration G = G0 Gn = 1 of closed subgroups defined over k such
that
1. each Gi+1 is normal in Gi ,
2. each Gi /Gi+1 is isomorphic to a closed subgroup of Ga .
Clearly, unipotent groups are solvable. If k has characteristic zero, we can assume
Gi /Gi+1 ' Ga . If k has characteristic p > 0, then we have to worry about things
p
like p = ker(Ga
Ga ). Fortunately, by [SGA 3II , XVII 1.5], the only possible
closed subgroups of Ga over a field of characteristic p are 0, Ga and extensions of
(Z/p)r by pe .
Theorem 3.4.2. Let G/k be a connected linear algebraic group. Then G is unipotent
if and only if it is isomorphic to a closed subgroup of some U (n)/k .
Proof. This follows directly from [SGA 3II , XVII 3.5].
If G/k is unipotent and : G GL(V ) is a representation, then for all g G(k),

n
the matrix (g) is unipotent, i.e. ((g) 1) = 0 for some n > 1. Indeed, by [SGA
3II , XVII 3.4], for any such representation, there is a G-stable filtration fil V for
which the action of G on gr (V ) is trivial. In other words, is conjugate to a
representation which factors through some U (n), and elements of U (n)(k) are all
unipotent. Conversely, by [SGA 3II , XVII 3.8], if k is algebraically closed and every
element of G(k) GLn (k) is unipotent, then G is unipotent when considered as an
algebraic group.
Theorem 3.4.3. Let G/k be a connected solvable smooth group over a perfect field
k. Then there exists a unique connected normal Gu G such that
1. Gu is unipotent,
2. G/Gu is of multiplicative type .
Proof. This is [Mil14, XVII 17.23].
Recall that an algebraic group G/k is of multiplicative type if it is locally (in the
fpqc topology) the form A 7 hom(M, A ), for M an (abstract) abelian group [SGA
3II , IX 1.1]. Over a perfect field, any group of multiplicative type is locally of this
form after an etale base change. In particular, if k has characteristic zero, G/Gu
then G/Gu ' Gr . In general, G/Gu will be a
will be a torus. If moreover k = k,
m
closed subgroup of a torus.
Example 3.4.4. If G = B(n) GL(n), then Gu = U (n), the subgroup of strictly
upper-triangular matrices.
.
3.5
27
Review of canonical filtration
For this section, assume k is a perfect field.

Let G/k be a smooth connected linear algebraic group. In [cite], we defined RG,
the radical of G, to be the largest normal subgroup of G that is connected and
solvable.
The unipotent radical Ru G of G, is by definition (RG)u . As in subsection 1.6,
we have a diagram
G
connected G
finite
semisimple
RG
torus
unipotent Ru G
1
solvable
reductive
So the group Ru G is unipotent, RG is solvable. The quotient RG/Ru G is a

torus (we could define a torus to be a solvable group with trivial unipotent radical.)
The quotient G/RG is semisimple, and G/Ru G is reductive. There is a good
structure theory for semisimple groups.
Definition 3.5.1. Let k be a perfect field. A connected linear algebraic group G/k
is reductive if Ru G = 1.
Over a non-perfect field k, we say G/k is reductive if Ru (Gk ) = 1. If k is perfect,
then Ru (Gk ) descends uniquely to a group Ru G defined over k, but this is not true
in general. Over a non-perfect field, one calls G pseudo-reductive if we only have
Ru G = 1. The main example of a pseudo-reductive group which is not reductive
is any group of the form RK/k G, where K/k is purely inseparable and G/K is
reductive. There is a reasonably satisfying structure theory for pseudo-reductive
groups, worked out in [CGP10].
Example 3.5.2. The group GL(n) is reductive, even though R GL(n) = Gm is
nontrivial.
.
Definition 3.5.3. A connected linear algebraic group G is semisimple if RG = 1.
Example 3.5.4. The group SL(n) is semisimple. The subgroup n = Z(SLn ) is
a solvable normal subgroup, but its not connected (or not smooth, if the base
characteristic divides n).
.
3.6
28
Jordan decomposition
To begin with, let k be an algebraically closed field, V a finite-dimensional k-vector

space. Let x gl(V ). Then we can consider the action of a polynomial ring k[x] on
V via x. By the fundamental theorem of finitely generated
L modules over a principal
ideal domain [Alg47 , VII 2.2 thm.1], we have V = V , where for k, we
define
V = {v V : (x )n v = 0 for some n > 1}.
The for which V 6= 0 are called eigenvalues of x, and dim(V ) is the multiplicity
of . By a further application
of the fundamental theorem for modules over a PID,
L
we get that each V ' i k[x]/(x )ni .
The k-vector space k[x]/(t )n has basis {vi = (t )ni }ni=1 . Moreover,
tv1 = v1
tv2 = v2 + v2
When we write x with respect to this basis, we get the n n matrix Jn () which is
along the diagonal, 1 just above the diagonal, and zeros everywhere else.
For a general endomorphism x gl(V
L ), we end up with a direct sum decomposition (with respect to some basis) g =
Jni (i ).
Over a general field k, well be able to write a
In all of this, we used k = k.
matrix x as the sum of a diagonal matrix and a strictly upper triangular (hence
nilpotent) matrix. Suppose we have written x = xss + xn , where xss is diagonal and
xn is nilpotent. It turns out that xss is uniquely determined, and is a polynomial in
x. That is, there exists a polynomial f k[x], possibly depending on x, such that
xss = f (x), and similarly for xn .
For the remainder of this section, let k be an arbitrary perfect field, V a finitedimensional k-vector space.
Definition 3.6.1. An element x gl(V ) is semisimple if it is diagonalizable after
base-change to an extension of k.
Definition 3.6.2. An element x gl(V ) is nilpotent if xn = 0 for some n > 1.
Definition 3.6.3. An element x GL(V ) is unipotent if x 1 is nilpotent.
Theorem 3.6.4 (Additive Jordan decomposition). For any x gl(V ), there exists
unique elements xss GL(V ), xn gl(V ), such that
1. x = xss + gn ,
2. xss is semisimple,
3. xn is nilpotent, and
4. [xss , xn ] = 0.
Moreover, there exist polynomials f, g k[x] such that xss = f (x) and xn = g(x).
29
Proof. Case 1: the eigenvalues of x lie in k. Then by the theory of Jordan normal
form, we get existence of a decomposition. Suppose x = xss + xn = yss + yn are two
distinct decompositions. Then yss yss = yn + hn , and xss , xn commute with tss ,
tn . This is because xss and xn are polynomials in x. It follows that xn + yn is
nilpotent. The matrices xss , yss commute, so they are simultaneously diagonalizable.
So xss yss is still semisimple. But xss yss is also nilpotent, so xss = yss .
Case 2: the eigenvalues of x may not lie in k. Take a Galois extension K/k
containing all the eigenvalues of x. (For example, we could let K be the extension
of k generated by the eigenvalues of x.) We can write x = xss + xn , where xss , xn
gl(V ) K. For any Gal(K/k), we have (x) = x, because x gl(V ). But then
x = (xss ) + (xn ), and this is another additive Jordan decomposition of x. By
uniqueness in the first case, we see that xss and xn are fixed by . Since was
arbitrary, xss and xn lie in gl(V ).
For a more careful proof, see [Alg47 , VII 5.8 thm.1].
hypothesis on k is necessary. Let
Example 3.6.5. This shows that theperfectness

1
k = F2 (t). Consider the matrix x =
. This has characteristic polynomial
t
2
x t, so its only eigenvalue is 2 appearing with
So the
multiplicity
two.
only
t
t
1
way we could give x a Jordan decomposition is
+
. The
t
t
t
problem is, this doesnt work after a separable base change. More concretely, this
doesnt descend back to k.
.
Theorem 3.6.6 (Multiplicative Jordan decomposition). Let k be a perfect field,
V a finite-dimensional k-vector space. For any g GL(V ), there exists unique
gss , gu GL(V ) such that
1. g = gss gu ,
2. gss is semisimple,
3. gu is unipotent, and
4. gss and gu commute.
1
Proof. Recall that we can write g = gss + gn . Just rewrite it as gss (1 + gss
gn ), and
1
note that gss gn is nilpotent because gn is nilpotent and gss commutes with gn . So
1
gu = 1 + gss
gn . Uniqueness is similarly easy.
Wed like to connect the theory of Jordan decomposition with algebraic groups.
Let G/k be a linear algebraic group, : G GL(n) a representation. For g G(k),
we can write (g) = hss hu . It is a beautiful fact that hss = (gss ), hu = (gu ) for
uniquely determined gss , gu G(k).
Similarly, let g be a k-Lie algebra, : g gl(V ) a faithful representation. For
x g, the decomposition (x) = (x)ss + (x)n comes from a uniquely determined
decomposition x = xss + xn . However, the decomposition x = xss + xn is not
functorial the decomposition may be different for a different embedding g , gl(V ).
30
Let f : G H be a homomorphism of linear algebraic groups defined over

a perfect field k. Let g G(k). Then f (g)ss = f (gss ) and f (g)u = f (gu ). In
other words, the Jordan decomposition is functorial. It follows that if G/k is an
affine algebraic group (without a choice of embedding G , GL(n)), then the
multiplicative Jordan decomposition within G is well-defined, independent of any
choice of embedding.
3.7
Diagonalizable groups
Let k be a field; recall that we are working in the category of fppf sheaves on Schk .
The affine line A1 (S) = (S, OS ) is such a sheaf. We have already written Ga
for the affine line considered as an algebraic group. Since (S, OS ) is naturally a
commutative ring, we can consider A1 as a ring scheme, i.e. a commutative ring
object in the category of schemes. We will write O for A1 so considered.
Thus if G/k is an affine algebraic group, the coordinate ring of G is
O(G) = hom(G, A1 ).
We will be interested in
X (G) = homGrp/k (G, Gm ) O(G),
the set of characters of G.
Lemma 3.7.1. The set X (G) is linearly independent in O(G).
Proof. We may assume k is algebraically closed.
P Let 1 , . . . , n be distinct characters
ci i = 0 in O(G) with the ci k. If
of G, and suppose there is some relation
n = 1, there is nothing to prove. In the general case, we may assume c1 6= 0. There
exists a k-algebra A and h G(A) such that 1 (h) 6= n (h). Note that
X
X
ci n (h)i (g) =
ci i (h)i (g) = 0,
for all g G. This implies
n1
X
ci (n (h) i (h))i (g) = 0
i=1
for all g G(B) for A-algebras B. Thus 1 , . . . , n1 are linearly dependent in

O(G)k A. The only way this can happen is for 1 , . . . , n1 to be linearly dependent
in O(G). Induction yields a contradiction.
The set X (G) naturally has the structure of a group, coming from the group
law on Gm . If 1 , 2 X(G), then
(1 + 2 )(g) = 1 (g)2 (g).
Warning: this notation is confusing, because the group law in Gm is written
multiplicatively. But the group law on X (G) will always be written additively.
31
Example 3.7.2. As an exercise, check that X (Ga ) = 0.
Example 3.7.3. One has X (SL2 ) = 0. More generally, X (SLn ) = 0 for all n. .
Example 3.7.4. Lets compute X (Gm ) = homGrp (Gm , Gm ). We claim that
X (Gm ) ' Z as a group, with n Z corresponding to the character t 7 tn .
Indeed, O(Gm ) = k[t1 ], so we have to classify elements f k[t1 ] such that
(f ) = f f . It is easy to check that these are precisely the powers of t. Alternatively, use the fact that O(G) has a basis consisting of the obvious characters; by
linear independence of characters, these are the only ones.
.
n
It is easy to check that X (G1 G2 ) = X (G1 ) X (G2 ). Thus X (Gnm
Q) = Z .
A tuple a = (a1 , . . . , an ) Zn corresponds to the character (t1 , . . . , tn ) 7 tai i .
Example 3.7.5. There is a canonical isomorphism X (n ) = Z/n, even if n is not

invertible in k. There is an obvious inclusion Z/n , X(n ) sending a Z/n to the
character t 7 ta . This inclusion is an isomorphism.
.
In classical texts, if the base field has characteristic p > 0, then X(p ) = 0
because they only treat k-points.

In fact, in such texts, they have p = 1.
From Example 3.7.4 and Example 3.7.5, we see that all finitely generated abelian
groups arise as X(G) for some G.
Theorem 3.7.6. Let G/k be a linear algebraic group. Then the following are
equivalent:
1. G is isomorphic to a closed subgroup of some Gnm .
2. X (G) is a finitely generated abelian group, and forms a k-basis for O(G).
3. Any representation : G GL(n) is a direct sum of one-dimensional representations.
Proof. 1 2. An embedding G , Gnm induces a surjection O(Gnm ) O(G). The
image in O(G) of a character O(Gnm ) is a character, and O(Gnm ) has a basis
consisting of characters. The image of a basis is a generating set, so were done.
Alternatively, see [Mil14, 14.8].
2 3. This is [Mil14, 14.11].
3 1. By Theorem 2.6.1, there exists an embedding G , GL(n), and by 3,
we can assume the image of G lies in the subgroup of diagonal matrices, which is
isomorphic to Gnm .
Definition 3.7.7. Let G be a linear algebraic group. If G satisfies any of the
equivalent conditions of Theorem 3.7.6, we say that G is diagonalizable.
It is possible to classify diagonalizable groups. Let M be a finitely generated
abelian group, whose group law is written multiplicatively. The basic idea is
to construct an algebraic group D(M ) such that there is a natural isomorphism
X (D(M )) = M . We first define D(M ) as a functor Algk Grp by
D(M )(A) = homGrp (M, A ).
32
This is representable, with coordinate ring the group ring

(
)
X
k[M ] =
cm m : cm =
6 0 for only finitely many m .
mM
In other words, k[M ] is the free k-vector space on M . Addition is formal, and
multiplication is defined by (c1 m1 )(c2 m2 ) = c1 c2 (m1 m2 ), the multiplication m1 m2
taking place in M . It is easy to check that D(M )(A) = hom(k[M ], A).
There is a canonical isomorphism X (D(M )) = M . Given m X (D(M )), we
get a character m : D(M ) Gm defined on A-points by
m () = (m)
( : M A ).
We will see that this is an isomorphism.

The operation take D() is naturally a contravariant functor from the category
of finitely generated abelian groups to the category of diagonalizable groups over k.
By [SGA 3II , VIII 1.6], it induces an (anti-) equivalence of categories
D : {f.g. ab. groups} {diagonalizable gps. over k} : X .
So diagonalizable groups are exactly those of the form D(M ) for a finitely generated
abelian group M . More concretely, every diagonalizable group will be of the form
Gnm n1 nr .
3.8
Tori
Let k be a field. Recall that we have an equivalence of categories:

X : {diagonalizable groups /k} {f.g. ab. groups} : D .
Here X (G) = hom(G, Gm ) and D(M )(A) = hom(M, A ).
Definition 3.8.1. An algebraic group G/k has multiplicative type if Gk is diagonalizable.
? The general definition is in [SGA 3III , IX 1.1]. An affine group scheme G/S
is said to be of multiplicative type if there is an fpqc cover Se S such that GSe
is diagonalizable. One says G is isotrivial if Se S may be taken to be a finite
etale cover. By [SGA 3II , X 5.16], all groups of multiplicative type over a field are
isotrivial. So if G/k is of multiplicative type, there exists a finite separable extension
K/k such that GK is diagonalizable. ?
Definition 3.8.2. An algebraic group G/k is a split torus if G ' Gnm for some n.
The group G is a torus if Gk is a split torus over k.
? As above, the general definition in [SGA 3II , IX 1.3] is that G/S is a torus if there
is an fpqc cover Se S such that GSe ' Gnm /Se. As with groups of multiplicative
type, if T/k is a torus, then there is a finite separable extension K/k such that
TK ' Gnm/K . ?
33
Example 3.8.3 (Nonsplit tori). Recall that if K/k is a field extension and G/K is an
algebraic group, then the Weil restriction RK/k G is the algebraic group representing
the functor A 7 G(A k K) on k-algebras A. Consider G = RK/k Gm . For any
k-algebra A, we have (by definition) G(A) = (A k K) . Note that G(A) acts on
KA via multiplication, so there is an embedding RK/k Gm , GL(K)/k . If K/k is
Q
Galois, there is a canonical isomorphism of k-algebras K k K
K, where
= Gal(K/k). It sends x y to the tuple (x(y)) . Now for A AlgK , we compute
G(A k K) = G(A K (K k K))
!
Y
= G A K
K
G(A).
Q
Thus (RK/k Gm )K = Gm/K , hence RK/k Gm is a torus. But RK/k Gm is
not diagonalizable. If it were, by Theorem 3.7.6 the representation RK/k Gm ,
GL(K)/k would factor through the diagonal, whence all coordinates of the image of
(RK/k Gm )(k) = K would be in k, which is clearly false.
.
Example 3.8.4. A specific case of Example 3.8.3 that is of special interest is when
the field extension is C/R. One writes S = RC/R Gm , and calls a representation
: S GL(V ) a Hodge structure on V . The natural embedding RC/R Gm ,
GL(C)/R can be made explicit via
S(A) = (A R C)
= {((a, b) A A : a2 + b2 A }

a b
'
GL2 (A).
b a
See 2 of Delignes paper [Del71] for more on Hodge structures.
Just as we have a nice classification of diagonalizable groups, wed like to have

a classification theorem for tori (or, more generally, groups of multiplicative type).
For general groups G/k , we define

X (G) = homGrp/ksep Gksep , Gm/ksep .
This is an abelian group, and naturally has an action of k = Gal(k sep /k). Indeed,
for k , let : Spec(k sep ) Spec(k sep ) be the induced map. The pullback G
is defined on k sep -algebras A by
( G)(A) = G(A k sep ).
In other words, A is viewed as a k sep -algebra via , so that x a = (x)a. If
X (G), the character is defined by the commutative diagram, in which the
34
outer squares are pullbacks:

Gksep
Gksep
Gm/ksep
Gm/ksep
()
k sep
k sep
k sep
k sep
Here we have written k sep instead of Spec(k sep ) in order to save space. On k sep -points,
this map is ()(g) = (( 1 g)).
Example 3.8.5. Let K/k be a finite Galois extension with = Gal(K/k). We have
seen in Example 3.8.3 that there is a natural isomorphism X (RK/k Gm ) = Z[] of
abelian groups. It is a good exercise to check that this isomorphism respects the
-action, i.e. that X (RK/k Gm ) = Z[] as -modules.
.
Example 3.8.6. Let S be the group in Example 3.8.4. Then over R, all characters
are powers of

a b
det :
7 a2 + b2 .
b a
But over C, there are two characters,

a
z:
b

a
z :
b
b
a
b
a
7 a + bi
7 a bi.
The group X (GC ) has some extra structure, namely an action of the group
Gal(C/R) = hci. The generator c interchanges z and z. So under the obvious
isomorphism X (G) ' Z2 , the action of Gal(C/R) is c (n1 , n2 ) = (n2 , n1 ). Moreover, H0 (R, X (G)) = detZ , and the kernel of det on G is

a b
Sdet=1 =
: a2 + b2 = 1 GL(2)/R .
b a
The group Sdet=1 fits inside a short exact sequence 1 Sdet=1 S Gm 1, so
on the level of characters, we have a short exact sequence of Z[Gal(C/R)]-modules
0 X (Gm ) X (S) X (Sdet=1 ) 0.
Complex conjugation c acts on the quotient X (Sdet=1 ) as multiplication by 1.
Theorem 3.8.7. Let k be a field, = Gal(k sep /k). Then the functor X induces
an exact anti-equivalence of categories
{groups of mult. type over k}

{f.g. ab. groups with cont. -action}.
Proof. This is [SGA 3II , X 1.4].
35
In general, we call the action of a profinite group on a discrete set X continuous

if the map X X is continuous. Equivalently, for each x X, the stabilizer
Stab (x) is open. The action of on X (G) is as given in ().
? In the proof of Theorem 3.2.14, we saw that it is possible to view X (G) as
a group scheme. This makes it possible to recover the Galois action on X (G) in
a more natural manner. It is a basic fact (see [SGA 1, V 8.1]) that the category
of finite sets with continuous k -action is equivalent to the category of finite etale
covers of Spec(k). Thus the category of sets with continuous k -action is equivalent
to the category of sheaves on ket .
In light of this, we construct X (G) as a scheme; its restriction to ket recovers
the usual definition of X (G). Put

X (G)(A) = homGrp/A GA , Gm/A .
If G is of multiplicative type, then by [SGA 3II , XI 4.2], the group functor X (G) is
represented by a smooth separated k-scheme. The restriction of this scheme to ket
recovers the usual definition of X (G). ?
Example 3.8.8. Let k be a field of characteristic 6=2. The Kummer theory tells us
that quadratic extensions K/k are all of the form k( d)/k for d k /2 = H1 (k, 2 ).
Since 2 k , we have 2 = Z/2 = Aut(Gm ). Thus k-forms of Gm are classified by
H1 (k, Z/2) = k /2. We can work this out explicitly. For c H1 (k, 2 ), let kc /k be
the corresponding quadratic extension, and let c Gm be defined by

det
c Gm = ker Rkc /k Gm , GL(kc )/k Gm .
The group c Gm can be written explicitly as

a bc
: a2 cb2 = 1 GL(2)/k .
b a
The isomorphism type of c Gm depends only on the class of c in k /2. Moreover,
X (c Gm ) ' Z, with the action of k factoring through Gal(kc /k) and being
multiplication by 1 on the unique generator of Gal(kc /k).
.
Note that general tori can be extremely difficult to classify. For example, when
k = Q, the category of tori over Q is anti-equivalent to the category of finitely
generated abelian groups with Q -action. The group Q can be recovered from its
finite quotients, but it is still very mysterious.
Example 3.8.9. Over R, if we have an involution c acting on a lattice Zn , then
with respect to some basis, c wiill have the form

c
a
b
1
1
1
1
So any torus over R breaks up as a product of copies of Gm , copies of S, and copies
of Sdet=1 .
.
36
Over a general field, any torus is a quotient of products of RK/k Gm for varying
K/k.
If T is a diagonalizable group and : T GL(V ) a representation of T , then
we have a direct sum decomposition
M
V =
V ,
X (T )
where V = {v V : (g)v = (g)v for all g}. The for which V 6= 0 will be called
the weights of V . To summarize, every representation of a split torus is semisimple,
the direct sum of a bunch of characters.
For T of multiplicative type, all representations are semisimple. The irreducible
representations are given by Galois orbits in X (T ).
Tori have strong rigidity properties which will be useful later. Recall that if
T2 , T2 are tori, we write hom(T1 , T2 ) for the scheme over k whose functor of points is
hom(T1 , T2 )(S) = homGrp/S (T1S , T2S ) .
By [SGA 3II , XI 4.2], this is represented by a smooth scheme over k. If X/k is
a scheme, a family of homomorphisms from T1 to T2 parameterized by X is just
a morphism X hom(T1 , T2 ). By general nonsense, it is equivalent to give a
morphism : X T1 T2 such that for all x X(S), the map T1S T2S
given by t 7 (x, t) is a homomorphism. We say a family of homomorphisms
: X hom(T1 , T2 ) is constant if the morphism is constant, i.e. if (x) does not
depend on x. Alternatively, the morphism X T1 T2 factors as X T1 T1

T2 .
Theorem 3.8.10 (Rigidity of tori). Let k be a field, T/k a torus, X/k a connected
variety. Any family X hom(T, T ) of homomorphisms is constant.
Proof. Well use two facts.
n
1. For n > 1, let n T = ker(T

T ). Then {n T } is dense in T [SGA 3II , IX 4.7].
2. For each n > 1 invertible in k, the scheme n T is finite etale over k. (This
follows from etale descent.)
The family X hom(T, T ) induces, for each n invertible in k, a family X
hom(n T, n ), which by [SGA 3II , X 4.2] is finite etale. Since X is connected, each
X hom(n T, n T ) is constant. By the first fact, we obtain that X is constant.
Example 3.8.11. This shows that Theorem 3.8.10 fails for groups that are not tori.
Let G = SL(2). Then the map G G G given by (g, h) 7 ghg 1 is a perfectly
good family of homomorphisms that is not constant. One has PSL(2) , Aut(SL2 ),
with image of index two. The other coset is generated by g 7 t g 1 .
.
37
Semisimple groups
Let k be an algebraically closed field of characteristic zero. Let G/k be a reductive

algebraic group. That is, G is connected and Ru G = 1. We will associate to G some
combinatorial data, called the root datum. The root datum of G will characterize G
up to isomorphism, will not depend on the field k, and will completely determine
the representation theory of G. Much of the theory will depend on the notions of
maximal torus and Borel subgroup. To prove basic properties of these, we need to be
able to take quotients, and it is to this that we now turn. The theory of quotients
requires quite a bit of, sophistication, and may safely be skipped at first reading.
4.1
Quotients revisited ?
The morally correct place to take quotients is in the category of fppf sheaves.
Definition 4.1.1. A finite family {fi : Xi X} of morphisms of schemes is an
fppf cover if it is jointly surjective (on points), and each Xi X is flat, of finite
presentation, and quasi-finite.
We write fppf for the topology generated by fppf covers. Recall that a topology
is called subcanonical if each representable functor is a sheaf. Also, a sieve on X is
a subfunctor of hX = hom(, X). We reproduce the following theorem from SGA.
Theorem 4.1.2.
1. A sieve S on X is a cover for the fppf topology if and only if there is an open
affine cover {Xi } of X together with affine fppf covers {Xij Xi } such that
each Xij X is in S.
2. A presheaf F on Sch is an fppf sheaf if and only if:
(a) F is a Zariski sheaf.
(b) For each fppf cover X Y , where X and Y are affine, the following
diagram is an equalizer:
F (X)
F (Y )
F (Y X Y ).
3. The fppf topology is subcanonical.

4. If {Xi X} is jointly surjective and each Xi X is faithfully flat and of
finite presehtation, then {Xi X} is an fppf cover.
Proof. This is [SGA 3I , IV 6.3.1].
A good general source for topologies and sheaves is the book [MLM94]. From
it, we get that the category Shfppf (SchS ) is a topos. That is, limits, colimits and
more exist in the category of sheaves on SchS . However, it can be quite tricky to
check whether a given colimit of schemes (taken in the fppf topology) is actually
represented by a scheme.
38
Let k be a field. For the remainder, well work in the category of fppf sheaves on
Schk . Well call such sheaves spaces.
Definition 4.1.3. Let G be a k-group space. A k-space X is called a G-space if
it is equipped with a morphism G X X, such that for each S Schk , the map
G(S) X(S) X(S) gives an action of the group G(S) on the set X(S).
If G/k is an algebraic group and X/k is a variety, we call X a G-variety, or variety
with G-action. (Recall that for us, a variety over k is a separated scheme of finite
type over k.) The representability of quotients G\X is a subtle one, but fortunately
we only need to take quotients G/H, where H G is an algebraic subgroup.
Theorem 4.1.4. Let G/k be an algebraic group, H G an algebraic subgroup.
Then the fppf quotient G/H is a variety over k. If G is smooth, so is G/H, and if H
is normal, then G/H has a unique structure of a group scheme for which G G/H
is a homomorphism.
Proof. This is [SGA 3I , VIA 3.2].
A major theorem whose proof uses quotients is the Borel fixed point theorem. To
state it, we need some terminology. Following [EGA 2, II 5.4.1], we say a morphism
f : X Y of schemes is proper if it is separated, of finite type, and if for all Y 0 Y ,
the induced morphism XY 0 Y is closed. We call a variety X/k proper if the
structure map X Spec(k) is proper. There is a valuative criterion for properness
[EGA 2, II 7.3.8]. One considers pairs (A, K), where A is a valuation ring with
morphism Spec(A) Y , and K is the field of fractions of Y . A morphism X Y
is proper if and only if for all such pairs, the map X/Y (A) X/Y (K) is a bijection.
If f : X Y is a morphism of varieties over C, then by [SGA 1, XII 3.2], f is proper
if and f : X(C) Y (C) is proper in the topological sense. (Following [Top14 , I
10.2 th.1], a map f : X Y between Hausdorff spaces is proper if it is closed, and
the preimage of any compact set is compact.)
Theorem 4.1.5. Let k be an algebraically closed field, G/k a connected solvable
group, and X/k a proper non-empty G-variety. Then X G 6= .
Proof. We induct on the dimension of G. If G is one-dimensional, then G is one of
{Ga , Gm }, so neither G nor any of its nontrivial quotients are proper. For x X(k),
let Gx = StabG (x). Either Gx = G, in which case x X G (k), or Gx is finite, in
which case we have an embedding G/Gx , X given by g 7 gx. By passing to the
closure of the image of this map, we may assume the image of G/Gx in X is dense.
Thus X r G/Gx is a G-stable finite nonempty (because G isnt proper) variety on
which G acts, hence X G X r G/Gx .
In the general case, choose a one-dimensional normal subgroup H G. By
induction, X H 6= , and by the first part of the proof, X G = (X H )G/H 6= .
For a more careful proof, see [Mil14, 18.1].
Checking the valuative (or topological) criteria for properness can be pretty
difficult. There is a special class of morphisms, called projective morphisms, that
39
are automatically proper. Let S be a base scheme, and E a quasi-coherent sheaf on

S. Define a functor P(E ) on SchS by
P(E )(X) = {(L , ) : L is invertible and : EX L }/ ' .
That is, P(E )(X) is the set of isomorphism classes of pairs (L , ), where L is a line
bundle on X and : EX L is a surjection. By [EGA 2, II 4.2.3], this functor is
representable. Following [EGA 2, II 5.5.2], a morphism f : X Y is called projective
if it factors as X , P(E ) Y , where E is a coherent OY -module, X , P(E ) is
a closed immersion and P(E ) Y is the canonical morphism. Equivalently, X is
isomorphic to Proj(A ) for some sheaf A = A of graded OY -algebras, which is
generated as an OY -algebra by A1 , and for which A1 is coherent. By [EGA 2, II
5.5.3], projective morphisms are proper. In particular, if we work over a base field k,
all closed subschemes of P(V ) for a finite-dimensional k-vector space V are proper.
You need to be careful when taking quotients. As motivation, suppose G/k is an
algebraic group and Z Z(G) is a central subgroup. For any k-algebra A, we have
a long exact sequence
1 Z(A) G(A) (G/Z)(A) H1fppf (A, Z)
So (G/Z)(A) is easy to understand when Z is cohomologically trivial in some
sense. Conversely, when Z has nontrivial cohomology, G/Z tends to be trickier to
study directly.
Example 4.1.6. Consider the algebraic group PGL(n) = GL(n)/Gm . See [Con,
1.6.3] for a careful construction. It is well-known that H1 (A, Gm ) = Pic(A), the
group of isomorphism classes of invertible A-modules. Thus if A is a Dedekind
domain with non-trivial class group, the map GLn (A)/A PGLn (A) is not
surjective. But since Pic(k) = 0 for all fields K, one has PGLn (k) = GLn (k)/k . .
Example 4.1.7. This problem presents itself even earlier with PSL(n) =SL(n)/n .
The problem is, by Kummer theory, H1 (k, n ) = k /n whenever n is invertible in
k. So, for example, SL2 (R) PSL2 (R) should not be surjective, because it has
cokernel H1 (R, 2 ) = Z/2. It turns out that the quotient sheaf SL(n)/n is actually
PGL(n). For this reason, we will only use notation PSL(n) when taking its k-valued
points. See http://mathoverflow.net/questions/16145/ for more discussion of
this.
.
4.2
Centralizers, normalizers, and transporter schemes
Here we define some constructions scheme-theoretically that will be used extensively

in the structure theory of reductive groups. Fix a base scheme S, and let G/S be a
group scheme. If X, Y G are subschemes, the transporter scheme TranspG (X, Y )
and the strict transporter scheme stTranspG (X, Y ) are given by their functors of
40
points:
TranspG (X, Y )(T ) = {g G(T ) : ad(g)(XT ) YT }
= {g G(T ) : gX(T 0 )g 1 Y (T 0 ) for all T 0 T }
stTranspG (X, Y )(T ) = {g G(T ) : ad(g)(XT ) = YT }.
Similarly, if u, v : X G are morphisms, one defines
TranspG (u, v)(T ) = {g G(T ) : ad(g) uT = vV }.
This enables us to define, for a subgroup-scheme H G,
CG (H) = TranspG (H , G, H , G)
(the centralizer )
NG (H) = stTranspG (H, H)
(the normalizer ).
We reproduce the following theorem from SGA.

Theorem 4.2.1. Let k be a field, G/k a group scheme of finite type.
1. If X, Y G are closed subschemes, then TranspG (X, Y ) and stTranspG (X, Y )
are represented by closed subschemes of G.
2. If u, v : X G are two morphisms of schemes over k, then TranspG (u, v) is
represented by a closed subscheme of G.
Proof. This is essentially [SGA 3I , VIB 6.2.5].
Corollary 4.2.2. Let k be a field, G/k a group scheme of finite type, and H G a
closed subgroup scheme. Then CG (H) and NG (H) are represented by closed subgroup
schemes of G
Clearly CG (H) NG (H).
4.3
Borel subgroups
For this section, k is an algebraically closed field of characteristic zero.

Definition 4.3.1. Let G/k be a linear algebraic group. A Borel subgroup of G is a
connected solvable subgroup B G that is maximal with respect to those properties.
Theorem 4.3.2. Let G/k be a linear algebraic group. Then all Borel subgroups of
G are conjugate.
Proof. Let B1 , B2 be two Borel subgroups. By [Mil14, 18.11.a], the variety G/B1 is
proper. By Theorem 4.1.5, the left-action of B2 on G/B1 admits a fixed point gB1 .
One has B2 ad(g)(B1 ); by maximality B2 = ad(g)(B1 ).
In general, one calls the quotient G/B of G by a Borel subgroup B the flag
variety of G.
41
Example 4.3.3. If G = GL(n), then by Theorem 3.2.14, the subgroup B of uppertriangular matrices is a Borel subgroup. We will see that G/B is proper. Indeed,
we will work in much greater generality. Let S be a base scheme and E a locally
free OS -module. If X/S is a scheme, write EX for the pullback of E to X. Write
GL(E ) for the functor X 7 AutOX (EX ). This is an open subscheme of V(E E ),
so it is representable.
Let n = rk(E ); for r < n, let Gr(E , r) be the functor given by
Gr(E , r)(X) = {EX F : F is a locally free OX -module of rank r}/ ' .
By [Nit05, ex.2], this is representable. note that Gr(E , 1) = P(E ), so Gr(E , 1) is
projective. More generally, for each V
r the operation take r-th wedge power gives
r
a closed embedding
Gr(E
,
r)
,
P(
E ), so all the Gr(E , r) are projective. Put
Q
Gr(E ) = r<n Gr(E , r); this is projective via the Segre embedding [EGA 2, II 4.3.3]
Vn1
Vn1
P(E ) P(
E ) , P(E
E ).
Suppose E admits a descending filtration fil E such that each quotient Er =
E / filr has rank r. Define a closed subgroup of GL(E ) by
B(X) = {g GL(E )(X) : g preserves fil }.
This is a Borel subgroup of GL(E ). We will realize the relative flag variety G/B as
a closed subscheme of Gr(E ). If X/S is a scheme, a flag (relative to E ) on X is a
diagram EX = Vn V0 = 0 of locally free quotients of EX , where each Vr
has rank r. Write V for such a flag. Define a functor Fl(E ) by
Fl(E )(X) = {flags relative to E on X}/ ' .
The rule V 7 (Vr )r gives a closed embedding Fl(E ) , Gr(E ). See [DG80, I 2 6.3]
for a proof when S = Spec(Z) and E = Zn .
Our filtration fil E induces an element of Fl(E )(S), namely {E E / filr }r . The
action of GL(E ) on E induces a right action of GL(E ) on Fl(E ), in which an element
g
g GL(E )(X) acts on a flag E V by E
E V . Moreover, B GL(E ) acts
trivially. Assume S is locally noetherian. Then by [SGA 3I , V 10.1.1], the quotient
GL(E )/B exists and comes with an embedding GL(E )/B , Fl(E ). We claim that
this map is surjective, hence an isomorphism. Indeed, Zariski-locally, it comes down
to checking that GL(An )/B(A) Fl(An ) is surjective, which is a basic fact from
linear algebra. Thus GL(E )/B

Fl(E ).
.
We will be mainly interested in when S = Spec(k) and V = k n . In this case, we
write Gr(n, r) = Gr(k n , r) and Fl(n) = Fl(k n ). Thus GL(n)/B

Fl(n) , Gr(n).
More generally, we have the following fact.
Theorem 4.3.4. Let G be a linear algebraic group, B G a Borel subgroup. Then
G/B is a projective variety.
Definition 4.3.5. Let G be a linear algebraic group. A closed subgroup P G is
parabolic if G/P is proper.
42
Theorem 4.3.6. A subgroup P G is parabolic if and only if P contains a Borel

subgroup of G.
Proof. . Suppose P contains a Borel subgroup B. Then the inclusion B P
induces a map G/B G/P . Since G/B is proper, by [EGA 2, II 5.4.3], so is G/P .
Alternatively, see [SGA 3II , XVI 2.5] for a proof over a general base.
. Consider the action of B on the proper variety G/P . By Theorem 4.1.5,
there is a fixed point gP . One obtains ad(g 1 )(B) P , so P contains a Borel
subgroup.
In light of this result, we could have defined a Borel subgroup to be a minimal
parabolic subgroup.
4.4
Maximal tori
For this section, k is an algebraically closed field of characteristic zero. Let G/k be
a linear algebraic group. A maximal torus in G is a subgroup scheme T G that is
a torus, and is maximal with respect to this property. In our setting, any torus in G
is contained in a maximal torus.
Example 4.4.1. Let G = GL(n). Then we can choose T to be the subgroup
consisting of diagonal matrices. This is a maximal torus because all tori are
diagonalizable, so any torus in GL(n) is conjugate to a subgroup of T . A Borel
subgroup consists of upper-triangular matrices.
.
Theorem 4.4.2. Let G/k be a linear algebraic group. Then all maximal tori are
conjugate.
Proof. If G is solvable, this is [Mil14, 17.40]. Essentially, one uses the fact that
G = T n Ru G for any maximal torus T .
If G is a general group, then different maximal tori T1 , T2 will live in Borel
subgroups B1 , B2 . By Theorem 4.3.2, the subgroups B1 and B2 are conjugate, so
we may as well assume T1 and T2 are maximal tori in the same Borel subgroup B.
But then we can use the fact that the theorem holds for solvable groups.
Example 4.4.3. Let : G GL(V ) be a representation, where G is a connected
solvable group. Then G acts on P(V ) via GL(V ), so Theorem 4.1.5 tells us that G
fixes a vector, i.e. that V contains a G-invariant line.
.
Lemma 4.4.4. Let T G be a torus. Then the quotient WG (T ) = CG (T ) =
NG (T ) , hence the quotient NG (T )/ CG (T ) is finite etale.
Proof. There is an obvious family NG (T ) T T given by (y, t) 7 yty 1 . By
Theorem 3.8.10, this is constant, hence NG (T ) CG (T ).
One calls WG (T ) the Weyl group of the pair (G, T ). It is finite etale over k.
Lemma 4.4.5. Let G/k be a connected reductive group. Then RG = Z(G) .
43
Proof. Note that RG is a torus. Since RG is normal in G, there is a family

G RG RG given by (y, t) 7 yty 1 . Again by Theorem 3.8.10, this is trivial,
hence RG Z(G). The result follows.
Lemma 4.4.6. Let G be a connected linear algebraic group that admits a faithful
irreducible representation : G , GL(V ). Then G is reductive.
Proof. We may assume that G GL(V ). Let H = Ru G; the space V H is nonzero
since H is unipotent. In fact, since H is normal in G, V H is a subrepresentation of
V . Since V is simple, V H = V . But G GL(V ), so H = 1.
Corollary 4.4.7. The groups GL(n), SL(n), SO(2n) and Sp(2n) are reductive.
Proof. Apply Lemma 4.4.6 to the standard representations. For SO and Sp, use the
fact that the group preserves a nondegenerate bilinear form.
Theorem 4.4.8. Let k be a field, G/k a reductive group. If T G is a torus, then
CG (T ) is reductive. If T is maximal, then CG (T ) = T .
Proof. This is [SGA 3III , XIX 1.6].
4.5
Root systems
Let k be a field, G/k a reductive group, g = Lie(G). In subsection 2.8, we defined

a canonical representation ad : G GL(g). Let T G be a maximal torus. We
are interested in the representation ad |T : T GL(g). For simplicity, assume T is
diagonalizable (i.e. , a split torus). By Theorem 3.7.6, there is a decomposition
M
g=
g ,
X (T )
where for X (T ), the space g = {x g : tg = (t)g for all t T }. Let

R(G, T ) = { X (T ) r 0 : g 6= 0}. Then we have a decomposition
M
g = g0
g .
R(G,T )
We call R(G, T ) X (G) the set of roots of G. This is a finite set.

Let V be the span of R(G, T ) in X (T )R = X (T ) R. The finite set R(G, T )
sitting inside the real vector space V is an example of a root system. General
root systems break up into irreducibles, and there is a combinatorial classification
of irreducible root systems into types An , Bn , Cn , Dn , G2 , F4 , E6 , E7 , E8 . The root
system R(G, T ) V will recover G/ Z(G).
44
Example 4.5.1. We will work out the root datum of SL(n + 1) for n > 1. We
choose the maximal torus
n
o
Y
T = diag(a1 , . . . , an+1 ) : ai Gm and
ai = 1
..
=
SL(n + 1).
.
Define i : T Gm by i (diag(a1 , . . . , an+1 )) = ai . Then (1 , . . . , n ) induces an

n+1
isomorphism between T and the subgroup
of
P
PGm consisting of (a1 , . . . , an+1 ) with
a1 an+1 ) = 1. Thus X (T ) = { ai i : ai = 0}.

The Lie algebra sl(n + 1) is spanned by t = Lie(T ) and the set
{Ei,j = (i,a j,b )a,b } sl(n + 1).
Moreover, one can check that
ad (diag(a1 , . . . , an+1 )) (Ei,j ) =
ai
Ei,j .
aj
Thus, the root decomposition of sl(n + 1) is

sl(n + 1) = t
M
hEi,j i.
i6=j
So R(SLn+1 , TP
) = {i j : i 6= j}.PWe think of R(SLn+1 ) as a subset of the real
vector space { ai i : ai R and
ai = 0}.
.
With this example in mind, we move towards the general definition of a root
system. Fix a finite-dimensional R-vector space V . For V r 0, a reflection on
V with vector is a linear map s : V V such s() = , and for which there
exists a decomposition V = R U such that |U = 1. Note that if s is a reflection
with vector , then s(v) v R for all v V .
Lemma 4.5.2. Let V be a finite-dimensional R-vector space, R V a finite set
which spans V , and V r 0. There exists at most one reflection s of V with
vector such that s(R) = R.
Proof. This is [Lie46 , VI 1.1 lem.1]. Suppose s, s0 are two such reflections. Define
u = s(s0 )1 . Note that u() = . Moreover, u induces the identity on V /. This
implies u is unipotent. But u(R) = R, so un = 1 for some n > 1. This means that u
is semisimple. The only way an operator can be both unipotent and semisimple is
for u = 1.
Definition 4.5.3. Let V be a finite-dimensional R-vector space. A subset R V r0
is a root system in V if the following hold:
1. R is finite and spans V .
45
2. For each R, there is a (unique) reflection s with vector such that

s (R) = R.
3. For each , R, s () Z.
Often, we will speak of a root system R, and tacitly assume that the vector
space V has been given. One calls the elements of R roots of R.
Let R V be an arbitrary root system. For any root R, the reflection s
acts on by 1, that is, s () = . Thus R R.
Definition 4.5.4. A root system R is reduced if whenever c R for some c R,
R, then c = 1.
Definition 4.5.5. Let R be a root system. The Weyl group of R is the subgroup
W = W(R) of GL(V ) generated by {s : R}.
Since each s preserves R, the group W preserves R. Moreover, since R spans
V , an element w W is determined by its restriction w|R Perm(R). Thus
W , Perm(R), so W is finite with cardinality 6 (#R)!.
For an arbitrary root system R V , there always exists a nondegenerate inner
product h, i : V V R that is W -invariant in the sense that hwu, wvi = hu, vi
for all w W . Existence of such an inner product follows from the unitary trick.
If G is an arbitrary compact group acting continuously on a Hilbert space V , define
a new inner product by
Z
hu, viG =
hgu, gvi dg.
G
Then h, iG is G-invariant.
Fix a W -invariant inner product h, i on V . For R, we can write V =
R (R) . One has
hv, i
s (v) = v 2
.
h, i
h,i
Condition 3 in the definition of a root system comes down to requiring that 2 h,i
Z
h,i
for all , R. For the remainder, put n(, ) = 2 h,i
.
Example 4.5.6. Let V = R, and R = {} for some 6= 0. This is the unique

one-dimensional reduced root system, up to isomorphism.
.
Definition 4.5.7. Let R1 V1 , R2 V2 be root systems. The direct sum of R1
and R2 has vector space V1 V2 , with root system {R1 0} t {0 R2 }.
We call a root system reducible if it can be written as the direct sum of two
nonzero root systems, and irreducible otherwise. From [Lie46 , VI 1.2 prop.5], we
see that a root system R V is reducible if and only if V is reducible as a W -module.
Moreover, the decomposition of a root system into irreducibles is determined by the
decomposition of V into irreducible W -modules.
Definition 4.5.8. A subset S R is a base if
46
1. S is a basis of V
2. For any R, write =
m . Then either all m > 0 or all m 6 0.
+
Let S R be a base; one calls the S simple roots.
P Let R R be the
collection of R such that in the decomposition = S m , one has all
m > 0. If we put R = R+ , then by [Lie46 , VI 1.6 th.3], one has R = R+ t R .
Theorem 4.5.9. Let R be a root system.

1. A base for R exists.
2. If S1 , S2 R are bases, then there exists w W such that w(S1 ) = S2 .
S
3. R = wW w(S).
4. W is generated by {s : S}.
Proof. These all follow from various results in [Lie46 , VI 1.5]. Namely, 1 and 4
follow from parts (ii) and (vii) of Theorem 2. The claim 3 follows from Proposition
15, and 2 follows from the corollary to that proposition.
Let R V be a reduced root system, W = W(R), and h, i a W -invariant inner
product on V . Fix , R that are linearly independent. Let be the angle between
||
cos Z.
and , determined by h, i = || || cos . We have n(, ) = 2 ||
2
Moreover, n(, )n(, ) = 4 cos {0, 1, 2, 3, 4}, so the possibilities for are very
limited. In fact, we can write them all down:
n(, )
0
1
1
1
1
1
1
n(, )
0
1
1
2
2
3
3
/2
/3
2/3
/4
3/4
/6
5/6
||/||
?
1
1
2
2
3
3
Even with this finite list, classifying reduced root systems directly is tricky. We
will classify them via a type of graph (with extra data) called a Dynkin diagram.
The following definition is from [Lie46 , VI 4.2].
Definition 4.5.10. A Dynkin graph is a pair (, f ), where is an undirected graph
and
f : {(1 , 2 ) : 1 and 2 are connected by an edge} R
satisfies f (1 , 2 )f (2 , 1 ) = 1 whenever the expression is defined.
47
If R V is a reduced root system, we define a Dynkin graph (Df ), = Dyn(R)

as follows. Choose a base S of R. The vertices of D are elements of S. Given
=
6 S, put f (, ) = n(,)
n(,) . For any two vertices , R, after possibly
switching and , we will have f (, ) Z. In Dyn(R), there are |f (, ) edges
between and . From the above table, we see that there are at most 3 edges.
By [Lie46 , VI 4.2], the Dynkin diagram Dyn(R) only depends on R, in the
sense that the choice of another basis yields a Dynkin graph that is canonically
isomorphic to the first one. Moreover, Dyn() induces an injection from the set
of isomorphism classes of reduced root systems to the set of isomorphism classes
of Dynkin graphs. Moreover, R is irreducible if and only if Dyn(R) is connected,
the decomposition of R into irreducibles matches the decomposition of Dyn(R) into
connected components, and Aut(R)/ W(R)

Aut(Dyn R).
4.6
Classification of root systems
We begin with what will turn out to be a complete list of examples of reduced
root systems, following [Lie46 , VI 4]. For some of the more complicated root
systems (e.g. E8 ) we only give the associated Dynkin diagram. When drawing
Dynkin diagrams, if f (i, j) > 1, we place an inequality sign > over the arrows from
i to j. For example, if f (i, j) = 2, we put i j.
P
Example 4.6.1 (type An , n > 1). Let n > 1. Let V = {x Rn+1 :
xi = 0},
and give Rn+1 the standard basis e1 , . . . , en+1 and standard inner product h, i.
The root system An V is
An = {ei ej : i 6= j}.
Clearly An is finite and spans V . For each root , put
s (v) = v 2
hv, i
= v hv, i.
h, i
If i < j, then it is easy to check that

sei ej (a1 , . . . , an+1 ) = (a1 , . . . , aj , . . . , ai , . . . , an+1 )
(ai and aj swapped)
For all , An , one has s () = h, i, and h, i {0, 1, 2}, so An

is indeed a root system. It is clearly reduced. The group W(An ) is generated by
all linear transformations of the form swap ith and jth coordinates. Thus we
can identify W(An ) with the set of permutation matrices in GL(V ). Note that the
standard inner product h, i on V is W -invariant. The Dynkin diagram of An is
(n vertices).
.
Example 4.6.2 (type A1 A1 ). This root system lives inside V = R2 and R =

{(, 0), (0, )}. We draw it as:
48
The Dynkin diagram of A1 A1 is a disjoint union of two points.
Example 4.6.3 (type A2 ). This root system can be drawn as living in R2 with the
standard metric. It looks like:
The roots lie on the unit circle and at multiples of the angle /3. The Dynkin
diagram is
.
.
Example 4.6.4 (type Bn , n > 2). Let V = Rn and the roots be {ei } {ei ej :
i < j}. The Dynkin diagram of Bn is
(n vertices).
.
2
Example 4.6.5 (type B2 ). This root system lives in R , and looks like
The Dynkin diagram Dyn(B2 ) is
Example 4.6.6 (type Cn , n > 2). The ambient vector space is V = Rn , and the
set of roots is {2ei } {ei ej : i < j}. The Dynkin diagram is
(n vertices).
.
49
Example 4.6.7 (type Dn , n > 4). The ambient vector space is V = Rn , and the
set of roots is {ei } {ei ej : i < j}. The Dynkin diagram is
(n vertices).
Example 4.6.8 (type E6 ). The space V is the subspace of R8 consisting of vectors

x such that x6 = x7 = x8 . The roots are {ei ej : i < j 6 5}, together with all
!
5
X
1
(i)
(1) ei ,
e8 e7 e6 +
2
i=1
where
(i) is even. The Dynkin diagram is
Example 4.6.9 (type E7 ). Here V is the hyperplane in R8 orthogonal to e7 + e8 .

The set of roots is {ei ej : i < j 6 6} {(e7 e8 )}, together with all
!
6
X
1
(1)(i) ei ,
e7 e8 +
2
i=1
where
(i) is odd. The Dynkin diagram is
Example 4.6.10 (type E8 ). The vector space is R8 , and the set of roots consists
P8
P
of {ei ej : i < j}, together with all 12 i=1 (1)(i) ei for which
(i) is even.
The Dynkin diagram is
50
Example 4.6.11 (type F4 ). The space is R4 , the set of roots is {ei } {ei ej :
e < i}, together with 12 (e1 e2 e3 e4 ). The Dynkin diagram is
Example 4.6.12 (type G2 ). This is one of the exceptional root systems. It lives
inside R2 and looks like:
The inner collection of roots is a copy of A2 . The outer collection has radius
and is rotated by /6. The Dynkin diagram of G2 is V .
3,
.
It is possible to classify the Dynkin diagrams of irreducible reduced root systems.

Theorem 4.6.13. Let R be an irreducible reduced root system, D = Dyn(R). Then
D is a unique one of:
An (n > 1)
Bn (n > 2)
Cn (n > 3)
Dn (n > 4)
E6 , E7 , E8
F4
G2
Proof. This is [Lie46 , VI 4.2 th.3].
From the examples in [Mil14, Ch.23], we see that we can obtain all the infinite
families of root systems from algebraic groups:
group
SL(n + 1)
SO(2n + 1)
Sp(2n)
SO(2n)
root system
An
Bn
Cn
Dn
51
Automorphisms of a reductive group will be classified by automorphisms of the

corresponding root system. So we will make use of the following table:
root system
A1
An (n > 2)
Bn
Cn
D4
Dn (n > 5)
E6
E7 , E8 , F4 , G2
4.7
outer automorphisms
1
Z/2
1
1
S3
Z/2
Z/2
1
Orthogonal and symplectic groups
In Example 4.5.1, we showed that the root system of SL(n + 1) has type An . Here,
we work out the root systems of Sp(2n) and SO(2n). Our computations will work
over any field k of characteristic zero, so we will tacitly exclude k from the notation.
Example
4.7.1

(Orthogonal). Write 1n for the identity n n matrix, and let
1n
J=
. We define
1n
O(2n) = {g GL(2n) : t gJg = J}
SO(2n) = O(2n) SL(2n).
This is not
P the same as our definition in Example 1.4.3, in which we used the pairing
hx, yi = xi yi . The problem is, the definition in that example does not give a split
group, i.e. there is no split maximal torus. The basis

1
1
1
1
,
, ,
2
2
2
2
realizes an isomorphism betweenSO(2n)
and {g SL(2n) : t g g = 1}, but only
after base change to the field Q( 2, 2).

It is easy to verify that

a
b
t
t
so2n =
:
a,
b,
c
M
and
b
=
b,
c
=
c
.
n
c ta
For a tuple = (1 , . . . , n ) Gnm , write
diag () = diag(1 , . . . , n , 11 , . . . , 1
n ).
Let T = {diag
: Gnm }; since ZSO(2n) (T ) = T , this is a maximal torus. Clearly
L
X (T ) =
Zi , where each character i is defined by i (diag ()) = i .
52
Let t = Lie(T ). For any i, j, let ei,j be the matrix with a 1 in the (i, j) entry and
0 elsewhere. For t T and x so2n , we compute:
x
if x t
ii
(i j )(t) x
if x =
and i 6= j
eii
!
ad(t)(x) =
eij eji
(i + j )(t) x
if x =
and i < j
and i < j
(i j )(t) x if x =
eij eji
Thus the set of roots is {i j : i 6= j} X (T )R . This recovers the root
system Dn = {ei ej : i 6= j} Rn of Example 4.6.7. A basis of Dn is
{e1 e2 , . . . , en2 en1 , en1 en , en1 + en }.
.

1
Example 4.7.2 (Symplectic). This time, let J =
. Recall the definitions:
1
GSp(2n) = {g GL(2n) : t gJg = J}
Sp(2n) = GSp(2n) SL(2n).
One can check that
sp(2n) = Lie(Sp2n ) = {x gl(2n) : t xJ + J t x = 0}

a
b
t
=
: a, b, c Mn and b = b .
c ta
If we define diag as in Example 4.7.1, then the group Sp(2n) has a maximal
torus T = {diag () : Gnm }. The group X (T ) has basis {1 , . . . , n }, where
i (diag ()) = i . Put t = Lie(T ). For t T , x sp2n , we have
if x t
x
!
eii
( j )(t) x
if x =
and i 6= j
i
eii
!
ad(t)(x) =
eij + eji
(i + j )(t)x
if x =
and i 6 j
and i 6 j
(i j )(t) x if x =
eij + eji
It follows that the set of roots is
{i j : i 6= j} {2i } X (T ).
This recovers the root system Cn = {ei ej : i 6= j}{2ei } Rn of Example 4.6.6.
A base for Cn is {e1 e2 , . . . , en1 en , 2en }.
.
53
? Both SO(2n) and Sp(2n) are special cases of a more general construction that
starts with an arbitrary algebra with involution. We follow [Ber10, VIII.21]. Let k
be an arbitrary field of characteristic not 2. An algebra with involution over k is a
(possibly non-commutative) k-algebra R together with an anti-involution : R R.
t
1
The main examples are
R = M2n (k)and (x)= x for some invertible matrix
1n
1n
, especially either
or
.
1n
1n
Let (R, ) be an algebra with involution. The group of similitudes of R is the
functor Sim(R) from k-algebras to groups, defined by
Sim(R, )(A) = {r (R k A) : r(r) A }.
Similarly, the group of isometries of R is the functor
Iso(R, )(A) = {r (R k A) : r(r) = 1}.
Substituting in Mn (k) with an orthogonal or symplectic involution recovers the
special orthogonal and symplectic groups. ?
4.8
Classification of split semisimple groups
Let k be a field of characteristic zero. Recall that an algebraic group G/k is said to be
split if there is a maximal torus T G which is split. We will use our classification
of root systems to classify split semisimple groups over k.
Definition 4.8.1. A homomorphism f : G H of algebraic groups is an isogeny if
1. f is surjective, and
2. ker(f ) is finite.
In characteristic p, one has to be very careful, as a lot of nice properties of
isogenies fail to hold. For example, in characteristic zero ker(f ) is a finite normal
subgroup of G, hence G acts on ker(f ) by conjugation. If G is connected, this action
must be trivial, so ker(f ) Z(G). Thus, in characteristic zero, all isogenies are
central.
Definition 4.8.2. Two semisimple groups G/k , H/k are isogenous if there is a
semisimple group J/k with isogenies J G, J H.
It is not obvious, but being isogenous is an equivalence relation.
Theorem 4.8.3. Let k be an algebraically closed field of characteristic zero. Then
G 7 R(G, T ) induces a bijection between the set of isogeny classes of connected
semisimple groups and isomorphism classes of reduced root systems.
Proof. This follows from [Mil14, 23.14-15].
Unfortunately, we cannot substitute isomorphism for isogeny in the statement
of this theorem.
54
Example 4.8.4. Work in characteristic zero, and let PGL(n) = GL(n)/ Z(GL(n)).
Then PGL(n) and SL(n) have the same root systems. Moreover, the sequence
1 n SL(n) PGL(n) 1 is exact. So SL(n) and PGL(n) are isogenous but
one can check that they are not isomorphic.
.
The way we have defined isogenous as a relation on semisimple groups, it is
not obvious that the relation is transitive. It turns out that the isogeny class of G
contains two distinguished groups denoted Gad and Gsc . The first, Gad = G/ Z(G)
is obviously isogenous to G via the quotient map G Gad . By [Mil14, 21.38],
there is also an initial isogeny Gsc G. One calls Gad the adjoint form of G,
and Gsc the simply connected form of G. They (tautologically) fit into a sequence
Gsc G Gad of isogenies. So we could have said that two semisimple groups G
and H are isogenous if and only if Gsc ' H sc .
If we want to classify connected semisimple groups up to isomorphism, we need
a finer invariant than the root system, namely the root datum. Well cover root data
in more detail in subsection 5.1. For now, all we need is that a root datum can be
given by a reduced root system R V together with a group Q(R) X P (R).
Recall that if R V , we define
Q(R) = Z R V

2hx, i
Z for all R
P (R) = x V :
h, i
(root lattice)
(weight lattice).
The letter P for weight lattice is possibly inspired by the French word poid for
weight.
Let G be a semisimple group, T G a maximal torus. Let R = R(G, T ) X (T ).
The inclusion R X (T )R is a root system. Put X = X (T ); then Q(R) X
P (R). The quotient group P (R)/Q(R) is finite, so there are only finitely many
possibilities for X.
The group G is simply connected if and only if X = P (R), and adjoint if and only
if X = Q(R). We already know that each isogeny class has a unique simply connected
simply connected (resp. adjoint) group. Intermediate quotients Gsc G Gad will
correspond to quotients of the group 1al (Gad ) = P (R)/Q(R).
Example 4.8.5. Start with Sp(2n). Let T be as in Example 4.7.2. Recall that
X (T ) has basis {1 , . . . , n }, where i (diag ()) = i . We showed that the set of
roots is
{i j : i 6= j} {2i } X (T ).
Now let G = Sp(2n)/{1}; this contains a maximal torus T /{1}. Note that
X (T / 1) , X (T ); the image consists of those X (T ) : (1) = 1}. This is
Z R, so Sp(2n)/{1} = Sp(2n)ad , as we already knew from Z(Sp2n ) = 2 . It turns
out that Sp(2n) is simply connected.
.
The following table is a complete list of the possible isomorphism classes of
almost simple algebraic groups over an algebraically closed field of characteristic zero.
Recall that an algebraic group is almost simple if its only normal proper subgroups
are finite.

R
An (n > 1)
Bn (n > 2)
Cn (n > 3)
Dn (n odd)
Dn (n even)
G2
F4
E6
E7
E8
P/Q
Z/(n + 1)
Z/2
Z/2
Z/4
Z/2 Z/2
1
1
Z/3
Z/2
1
Gsc
SLn+1
Spin2n+1
Sp2n
Spin2n
Spin2n
G2
F4
(E6 )sc
(E7 )sc
E8
Gad
SLn+1 /n+1
SO2n+1
Sp2n /2
SO2n /2
SO2n /2
G2
F4
(E6 )ad
(E7 )ad
E8
55
groups in between
SLn+1 /d , d | n + 1
SO2n
SO2n , HSpin2n
Q
Let G be a simply connected semisimple group over k. Then G ' Gi , where
each Gi is simply connected and almost simple. Each of the Gi will be one of:
SL(n + 1), Spin(n), Sp(2n), G2 , F4 , (E6 )sc , (E7 )sc , E8 .
Here, we call an algebraic group G almost simple if all closed normal subgroups N
are either trivial (in the sense
Q that N = 1 or N = G) or finite. Similarly, if G is an
adjoint group, then G ' Gi in which each Gi is a simple adjoint group.
Example 4.8.6. The group G = SL(2) SL(2) has an (obvious) decomposition
into almost simple factors. We have Z(G) = 2 2 . So the quotients of G are:
G, G/(2 1), G/(1 2 ), G/(2 ), G/(2 2 ).
The group SL(2)(SL(2)/2 ) is neither adjoint nor simply connected. Here (2 ) =
{(x, x) : x 2 }. The group G/(2 ) does not have a product factorization. It
is (obviously) a quotient of SL(2) SL(2), but is not directly isomorphic to any
H1 H2 for positive-dimensional Hi .
.
Example 4.8.7. Let A be a finite abelian group. We can write A = Z/d1 Z/dn .
Then GA = SL(d1 ) SL(dn ) has Z(GA ) ' A. So all finite abelian groups arise
as centers of semisimple algebraic groups.
.
Reductive groups
Let k be an algebraically closed field of characteristic zero. Let G/k be a reductive

group, i.e. Ru G = 1. A good example is GL(n). We could like to determine G
up to isomorphism via some combinatorial data. Let T G be a maximal torus.
Better, let G/k be a split reductive group and k arbitrary of characteristic zero. Let
X = X (T ). We have the adjoint representation ad : G GL(g). Just as before,
we can write
M
g = g0
g ,
R
where g = {x g : tx = (t)x for all t} and R = { X r 0 : g 6= 0}.
56
Note that R XR need not be a root system, since R may only span a proper
subspace of XR . For example, if G is itself a torus, then R = . However,
R V XR , where V = R R, is a root system, and it determines the semisimple
group G/RG up to isogeny. The datum R X is not in general enough to
determine G.
Let X (T ) = hom(Gm , T ). There is a perfect pairing (composition) X (T )
X (T ) Z = hom(Gm , Gm ). Here h, i is the integer n such that is
()n . From G well construct a root datum, which will be an ordered quadruple
(X (T ), R(G, T ), X (T ), R(G,
T )). Before doing this, well define root data in general.
5.1
Root data
The following definitions are from [SGA 3III , XXI]. A dual pair is an ordered pair
where X and X
are finitely generated free abelian groups, together with a
(X, X),
Z that induces an isomorphism X
' X = hom(X, Z). Let
pairing h, i : X X
be a dual pair, and suppose we have two elements X,
Define the
(X, X)
X.
reflections s and s by
s (x) = x hx,
i
s (x) = x h, xi
.
R),
Definition 5.1.1. A root datum consists of an ordered quadruple (X, R, X,

such that
is a dual pair.
(X, X)
X
are finite sets,
R X and R
There is a specified mapping 7

from R to R.
These data are required to satisfy the following conditions:
1. For each R, h,
i = 2.
R.
2. For each R, s (R) R and s (R)

are closed under
It turns out that 7
is a bijection, and that R and R
R)
is a root datum, the Weyl group of R is the group
negation. If R = (X, R, X,
W(R) GL(X) generated by {s : R}. By [SGA 3III , XXI 1.2.8], the Weyl
group of a root datum is finite.
1, R
1 ) and R2 = (X2 , R2 , X
2, R
2 ) be root
Definition 5.1.2. Let R1 = (X1 , R1 , X
data. A morphism f : R1 R2 consists of a linear map f : X1 X2 such that
1. f induces a bijection R1
R2 ,

2 X
1 induces a bijection R
2
2. The dual map f : X
R1 .
R)
be a root datum. We say R is reduced if
Definition 5.1.3. Let R = (X, R, X,
for any R, the only multiples of in R are .
57
Just as with root systems, there is a notion of a base for root data. If N Q
and S X, we write N S for the subset of XQ generated as a monoid by
{ns : (n, s) N S}. We call a root R indivisible if there does not exist any
R for which = n for some n > 1, i.e. Q+ R = {}.
R)
be a root system. A subset R is a
Definition 5.1.4. Let R = (X, R, X,
base if it satisfies any of the following conditions (reproduced from [SGA 3III , XXI
3.1.5]):
1. All are indivisible, and R Q+ Q .
2. The set is linearly independent, and R N Z .
P
3. Each R can be written uniquely as R m , where all m Z and
have the same sign.
If R is a base, write R+ = N for the set of positive roots and R = Z
for the set of negative roots. One has R = R+ t R , and R = R+ .
Write RtDt for the category of root data. There is a contravariant functor
R,
X, R).
R)
to R = (X,
: RtDt RtDt which sends a root datum R = (X, R, X,
This is clearly an anti-equivalence of categories. We will use this later to define the
will be a
dual of a split reductive group. If G/k is a split reductive group, then G
split reductive group scheme over Z, whose root datum is R(G, T ) .

Well write RtDtred for the category of reduced root data.
Example 5.1.5. Let R V be a root system. As in subsection 4.8, we have
lattices Q(R) V (R) V . Choose a W -invariant inner product h, i on V . Given
Q X P , we can define a root datum as follows:
X=X
R=R
= {v V : h, vi Z for all R}
X

2
=
R
:R .
h, i
It is easy to check that this satisfies the required properties.
For a classification of reduced simply connected root systems, see [SGA 3III ,
XXI 7.4.6].
5.2
Classification of reductive groups
Let k be a field of characteristic zero, G/k a (connected) split reductive group. Let
T G be a split maximal torus. The rank of G is the integer r = rk(G) = dim(T ).
Let g = Lie(G). As we have seen many times before, we can decompose g as a
representation of T :
M
g=t
g ,
R
58
where t = Lie(T ), R = R(G, T ) is the set of roots of G, and g is the -typical

component of g. Recall that the Weyl group of G is W(G, T ) = NG (T )/ CG (T ). By
[SGA 3II , XII 2.1], the Weyl group is finite.
A good source for what follows is [Jan03, II.1]. Let : T Gm be a root,
and put T = (ker ) ; this is a closed (r 1)-dimensional subgroup of T . Let
G = CG (T ); by Theorem 4.4.8, this is reductive. One has Z(G ) = T . From
the embedding G , G, we get an embedding of Lie algebras Lie(G ) , g. By
[SGA 3III , IX 3.5], one has
Lie(G ) = t g g
and g , g are both one-dimensional. In classical Lie theory, we could define
U = exp(g ). Since the exponential map does not make sense in full generality, we
need the following result. Recall that we interpret the Lie algebra of an algebraic
group as a new algebraic group.
Theorem 5.2.1. Let T act on G via conjugation. Then there is a unique T equivariant closed immersion u : g , G which is also a group homomorphism.
Proof. This is [SGA 3III , XXII 1.1.i].
We let U be the image of u . Since g is one-dimensional, it is isomorphic to
Ga as a group scheme. So we will generally write u : Ga

U G. The fact
that u is T -equivariant comes down to:
tu (x)t1 = u ((t)x)
t T, x Ga .
The group G is generated by T , U by Lie algebra considerations. So the group

G is generated by T and {U : R}.
Example 5.2.2 (type An ). Inside SL(n + 1), the maximal torus T consists of
diagonal matrices diag(t) = diag(t1 , . . . , tn+1 ) for which t1 tn+1 = 1. The group
X (T ) is generated by the characters i (diag(t)) = ti . The roots are {i j : i 6= j}.
For such a root, one can verify that G = CG (T ) consists of matrices of the form
(gab ) for which gab = ab unless a = b = i, a = b = j, or (a, b) = (i, j). So
G ' SL(2). It follows that U = 1 + Ga eij . Note that indeed, SL(n + 1) is
generated by {U : R} and T .
.
Back to our general setup T G G. We can consider the small Weyl
group W(G , T ) W(G, T ). Since rk(G / Z(G ) ) = 1, we have W(G , T ) = Z/2.
Let s be the unique generator of W(G , T ). It is known that W = W(G, T ) is
generated by {s : R}. The group W acts on X (T ). Indeed, if w W , we have
w = n for some n NG (T ). Define (w )(t) = (n 1 tn).
Recall that X (T ) = hom(Gm , T ). There is a natural pairing X (T )X (T ) Z,

for which h, i is the unique n such that is t 7 tn . That is, ((t)) = th,i .
This pairing induces an isomorphism X (T ) ' X (T ) .
Theorem 5.2.3. Let R. Then there exists a unique
X (T ) such that
s (x) = x hx,
i for all x X (T ). Moreover, h,
i = 2.
59
Proof. This is [SGA 3III , XXII 1.1.ii].
Equivalently, s () = . We put R(G,

T ) = {
: R}. The quadruple
R(G, T ) = (X (T ), R(G, T ), X (T ), R(G,

T ))
is the root datum of G; it will determine G up to isomorphism (not just isogeny).
In defining coroots, we could also have used the fact that Z(G ) = T , which
implies T /T , G /T is a maximal torus of dimension 1. So the group G /T is
semisimple, and has one-dimensional maximal torus. Its Dynkin diagram has type
A1 , so G /T is either SL(2) or PGL(2).
Definition 5.2.4. Let k be a field, G/k a split reductive group. A pinning of G
consists of the following data:
1. A maximal torus T G.
2. An isomorphism T
D(M ) for some free abelian group M .
3. A base R(G, T ).
4. For each , a non-zero element X g .
If G1 , G2 are pinned reductive groups, a morphism f : G1 G2 is said to be
compatible with the pinnings if f (T1 ) = f (T2 ), f induces a bijection (written f )
R1
R2 , and such that
f (u (X1, )) = uf (X2,f ).
Let RdGppinn
be the category of split reductive groups over k with pinnings. We
/k
R)
to be the choice of a base
can define a pinning of a root system R = (X, R, X,
red,pinn
R. Let RtDt
be the category of pinned reduced root data. The following
combines the existence and uniqueness theorems in the classification of reductive
groups.
Theorem 5.2.5. The operation G 7 R(G, T ) induces an equivalence of categories
RdGppinn
RtDtred,pinn .
/k
Proof. See [SGA 3III , XXIII 4.1] for a proof that R is fully faithful, [SGA 3III , XXV
2] for a proof of essential surjectivity.
5.3
Chevalley-Demazure group schemes
In Theorem 5.2.5, we classified split reductive groups over an arbitrary field. It turns
out that the classification works over an arbitrary (non-empty) base scheme. More
precisely, let S be a scheme, G/S a smooth affine group scheme of finite type. We
say G is reductive if each geometric fiber Gs is reductive. A maximal torus in G is a
subgroup scheme T G of multiplicative type such that for all s S, the geometric
60
fiber Ts Gs is a maximal torus. Suppose there exists an abelian group M with an

embedding D(M )/S , GLwhose image is a maximal torus. Just as before, there is
a decomposition g = t
g , except now g (and the g ) is a locally free sheaf on
S. We say that G is split if the following conditions hold:
1. Each g is a free OS -module.
2. Each root (resp. each coroot
) is constant, i.e. induced by an element of M
(resp. M ).
Given the obvious notion of pinned reductive group over S, the classification result
in Theorem 5.2.5 actually gives an equivalence of categories
RdGppinn
RtDtred,pinn .
/S
In particular, for each reduced root datum R, there is a reductive group scheme GR/Z
with root datum R, such that for any scheme S, the unique (up to isomorphism)
reductive group scheme with root datum R is the base-change GR/S = (GR/Z )S .
In particular, if k is a field, the unique split reductive k-group with root datum R is
GR/k . One calls GR/Z the Chevalley-Demazure group scheme of type R.
Special topics
6.1
Borel-Weil theorem1
Let k be a field of characteristic zero, G/k an algebraic group. We write Mod(G)

for the category whose objects are (not necessarily finite-dimensional) vector spaces
V together with : G GL(V ). Here, GL(V ) is the fppf sheaf (not representable
unless V is finite-dimensional) S 7 GL(VO(S) ). The action action of G on itself by
multiplication induces an action of G on the (k-vector spaces) O(G), which is not
finite-dimensional unless G is finite. By [Jan03, I 3.9], the category Mod(G) has
enough injectives; this enables us to define derived functors in the usual way.
Let H G be an algebraic subgroup. There is an obvious functor resG
H :
Mod(G) Mod(H) which sends (V, : G GL(V )) to (V, |H ). It has a right
adjoint, the induction functor, determined by
G
homG (V, indG
H U ) = homH (resH V, U ).
We are especially interested in this when U is finite-dimensional, in which case we

have
1
indG
f (g) for all g G}.
H U = {f : G V(U ) : f (gh) = h
Since the induction functor is a right adjoint, it is left-exact, so it makes sense to
talk about its derived functors R indG
H . It turns out that these can be computed
as the sheaf cohomology of certain locally free sheaves on the quotient G/H. Let
1 Balazs
Elek
61
: G G/H be the quotient map; for a representation V of H, define an OG/H module L (V ) by

L (V )(U ) = (V O( 1 U ))G .
By [Jan03, I 5.9], the functor L () is exact, and sends finite-dimensional representations of H to coherent OG/H -modules. Moreover, by [Jan03, I 5.12] there is a
canonical isomorphism
R indG
H V = H (G/H, L (V )).
()
In general, both the vector spaces in () will not be finite-dimensional. However,

if G/H is proper, then finiteness theorems for proper pushforward [EGA 3I , 3.2.1]
tell us that H (G/H, F ) is finite-dimensional whenever F is coherent. So we can use
Ri indG
H to produce finite-dimensional representations of G from finite-dimensional
representations of H.
Note: for the remainder of this section, representation means finite-dimensional
representation, while module means possibly infinite-dimensional representation.
Let G/k be a split reductive group, B G a Borel subgroup and T B a
maximal torus. Let N = Ru B; one has B ' T o N . In particular, we can extend
X (T ) to a one-dimensional representation of B by putting (tn) = (t) for
t T, n N.
Theorem 6.1.1. Every irreducible representation of G is a quotient of indG
B for
a unique X (T ).
Proof. Let V be an irreducible representation of G. The group B acts on the
projective variety P(V ); by 4.1.5 there is a fixed point v, i.e. resG
B V contains
a one-dimensional subrepresentation. This corresponds to a B-equivariant map
, resG
B V for some X (T ). By the definition of induction functors, we get a
G
nonzero map indB V . Since V is simple, it must be surjective. Uniqueness of
is a bit trickier.
One calls the highest weight of V . A natural question is: for which is
G
indG
B irreducible? By [Jan03, II 2.3], indB (if nonzero) contains a unique simple
subrepresentation, which we denote by L().
Recall that our choice of Borel B T induces a base S R(G, T ) X (T ).
We put an ordering on X (T ) by saying that 6 if N S. It is known
that there exists w0 W = W(G, T ) such that w0 (R+ ) = R . Finally, the set of
dominant weights is:
X (T )+ = { X (T ) : h,
i > 0 for all R+ }.
We can now classify irreducible representations of G.
Theorem 6.1.2. Any irreducible representation of G is of the form L() for a
unique X (T )+ .
Proof. This is [Jan03, II 2.7].
62
The Borel-Weil theorem completely describes R indG

B () for dominant . First
we need some definitions. If w W , the length of w, denoted l(w), is the minimal n
such that w can be written
Pas a product s1 sn of simple reflections. Let S be a
set of simple roots, = 21 R+ . The dot action of W on character is:
w = w( + ) .
Define
C = { X (T ) : h + ,
i for all R+ }.
It turns out that all X (T ) are of the form w 1 for some 1 C. Thus the
following theorem describes R indG
B for all .
/ X (T )+ , then R indG
Theorem 6.1.3 (Borel-Weil). Let C. If c
B (w ) = 0
for all w W . If X (T )+ , then for all w W ,

(
L() i = l(w)
G
Ri indB (w ) =
0
otherwise
Proof. This is [Jan03, II 5.5].
Putting w = 1, we see that indG
B () = L().
6.2
Tannakian categories
Throughout, k is an arbitrary field of characteristic zero. We will work over k, so

all maps are tacitly assumed to be k-linear and all tensor product will be over k.
Consider the following categories.
For G/k an algebraic group, the category Rep(G) has as objects pairs (V, ), where
V is a finite-dimensional k-vector space and : G GL(V ) is a homomorphism of
k-groups. A morphism (V1 , 1 ) (V2 , 2 ) in Rep(G) is a k-linear map f : V1 V2
such that for all k-algebras A and g G(A), one has f 1 (g) = 2 (g)f , i.e. the
following diagram commutes:
V1 A
1 (g)
V1 A
V2 A
2 (g)
V2 A.
Example 6.2.1 (Representations of a Hopf algebra). Let H be a co-commutative

Hopf algebra. The category Rep(H) has as objects H-modules that are finitedimensional over k, and morphisms are k-linear maps. The algebra H acts on a
tensor product U V via its comultiplication : H H H.
.
Example 6.2.2 (Representations of a Lie algebra). Let g be a Lie algebra over k.
The category Rep(g) has as objects g-representations that are finite-dimensional as
a k-vector space. There is a canonical isomorphism Rep(g) = Rep(Ug), where Ug is
the universal enveloping algebra of g.
.
63
Example 6.2.3 (Continuous representations of a compact Lie group). Let K be a

compact Lie group. The category RepC (K) has as objects pairs (V, ), where V is a
finite-dimensional complex vector space and : K GL(V ) is a continuous (hence
smooth, by Cartans theorem) homomorphism. Morphisms (V1 , 1 ) (V2 , 2 ) are
K-equivariant C-linear maps V1 V2 .
.
Example 6.2.4 (Graded vector spaces). Consider the category whose objects are
finite-dimensional
k-vector spaces V together with a direct sum decomposition
L
V =
nZ Vn . Morphisms U V are k-linear maps f : U V such that
f (Un ) Vn .
.
Example 6.2.5 (Hodge structures). Let V be a finite-dimensional
LR-vector space.
A Hodge structure on V is a direct sum decomposition VC =
Vp,q such that
Vp,q = Vq,p . If U, V are vector spaces with Hodge structures, a morphism U V is
a R-linear map f : U V such that f (Up,q ) Vp,q . Write Hdg for the category of
vector spaces with Hodge structure.
.
Let Vect(k) be the category of finite-dimensional k-vector spaces. For C any of
the categories above, there is a faithful functor : C Vect(k). In our examples,
it is just the forgetful functor. The main theorem will be that for = Aut(), the
functor induces an equivalence of categories C

Rep(). We proceed to make
sense of the undefined terms in this theorem.
Our definitions follow [DM82]. As before, k is an arbitrary field of characteristic
zero.
Definition 6.2.6. A k-linear category is an abelian category C such that each V1 , V2 ,
the group hom(V1 , V2 ) has the structure of a k-vector space in such a way that the
composition map hom(V2 , V3 ) hom(V1 , V2 ) hom(V1 , V3 ) is k-linear. For us, a
rigid k-linear tensor category is a k-linear category C together with the following
data:
1. An exact faithful functor : C Vect(k).
2. A bi-additive functor : C C C.
3. Natural isomorphisms (V1 V2 )

(V1 ) (V2 ).
4. Isomorphisms V1 V2
V2 V1 for all Vi C.
5. Isomorphisms (V1 V2 ) V3
V1 (V2 V3 )
These data are required to satisfy the following conditions:
1. There exists an object 1 C such that (1) is one-dimensional and such that
the natural map k hom(1, 1) is an isomorphism.
2. If (V ) is one-dimensional, there exists V 1 C such that V V 1 ' 1.
3. Under , the isomorphisms 3 and 4 are the obvious ones.
64
By [DM82, Pr. 1.20], this is equivalent to the standard (more abstract) definition.
Note that all our examples are rigid k-linear tensor categories. One calls the functor
a fiber functor.
Let (C, ) be a rigid k-linear tensor category. In this setting, define a functor
Aut() from k-algebras to groups by setting:
Aut ()(A) = Aut ( : C A Rep(A))
(
Y
= (gV )
GL((V ) A) :
V C
gV1 V2 = gV1 gV2 , and

f gV1 = gV1 f for all f, V1 , V2
)
.
In other words, an element of Aut()(A) consists of a collection (gV ) of A-linear
automorphisms gV : (V ) A
(V ) A, where V ranges over objects in C. This
collection must satisfy:
1. g1 = 1(1)
2. gV1 V2 = gV1 gV2 for all V1 , V2 C, and
3. whenever f : V1 V2 is a morphism in C, the following diagram commutes:
(V1 )A
gV1
(V1 )A
(V2 )A
gV2
(V2 )A .
Typically one only considers affine group schemes G/k that are algebraic, i.e. whose
coordinate ring O(G) is a finitely generated k-algebra, or equivalently that admit
a finite-dimensional faithful representation. Let G/k be an arbitrary affine group
scheme, V an arbitrary representation of G over k. By [DM82, Cor. 2.4], one
has V = lim Vi , where Vi ranges over the finite-dimensional subrepresentations
of V . Applying this to the regular representation G GL(O(G)), we see that

O(G) = lim O(Gi ), where Gi ranges over the algebraic quotients of G. That is,
an arbitrary affine group scheme G/k can be written as a filtered projective limit
G = lim Gi , where each Gi is an affine algebraic group over k. So we will speak of
pro-algebraic groups instead of arbitrary affine group schemes.

If V is a finite-dimensional k-vector space and G = lim Gi is a pro-algebraic
k-group, representations G GL(V ) factor through some algebraic quotient Gi .

That is, hom(G, GL(V )) = lim hom(Gi , GL(V )). As a basic example of this, let
be a profinite group, i.e. a projective limit of finite groups. If we think of as a

pro-algebraic group, then algebraic representations GL(V ) are exactly those
representations that are continuous when V is given the discrete topology.
First, suppose C = Rep(G) for a pro-algebraic group G, and that : Rep(G)
Vect(k) is the forgetful functor. Then the Tannakian fundamental group Aut ()
carries no new information [DM82, Pr. 2.8]:
Theorem 6.2.7. Let G/k be a pro-algebraic group, : Rep(G) Vect(k) the
forgetful functor. Then G

Aut (G).
65
The main theorem is the following, taken essentially verbatum from [DM82,
Th. 2.11].
Theorem 6.2.8. Let (C, , ) be a rigid k-linear tensor category. Then = Aut ()
is represented by a pro-algebraic group, and : C Rep() is an equivalence of
categories.
Often, the group 1 (C) is too large to handle directly. For example, if C
contains infinitely many simple objects, probably 1 (C) will be infinite-dimensional.
For V C, let C(V ) be the Tannakian subcategory of C generated by V . One
puts 1 (C/V ) = 1 (C(V )). It turns out that 1 (C/V ) GL(V ), so 1 (C/V ) is
finite-dimensional. One has 1 (C) = lim 1 (C/V ).
Example 6.2.9 (Pro-algebraic groups). If G/k is a pro-algebraic group, then

Theorem 6.2.7 tells us that if : Rep(G) Vect(k) is the forgetful functor, then
G = Aut (G). That is, G = 1 (RepG).
.
Example 6.2.10 (Hopf algebras). Suppose H is a co-commutative Hopf algebra
over k. Then 1 (RepH) = Spec(H ), where H is the reduced dual defined in [Car07].
Namely, for any k-algebra A, A is the set of k-linear maps : A k such that
(a) = 0 for some two-sided ideal a A of finite codimension. The key fact here is
that (A B) = A B , so that we can use multiplication m : H H H to
define comultiplication m : H (H H) = H H . From [DG80, II 6 1.1], if
G is a linear algebraic group over an algebraically closed field k of characteristic zero,
we get an isomorphism O(G) = k[G(k)] U(g). Here k[G(k)] is the usual group
algebra of the abstract group G(k), and U(g) is the universal enveloping algebra of
g = Lie(G), both with their standard Hopf structures.
.
[Note: one often calls O(G) the space of distributions on G. If instead G is a
real Lie group, then one often writes H (G) for the space of distributions on G. Let
K G be a maximal compact subgroup, M (K) the space of finite measures on K.
Then convolution D 7 D induces an isomorphism U(g) M (K)

H (G).
In the algebraic setting, k[G(k)] is the appropriate replacement for M (K).]
Example 6.2.11 (Lie algebras). Let g be a semisimple Lie algebra over k. Then
by [Mil07], G = 1 (Repg) is the unique connected, simply connected algebraic group
with Lie(G) = g. If g is not semisimple, e.g. g = k, then things get a lot nastier. See
the above example.
.
Example 6.2.12 (Compact Lie groups). By definition, the complexification of a
real Lie group K is a complex Lie group KC such that all morphisms K GL(V )
factor uniquely through KC GL(V ). It turns out that KC is a complex algebraic
group, and so 1 (RepK) = KC .
.
L
Example 6.2.13 (Graded vector spaces). To give a grading V = nZ Vn on a
vector space is equivalent to giving an action of the split rank-one torus Gm . On each
Vn , Gm acts via the character g 7 g n . Thus 1 (graded vector spaces) = Gm .
.
Example 6.2.14 (Hodge structures). Let S = RC/R Gm ; this is defined by S(A) =
(AC) for R-algebras A. One can check that the category Hdg of Hodge structures
is equivalent to RepR (S). Thus 1 (Hdg) = S.
.
6.3
66
Automorphisms of semisimple Lie algebras2
Let k be a field of characteristic zero, g a split semisimple Lie algebra over k. We

want to describe the group Aut(g). It turns out Aut(g) = Aut(Gsc ), where Gsc is
the unique simply connected semisimple group with Lie algebra g. We can give
Aut(g) the structure of a linear algebraic group by putting
Aut(g)(A) = Aut(gA ).
Clearly Aut(g) GL(g). Let t g be a maximal abelian subalgebra. Let R t
be the set of roots, S R a base of . We can define some subgroups of Aut(g):
Aut(g, t) = { Aut(g) : (t) = t}
Aut(g, t, S) = { Aut(g, t) : t (S) = S}.
Lemma 6.3.1. If Aut(g, t), then t (R) = R.
Proof. The definition of R is invariant under automorphisms of t.
Let Aut(R) be the set of automorphisms of the Dynkin diagram associated to R.
Lemma 6.3.2. The natural map : Aut(g, t, S) Aut(R) is surjective.
Proof. Choose, for each R, a non-zero element x g . The existence theorem
[Lie79 , VIII 4.4 th.2] tells us that to each automorphism of the Dynkin diagram
of R, there exists a unique Aut(g, t, S, {x }) inducing . Thus : Aut(t, t, S)
Aut(R) splits.
We want to describe the kernel of . Since g is semisimple, the adjoint map
g Der(g) = Lie(Aut g) is an embedding, and thus t

ad(t). Let T Inn(g) be
the subgroup with Lie algebra ad(t).
Lemma 6.3.3. ker() = T .
Proof. Clearly T ker(). Let ker(). For any R, we have x g for
some . For t t, we compute:
[t, x ] = [t, x ]
= [t, x ]
= (t)x ,
so = . Moreover, acts on g exactly like an element of t, so T .
Lemma 6.3.4. Aut(g) = Aut(g, t, S) Inn(g).
Proof. Use the well-known facts that all Cartan subalgebras of g are conjugate, and
that moreover the Weyl group acts transitively on sets of simple roots.
We have arrived at the main result.
Theorem 6.3.5. Aut(g) = Inn(g) o Aut(R). In particular, Out(g) = Aut(R).
This allows us to recover the table of automorphisms in subsection 4.6.
2 Sasha
Patotski
6.4
67
Exceptional isomorphisms3
Terence Taos blog post at http://terrytao.wordpress.com/2011/03/11/ is an

excellent reference for this section. From Theorem 4.8.3, we know that the set
of isogeny classes of split semisimple algebraic groups is the same as the set of
isomorphism classes of Dynkin diagrams. In Theorem 4.6.13, we classified the
Dynkin diagrams. In this classification, we just included, e.g. Dn for n > 4. If we
include all the Dn etc., the classification is no longer unique we have to account
for the exceptional isomorphisms
A1 ' B1 ' C1 ' D2 ' E1
B2 ' C 2
D 3 ' A3
D 2 ' A1 A1 .
The Dynkin diagram for D2 and A1 A1 is disconnected it is a disjoint union
of two points. Well explicitly construct the induced isogenies between algebraic
groups of different types.
Example 6.4.1 (A1 ' C1 ). Since Sp(2) = SL(2), there is nothing to prove.
Example 6.4.2 (A1 ' B1 ). Define a pairing on sl2 by hx, yi = tr(xy) (the Killing
form). One easily verifies that the adjoint action of SL(2) on sl2 preserves this
form. Moreover, a general theorem of linear algebra tells us that any non-degenerate
bilinear symmetric pairing on a three-dimensional vector space is isomorphic to
the orthogonal pairing. It follows that Aut(sl2 , h, i) ' O(3), at least over an
algebraically closed field. Since SL(2) is connected, ad(SL(2)) SO(3). A dimension
count tells us that SL(2)/2 ' SO(3). Again, this only works over an algebraically
closed field.
.
Example 6.4.3 (D2 ' A1 A1 ). We need to show that SO(4) and SL(2) SL(2)
are isogenous. Let std : SL(2) , GL(2) be the standard representation, and consider
the representation std std of SL(2) SL(2). There is an obvious bilinear form
form:
hu1 u2 , v1 v2 i = (u1 , v1 )(u2 , v2 ),
V2 2
where is the determinant pairing k 2 k 2
k ' k given by (x, y) 7 x y.
The group SL(2) SL(2) acts on std std by (g, h)(v w) = (gv) (gw). Thus we
have a representation SL(2) SL(2) GL(4). The image preserves h, i, hence (by
linear algebra) lies inside O(4), By connectedness and a dimension count, we see
that this is an isogeny SL(2) SL(2) SO(4).
.
6.5
Constructing some exceptional groups4
We roughly follow [SV00]. Let k be a field of characteristic not 2 or 3. Recall that if

V is a k-vector space and h, i : V V k is a symmetric bilinear form, we can
3 Theodore
4 Gautam
Hui
Gopal
68
define a quadratic form q : V k by q(v) = hv, vi. This correspondence is bijective;

we can go backwards via the familiar identity
hu, vi =
1
(q(u + v) q(u) q(v)).
2
Definition 6.5.1. A composition algebra is a pair (C, q), where C is a unital, notnecessarily associative k-algebra and q is a multiplicative non-degenerate quadratic
on C.
In other words, we require q(xy) = q(x)q(y) for all x, y C. Since by [SV00,
1.2.4], q is determined by the multiplicative strucure of C, we will just refer to a
composition algebra C. Write e for the unit of C. Every composition algebra comes
with a natural involution x 7 x
, defined by x
= hx, ei x.
Theorem 6.5.2. Let C be a composition algebra. Then dim(C) {1, 2, 4, 8}.
Proof. This is [SV00, 1.6.2].
We call an 8-dimensional composition algebra an octobian algebra. If C is an
octonian k-algebra, we define an algebraic group Aut(C) by putting
Aut(C)(A) = {g GL(C A) : g is a morphism of normed A-algebras},
for all (commutative, unital) k-algebras A. There is an obvious embedding Aut(C) ,
O(C, q).
Theorem 6.5.3. Let C be an octonian k-algebra. Then Aut(C) is a connected
algebraic group of type G2 .
Proof. We mean that after base-change to an algebraic closure of k, Aut(C) becomes
isomorphic to G2 . This is [SV00, 2.3.5].
If C is a composition algebra and = (1 , 2 , 3 ) (k )3 , we define a new
algebra HC, to be as a set the collection of matrices
z1
c3
11 3 c2
21 1 c3
ci k and zi k.
z2
c1
1
c2
3 2 c1
z3
Give HC, the product xy = 12 (x y + y x) and quadratic form q(x) =
1
2
tr(x2 ).
Definition 6.5.4. An Albert algebra is a commutative, non-unital, associative
k-algebra A such that A k is isomorphic to a k-algebra

of the form HC, for some
octobian algebra C and k .
If A is an Albert algebra, we can define an algebraic group Aut(A) just as above.
Theorem 6.5.5. If A is an Albert algebra, then Aut(A) is a connected simple
algebraic group of type F4 .
69
Proof. Put G = Aut(A). Call an element u A idempotent if u2 = u. It turns

out that if u is idempotent, then either u {0, e}, or q(u) {1/2, 1}. Call
the idempotents with q(u) = 1/2 primitive. Let V A be the set of primitive
idempotents; this is naturally a variety over k. It turns out that V is 16-dimensional
closed and irreducible and has a transitive G-action. For some v V , the group
Gv = StabG (v) is the spin group of a nine-dimensional quadratic form, so dim(Gv ) =
36. It follows that dim(G) = 16 + 36 = 52. Since Gv and V are irreducible, G is
connected. From the action of G on e A, we see that G is semisimple algebraic.
The only 52-dimensional semisimple algebraic group over an algebraically closed
field is F4 . For a more careful proof, see [SV00, 7.2.1].
It turns out that any group of type F4 can be obtained as Aut(A) for some
Albert algebra A. Consider the cubic form
det(x) = z1 z2 z3 31 2 z1 q(c1 ) 21 3 z2 q(c2 ) 21 1 z3 q(c3 ) + hc1 c2 , c3 i.
Let GL(A, det) be the subgroup of GL(A) consisting of those linear maps which
preserve det.
Theorem 6.5.6. Let A be an Albert algebra. Then GL(A, det) is a connected simple
algebraic group of type E6 .
Proof. This is [SV00, 7.3.2].
Unlike the case with groups of type F4 , not all groups of type E6 can be obtained
this way.
6.6
Spin groups5
The motivation for spin groups is as follows. Recall that up to isogeny, the simple
algebraic groups are SL(n), Sp(2n), SO(n), or one of the exceptional groups. Recall
that each isogeny class has two distinguished elements, the simply connected and
adjoint. For SO(n), we should expect there to be a simply connected group Spin(n) =
(Dn )sc , which is a double cover of SO(n).
Work over a field k of characteristic not 2. Let V be a k-vector space, q a
quadratic form on V . The Clifford algebra Cl(V, q) is the quotient of the tensor
algebra T (V ) by the ideal generated by {v v q(v) : v V }. There is an obvious
injection V , Cl(V, q), and k-linear maps f : V A into associative k-algebras
lift to f : Cl(V, q) A if and only if f (v)f (v) = q(v) for all v V . This univeral
property clearly characterizes Cl(V, q). For brevity, write Cl(V ) = Cl(V, q).
Example 6.6.1. Let V = R4 , q be the indefinite form of signature (3, 1), i.e. q(v) =
v12 + v22 + v32 + v42 . We write Cl(1,3) (R) for the Clifford algebra Cl(V, q); it has
presentation
Cl(1,3) (R) = Rhe1 , e2 , e3 , e4 i/(e21 = 1, e22 = e23 = e24 = 1).
5 Benjamin
70
This is used in the Dirac equation, which unifies special relativity and quantum
mechanics.
.
There is a clear action O(V, q) Aut Cl(V ). In particular, the involution
(v) = v induces an involution (also denoted ) of Cl(V ). This induces a grading
Cl(V ) = Cl0 (V ) Cl1 (V ), where
Cl0 (V ) = {x Cl(V ) : (x) = x}
Cl1 (V ) = {x Cl(V ) : (x) = x}.
We define some algebraic groups via their functors of points:
Pin(V, q)(A) = {g Cl(V, q)A : q(g) 2 (A)}
Spin(V, q) = Pin(V, q) Cl0 (V ).
: Pin(V, q) O(V, q), given by ad(g)(v)
There is a twisted adjoint map ad

=
(g)vg 1 .
Theorem 6.6.2. There is a natural exact sequence
1 2 Spin(V, q) SO(V, q) 1.
Proof. This is [Ber10, IV.10.21].
6.7
Differential Galois theory6
A good source for differential Galois theory is [PS03]. Recall that if A is a ring,
a derivation on A is an additive map : A A satisfying the Liebniz rule:
(ab) = a(b) + (a)b. We write Der(A) for the group of derivations A A.
Definition 6.7.1. A differential ring is a pair (R, ), where Der(R) is such
that 1 2 = 2 1 for all 1 , 2 .
If = {}, we write r0 = r for r R. The ring C = {c R : c = 0 for all
} is called the ring of constants. If R is a field, we call (R, ) a differential field.
Example 6.7.2. Let R = C (Rn ) and = { x

: 1 6 i 6 n}. Then (R, ) is a
i
differential ring with R as ring of constants.
.
Example 6.7.3. Let k be a field, R = k(x1 , . . . , xn ), and = { x

: 1 6 i 6 n}.
i
Then (R, ) is a differential field with field of constants k.
.
We are interested in solving matrix differential equations, that is, equations of

the form y 0 = Ay for A Mn (k). A solution would be a tuple y = (y1 , . . . , yn ) k n
such that (y10 , . . . , yn0 ) = Ay. To a matrix differential equation we will associate two
objects: a Picard-Vessiot ring R, and a linear algebraic group DGal(R/k).
6 Ian
Pendleton
71
Definition 6.7.4. Let (k, ) be a differential field, (R, ) a differential k-algebra

(so R |k = k ). Let A Mn (k). A fundamental solution matrix to the equation
y 0 = Ay is an element Z GLn (R) such that Z 0 = AZ.
It is easy to construct a (universal) fundamental solution matrix for the equation
y 0 = Ay. Let S = O(GLn ) = k[yij , det(yij )1 ], and define a differential : S S
by (yij ) = (Ay)ij . It is easy to see that S represents the functor that sends a
differential k-algebra R to the set of fundamental solution matrices in R.
If (R, ) is a differential ring, a differential ideal is an ideal a R such that
(a) a for all . If a is a differential ideal, then R/a naturally has the
structure of a differential ring. Call a differential ring simple if it has no nontrivial
differential ideals. Note that simple differential rings need not be fields, e.g. (k[t], t
).
Definition 6.7.5. Let A Mn (k). A Picard-Vessiot ring for the equation y 0 = Ay
is pair (R, Z), where R is a simple differential k-algebra which has a fundamental
solution matrix Z for y 0 = Ay, such that R is generated as a k-algebra by the entries
of Z and det1 Z .
It is easy to prove that Picard-Vessiot rings exist. Let S be the differential ring
constructed above. For any maximal differential ideal m S, the quotient R = S/m
is a Picard-Vessiot ring. By [PS03, 1.20], Picard-Vessiot rings (for a given equation
y 0 = Ay) are unique.
Definition 6.7.6. Let (k, ) be a differential field, A Mn (k). The differential
Galois group of the equation y 0 = Ay is DGal(R/k) = Aut(k, )(R) for any PicardVessiot ring R (for the equation y 0 = Ay).
Lemma 6.7.7. The group DGal(R/k) is linear algebraic.
Proof. See [PS03, 1.26].
Example 6.7.8. If k = C(x) and we consider the equation y 0 = x y for =
then the Picard-Vessiot ring is R = C(xn/m ) and DGal(R/k) = Z/m.
n
m
Q,
.
It is shown in [TT79] that over C, all linear algebraic groups arise as differential
Galois groups. The modern approach to differential Galois theory uses D-modules
and Tannakian categories.
6.8
Universal enveloping algebras and the Poincar

e-BirkhoffWitt theorem7
Let k be a field, Lie be the category of Lie algebras over k, and Ass be the category
of unital associative k-algebras. There is an easy functor L : Ass Lie, that sends a
k-algebra A to the Lie algebra LA whose underlying vector space is A, with bracket
[a, b] = a b b a.
7 Daoji
Huang
72
This has a left adjoint, denoted U. That is, for each Lie algebra g, there is an
associative algebra Ug with a k-linear map i : g Ug satisfying i[x, y] = [i(x), i(y)],
such that for any algebra A and linear map f : g A satisfying f [x, y] = [f (x), f (y)],
there is a unique extension f : Ug A such that f = f i.
can construct the universal enveloping algebra Ug directly. Let T g =
L We n
be the tensor algebra of g. It is easy to see that Ug is the quotient of T g
n>0 g
by the relations {x y y x [x, y] : x, y g}.
L
There is an obvious filtration on T g, for which Tm g = m>n gm . It induces a
filtration on Ug. The Poincare-Birkhoff-Witt theorem is an explicit description of
the graded ring gr U(g).
Define a map : T g gr(Ug) by the obvious surjections
T m g = gm U m g grm U(g).
This is a homomorphism of graded k-algebras. Moreover, since, for x U2 g, we have
U2 3 x y y x = [x, y] U1 ,
it follows that the map factors through the symmetric algebra Sg.
Theorem 6.8.1 (Poincare-Birkhoff-Witt). Let g be a Lie algebra over k. The map
: S(g) gr U(g) is an isomorphism of graded k-agebras.
Proof. This is [Lie13 , I 2.7 th.1].
More concretely, suppose g has a basis x1 , . . . , xn of g. The PBW theorem tells
us that every element of Ug can be written uniquely as a sum
X
i xei ,
i
where i ranges over all tuples (i1 , . . . , ir ) for which 1 6 i1 < < ir 6 n. Here we
write
xei = xei11 xeirr .
The PBW theorem is used in many places one application is a simpler (though
less transparent) construction of free Lie algebras than the one in [Lie13 , II 2].
6.9
Forms of algebraic groups8
We start by defining non-abelian cohomology, following [Ber10, II.3]. Let be a

profinite group, G a (possibly nonabelian) discrete group on which G acts continuously by automorphisms. The pointed set of 1-cocycles, denoted Z 1 (, G), consists
of functions c : G, written 7 c , such that
c = c (c )
8 Tao
Ran Chen
73
for all , . The distinguished 1-cocycle is

7 1. We put an equivalence
relation on Z 1 (, G), namely c c0 if there exists g G such that
c0 = gc (g 1 )
for all . Write H1 (, G) = Z 1 (, G)/ be the set of equivalence classes of
1-cocycles.
Let X be a -set with (equivariant) G-action, such that the map G X X X
given by (g, x) 7 (gx, x) is a bijection. (Such X are called G-torsors in the category
of -sets.) Choose x0 X and define c : G by (x0 ) = c1
x0 . One can
check that c is a 1-cocycle that only depends on the isomorphism class of X as
a -equivariant G-set. The right perspective here is that G is a group object in
the category of -sets, and that H1 (, G) classifies G-torsors in that category. More
generally, let G be a group object in an arbitrary topos T . A G-torsor is a G-object
X T such that X 1 is an isomorphism, and such that the obvious morphism
G X X X is an isomorphism. As in [Joh77, 8.3], one can define H1 (T , G) to
be the (pointed) set of isomorphism classes of G-torsors in T . If N G is a normal
subgroup in T , there is a short long exact sequence of pointed sets:
1
H0 (T , N )
H0 (T , G)
H0 (T , G/N )
H1 (T , N )
H1 (T , G)
H1 (T , G/N ).
Our main example is: = Gal(k/k)

for k a field, in which case the category
of -sets is equivalent to Sh(ket ). We will write H1 (k, G) instead of H1 (ket , G)
for G Sh(ket ). Suppose X is an object we want to classify. Let G = Aut X
(internal automorphisms object in the category Sh(ket )). If X 0 is another object and
: Xk0 sep Xksep is an isomorphism, we can define a cocycle c : = Gal(k sep /k)
G(k sep ) by c = () 1 . This gives a map {k-forms of X} H1 (k, G), which
will generally be injective. We are interested in the case where X is an algebraic
group over k.
Let k be a field, G/k an algebraic group. A k-form of G is an algebraic group
G0/k such that G0ksep ' Gksep . Two k-forms G0 , G00 are equivalent if G0 ' G00 over k.
Example 6.9.1. Let K/k be a finite Galois extension, G/k an algebraic group. We
defined in Example 3.8.3 the Weil restriction of an algebraic group; here we apply it
to GK . That is, we write RK/k G for the algebraic group over k defined by
(RK/k G)(A) = G(A k K),
for any k-algebra
A. By [BLR90, 7.6], RK/k G is actually an algebraic
group. Since
Q
Q
K k K ' K,
where
=
Gal(K/k),
we
have
(R
G)
'
G
,
i.e. RK/k G
K
K
K/k
Q
is a k-form of K . Interesting k-forms of G can often be obtained by taking
appropriate subgroups of RK/k G.
.
74
Example 6.9.2. Apply the previous general construction to the extension C/R.
The group S = RC/R Gm comes with a norm map N : S Gm , coming from the
usual norm N : C R. Then SN=1 is a R-form of Gm .
.
Example 6.9.3. Let k be a field. A central simple algebra over k is a (possibly
non-commutative) k-algebra R that is simple and has Z(R) = k. The obvious
examples are Mn (k), but there are others, for example any division algebra D with
Z(D) = k. If R is any central simple algebra, then Rksep ' Mn (k sep ) for some n.
There is a norm map N : R k, which we can use to define a group SL(R) by

N
SL(R)(A) = ker (R k A)
A ,
for all k-algebras A. Since R splits over k sep , we have SL(R)ksep ' SL(n)ksep .
When k = R, it is well-known that there is only one division algebra, the

quaternions H. So the only obvious forms of SL(2)R are SL(2) and SL(H). It turns
out that these are the only ones, but this is far from obvious.
It turns out that the set of k-forms of an algebraic group G can be described
using Galois cohomology. Write Aut(G) for the functor on k-schemes defined by
Aut(G)(S) = AutS (GS ).
This is a sheaf for the canonical topology. In particular, we can take H1 (k, Aut G) =
H1 (Gal(k/k),
Autksep (G)). Let G0 be a k-form of G. Choose an isomorphism
: G0ksep
Gksep , and define c : Gal(k sep /k) Autksep (G) by c = () 1 . It
turns out that the class of c in H1 (k, Aut G) does not depend on the choice of . In
fact, we have the following result.
Theorem 6.9.4. Let k be a field, G/k an algebraic group. Then the correspondence
defined above induces a natural bijection between the set of equivalence classes of
k-forms of G and the pointed set H1 (k, Aut G).
Proof. This is Lemma 7.1.1 in [Con].
Example 6.9.5. As above, let k = R, G = SL(2). Then Aut G = PSL2 and
Gal(C/R) = Z/2. So the set of R-forms of SL(2) is in bijection with H1 (R, PSL2 ) '
H2 (R, 2 )[2], which classifies quaternion algebras over R. It is well-known that there
are only two such algebras, namely M2 (R) and H. So our list above is complete. .
6.10
Arithmetic subgroups9
In what follows, we focus on arithmetic subgroups of real Lie groups. Margulis

proved his arithmeticity and hyperrigidity theorems in much greater generality,
e.g. for groups like GLn (Z[ p1 ]) GLn (R) GLn (Qp ).
Definition 6.10.1. Let G be an abstract group, H1 , H2 subgroups of G. We say
H1 and H2 are commensurable if H1 H2 has finite index in both H1 and H2 .
9 Ryan
McDermott
75
As an exercise, check that commensurability is an equivalence relation on the set

of subgroups of G.
Definition 6.10.2. Let G/Q be an algebraic group. A subgroup G(R) is
arithmetic if for some (hence any) embedding G , GL(n)Q , the group G(Q)
GLn (Z) is commensurable with .
Clearly SLn (Z) is an arithmetic subgroup of SLn (R).
Lemma 6.10.3. Let G/Q be an algebraic group. If G(R) is arithmetic, then
is discrete in the induced (analytic) topology.
Proof. The group is a finite union of cosets of a subgroup of G(Q) GLn (Z), so
it suffices to prove that GLn (Z) is a discrete subgroup of GLn (R). But GLn (Z)
Mn (Z) Mn (R), and clearly Mn (Z) is a discrete subgroup of Mn (R).
It is well-known (see for example [Int II79 , VII 1.2 th.1]) that any locally
compact group G admits a unique (up to scalar) left-invariant Borel measure,
called the Haar measure on G. We say G is unimodular if this measure is also
right-invariant. Left-invariant and right-invariant Haar measures are related via a
continuous homomorphism : G R+ , known as the modulus [Int II79 , VII 1.3].
If G is a Lie group, one has (g) = (det ad g)1 by [Lie13 , III 3.16], so in particular
G is unimodular. If G is a general unimodular group and G is discrete, then by
[Int II79 , VII 2.6 cor.2], there is a unique (up to scalar) G-invariant measure on
the quotient space \G.
Definition 6.10.4. Let G be a unimodular locally compact group, G a discrete
subgroup. Then is a lattice if vol(\G) < .
Definition 6.10.5. If G = V is a real vector space and = V is a discrete
abelian subgroup with rk() = dim(V ), then V / ' (S 1 )n for some n. This is
compact, hence it has finite volume.
We can give a more general version of the definition of arithmetic subgroups.
Definition 6.10.6. Let H/R be an almost-simple algebraic group. A subgroup
H(R) is arithmetic if there exists an algebraic group G/Q , a surjection : GR H
with compact kernel, and an arithmetic subgroup (in the old sense) 0 G(R) such
that () is commensurable with .
As before, arithmetic subgroups are discrete. Moreover, 0 is discrete in G(R), so
ker (R) is finite. In other words, all arithmetic subgroups (in the new sense) are
finite quotients of arithmetic subgroups (in the old sense). Even this new definition
is a special case of the much more general one in [Mar91, IX 1].
Define two quadratic forms, one on Rn+1 and the other on Cn+1 :
0
q1 (x) = x21 + + x2n x2n+1

q2 (z) = |z1 |2 + + |zn |2 |zn+1 |2 .
76
From this, we define the associated orthogonal groups:

SO(1, n) = {g SLn+1 (R) : q1 (gx) = q1 (x) for all x Rn+1 }
SU(1, n) = {g SLn+1 (C) : q2 (gz) = q2 (z) for all x Cn+1 }.
Note that SO(1, n) and SU(1, n) can be interpreted as the real points of simple
algebraic groups over R, but we will not do this.
Theorem 6.10.7 (Margulis). Let H/R be a simple algebraic group such that H(R)
is not compact, H(R) a lattice. Then is arithmetic unless H is isogenous to
SO(1, n) or SU(1, n).
Proof. This is a special case of the Theorem A from [Mar91, IX 1].
Since SL2 (R) is isogenous to SO(1, 2), the theorem doesnt apply to SL2 (R). In
fact, it doesnt hold in this setting. For, there are only countably many arithmetic
subgroups of SL2 (R). However, every compact Riemann surface of genus g > 2 is
the quotient of the upper half-plane H = {z C : =z > 0} by a discrete subgroup
of SL2 (R). Since the space of genus-g compact Riemann surfaces, denoted Mg , is
itself (3g 3)-dimensional variety over C, there are uncountably many isomorphismclasses of lattices in SL2 (R). By cardinality considerations, there are non-arithmetic
lattices in SL2 (R).
6.11
Finite simple groups of Lie type
Consider for a moment how we might try to use algebraic geometry to construct
simple abstract groups. Clearly, if G/S is a group scheme, then G(X) is an abstract
group for any X/S . If x X is a point, then there is a natural homomorphism
G(X) G(k(x)), probably with nontrivial kernel, so it makes sense to only study
G(k) for k a field and G/k an algebraic group. The unipotent radical RG is normal
in G, so we may as well require that RG = 1, i.e. that G be semisimple. Simple
factors of G yield big normal subgroups, so we finally arrive at the case where G is
a simple algebraic group. One would think that we should look at Gad (k), where
Gad = G/ Z(G), but from the long exact sequence
1 Z(k) Gsc (k) Gad (k) H1 (k, Z) ,
we see that Gad (k) will have an abelian quotient, namely (a subgroup of) H1 (k, Z).
Thus, it makes sense to consider
im(Gsc (k) Gad (k)).
ad
If R is a root system, write Gsc
R/Z (resp. GR/Z ) for the unique simply connected
(resp. adjoint) Chevalley-Demazure group scheme over Z with root system of type
R. If q is a prime power, we define

ad
R(q) = im Gsc
(F
)
G
(F
)
.
q
q
R/Z
R/Z
Note that R(q) is not the Fq -points of an algebraic group. We will use this construction to give a complete (up to finitely many) list of all finite simple groups.
77
Theorem 6.11.1 (Classification theorem). Every finite simple group is one of the
following:
cyclic: Z/p
alternating: An (n > 5)
Chevalley groups:
An (q), n > 1
Bn (q), n > 2
Cn (q), n > 2
Dn (q), n > 3
E6 (q), E7 (q), E8 (q), F4 (q), and G2 (q)
Steinberg groups:
2 An (q 2 ), n > 2
2 Dn (q 2 ), n > 2
2 E6 (q 2 ), 3 D4 (q 3 )
Suzuki groups: 2 B2 (22n+1 ), n > 1
Ree groups: 2 F4 (22n+1 ), n > 1 and 2 G2 (32n+1 ), n > 1.
Tits group: 2 F4 (2)1 .
The 26 sporadic groups.
Here, q ranges over all primes powers.
See the table in Chapter 1 of [GLS94] for a complete list that includes all the
sporadics. The groups of Lie type which are not simple are All of these groups
are simple, except A1 (2), A1 (3), B2 (2), G2 (2), and 3 A2 (22 ).
Example 6.11.2 (type An ). One has An (q) = im(SLn+1 (Fq ) PGLn+1 (Fq )).
This group is often written PSLn (q), but as we have discussed elsewhere, this
notation is misleading. For example, An (2f ) = SLn+1 (F2f ).
.
Example 6.11.3 (type Dn ). Recall that the simply-connected form of Dn is
Spin(2n), and the adjoint form is SO(2n)/2 . Thus Dn (q) is an index-two subgroup
of SO2n (Fq )/{1}.
.
Example 6.11.4 (type 2 An ). These are constructed via unitary groups. Recall
that SL(n + 1) has Dynkin diagram
(n vertices).
78
This has an automorphism (flip accross vertical axis). The induced outer automorphism of SL(n + 1) is g 7 t g 1 . One puts
SU(n) = {g SLn (C) : g = t g 1 }.
For a finite field Fq , the appropriate analogue of complex conjugation is the unique
nontrivial element Gal(Fq2 /Fq ). Put
2
An (q 2 ) = {g SLn+1 (Fq2 ) : (g) = t g 1 }/(center).

.
One obtains the other Steinberg groups similarly: they are of the form
{g R(q 2 ) : (g) = (g)},
where is an automorphism of Dyn(R) of order 2. For 3 D4 (q), one chooses a generator Gal(Fq3 /Fq ) and an outer automorphism of D4 of order 3. Essentially
the same construction can be done with and .
The Suzuki and Ree groups come from the so-called special isogenies in
characteristics 2 and 3. Roughly, these come from the fact that in characteristic p,
a directed multi-arrow in a Dynkin diagram should be replaced with p undirected
edges. Thus in characteristic 2, the Dynkin diagram for B2 is = , which has
a nontrivial automorphism. Similarly, in characteristic 2, The Dynkin diagram of
type F4 should be = , which also has an automorphism. Finally, in
characteristic 3, Dyn(G2 ) should be .
Finite simple groups of exceptional Lie type can be quite large. For example,
#E8 (2) 3.3 1074 . In contrast, the Monster group has cardinality 8.1 1053 .
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Linear Algebraic Groups and Their Lie Algebras

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Linear algebraic groups and their Lie algebras

3 Solvable groups, unipotent groups, and tori

Linear algebraic groups

The latest version of these notes can be found online at http://www.math.cornell.

We follow Bourbaki in writing N, Z, Q. . . for the natural numbers, integers, rationals,

Linear algebraic groups

If A is a commutative ring, M is an A-module, and a A, we write M/a for

Let k be an algebraically closed field whose characteristic is not 2. For example,

Linear algebraic groups

There is a natural isomorphism : Ga

have a torus of rank n, namely

Linear algebraic groups

then consider the composite of Gd , GL(2)/k

Linear algebraic groups

It turns out that twists of Gm over k up to isomorphism are in bijective

Structure theory for linear algebraic groups

Let G be linear algebraic group over k. There is a filtration of normal subgroups

Linear algebraic groups

We make requirements on the index in these families to prevent degenerate cases

Later on, well be able to understand why this list is complete.

Definition and first properties

= [x, x] + [x, y] + [y, x] + [y, y]

= [x, y] + [y, x].

Later on, well use an alternate form of the Jacobi identity:

Linear algebraic groups

The main examples

Example 2.2.5 (Symplectic). Let Jn =

sp2n (k) = {x gl2n (k) : Jx + t xJ = 0}.

As an exercise, show that R3 with the bracket [u, v] = u v (cross product) is a

Homomorphisms and the adjoint representation

Definition 2.3.1. A homomorphism of Lie algebras : g h is a k-linear map

Linear algebraic groups

If : g h is a homomorphism of Lie algebras, then a = ker() is a Lie

If : g h is a Lie homomorphism, then we get an induced isomorphism

Linear algebraic groups

Note that Z(g) = ker(ad). There is a natural injection g/ Z(g) , gl(g).

For the sake of clarity, we give a scheme-theoretic definition of algebraic groups:

Linear algebraic groups

Consider G(k[]). As a set, this consists of invertible n n matrices with entries

Linear algebraic groups

Affine group schemes and Hopf algebras

These correspond to ring homomorphisms

Linear algebraic groups

Examples of group schemes

Linear algebraic groups

with the group operation coming from multiplication in A. Note that n Gm .

Example 2.7.3 (Orthogonal). Recall that O(n) GL(n) is cut out by g t g = 1. So

Lie algebra of an algebraic group

Linear algebraic groups

in AlgA /A, or we could define the O-module structure on J1 X

Linear algebraic groups

So sp2n (A) ' {x M2n (A) : t xJ + Jx = 0}.

In particular, a representation : G GL(n) induces a map on Lie algebras

Linear algebraic groups

All that remains is the simple computation

Linear algebraic groups

gln = ker (GLn (k[]) GLn (k)) = {1 + x : x Mn (k)}

depend on x. Alternatively, the morphism X T1 T2 factors as X T1 T1