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 3264 & All That
Intersection Theory in Algebraic Geometry

c David Eisenbud and Joe Harris

Contents

Preface xv

Chapter 0 Introduction 1

Chapter 1 Introducing the Chow ring 13

1.1 The goal of intersection theory . . . . . . . . . . . . . 14
1.2 The Chow ring . . . . . . . . . . . . . . . . . . . . . . . 15
1.2.1 Cycles . . . . . . . . . . . . . . . . . . . . .
. . . 15
1.2.2 Rational equivalence and the Chow group . . .
. . . 16
1.2.3 Transversality and the Chow ring . . . . . . .
. . . 17
1.2.4 The moving lemma . . . . . . . . . . . . . . .
. . . 19
1.3 Some techniques for computing the Chow ring . . . 22
1.3.1 The fundamental class . . . . . . . . . . . . . . . . 22
1.3.2 Rational equivalence via divisors . . . . . . . . . . 22
1.3.3 Affine space . . . . . . . . . . . . . . . . . . . . . 24
1.3.4 Mayer–Vietoris and excision . . . . . . . . . . . . . 24
1.3.5 Affine stratifications . . . . . . . . . . . . . . . . . 26
1.3.6 Functoriality . . . . . . . . . . . . . . . . . . . . . 28
1.3.7 Dimensional transversality and multiplicities . . . . 31
1.3.8 The multiplicity of a scheme at a point . . . . . . . 33
1.4 The first Chern class of a line bundle . . . . . . . . . 37
1.4.1 The canonical class . . . . . . . . . . . . . . . . . . 39
1.4.2 The adjunction formula . . . . . . . . . . . . . . . . 40
1.4.3 Canonical classes of hypersurfaces and complete in-
tersections . . . . . . . . . . . . . . . . . . . . . . 41
1.5 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . 42

Chapter 2 First examples 43

2.1 The Chow rings of P n and some related varieties . . 44
2.1.1 Bézout’s theorem . . . . . . . . . . . . . . . . . . . 46
vi Contents

2.1.2 Degrees of Veronese varieties . . . . . . . . . . . . 48

2.1.3 Degree of the dual of a hypersurface . . . . . . . . . 49
2.1.4 Products of projective spaces . . . . . . . . . . . . . 51
2.1.5 Degrees of Segre varieties . . . . . . . . . . . . . . 52
2.1.6 The class of the diagonal . . . . . . . . . . . . . . . 53
2.1.7 The class of a graph . . . . . . . . . . . . . . . . . 54
2.1.8 Nested pairs of divisors on P 1 . . . . . . . . . . . . 55
2.1.9 The blow-up of P n at a point . . . . . . . . . . . . . 56
2.1.10 Intersection multiplicities via blow-ups . . . . . . . 61
2.2 Loci of singular plane cubics . . . . . . . . . . . . . . 62
2.2.1 Reducible cubics . . . . . . . . . . . . . . . . . . . 64
2.2.2 Triangles . . . . . . . . . . . . . . . . . . . . . . . 65
2.2.3 Asterisks . . . . . . . . . . . . . . . . . . . . . . . 65
2.3 The circles of Apollonius . . . . . . . . . . . . . . . . . 66
2.3.1 What is a circle? . . . . . . . . . . . . . . . . . . . 66
2.3.2 Circles tangent to a given circle . . . . . . . . . . . 67
2.3.3 Conclusion of the argument . . . . . . . . . . . . . 68
2.4 Curves on surfaces . . . . . . . . . . . . . . . . . . . . 68
2.4.1 The genus formula . . . . . . . . . . . . . . . . . . 69
2.4.2 The self-intersection of a curve on a surface . . . . . 70
2.4.3 Linked curves in P 3 . . . . . . . . . . . . . . . . . 70
2.4.4 The blow-up of a surface . . . . . . . . . . . . . . . 72
2.4.5 Canonical class of a blow-up . . . . . . . . . . . . . 73
2.4.6 The genus formula with singularities . . . . . . . . 74
2.5 Intersections on singular varieties . . . . . . . . . . . 75
2.6 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . 78

Chapter 3 Introduction to Grassmannians and

lines in P 3 85
3.1 Enumerative formulas . . . . . . . . . . . . . . . . . . 85
3.1.1 What are enumerative problems, and how do we solve
them? . . . . . . . . . . . . . . . . . . . . . . . . . 86
3.1.2 The content of an enumerative formula . . . . . . . 87
3.2 Introduction to Grassmannians . . . . . . . . . . . . . 89
3.2.1 The Plücker embedding . . . . . . . . . . . . . . . 90
3.2.2 Covering by affine spaces; local coordinates . . . . . 92
3.2.3 Universal sub and quotient bundles . . . . . . . . . 95
3.2.4 The tangent bundle of the Grassmannian . . . . . . 96
3.2.5 The differential of a morphism to the Grassmannian 99
Contents vii

3.2.6 Tangent spaces via the universal property . . . . . . 100

3.3 The Chow ring of G.1; 3/ . . . . . . . . . . . . . . . . 102
3.3.1 Schubert cycles in G.1; 3/ . . . . . . . . . . . . . . 102
3.3.2 Ring structure . . . . . . . . . . . . . . . . . . . . . 105
3.4 Lines and curves in P 3 . . . . . . . . . . . . . . . . . . 110
3.4.1 How many lines meet four general lines? . . . . . . 110
3.4.2 Lines meeting a curve of degree d . . . . . . . . . . 111
3.4.3 Chords to a space curve . . . . . . . . . . . . . . . 113
3.5 Specialization . . . . . . . . . . . . . . . . . . . . . . . . 115
3.5.1 Schubert calculus by static specialization . . . . . . 115
3.5.2 Dynamic projection . . . . . . . . . . . . . . . . . 117
3.5.3 Lines meeting a curve by specialization . . . . . . . 120
3.5.4 Chords via specialization: multiplicity problems . . 121
3.5.5 Common chords to twisted cubics via specialization 122
3.6 Lines and surfaces in P 3 . . . . . . . . . . . . . . . . . 122
3.6.1 Lines lying on a quadric . . . . . . . . . . . . . . . 122
3.6.2 Tangent lines to a surface . . . . . . . . . . . . . . . 123
3.7 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . 125

Chapter 4 Grassmannians in general 131

4.1 Schubert cells and Schubert cycles . . . . . . . . . . . 132
4.1.1 Schubert classes and Chern classes . . . . . . . . . 134
4.1.2 The affine stratification by Schubert cells . . . . . . 135
4.1.3 Equations of the Schubert cycles . . . . . . . . . . . 138
4.2 Intersection products . . . . . . . . . . . . . . . . . . . 139
4.2.1 Transverse flags . . . . . . . . . . . . . . . . . . . 139
4.2.2 Intersections in complementary dimension . . . . . 141
4.2.3 Varieties swept out by linear spaces . . . . . . . . . 144
4.2.4 Pieri’s formula . . . . . . . . . . . . . . . . . . . . 145
4.3 Grassmannians of lines . . . . . . . . . . . . . . . . . . 147
4.4 Dynamic specialization . . . . . . . . . . . . . . . . . . 150
4.5 Young diagrams . . . . . . . . . . . . . . . . . . . . . . 152
4.5.1 Pieri’s formula for the other special Schubert classes 154
4.6 Linear spaces on quadrics . . . . . . . . . . . . . . . . 155
4.7 Giambelli’s formula . . . . . . . . . . . . . . . . . . . . 157
4.8 Generalizations . . . . . . . . . . . . . . . . . . . . . . 159
4.8.1 Flag manifolds . . . . . . . . . . . . . . . . . . . . 159
4.8.2 Lagrangian Grassmannians and beyond . . . . . . . 160
4.9 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . 161
viii Contents

Chapter 5 Chern classes 165

5.1 Introduction: Chern classes and the lines on a cubic
surface . . . . . . . . . . . . . . . . . . . . . . . . . . . . 165
5.2 Characterizing Chern classes . . . . . . . . . . . . . . 167
5.3 Constructing Chern classes . . . . . . . . . . . . . . . 170
5.4 The splitting principle . . . . . . . . . . . . . . . . . . 172
5.5 Using Whitney’s formula with the splitting principle 173
5.5.1 Tensor products with line bundles . . .
. . . . . . . 174
5.5.2 Tensor product of two bundles . . . . .
. . . . . . . 176
5.6 Tautological bundles . . . . . . . . . . . .
. . . . . . . 177
5.6.1 Projective spaces . . . . . . . . . . . .
. . . . . . . 177
5.6.2 Grassmannians . . . . . . . . . . . . .
. . . . . . . 178
5.7 Chern classes of varieties . . . . . . . . . .
. . . . . . . 179
5.7.1 Tangent bundles of projective spaces . .
. . . . . . . 179
5.7.2 Tangent bundles to hypersurfaces . . .
. . . . . . . 179
5.7.3 The topological Euler characteristic . .
. . . . . . . 180
5.7.4 First Chern class of the Grassmannian .
. . . . . . . 183
5.8 Generators and relations for A.G.k; n// . . . . . . . 183
5.9 Steps in the proofs of Theorem 5.3 . . . . . . . . . . . 187
5.9.1 Whitney’s formula for globally generated bundles . . 187
5.10 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . 191

Chapter 6 Lines on hypersurfaces 193

6.1 What to expect . . . . . . . . . . . . . . . . . . . . . . . 194
6.1.1 Definition of the Fano scheme . . . . . . . . . . . . 196
6.2 Fano schemes and Chern classes . . . . . . . . . . . . 198
6.2.1 Counting lines on cubics . . . . . . . . . . . . . . . 199
6.3 Definition and existence of Hilbert schemes . . . . . 201
6.3.1 A universal property of the Grassmannian . . . . . . 201
6.3.2 A universal property of the Fano scheme . . . . . . 203
6.3.3 The Hilbert scheme and its universal property . . . . 203
6.3.4 Sketch of the construction of the Hilbert scheme . . 205
6.4 Tangent spaces to Fano and Hilbert schemes . . . . . 208
6.4.1 Normal bundles and the smoothness of the Fano scheme 208
6.4.2 First-order deformations as tangents to the Hilbert
scheme . . . . . . . . . . . . . . . . . . . . . . . . 212
6.4.3 Normal bundles of k-planes on hypersurfaces . . . . 219
6.4.4 The case of lines . . . . . . . . . . . . . . . . . . . 223
6.5 Lines on quintic threefolds and beyond . . . . . . . . 227
Contents ix

6.6 The universal Fano scheme and the geometry of fam-

ilies of lines . . . . . . . . . . . . . . . . . . . . . . . . . 229
6.6.1 Lines on the quartic surfaces in a pencil . . . . . . . 233
6.7 Lines on a cubic with a double point . . . . . . . . . . 234
6.8 The Debarre–de Jong Conjecture . . . . . . . . . . . 236
6.8.1 Further open problems . . . . . . . . . . . . . . . . 238
6.9 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . 240

Chapter 7 Singular elements of linear series 244

7.1 Singular hypersurfaces and the universal singularity 245
7.2 Bundles of principal parts . . . . . . . . . . . . . . . . 247
7.3 Singular elements of a pencil . . . . . . . . . . . . . . 251
7.3.1 From pencils to degeneracy loci . . . . . . . . . . . 251
7.3.2 The Chern class of a bundle of principal parts . . . . 252
7.3.3 Triple points of plane curves . . . . . . . . . . . . . 256
7.3.4 Cones . . . . . . . . . . . . . . . . . . . . . . . . . 257
7.4 Singular elements of linear series in general . . . . . 258
7.4.1 Number of singular elements of a pencil . . . . . . . 259
7.4.2 Pencils of curves on a surface . . . . . . . . . . . . 260
7.4.3 The second fundamental form . . . . . . . . . . . . 262
7.5 Inflection points of curves in P r . . . . . . . . . . . . . 265
7.5.1 Vanishing sequences and osculating planes . . . . . 266
7.5.2 Total inflection: the Plücker formula . . . . . . . . . 268
7.5.3 The situation in higher dimension . . . . . . . . . . 272
7.6 Nets of plane curves . . . . . . . . . . . . . . . . . . . . 273
7.6.1 Class of the universal singular point . . . . . . . . . 273
7.6.2 The discriminant of a net of plane curves . . . . . . 274
7.7 The topological Hurwitz formula . . . . . . . . . . . . 277
7.7.1 Pencils of curves on a surface, revisited . . . . . . . 279
7.7.2 Multiplicities of the discriminant hypersurface . . . 280
7.7.3 Tangent cones of the discriminant hypersurface . . . 282
7.8 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . 285

Chapter 8 Compactifying parameter spaces 289

8.1 Approaches to the five conic problem . . . . . . . . . 290
8.2 Complete conics . . . . . . . . . . . . . . . . . . . . . . 293
8.2.1 Informal description . . . . . . . . . . . . . . . . . 293
8.2.2 Rigorous description . . . . . . . . . . . . . . . . . 296
8.2.3 Solution to the five conic problem . . . . . . . . . . 302
x Contents

8.2.4 Chow ring of the space of complete conics . . . . . 306

8.3 Complete quadrics . . . . . . . . . . . . . . . . . . . . 309
8.4 Parameter spaces of curves . . . . . . . . . . . . . . . 310
8.4.1 Hilbert schemes . . . . . . . . . . . . . . . . . . . 310
8.4.2 Report card for the Hilbert scheme . . . . . . . . . . 311
8.4.3 The Kontsevich space . . . . . . . . . . . . . . . . 312
8.4.4 Report card for the Kontsevich space . . . . . . . . 316
8.5 How the Kontsevich space is used: rational plane
curves . . . . . . . . . . . . . . . . . . . . . . . . . . . . 317
8.6 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . 321

Chapter 9 Projective bundles and their Chow rings 323

9.1 Projective bundles and the tautological divisor class 323
9.1.1 Example: rational normal scrolls . . . . . . . . . . . 324
9.2 Maps to a projective bundle . . . . . . . . . . . . . . . 327
9.3 Chow ring of a projective bundle . . . . . . . . . . . . 331
9.3.1 The universal k-plane over G.k; n/ . . . . . . . . . 335
9.3.2 The blow-up of P n along a linear space . . . . . . . 337
9.3.3 Nested pairs of divisors on P 1 revisited . . . . . . . 339
9.4 Projectivization of a subbundle . . . . . . . . . . . . . 340
9.4.1 Ruled surfaces . . . . . . . . . . . . . . . . . . . . 341
9.4.2 Self-intersection of the zero section . . . . . . . . . 343
9.5 Brauer–Severi varieties . . . . . . . . . . . . . . . . . . 344
9.6 Chow ring of a Grassmannian bundle . . . . . . . . . 346
9.7 Conics in P 3 meeting eight lines . . . . . . . . . . . . 347
9.7.1 The parameter space as projective bundle . . . . . . 348
9.7.2 The class ı of the cycle of conics meeting a line . . . 349
9.7.3 The degree of ı 8 . . . . . . . . . . . . . . . . . . . 350
9.7.4 The parameter space as Hilbert scheme . . . . . . . 350
9.7.5 Tangent spaces to incidence cycles . . . . . . . . . . 352
9.7.6 Proof of transversality . . . . . . . . . . . . . . . . 354
9.8 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . 355

Chapter 10 Segre classes and varieties of linear

spaces 362
10.1 Segre classes . . . . . . . . . . . . . . . . . . . . . . . . 362
10.2 Varieties swept out by linear spaces . . . . . . . . . . 366
10.3 Secant varieties . . . . . . . . . . . . . . . . . . . . . . 367
10.3.1 Symmetric powers . . . . . . . . . . . . . . . . . . 367
Contents xi

10.3.2 Secant varieties in general . . . . . . . . . . . . . . 369

10.4 Secant varieties of rational normal curves . . . . . . 373
10.4.1 Secants to rational normal curves . . . . . . . . . . 373
10.4.2 Degrees of the secant varieties . . . . . . . . . . . . 375
10.4.3 Expression of a form as a sum of powers . . . . . . 376
10.5 Special secant planes . . . . . . . . . . . . . . . . . . . 377
10.5.1 The class of the locus of secant planes . . . . . . . . 378
10.5.2 Secants to curves of positive genus . . . . . . . . . 380
10.6 Dual varieties and conormal varieties . . . . . . . . . 380
10.6.1 The universal hyperplane as projectivized cotangent
bundle . . . . . . . . . . . . . . . . . . . . . . . . . 382
10.7 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . 385

Chapter 11 Contact problems 389

11.1 Lines meeting a surface to high order . . . . . . . . . 390
11.1.1 Bundles of relative principal parts . . . . . . . . . . 391
11.1.2 Relative tangent bundles of projective bundles . . . 393
11.1.3 Chern classes of contact bundles . . . . . . . . . . . 394
11.2 The case of negative expected dimension . . . . . . . 396
11.2.1 Lines on smooth surfaces in P 3 . . . . . . . . . . . 397
11.2.2 The flecnodal locus . . . . . . . . . . . . . . . . . . 400
11.3 Flexes via defining equations . . . . . . . . . . . . . . 401
11.3.1 Hyperflexes . . . . . . . . . . . . . . . . . . . . . . 403
11.3.2 Flexes on families of curves . . . . . . . . . . . . . 405
11.3.3 Geometry of the curve of flex lines . . . . . . . . . 408
11.4 Cusps of plane curves . . . . . . . . . . . . . . . . . . . 409
11.4.1 Plane curve singularities . . . . . . . . . . . . . . . 410
11.4.2 Characterizing cusps . . . . . . . . . . . . . . . . . 413
11.4.3 Solution to the enumerative problem . . . . . . . . . 414
11.4.4 Another approach to the cusp problem . . . . . . . . 417
11.5 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . 420

Chapter 12 Porteous’ formula 426

12.1 Degeneracy loci . . . . . . . . . . . . . . . . . . . . . . 426
12.2 Porteous’ formula for M0 .'/ . . . . . . . . . . . . . . 429
12.3 Proof of Porteous’ formula in general . . . . . . . . . 430
12.3.1 Reduction to a generic case . . . . . . . . . . . . . 430
12.3.2 Relation to the case k D 0 . . . . . . . . . . . . . . 431
12.3.3 Pushforward from the Grassmannian bundle . . . . . 432
xii Contents

12.4 Geometric applications . . . . . . . . . . . . . . . . . . 433

12.4.1Degrees of determinantal varieties . . . . . . . . . . 433
12.4.2Pinch points of surfaces . . . . . . . . . . . . . . . 436
12.4.3Pinch points and the tangential variety of S . . . . . 439
12.4.4Quadrisecants to rational curves . . . . . . . . . . . 440
12.5 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . 442

Chapter 13 Excess intersections and the Chow ring

of a blow-up 445
13.1 First examples . . . . . . . . . . . . . . . . . . . . . . . 447
13.1.1 The intersection of a divisor and a subvariety . . . . 447
13.1.2 Three surfaces in P 3 containing a curve . . . . . . . 449
13.2 Segre classes of subvarieties . . . . . . . . . . . . . . . 453
13.3 The excess intersection formula . . . . . . . . . . . . . 454
13.3.1 Heuristic argument for the excess intersection formula 456
13.3.2 Connected components versus irreducible components 458
13.3.3 Two surfaces in P 4 containing a curve . . . . . . . . 459
13.3.4 Quadrics containing a linear space . . . . . . . . . . 460
13.3.5 The five conic problem . . . . . . . . . . . . . . . . 462
13.3.6 Intersections of hypersurfaces in general: Vogel’s ap-
proach . . . . . . . . . . . . . . . . . . . . . . . . 464
13.4 Intersections in a subvariety . . . . . . . . . . . . . . . 465
13.4.1 Specialization to the normal cone . . . . . . . . . . 467
13.4.2 Proof of the key formula . . . . . . . . . . . . . . . 468
13.5 Pullbacks to a subvariety . . . . . . . . . . . . . . . . . 469
13.5.1 The degree of a generically finite morphism . . . . . 470
13.6 The Chow ring of a blow-up . . . . . . . . . . . . . . . 471
13.6.1 The normal bundle of the exceptional divisor . . . . 472
13.6.2 Generators of the Chow ring . . . . . . . . . . . . . 473
13.6.3 Example: the blow-up of P 3 along a curve . . . . . 473
13.6.4 Relations on the Chow ring of a blow-up . . . . . . 476
13.7 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . 477

Chapter 14 The Grothendieck Riemann–Roch

theorem 481
14.1 The Riemann–Roch formula for curves and surfaces 481
14.1.1 Curves . . . . . . . . . . . . . . . . . . . . . . . . 481
14.1.2 Surfaces . . . . . . . . . . . . . . . . . . . . . . . . 483
Contents xiii

14.2 Arbitrary dimension . . . . . . . . . . . . . . . . . . . 484

14.2.1 The Chern character . . . . . . . . . . . . . . . . . 484
14.2.2 The Todd class . . . . . . . . . . . . . . . . . . . . 487
14.2.3 Hirzebruch Riemann–Roch . . . . . . . . . . . . . 488
14.3 Families of bundles . . . . . . . . . . . . . . . . . . . . 489
14.3.1 Grothendieck Riemann–Roch . . . . . . . . . . . . 489
14.3.2 Example: Chern classes of Sym3 S  on G.1; 3/ . . . 490
14.4 Application: jumping lines . . . . . . . . . . . . . . . . 493
14.4.1 Loci of bundles on P 1 with given splitting type . . . 494
14.4.2 Jumping lines of bundles of rank 2 on P 2 . . . . . . 497
14.4.3 Examples . . . . . . . . . . . . . . . . . . . . . . . 501
14.5 Application: invariants of families of curves . . . . . 502
14.5.1 Example: pencils of quartics in the plane . . . . . . 504
14.5.2 Proof of the Mumford relation . . . . . . . . . . . . 506
14.6 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . 507

Appendix A The moving lemma 511

A.1 Generic transversality to a cycle . . . . . . . . . . . . 512
A.2 Generic transversality to a morphism . . . . . . . . . 518

Appendix B Direct images, cohomology and base

change 520
B.1 Can you define a bundle by its fibers? . . . . . . . . . 520
B.2 Direct images . . . . . . . . . . . . . . . . . . . . . . . . 523
B.3 Higher direct images . . . . . . . . . . . . . . . . . . . 528
B.4 The direct image complex . . . . . . . . . . . . . . . . 533
B.5 Proofs of the theorems on cohomology and base
change . . . . . . . . . . . . . . . . . . . . . . . . . . . . 535
B.6 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . 540

Appendix C Topology of algebraic varieties 543

C.1 GAGA theorems . . . . . . . . . . . . . . . . . . . . . . 543
C.2 Fundamental classes and Hodge theory . . . . . . . . 544
C.2.1 Fundamental classes . . . . . . . . . . . . . . . . . 544
C.2.2 The Hodge decomposition . . . . . . . . . . . . . . 546
C.2.3 The Hodge diamond . . . . . . . . . . . . . . . . . 548
C.2.4 The Hodge conjecture . . . . . . . . . . . . . . . . 549
C.3 Comparison of rational equivalence with other cycle
theories . . . . . . . . . . . . . . . . . . . . . . . . . . . 550
xiv Contents

C.3.1 Algebraic equivalence . . . . . . . . . . . . . . . . 551

C.3.2 Algebraic cycles modulo homological equivalence . 552
C.3.3 Numerical equivalence . . . . . . . . . . . . . . . . 552
C.3.4 Comparing the theories . . . . . . . . . . . . . . . . 553
C.4 The Lefschetz hyperplane theorem . . . . . . . . . . . 553
C.4.1 Applications to hypersurfaces and complete intersec-
tions . . . . . . . . . . . . . . . . . . . . . . . . . . 554
C.4.2 Extensions and generalizations . . . . . . . . . . . . 557
C.5 The hard Lefschetz theorem and Hodge–Riemann
bilinear relations . . . . . . . . . . . . . . . . . . . . . . 558
C.6 Chern classes in topology and differential geometry 559
C.6.1 Chern classes and obstructions . . . . . . . . . . . . 560
C.6.2 Chern classes and curvature . . . . . . . . . . . . . 561

Appendix D Maps from curves to projective space 564

D.1 What maps to projective space do curves have? . . . 565
D.1.1 The Riemann–Roch theorem . . . . . . . . . . . . . 567
D.1.2 Clifford’s theorem . . . . . . . . . . . . . . . . . . 569
D.1.3 Castelnuovo’s theorem . . . . . . . . . . . . . . . . 570
D.2 Families of divisors . . . . . . . . . . . . . . . . . . . . 571
D.2.1 The Jacobian . . . . . . . . . . . . . . . . . . . . . 571
D.2.2 Abel’s theorem . . . . . . . . . . . . . . . . . . . . 572
D.2.3 Moduli spaces of divisors and line bundles . . . . . 575
D.3 The Brill–Noether theorem . . . . . . . . . . . . . . . 576
D.3.1 How to guess the Brill–Noether theorem and prove
existence . . . . . . . . . . . . . . . . . . . . . . . 578
D.3.2 How the other half is proven . . . . . . . . . . . . . 579
D.4 Wdr as a degeneracy locus . . . . . . . . . . . . . . . . 580
D.4.1 The universal line bundle . . . . . . . . . . . . . . . 580
D.4.2 The evaluation map . . . . . . . . . . . . . . . . . . 582
D.5 Natural classes in the cohomology ring of the Jacobian 583
D.5.1 Poincaré’s formula . . . . . . . . . . . . . . . . . . 585
D.5.2 Symmetric powers as projective bundles . . . . . . . 587
D.5.3 Chern classes from the symmetric power . . . . . . 589
D.5.4 The class of Wdr . . . . . . . . . . . . . . . . . . . 590
D.6 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . 592
References 594
Index 602
Preface

We have been working on this project for over ten years, and at times we have felt
that we have only brought on ourselves a plague of locus. However, our spirits have been
lightened, and the project made far easier and more successful than it would have been,
by the interest and help of many people.
First of all, we thank Bill Fulton, who created much of the modern approach to
intersection theory, and who directly informed our view of the subject from the beginning.
Many people have helped us by reading early versions of the text and providing
comments and corrections. Foremost among these is Paolo Aluffi, who gave extensive
and detailed comments; we also benefited greatly from the advice of Francesco Cavazzani
and Izzet Coşkun. We would also thank Mike Roth and Stephanie Yang, who provided
notes on the early iterations of a course on which much of this text is based, as well as
students who contributed corrections, including Sitan Chen, Jun Hou Fung, Changho
Han, Chi-Yun Hsu, Hannah Larson, Ravi Jagadeesan, Aaron Landesman, Yogesh More,
Arpon Raksit, Ashvin Swaminathan, Arnav Tripathy, Isabel Vogt and Lynnelle Ye.
Silvio Levy made many of the many illustrations in this book (and occasionally
corrected our mathematical errors too!). Devlin Mallory then took over as copyeditor,
and completed the rest of the figures. We are grateful to both of them for their many
improvements to this text (and to Cambridge University Press for hiring Devlin!).
We are all familiar with the after-the-fact tone — weary, self-justificatory, aggrieved, apologetic —
shared by ship captains appearing before boards of inquiry to explain how they came to run their
vessels aground, and by authors composing forewords.
–John Lanchester
Chapter 0
Introduction

Es gibt nach des Verf. Erfarhrung kein besseres Mittel, Geometrie zu lernen, als das Studium des
Schubertschen Kalküls der abzählenden Geometrie.
(There is, in the author’s experience, no better means of learning geometry than the study of
Schubert’s Calculus of Enumerative Geometry.)
–B. L. van der Waerden (in a Zentralblatt review of An Introduction to Enumerative Geometry by
Hendrik de Vries).

Why you want to read this book

Algebraic geometry is one of the central subjects of mathematics. All but the most
analytic of number theorists speak our language, as do mathematical physicists, complex
analysts, homotopy theorists, symplectic geometers, representation theorists. . . . How
else could you get between such apparently disparate fields as topology and number
theory in one hop, except via algebraic geometry?
And intersection theory is at the heart of algebraic geometry. From the very begin-
nings of the subject, the fact that the number of solutions to a system of polynomial
equations is, in many circumstances, constant as we vary the coefficients of those poly-
nomials has fascinated algebraic geometers. The distant extensions of this idea still drive
the field forward.
At the outset of the 19th century, it was to extend this “preservation of number” that
algebraic geometers made two important choices: to work over the complex numbers
rather than the real numbers, and to work in projective space rather than affine space.
(With these choices the two points of intersection of a line and an ellipse have somewhere
to go as the ellipse moves away from the real points of the line, and the same for the point
of intersection of two lines as the lines become parallel.) Over the course of the century,
geometers refined the art of counting solutions to geometric problems — introducing the
central notion of a parameter space, proposing the notions of an equivalence relation
2 Chapter 0 Introduction

on cycles and a product on the equivalence classes and using these in many subtle
calculations. These constructions were fundamental to the developing study of algebraic
curves and surfaces.
In a different field, it was the search for a mathematically precise way of describing
intersections that underlay Poincaré’s study of what became algebraic topology. We
owe Poincaré duality and a great deal more in algebraic topology directly to this search.
The difficulties Poincaré encountered in working with continuous spaces (now called
manifolds) led him to develop the idea of a simplicial complex as well.
Despite a lack of precise foundations, 19th century enumerative geometry rose to
impressive heights: for example, Schubert, whose Kalkül der abzählenden Geometrie
(originally published in 1879, and reprinted 100 years later in [1979]) represents the
summit of intersection theory in the late 19th century, calculated the number of twisted
cubics tangent to 12 quadrics — and got the right answer (5,819,539,783,680). Imagine
landing a jumbo jet blindfolded!
At the outset of the 20th century, Hilbert made finding rigorous foundations for
Schubert calculus one of his celebrated problems, and the quest to put intersection theory
on a sound footing drove much of algebraic geometry for the following century; the
search for a definition of multiplicity fueled the subject of commutative algebra in work of
van der Waerden, Zariski, Samuel, Weil and Serre. This progress culminated, towards the
end of the century, in the work of Fulton and MacPherson and then in Fulton’s landmark
book Intersection theory [1984], which both greatly extended the range of intersection
theory and for the first time put the subject on a precise and rigorous foundation.
The development of intersection theory is far from finished. Today the focus includes
virtual fundamental cycles, quantum intersection rings, Gromov–Witten theory and the
extension of intersection theory from schemes to stacks. In a different direction, there
are computer systems that can do many of the computations in this book and many more;
see for example the package Schubert2 in Macaulay2 (Grayson and Stillman [2015])
and the library Schubert in S INGULAR (Decker et al. [2015]).
A central part of a central subject of mathematics — of course you would want to
read this book!

Why we wrote this book

Given the centrality of the subject, it is not surprising how much of algebraic geome-
try one encounters in learning enumerative geometry. And that is how this book came to
be written, and why: Like van der Waerden, we found that intersection theory makes for
a great “second course” in algebraic geometry, weaving together threads from all over the
subject. Moreover, the new ideas encountered in this setting are not merely more abstract
definitions for the student to memorize, but tools that help answer concrete questions.
Introduction Chapter 0 3

This is reflected in the organization of the contents. A good example of this is Chap-
ter 6 (“Lines on hypersurfaces”). The stated goal of the chapter is to describe the class, in
the Grassmannian G.1; n/ of lines in P n , of the scheme F1 .X /  G.1; n/ of lines lying
on a given hypersurface X  P n , as an application of the new technique of Chern classes.
But this raises a question: how can we characterize the scheme structure on F1 .X /, and
what can we say about the geometry of this scheme? In short, this is an ideal time to intro-
duce the notion of a Hilbert scheme, which gives a general framework for these questions;
in the present setting, we can explicitly write down the equations defining F1 .X /, and
prove theorems about its local geometry. In the end, a large part of the chapter is devoted
to this discussion, which is as it should be: A reader may or may not have any use for the
knowledge that a general quintic hypersurface X  P 4 contains exactly 2875 lines, but a
functional understanding of Hilbert schemes is a fundamental tool in algebraic geometry.

What’s with the title?

The number in the title of this book is a reference to the solution of a classic problem
in enumerative geometry: the determination, by Chasles, of the number of smooth conic
plane curves tangent to five given general conics. The problem is emblematic of the
dual nature of the subject. On the one hand, the number itself is of little significance:
life would not be materially different if there were more or fewer. But the fact that the
problem is well-posed — that there is a Zariski open subset of the space of 5-tuples
.C1 ; : : : ; C5 / of conics for which the number of conics tangent to all five is constant,
and that we can in fact determine that number — is at the heart of algebraic geometry.
And the insights developed in the pursuit of a rigorous derivation of the number — the
recognition of the need for, and the introduction of, a new parameter space for plane
conics, and the understanding of why intersection products are well-defined for this
space — are landmarks in the development of algebraic geometry.
The rest of the title is from “1066 & All That” by W. C. Sellar and R. J. Yeatman, a
parody of English history textbooks; in many ways the number 3264 of conics tangent
to five general conics is as emblematic of enumerative geometry as the date 1066 of the
Battle of Hastings is of English history.

What is in this book

We are dealing here with a fundamental and almost paradoxical difficulty. Stated briefly, it is that
learning is sequential but knowledge is not. A branch of mathematics [. . . ] consists of an intricate
network of interrelated facts, each of which contributes to the understanding of those around
it. When confronted with this network for the first time, we are forced to follow a particular path,
which involves a somewhat arbitrary ordering of the facts.
–Robert Osserman.
4 Chapter 0 Introduction

Where to begin? To start with the technical underpinnings of a subject risks losing
the reader before the point of all the preliminary work is made clear, but to defer the
logical foundations carries its own dangers — as the unproved assertions mount up, the
reader may well feel adrift.
Intersection theory poses a particular challenge in this regard, since the development
of its foundations is so demanding. It is possible, however, to state fairly simply and
precisely the main foundational results of the subject, at least in the limited context of
intersections on smooth projective varieties. The reader who is willing to take these
results on faith for a little while, and accept this restriction, can then be shown what the
subject is good for, in the form of examples and applications. This is the path we have
chosen in this book, as we will now describe.

Overture
The first two chapters may be thought of as an overture to the subject, introducing
the central themes that will play out in the remainder of the book. In the first chapter,
we introduce rational equivalence, the Chow ring, the pullback and pushforward maps —
the “dogma” of the subject. (In regard to the existence of an intersection product and
pullback maps, we do not give proofs; instead, we refer the reader to Fulton [1984].) We
follow this in the second chapter with a range of simple examples to give the reader a
sense of the themes to come: the computation of Chow rings of affine and projective
spaces, their products and (some) blow-ups. To illustrate how intersection theory is
used in algebraic geometry, we examine loci of various types of singular cubic plane
curves, thought of as subvarieties of the projective space P 9 parametrizing plane cubics.
Finally, we briefly discuss intersection products of curves on surfaces, an important early
example of the subject.

Grassmannians
The intersection rings of the Grassmannians are archetypal examples of intersection
theory. Chapters 3 and 4 are devoted to them and their underlying geometry. Here we
introduce Schubert cycles, whose classes form a basis for the Chow ring, and use them
to solve a number of geometric problems, illustrating again how intersection theory is
used to solve enumerative problems.

Chern classes
We then come to a watershed in the subject. Chapter 5 takes up in earnest a notion
at the center of modern intersection theory, and indeed of modern algebraic geometry:
Chern classes. As with the development of intersection theory, we focus on the classical
characterization of Chern classes as degeneracy loci of collections of sections. This
interpretation provides useful intuition and is basic to many applications of the theory.
Introduction Chapter 0 5

Applications, I: Using the tools

We illustrate the use of Chern classes by taking up two classical problems: Chapter 6
deals with the question of how many lines lie on a hypersurface (for example, the
fact that there are exactly 27 lines on each smooth cubic surface and 2875 lines on
a general quintic threefold), and Chapter 7 looks at the singular hypersurfaces in a
one-dimensional family (for example, the fact that a general pencil of plane curves of
degree d has 3.d 1/2 singular elements). Using the basic technique of linearization,
these problems can be translated into problems of computing Chern classes. These and
the next few chapters are organized around geometric problems involving constructions
of useful vector bundles and the calculation of their Chern classes.

Parameter spaces
Chapter 8 concerns an area in which intersection theory has had a profound influence
on modern algebraic geometry: parameter spaces and their compactifications. This is
illustrated with the five conic problem; there is also a discussion of the modern example
of Kontsevich spaces, and an application of these.

Applications, II: Further developments

The remainder of the book introduces a series of increasingly advanced topics.
Chapters 9, 10 and 11 deal with a situation ubiquitous in the subject, the intersection
theory of projective bundles, and its applications to subjects such as projective duality
and the enumerative geometry of contact conditions.
Chern classes are defined in terms of the loci where collections of sections of a
vector bundle become dependent. These can be interpreted as loci where maps from
trivial vector bundles drop rank. The Porteous formula, proved and applied in Chapter 12,
generalizes this, expressing the classes of the loci where a map between two general
vector bundles has a given rank or less in terms of the Chern classes of the two bundles
involved.

Advanced topics
Next, we come to some of the developments of the modern theory of intersections. In
Chapter 13, we introduce the notion of “excess” intersections and the excess intersection
formula, one of the subjects that was particularly mysterious in the 19th century but
elucidated by Fulton and MacPherson. This theory makes it possible to describe the
intersection class of two cycles, even if the dimension of their intersection is “too
large.” Central to this development is the idea of specialization to the normal cone, a
construction fundamental to the work of Fulton and MacPherson; we use this to prove
6 Chapter 0 Introduction

the famous “key formula” comparing intersections of cycles in a subvariety Z  X to

the intersections of those cycles in X , and use this in turn to give a description of the
Chow ring of a blow-up.
Chapter 14 contains an account of Riemann–Roch formulas, leading up to a descrip-
tion of Grothendieck’s version. The chapter concludes with a number of examples and
applications showing how Grothendieck’s formula can be used.

Appendices
The moving lemma
The literature contains a number of papers proving various parts of the moving
lemma (see below for a statement). We give a careful proof of the first half of the lemma
in Appendix A.

Cohomology and base change

Many results in this book will be proved by constructing an appropriate vector
bundle and computing its Chern classes. The theorem on cohomology and base change
(Theorem B.5) is a key tool in these constructions: We use it to show that, under
appropriate hypotheses, the direct image of a sheaf is a vector bundle. We present a
complete discussion of this important result in Appendix B.

Topology of algebraic varieties

When we treat algebraic varieties over an arbitrary field we use the Zariski topology,
where an open set is defined as the locus where a polynomial function takes nonzero
values. But if the ground field is the complex numbers, we can also use the “classical”
topology: With this topology, a smooth projective variety over C is a compact, complex
manifold, and tools like singular homology can help us study its geometry. Appendix C
explains some of what is known in this direction, and also compares some of the possible
substitutes for the Chow ring.

The Brill–Noether theorem

Appendix D explains an application of enumerative geometry to a problem that is
central in the study of algebraic curves and their moduli spaces: the existence of special
linear series on curves. We give the Kempf/Kleiman–Laksov proof of this theorem,
which draws upon many of the ideas and techniques of the book, plus a new one: the use
of topological cohomology in the context of intersection theory. This is also a wonderful
illustration of the way in which enumerative geometry can be the essential ingredient in
the proof of a purely qualitative result.
Introduction Chapter 0 7

Relation of this book to Intersection theory

Fulton’s book Intersection theory [1984] is a great work. It sets up for the first time
a rigorous framework for intersection theory, and does so in a generality significantly
extending and refining what was known before and laying out an enormous number of
applications. It stands as an encyclopedic reference for the subject.
By contrast, the present volume is intended as a textbook in algebraic geometry, a
second course, in which the classical side of intersection theory is a starting point for
exploring many topics in geometry. We describe the intersection product at the outset,
but do not attempt to give a rigorous proof of its existence, focusing instead on basic
examples. We use concrete problems to motivate the introduction of new tools from all
over algebraic geometry. Our book is not a substitute for Fulton’s; it has a different aim.
We do hope that it will provide the reader with intuition and motivation that will make
reading Fulton’s book easier.

Existence of the intersection product

The moving lemma was for most of a century the foundation on which intersection
theory was supposed to rest. It has two parts:
(a) Given classes ˛; ˇ 2 A.X / in the Chow group of a smooth, projective variety X,
we can find representative cycles A and B intersecting generically transversely.
(b) The class of the intersection of these cycles is independent of the choice of A and B.
Using these assertions it is easy to define the intersection product on the Chow
groups of a smooth variety: ˛ˇ is defined to be the class of A \ B, where A and B are
cycles representing the classes ˛ and ˇ and intersecting generically transversely, and
this is how intersection products were defined. The problem is that, while the first part
can be and was proved rigorously, as far as we know there was prior to the publication
of Fulton’s book in 1984 no complete proof of the second part. Of course, part (b)
is an immediate consequence of the existence of a well-defined intersection product
(Fulton [1984, Section 8.3]), and so we refer the reader to Fulton’s book for this key
existence result.
Nonetheless, we feel that part (a) of the moving lemma is useful in shaping one’s
intuition about intersection products. Moreover, given the existence statement, part (a)
of the moving lemma allows simpler and more intuitive proofs of a number of the basic
assertions of the theory, and we will use it in that way. We therefore give a proof of part
(a) in Appendix A, following Severi’s ideas.

Keynote problems
To highlight the sort of problems we will learn to solve, and to motivate the material
we present, we will begin each chapter with some keynote questions.
8 Chapter 0 Introduction

Exercises
One of the wonderful things about the subject of enumerative geometry is the
abundance of illuminating examples that are accessible to explicit computation. We
have included many of these as exercises. We have been greatly aided by Francesco
Cavazzani; in particular, he has prepared solutions, which appear on a web site associated
to this book.

Prerequisites, notation and conventions

What you need to know before starting
When it comes to prerequisites, there are two distinct questions: what you should
know to start reading this book; and what you should be prepared to learn along the way.
Of these, the second is by far the more important. In the course of developing and
applying intersection theory, we introduce many key techniques of algebraic geome-
try, such as deformation theory, specialization methods, characteristic classes, Hilbert
schemes, commutative and homological algebra and topological methods. That is not to
say that you need to know these things going in. Just the opposite, in fact: Reading this
book is an occasion to learn them.
So what do you need before starting?

(a) An undergraduate course in classical algebraic geometry or its equivalent, compris-

ing the elementary theory of affine and projective varieties. An invitation to algebraic
geometry (Smith et al. [2000]) contains almost everything required. Other books
that cover this material include Undergraduate algebraic geometry (Reid [1988]),
Introduction to algebraic geometry (Hassett [2007]), Elementary algebraic geom-
etry (Hulek [2012]) and, at a somewhat more advanced level, Algebraic geometry,
I: Complex projective varieties (Mumford [1976]), Basic algebraic geometry, I
(Shafarevich [1994]) and Algebraic geometry: a first course (Harris [1995]). The
last three include much more than we will use here.
(b) An acquaintance with the language of schemes. This would be amply covered by
the first three chapters of The geometry of schemes (Eisenbud and Harris [2000]).
(c) An acquaintance with coherent sheaves and their cohomology. For this, Faisceax
algébriques cohérents (Serre [1955]) remains an excellent source (it is written in
the language of varieties, but applies nearly word-for-word to projective schemes
over a field, the context in which this book is written).

In particular, Algebraic geometry (Hartshorne [1977]) contains much more than you
need to know to get started.
Introduction Chapter 0 9

Language
Throughout this book, a scheme X will be a separated scheme of finite type over
an algebraically closed field k of characteristic 0. (We will occasionally point out the
ways in which the characteristic p situation differs from that of characteristic 0, and
how we might modify our statements and proofs in that setting.) In practice, all the
schemes considered will be quasi-projective. We use the term integral to mean reduced
and irreducible; by a variety we will mean an integral scheme. (The terms “curve” and
“surface,” however, refer to one-dimensional and two-dimensional schemes; in particular,
they are not presumed to be integral.) A subvariety Y  X will be presumed closed
unless otherwise specified. If X is a variety we write k.X / for the field of rational
functions on X. A sheaf on X will be a coherent sheaf unless otherwise noted.
By a point we mean a closed point. Recall that a locally closed subscheme U of a
scheme X is a scheme that is an open subset of a closed subscheme of X . We use the
term “subscheme” (without any modifier) to mean a closed subscheme, and similarly
for “subvariety.”
A consequence of the finite-type hypothesis is that any subscheme Y of X has a
primary decomposition: locally, we can write the ideal of Y as an irredundant intersection
of primary ideals with distinct associated primes. We can correspondingly write Y
globally as an irredundant union of closed subschemes Yi whose supports are distinct
subvarieties of X. In this expression, the subschemes Yi whose supports are maximal —
corresponding to the minimal primes in the primary decomposition — are uniquely
determined by Y ; they are called the irreducible components of Y . The remaining
subschemes are called embedded components; they are not determined by Y , though
their supports are.
If a family of objects is parametrized by a scheme B, we will say that a “general”
member of the family has a given property P if the set U.P /  B of members of the
family with that property contains an open dense subset of B. When we say that a “very
general” member has this property we will mean that U.P / contains the complement of
a countable union of proper subvarieties of B.
By the projectivization of a vector space V , denoted PV , we will mean the scheme
Proj.Sym V  / (where by Sym V we mean the symmetric algebra of V ); this is the space
whose closed points correspond to one-dimensional subspaces of V . This is opposite
to the usage in, for example, Grothendieck and Hartshorne, where the points of PV
correspond to one-dimensional quotients of V (that is, their PV is our PV  ), but is in
agreement with Fulton.
If X and Y  P n are subvarieties of projective space, we define the join of X and Y ,
denoted X; Y , to be the closure of the union of lines meeting X and Y at distinct points.
If X D €  P n is a linear space, this is just the cone over Y with vertex €; if X and Y
are both linear subspaces, this is simply their span.
10 Chapter 0 Introduction

There is a one-to-one correspondence between vector bundles on a scheme X and

locally free sheaves on X. We will use the terms interchangeably, generally preferring
“line bundle” and “vector bundle” to “invertible sheaf” and “locally free sheaf.” When
we speak of the fiber of a vector bundle F on X at a point p 2 X, we will mean the
(finite-dimensional) vector space F ˝ .p/, where .p/ is the residue field at p.
By a linear system, or linear series, on a scheme X , we will mean a pair D D .L; V /,
where L is a line bundle on X and V  H 0 .L/ a vector space of sections. Associating
to a section  2 V  H 0 .L/ its zero locus V . /, we can also think of a linear system
as a family fV . / j  2 V g of divisors D  X parametrized by the projective space
PV ; in this setting, we will sometimes abuse notation slightly and write D 2 D. By
the dimension of the linear series we mean the dimension of the projective space PV
parametrizing it, that is, dim V 1. Specifically, a one-dimensional linear system is
called a pencil, a two-dimensional system is called a net and a three-dimensional linear
system is called a web.
We write OX;Y for the local ring of X along Y , and, more generally, if F is a sheaf
of OX -modules we write FY for the corresponding OX;Y -module.
We can identify the Zariski tangent space to the affine space A n with A n itself. If
X  A n is a subscheme, by the affine tangent space to X at a point p we will mean the
affine linear subspace p C Tp X  A n . If X  P n is a subscheme, by the projective
tangent space to X at p 2 X, denoted Tp X  P n , we will mean the closure in P n of the
affine tangent space to X \ A n for any open subset A n  P n containing p. Concretely,
if X is the zero locus of polynomials F˛ (that is, X D V .I /  P n is the subscheme
defined by the ideal I D .fF˛ g/  kŒZ0 ; : : : ; Zn ), the projective tangent space is the
common zero locus of the linear forms
@F˛ @F˛
L˛ .Z/ D .p/Z0 C


C .p/Zn :
@Z0 @Zn

By a one-parameter family we will always mean a family X ! B with B smooth

and one-dimensional (an open subset of a smooth curve, or spec of a DVR or power
series ring in one variable), with marked point 0 2 B. In this context, “with parameter t”
means t is a local coordinate on the curve, or a generator of the maximal ideal of the
DVR or power series ring.

Basic results on dimension and smoothness

There are a number of theorems in algebraic geometry that we will use repeatedly;
we give the statements and references here. When X is a scheme, by the dimension of X
we mean the Krull dimension, denoted dim X. If X is an irreducible variety and Y  X
is a subvariety, then the codimension of Y in X, written codimX Y (or simply codim Y
when X is clear from context), is dim X dim Y ; more generally, if X is any scheme
Introduction Chapter 0 11

and Y is a subvariety, then codimX Y denotes the minimum of

fcodimX 0 Y j X 0 is a reduced irreducible component of Xg:

More on dimension and codimension can be found in Eisenbud [1995].

We will often use the following basic result of commutative algebra:

Theorem 0.1 (Krull’s principal ideal theorem). An ideal generated by n elements in a

Noetherian ring has codimension  n.

See Eisenbud [1995, Theorem 10.2] for a discussion and proof. We will also use the
following important extension of the principal ideal theorem:

Theorem 0.2 (Generalized principal ideal theorem). If f W Y ! X is a morphism of

varieties and X is smooth, then, for any subvariety A  X,
1
codim f A  codim A:

In particular, if A; B are subvarieties of X, and C is an irreducible component of A \ B,

then codim C  codim A C codim B.

The proof of this result can be reduced to the case of an intersection of two subvari-
eties, one of which is locally a complete intersection, by expressing the inverse image
f 1 A as an intersection with the graph €f  X  Y of f . In this form it follows from
Krull’s theorem. The result holds in greater generality; see Serre [2000, Theorem V.3].
Smoothness is necessary for this (Example 2.22).
A module M is said to be of finite length if it has a finite maximal sequence of
submodules. Such a sequence is called a composition series, and we will call the length
of the sequence the length of the module. The following theorem shows this length is
well-defined:

Theorem 0.3 (Jordan–Hölder theorem). A module M of finite length over a commutative

local ring R has a maximal sequence of submodules M © M1 ©


© Mk D 0
Moreover, any two such maximal sequences are isomorphic; that is, they have the same
length and composition factors (up to isomorphism).

Theorem 0.4 (Chinese remainder theorem). A module of finite length over a commutative
ring is the direct sum of its localizations at finitely many maximal ideals.

For discussion and proof see Eisenbud [1995, Chapter 2], especially Theorem 2.13.

Theorem 0.5 (Bertini). If D is a linear system on a variety X in characteristic 0, the

general member of D is smooth outside the base locus of D and the singular locus of X.

Note that applying Bertini repeatedly, we see as well that if D1 ; : : : ; Dk are general
T
members of the linear system D then the intersection Di is smooth of dimension
dim X k away from the base locus of D and the singular locus of X .
12 Chapter 0 Introduction

This is the form in which we will usually apply Bertini. But there is another version
that is equivalent in characteristic 0 but allows for an extension to positive characteristic:
Theorem 0.6 (Bertini). If f W X ! P n is any generically separated morphism from a
smooth, quasi-projective variety X to projective space, then the preimage f 1 .H / of a
general hyperplane H  P n is smooth.
Chapter 1
Introducing the Chow ring

Keynote Questions
As we indicated in the introduction, we will preface each chapter of this book with
a series of “keynote questions:” examples of the sort of concrete problems that can be
solved using the ideas and techniques introduced in that chapter. In general, the answers
to these questions will be found in the same chapter. In the present case, we will not
develop our roster of examples sufficiently to answer the keynote questions below until
the second chapter; we include them here so that the reader can have some idea of “what
the subject is good for” in advance.

(1) Let F0 ; F1 and F2 2 kŒX; Y; Z be three general homogeneous cubic polynomials

in three variables. Up to scalars, how many linear combinations t0 F0 C t1 F1 C t2 F2
factor as a product of a linear and a quadratic polynomial? (Answer on page 65.)
(2) Let F0 ; F1 ; F2 and F3 2 kŒX; Y; Z be four general homogeneous cubic polynomi-
als in three variables. How many linear combinations t0 F0 C t1 F1 C t2 F2 C t3 F3
factor as a product of three linear polynomials? (Answer on page 65.)
(3) If A; B; C are general homogeneous quadratic polynomials in three variables, for
how many triples t D .t0 ; t1 ; t2 / do we have

.A.t /; B.t /; C.t // D .t0 ; t1 ; t2 /‹

(Answer on page 55.)

(4) Let S  P 3 be a smooth cubic surface and L  P 3 a general line. How many planes
containing L are tangent to S? (Answer on page 50.)
(5) Let L  P 3 be a line, and let S and T  P 3 be surfaces of degrees s and t
containing L. Suppose that the intersection S \ T is the union of L and a smooth
curve C . What are the degree and genus of C ? (Answer on page 71.)
14 Chapter 1 Introducing the Chow ring

1.1 The goal of intersection theory

Though intersection theory has many and surprising applications, in its most basic
form it gives information about the intersection of two subvarieties of a given variety.
An early incarnation, and in some sense the model for all of intersection theory, is the
theorem of Bézout: If plane curves A; B  P 2 intersect transversely, then they intersect
in .deg A/.deg B/ points (see Figure 1.3 on page 18).
If A is a line, this is a special case of Gauss’ fundamental theorem of algebra:
A polynomial f .x/ in one complex variable has deg f roots, if the roots are counted
with multiplicity. Late in the 19th century it was understood how to attribute multiplicities
to the intersections of any two plane curves without common components (we shall
describe this in Section 1.3.7 below), so Bézout’s theorem could be extended: The
intersection of two plane curves without common components consists a collection of
points with multiplicities adding up to .deg A/.deg B/.
In modern geometry we need to understand intersections of subvarieties in much
greater generality. In this book we will mostly consider intersections of arbitrary sub-
varieties in a smooth ambient variety X. The goal of this chapter is to introduce a ring
A.X /, called the Chow ring of X, and to associate to every subscheme A  X a class
ŒA in A.X / generalizing the degree of a curve in P 2 . In Section 1.3.7 we will explain a
far-reaching extension of Bézout’s theorem:

Theorem 1.1 (Bézout’s theorem for dimensionally transverse intersections). If A; B 

X are subvarieties of a smooth variety X and codim.A \ B/ D codim A C codim B,
then we can associate to each irreducible component Ci of A \ B a positive integer
mCi .A; B/ in such a way that
X
ŒAŒB D mCi .A; B/
ŒCi :

The integer mCi .A; B/ is called the intersection multiplicity of A and B along Ci ;
giving a correct definition in this generality occupied algebraic geometers for most of
the first half of the 20th century.
Though Theorem 1.1 is restricted to the case where the subvarieties A; B meet only
in codimension codim A C codim B (the case of dimensionally proper intersection),
there is a very useful extension to the case where the codimensions of the components of
the intersection are arbitrary; this will be discussed in Chapter 13.
Many important applications involve subvarieties defined as zero loci of sections
of a vector bundle E on a variety X, and this idea has potent generalizations. It turns
out that there is a way of defining classes ci .E/ 2 A.X /, called the Chern classes of
E, and the theory of Chern classes is a pillar of intersection theory. The third and final
section of this chapter takes up a special case of the general theory that is of particular
importance and relatively easy to describe: the first Chern class of a line bundle. This
allows us to introduce the canonical class, a distinguished element of the Chow ring of
The Chow ring Section 1.1 15

any smooth variety, and show how to calculate it in simple cases. The general theory of
Chern classes will be taken up in Chapter 5.

1.2 The Chow ring

We now turn to the definition and basic properties of the Chow ring. Then we
introduce excision and Mayer–Vietoris theorems that allow us to calculate the Chow
rings of many varieties. Most importantly we describe the functoriality of the Chow ring:
the existence, under suitable circumstances, of pushforward and pullback maps.
Chow groups form a sort of homology theory for quasi-projective varieties; that is,
they are abelian groups associated to a geometric object that are described as a group of
cycles modulo an equivalence relation. In the case of a smooth variety, the intersection
product makes the Chow groups into a graded ring, the Chow ring. This is analogous to
the ring structure on the homology of smooth compact manifolds that can be imported,
using Poincaré duality, from the natural ring structure on cohomology.
Throughout this book we will work over an algebraically closed ground field k of
characteristic 0. Virtually everything we do could be formulated over arbitrary fields
(though not every statement remains true in characteristic p), and occasionally we
comment on how one would do this.

1.2.1 Cycles
Let X be any algebraic variety (or, more generally, scheme). The group of cycles on
X, denoted Z.X /, is the free abelian group generated by the set of subvarieties (reduced
irreducible subschemes) of X. The group Z.X / is graded by dimension: we write Zk .X /
for the group of cycles that are formal linear combinations of subvarieties of dimension k
L P
(these are called k-cycles), so that Z.X / D k Zk .X /. A cycle Z D ni Yi , where
the Yi are subvarieties, is effective if the coefficients ni are all nonnegative. A divisor
(sometimes called a Weil divisor) is an .n 1/-cycle on a pure n-dimensional scheme.
It follows from the definition that Z.X / D Z.Xred /; that is, Z.X / is insensitive to
whatever nonreduced structure X may have.
To any closed subscheme Y  X we associate an effective cycle hY i: If Y  X is
a subscheme, and Y1 ; : : : ; Ys are the irreducible components of the reduced scheme Yred ,
then, because our schemes are Noetherian, each local ring OY;Yi has a finite composition
series. Writing li for its length, which is well-defined by the Jordan–Hölder theorem
P
(Theorem 0.3), we define the cycle hY i to be the formal combination li Yi . (The
coefficient li is called the multiplicity of the scheme Y along the irreducible component
Yi , and written multYi .Y /; we will discuss this notion, and its relation to the notion of
intersection multiplicity, in Section 1.3.8.)
In this sense cycles may be viewed as coarse approximations to subschemes.
Exploring the Variety of Random
Documents with Different Content
China political matters included commerce, finance, and industry. I
did not, of course, intend that the Legation should enter into a
scramble for concessions, but it was my purpose that it should
maintain sympathetic contact with Americans active in the economic
life of China, and should see to it that the desire of the Chinese to
give them fair treatment should not be defeated from any other
source.
When I thought of American enterprise in China I had less in mind
the making of government contracts, than the gaining of the
confidence of the Chinese people in the various provincial centres of
enterprise by extensive business undertakings, resting on a sound
and broad foundation. In China the people are vastly more important
than the Government, so that it is necessary to make up one's mind
from the start not to regard Peking as the end-all and be-all of one's
activity, but to interest one's self deeply in what is going on in all of
those important interior centres where the real power of government
over the people is exercised, and where the active organizations of
the people are located.
The universal knowledge that America has no political aims in China,
of itself gives Americans the confidence of the Chinese and
predisposes the latter to favour intimate coöperation. Our policy is
known to be constructive and not to imply insidious dangers to their
national life. It would be discouraging to the Chinese, should
Americans fail to take a prominent part in the development of
Chinese resources. To Americans the idea of securing preëminence
or predominance is foreign, but from the very nature of their purely
economic interest they have to resist any attempt on the part of
others to get exclusive rights or a position of predominance, which
could be utilized to restrict, or entirely to extinguish, American
opportunities.
I was therefore resolved to give every legitimate encouragement to
constructive enterprise, whether it were in education, finance,
commerce, or industry.[1] Fully a year before going to China I had
expressed my view of the nature of American policy there, saying
that a united China, master of its own land, developing its resources,
open to all nations of the world equally for commercial and industrial
activity, should be the chief desideratum.
Among the specific American interests already existing in China, that
of missionary and educational work had at this time to be given the
first rank. There are two factors which have made it possible for this
work to achieve a really notable influence. The one is that it is
plainly the result of individual impulse on the part of a great many
people animated by friendly motives, and not the result of a
concerted plan of propaganda. The second factor is the spirit of
helpfulness and coöperation which permeates this work. There is no
trace of a desire to establish a permanent tutelage. An institution
like the Y.M.C.A. acts with the sole thought of helping the Chinese to
a better organization of their own social and educational life. The
sooner they are able to manage for themselves, the better it seems
to please the American teachers, who may remain for a while as
friendly counsellors, but who make no effort to set up a permanent
hierarchy of supervision. The Chinese have an intense respect for
their educators, and it has been the good fortune of many
Americans—men like Dr. W.A.P. Martin and Dr. Chas. D. Tenney—to
win the devoted loyalty of innumerable Chinese through their activity
as teachers.
Among commercial enterprises the Standard Oil Company was
carrying petroleum to all parts of China. It had introduced the use of
the petroleum lamp, had extended the length of the day to the
hundreds of millions of Chinese, and even its emptied tin cans had
become ubiquitous in town and country, because of the manifold
uses to which these receptacles could be put. For efficiency and
close contact with the people, the Chinese organization of this great
company was indeed admirable.
A similar result had been obtained by the British-American Tobacco
Company, which, although organized in England under British law, is
American by majority ownership, business methods, and personnel.
The cigarette had been made of universal use, and had been
adapted to the taste and purchasing ability of the masses. Though
there were several American commission firms of good standing,
none had the extensive trade and financial importance of the great
British houses. Several American firm names established in China
early in the nineteenth century, like that of Frazar & Company, had
become British in ownership. The only American bank was the
International Banking Corporation, which at this time confined itself
to exchange business and did not differ in its policy or operations
from the common run of treaty port banks.
If national standing in China were to be determined by the holding
of government concessions, America was at this time, indeed, poorly
equipped. The Bethlehem Steel Corporation had in 1910 concluded a
contract with the Imperial Government for the construction of
vessels to the value of $20,000,000. When I came to China, a vice-
president of the corporation, Mr. Archibald Johnston, was in Peking,
ready to arrange with the republican government for a continuance
of the contract. The American banking group was a partner in the
Hukuang Railways, in which it shared with the British, French, and
German groups. An American engineer was employed at the time in
making a survey of a portion of the proposed line along the Yangtse
River. The American group also held the concession for the
Chinchow-Aigun Railway in Manchuria, the execution of which had
been blocked by Russia and Japan. The group further participated
with the three other groups above mentioned in the option for a
currency loan. The only activity going on at this time in connection
with these various contracts, on the part of America, was the survey
of the Hukuang railway line west of Ichang.
For some time the practice had grown up, on the part of European
powers, to urge the Chinese to employ, as advisers, men reputed to
have expert knowledge in certain fields. The most noted adviser at
this time was Dr. George Morrison, who had gained a reputation in
interpreting Far Eastern affairs as Peking correspondent for the
London Times during and after the critical period of 1900. A fresh
group of advisers had just been added under the terms of the
Reorganization Loan. Each power therein represented had insisted
that the Chinese appoint at least one of its nationals as an adviser.
The American Government had never urged China to make such an
appointment. But when President Eliot visited China in 1913, Chinese
officials expressed to him the wish that a prominent American should
be retained as adviser to the Chinese Government. President Eliot
suggested that the Carnegie Endowment might propose certain
experts from whom the Chinese Government could then make a
selection. This method was actually followed, and as a result Prof.
F.J. Goodnow of Columbia University, a recognized authority on
constitutional law, had been retained by the Chinese Government
and was at this time already in residence at Peking. The Ministry of
Communications on its part had sought a man familiar with railway
accounting, and had called upon the late Prof. Henry C. Adams, the
noted economist and railway expert of Michigan University.
The important administrative positions of Inspector General of
Customs and of Foreign Inspector of the Salt Revenue were held by
two British officials. The salt administration had come within the
purview of international supervision through the Reorganization Loan
agreement; and, as America was not a party to that loan, the
appointment of Americans to any positions in this service was
frowned upon by several of the partners. The Inspector, Sir Richard
Dane, an official of long experience in India, however, adopted the
policy of not confining the appointments to subjects of the
Consortium Powers. He had retained several Americans, in whom he
seemed to place great confidence. In the Customs Service,
Americans did not hold the number of positions to which they were
relatively entitled. This was undoubtedly due to the fact that very
few people in the United States knew that such positions in China
are open to Americans; moreover, many of those Americans who
were actually appointed had become impatient with the relatively
slow advancement in this service and had been attracted by other
opportunities. There were, however, a number of highly reputed and
efficient American officials in the Customs Service.
 FOOTNOTES:
[1] The leading British paper of China had this to say concerning
the modern functions of diplomacy: "It is characteristic of Doctor
Reinsch and his outlook upon China that he should mark a point
of progress in the fact that the legations are ceasing to be merely
political centres, and that, instead of politics being the one and
only object of their existence, they are now establishing relations
of all kinds of mutual helpfulness in vital phases of national
reorganization. In this connection, we may see an increase in the
number of experts who will come, unofficially for the most part,
to study conditions and gather data which may be available as a
sure foundation for progress." I may say in passing that the
British papers in China, throughout the period of my work there,
were almost uniformly fair and friendly, and gave credit for honest
efforts to improve conditions.

CHAPTER VII
PROMPT PROPOSALS FOR AMERICAN ACTION
The Chinese were not slow in showing what conclusions they
deduced from the withdrawal of the American Government from the
Six-Power Consortium. On November 27th, two cabinet ministers
called on me for a private conversation. Following this interview Mr.
Chang Chien, recognized master of antique Chinese learning, but
also Minister of Industries and Commerce, came to me. I will relate
the substance of what passed on these two occasions, beginning
with Mr. Chang.
Chang Chien carried off first honours in the great metropolitan
examinations of Peking under the old régime in 1899. He is a scholar
par excellence of the Chinese classics, and his chirography is so
famous that he has been able to support a college out of the
proceeds of a sale of examples of his writing. But he has not rested
satisfied with the ancient learning. In the region of his home, Nan
Tung-chow, on the banks of the Yangtse, he has established schools,
factories, and experiment stations for the improvement of agriculture
and industry. He had financial reverses. People at this time still
doubted whether he would be permanently successful, although they
admitted that he had given impetus to many improvements. Since
then his enterprises have flourished and multiplied. He has become a
great national figure, whose words, spoken from an honest desire
for right public action, have decisive weight with the nation. While
he still represents the old belief that the superior man of perfect
literary training should be able successfully to undertake any
enterprise and to solve any practical difficulty—which belief is
contrary to the demands of our complex modern life for
specialization—yet he has succeeded in bending his intelligence to
thoroughly modern tasks.
As would be expected from his high culture as a Chinese scholar, Mr.
Chang Chien is a man of refinement and distinction of manners, than
which nothing could be more considerate and more dignified. The
Chinese are exceedingly sensitive to the thought and feeling of any
one in whose company they happen to be; if their host is busy or
preoccupied, no matter how politely he may receive them, they will
nevertheless sense his difficulty and will cut their visit short. They
also have great tact in turning a conversation or avoiding discussions
they are not ready for, and they can do this in a manner which
makes it impossible to force a discussion without impolite insistence.
The smoothness and velvetiness of Chinese manners, together with
the absence of all servile assent and the maintenance of complete
independence of discussion, are marvellous and bear evidence to
thousands of years of social training.
Mr. Chang Chien was particularly interested in river and harbour
development, and in plans for the drainage of those regions of China
which are subject to periodical floods. It was contemplated to
establish a special conservancy bureau under whose care surveys for
important projects were to be undertaken. I questioned Mr. Chang
concerning the status of the Hwai River conservancy scheme for the
prevention of floods in the northern portion of the provinces of
Kiangsu and Anhui, the region from which he came.
"I have already established a special engineering school," he replied,
"in order to train men for this work. A large part of the survey has
been made, and it can be entirely completed by a further
expenditure of 35,000 taels.
"Besides the enormous benefit of such a work to all the adjoining
agricultural lands," he continued, "there would be reclaimed nearly
3,000,000 acres which could now not be used at all, although their
soil is inexhaustibly fertile. The land thus reclaimed would be salable
immediately for at least $40 an acre. Would not this alone be ample
security for a large conservancy loan? $25,000,000 would do the
work."
Mr. Chang was also interested in the establishment of a commercial
and industrial bank, in copartnership with American capitalists. "Such
a bank," he said, "would assist in furnishing the capital for the works
of internal improvement."
It was quite plain that Mr. Chang looked upon a bank as an
institution which would invest its capital in such enterprises—a
conception which was then quite current among the Chinese. They
had not yet fully realized that in the modern organization of credit a
bank may act as a depository and may make temporary loans, but
more permanent investments must ultimately be placed with
individual capitalists, with banks acting only as underwriting and
selling agencies.
As we talked about the execution of these large and useful projects,
Mr. Chang repeatedly made expressions such as this: "I prefer
American coöperation. I am ready to employ American experts to
work out the plans and to act as supervisors. But please to bear in
mind, these works may not be undertaken without raising a large
part of the needed funds in the United States or in other countries."
When the two cabinet ministers called they brought no interpreter.
"The matters about which we wish to talk," they said, "are so
important that we wish to keep the discussion confined to as few
persons as possible. We bring the ideas of President Yuan Shih-kai
and his government with respect to what Americans might do in
China."
They first gave me a review of the recent development of the Russo-
Japanese entente with respect to Manchuria and Mongolia. They
expressed their belief that an understanding existed between these
powers to treat outer Mongolia as a region within which Russian
control should not be obstructed, and, vice versa, to allow a free
hand to Japan, not only in southern Manchuria, but also in eastern
Mongolia. Continuous activity of the Japanese in south China, in
stirring up opposition to the Central Government, indicated a desire
to weaken China, and, if possible, to divide it against itself. The
extraordinary efforts made by Japan to increase her naval
establishment were also particularly mentioned. The impression their
discourse conveyed was that Japan was engaged in a strong forward
policy in China, and that in this she had the countenance and
support of Russia.
My visitors then passed on to the reasons why the Chinese
entertained the hope that America would give them its moral
support to the extent of opposing the inroads made by Japan and
Russia, and of coöperating with Great Britain and other powers
favourable to the Open Door policy in preventing attempts to break
up the Chinese Republic. They fully realized the improbability of an
alliance between China and the United States, but laid stress on the
parallel interests of the two countries, and particularly on the
sympathy engendered through following the principles of democratic
government. Having become a republic, the Chinese Government is
brought into peculiarly close relationship to the United States; it sees
in the United States its most sincere and unselfish friend, and
realizes the importance of American moral support.
Descending to particulars, the ministers pointed out that while China
appreciated and valued the friendly interest and counsel of the
United States, it was disappointing that so very little had been done
by America, while the European Powers and Japan should have
taken such a very important part in the development of the
resources of China. They said that the Chinese Government and
people were desirous of affording the Americans unusual
opportunities, should they be ready to coöperate.
Taking up specific enterprises, they stated that the Government was
quite willing to ratify and carry out the contract made in 1910 by the
Imperial Government with the Bethlehem Steel Corporation. Under
this contract they intended to build vessels adapted for commercial
purposes, but convertible into warships somewhat like the vessels of
the Russian Volunteer Fleet. The establishment of a steamship line
to the United States, directly or by way of the Panama Canal, was
greatly desired by the Government.
It was recalled that at the time the naval mission of Prince Tsao
visited the United States, the matter of lending American experts as
instructors for the Chinese navy came up for discussion, and such
assistance was promised by the American Administration under
President Taft. The assistance contemplated was to be instructional
and technical, not involving matters of policy or suggesting a political
alliance, and of a nature such as had been in the past given by other
nations, particularly Great Britain. The ministers stated that the
Chinese Government still intended to avail itself of this assistance
should the need for it arise, and that American coöperation in a
matter like this was preferred because of the political
disinterestedness of the American Government.
The ministers then took up more purely industrial enterprises, and
dwelt particularly on plans for river and harbour improvement,
mentioning the Hwai River region and other districts where
agricultural pursuits are interrupted by destructive floods. As the
Central Government contemplated the establishment of a national
bureau to provide for these matters, the ministers suggested that
the American Government would be invited to give its assistance by
lending experts to plan and conduct the proposed works. They
expressed their belief that the experience of Americans in such
enterprises had qualified them above any other nation for coping
with these problems of China.
Other matters were taken up, such as the possible creation of a
tobacco monopoly, from which the ministers expected both
increased revenue and a more effective organization of tobacco
production throughout China. It was not their desire to oust the
British-American Tobacco Company, but they suggested that an
arrangement would be made whereby this company might act as the
selling agent of the Chinese Government.
Another subject was the exploration of China for petroleum. They
stated that the Government wished that the development of oil fields
should be undertaken. On account of the manner in which some
other nations were wont to extend the scope of any concessions of
this kind so as to establish general claims of preference, particularly
as to railway rights, the Government much preferred to take up this
matter with Americans.
It was apparent that these men entertained high hopes of American
activity in China, and that they were ready to do their part in making
the conditions favourable. Their minds were alive with plans of
development. Both because of American experience with similar
problems and of the American spirit of fairness, they believed that
great benefit would result if Americans were to become prominently
active in the vast industrial transformation which they anticipated in
the immediate future.
As this conversation passed from topic to topic, touching on
proposals of moment, I could not but feel that a new spirit had
surely arisen in China. It would have been inconceivable under the
old régime for high officials, trained in the traditional formalism and
reticent with inherited distrust of the foreigner, to approach a foreign
representative thus frankly, laying before him concrete proposals for
joint action. In the past, as we know, it was the foreigners who had
desired changes and new enterprises and who had in and out of
season pressed them upon the reluctant and inert Chinese officials.
But here were men who realized that it is the function of the
Government to plan and to initiate; and they were ready to go to
any length in making advances to a country in whose motives they
had full confidence.
It was impossible not to be fascinated by the prospects that were
here unfolded. A country of vast resources in natural wealth, labour,
power, and even in capital, was turning toward a new form of
organization in which all these forces were to be made to work in
larger units, over greater areas and with more intensive methods
than ever before. The merely local point of view was giving way to
the national outlook. National resources and industries were looked
at not from the point of view alone of any local group interested but
of the unity of national life and effort. To know that in this great task
of reorganization, Americans would be most welcome as associates
and directors; that they were spontaneously and sincerely desired in
order that all these materials and resources might the more readily
be built into a great and effective unity of national life—that, indeed,
could not fail to be a cause for pride and gratification to an
American. The only disturbing thought was the question whether
Americans were ready to appreciate the importance of the
opportunity here offered. Yet there could be no doubt that every
energy must be applied in order to make them realize the
unprecedented nature of the opportunities and the importance to
America herself of the manner in which these materials were to be
organized so as to promote general human welfare rather than
selfish exploitation and political ambition.
The Russian efforts to strengthen their position in Mongolia, to which
these two visitors had alluded, had at this time brought fruit in the
form of an agreement with China to have the "autonomy" of
Mongolia recognized. A result and byplay of these negotiations came
to the notice of the foreign representatives in Peking at a meeting of
the diplomatic corps on December 11th. The meeting was at the
British Legation, to which Sir John Jordan had by this time returned.
The head of the large establishment of the Russian Legation was a
young man, Mr. Krupenski. Trained under some of the ablest
diplomats of Russia and having spent many years in Peking as
secretary, he had manifestly not been selected by chance. With his
English secretary he occupied his vast house alone, being unmarried.
He entertained brilliantly, ably seconded therein by the Russo-Asiatic
Bank across the way. Besides his thorough understanding of the
Chinese, Mr. Krupenski had a valuable quality in his ability to shed all
the odium that might attach to the policy of his government, as a
duck sheds water. He appeared at times greatly to enjoy mystifying
his colleagues, to judge by his amused and unconcerned expression
when he knew they were guessing as to what his last move might
mean. Mr. Krupenski is tall, florid, unmistakably Russian. During my
first visit with him he plunged in medias res concerning China.
Though he probably wondered what move I might contemplate after
the Manchurian proposals of Mr. Knox and America's withdrawal from
the Six-Power Group, he gave no hint of his feelings, which
undoubtedly did not contemplate me as likely to become an intimate
associate in policies. When I left him I knew that here was a man,
surrounded by competent experts in finance, language, and law,
who could play with the intricacies of Chinese affairs and take
advantage of opportunities and situations of which others would not
even have an inkling.
At the meeting of December 11th the Russian minister stated that
he desired to make an announcement, and proceeded to tell his
colleagues quite blandly that his government had decided to
withdraw the legation guards and other Russian troops from north
China, and that they suggested to the other governments to take
similar action.
This announcement caused surprise all around the table. Questions
came from all directions: "Is this action to be immediate?" "What is
the purpose of your government?" "What substitute for this
protection do you suggest?" These and many more. The Russian
minister seemed amused by the excitement he had caused. He
allowed none of the questioners to worry him in the least, or to draw
him out. With a quizzical and non-committal smile he let the anxious
surmises of his colleagues run off his back. He shrugged his
shoulders and said: "These are the instructions of my government.
Their purpose—I do not know." When the meeting adjourned, small
groups walked off in different directions, all still intently discussing
the meaning of this move. So, the legation guards were really very
important! The first question put to me in Shanghai had related to
them, and here I found the diplomatic corps thrown into excitement
by the announcement that Russia was withdrawing her guard.
When I arrived at the Legation, where Mrs. Reinsch was receiving
and where visitors in large numbers were taking tea and dancing to
the music of the marine band, the news had evidently already
preceded me, for several people asked me what had happened; and
Putnam Weale and W.C. Donald, the British press representatives,
were full of surmises. The interpretation generally accepted was that
the Russians, and possibly the Japanese, were trying to put the
other powers in a hole; if they did not withdraw their legation guards
they might displease the Chinese Government, after what Russia had
done; if they did withdraw them, they would give an advantage to
Russia and Japan, powers who, on account of their proximity to
China, could send large bodies of troops upon short notice.
From the attitude of the diplomats it had been apparent that the
proposal of the Russians would not prove acceptable. For weeks the
press was filled with attempts to gauge the true bearing of the
Russian proposal. Looked at from this distance after the Great War, it
is hard to imagine how so relatively unimportant a matter could
cause excitement. Of course, the removal of the legation guard was
not considered so important in itself, but it was of moment as an
indication of what Russia might plan with respect to the further
advance of her influence in China.
Probably Russia's action did not really contemplate any far-reaching
consequences. The Russians were urging the Chinese Government
to make an arrangement for Mongolian "autonomy," which could not
but be intensely distasteful to the Chinese. The Russians had to offer
something in return; with thorough knowledge of the old type of the
Chinese official mind, they selected something which would not cost
them anything, but which would be most gratifying to the Chinese
Government. The Government looked upon the presence of foreign
troops in Peking and in Chihli Province as incompatible with its
dignity. Therefore, the Russian Government knew that through
withdrawing its troops and calling upon the other governments to do
likewise, an opportunity would be given the Chinese Government to
claim an important victory, and the bitterness of renunciation with
respect to Mongolia would thus be somewhat tempered. Yuan Shih-
kai and the Government as such would probably take that view; but
the Chinese as individuals were not likely thus to consider the
presence of foreign troops an unmixed evil. These guards tended to
stabilize the situation, also to prevent unconscionable acts or high-
handed inroads by any individual powers. So far as the people of
China were concerned, Russia might not gather much credit through
this move.

CHAPTER VIII
A LITTLE VISION FOR CHINA
I have said that a little vision and the application of American
scientific methods would transform China. Chang Chien had
instanced the Hwai River valley, and the ease with which it might be
made to bloom as the most fertile tract on the globe. China boasts
the most skilled horticulturists and truck-farmers of any nation, and
they breed its thousands of species of vegetables and flowering
plants and shrubs. It is said of the Chinese gardener, that if there is
a sick or weakened plant, he "listens and hears its cry," and nurses it
into health like a mother. But now the multitudes in the flood-ridden
districts must periodically expect the scarification of their gorgeous
acres, the bearing away of their dwellings and loved ones on the
remorseless floods.
Americans had for some time been aware of the possibilities of
delivering from their curse these garden spots of earth. The
American Red Cross, after giving $400,000 for relief of the severe
famine in 1911, was advised by its representatives how such
calamities might be prevented, and it set an American engineer at
making surveys in the Hwai regions and suggesting suitable
engineering works. Chang Chien, with his native school of engineers,
was also investigating the flood conditions, just about the time the
American group of financiers left the Six-Power Consortium. It might
be expected that this American group would be reluctant
immediately to start further enterprises in China; indeed, that it
might even discourage others from starting. Hence I thought it
essential to propose only such undertakings as would come naturally
from past relationships or would help develop some American
interest already established in China. I was attracted by this plan,
sound, useful, and meritorious, to redeem the Hwai River region.
I found that the Chinese did not wish to take up this matter with any
other nation than the United States, for they feared the territorial
ambitions of the other powers and their desire to establish "spheres
of influence" in China. To send in engineers, to drain and irrigate,
meant close contacts; it might mean control over internal resources
within the regions affected, for by way of security the foreign
creditor would demand a mortgage upon the lands to be improved.
Then there was the Grand Canal, a navigable watercourse, which
would come within the scope of such works, and would give the
foreign engineers and capitalists a direct means of penetrating the
interior. Jealous of foreign political control in their domestic affairs,
the Chinese were guarding their rights. But the American policy was
traditionally non-aggressive, and I found that to fair-minded
Americans the Chinese would grant concessions which no other
nation might hope to secure.
I therefore asked through the Department of State what the
American Red Cross might continue to do. Would it take steps
toward the choosing of a reputable and efficient American
engineering firm and have this firm supported by American
capitalists, who might lend the Chinese Government the funds
needed to reclaim the rich Hwai River region? The Red Cross
responded favourably. I thereupon sought out Mr. Chang Chien, the
scholar and minister, and got from him a definite agreement to
entrust to the American Red Cross the selection of engineers and
capitalists to carry out this great reform upon conditions laid down.
The minister and I had frequent conferences. We discussed carefully
the engineering contracts, the conditions of the loan, the security.
Every sentence in the proposed agreement had been weighed, every
word carefully chosen; finally, on January 27, 1914, it was signed by
Chang Chien as minister, and by myself in behalf of the American
Red Cross. The J.G. White Corporation was chosen to finance the
preliminary survey. Thus there were sent to China during the next
summer three experts: Colonel (later Major General) Sibert, of the
Panama Canal Commission; Mr. Arthur P. Davis, director of the
United States Reclamation Service; and Prof. D.W. Mead, of the
University of Wisconsin, an expert in hydraulic engineering.
Here was a beginning of great promise, and in a new direction.
But American enterprise had already affected the daily life of the
Chinese in the field opened up by the Standard Oil Company. In fact,
the lamp of Standard Oil had lighted China.
Now enter Mr. Yamaza, the Japanese minister. Japan, who had no oil
in her lamp, wished to explore for it in China; so did other nations.
But the American oil company, in a way which I shall detail, had
gotten the concession. Moreover, the Bethlehem Steel Corporation
had agreed for $20,000,000 to build a merchant fleet for China,
convertible into cruisers—this to take the place of an old imperial
contract for warships. At China's express request, and not at all
because they were in that business, the Bethlehem people also
consented to apply three millions of the whole sum to improve a
Chinese port. Together with the Hwai River enterprise these
American activities had put Japan on the alert. The Japanese press
had distorted their significance, and now in the small Bethlehem
contract Mr. Yamaza began to see things—a future Chinese mistress
of the Asian seas, perhaps, and the Chinese littoral all besprinkled
with naval ports. One evening Mr. Yamaza spoke to me about it, and
at length; it was plain that his government meant some move.
Now Mr. Yamaza and his first secretary, Mr. Midzuno, were both
unusually clever men. They drank a great deal. The minister
explained that he did this for reasons of health, because, unless
there were something he could give up if he should be taken sick, it
might be very bad for him. I recall how Mr. Midzuno entertained a
party at dinner by detailing his notable collection of expressions in
various languages, of equivalents to the German term
"Katzenjammer." Both of these men had previous Chinese
experience and were intimately familiar with Chinese affairs. Yamaza
was a man of great shrewdness; being under the influence of liquor
seemed rather to sharpen his understanding. Taciturn and speaking
in hesitating sentences, he would never commit himself to anything,
but would deploy the conversation with great skill, in order to give
his interlocutor every chance to do that very thing.
On the evening of this conversation we were guests of the manager
of the Russo-Asiatic Bank. An amateur theatrical performance was in
progress—three French "one-acters," the chief being "The Man Who
Married a Dumb Wife," by Anatole France. Peking foreign society
was there in force; the majority were gathered in the large salon
where the stage was set, others promenading or conversing in small
groups. In the intermission between two plays I encountered the
Japanese minister, and, finding that he desired to talk, wandered
with him to the smoking room, where we pre-empted a corner,
whence during a long conversation we would catch now and then
the echoes from the salon as the action on the stage rose to a more
excited pitch.
Mr. Yamaza was more talkative than I had ever seen him. As was his
custom, he had consumed ardent waters quite freely, but, as always,
his mind was clear and alert. "In Shensi and Chihli provinces," he
opened up, "the exertions of Japanese nationals in the matter of the
concession to the Standard Oil Company have given them a right to
be considered. I have been contending to the Chinese that Japan
has a prior interest in the oil field of Shensi Province. Do you not
know that Japanese engineers were formerly employed there?"
On my part, I expressed surprise that the Japanese papers should
make so much noise about the American oil concession, whereas it
was quite natural that Americans, who had done business in China
for over a century, should occasionally go into new lines of
enterprise.
But it soon became manifest that Mr. Yamaza was thinking of the
Bethlehem Steel contract. "I must tell you," he said, "of the
strategical importance of Fukien Province to my country." Then
followed a long exposition. "China," he concluded, "has promised not
to alienate this province to any other power, and Japan has
repeatedly asserted an interest in that region."
He then repeated various surmises and reports concerning the
nature of the Bethlehem contract. I told him quite specifically the
nature of the agreement and about its long previous existence. Mr.
Johnston, vice-president of the Bethlehem company, at the request
of the Chinese Government had viewed various naval ports with the
purpose of making an estimate of improvements which were most
needed. I could not admit any sinister significance in this visit nor
concede that Americans were not free to engage in port construction
in any part of China.
While I had not been unguarded in my statements, I had assuredly
not looked upon a conversation in such circumstances as a formal
one. Yet I soon found out that a memorandum upon it was
presented to the Department of State by the Japanese Ambassador
in Washington, during an interview with Secretary Bryan on the
question of harbour works in Fukien. I shall revert to this matter
later.
A peculiarity of Chinese psychology was evinced after the Standard
Oil contract had been signed. One year was given to select specific
areas within which oil production was to be carried on as a joint
enterprise of the Chinese Government and the American company,
the ratio of property interest of the two partners being 45 to 55. The
contract undoubtedly offered an opportunity for securing the major
share in the development of any petroleum resources which might
be discovered in China; for, once such a partnership has been
established and the work under it carried out in an acceptable
manner, an extension of the privileges obtained may confidently be
looked for. But in itself the contract signed in February, 1914, was
only a beginning. It denoted the securing of a bare legal right; and
in China a government decree or concession is not in itself all-
powerful. If its motives are suspected, if it has been obtained by
pressure or in secrecy, if its terms are not understood or are believed
to imply unjust burdens to certain provinces or to the people at
large, then popular opposition will arise. This may not affect the
legal character of the grant or the responsibility of the Government,
but it will seriously obstruct the ready and profitable carrying out of
the business. The obverse of this situation—the getting of a contract
"on the square" and the demonstration that it is fair and just—finds
every influence willing to coöperate.
But when the Standard Oil Company's contract had been signed, not
much was publicly known about it save in general terms. Rival
interests began to portray it as involving inroads upon the rights of
the Chinese people, especially of the provinces of Shensi and Chihli.
Stories of bribery were circulated in the papers. In the negotiations
concluded at Peking no particular attention had been paid to local
opinion, the suspicions of provincials were stirred, and an outcry
speedily arose.
The representatives of the Standard Oil Company had left Peking. I
informed the company that its interests were endangered. Its
response was to send to Peking Mr. Roy S. Anderson, the American
whose intimate knowledge of Chinese affairs has been referred to.
Mr. Anderson held sessions with those who had objected, especially
with the provincials of Shensi who were resident in Peking. He
discussed with them the terms of the contract, pointing out the
benefit to the provinces through the development of a large industry
there. The Chinese always respond to reasonable discussion, and not
many days later the very associations which had protested most
vigorously against the agreement waited upon the Minister of
Agriculture and Commerce with their congratulations. They promised
the aid of the province in carrying out the contract. Had the contract
not been straightforward and fair in its terms and free of undue
influence in its making, such active support could not have been
had.
It was then that the Chinese Government created an Oil
Development Bureau, together with a River Conservancy Bureau for
drainage works, including those projected in the Hwai River region.
Of the new Oil Development Bureau the Prime Minister, Mr. Hsiung
Hsi-ling, on his resignation from the cabinet in March, accepted the
position as chief. He had been both Premier and concurrently
Minister of Finance. Tall, good-looking, with full face and shining
black hair, Mr. Hsiung speaks with great fluency in a high-pitched
voice. Though he was a member of the Chin Pu Tang, or progressive
party, he had been selected Premier by Yuan Shih-kai, who was
fighting the democratic party (Kuo Min Tang), probably because he
believed that parliament would reject him and he could then blame
that body for obstructive tactics. It accepted him, and Yuan took
another path to overthrow parliament. In his career Mr. Hsiung had
been aided by the counsel and coöperation of his wife, who is
exceptionally capable. Well-intentioned, broad-minded, given to
Western methods, the Premier was handicapped during his term
through relative inexperience in administrative and financial matters.
He was pitted against men of shrewdness as politicians and of deep
immersion in financial manipulations.
As chief of the Oil Development Bureau, Mr. Hsiung's first task was
that of pointing out to the Japanese minister, Mr. Yamaza, whom the
Japanese interests immediately pressed forward, that no monopoly
of exploitation had been granted to the Standard Oil Company, for
within a year the company would have to select specific and limited
areas within the two provinces where production was to be carried
on.
"The grant to Americans," the Japanese minister thereupon
remarked, "seems to indicate that China does not care much about
the international friendship of Japan."
Mr. Hsiung's reply was that this was a business arrangement, and
the nationals of other countries as well—Great Britain, France, and
Germany—had sought such concessions in the recent past. To the
inquiry whether a similar agreement would be concluded with Japan
for other provinces, the director replied that it would not at this time
be convenient.
"Then I hereby notify you," Mr. Yamaza rejoined, "that in all
likelihood I shall take up this matter with the Minister for Foreign
Affairs."
Mr. Yamaza referred to the Japanese engineers who at one time
worked in the oil fields of Shensi Province; whereupon Mr. Hsiung
recalled that American and German engineers had formerly been
employed in the Hanyehping iron enterprise; yet when that company
made a loan agreement with Japanese interests, no objections had
been made either by America or Germany.
This conversation illustrates the manner in which attempts are often
made to establish prior claims with regard to enterprises in China by
alleging a prior desire or the prior employment of individuals—
considerations which would nowhere else be considered as
establishing a preference or inchoate option. It is as much as to say
that by merely expressing a wish for a thing one has already
established a prior right to it should it be given out.
The making of two important contracts with the Chinese
Government naturally attracted attention. Of the British press the
North China Daily News repeated the judgment of its Peking
correspondent: "The Americans deserve their success, for they have
worked for it steadily and consistently."
The Daily News attributed this success primarily to the fact that
since the days of Secretary Hay, American enterprise in China had
been consistently pacific and benevolent. "In no country in the
world," it declared, "can more be done through friendship and for
friendship's sake than in China."
The German press, while inclined to be critical, still admitted the
fairness of the contracts and the probable benefit to be derived
therefrom by China, and spoke in disapproval of the Japanese
attitude assumed toward the new oil enterprise. Later a long article
appeared in the chief German paper in China (Ostasiatische Lloyd),
in which the existence of a very far-reaching policy of economic
penetration by America was surmised. The writer imagined that all
the factors—educational, financial, and industrial—were being
guided according to a complicated but harmonious plan to achieve
the actual predominance of American interests in China.
The German minister, Von Haxthausen, spoke to me about this
article. "I hope," he said, "that you will not conclude that its views
are those of myself and my legation."
I assured him that I felt highly flattered that anybody should have
conceived that American action proceeded with such careful
planning and such cunning grasp of all details.
The Franco-Russian semi-official sheet, the Journal de Pekin,
continued its carping attitude against all American enterprise. It
lumped together the Y.M.C.A., missionaries, Standard Oil, and the
British-American Tobacco Company as engaged in a nefarious effort
to gain ascendency for American influence in China. It failed,
however, to surmise the subtle plan suggested in the German paper,
but presupposed an instinctive coöperation of all these American
agencies. This paper was occasionally stirred to great waves of
indignation, as when it discovered that the Y.M.C.A. was
undermining Chinese religious morale and destroying the sanctity of
holy places by establishing a bathing pool in one of the temples. This
deplorable desecration, which wrung from the breast of the Belgian
editor of the Franco-Russian sheet moans of outraged virtue, had for
its substance the fact that in the large monastery of Wo Fu Ssu—in
the foothills fifteen miles from Peking, where the Y.M.C.A. had
summer quarters—a large pool in the residential part of the
enclosures was actually used for a dip on hot mornings. But no
Chinese had ever hinted that his feelings were lacerated.
The American papers and Americans generally were somewhat
encouraged by this constructive action. In the Chinese Press the
veteran American lawyer, T.R. Jernigan, said: "It is clear that the
Wilson Administration will use its influence to further the extension
of the business of American merchants whether they act in a
corporate capacity or otherwise."
On the side of finance as well as industry the Chinese courted
American interest. The Minister of Finance and Mr. Liang Shih-yi
were frequently my guests; and we conversed particularly on the
financial situation. Both took a view quite different from the
traditional Chinese official attitude. They desired to have the
Government make itself useful and take the lead in organizing both
national credit and industry. They considered it possible to develop
Chinese domestic credit to an extent that would materially supply
the financial needs of the Government. Unfortunately, the great
system of banking which had been built up by the Shansi Bankers'
Guild was very inadequate to modern needs. Banking had rested
wholly on personal knowledge of the character and credit of
borrowers; no collateral was used, there was no dealing in corporate
securities.
When China came into contact with the business methods of
Western nations, this system could not help in developing new
enterprises. That task fell largely to the foreign banks established in
the treaty ports, who had no vision of the possibilities of internal
development in China. The Shansi bankers, on their part, unable to
adapt themselves to new conditions, saw their field of action
gradually limited, their business falling off. These banks lost their
grip on affairs. They felt themselves in need of financial assistance
from the Government. The Minister of Finance was considering
whether these old institutions might not be transformed into modern
and adequate agencies of Chinese domestic credit. He and other
native financiers became interested in the national banking system
through which, in the United States, quantities of public debentures
had been absorbed to furnish a sound basis for a currency.
It seemed impossible to utilize the Shansi banks as the main prop of
a modern system. A new organization, such as the Bank of China,
planned on modern lines, might be strengthened by American
financial support and technical assistance. Mr. Liang Shih-yi was
willing to give to American interests an important share in the
management of the Bank of China in return for a strengthening loan.
A New York contractor, Mr. G.M. Gest, was at this time in Peking on a
pleasure tour with his family. Impressed with the need for the
launching of new financial and industrial enterprises in China, his
first thought had been to secure a concession to build a system of
tramways in Peking. Chinese officials had previously told me of an
existing Chinese contract which might be turned over to Americans.
I was not very enthusiastic about this particular enterprise, because
I feared it might destroy the unique character of Peking street life,
without great business success or much benefit to anybody.
On inquiring further we found that French interests had just signed a
loan contract which covered, among other things, the Peking
tramways.
The financing was curious; the proceeds were presumably to be
used to complete the port works at Pukow, on the Yangtse River,
and to establish the tramways of Peking. However, it was plain that
the loan had been made really for administrative or political
purposes, its industrial character being secondary, as the work was
indefinitely postponed. This subterfuge of so-called "industrial
loans," of which the proceeds were to be used for politics, was later
very extensively resorted to, particularly in the Japanese loans of
1918.
Learning of this state of affairs, Mr. Gest turned his attention to the
problem of Chinese domestic financing, and at the close of his short
residence in Peking he had obtained an option for the Bank of China
loan contract, which he followed up with energy upon his return to
the United States.
American attention had been drawn to the contracts for the Hwai
River conservancy and for petroleum exploration, and American
commercial journals and bankers were again giving thought to the
financing of projects in China. To show the attitude of New York
bankers at this time, of their difficulties, doubts, and inclinations, I
shall cite portions of a letter written me by Mr. Willard Straight,
dated April 29, 1914. While I did not agree with Mr. Straight on
several matters of detail, especially the withdrawal from the
Consortium, we were both agreed as to the importance of continued
American participation in Chinese finance and industry. The letter
follows:

As regards the Hwai River conservancy, you have doubtless

already been advised that the Red Cross has made an
arrangement with J.G. White & Company, whereby an
engineering board will be despatched to China to make a
detailed survey. The matter of financing was brought to the
Group, who felt it impossible satisfactorily to discuss this
question without more definite information regarding actual
conditions and the probable cost of the work contemplated.
When, upon receipt of the report of the engineering board, we
take up the discussion of the financial problem, the suggestions
contained in your letter of the 24th of March will be very
valuable. It might, as you say, be comparatively easy to issue a
loan of ten million dollars at almost any time. That would
depend, however, not on the size but on the nature of the loan.
There is no market for Chinese securities in this country at this
time, and it would be difficult if not impossible for the bankers
to create one within any reasonable time without the active and
intelligent support or at least the declared approval of the
Government....
When the American Group first entered upon negotiations for
the Hukuang loan, conditions in this country were good.
Business men were looking abroad for new trade openings, the
Taft Administration was anxious to encourage the extension of
foreign trade and the Chinese Governmental Bubble had not
been pricked. During our four years of experience a not
inconsiderable public interest in China and her development was
aroused, and had we issued the Reorganization Loan, as we had
hoped to do, in February, 1913, we probably could have sold
our twenty-million-dollar share to investors throughout the
country. This we would have been able to do despite the
revolution and uncertain governmental conditions in China,
because of public confidence due to the support of our own and
the other interested governments.
Neither Mr. Taft nor Mr. Knox ever promised to send American
battleships to threaten China, or to land marines to occupy
Chinese territory, in case of default in interest payments. The
public was misled by no false statements, but there was,
nevertheless, a general belief that our Government was actively
interested in the preservation of China's credit and in the
development of that country.
This, as I told you in our conversation at the Century Club, was
changed by the President's declaration of March 19, 1913. The
fact that the President and the State Department felt that China,
as a young republic, was entitled to extraordinary consideration
and sympathy; the fact that our Government recognized Yuan
Shih-kai's political machine, and the fact that the Administration
subsequently gave out some general expressions regarding the
Government's interest in the development of American trade,
did not in any way restore in the mind of the investor the
confidence which had been destroyed by the specific
condemnation of the activities of the only American banking
group which had had the enterprise, the courage, and the
patience to enter and remain in the Chinese field and which,
despite its unpopularity among certain yellow journals and a
number of Western Congressmen, stood for integrity, fair
dealing, and sound business in the minds of the bond-
purchasing public, upon whose readiness to buy the success of
any bond issue must depend.
This confidence which would have enabled us to sell Chinese
bonds had been created by four years of hard work on the part
of the bankers and the Government. Once destroyed, it can be
restored only by general governmental declarations, which will
probably have to be stronger than any of those made by the
Taft Administration, or, in the absence thereof, by effective,
consistent, and repeated specific proof of the Government's
willingness to assist and encourage our merchants, contractors,
and bankers. As you know, it is more difficult to correct a bad
impression than it is originally to create a good one.
I quite appreciate that it will be difficult for the President to take
any action which would seem to be a reversal of his former
position, but I hope that the last paragraph of his declaration of
last March, in which he stated that he would urge "all the
legislative measures necessary to assure to contractors,
engineers, etc., the banking and other financial facilities which
they now lack" may be interpreted and developed along lines
which will permit him actively to support the Red Cross plan.
If the Administration will publicly evidence its interest in and its
support of this project during the next few months, so that
when the matter is finally brought up to the bankers for decision
they may be able to feel that the public has become interested
and assured that our Government is behind the plan, it may
prove to be the means by which we can again enter China. This
I have pointed out to Miss Boardman who, I feel sure, fully
understands the situation.
I sincerely trust that your great interest and your energy in
endeavouring to extend our interests in China may have an
effect upon our own Administration. I believe the bankers will
always be willing to help if they are able to do so, but we are
not, like our Continental friends, anxiously looking for chances
to invest abroad, especially at the present time when we have
so many troubles of our own, and instead of being merely
shown the opportunity, we must be persuaded in the first place
 that it is sound business and in the second place that it is our
patriotic duty to undertake it. And we must feel, in addition, that
if we should undertake it our enterprise and energy will not
serve merely to rouse a storm of jealousy on the part of those
who will not assume any risks themselves, but who cry
"monopoly" as soon as an interest capable of handling foreign
business is given the active support of our Government.
I am sorry that it is impossible to give a more optimistic picture,
but I assure you that I shall do all in my power to support you
and your efforts, which I sincerely trust may be attended with
the success they deserve.

The intelligent support promised in this letter continued until the

untimely death of Mr. Straight in Paris, while he was with the
American Peace Commission.

CHAPTER IX
"SLOW AMERICANS"
"The Americans are altogether too slow!"
This exclamation from a Chinese seemed amusing. It came on the
evening of the red dust-storm that enveloped Peking, during one of
the long after-dinner conversations with Liang Shih-yi and Chow Tsu-
chi; and it was the latter who thus gave vent to his impatience.
Liang Shih-yi, the "Pierpont Morgan of China," Chief Secretary to the
President, was credited as being, next to Yuan Shih-kai, the ablest
and most influential man in Peking. Mr. Liang is highly educated
according to Chinese literary standards, and while he has not studied
Western science, he has a keen, incisive mind which enables him
readily to understand Western conditions and methods. His
outstanding quality is a faculty for organization. He built up the
Chinese Communications Service on the administrative and financial
side. He declined taking office as a minister, but usually controlled
the action of the cabinet through his influence over important
subordinates, and managed all financial affairs for Yuan Shih-kai.
Cantonese, short of stature and thickset, with a massive Napoleonic
head, he speaks little, but his side remarks indicate that he is always
ahead of the discussion, which is also shown by his searching
questions. When directly questioned himself, he will always give a
lucid and consecutive account of any matter. He did not rise above
the level of Chinese official practice in the matter of using money to
obtain political ends. To some he was the father of deceit and
corruption, to others the god of wealth, while still others revered in
him his great genius for organization. While by no means a romantic
figure, he thoroughly stimulated a romantic interest among others,
who attributed to him almost superhuman cunning and ability.
When the noted Sheng Hsuan-huai became Minister of
Communications in 1911, he used his influence and cunning to
thwart Liang and throw him out of the mastery of the Board of
Communications, known as the fattest organ of the Government. Mr.
Liang stood his ground, and his influence greatly increased because
of his ability to withstand so strong an attack. During the revolution
Liang Shih-yi was also very influential in the Grand Council, attaching
himself more and more strongly to Yuan Shih-kai. Always satisfied
with the substance of power without its outward show, he
steadfastly declined to become a responsible minister, and worked
from the vantage ground of the Secretariat of the President. His life
has frequently been endangered. He gained the hatred of the
democratic party, with which he was once associated, because he
aided Yuan in playing his complicated game of first confusing, then
destroying, parliament. Nor were the Progressives (Chin Pu Tang)
enamoured of him. Of great personal courage, he was indifferent to
the blame and ridicule which for a while almost all newspapers
heaped upon him. As he was still in a comparatively inferior position
when these attacks began, they rather helped him by calling
attention to his abilities and his personal importance. Thus his
opponents advertised him. In possession of all the intricacies of the
situation, when the parliamentarians first came to Peking, he sat
back inconspicuously, and, supplied with influence and money,
moulded the political situation as if it had been wax.
Of all the cabinet, Mr. Chow Tsu-chi, Minister of Communications,
was personally most familiar with American affairs, having lived for
several years in Washington and New York in an official capacity. He
speaks English fluently and prefers American methods. He hates
unnecessary ceremony. Whenever he called upon me I had almost
to engage in personal combat with him to be permitted to
accompany him to the outer door, as is due to a high dignitary in
China. He believes in learning improved methods from reliable
foreigners, and will go as far as any Chinese in giving foreigners
whom he trusts a free hand, though he would not yield to any one a
power of supreme control. On this occasion he talked about the
reorganization of the Bank of China, and the possibility of floating
domestic bonds among Chinese capitalists. Mr. Chow was chanting a
jeremiad about how the Chinese had been led to give valuable
concessions to Americans, which had not been developed, and how
this had brought only embarrassment and trouble to China.
We spoke, also, of the original Hankow-Canton railway concession
which the Americans tried to sell to King Leopold; of the Knox
neutralization plan, and of the Chinchow-Aigun railway concession,
the only effect of which had been to strengthen the grip of Russia
and Japan on Manchuria. When the Americans, as a mark of special
confidence and trust, had received the option on a currency loan
with the chance to reorganize Chinese currency, they had straight-
way invited Great Britain, Germany, and France into the game. "Thus
they saddled China with the International Consortium," Chow Tsu-chi
moaned. And so on went the recital, through many lesser and larger
enterprises that had proved abortive.
One had to confess that in China we certainly had not taken Fortune
by the forelock, nor even had we clung to her skirts. Mr. Chow Tsu-
chi was especially grieved at the circuitous and dilatory methods of
the Four-Power Group which held the contract to build the Hukuang
railways. "The thirty millions of dollars originally provided has been
almost entirely spent," he complained, "without producing more than
two hundred miles of actual construction; and there is constant
wrangling among the partners concerning engineering standards.
Moreover, everything has to be referred from Peking to London,
thence to New York, Paris, Berlin, and back and forth among them
all, until it is necessary to look up reams of files to know what it is all
about. And it may all have been about the purchase of a flat car."
I knew well enough that Americans, too, were much discouraged at
the cumbersome progress of the Hukuang railway enterprise. The
engineering rights on the section west from Ichang up into Szechuan
Province had been assigned to America, and Mr. W. Randolph was at
this time making a survey. He had great energy and unlimited belief
in the future importance and profitableness of this line. But beyond
the initial survey the available funds would not go, and no new
financing could be obtained—this for a railway to gain access to an
inland empire of forty millions of people!
In the American enterprises which had been launched recently,
however, there was no little activity. The Standard Oil Company with
commendable expedition, if perhaps with undue lavishness of men
and supplies, sent to China geological experts of the first order,
together with large staffs of engineers, drilling experts, and all
needed machinery. The geologists were soon off toward the
prospective oil regions in Chihli and Shensi provinces. In Mr. Hsiung
Hsi-ling's bureau and in the Standard Oil offices the outfitting of
expeditions, the purchase of supplies, and the selection of a large
Chinese personnel proceeded apace. Everyone was hopeful.
With the Hwai River conservancy matter, also, negotiations had gone
rapidly in the United States. The American National Red Cross and
the engineering firm of J.G. White & Company had agreed to finance
the preliminary survey. The American Congress in May passed an act
lending the services of an army engineer for the preliminary survey.
Colonel Sibert of the Panama Canal Commission was designated as
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