Conventions.

  • Category means $(\infty,1)$-category; $\mathsf{Cat}$ is the category of all categories.
  • $2$-category means $(\infty,2)$-category; $\mathsf{Cat}_2$ is the $2$-category of all categories.
  • $\mathsf{Pr}^L$ denotes presentable categories with left adjoints; $\mathsf{Pr}^L_{\mathrm{st}}$ is the stable version.
  • $\mathsf{CAlg}(\mathcal M)$ denotes commutative algebra objects in a symmetric monoidal category $\mathcal M$.
  • Given a geometric setup $(\mathcal C, E)$ — a category $\mathcal C$ with finite limits and a class of morphisms $E$ closed under base change, composition and diagonals — we write $\mathsf{Corr}(\mathcal C, E)$ for the span $(\infty, 2)$-category and $\mathsf{Span}_2(\mathcal C, E)_{I, P}$ for the CLL upgrade with biadjointability data.
  • $\underline{\mathrm{Hom}}$ is internal hom; $\mathbf 1_{X}$ is the monoidal unit of $\mathsf D(X)$; $\mathbb 1$ is the terminal object of a slice $\mathcal C_{/Y}$.

Part I · Six-functor formalisms

1. From cohomology to six functors

A cohomology theory associates with every “space” $X$ a complex $\Gamma(X; \Lambda) \in \mathsf D(\Lambda)$ of $\Lambda$-modules — singular cohomology, étale cohomology, coherent cohomology, and many more. We then expect $\Gamma(X; \Lambda)$ to satisfy structural identities like the Künneth formula, Poincaré duality, proper base change, excision. Each is classically proved by hand, with most of the work intertwined with whatever specific sheaf-theoretic gadget produced $\Gamma(X; \Lambda)$.

The six-functor formalism flips the order: we fix a much richer object — a category $\mathsf D(X)$ of “sheaves on $X$” with six interrelated functors — and demand a small list of compatibilities. Cohomology becomes a derived quantity, and the structural identities fall out as formal consequences.

The data

Fix an $(\infty,1)$-category $\mathcal C$ of geometric objects with finite limits and terminal object $\ast$. A six-functor formalism $\mathsf D$ on $\mathcal C$ assigns:

  • to each $X \in \mathcal C$, a closed symmetric monoidal category $\mathsf D(X)$ — sheaves on $X$ — with $\otimes$, $\underline{\mathrm{Hom}}$, and unit $\mathbf 1_{X}$;
  • to each map $f\colon Y \to X$ in $\mathcal C$, an adjunction $f^{\ast} \dashv f_{\ast}$;
  • to each map $f\colon Y \to X$ in a distinguished class $E$ (the exceptional morphisms — typically maps admitting a compactification), an adjunction $f_{!} \dashv f^{!}$.

For $\mathsf D \coloneqq \mathsf D(\ast)$ — usually $\mathsf D(\Lambda)$ — and $X$ with structure map $p\colon X \to \ast$, four (co)homology theories are immediate:

  • Cohomology $\Gamma(X; \mathbf 1) \coloneqq p_{\ast} \mathbf 1_{X}$;
  • Compactly-supported cohomology $\Gamma_{c}(X; \mathbf 1) \coloneqq p_{!} \mathbf 1_{X}$;
  • Borel–Moore homology $\Gamma^{\mathrm{BM}}(X; \mathbf 1) \coloneqq p_{\ast} p^{!} \mathbf 1$;
  • Homology $\Gamma^{\vee}(X; \mathbf 1) \coloneqq p_{!} p^{!} \mathbf 1$.

The compatibilities

For the formalism to do work, the functors are coupled by three axioms:

  1. Pullback is monoidal. $f^{\ast}$ is symmetric monoidal — in particular $f^{\ast}$ commutes with $\otimes$.
  2. Proper base change. For a cartesian square with $f \in E$, the natural map $g^{\ast} f_{!} \xrightarrow{\sim} f'_{!} g'^{\ast}$ is an equivalence.
  3. Projection formula. For $f \in E$, $M \otimes f_{!} N \xrightarrow{\sim} f_{!}(f^{\ast} M \otimes N)$ is an equivalence.

With just these, the classical theorems are one-line consequences.

Proposition 1 (Künneth formula).

For $X, Y \in \mathcal C$ with exceptional structure maps,

$$ \Gamma_{c}(X \times Y;\, \mathbf 1) \;\simeq\; \Gamma_{c}(X;\, \mathbf 1) \;\otimes\; \Gamma_{c}(Y;\, \mathbf 1). $$
Proof.

Apply base change and projection to $X \xleftarrow{p_{X}} X \times Y \xrightarrow{p_{Y}} Y$ over $\ast$:

$$ \begin{aligned} \Gamma_{c}(X \times Y;\, \mathbf 1) &\;\simeq\; (p_{Y})_{!}\bigl( (p_{Y})^{\ast} (p_{X})_{!} \mathbf 1 \bigr) \quad \text{(base change)} \\ &\;\simeq\; (p_{X})_{!}\, \mathbf 1 \;\otimes\; (p_{Y})_{!}\, \mathbf 1 \quad \text{(projection)}. \end{aligned} $$ $\square$
Proposition 2 (Poincaré duality).

For $X \in \mathcal C$ “smooth” (precise notion in §6) with $\omega_{X} \coloneqq p^{!} \mathbf 1$,

$$ \Gamma(X;\, \omega_{X}) \;\simeq\; \underline{\mathrm{Hom}}\bigl( \Gamma_{c}(X;\, \mathbf 1),\, \mathbf 1 \bigr). $$
Proof.

For any $M \in \mathsf D$, two adjunctions plus projection give

$$ \mathrm{Hom}(M, p_{\ast} p^{!} \mathbf 1) \simeq \mathrm{Hom}(p_{!} p^{\ast} M, \mathbf 1) \simeq \mathrm{Hom}(M \otimes \Gamma_{c}(X; \mathbf 1), \mathbf 1). $$

Yoneda. For an oriented $n$-manifold $\omega_{X} \simeq \mathbf 1[n]$, and this becomes the classical $H^{i}(X; \Lambda) \simeq H_{c}^{n-i}(X; \Lambda)^{\vee}$.

$\square$

Two short proofs, no bespoke analysis. The work has been shifted out of the cohomology theory and into the axioms — and that is what we now want to package efficiently.

2. The span picture

Three compatibilities is a small list, but each drags an $\infty$-dimensional web of higher coherences (associativity of $\otimes$, naturality of base change in two variables, projection formula compatible with the symmetric monoidal structure, …). Writing this down by hand is hopeless. The trick — initiated by Liu–Zheng [liu-zheng] and brought to its modern form by Mann [mann-rigid] and Scholze [scholze-six] — packages everything as a single lax symmetric monoidal functor out of a span category.

Fix a geometric setup $(\mathcal C, E)$. The span category $\mathsf{Corr}(\mathcal C, E)$ has:

  • objects: those of $\mathcal C$;
  • morphisms $X \to Y$: spans $X \xleftarrow{} W \xrightarrow{g} Y$ with $g \in E$;
  • composition: pullback of spans.

When $\mathcal C$ has finite products, $\mathsf{Corr}(\mathcal C, E)$ is symmetric monoidal under $\times$.

Definition 3 (Three- and six-functor formalisms).

A three-functor formalism on $(\mathcal C, E)$ is a lax symmetric monoidal functor

$$ \mathsf D\colon \mathsf{Corr}(\mathcal C, E) \longrightarrow \mathsf{Cat}. $$

It is a six-functor formalism if $-\otimes A$, $f^{\ast}$ and $f_{!}$ admit right adjoints (i.e.\ $\underline{\mathrm{Hom}}$, $f_{\ast}$, $f^{!}$ exist). The right adjoints are a property, not extra data: adjoints come with all coherences automatically. ([scholze-six, Lecture II] ; [heyer-mann] .)

What a 3-functor formalism encodes:

  • Pullback. $g\colon Y \to X$ gives the span $X \xleftarrow{g} Y \xrightarrow{\mathrm{id}} Y$ → $g^{\ast}$.
  • Exceptional pushforward. $f\colon Y \to X$ in $E$ gives $Y \xleftarrow{\mathrm{id}} Y \xrightarrow{f} X$ → $f_{!}$.
  • Tensor product. Lax symmetric monoidality gives $\mathsf D(X) \times \mathsf D(X) \to \mathsf D(X \times X)$; precomposing with $\Delta_{X}^{\ast}$ gives $\otimes$.
  • General span. $X \xleftarrow{g} Z \xrightarrow{f} Y$ goes to $f_{!} g^{\ast}$.

Most of the magic: the two non-trivial compatibilities of §1 are consequences of the single statement “$\mathsf D$ is a lax symmetric monoidal functor”:

  • proper base change = functoriality on composable spans;
  • the projection formula = the lax-monoidal coherence on $X \times X$.

So three axioms plus one adjoint-existence property = six functors with all their coherences.

3. Construction via CLL universality

Producing a lax symmetric monoidal functor out of $\mathsf{Corr}(\mathcal C, E)$ from scratch is just as hopeless as spelling out the hexagonal compatibility web by hand. The standard idea: split exceptional morphisms into two simpler classes and build the formalism on each.

A suitable decomposition of $E$ is a pair $I, P \subseteq E$ (“open immersions” and “proper morphisms”) such that every $f \in E$ factors as $f = p \circ i$ with $i \in I$, $p \in P$, subject to mild cancellation/truncation axioms. Geometrically: $i_{!}$ is left adjoint to $i^{\ast}$ (extension by zero); $p_{!}$ is right adjoint to $p^{\ast}$ (direct image of a proper map); $f_{!} = p_{!} i_{!}$. The input data we want to carry is captured by two base-change conditions.

Definition 4 (Left and right base change).

Let $\mathsf D_{0}\colon \mathcal C^{\mathrm{op}} \to \mathsf{CAlg}(\mathsf{Cat})$ encode pullbacks and tensor.

  • $g\colon C \to D$ satisfies left base change if, for every cartesian square

    tikzcd diagram

    $k^{\ast}$ has a left adjoint $k_{\sharp}$ and the canonical $k_{\sharp} h^{\ast} \xrightarrow{\sim} f^{\ast} g_{\sharp}$ is an equivalence.

  • $f$ satisfies right base change if dually $h^{\ast}$ has a right adjoint $h_{\ast}$ and $g^{\ast} f_{\ast} \xrightarrow{\sim} h_{\ast} k^{\ast}$ is an equivalence.

Either condition packages the corresponding adjoint plus its compatibility with base change as a single property.

The cleanest path now goes via the universal property of Cnossen–Lenz–Linskens [cll-universal] : enhance $\mathsf{Corr}(\mathcal C, E)$ to a $2$-category whose $2$-morphisms encode the adjunction data of $i_{\sharp}$ and $p_{\ast}$ coherently, and produce a universal $(I, P)$-biadjointable functor.

Construction 5 (The CLL 2-categorical span category).

$\mathsf{Span}_2(\mathcal C, E)_{I, P}$ has:

  • Objects. Objects of $\mathcal C$.

  • $1$-morphisms $X \to Z$: spans

    tikzcd diagram

    with $g \in E$.

  • $2$-morphisms between two such spans: diagrams

    tikzcd diagram

    with $a \in P$ and $b \in I$.

Theorem 6 (CLL universality).

Assume $I, P \subseteq E$ are wide and closed under base change, every $e \in E$ factors as $p \circ i$ with $p \in P$ and $i \in I$, and maps in $I \cap P$ are truncated. Then

$$ \mathcal C^{\mathrm{op}} \hookrightarrow \mathsf{Span}_2(\mathcal C, E)_{I, P} $$

is the universal $(I, P)$-biadjointable functor — i.e.\ the initial functor under which morphisms in $I$ satisfy left base change and morphisms in $P$ satisfy right base change. ([cll-universal, Thm. 5.17] .)

So a six-functor formalism on $(\mathcal C, E)$ is, by definition, a lax symmetric monoidal functor out of $\mathsf{Span}_{2}(\mathcal C, E)_{I, P}$; constructing one reduces to verifying left base change for $I$, right base change for $P$, and the mixed Beck–Chevalley equivalence on cartesian squares with one $I$-edge and one $P$-edge. Everything else is formal.

Corollary 7 (Mann's extension theorem).
Suppose $\mathsf D_{0}\colon \mathcal C^{\mathrm{op}} \to \mathsf{CAlg}(\mathsf{Cat})$ satisfies left base change for every $i \in I$, right base change for every $p \in P$, and the mixed Beck–Chevalley condition: for every cartesian square with $i \in I$, $p \in P$, the natural map $i_{\sharp} p'_{\ast} \xrightarrow{\sim} p_{\ast} i'_{\sharp}$ is an equivalence. Then $\mathsf D_{0}$ extends uniquely to a 3-functor formalism with $f_{!} = p_{\ast} i_{\sharp}$. ([mann-rigid, Prop. A.5.10] ; [liu-zheng] .)

Heyer–Mann observed that mixed Beck–Chevalley is often automatic:

Proposition 8 (Auto-Beck–Chevalley for monomorphic open immersions).
If all $i \in I$ are monomorphisms, the mixed Beck–Chevalley condition holds automatically. ([heyer-mann] .)

The slogan: in any setup where “open immersion” really means open immersion (not some derived enlargement of one), the construction reduces to two independent base-change conditions, no mixing required.


Part II · From localization to $\mathsf{SH}$

We now make the CLL/Mann input concrete in the motivic setting: localization plus base change, two further geometric properties (excision + $\mathbb A^{1}$-invariance), produces $\mathsf{SH}$ — the initial six-functor formalism with these properties.

4. Localization, base change, and cdh descent

The CLL construction asks for left base change on $I$, right base change on $P$, and mixed Beck–Chevalley. To make these concrete in the motivic setting we need one more axiom — localization (recollement) — which together with base change forces cdh descent.

Definition 9 (Recollement and localization).

A diagram

$$ \mathcal C_U \xleftarrow{\;j^{\ast}\;} \mathcal C_X \xrightarrow{\;i^{\ast}\;} \mathcal C_Z $$

in $\mathsf{Pr}^L_{\mathrm{st}}$ is a recollement if $j^{\ast}$ has a left adjoint $j_{!}$ with $j_{!} j^{\ast} \to \mathrm{id}$ an equivalence, $i^{\ast}$ has a right adjoint $i_{\ast}$ with $\mathrm{id} \to i_{\ast} i^{\ast}$ an equivalence, $j^{\ast} i_{\ast} \simeq 0$, and the square

tikzcd diagram

is a pushout in $\mathrm{End}(\mathcal C_X)$.

$\mathsf D\colon (\mathsf{Sch}^{\mathrm{qcqs}})^{\mathrm{op}} \to \mathsf{Pr}^L_{\mathrm{st}}$ satisfies the localization axiom if every closed immersion $i\colon Z \hookrightarrow X$ with open complement $j\colon U \hookrightarrow X$ gives a recollement of $\mathsf D(U), \mathsf D(X), \mathsf D(Z)$.

Localization plus base change feeds directly into descent.

Proposition 10 (Localization implies cdh descent).

Let $\mathsf D$ satisfy the localization axiom.

  1. If every étale morphism satisfies left base change, then $\mathsf D$ satisfies Nisnevich descent.
  2. If every finitely presented proper morphism satisfies right base change, then $\mathsf D$ satisfies abstract blowup descent.

Under both, $\mathsf D$ is a cdh sheaf.

Proof.

We do abstract blowup; Nisnevich is dual. For

tikzcd diagram

write $j\colon U = X \setminus Z \hookrightarrow X$ and $h\colon U \hookrightarrow \tilde X$. We must show

$$ (p^{\ast}, i^{\ast})\colon \mathsf D(X) \to \mathsf D(\tilde X) \times_{\mathsf D(E)} \mathsf D(Z) $$

is an equivalence. Right adjoint: $G(A, B) = p_{\ast} A \times_{(iq)_{\ast} C} i_{\ast} B$.

Conservativity. Localization says $(i^{\ast}, j^{\ast})$ is jointly conservative; $j^{\ast} \simeq h^{\ast} p^{\ast}$ since $p$ is iso over $U$, so $(p^{\ast}, i^{\ast})$ is too.

$i^{\ast}$-component. Right base change for $p$ along $i$ gives $i^{\ast} p_{\ast} A \simeq q_{\ast} C$, and full faithfulness of $i_{\ast}$ collapses the pullback to $B$.

$p^{\ast}$-component. Apply $k^{\ast}$ and $h^{\ast}$ separately: $k^{\ast}$ is the previous case, $h^{\ast}$ kills the $Z$-supported terms and is left with $j^{\ast} p_{\ast} A$, which by right base change for $i$ along $p$ and the localization triangle equals $h^{\ast} A$.

$\square$

5. SH and Drew–Gallauer initiality

Theorem 11 (Six-functor formalism on SH).

$\mathsf{SH}\colon (\mathsf{Sch}^{\mathrm{qcqs}})^{\mathrm{op}} \to \mathsf{Pr}^L_{\mathrm{st}}$ satisfies the localization axiom ([morel-voevodsky] ). The data of $\mathsf{SH}$ together with smooth $i_{\sharp}$ and proper $p_{\ast}$ extends essentially uniquely to a lax symmetric monoidal

$$ \mathsf{SH}\colon \mathsf{Span}_{2}(\mathsf{Sch}^{\mathrm{qcqs}}, E)_{I, P}^{\otimes} \longrightarrow \mathsf{CAlg}(\mathsf{Pr}^L_{\mathrm{st}}) $$

with $E$ = locally finitely presented, $I$ = open immersions, $P$ = proper morphisms, and $f_{!} = p_{\ast} i_{\sharp}$ for $f = p \circ i$. ([ayoub] ; [cisinski-deglise] ; [cll-universal] .)

The proof has a formal half (invoke Theorem 6 ) and a geometric half (smooth/étale base change for $i_{\sharp}$, localization, proper base change for $p_{\ast}$ — Ayoub for projective, Cisinski–Déglise for arbitrary proper via Chow’s lemma). The mixed Beck–Chevalley is not additional input: it follows from proper base change across a square with one étale edge.

Combining Proposition 10 with proper base change: $\mathsf{SH}$ is a cdh sheaf.

In what sense is $\mathsf{SH}$ universal?

Theorem 12 (Drew–Gallauer initiality).

Over a noetherian base $k$ of finite Krull dimension, with $\mathcal C$ = separated finite-type $k$-schemes, $I$ open immersions, $P$ proper morphisms: the initial presentable six-functor formalism

$$ \mathsf D\colon \mathsf{Corr}(\mathcal C) \to \mathsf{Pr}^{L}_{\mathrm{st}} $$

with open immersions cohomologically étale, proper maps cohomologically proper, every smooth morphism cohomologically smooth, satisfying excision ($j_{!} \mathbf 1 \to \mathbf 1 \to i_{\ast} \mathbf 1$ a fibre sequence for $i \hookrightarrow X$ closed) and $\mathbb A^{1}$-invariance ($\pi^{\ast}\colon \mathsf D(X) \to \mathsf D(\mathbb A^{1}_{X})$ fully faithful) is $\mathsf{SH}$. ([drew-gallauer] ; cf.\ [scholze-six, Lecture XI] .)

The proof is constructive and recovers Morel–Voevodsky: smooth $f_{\sharp}$ forces $\mathsf{PShv}(\mathsf{Sm}_{X}; \mathsf{Sp})$; excision forces Nisnevich localization; $\mathbb A^{1}$-invariance forces $\mathbb A^{1}$-localization; $\otimes$-inverting the Tate object yields $\mathsf{SH}$.


Part III · Cohomological smoothness and the 2-category of kernels

We now zoom into a fixed six-functor formalism $\mathsf D$ and ask which morphisms satisfy Poincaré duality. This is the question that motivates the $2$-category of kernels.

6. Cohomological smoothness

Classical Poincaré duality says: for a proper manifold bundle $f\colon X \to Y$ of relative dimension $d$, $f_{!}$ has a right adjoint $f^{!}$ of the form $f^{!} \simeq f^{\ast}(-) \otimes \omega_{f}$, where $\omega_{f} = f^{!}(\mathbf 1_{Y})$ is the dualizing complex of $f$, locally isomorphic to $\mathbf 1[d]$.

For an abstract $\mathsf D$, this motivates axiomatising the class of morphisms with this behaviour:

Definition 13 (Cohomologically smooth morphism).

A morphism $f\colon X \to Y$ in $E$ is $\mathsf D$-cohomologically smooth (or $\mathsf D$-smooth) if:

  1. $f^{!}$ exists, and $f^{!}(\mathbf 1_{Y}) \otimes f^{\ast}(-) \to f^{!}(-)$ is an equivalence of functors $\mathsf D(Y) \to \mathsf D(X)$.
  2. $\omega_{f} \coloneqq f^{!}(\mathbf 1_{Y})$ is $\otimes$-invertible.
  3. (1) and (2) hold for every base change $f'$ of $f$, and the natural map $g'^{\ast}\omega_{f} \to \omega_{f'}$ is an equivalence.

([scholze-six, Lecture V] .)

Checking (1)–(3) looks impossibly hard: each piece involves base changes, and $f^{!}$ is abstractly an adjoint. The point of the next two sections is Scholze’s organising observation: all three conditions together follow for free from a single, minimal piece of $2$-categorical data on $X \times_Y X$ — once we have built the right $2$-category.

7. Integral transforms and the 2-category of kernels

The classical integral transform $T_{K}(F)(x) = \int_{Y} K(x, y)\, F(y)\, dy$ encodes a function $L^{2}(Y) \to L^{2}(X)$ as a function on $X \times Y$. Its categorification — the Fourier–Mukai transform — replaces integration by $\pi_{!}$ and tensor: for $K \in \mathsf D(X \times_{Y} X')$,

$$ \Phi_{K}\colon \mathsf D(X) \to \mathsf D(X'), \qquad A \mapsto (\pi_{X'})_{!}\bigl(\pi_{X}^{\ast} A \otimes K\bigr). $$

Two familiar functors are themselves Fourier–Mukai transforms with simple kernels. Take $K = \mathbf 1_{X}$ regarded as an element of $\mathsf D(X \times_{Y} Y) = \mathsf D(X)$ (the “$X \to Y$” slot): then $\Phi_{K} = f_{!}$. Take instead $K = \mathbf 1_{X}$ in $\mathsf D(Y \times_{Y} X) = \mathsf D(X)$ (the “$Y \to X$” slot): then $\Phi_{K} = f^{\ast}$.

So “$f_{!}$ is left adjoint to $f^{\ast}$” translates to “$\mathbf 1_{X}$ (in the $X \to Y$ slot) is left adjoint to $\mathbf 1_{X}$ (in the $Y \to X$ slot) in a suitable $2$-category whose $1$-morphisms are kernels”. Making this precise:

Definition 14 (The 2-category of kernels).

For $\mathsf D\colon \mathsf{Corr}(\mathcal C, E) \to \mathsf{Cat}$ and $Y \in \mathcal C$, the $2$-category of kernels $\mathbb K_{\mathsf D, Y}$ has:

  • Objects. Objects of $(\mathcal C_{E})_{/Y}$ — i.e.\ maps $X \to Y$ in $E$.
  • Morphism categories. $\mathsf{Hom}_{Y}(X_{1}, X_{2}) \coloneqq \mathsf D(X_{1} \times_{Y} X_{2})$.
  • Composition. $M \circ N \coloneqq \pi_{13!}(\pi_{12}^{\ast} M \otimes \pi_{23}^{\ast} N)$.
  • Identity. $\mathrm{id}_{X} = (\Delta_{X/Y})_{!}\mathbf 1_{X}$.

([lu-zheng] ; [fargues-scholze, §2.3] ; [scholze-six, Lecture V] ; [heyer-mann] .)

Three structural features fall out of the definition.

Realisation. There is a “realisation” $2$-functor $\Psi_{\mathsf D, Y} \coloneqq \mathsf{Hom}_{Y}(Y, -)\colon \mathbb K_{\mathsf D, Y} \to \mathsf{Cat}_{2}$ sending $X \mapsto \mathsf D(X)$ and a kernel $M$ to its Fourier–Mukai functor. Working in $\mathbb K_{\mathsf D, Y}$ amounts to working with kernels of functors directly, instead of the induced functors.

Factorization ([heyer-mann] ). $\mathsf D$ factors:

$$ \mathsf{Corr}((\mathcal C_{E})_{/Y}) \xrightarrow{\;\Phi_{\mathsf D, Y}\;} \mathbb K_{\mathsf D, Y} \xrightarrow{\;\Psi_{\mathsf D, Y}\;} \mathsf{Cat}, $$

with $\Psi \circ \Phi = \mathsf D$. The first $2$-functor is identity on objects and sends a span $X \xleftarrow{g} Z \xrightarrow{f} Y$ to $(f, g)_{!} \mathbf 1_{Z}$.

Functoriality. As $Y$ varies, $\mathbb K_{\mathsf D, (-)}$ is itself a 3-functor formalism, one categorical level higher:

Theorem 15 (Functoriality of the kernel 2-category).
$\mathbb K_{\mathsf D, (-)}\colon \mathsf{Corr}(\mathcal C, E) \to \mathsf{Cat}_{2}$ is a lax symmetric monoidal $2$-functor. ([heyer-mann] .)

That is: just as $\mathsf D$ is a categorified cohomology theory valued in $\mathsf{Cat}$, $\mathbb K_{\mathsf D}$ is a $2$-categorified one valued in $\mathsf{Cat}_{2}$. This both promotes the classical “base change of suave/prim” lemmas to formal $2$-functoriality, and is the gateway to iteration in §10.

8. Cohomological smoothness as dualizability in $\mathbb K_{\mathsf D}$

Now the punchline. After sliding $\mathcal C$ down to $\mathcal C_{/Y}$, assume $Y$ is final. Consider $\mathbf 1_{X}$ as a $1$-morphism $X \to Y$ in $\mathbb K_{\mathsf D}$; its realisation under $\Psi$ is $f_{!}$.

Theorem 16 (Poincaré duality as dualizability).

$f$ is $\mathsf D$-cohomologically smooth iff:

  1. $\mathbf 1_{X} \in \mathsf{Hom}_{\mathbb K_{\mathsf D}}(X, Y) = \mathsf D(X)$ is a left adjoint in $\mathbb K_{\mathsf D}$ — i.e.\ admits a right adjoint $\omega_{f} \in \mathsf D(X)$;
  2. $\omega_{f}$ is $\otimes$-invertible in $\mathsf D(X)$.

In this case $\omega_{f} \simeq f^{!}(\mathbf 1_{Y})$. ([scholze-six, Lecture V] .)

Two consequences:

  • Dropping invertibility in (2) gives a strictly weaker, far more robust notion — suaveness, the subject of §9.
  • Base-change compatibility of $\omega_{f}$ (axiom (3) of Definition 13 ) is automatic, because $\mathbb K_{\mathsf D, Y}$ is functorial in $Y$ (Theorem 15 ) and adjunctions are preserved by $2$-functors.

Even better, the $2$-categorical adjointness of (1) can be verified from a surprisingly small amount of data on $X$, $Y$, $X \times_{Y} X$:

Theorem 17 (Small-data criterion).

$f\colon X \to Y$ (with $Y$ final) is cohomologically smooth iff there exist:

  • a $\otimes$-invertible $L \in \mathsf D(X)$,
  • $\alpha\colon \Delta_{!}\mathbf 1_{X} \to \pi_{2}^{\ast} L$ in $\mathsf D(X \times_{Y} X)$,
  • $\beta\colon f_{!} L \to \mathbf 1_{Y}$ in $\mathsf D(Y)$,

such that the two composites

$$ \mathbf 1_{X} \cong \pi_{1!}\Delta_{!}\mathbf 1_{X} \xrightarrow{\pi_{1!}\alpha} f^{\ast} f_{!} L \xrightarrow{f^{\ast}\beta} \mathbf 1_{X}, $$$$ L \cong \pi_{2!}(\pi_{1}^{\ast} L \otimes \Delta_{!}\mathbf 1_{X}) \xrightarrow{\alpha} f^{\ast} f_{!} L \otimes L \xrightarrow{f^{\ast}\beta \otimes L} L $$

are the identity. Then $\omega_{f} \simeq L$. ([scholze-six, Lecture V] .)

The proof in $(\Leftarrow)$ is the heart of the picture: $(\alpha, \beta)$ translate literally into unit/counit $2$-morphisms making $\mathbf 1_{X}$ (in the $X \to Y$ direction) and $L$ (in the $Y \to X$ direction) an adjoint pair in $\mathbb K_{\mathsf D}$. Applying $\Psi$ gives the adjunction $f_{!} \dashv (f^{\ast}(-) \otimes L)$ in $\mathsf{Cat}$, hence $f^{!} \simeq f^{\ast}(-) \otimes L$ and $L \simeq f^{!}(\mathbf 1_{Y})$.

Example 18 (ℝ → ∗ in topology).
For $f\colon \mathbb R \to \ast$ in $\mathsf D = \mathsf D(\mathsf{Ab})$, take $L = \mathbb Z[1]$. Here $\alpha$ is a generator of $R\Gamma_{c}(\mathbb R, \mathbb Z[1]) \simeq \mathbb Z$ and $\beta$ is built from the triangle $0 \to \Delta_{!}\mathbb Z \to \mathbb Z \to j_{!}\mathbb Z \to 0$ on $\mathbb R^{2}$. Compatibility of signs is automatic. Base-changing, every manifold bundle is $\mathsf D$-smooth.

Part IV · Suave, prim, and transmutation to Gestalten

9. Suave, prim, étale, proper

Dropping invertibility from Theorem 16 produces a strictly larger, far more robust class of morphisms. This was the observation of Heyer–Mann.

Definition 19 (Suave and prim).

Let $f\colon X \to Y$ in $E$. Note $\mathsf{Hom}_{\mathbb K_{\mathsf D, Y}}(X, Y) = \mathsf D(X)$, so the unit $\mathbf 1_{X}$ is a $1$-morphism $X \to Y$.

  • $f$ is $\mathsf D$-suave if $\mathbf 1_{X}$ is a left adjoint in $\mathbb K_{\mathsf D, Y}$. The right adjoint $\omega_{f} \in \mathsf D(X)$ is the dualizing complex.
  • $f$ is $\mathsf D$-prim if $\mathbf 1_{X}$ is a right adjoint in $\mathbb K_{\mathsf D, Y}$. The left adjoint $\delta_{f} \in \mathsf D(X)$ is the codualizing complex.

The names: suave (Scholze, “close to smooth”); prim (Hansen, “close to but not proper”). $\mathsf D$-cohomological smoothness = $\mathsf D$-suave + $\omega_{f}$ invertible. ([scholze-six, Lecture VI] ; [heyer-mann] .)

Realising through $\Psi$, $f$-suaveness gives the twist formula

$$ f^{!} \simeq \omega_{f} \otimes f^{\ast}, \qquad f^{\ast} \simeq \underline{\mathrm{Hom}}(\omega_{f}, f^{!}), $$

so suaveness is the structural half of cohomological smoothness — the identity $f^{!} = \omega_{f} \otimes f^{\ast}$ — without requiring $\omega_{f}$ invertible. Dually for prim and $\delta_{f}$.

Concrete criterion

Proposition 20 (Pointwise criterion for suaveness).

$f\colon X \to Y$ is $\mathsf D$-suave iff

$$ \pi_{1}^{\ast} \underline{\mathrm{Hom}}(\mathbf 1_{X}, f^{!} \mathbf 1_{Y}) \otimes \pi_{2}^{\ast} \mathbf 1_{X} \;\xrightarrow{\;\sim\;}\; \underline{\mathrm{Hom}}(\pi_{1}^{\ast} \mathbf 1_{X}, \pi_{2}^{!} \mathbf 1_{X}) $$

is an isomorphism in $\mathsf D(X \times_{Y} X)$. Then $\omega_{f} = f^{!}\mathbf 1_{Y}$. ([heyer-mann] ; [scholze-six, Lecture VI] .)

Stability and geometric meaning

All from formal $2$-categorical adjointness (using Theorem 15 ):

  • Locality on the target: both notions descend along $\mathsf D^{\ast}$-covers.
  • Stability: suave morphisms compose, base-change, and are stable under suave pullback.
  • Self-duality: $\omega_{f}$ for $f$ suave is itself dualizable, and $\omega_{f}^{\vee} \simeq \omega_{f}$ by uniqueness of adjoints.

([heyer-mann] .) Geometric content:

  • Étale sheaves on schemes: $f$-suave = ULA — the original motivation of the kernel category in [fargues-scholze] .
  • Topology: topological manifolds are $\mathsf D$-suave with $\omega_{f} \simeq \mathbf 1[\dim f]$.
  • Representation theory of locally profinite groups: on classifying stacks, $f$-suave = admissible representations, $f$-prim = compact representations ([heyer-mann] , the main application of HM’s paper).

Étale and proper, via the diagonal

When the dualizing/codualizing complex is trivial — $\omega_{f} \simeq \mathbf 1$ or $\delta_{f} \simeq \mathbf 1$ — we recover the étale/proper hierarchy. The natural definition is recursive on the diagonal.

For $f$ truncated, using the diagonal factorisation, one builds a natural map $f^{!} \to f^{\ast}$ provided $\Delta_{f}^{!} \simeq \Delta_{f}^{\ast}$:

$$ f^{!} \simeq \Delta_{f}^{\ast} \pi_{2}^{\ast} f^{!} \xrightarrow{\sim} \Delta_{f}^{!} \pi_{2}^{\ast} f^{!} \to \Delta_{f}^{!} \pi_{1}^{!} f^{\ast} \simeq f^{\ast}. $$

The recursion terminates because the diagonal of an $n$-truncated map is $(n-1)$-truncated.

Definition 21 (Cohomologically étale and proper, inductively).

Let $f\colon X \to Y$ be $n$-truncated in $E$.

  • $f$ is cohomologically étale if $f$ is $\mathsf D$-suave and $\Delta_{f}$ is either an isomorphism or cohomologically étale.
  • $f$ is cohomologically proper if $f$ is $\mathsf D$-prim and $\Delta_{f}$ is either an isomorphism or cohomologically proper.

([scholze-six, Lecture VI] ; [heyer-mann] .)

The étale-proper dichotomy materialises:

Proposition 22 (Étale ⇔ f^! = f^*; proper ⇔ f_! = f_*).

For $f$ truncated:

  1. If $\Delta_{f}$ is cohomologically étale, the following are equivalent: $f$ is cohomologically étale; $f^{!}\mathbf 1_{Y} \simeq f^{\ast}\mathbf 1_{Y}$; $f^{!} \xrightarrow{\sim} f^{\ast}$.
  2. If $\Delta_{f}$ is cohomologically proper, the following are equivalent: $f$ is cohomologically proper; $f_{!}\mathbf 1_{X} \simeq f_{\ast}\mathbf 1_{X}$; $f_{!} \xrightarrow{\sim} f_{\ast}$.

([scholze-six, Lecture VI] ; [heyer-mann] .)

Aoki’s one-step reformulation

The inductive definition is clean but unfolds truncations. Aoki observed that the same content packages in one step once one passes through monomorphisms.

Definition 23 (Open and closed immersions).
A morphism $f\colon X \to Y$ of stacks is an open immersion if it is a $\mathsf D$-suave monomorphism, a closed immersion if it is a $\mathsf D$-prim monomorphism. ([aoki-motives] .)

Equivalently ([aoki-motives] ): $[X] \to [Y]$ admits a fully faithful $[Y]$-linear left (resp. right) adjoint.

Definition 24 (Unramified, étale, separated, proper (Aoki)).

A static (i.e.\ $0$-truncated) morphism $f$ of stacks is:

  • unramified if $\Delta_{f}$ is an open immersion;
  • étale if $f$ is suave and unramified;
  • separated if $\Delta_{f}$ is a closed immersion;
  • proper if $f$ is prim and separated.

([aoki-motives] .)

Remark(Why static?).
For a static morphism, both source and target are $0$-truncated, so $X \times_{Y} X$ is $0$-truncated, hence $\Delta_{f}\colon X \to X \times_{Y} X$ is automatically a monomorphism. Without staticity, requiring $\Delta_{f}$ to be open/closed immersion would impose an extra mono condition. The recursion of Definition 21 is now implicit: open/closed immersions encode all the truncated-diagonal data in one step.
Remark(Coda: six operations without compactification).

Aoki’s formulation has a structural dividend. With $\mathcal C$ stacks and $E$ = exceptional morphisms (those $n$-truncated $f$ along which $[Y]$ is iteratively dualizable over $[Y]^{\otimes_{[X]} S^{n-1}}$), the $(E, E)$-biadjointability condition of Theorem 6

holds, so CLL produces a six-functor formalism without input compactification. This recovers the classical six operations on locally compact Hausdorff spaces of countable weight built from open subsets of $\mathbb R^{n}$. ([aoki-motives] .)

10. Transmutation to Gestalten

The functoriality theorem (Theorem 15 ) makes $\mathbb K_{\mathsf D, (-)}$ a 3-functor formalism one categorical level higher. The natural next step is to iterate. The output is a tower of $n$-categories controlled by a single algebraic object — a Stefanich ring — and the geometric content of $\mathsf D$ is captured by a functor into $\mathsf{Gest}$.

Functorial form of $\mathbb K_{\mathsf D, Y}$

For iteration we want a description of $\mathbb K_{\mathsf D, Y}$ in which $\mathsf D$-linearity is built in from the start. Set $\mathsf{Corr}_{Y} \coloneqq \mathsf{Corr}((\mathcal C_{E})_{/Y})$. Under Day convolution, $\mathsf D$ (restricted to $\mathsf{Corr}_{Y}$) is a commutative algebra in $\mathsf{Fun}(\mathsf{Corr}_{Y}, 1\mathsf{Pr})$.

Proposition 25 (Functorial description of $\mathbb K_{\mathsf D, Y}$).

$\mathbb K_{\mathsf D, Y}$ is identified with the full sub-$2$-category of

$$ \mathsf{Mod}_{\mathsf D}\!\bigl(\mathsf{Fun}(\mathsf{Corr}_{Y}, 1\mathsf{Pr})\bigr) $$

spanned by representable $\mathsf D$-modules $[X] \coloneqq \mathsf D(- \times_{Y} X)$. ([scholze-six, Lecture V, appendix] ; [aoki-motives] .)

In this form, the $\mathsf D$-module structure is intrinsic: a kernel $K \in \mathsf D(X_{1} \times_{Y} X_{2})$ becomes a $\mathsf D$-module morphism $\varphi_{K}\colon [X_{1}] \to [X_{2}]$, and asking for $\varphi_{K}$ to admit a linear adjoint is a direct condition inside $\mathsf{Mod}_{\mathsf D}$. Statements like “$[Y]$ is self-dual over $[X]$” or “the trace of a kernel lives in $\mathsf D(Y)$” become naked symmetric-monoidal statements.

Iteration to Stefanich rings

The functorial form iterates. From $\mathsf D\colon \mathsf{Corr}(\mathcal C) \to 1\mathsf{Pr}$, the functoriality theorem gives a kernel $2$-category $\mathbb K_{\mathsf D, X}$ for each $X$; the same machinery applied to $\mathbb K_{\mathsf D, (-)}$ gives a $3$-category $\mathbb K_{\mathsf D, X}^{(2)}$, and so on. Assembling everything yields a Stefanich ring

$$ A_{\mathsf D, X} \;\coloneqq\; \bigl( \mathsf D(X),\; \mathbb K_{\mathsf D, X},\; \mathbb K_{\mathsf D, X}^{(2)},\; \ldots \bigr) \;\in\; \mathsf{StRing}. $$

([scholze-gestalten, §3] , building on [stefanich-thesis] .) Functorially: $\mathcal C^{\mathrm{op}} \to \mathsf{StRing}$.

The transmutation theorem

The Gestalt category is $\mathsf{Gest} \coloneqq \mathsf{StRing}^{\mathrm{op}}$. Composing with $\mathsf{Spec}_{\infty}\colon \mathsf{StRing} \to \mathsf{Gest}^{\mathrm{op}}$ gives the transmutation:

Theorem 26 (Transmutation).

$X \mapsto [X]_{\mathsf D} \coloneqq \mathsf{Spec}_{\infty}(A_{\mathsf D, X})$ extends to a finite-limit-preserving functor $[-]_{\mathsf D}\colon \mathcal C \to \mathsf{Gest}$, and for every $f\colon X \to Y$ in $\mathcal C$:

  1. $[f]_{\mathsf D}$ is $1$-étale and $1$-proper automatically;
  2. $f$ is $\mathsf D$-suave (resp.\ $\mathsf D$-prim) iff $[f]_{\mathsf D}$ is $0$-suave (resp.\ $0$-prim);
  3. $f$ is truncated and $\mathsf D$-cohomologically étale (resp.\ proper) iff $f$ is truncated and $[f]_{\mathsf D}$ is $0$-étale (resp.
    $0$-proper).

([scholze-gestalten, Prop. 9.5, Rem. 9.6] .)

Two things at once:

  • Level $1$ free. Whatever $f$ is geometrically, $[f]_{\mathsf D}$ is “doubly nice” at the next level — ambidexterity in the Stefanich-ring tower. The 6FF sees only level $0$; $\mathsf{Gest}$ remembers all.
  • Level $0$ faithful. Suave, prim, étale, proper for $f$ correspond exactly to their $0$-versions for $[f]_{\mathsf D}$.

Unpacking the dictionary

For $f\colon X \to Y$, write $A = A_{\mathsf D, Y}$, $B = A_{\mathsf D, X}$. The unit $\mathbf 1_{X} \in \mathsf D(X) = \mathrm{Fun}_{Y}(X, \mathbb 1)$ — a morphism $X \to \mathbb 1$ in $\mathbb K_{\mathsf D, Y}$ realising as $f_{!}$ — is the structure map $\mathbb 1 \to (B/A)_{1}$ of the algebra $(B/A)_{1} \in A_{2}$. Its Koszul dual is the counit $(B/A)^{!}_{1} \to \mathbb 1$ of the coalgebra $(B/A)^{!}_{1} = f_{1, \sharp}(\mathbb 1)$. Then ([scholze-gestalten, Defs. 6.9, 6.16] ):

$[f]_{\mathsf D}$ is $0$-prim iff for all $m \geq 1$ the map $\mathbb 1 \to (B/A)_{m}$ admits a right adjoint in $A_{m+1}$. For transmuted maps, $m \geq 2$ follow from ambidexterity, so the content is at $m = 1$: $\mathbb 1 \to (B/A)_{1}$ admits a right adjoint in $A_{2}$.

$[f]_{\mathsf D}$ is $0$-suave iff for all $m \geq 1$ both $\mathbb 1 \to (B/A)_{m}$ admits a left adjoint and $(B/A)^{!}_{m} \to \mathbb 1$ admits a right adjoint — the second a strengthening. Reduces to $m = 1$.

So suave/prim conditions on $f$, abstract adjunction statements in $\mathbb K_{\mathsf D}$, become bare adjoint existence for the unit map $\mathbb 1 \to (B/A)_{1}$ in $A_{2}$.

What this buys us

  • Six-functor formalisms forget structure. Higher-categorical data hidden in $\mathsf D$ becomes manifest in $A_{\mathsf D}$; the level-$1$ ambidexterity that was previously a theorem is now a tautology.
  • Geometry independent of the formalism. Different 6FFs on $\mathcal C$ can produce the same Gestalt $[X]_{\mathsf D}$, reducing comparison of cohomology theories to comparison of geometric objects.
  • The site is encoded. The Morel–Voevodsky example $[\operatorname{Spec}(\mathbb Z)]_{\mathsf{SH}} \in \mathsf{Gest}$ is $2$-affine, generated by $[\mathbb A^{n}_{\mathbb Z}]_{\mathsf{SH}}$, $n \geq 0$. ([scholze-gestalten, Prop. 9.9] .) The “site” of algebraic geometry is reconstructed from $\mathsf D$ alone.

A Gestalt is a six-functor formalism with all its hidden higher-categorical data made manifest. Cohomology, suaveness, properness, smoothness sit at level $0$; everything else encoded above.


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