N I C O L A S BOURBAKI

Elements of Mathematics

Commutative Algebra

H E R M A N N , P U B L I S H E R S I N ARTS A N D SCIENCE

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A W
A D D I S O N - W E S L E Y P U B L I S H I N G COMPANY

Advanced Book Program Reading, Massachusetts

Originally published as ELEMENTS DE MATHEMATIQUE, ALGEBRE COMMUTATIVE 0 1964, 1965, 1968, 1969 by Hermann, Paris

TO THE READER

1. This series of volumes, a list of which is given on pages ix and x, takes up mathematics at the beginning, and gives complete proofs. In principle, it requires no particular knowledge of mathematics on the readers part, but only a certain familiarity with mathematical reasoning and a certain capacity for abstract thought. Nevertheless, it is directed especially to those who have a good knowledge of at least the content of the first year or two of a university mathematics course.

2 The method of exposition we have chosen is axiomatic and abstract, and .

normally proceeds from the general to the particular. This choice has been dictated by the main purpose of the treatise, which is to provide a solid foundation for the whole body of modern mathematics. For this it is indispensable to become familiar with a rather large number of very general ideas and principles. Moreover, the demands of proof impose a rigorously fixed order on the subject matter. It follows that the utility of certain considerations will not be immediately apparent to the reader unless he has already a fairly extended knowledge of mathematics; otherwise he must have the patience to suspend judgment until the occasion arises.
ISBN 0-201-00644-8
Library of Congress catalog card number 70-1 78262 American Mathematical Society (MOS) Subject Classification Scheme (1970) : 13-02, 13A05, 13A15 Printed in Great Britain

3. In order to mitigate this disadvantage we have frequently inserted examples i the text which refer to facts the reader may already know but which have n not yet been discussed in the series. Such examples are always placed between two asterisks: * . . . *. Most readers will undoubtedly find that these examples will help them to understand the text, and will prefer not to leave them out, even at a first reading. Their omission would of course have no disadvantage, from a purely logical point of view.
4. This series is divided into volumes (here called Books). The first six

0 1972 by Hermann. All rights reserved

This book, or parts thereof, may not be reproduced in any form without the publishers written permission

h o k s are numbered and, in general, every statement in the text assumes as known only those results which have already been discussed in the preceding
V

TO THE READER

TO THE READER

volumes. This rule holds good within each Book, but for convenience of exposition these Books are no longer arranged in a consecutive order. At the beginning of each of these Books (or of these chapters), the reader will find a precise indication of its logical relationship to the other Books and he will thus be able to satisfy himself of the absence of any vicious circle.

tence to completeness ; in particular, references which serve only to determine questions of priority are almost always omitted. As to the exercises, we have not thought it worthwhile in general to indicate their origins, since they have been taken from many different sources (original papers, textbooks, collections of exercises).

5, The logical framework of each chapter consists of the definitions, the axioms, and the theorem of the chapter. These are the parts that have mainly to be borne in mind for subsequent use. Less important results and those which can easily be deduced from the theorems are labelled as propositions, lemmas, corollaries, remarks, etc. Those which may be omitted at a first reading are printed in small type. A commentary on a particularly important theorem appears occasionally under the name of scholium. T o avoid tedious repetitions it is sometimes convenient to introduce notations or abbreviations which are in force only within a certain chapter or a certain section of a chapter (for example, in a chapter which is concerned only with commutative rings, the word ring would always signify commutative ring). Such conventions are always explicitly mentioned, generally a t the beginning of the chapter in which they occur. 6. Some passages in the text are designed to forewarn the reader against serious errors. These passages are signposted in the margin with the sign

11. References to a part of this series are given as follows:

a) If reference is made to theorems, axioms, or definitions presented in the same section, they are quoted by their number. b) If they occur in another section o f the same chapter, this section is also quoted in the reference. c) If they occur in another chapter in the same Book, the chapter and section are quoted. d) If they occur in another Book, this Book is first quoted by its title. The Summaries o Results are quoted by the letter R: thus Set Theory, R f signifies Summary of Results of the Theory o f Sets.

2 (dangerous bend).
7. The Exercises are designed both to enable the reader to satisfy himself that he has digested the text and to bring to his notice results which have no place in the text but which are nonetheless of interest. The most difficult exercises bear the sign 7.
8. I n general, we have adhered to the commonly accepted terminology, except where there appeared to be good reasons for deviating from it.

9. We have made a particular effort always to use rigorously correct language,

without sacrificingsimplicity. As far as possible we have drawn attention in the text to abuses o language, without which any mathematical text runs the risk of f pedantry, not to say unreadability.

1 . Since in principle the text consists of the dogmatic exposition of a theory, 0 it contains in general no references to the literature. Bibliographical references are gathered together in Historical Nates, usually at the end of each chapter. These notes also contain indications, where appropriate, of the unsolved problems of the theory. The bibliography which follows each historical note contains in general only those books and original memoirs which have been of the greatest importance in the evolution of the theory under discussion. I t makes no sort of previ

vii

CONTENTS OF THE ELEMENTS OF MATHEMATICS SERIES

I. THEORY OF SETS
1. Description of formal mathematics. 2. Theory of sets. 3. Ordered sets; cardinals; natural numbers. 4. Structures.

11. ALGEBRA
1. Algebraic structures. 2. Linear algebra. 3. Tensor algebras, exterior algebras, symmetric algebras. 4 Polynomials and rational fractions. . 5. Fields. 6. Ordered groups and fields. 7. Modules over principal ideal rings. 8. Semi-simple modules and rings. 9. Sesquilinear and quadratic forms.

111. GENERAL TOPOLOGY

1. Topological structures. 2. Uniform structures. 3. Topological groups.

4 Real numbers. 5 . One-parameter groups. 6 . Real number spaces, .

a f i e and projective spaces. 7. The additive groups R". 8. Complex numbers. 9. Use of real numbers in general topology. 10. Function spaces.

IV. FUNCTIONS OF A REAL VARIABLE

1. Derivatives. 2. Primitives and integrals. 3. Elementary functions. 4. Differential equations. 5. Local study of functions. 6 . Generalized Taylor expansions. The Euler-Maclaurin summation formula. 7. The gamma function. Dictionary.

V. TOPOLOGICAL VECTOR SPACES

1. Topological vector spaces over a valued field. 2. Convex sets and locally convex spaces. 3. Spaces of continuous linear mappings. 4 Duality in topo. logical vector spaces. 5. Hilbert spaces : elementary theory. Dictionary.

VI. INTEGRATION
1. Convexity inequalities. 2. Riesz spaces. 3. Measures on locally compact spaces. 4. Extension of a measure. LP spaces. 5. Integration of measures. 6. Vectorial integration. 7. Haar measure. 8. Convolution and representation. 9. Integration on Hausdorff topological spaces.

ix

CONTENTS OF THE ELEMENTS OF MATHEMATICS SERIES

LIE GROUPS AND LIE ALGEBRAS

1 Lie algebras 2 Free Lie algebras 3 Lie groups and Tits systems 5 . Groups generated by reflections

CONTENTS

. . . .

. .

. 4. Coxeter groups . 6. Root systems. . .

COMMUTATIVE ALGEBRA
1. Flat modules 2. Localization. 3 . Graduations, filtrations. and topologies. 4. Associated prime ideals and primary decomposition 5. Integers 6 Valuations 7 Divisors

. .

. .

SPECTRAL THEORIES

1 Normed algebras

. 2. Locally compact groups.

To THE READER ............................................... CONTENTS THE ELEMENTS OF MATHEMATICS SERIES .............. OF
V

DIFFERENTIABLE AND ANALYTIC MANIFOLDS

Summary of results

ix
XiX

INTRODUCTION

................................................ CHAPTER. FLAT MODULES .................................. I 5 1. Diagrams and exact sequences .......................... 1. Diagrams .........................................
2 . Commutative diagrams ............................. 3. Exact sequences ................................... 4. The snake diagram ...............................

1 1 1 2 3 4 9 9
10

5 2. Flat modules ......................................... 1. Revision of tensor products .......................... 2. M-flat modules .................................... 3. Flat modules ...................................... 4. Examples of flat modules ........................... 5. Flatness of quotient modules ........................ 6. Intersection properties .............................. 7. Tensor products of flat modules ...................... 8. Finitely presented modules .......................... 9 . Extension of scalars in homomorphism modules ........ 10. Extension of scalars: case of commutative rings ........ 1 1. Interpretation of flatness in terms of relations .......... 5 3. Faithfully flat modules ................................. 1. Definition of faithhlly flat modules ................... 2. Tensor products of faithfully flat modules .............
3. Change of ring

12 14 15 17 19 20 22 22 25

27 27
30 31

....................................

CONTENTS

CONTENTS

4. Restriction of scalars ............................... 5 Faithfully flat rings ................................ 6. Faithfully flat rings and finiteness conditions ........... 7 Linear equations over a faithfully flat ring ............

. .

31 32 34 35 37 39 41 49 50 51 51 51 53 55 55 60 64 67 70 73 75

3 5. Finitely

3 4. Flat modules and Tor functors ........................ Exercises for 3 1 ........................................... Exercises for 3 2 ........................................... Exercises for 4 3 ...........................................
Exercises for $ 4

generated projective modules Invertible fractional ideals .............................................. 1 Localization with respect to an element ............... 2. Local characterization of finitely generated projective modules ........................................ 3. Ranks of projective modules ......................... 4 Projective modules of rank 1 ........................ 5 Non-degenerate submodules ......................... 6 Invertible submodules .............................. 7 The group of classes of invertible modules .............

108 108 109 111 114 116 117 119

. . .

...........................................

Exercisesfor 1 Exercises for 3 2

...........................................

121
123 136 140 146 155 155 155 156 157 160

CHAPTER LOCALIZATION .................................... I1 3 1 Prime ideals .......................................... 1 Definition of prime ideals ............................ 2. Relatively prime ideals .............................

. . .

5 2 . Rings and modules of fractions ..........................

........................................... Exercises for 3 3 ........................................... Exercises for 3 4 ........................................... Exercises for 3 5 ...........................................

1 Definition of rings of fractions ....................... 2 Modules of fractions ............................... 3. Change of multiplicative subset ...................... 4 Properties of modules of fractions .................... 5 Ideals in a ring of fractions .......................... 6. Nilradical and minimal prime ideals .................. 7 Modules of fractions of tensor products and homomorphism modules ........................................ 8. Application to algebras ............................. 9 Modules of fractions of graded modules ................

. . . . . .

CHAPTER 111. GRADUATIONS. FILTRATIONS AND TOPOLOGIES ......... 1. Finitely generated graded algebras ....................... 1. Systems of generators of a commutative algebra ........ 2 Criteria of finiteness for graded rings ................. 3. Properties of the ring A(d) ........................... 4 Graded prime ideals ...............................

. .

77
78 80 80 82 87 91 92 94 94 97 98 104

3 3. Local rings. Passage from the local to the global ...........

3 2. General results on filtered rings and modules .............. 1. Filtered rings and modules .......................... 2. The order function .................................

1 Local rings ....................................... 2. Modules over a local ring ........................... 3. Passage from the local to the global .................. 4. Localization of flatness ............................. 5 Semi-local rings ...................................

. .

3 4. Spectra of rings and supports of modules ..................

1 Irreducible spaces .................................. 2. Noetherian topological spaces ........................ 3. The prime spectrum of a nng ....................... 4 The support of a module ............................

162 162 165 3 The graded module associated with a filtered module .... 165 4 Homomorphisms compatible with filtrations ........... 169 5 The topology defined by a filtration .................. 170 6 Complete filtered modules .......................... 173 7 Linear compactness properties of complete filtered modules 176 8. The lift of homomorphisms of associated graded modules 177 9. The lift of families of elements of an associated graded module ........................................ 179 10. Application: examples of Noetherian rings ............. 183 11 Complete m-adic rings and inverse limits .............. 185 12. The Hausdorff completion of a filtered module ......... 187 13. The Hausdorff completion of a semi-local ring ......... 192

. . . . .

CONTENTS

CONTENTS

$ 3. m-adic topologies on Noetherian rings .................... 1 Good filtrations .................................... 2. m-adic topologies on Noetherian rings ................ 3 Zariski rings ...................................... 4 . The Hausdorff completion of a Noetherian ring ........ 5. The completion of a Zariski ring .....................

. .

195 195 199 201 202 206 209 209 2 12 215 218 220 225 226 226 227 228 230 232 233 245 255 259 261 261 261 263 265 265 267 267 270 270 272

5 Rings and modules of finite length ................... 274 6. Primary decomposition and extension of scalars ........ 279

4 3. Primary decomposition in graded modules ................

283 1 Prime ideals associated with a graded module .......... 283 2 Primary submodules corresponding to graded prime ideals 284 3 Primary decomposition in graded modules ............. 285

. . .

Ej 4 Lifting in complete rings ................................ 1. Strongly relatively prime polynomials ................. 2 . Restricted formal power series ........................ 3. Hensels Lemma ................................... 4 . Composition of systems of formal power series .......... 5 . Systems of equations in complete rings ................ 6 . Application to decompositions of rings ................

Exercises for Ej 1

........................................... Exercises for 3 2 ........................................... Exercises for $ 3 ...........................................

286 290 301 303 303 303 308 309 312 314 316 318 320 323 325 325 330 337 343 344 344 348 349 351 355 362 370

3 5.

Flatness properties of filtered modules ..................... 1. Ideally Hausdorff modules .......................... 2 . Statement of the flatness criterion .................... 3. Proof of the flatness criterion ........................ 4 . Applications ......................................

Exercisesfor $ 1 Exercises for $ 2 Exercises for $ 3 Exercises for $ 4 Exercises for Ej 5

........................................... ........................................... ........................................... ........................................... ...........................................

CHAPTERV INTEGERS ........................................ 5 1. Notion of an integral element ........................... 1 Integral elements over a ring ........................ 2 The integral closure of a ring . Integrally closed domains 3. Examples of integrally closed domains ................ 4 . Completely integrally closed domains ................. 5. The integral closure of a ring of fractions .............. 6. Norms and traces of integers ........................ 7. Extension of scalars in an integrally closed algebra ...... 8. Integers over a graded ring ......................... 9. Application: invariants of a group of automorphisms of an algebra .........................................

. . .

CHAPTER IV ASSOCIATED PRIME IDEALS AND PRIMARY DECOMPOSITION Ej 1. Prime ideals associated with a module .................... 1. Definition of associated prime ideals .................. 2 Localization of associated prime ideals ................ 3 Relations with the support .......................... 4 . The case of finitely generated modules over a Noetherian ring ............................................

Ej 2 . The lift of prime ideals ................................. 1 The first existence theorem .......................... 2. Decomposition group and inertia group ............... 3 Decomposition and inertia for integrally closed domains . . 4. The second existence theorem .......................

. .

. .

tj 2. Primary decomposition

................................. 1. Primary submodules ............................... 2 . The existence of a primary decomposition ............. 3. Uniqueness properties in the primary decomposition .... 4. The localization of a primary decomposition ...........

Ej 3. Finitely generated algebras over a field ................... 1. The normalization lemma ........................... 2 The integral closure of a finitely generated algebra over a field ............................................ 3 The Nullstellensatz ................................. 4 Jacobson rings .....................................

. . .

........................................... Exercisesfor$2 ........................................... Exercisesfor $ 3 ...........................................

Exercises for 5 1

CONrENTS CHAPTER VI . VALUATIONS ..................................... $ 1. Valuation rings ....................................... 1. The relation of domination between local rings ......... 2 Valuation rings .................................... 3. Characterization of integral elements ................. 4 Examples of valuation rings .........................

CONTENTS

. . .

375 375 375 376 378 379 381 381 381 383 384 385 385 385 387 389 389 39 1 392 393 393 394 395 396 397 399 399 40 1 402 403 403 405 406 407 412 412 413 415

$ 8. Extensions of a valuation to an algebraic extension ......... 416 1. Ramification index. Residue class degree .............. 416 2. fitension of a valuation and completion .............. 418
3 The relation etfi < n ............................. 4 Initial ramification index ............................

$ 2. Places ................................................ 1 The notion of morphism for laws of composition not everywhere defined ................................... 2. Places ............................................ 3. Places and valuation rings .......................... 4. Extension of places ................................. 5. Characterization of integral elements by means of places . .

5 The relation etfi = n ............................. 423 6 Valuation rings in an algebraic extension .............. 427 428 7 The extension of absolute values .....................

. .

420 422

$ 3. Valuations ........................................... 1. Valuations on a ring ............................... 2. Valuations on a field ............................... 3. Translations ...................................... 4. Examples of valuations ............................. 5 . Ideals of a valuation ring ........................... 6. Discrete valuations ................................. $ 4. The height of a valuation ............................... 1 Inclusion of valuation rings of the same field ........... 2 Isolated subgroups of an ordered group ............... 3. Comparison of valuations ........................... 4. The height of a valuation ........................... 5. Valuations of height 1 .............................. $ 5 . The topology defined by a valuation ..................... 1 The topology defined by a valuation .................. 2. Topological vector spaces over a field with a valuation . . 3. The completion of a field with a valuation ............

$ 9. Application: locally compact fields ....................... 1 The modulus function on a locally compact field ....... 2 Existence of representatives .......................... 3. Structure of locally compact fields ....................

. .

431 431 432 433 434 434 437 438 441 444
446

$ 10. Extensions of a valuation to a transcendental extension ..... 1. The case of a monogenous transcendental extension .... 2. The rational rank of commutative group ............ 3 The case of any transcendental extension ..............

Exercises for $ 1

. .

$ 6. Absolute values ....................................... 1. Preliminaries on absolute values ..................... 2 . Ultrametric absolute values .......................... 3. Absolute values on Q ............................... 4. Structure of fields with a non-ultrametric absolute value . . $ 7. Approximation theorem ................................ 1. The intersection of a finite number of valuation rings ... 2 . Independent valuations ............................. 3. The case of absolute values ..........................

........................................... Exercises for $ 2 ........................................... Exercises for $ 3 ........................................... Exercises for $ 4 ........................................... Exercises for 0 5 ........................................... Exercises for $ 6 ........................................... Exercises for $ 7 ........................................... Exercises for 3 8 ........................................... Exercises for 3 9 ........................................... Exercises for $ 10 ..........................................

449 454 459 460 461 470 471 475 475 475 478 480

C m R V I I DMSORS ....................................... 5 1 Kmll domains......................................... 1 Divisorial ideals of an integral domain ................ 2 The monoid structure on D(A) ...................... 3. Krull domains .....................................

. .

CONTENTS

CONTENTS

4. Essential valuations of a Krull domain ................ 5. Approximation for essential valuations ................ 6. Prime ideals of height 1 in a Krull domain ............ 7 Application : new characterizations of discrete valuation rings ........................................... 8. The integral closure of a Krull domain in a finite extension of its field of fractions ............................ 9 . Polynomial rings over a Krull domain ................ 10. Divisor classes in Krull domains .....................

482 484 485 487 487 488 489

3 2. Dedekind domains ..................................... 1. Definition of Dedekind domains ...................... 2. Characterizations of Dedekind domains ...............

493 493 494 3 Decomposition of ideals into products of prime ideals .... 496 4 The approximation theorem for Dedekind domains . . . . . 497 5 The Krull-Akizuki Theorem ......................... 499

. . .

........................................... Exercises for 34 ........................................... Historical note (Chapters I to VII) .......................... Bibliography ............................................ Index of notation .......................................... Index of terminology ...................................... Table of implications ....................................... Table of invariances - 1.................................... Table of invariances - .................................. 11
Exercises for 3 3 Invariances under completion

563 571 579 603 607

610
621 622 624 625

...............................

F 3 Factorial domains ..................................... j 1 Definition of factorial domains ....................... 2 Characterizations of factorial domains ................. 3. Decomposition into extremal elements ................ 4 Rings of fractions of a factorial domain ................ 5 Polynomial rings over a factorial domain .............. 6 Factorial domains and Zariski rings ................... 7 Preliminaries on automorphisms of rings of formal power series ........................................... 8 The preparation theorem ........................... 9 Factoriality of rings of formal power series .............

. . . . . . . .

502 502 502 504 505 505 506 506 507 511 512 512 517 521 523 527 529 531 535 54.0 543 545 556

3 4. Modules over integrally closed Noetherian domains .........

1 Lattices ........................................... 2 Duality; reflexive modules ........................... 3 Local construction of reflexive modules ............... 4 Pseudo-isomorphisms ............................... 5 Divisors attached to torsion modules .................. 6. Relative invariant of two lattices ..................... 7. Divisor classes attached to finitely generated modules .... a. Properties relative to finite extensions of the ring of scalars 9. A reduction theorem ............................... 10 Modules over Dedekind domains .....................

.
. . . .

Exercises for 3 1 Exercisesfor52

........................................... ...........................................

INTRODUCTION

The questions treated in this Book arose during the development of the theory of algebraic numbers and (later) algebraic geometry (cf. the Historical Note). From the 19th century onwards these two theories began to show remarkable analogies; the attempt to solve the problems they posed led to the isolation of a number of general ideas whose field of application is not limited to rings of algebraic numbers or algebraic functions; and, as always, it is advantageous to consider these in their most general form in order to see their true significance and the repercussions of one study on another. The concepts treated in this Book can be applied in principle to all commutative rings and modules over such rings; it must however be pointed out that substantial results are often obtained only under certain hypotheses of jniteness (which always hold in the classical cases), for example by assuming the modules to be finitely generated or the rings to be Noetherian. The chief notions central to the first chapters are the following:

1. Localization and globalization. Let us begin for example with a system of Diophantine equations :

(*>

Pi(Xl,.

. .)x,)

=0

(1

< i < n)

where the Pi are polynomials with integer coefficients and solutions (xi) are sought consisting of rational integers. It is possible to start approaching the problem by looking for solutions consisting of rational numbers, which involves l o o k g at the same problem with the coefficientsof the P, considered as elements of thefild o fractions Q of Z and the solutions sought with values in Q. f A second step consists of seeing whether, given a prime number p , there exist rational solutions whose denominators are not divisible by p (integer solutions this condition) ;this amounts, in this case, to lying in the subring %I) of Qconsisting of the rational numbers of this form, called the local ring of Comesponding to the prime number p. Clearly the passage from Z to Q and
xxi

INTRODUCTION

INTRODUCTION

that from Z to Z are of the same form: in the two cases, the only denominators , allowed do not belong to a certain prime ideal (the ideal ( 0 ) and the ideal ( p ) respectively). The same name local ring arises in algebraic geometry, where this notion appears in a more natural way: for example for the ring C[X] of polynomials in one variable with complex coefficients, the local ring corresponding to the prime ideal (X - a)is the ring of rational fractions regular at the point a (that is, without a pole at that point). Every Diophantine problem and more generally every problem on Amodules (A a commutative ring) can be decomposed into two subsidiary problems: its solution is sought in the local rings A, corresponding to the different prime ideals p of A (localization), then the question is asked whether it is possible to conclude from the existence for all p of a solution to the localized problem that a solution exists to the problem posed initially (passage from the local to the global). Chapter I1 is devoted to the study of this double process and it is also seen that localization is not related only to prime ideals, but has a wider range. 11. Completion o local rings. A local ring A shares with fields the property of f having only one maximal ideal m. This fact is used to transform, to a certain extent, a problem on A-modules into an analogous problem on vector spaces by passing to the quotient ring A/m, as this latter is a field. If we return for example to the Diophantine system (*) this idea is none other than the principle of reduction modulo k, transforming the equations into congruences mod. p, which occurred naturally beginning with the very first works in the theory of numbers. This being so, we clearly cannot hope in this way to obtain complete results for the original problem and it was quickly realized that to obtain more precise information it was necessary to consider, not only congruences modulo m, but also higher congruences modulo mn, for arbitrary integers n > 0. I t is thus found that, the larger n, the closer in some way the original problem is C< approached (in the case A = Z for example, the reason is that an integer # 0 cannot be divisible by all the powers p of a given prime number p ; this number will therefore make its presence felt in the reduction mod. pn provided n is taken large enough). The mathematical translation of this idea consists of considering on A a ring topology (cf. General Topology, Chapter 111, tj 6 ) in which the mnform a fundamental system of neighbourhoods of 0. But when we have for example, solved the system of congruences

(1 < i < n) (**) P,(x,, . ., x,) I 0 (mod.pk) . for every integer k > 0, it still does not follow that the system (*) has a solution in the local ring Z,,,; the above hypothesis can be interpreted as saying that (*) admits a solution in the completion Zcp)of the topological ring Z(p). The original problem, thus weakened, is finally transformed into the analogous problem for local rings of the type A/mn, which are also nearer to fields
I

than general rings, since they have a nilpotent radical; in classical algebraic geometry this corresponds to a differential study of the problem in the neighbourhood of a given point. Chapter I11 deals in a general way with these applications of topological notions to the theory of local rings. In Chapter VI a special aspect of this is studied, adapted on the one hand to more detailed studies of algebraic geometry, and above all to the arithmetic of algebraic number fields, where the 1 1 rings encountered (such as Z(pJ belong to a particularly simple class, that 0fvaluation rings, where divisibility is a total ordering (cf. Algebra, Chapter VI, 3 1) of the set of principal ideals. The study of the passage from a ring A to a local ring A, or to a completion A brings to light a feature common to these two operations, the property of JWS ofthe A-modules A, and A, which allows amongst other things the use of tensor products of such A-modules with arbitrary A-modules somewhat similar to that of tensor products of vector spaces, that is, without all the precautions surrounding their use in the general case. The properties associated with this notion, which are also applicable to modules over non-commutative rings, are the object of study in Chapter I. 111. Integers and decomposition ideals. The study of divisibility in algebraic number fields necessitated from the start the introduction of the notion of integer in such a field K, generalizing the notion of rational integer in the field Q. The general theory of this notion of algebraic integer, linked, as will be seen, to very strict conditions of finiteness, is developed in Chapter V; it can be applied to all commutative rings and is of great interest not only in arithmetic, but in algebraic geometry and even in the modern theory of analytic spaces over the field C. One of the major obstacles to the extension of classical arithmetic to rings of algebraic integers has long been that the classical decomposition of a rational integer into prime factors does not extend in general to these rings. The creation of the theory of ideals was necessary to surmount this difficulty: the unique decompositionsoughtis thenestablished for ideals, thenotion of primeideal being substituted for that of prime number. Moreover this result can be considered as a typical case where the passage from the local to the global is performed satisfactorily: the knowledge, for x E K, of the values at x of all the valuations O K determines x up to multiplication by an invertible integer. n In less simple rings than rings of algebraic integers (and even for example in of polynomials in several indeterminates) this result is no longer valid. However it is possible to associate in a canonical way with every ideal a welldekrmined set of prime ideals :in algebraic geometry, if we consider for example inKn(K y commutative field) a subvariety defined by a system of polynomial m Wations Pa = 0, the irreducible components of this subvariety comespond bismtively with the minimal elements of the set of prime ideals thus asso&ted with the ideal generated by the Pa. It is moreover possible (ifwe restrict
~

xxii

xxiii

INTRODUCTION

ourselves to Noetherian rings) to give for every ideal a decomposition less precise than a decomposition as a product of prime ideals :here the product is in fact replaced by the intersection and the powers of prime ideals by primary ideals connected with the prime ideals associated with the ideal in question (but which are not direct generalizations of powers of prime ideals). The introduction of prime ideals associated with an ideal and the study of their properties is the subject of Chapter IV; here also the existence and certain uniqueness properties of the primary decompositions to which we have just alluded are proved; but it seems at present that these decompositions usually only play an accessory role in applications, the essential notion being that of prime ideal associated with an ideal. I n Chapter VII we examine in more detail rings whose properties most nearly approach those of rings of algebraic integers as far as decomposition as a product of prime ideals is concerned; amongst other things it is possible to introduce into these rings the notion of divisor, which is the geometric aspect of this decomposition and plays an important role in algebraic geometry. Finally Chapters V I I I et seq. will deal with notions of more interest in algebraic geometry than in arithmetic (where they become trivial) and notably the concept of dimension. With these notions we come to the frontier of algebraic geometry proper, a frontier which is ever moving and difficult to trace. For, if commutative algebra is an essential tool for the development of algebraic geometry in all its generality, conversely (as has already been seen above) the language of geometry proves very convenient for expressing the theorems of commutative algebra and suggesting a certain intuition naturally enough absent from abstract algebra; with the tendency to enlarge more and more the limits of algebraic geometry, algebraic and geometric language tend more than ever to merge.

CHAPTER I(*)

Flat Modules

u s otherwise stated, all the rings considered in this chapter are assumed to have a unit & e b t ; all the ring homomorphisms are assumed to map unit element to unit element. A subring o a ring A m a n s a subring containing the unit element o f A. f IfAis a ring, M a left A-module and U (resp. V) an additive subgroup ofA (resp. M ) , recall that UV or U .V is used to denote the additive subgroup ofM generated by the products uv, where u E U , v E V (Algebra, Chapter VIII, $ 6, no. 1). If a is an i&d ofA, we write ao = A. For any set E, 1, (or 1 f no confusion arises) is used to i denote the identity mapping o f E to itself. i Recall that the axiomsf o r a module imply that f E is a lejit (resp. right) module over a ring A and 1 denotes the unit element o f A, then 1 . x = x (resp. x . 1 = x ) for dl x E E (Algebra, Chapter 11, $1, no. 1). I f E and F are two lejl. (resp. right) A-mddes, recall that Hom,(E, F) (or simply Hom(E, F)) is used to denote the didive group of homomorphisms o f E to F (loc. cit., $ 1, no. 2). B y an abuse o f notation 0 will often be used to denote a module reduced to its identity element.
1. DIAGRAMS AND EXACT SEQUENCES
1 DIAGRAMS .

Let, for example, A, B, C , D, E be five sets and letf be a mapping from A to B,

g a mapping from B to C, h a mapping from D to E, u a mapping from B to D
Of

and u a mapping from C to E. To summarize such a situation we often make use diagrams; for example, the above situation is summarized by the following
(*) With the exception of Q 4, the results of this chapter depend only on Books I

to V . I xxiv

FLAT MODULES

EXACT SEQUENCES

8 1.3

diagram (Set Theory, Chapter 11, j no. 4) 3,

A-BLC 1

For the diagram (2) to be commutative it is necessary and sufficient that the relations

4 JV
DTE In such a diagram the group of symbols A + B expresses schematically the fact thatf is a mapping from A to B. Where there is no ambiguity about5 we suppress the letter f and write simply A + B. When A , B, C, D, E are groups (resp. commutative groups) andf, g , h, u, v group homomorphisms, diagram (1) is called, by way of abbreviation, a diagram of groups (resp. commutative groups). In principle, a diagram is not a mathematical object, but only ajigure designed to facilitate reading an argument. In practice, diagrams are often used as abbreviatoy symbols to avoid naming all the sets and mappings under consideration; we therefore say Consider the diagram (1) instead of saying Let A, B, C, D, E be five sets . and v a mapping from C to E; see for example the statement of Proposition 2 in no. 4.
f

(3)

foa

b of ,

gob=cog,

hof=doh;

hold; in other words, it is necessary and sufficient that the three square diagrams contained in (2) be commutative. For the relations ( 3 ) imply c o g o f = g o b o f since c o g = g o b , and g o b o f = g o f o a since b of =f o a ; thus the three paths beginning at A and ending at C give the m e mapping. I t can be similarly verified that the four paths beginning at A and ending at D (resp. the three paths beginning at B and ending at D) give fie same mapping. The relations (3) signify that the two paths beginning at A (resp. B, C ) and ending at B (resp. C, D) give the same mapping. None of the other pairs of vertices of (2) can be joined by more than one path and the diagram (2) is therefore commutative. In what follows we shall leave the reader to verify analogous results for other types of diagrams.
3. EXACT SEQUENCES

..

Recall the following definition (Algebra, Chapter 11, 9 1, no. 4) :

2. COMMUTATIVE DIAGRAMS

Consider, for example, the following diagram: A-+-B&C-D

f

A --3 B -+ C
f
P

DEFINITION 1. Let A be a ring, F, G , H three right (resp. left) A-modules, f a homom07fihi.m ofF to G and g a homomorphism ofG to H. The orderedpair (f, ) is called g an exact sequence i f 2 ( 0 ) = f (F), that is i f the kernel o f g i equal to the image off. s
The diagram
(4)
I F-GLH

To every path composed of a certain number of segments of the diagram traversed in the direction shown by the arrows corresponds a mapping of the set represented by the beginning of the first segment to the set represented by the end of the last segment, namely the composition of the mappings represented by the various segments traversed. For each vertex of the diagram, for example B, by way of convention there is a path reduced to B, to which corresponds the identity mapping 1,. In (2) there are for example three paths beginning at A and ending at C; the corresponding mappings are c o g of, g b f and g of a. A diagram is said to be commutative if, for every pair of paths in the diagram with the same beginning and end, the two corresponding mappings are equal; in particular if the beginning and end of a path coincide the corresponding mapping must be the identity.
0 0 0

is also called an exact sequence. Consider similarly a diagram consisting of four modules and three homomor-

phisms:
(5)
E +FBG+H.
f
h

This diagram is said to be exact at F if the diagram E & F 5 G is an exact

sequence; it is said to be exact at G if F f G 3 H is an exact sequence. If (5) is a c t at F and G, it is said to be exact or also an exact sequence. Exact sequences 6th any number of terms are similarly defined. Recall the following results (loc. cit.), where E, F, G denote right (resp. left)
3

FLAT MODULES

THE SNAKE DIAGRAM

3 1.4

A-modules, the arrows represent homomorphisms and 0 denotes a module reduced to its identity element: (a) To say that 0 -+ E -+ F is an exact sequence is equivalent to saying that f is injective. f (b) To say that E -+ F -+ 0 is an exact sequence is equivalent to saying that f is surjective. f (c) To say that 0 4 E -+ F -+ 0 is an exact sequence is equivalent to saying that f is bijective, that is that f is an isomorphism of E onto F. (d) I f F is a submodule of E and i denotes the canonical injection of F into E and p the canonical surjection of E onto E/F, the diagram
P (6) O-F>E+EE/F~O is an exact sequence. (e) Iff: E 4 F is a homomorphism, the diagram

Suppose that the two rows o (10) are exact. Then: f

(i) I f c is injective, we have

Im(b) n Im(u) = Im(u o a ) (11) (ii) I f a is surjective, we have (12) Ker(6)
=

Im(6 o u ) .

+ Im(u) = Ker(v
=

b ) = Ker(c o v).

Let u prove (i). Clearly s Im(u0 a )

v o u =

Im(b 0 u ) c Im(b) n Im(u).

Conversely, let x E Im(b) n Im(u). There exists y E B such that x = b ( y ) . As 0, we have 0 = v(x) = v(b(y)) = c(v(y)),whence v(y) = 0 since cis injective. As (u, v) is an exact sequence, there exists z E A such that y = u ( z ) , whence x = b ( u ( t ) ) .
0

(7)

-1 f o-~(o)-LE+FLF~(E)---+o us prove (ii). As u Let -1

u = 0 and

u = 0, it is clear that
o

(where i is the canonical injection off (0) into E and p the canonical projection of F/f (E)) is an exact sequence. (f) For the diagram (8) E - -f+ F ~ G to be an exact sequence, it is necessary and sufficient that there exist modules S, T and homomorphisms a : E -+ S, 6 : S -+F, c: F --f T and d : T -+ G such that f = b o a, g = d o c and the three sequences

Ker(b)

+ Im(u) c Ker(v
0

6 ) = Ker(c o v).

Conversely, let x E Ker(v b). Then b(x) E Ker(v) and there exists y E A such that u(y) = b(x), since the sequence (u, v) is exact. As a is surjective, there exists y E A such that a ( y ) = y, whence b(x) = u ( a ( y ) ) = b ( u ( y ) ) ;it follows that x - u ( y ) E Ker(b), which completes the proof.
f LEMMA 1. Consider a commutative diagram o commutative groups:

EAS-0

A-LB
d

(9)

O+S-+FAT-O
0-T+G
-1

A -U B 3

1)

be exact. Recall finally that iff: E -+ F is an A-module homomorphism, we set Ker(f) = f (0), Im(f) =f(E), Coim(f) = E/fiO) and Coker(f) = F/f(E). With this notation it is possible to take, in (9), S = Im(f)= Ker(g) and T = Im(g) (canonically isomorphic to Coker(f)).
4.

Then there exists one and only one homomorphism u l : Ker(a) --f Ker(6) and one and
only one homomorphism u p : Coker(a) 4 Coker(b) such that the diagrams

Ker(a) -% Ker(b) (14)

THE SNAKE DIAGRAM

A -

PROPOSITION 1. Consider a commutative diagram o commutative groups : f A L B A

B

crnd

bl .1 A --+ C
U
V

A
(15)

uo
d

Coker(a)

Coker(b)
5

1p

FLAT MODULES

THE SNAKE DIAGRAM

5 1.4

are commutative, i a n d j denoting the canonical injections and p and q the canonical surjections.
If x E Ker(a), then a ( x ) = 0 and b ( u ( x ) ) = u ( a ( x ) ) = 0, hence u ( x ) E Ker(b), and the existence and uniqueness of u1 are then immediate. Similarly, we have u(a(A))= b(u(A))c b(B), then by taking quotients u gives a homomorphism u2: Coker(a) -+ Coker(b), which is the only homomorphism for which (15) is commutative. Let us now start with the commutative diagram (10) of commutative groups; there corresponds to it by Lemma 1 a diagram

k t US prove (i). As u1 and u1 have the same graphs as the restrictions of u and to Ker(a) and Ker(b) respectively, we have u1 0 u1 = 0. Then Ker(ul) = Ker(6) n Ker(u) = Ker(6) n Im(u) = Im(j) n Im(u). But, by Proposition 1, (i), Ker(u,) = I m ( j 0 ul) = Im(ul) if u is injective. Let u prove (ii). As u2 and u, are obtained from u and u by taking quotients, s it is clear that u2 0 u2 = 0. Suppose that u is surjective; as q andp are surjective, it follows from the hypotheses and Proposition 1, (ii) that Ker(v,) = q(Ker(u2 0 q ) ) = q(Ker(u) Im(b)) = Im(q o u) = Im(u, o p ) = Im(u,).

dKer(u)) = q(Im(u>>

Finally let us prove (iii). For x E Ker(c) there existsy E B such that u(y) = k ( x ) since u is surjective; moreover u(b(y)) = c ( k ( x ) ) = 0 and consequently there & b a unique t E A such that u(t) = b ( y ) ,since u is injective. We now show s that the element p ( t ) E Coker(a) is inaependent of the element y E B such that ~ ( y ) k ( x ) . For if ~ E is another element such that u ( y ) = k ( x ) , then = B y = y + ~ ( z )where z E A; we show that if t E A is such that u(t) = b(y) , then t = t a ( z ) ; for

U(t
I

+ a ( z ) ) = u ( t ) + u ( a ( 2 ) ) = b ( y ) + b ( u ( z ) ) = b ( y + U ( 2 ) ) = b(y).

.L

.L

i--+Coker(a) ~p + Coker(6)

Coker(c)

where i, j, k are the canonical injections, p , q, r the canonical surjections and ul, u, (resp. ul, u,) the homomorphisms canonically associated with u, u (resp. u, u) by Lemma 1. I t is immediately verified that this diagram is commutative. PROPOSITION 2. Suppose that in the commutative diagram (10) the sequences (u, v) and (u, u) are exact. Then: (i) u1 0 u1 = 0 ; ifu is injective, the sequence (ul, ul) is exact. (ii) u2 0 u2 = 0 ; ifu is surjective, the sequence (uz, u2) is exact. (iii) Suppose that uf is injective and v is surjective. Then there exists one and only one homomorphism d : Ker(c) --f Coker(a) with the following property: if x E Ker(c), y ~ B a n d t ~ A s a t i s r t h e r e l a t i o n s u ( y ) k ( x ) andu(t) = b(y),thend(x)= p ( t ) . = Moreover the sequence
(*) Ker(a) -% Ker(b) -% Ker(c) --f Coker(a) 5 Coker(b)
is exact.
d

Finally, it follows that p ( t ) = p ( t ) + /(() I.. = p ( t ) . Then it is possible to set d ( x ) = p(t) and the mapping d : Ker(c) -+ Coker(a) has thus been defined. If now xl, x, are elements of Ker(c) and x = x1 + x,, we take elements yl,y, of B such that u(yl) = k ( x l ) and vy) = k(x2) and choose for y E B the (, element y, y,; it is then immediate that d ( x ) = d(x,) d(x,) and hence d is a homomorphism. Suppose that x = ul(x) for some x E Ker(b) ; then take y E B to be the elementj(x). As b ( j ( x ) ) = 0, it follows that d ( x ) = 0, hence d o v1 = 0. Conversely, suppose that d ( x ) = 0. In the above notation we then have t = a(s), where S E A . In this case we have b(y) = u(t) = u(a(s)) = b(u(s)), or b(y u(s)) = 0. The element y - u(s) is therefore of the form j ( n ) , where nEKer(b), and we have k ( x ) = u(y) = u(u(s) j ( n ) ) = u ( j ( n ) ) = k(v,(n)); as k is injective, x = vl(n), which proves that the sequence (*) is exact at Ker(c) Finally, we have (always in the same notation)

Coker(c)

uz(d(x)) = uz(P(t)) = q(u(t)) = q ( b ( y ) ) = 0 and hence u, o d = 0. Conversely, suppose that an element w = p ( t ) of &kerb) is such that u,(w) = u,(p(t)) = 0 (where t E A ) . Then q(u(t)) = 0 and consequently u ( t ) = b ( y ) for some y E B; as u(u(t)) = 0, we have D(b(!/))= 0, hence c(v(y)) = 0, in other words u ( y ) = k(x) for some x E Ker(c), and by definition w = d ( x ) , which shows that the sequence (*) is exact at

FLAT LIODULES

REVISION OF TENSOR PRODUCTS

3 2.1

Coker(a). It has been seen in (i) that it is exact at Ker(b) and in (ii) it is exact a t Coker(b), which completes the proof of (iii).

Remark. If the groups of the diagram (10) are all (for example, right)
modules over a ring A and the homomorphisms are A-module homomorphisms, it is soon verified that the homomorphism d defined in Proposition 2, (iii) is also a A-module homomorphism: if x E Ker(c) and a E A, and y E B is such that v(y) = k ( x j , it is sufficient to note that v ( y a ) = k(xa).

v(B) and w and w have respectively the same graphs as v and v; this diagram is commutative and its rows exact. Moreover w is surjective and by hypothesis u is injective; then by Proposition 2, (iii) we have an exact sequence
0
=

Ker(c) -+ Coker(a)

Coker(b) = 0

since b is surjective and c is injective; whence Coker ( a ) = 0.

COROLLARY 1. Suppose that the diagram (10) is commutative and the two rows are exact. Then : (i) I f u , a and c are injectizie, b i injective. s (ii) If v, a and c are surjective, b is surjective. Assertion (i) is a consequence of assertion (i) of Proposition 2: for Ker(a) = 0 and Ker(c) = 0, hence Ker(b) = 0. Assertion (ii) is a consequence of assertion (ii) of Proposition 2: for Coker(a) = 0 and Coker(c) = 0, hence Coker(b) = 0. COROLLARY 2. Suppose that the diagram (10) is commutative and the two rows are exact. Under these conditions:

2. FLAT MODULES(*)
1 REVISION OF TENSOR PRODUCTS .

Let A be a ring, E a right A-module and M a left A-module. In Algebra, Chapter 11,3 3, no. 1 we defined the tensorproduct E B A M ,which is a Z-module. If E (resp. M) is a right (resp. left) A-module and u : E -+ E (resp. v : M --f M) a homomorphism, we also defined (Zoc. cit, no. 2) a Z-homomorphism

u @ U : E @AM + E @AM.
LEMMA Let M -$ M % M --f 0 be an exact sequence of lt$t A-modules and E a 1. right A-module. Then the sequence

(i) I f b is injective and i f a and v are surjective, then c is injective. (ii) I f b is surjective and ifc and u are injective, then a is surjective.

To prove (i) consider the diagram

.(A) L

E B A C

@A

M + @ M + 1Qu E A 1 c3w E

@A

M ----+0

u ( A ) IJ B --.--f C w U
where a is the mapping with the same graph as the restriction of b to u(A) and w and w are the canonical injections; clearly this diagram is commutative and its rows exact. Moreover w is injective and by hypothesis v is surjective; then by Proposition 2, (iii) we have an exact sequence

al bi 4
d

U an exact sequence o commutative groups. f This is the Corollary to Proposition 5 of Algebra, Chapter 11, fj 3, no. 6. I t follows that, for any left A-module homomorphism u : M --f N,

@A

(Coker u )

0 = Ker(b) -----f Ker(c) -----f Coker(a)

is canonically identified with Coker(1. @ u ) , as Lemma 1 shows when applied to the exact sequence

since b is injective and a is surjective; whence Ker(c) = 0. To prove (ii) consider the diagram A A
ai

M & N -+ Coker u --f 0.

v(B)
d i

b l

B y v(B)
0

1,

In the notation of Lemma 1, we know (106. cit.) that if v is injective, that is if the sequence 0 -+ M 5 M -% M --f 0 is exact, it does not necessarily follow that

80 is injective and so E @A M cannot in general be identified with a

where this time c is the mapping with the same graph as the restriction of c to
8

(*) W inform readers already familiar with Homological Algebra that they e find other characterizations of flat modules in 5 4.

FLAT MODULES

M-FLAT MODULES

$2.2

subgroup of E B A M .Recall however (Algebra, Chapter 11, 5 3, no. 7, Corollary 5 to Proposition 7) the following result: LEMMA 2. If v : M' --f M is injective and v(M') is a directfactor of M, the homomorphism 1, @ v is injective and its image is a directf a t o r of E @A M.
2. M-FLAT MODULES

as the restriction of P to M', r the identity mapping of R to R, m the canonical injection M' +- M and n the canonical injection N' + N. The diagram
0

R --+ M' --+

i'

P '

N' --+ 0

O - - + R y + I th
is commutative and its rows are exact.

-I$ P

-0

DEFINITION 1. Let A be a ring, E a right A-module and M a l$t A-module. E is said to

befrat for M (or M-Jat) f, every l$t A-module M' and every injective homomorphism for u: M' --f Mythe homomorphism 1, @ v : E @A M' -+ E @A M is injective.

For any right A-module N, the notion of an N-j?at l&t module is defined similarly. To say that a right A-module E is flat for a left A-module M is equivalent to saying that E, considered as a left Ao-module (recall that Ao denotes the opposite ring to A ) , is flat for the right Ao-moduleM.
LEMMA 3. For a tight A-module E to be M-Jat, it is necessary and sujicient that f o r every jinitely generated submodule M' of M the canonical homomorphism 1, @ j : E @A M' --f E @A M

To simplify the writing, we set T(Q) = E @A Q for every left A-module Q and T ( v ) = l E @ v for every left A-module homomorphism u. The diagram
T(R)

T(i')

T(M')

T(N') --+ 0

( j bkng the canonical injection M' -+M ) be injective.

Suppose that this condition holds and let N be any submodule of M. Suppose that the canonical image in E @A M of an element

is commutative and its rows are exact by Lemma 1 of no. 1. Moreover, since E is M-flat, the homomorphism T ( m ) is injective. As T(r) and T(p')are surjective, it follows from 5 1, no. 4, Corollary 2 to Proposition 2 that T ( n ) is injective, which proves the lemma.

LEMMA 5.

Let (MJLE1 a family be

.

of left A-modules, M

and E a righ A-module. If,for all

I E I, E isfrat for

= M, their direct sum M,, then E isflat f o r M .

Z = Z i , @ Y , E E @ A N (X,EE,ytEN) ~
is zero and let M' be the finitely generated submodule of N generated by they,; as by hypothesis the composite mapping E @A M' -+ E @A N -+E @A M is considered as an element of E @A M', is injective, the sum z' = x, By,, zero. As z is the image of z', we have also z = 0, whence the lemma. LEMMA 4. Let E be a right A-module and M a l$t A-module such that E is M-j?at. If N is either a submodule or a quotient module o M, then E is N-Jat. f The case in which N is a submodule is easy, as, if N' is a submodule of N, the composite homomorphism E@AN'+E@AN-tE@AM
is injective, hence so is E @A N' + E @A N. Suppose then that N is a quotient module of M, that is there exists an exact sequence 0 -+ R M 5 N --f 0.

(a) Suppose first that I = (1, 21, and let M' be a submodule of M = MI @ M,, M, and M, being canonically identified with submodules of M. Denote by Mi the intersection M' n M, and by M the image of M' in M, L under the canonical projection p of M onto M,. We have a diagram
0

Mi
v.1

i'
----j

M ' - + M --3 0 k
u.1

P '

O-M,-M
I

--+M,-O
P

Where 01, V , u,, i, i are the canonical injections andp' is the mapping with the ' m e graph as the restriction of p to M', which is surjective. It is immediately verified that this diagram is commutative and that its rows are exact. With T(Q>and T(v)used in the same sense as in the proof of Lemma 4, we have a diagram T(M;)

aT(M) --+ T(M;)

W')
Tb)]
T(us)]

T(~d1

Let N' be a submodule of N and M' = >'(N'). Let i' denote the mapping of R to M' with the same graph as i, p' the surjection M + N' with the same graph

T(M1)

3 T(M)

T(p)- T ( M 2 )
11

10

FLAT MODULES

FLAT MODULES

fj2.3

By Lemma 1 of no. 1 the two rows of this diagram are exact; as E is flat for M, and M,, T(v,) and T(v,) are injective; moreover, by Lemma 2 of no. 1, T(i) is injective. Corollary 2 to Proposition 2 of 3 1, no. 4 then shows that T(v) is injective and consequently E is M-flat. (b) If I is a finite set with n elements, the lemma follows by induction on n using (a). (c) In the general case let M' be ajnitely generated submodule of M. Then there exists a finite subsetJ of the indexing set I such that M' is contained in the direct sum M, = M,. By (b) E is flat for MJ; the canonical homomorphism E @A M' -+ E @A M, is therefore injective. On the other hand, as MJ is a direct factor of M, the canonical homomorphism E @A MJ --f E @A M is injective (no. 1, Lemma 2). Taking the composition, it follows that E @A M, -+ E @AM is injective and E is flat for M by Lemma 3.
3. FLAT MODULES

LEMMA 6.

f If M' M M" is an exact sequence o left A-modules and fi E is an M"-Jat right A-module, the sequence

i exact. s We use the notation T(Q)and T(v)in the same sense as in the proof of Lemma 4 ofno. 2. We write M'; = w(M) and let i: M; --f M" be the canonical injection and p the mapping of M to M with the same graph as w. The sequence Y M' -$ M -% MI + 0 is exact and it follows from Lemma 1 of no. 1 that the sequence

T(M')
0

2T(M) T(p! T(M;) -+o

--f

is exact. Moreover, as E is M"-flat, the mapping T(i) : T(M;) injective, and as T(i) T(p) = T(w), the sequence

T(M") is

PROPOSITION 1. Let E be a right A-module. Thefollowing three properties are equivalent : (a) E isflatfor A, (in other wordr,f o r every lejt ideal a ofA, the canonical homomorphism E @A a -+E @A A, = E is injective). (b) E is M-Jat for every lejt A-module M. (c) For every exact sequence o l ~A-modules and homomorphism f t M~D-MGM" DEPINI~ON right A-module E is calledjat f it has the equivalent properties of 2. A i Proposition 1. Flat left A-modules are defined similarly. To say that a right A-module E is flat equivalent to saying that E, considered as a left Ao-module, is flat. Remarks (1) By Lemma 3 of no. 2, for a right A-module E to be flat, it is necessary and sufficient that, for everyjnitely generated left ideal a of A, the canonical mapping E @A a -+ E (Proposition 1) with image Ea be injective. (2) Let E be a flat right A-module. If M' is a submodule of a left A-module M, the canonical injection E M allows us to identify E @A M' M' -+E with a Subgroup of E @A M. This being so, let N be a left A-module, u : M -+ N a homomorphism, K = Keru, and I = Imu. By considering the exact Wquence

the seqwnce
E@AM'-E@AM---+E@AM"
1@V

1QW

is exact.
I t is immediate that (b) implies (a). Conversely, suppose that (a) holds; by Lemma 5 of no. 2, E is flat for every free left A-module; as every left A-module is isomorphic to a quotient of a free module (Algebra, Chapter 11, 5 1, no. 11, Proposition 20), it follows from Lemma 4 of no. 2 that E is flat for M. We show that (c) implies (b). If v: M' -+ M is an injective homomorphism, M is exact; by (c) the sequence the sequence 0 + M' O-+E@AM'----tE@AM
is exact; this means that 1 @ u is injective, in other words, E is M-flat. Finally, the implication (b) + (c) is a consequence of the following more
1@v

O-K-MU-N
it is w i l y seen (Proposition 1) that E @A (Ker u ) is identijed with Ker( 1, @ u). the other hand, writing u' for the surjective homomorphism M 3 I with e p h as U, and i for the canonical injection I -+ N, 1 @ u' is sur, j M V C (no. 1, Lemma 1) and 1, @ i is injective since E is flat. As
' E

precise lemma:
12

' A (Im u) 8

is i&nt$ed with Im(1,

@ i, (lE @ u'), 8 u).

13

FLAT MODULES

FLATNESS OF QUOTIENT MODULES

2.5

PROPOSITION 2. (i) Let (EL),,, afamily ofright A-modules. For E = be Jut, it is necessary and sujicient that each ofthe El bejlat.
> -

0,ELto be

(ii) Let I be an ordered set and (E,, f J a ) direct system of right A-modules (Algebra, a Chapter 11, 3 6, no. 2). Ifeach of the E, isjlat, then E = lim E, isjlat. Let M' -+ M be an injective left A-module homomorphism. (i) For the direct sum homomorphism

(ii) suppose that A is an integral domain in which every finitely generated ideal is ps;ncip"l(for example aprincipal ideal domain (Algebra, Chapter VII, fj 1, no. 1)). T bfor E to bejlat it i necessary and su@cient that E be torsion-fee. s

We prove (i). Let v: A, -+ A, be the left A-module homomorphism t F+ ta; the

h p t h e s i s implies that v is injective. As E is flat, the homomorphism lE 8 v: E @A A, -+ E @A A, is also injective. When E @A A, is canonically identified with E, 1, @ v becomes the endomorphism x H xu of E. Thus the xu = 0 implies x = 0. we prove (ii). By (i), if E is flat, E is torsion-free. Conversely, let E be a torsion-free A-module; we verify that, for every finitely generated ideal a of A, the canonical homomorphism E @A a -+ E is injective (no. 3, Remark 1). This assertion is obvious if a = (0); otherwise, by hypothesis a = A a for some a E A, a # 0, and t t+ ta is then an isomorphism v of A onto a; using i to denote the canonical injection a -+A, i 0 v is the homothety with ratio a on E and is injective since E is assumed to be torsion-free. Then 1, @ (i o v) = (1, @ i ) o ( l E @ 0 ) ; as 1, @ v is an isomorphism, 1, @ i is injective, which completes the proof.
Example. Applying Proposition 3 to the ring Z, it is seen that Q is a flat Zmodule, but that Z/nZ (for n > 2) is not a flat Z-module.
5. FLATNESS OF QUOTIENT MODULES
~ ~ ~ P ~ S I T I LetN 4. O E

M, to be exact, it is necessary and sufficient that each of the homomorphisms ELQ A M ' - + EL@ A M be so (Algebra, Chapter 11, 1, no. 6, Corollary 1 of Proposition 7), which proves (i) since (El @A M) is canonically identified with E @A M (Algebra, Chapter 11, 3 3, no. 7, Proposition 7). (ii) By hypothesis each of the sequences 0 -+ E, @A M' + E, @A M is exact; so then is the sequence 0 + E @A M'-+ E @A M since taking the direct limit commutes with tensor products (Algebra, Chapter 11, 6, no. 3, Proposition 7) and preserves exactness (ibid., fj 6 , no. 2, Proposition 3).
LEI
- f -

@ ( E @A M') ~

(EL

@A

be u right A-module. The threefollowing proterties are equiua-

4. EXAMPLES OF FLAT MODULES

I&:
(a) E isfit. (b) For every exact sequence o f right A-modules o f the form
(1)

3 3,

(1) For any ring A, A, is clearly a flat A-module (Algebra, Chapter 11, no. 4, Proposition 4). Then it follows from Proposition 2, (i) of no. 3 that every free right A-module, and more generally every projective right Amodule (Algebra, Chapter 11, 2, no. 2), is a flat A-module. (2) If A is a semisimple ring (Algebra, Chapter VIII, 3 5, no. 1, Definition 1) every right A-module E is semisimple and hence a direct sum of simple modules; as each of these latter is isomorphic to a direct factor of A, (ibid., 3 5, no. 1, Proposition 6 ) , E is projective and therefore flat by (1) (cf. Exercise 16). * (3) In Chapters I1 and I11 we shall study in detail two important examples of flat A-modules: rings of fractions S-IA and Hausdorff completions A of A for 3-adic topologies.*

O-G-~.H>E---+O

and merY lgt A-module F, the sequence

is exact. (c) T h e exists an exact sequence (I), where H isjlat, such that the sequence (2) is exact for every lgt A-module F o f the form A&, where a i a finitely generated l@ s idcor ofA.

PROPOSITION 3. Let A be a ring and E a right A-module. (i) Suppose that E isjlat. For every element a o A which is not a right divisor o O(*), f f the relations x E E, xu = 0 imply x = 0.
(*) Recall that a right (resp. left) divisor of 0 in a ring A is an element 6 E A such that the mapping x Hxb (resp. x H bx) is not injective.

w Show first that (a) implies (b). The left A-module F is isomorphic to a e
quotimt of a free module (Algebra, Chapter 11,s 1, no. 11, Proposition 20) ; in 0 t h words, we have an exact sequence ~ O---,R-L-F-Oi
P

14

15

FLAT MODULES

INTERSECTION PROPERTIES

5 2.6

where L is free. Consider the diagram G@R%H@R . E @R

in"@ u is injective; moreover, Proposition 4 proves that v @ 1,) and v @ 1, are injective. This being SO, if E is flat, 1, @ u is injective, hence also
(lE

@) '

( v @ lF') = (u @

IF)

(lE' @ u ) ;

(3)

it follows that 1 @ u is injective and consequently E' is flat. Conversely, if E' : , is flat, l,, @ u is injective; then it follows from 3 1, no. 4, Corollary 1 to Proposition 2 that 1, @ u is injective and so E is flat.

I t follows immediately that this diagram is commutative, and its rows and columns are exact by Lemma 1 of no. 1 ; moreover, as 1, @ p and 1, @ p are surjective (no. 1, Lemma l), we have G @ F = Coker(1, @ i ) ,

Rmrarks (1) It is possible for E and E' to be flat without E" being so, as the example of the Zmodules E = Z, E' = nZ, E" = Z/nZ ( n 2 2), shows. (2) A submodule of a flat module is not necessarily a flat module (Exercise 3).
6. INTERSECTION PROPERTIES

H @F

Coker(1, @ i ) ;

w @ 1, is surjective (no. 1, Lemma 1); finally, as L is free and hence flat, v @ 1, is injective. Thus the snake diagram (5 1, no. 4, Proposition 2, (iii)) can be applied to prove the existence of an exact sequence

LEMMA 7 . Let E be a right A-module, F a l g t A-module and F', F" two submodules of
F such that F = F' + F". Then the intersection ofthe canonical images o E @ F' and f E @ F" in E @ F is equal to the canonical image of E @ (F' n F"). I
Consider the diagram

(4)

Ker(l,@i)-Ker(l,@i)-G@F~HHF. d

This being so, if E is flat, 1, @ i is injective, in other words Ker(1, @ i) = 0, and the exact sequence (4)shows that v @ 1, is injective, hence the sequence (2) is exact (taking account of Lemma 1 of no. 1). As (b) obviously implies (c), it remains to prove that (c) implies (a). Consider the diagram (3) in the case R = a, L = A,, F = AJa and apply the exact sequence (4). By hypothesis v @ 1, is injective, hence Im(d) = 0; moreover, as H is flat, we have Ker( l, @ i ) = 0; the exactness of the sequence (4) then implies Ker( 1, @ i ) = 0, in other words, 1, @ i is injective and this proves that E is flat (no. 3, Remark 1).

0 -+ F' n F" --f F'

F'/(F' n F") -+ 0

where the unspecified arrows are the canonical injections and surjections a n d j the canonical isomorphism defined in Algebra, Chapter I, 5 6, no. 13, Theorem 6. This diagram is commutative and its rows are exact. We derive (since F = F' F") a commutative diagram

E @ (F' n F") ----f E @ F' -+ E @ (F'/(F' n F"))

PROPOSITION 5. Let O + E ' & E E" -+O be an exact sequence of right Amodules. Suppose E" isflat. Then,f o r E to beflat it is necessary and sujicient that E' be flat.
Let u : F' -+ F be an injective homomorphism of left A-modules. Consider the diagram

1E.j.1

E @ F" F @ F F @ (F/F") E E
The rows of this diagram are exact (no. 1, Lemma 1) and 1 @ jis an isomorp h . Our assertion is then a special case of 5 1, no. 4 Proposition 1, (i) (cf. , Exercise 5).
PROPOWON 6. Let E be a right A-module and F a left A-module such that E is F-Jat. For 9dmodule F' ofF, we denote by +(F') the image ofE @ F' under the canonical g * ofE @ F' to E @ F (which is injective by D&nition 1 ofno. 2). Then, ifF', F"arc two submodules of F, we have

E E" E' @ F' + @I F' + @ F'

lE'@U

IF'

u@ I F .

lE@u/

1E-@u

E'@F -E@F
U@

+E"@F
W@

IF

I F

It is commutative and its rows are exact (no. 1, Lemma 1). Since E" is flat,
16

+(F' n F") = +(F') n +(F").

17

FLAT MODULES

TENSOR PRODUCTS OF FLAT MODULES

3 2.7

A s E is F-flat, +(F + F) is identified with E @ (F + F), and the submodules +(F), +(F) and +(F n F) are identified with the canonical images of E @ F, E @ F and E @ (F n F) in E @ (F + F) respectively. Proposition 6 then follows from Lemma 7. Remark 1. With the hypotheses of Proposition 6, E @ F is usually identified with +(F)for every submodule F of F, which gives the formula

7, m S O R PRODUCTS OF FLAT MODULES

k t A, B be two rings, E a right A-module and F an (A,B)-bimodule (Algebra, Chapter 11, 3 1, no. 1 ) Recall (Algebra, Chapter 11, fj 3, no. 4) that E @A F 4.

has a canonical right B-module structure, for which

(X

@y)b = x @ (yb)

for

X E E , ~ E F ,b E B .

@A

(F n F) = (E @A F) n (E @A F).

P R O P O S ~ ~ O N Let A, B be two rings, E a right A-module and F an (A,B)-bimodule. 8. Suppose that E isjlat and that F isflat a a B-module. Then the B-module E @A F is s

flat.
PROPOSITION 7. Let E be a right A-module, E a submodule o E, F a l$t A-module f and F a submodule of F. Suppose that E/E or F/F isflat. Then the canonical image of E @ F in E @ F is the intersection ofthe canonical images o E @ F and E @ F in f E @F.
Suppose for example that E/E is flat and consider the diagram E @ F +E @ F --+ (E/E) @ F
k t G be a left B-module and G a submodule of G. Since F is flat as a right

&module, the canonical homomorphism F Since E is flat, the canonical homomorphism

+

mBG -+ F BBG is injective.

E @ F -+ E @ F

E @ (F @B G) E @A (F @B G) a is injective. ASE @A (F QBG) and E @A (F BB ) are canonically identified G with (E @A F) BB and (E @A F) BB respectively (Algebra, Chapter 11, G G 8 3, no. 8, Proposition 8), the canonical homomorphism ( E @ A F ) @BG-+(E@AF) @BG is hjective, which proves that E @A F is a flat B-module.

(E/E) @ F

where the arrows are the canonical homomorphisms. This diagram is commutative and its rows are exact (no. 1,Lemma 1). As E/E is flat, u is injective. Then our assertion is a special case of tj I, no. 4, Proposition 1, (i).

COROLLARY. Let E be a right A-module and E a submodule of E.

(i) Su@ose that E/E isjlat. T e , every lgt ideal a o A, h nfor f

COROLLARY C be a commutative ring, E, F twojlat C-modules. Then E go is 1. Let F aflat C-module.

F is a (C, C)-bimodule and it is sufficient to apply Proposition 8 with B = A = C.

COROLLARY 2. Let p be a homomorphism of a ring A to a ring B. If E is a Jlat right A-module, the right B-module p* (E) = Eo, obtained by extending the ring ofscalars to B (Algebra, Chapter 11, 3 5, no. 1) isflat.

Ea = E n Ea. (5) (ii) Conversely, su)bose that E i s j u t and, for everyjnitely generated l g t ideal a of A, relation (5) holdr. Then E/E isflat.
(i) It is sufficient to apply Proposition to the case F = A,, F = a. (ii) TO prove that E/E is flat, apply criterion (c) of Proposition 4 of no. 5; it is then necessary to establish that the sequence
0 -+ E/Ea -+ E/Ea -+ E/(E

By definition E,, = E @A B, where B is considered as an (A,B)-bimodule bY means of p. As the right B-module B, is flat, it is sufficient to apply
b p d t i o n 8.
COROLLARY

+ Ea)

+ =

is exact at E/Ea for every finitely generated left ideal a of A. NOW this is precisely what relation (5) expresses.

flat right S-module and +*(Sd) is aflat right R-module, then +,(M)
module.
that +,(M) is the right R-module defined by x.r
=

3. Let R, S be two rings and +: R

-+ S a

ring homomorphism. IfM is a is aflat right R=

Remark 2. The conclusion of Proposition 7 remains true if we assume only that E/E is F-flat or that F/F is E-flat.
18

$ M and all r E R (Algebra, Chapter 11, 5 1, no. 13). Then apply Propo:
.

x . + ( r ) for all

ahon 8 with A = S, B = R, E

M and F

S, S having the structure

19

FLAT MODULES

FINITELY PRESENTED MODULES

3 2.8

of a (S, R)-bimodule defined by +; the right R-module M precisely * (M).

BS is then S

PROPOSITION 9. Let (A,, foa) be a direct system of rings, A = lim A, its direct -+ limit, (E,, fpa) a direct system o f right A,-modules with the same indexing set and E = lim E, its direct limit, which is a right A-module (Algebra, Chapter 11, 5 6, . 3 no. 2). If each o the E, is afrat &-module, E is afrat A-module. f
Let Ek = E, A, where A is considered as a left &-module by means of the canonical homomorphism A, -+ A; we know that the right A-module E is canonically isomorphic to lim E (loc. cit., Corollary 2 to Proposition 7). L . 3 I t follows from Corollary 2 to Proposition 8 that E& a flat right A-module for is all a,hence E is a flat A-module by Proposition 2 of no. 3.
8. FINITELY PRESENTED MODULES

Assertion (i) follows trivially from the definitions. If A is left Noetherian and there exists a surjective homomorphism u : Lo -+E, where Lo is a free left Amodule with a finite basis, the kernel R of u is finitely generated (Algebra, chapter VIII, 8 2, no. 1, Proposition 1 and no. 3, Proposition 7), hence there is a surjective homomorphism u : L, -+R, where L, is free and has a finite basis, and the exact sequence L1-r; Lo E -+ 0 is a finite presentation of E; whence (ii). Finally, suppose that E is a finitely generated projective module; then it is a direct factor of a finitely generated free module Lo (Algebra, Chapter 11, $2, no. 2, Corollary to Proposition 4); the kernel R of the surjective homomorphism Lo -+E is then isomorphic to a quotient of Lo and hence finitely generated and the proof is completed as for (ii). LEMMA Let A be a ring and E ajnitelypresented A-module. For every exact sequence 9.

O-F-G---tE--tO

Let A be a ring. An exact sequence

(6)

where G isjnitely generated, the module F is jinitely generated. Let L, Lo E -+ 0 be a finite presentation; if (e,) is a basis of Lo, there exists for each i an element g, E G such that p ( g J = s(e,) ; the homomorphism u : Lo + G such that u(e,) = g, for all i then satisfies s = p u. As s o r = 0, we have u(r(L,)) c Kerp, and as Kerp is isomorphic to F, it can be seen that there is a homomorphism v : L, -+ F such that the diagram
0

L, -+Lo -+ E-+ 0

of left (resp. right) A-modules, where Lo and L, are free, is called a presentation (or presentation o f length 1) of a left (resp. right) A-module E. Every A-module E admits a presentation. We know in fact (Algebra, Chapter 11, 5 1, no. 11, Proposition 20) that there exists a surjective homomorphism u : Lo -+ E, where Lo is free; if R is the kernel of u, there exists similarly a surjective homomorphism u: L, -+ R, where L, is free. If v is considered as a homomorphism of L, to Lo, the sequence L, -$ Lo -% 0 is exact by definition, whence our assertion. If p: A -+ B is a ring homomorphism, every presentation (6) of E induces a presentation of E,,, = E @AB:

L, ~ L , < E - - - t O F--jtG-+E-+O
I

(7)

L1@AB-+Lo@AB+E@AB-+O

by Lemma 1 of no. 1 and the fact that L @AB is a free B-module if L is free. A presentation (6) of a module E is calledjnite if the free modules Lo and L, have finite bases. Clearly, if the presentation (6) is finite, so is the presentation (7). E is called ajnitebpresented A-module if it admits a finite presentation. LEMMA 8. (i) Every module admitting a jnite presentation is jnitely generated. (ii) If A is a lejit Noetherian ring, every jnitely generated lejit A-module admits a Jinite presentation. (iii) Eueryjnitely generated projective module admits ajnite presentation.
20

is commutative. As j is injective and s surjective, we can apply the snake ) diagram ($ 1, no. 4, Proposition 4 ,in other words there is an exact sequence

0 = Ker 1, -+ Coker u -+ Coker u d

Coker 1, = 0.

shows that Coker v is isomorphic to G/u(Lo),which is finitely generated by hypothesis. Moreover we have the exact sequence
0 -+ v(L,)
--f

F -+ Coker u -+ 0

5 1, no. 7, corollary 5 to Proposition 9).

and as o(L,) and Coker v are finitely generated, so is F (Algebra, Chapter 11,

21

FLAT MODULES

EXTENSION OF SCALARS: CASE OF COhlMUTATIVE RINGS

2.10

9. EXTENSION OF SCALARS IN HOMOMORPHISM MODULES

Let A and B be two rings, E a right A-module, F a right B-module and G a (B, A)-bimodule. Recall that we have defined (Algebra, Chapter 11,s 4 no. 2) a , canonical homomorphism of Z-modules
V: F @B Hom,(E, G) + HOm,(E, F @B G) (8) such that, for ally E F and u E Hom,(E, G), v(y @ u) is the A-linear mapping x + + Y @ 4) ..

&algebra structure. For every A-module E, the right B-module E(B) = E 8, B is then identified with B 8, E, the A-module structures of p,(B,) and p,(B,) being identical by hypothesis. Recall that for every ordered pair (E, F) of Amod&s, we have defined a canonical B-homomorphism
a: (Horn,(% F))(B) Ho~B(E(B), F(BJ (10) such that for all u E Hom,(E, F), w ( u @ 1) = u @ 1, (Algebra, Chapter 11, 8 5, no. 3).
+

PROPOSITION 10. Let A , B be two rings, E a right A-module, F a right B-module and G a (B, A)-bimodule. Suppose that F i s j a t . Then, i f E isjnitely generated (resp. jiniteb presented), the canonical homomorphism ( 8 ) is injective (resp. bijective).
Consider A , B, F, G as fixed and for each right A-module E set T(E) = HOm,(E, F @ G) B T(E) = F BB Hom,(E, G), and denote the homomorphism (8) by vE; for every right A-module homomorphismv: E -+ E, set T(v) = 1, @ Hom(u, lo) and T(v) = Hom(v, 1, @ lG). Let L, 5 Lo 5 E -+ 0 be a presentation of E ; we suppose the free module Lo (resp. the free modules Loand L,) to bejinitely generated. The diagram

P~oposInONI 1. Let A be a commutative ring, B a ring, p a homomorphism o A to the f cmtre of B, and E and F two A-modules. Suppose that B is a j u t A-module and E is Jinitely generated (resp. jiniteb presented). Then the canonical homomorphism (10) is injective (resp. bijective).
0

is composed of the canonical isomorphism HomA(E, B

@A
+

F) and the canonical homomorphism (8)

V:

HomB(E(B),F d

B @A Hom,(E, F) -+ HOmA(E, B @A F)

(loc. dt.), the proposition is a consequence of Proposition 10 of no. 9.

Suppose now that A and B are commutative and consider three A-modules El, E, E, and an A-bilinear mapping5 El x E, -+E,. Then there exists one , and only one B-bilinear mappingf,: Ei(B) x E2(B, E3(,) such that --+
fB(l

O+
(9)

T(E)

is commutative and the second row is exact (Algebra, Chapter 11, fj 2, no. I , Theorem 1) ; moreover, the sequence

x19

@ x2>

@f(Xl> 2)

0 -+ HomA(E,G) -+ HOmA(Lo, -+Hom,(L,, G) G)

is exact (loc. cit.), and as F i s j a t , the first row of (9) is also an exact sequence (no. 3, Proposition 1). Then we know that vL0 (resp. vLo and vL1) is bijective (resp. are bijective) (Algebra, Chapter 11,s 4,no. 2, Proposition 2). If we assume only that vL,, is bijective, it follows from (9) that vLo T(w) = T(w) 0 YE
0

for all x1 E El, x2 E E, (Algebra, Chapter IX, 3 1, no. 4,Proposition 1). In the statement which follows we shall suppose that B is a flat A-module and, for every submodule E of E, ( i = 1,2, 3), we shall canonically identify E;B) W i t h its image in E,(B) (no. 3, Remark 2).

RE POSITION 12. Let A , B be commutative rings, p a homomorphism ofA to B, El, E,,

Ea three A-modules,f: El x E,
fB:

-+ E,

an A-bilinear mapping and

E2(B)
--f

E3(B)

is injective and hence so is vE. If we assume that both vLo and vL? are bijective, it follows from fj 1, no. 4, Corollary 2, (ii) to Proposition 2 that vE is surjective, and as we have just seen that vE is injective, it is bijective.
LO. EXTENSION OF SCALARS: CASE OF COMMUTATIVE RINGS

itsextension. Consider a submodule F, of E,, a submodule F, of E,, and denote by T the submodule of El consisting of those x1 E El such t h a t f ( x , , x,) E F, for all x2 E F,. su&ose that B is a j a t A-module and that F, isjinitely generated. Then T,, is the set of E El,,) such thatfB(x,, X L ) E F3(,)fOr all X L E F,(B,.

Now let A be a commutative ring, B a ring and p :A -+ B a ring homomorphism such that p(A) is contained in the centre of B; in other words, p defines on B an 22

k t P be the canonical surjection E, -+ E3/F3;with each x1 E E, we associate A-hear mapping x, t+p( f ( x 1 , x z ) ) of F, to E,/F,, which we denote
23

FLAT MODULES

INTERPRETATION OF FLATNESS IN TERMS OF RELATIONS

82.11

by g ( x l ) ; then g is an A-homomorphism of El to Hom,(F,, E3/F3) and the kernel of g is precisely T. Since B is a flat A-module, we have the exact sequence

(no. 3, Proposition 1). By Proposition 11 the canonical homomorphism

0:

-T(B) T(B)

In the particular case when the E, are equal to the ring A, f is multiplication a d the F, ideals a,, we obtain the transporter formula B(a,: a = Ba,: Ba, ) , (12) valid when B is a flat A-module and a, is a finitely generated ideal.
1 . INTERPRETATION OF FLATNESS IN TERMS OF RELATIONS (*) 1

E3/F3))(B)

E3/F3))(B)

-+ HomB(F2(B),

(E3/F3)(B))

is injective. On the other hand, as B is a flat A-module, (E3/F,)(B) canonically is taking the composition of o with 1 @ g, we obtain identified with E3(B)/F3(B); a homomorphism u for which the sequence 1
-----f

is exact. I t follows immediately from the definitions that u ( x ; ) , where

=

Throughout this no. A denotes a ring, E a right A-module and F a left Amodule. Every element of E 8, F can be written in at least one way in the form
z =
I=I

e,

@A where e, E E andA E F. The following lemma gives a condition

El(B)

HomB(FZ(B),

E3(B)/F3(B))

under which this sum is zero :

E1(B),

is the linear mapping which maps each x; E F,,,, to the class mod. F3(B) of f B ( x ; , x;) ;by linearity this is also true for all x; E El(B);since the kernel of u is TCB), proposition is proved. the

LEMMA 10. Let (f h ) h o L a family of generators of F and ( e h ) h E La family of be elements o f E ofjinite support. For eh 8f h = 0, it is necessary and s@cient that AL t h e exist ajnite set J, afamily ( x j ) ofelements ofE and afamily (ajh)( j E J, A E L) of elements o A with thefollowing properties: f

(1) thefamily (ajh) harjnite support;

COROLLARY 1. Let A, B be two commutative rings, p: A -+ B a homomorphism such that B is a frat A-module and E a j n i t e h presented A-module. For every Jinitely generated submodule F o f E, the submodule ofthe dual ofEo, orthogonal to F(B)is equal to (F)(B),where F is the submodule ofthe dual E* o f E orthogonal to F.
By Proposition 11 (E*)(,, is canonically isomorphic to the dual (E(B))*of E(B). Then it suffices to apply Proposition 12 with E, = E*, E, = E, E, = A, F, = F, F, = {0}, and f the canonical bilinear form on E* x E.

(2)

2ajhf h 0for all j J; (3) eh = 2 xja,,for all A L.

=
E
AL

IeJ

Loosely speaking, the system of eh must be a linear combination with coefficients in E of systems of elements of A which are relations between the

K.
Consider the free A-module A$L),its canonical basis (uh) and the homomorphism g : AiL)-+ F such that g(uh) = f h for all A E L ; denoting by R the kernel of g, we have (since the f Agenerate F) an exact sequence

COROLLARY 2. Let A, B be two commutative rings, p: A --f B a homomorphism such that B is aflat A-module and E an A-module. Then,for everyjnitely generated submodule F o f E, the annihilator ofFo) is the ideal aB ofB, where a is the annihilator ofF in A.
I t suffices to apply Proposition 12 with El = A, E, = E, = E, F, = F,

F,

= (0).

R -AA

~ A -o F

Remark. If there is no ambiguity over the modules E, nor the bilinear mapping

Where i denotes the canonical injection. By Lemma 1 of no. 1 we derive the exact sequence

f, F,: F, is sometimes used to denote the module denoted by T in Proposition

12 and it is called the transporter of F, to F,. The conclusion of Proposition 12 then reads
(11)
F3(B): FZ(B)

(13)

E@,R-!-%E@,A:L)---+E~~F-O. 188

= (F3:

F2)<BY

0 3, no. 7 .

(*) The results of this no. will not be used in the rest of this chapter, except in

24

25

FLAT MODULES

DEFINITION OF FAITHFULLY FLAT MODULES

fj 3.1

A,L) canonically identified with E(L), family e = ( d h ) E EL is a Now, E being identified with @ uA (Algebra, Chapter 11, 0 3, no. 7, Corollary
aEL

COROLLARY For a right A-module E to be Jut, it is necessary and sufiient that the 1. following condition hold:

1 to Proposition 7). For such a family to belong to the kernel of 1, @g, it is necessary and sufficient that f A = 0 in E @PA F; taking account
IEL

and (bl)roI twofinitefamilies ofelements ofE and A respectively are such that i f 1 eib, = 0, there exists afinite set J , a family ( x j )j E ofelements ofE and a

(RP)

of the exact sequence (13), this is equivalent to saying that e belongs to the image of 1, @ i, in other words there is a relation of the form

family (aa) ( j EJ, i E I)

e, =

2x,ajljiw all i
jEJ

of elements o f A such

that

LEI

2 ajlb, = O f o r a l Z j E J and

E I.

where x j E E, r j E R and J is finite. Writing i ( r j ) =

Y, E R

implies the relation

=

relation (14) implies e,

lEJ

1 ajA& = 0 for all j J; on the other hand the 2xja,, for all A L (Algebra, Chapter 11, fj 3, no.
E
aeL

LEL

2 ajhuh,the hypothesis

Condition (RP) is just condition (R) of Proposition 13 applied to the module F = A,.
Loosely speaking, (RP) states: every relation between the bL, with coefficients in E, is a linear combination (with coefficients in E) of relations between the 6, with coefficients in A.

7, Corollary 1 to Proposition 7), which completes the proof.

PROPOSITION 13. For E to be F-Jat (no. 2, DeJinition l), it is necessary and sujicient that thefollowing condition be satisfied: (R)u ( e l ) l E and (f;)reI twofinite families ofelements of E and F respectively I are e, @ft = 0 in E @A F, there exists a finite set J , a family ( x j ) j E of such that

2
iE1

Let us consider in particular a homomorphism of A to a ring B, which makes B into a right A-module. We know (no. 3, Proposition 1) that this is equivalent to saying that this A-module is flat, or that it is flat for every left A-module krn2 1). Applying condition (R) of Proposition 13with E = B and F = A (rn : w obtain the following condition: e COROLLARY 2. For t h ring B to be a j a t right A-module, it is necessary and mfiient that it ~ati+-$~ following condition: the (W) solution (yk) ( k n, consisting o f elements o f B, o f a system o f homoEvery g n o s linear equations ccu
(15)

elements o f E and a family (ajl) ( j E J, i E I) o f elements o f A, with the following properties :

(1) 2 a f t f t = O f o r a l l j ~ J ;
1EI

(2) e, =

xjuflfor all i E I .

2 3.Since the canonical mapping E F --+ E F is injective, we have also 2 e, @A = 0 in E F and Lemma 10 can then be applied to E and F;
LEI

Suppose that E is F-flat. Let (e,) and (A) be finite families of elements such that e, @A = 0 in E F, and let F be the submodule of F generated by the
@A

with Co&ients

cki

in A, is a linear combination

with c&$%ients b, E B, of solutions (z f k )

fk

,I

thus families ( x j ) and (aji) are obtained satisfying the conditions of (R). Conversely, suppose that condition (R) holds. Let F be a submodule of F and let y = e, @A be an element of the kernel of the canonical mapping
fEI

ofA.

I(

ofthe system ( 15),consisting of elements

3. FAITHFULLY FLAT MODULES

D W O N OF FAITHFULLY FLAT MODULES

E @A F -+ E @A F. Since (R) holds, there exist families (x,) and fving conditions (1) and (2). We conclude that, in E @A F,
Hence E
@A

(a,{)

satis-

F -+ E

F is injective.

k:

1. Let E be a right A-module. T?wfollowingfour properties are equiva-

26

27

FLAT MODULES

DEFINITION OF FAITHFULLY FLAT MODULES

$ 3.1

(a) For a sequence N' 4 N -%N" oj-lejit A-modules to be exact, it is necessary and suficient that the sequence

Finally we show the equivalence of (b) and (d). If (b) holds, then E/Em = E
@A

EgA~/-!%~ B~N-!%E ~ I ~ N "

be exact. (b) E is frat and, f o r every lejit A-module N, the relation E N = 0 implies N = 0. (c) E isfrat and,for every homomorphism u : N' -+N of left A-modules, the relation 1, @ u = 0 implies u = 0. (d) E isfrat and, for every maximal lejl ideal m o f A, E # Em. To simplify the writing we set T(Q) = E gIAQfor every left A-module Q a n d T(v) = 1, @ u for every homomorphism u of left A-modules. We prove first the equivalence of (a), (b) and (c). We prove that (a) implies (b). If (a) holds, clearly E is flat ($2, no. 3, Proposition 1). On the other hand, let N be a left A-module such that T(N) = 0 and consider the sequence 0 -+ N -+ 0; the hypothesis T(N) = 0 means that N the sequence 0 -+ T(N) -+ 0 is exact. By (a) the sequence 0 -+ -+ 0 is exact, whence N = 0. We show that (b) implies (c). Suppose that (b) holds and let u : N' -+ N be a homomorphism and I its image. As the image of T(v) is identified with T(1) ($ 2, no. 3, Remark 2), the hypothesis T(v) = 0 implies T(1) = 0, hence I = 0 by (b) and consequently u = 0. We show that (c) implies (a). Suppose then that (c) holds and consider a sequence
(1) N#Y,N%N" T(N') T(v?T(N) T(ur)T(N"). If the sequence (1) is exact, so is (2), since E is flat ($2, no. 3, Proposition 1). Conversely, if (2) is exact, we have first T ( w o v) = T ( w ) o T(v) = 0, hence w 0 v = 0 by hypothesis. Set I = v(N') and K = i1 ; then I is contained (0) in K by the above. Consider the exact sequence 0-1 --tKdK/I
i

(As/m) # 0

since A,/m # 0; whence (d). Conversely, suppose that (d) holds; every left ideal a # A of A is contained in a maximal left ideal m (Algebra, Chapter I, fj8, no. 7, Theorem 2), then the hypothesis E # Em implies E # Ea, in other words, E @A (Asla) # 0. That is to say, for every monogenous left A-module N # 0, T(N) # 0. If now N is any left A-module #0, it contains a monogenous submodule N' # 0; since E is flat, T(N') is identified with a subgroup of T(N) ; we have just seen that T(N') # 0, hence T(N) # 0.

DEFINITION 1. A right A-module E is called faithfully frat f it satisjies the four i

equivalent conditions o f Proposition 1.
Faithfully flat left A-modules are defined similarly; clearly, for a left A-module E to be faithfully flat, it is necessary and sufficient that E, considered as a right Ao-module, be faithfully flat.

Remark. If E is a faithfully flat A-module, E is a faithful A-module: for, if an element a E A is such that xu = 0 for all x E E, the homothety h : b Hba in A is such that 1, @ h = 0 ; whence h = 0 by property (c) of Proposition 1, that is a = 0 since A has a unit element. Examfiles (1) The direct sum of a flat module and faithfully flat module is a faithfully &it module by virtue of property (d) of Proposition 1 and $ 2, no. 3, Proposition 2. (2) As A, is faithfully flat by virtue of criterion (d) of Proposition 1 and $ 2, no. 4 Example 1, it follows from (1) that every free module not reduced to 0 is , hithfully flat. On the other hand, there exist non-zero direct factors of free modules (in other words, non-zero projective modules) which are faithful but not faithfully flat (Exercise 2). (3) Let A be a principal ideal domain. For an A-module E to be faithfully flat, it is necessary and sufficient that it be torsion-jiree and E # Ep for every irreducible element (Algebra, Chapter VII, $ 1, no. 3) p of A; this follows immediately from $ 2, no. 4, Proposition 3 and criterion (d) of Proposition 1. (4)Example (3) shows that the Z-module Q i s a flat and faithful module, but "Offaithfullyfrat.

of homomorphisms of left A-modules and the corresponding sequence

-0

i and p being the canonical mappings. As E is flat, the sequence

0 +T(1)

2T(K) T(p)_ T(K/I) +0

is exact, in other words, T(K/I) is isomorphic to T(K)/T(I), which is 0 by hypothesis, since T(1) (resp. T(K)) is identified with the image of T(v) (resp. the kernel of T(w)) (3 2, no. 3, Remark 2). But the relation T(p) = 0 implies p = 0 by hypothesis, hence K = I, which proves that the sequence (1) is exact.
28

E be a faithfully frat right A-module and u : N' -+ N a left Amodule homomorfihim. For u to be injective (resp. surjective, bijective), it is necessary ~ ~ @ k n , t t h a ,t@ u : E @ A N ' - t E @ A N b e s o . l
~ ~ P O S ~ I T2. Let O N

29

FLAT MODULES

RESTRICTION OF SCALARS

3 3.4

This is an immediate consequence of criterion (a) of Proposition 1. PROPOSITION 3. Let O-+ El-+ E + E" -+0 be an exact sequence o f right Amodules. Suppose that E' and E" arejat and that one of them isfaithfullyjat. Then E is faithfully j u t . We know already that E is flat (5 2, no. 5, Proposition 5). We verify that E has property (b) of Proposition 1. Let N be a left A-module. As E" is flat, there is an exact sequence O-+E'@AN+E @AN-+E" @AN-+O

3. CHANGE OF RING
PROPOSITION 5. Let p be a homomorphismfrom a ring A to a ring B. I f E is afaithfully flat Aght A-module, the right B-module p* (E) = Eo, = E @A B is faithfully j u t .

Apply Proposition 4 of no. 2 with R module Bd is faithfully flat.

A, S = F

= B,

noting that the B-

COROLLARY. I f E is afaithfullyjat right A-module and ;fa is a two-sided ideal ofA, th right (A/a)-module E/Ea is faithfullyjat.

Apply Proposition 5 with B

A/a, p being the canonical homomorphism.

no. 5, Proposition 4). If E @A N = 0, it follows that E' @A N and E" @A N are zero; as one of the modules E', E" is faithfully flat, this implies that N = 0.
2. TENSOR PRODUCTS OF FAITHFULLY FLAT MODULES

(5 2,

~ ~ O P O S I T I O6. Let A be a commutative ring, B an algebra over A and p : a tf a . 1 the N camnical homomorphism ofA to B. Suppose that B is a faithfullyjat A-module. Then, for an A-module E to bejut (resp.faithfullyjat), it is necessary and su@cient that the right B-module Eo, = E @A B bejat (resp.faithfullyjat).

PROPOSITION 4. Let R, S be two rings, E a right R-module and F an ( R ,S)-bimodule. Suppose that E isfaithfullyjlat. Then,for F to be a j a t (resp.faithfullyjat) S-module, it is necessary and sujkient that E gR be so. F

(1) If F is flat, E F is flat (5 2, no. 7, Proposition 8). (2) Suppose that E BRF is flat and let v: N' -+ N be an injective left Smodule homomorphism. The homomorphism

mR

(1) If E is flat (resp. faithfully flat), Eo, is flat (resp. faithfully flat) by 5 2, no. 7, Corollary 2 to Proposition 8 (resp. by Proposition 5). (2) Suppose that Eo, is flat and let u : N' + N be an injective A-module homomorphism. By 5 2, no. 7, Corollary 3, the A-module E @A B is flat, hence the homomorphism 1, @ 1, @ v: E @A B @A N' + E @A B @A N is injective. As the right and left A-module structures on B coincide, this homomorphism is identified with 1, @ v @ 1B:E @AN' @AB+E @AN @AB. As B is a faithfully flat A-module, it follows that 1, @ v : E @A N' -+E @A N is injective (no. 1, Proposition 2), which shows that E is flat. (3) Suppose finally that Eo, is faithfully flat. First of all E is flat by (2). Also let N be an A-module such that E @A N = 0. Then E @A N @A B = 0, whence, since the right and left A-module structures on B coincide, E @A B @AN = 0, which may also be written (E @A B) (B @A N) = 0. As Em) is a faithfully flat B-module, this implies that B @A N = 0 (no. 1, Proposition I), whence N = 0 since B is a faithfully flat A-module (no. 1, Proposition 1).

1, @ 0 : E

@ R

F8

s N'

@ R

8 sN

is then injective (3 2, no. 3, Proposition 1). I t follows from Proposition 2 of no. 1 that 1, @ v: F @s N' -+ F N is injective; then F is a flat S-module (3 2, no. 3, Proposition 1). (3) Suppose that F is faithfully flat and let N be a left S-module such that E BRF BS = 0. Since E is faithfully flat, this implies that F N N = 0, whence N = 0 since F is faithfully flat; this proves that E BRF is faithfully flat. F is faithfully flat and let N be a left S-module such (4) Suppose that E that F N = 0. Then E gR QS N = 0, whence N = 0, which shows that F F is faithfully flat. COROLLARY. Let C be a commutative ring and E and F twofaithfullyjlat C-modules. F Then the C-module E gC isfaithfullyjlat. Apply Proposition 4 with R
=

a RESTRICTION

OF SCALARS

PROPOSITION 7. Let A, B be two rings and p a homomorphism ofA to B. Let E be a fairrtf;llyfIat right B-module. For p*(E) to be ajlat (resp. faithfullyjlat) right Aw e , it i necessary and su@cient that B be a jlat (resp. faithfully j u t ) right As

miuk.
,

S = C.

APPlyhg Proposition 4 of no. 2 with B, A, E, B in place of R, S, E, F respectively, and the right A-module structure on B being defined by p, it is seen that
31

30

FLAT MODULES

FAITHFULLY FLAT RINGS

5 3.5

B is a flat (resp. faithfully flat) A-module if and only if E flat (resp. faithfully flat) A-module.

B = p*(E) is a

I f A and B satisfy the conditions of Proposition 8, A is usually identified with a &ring of B by means of p.
COROLLARY.Under the hypotheses o f Proposition 8, f B is l$t Noetherian (resp. i Artinian), SO A.

Remarks (1) Proposition 7 shows that, for B to be a faithfully flat A-module, it is sujicient that there exist one faithfully flat B-module which is also a faithfully flat A-module. (2) Let A, B, C be three rings and p: A --f B, a: B -+ C two ring homomorphisms. Proposition 7 shows that if C is a faithfully flat B-module and B a faithfully flat A-module, then C is a faithfully flat A-module. If C is a faithfully flat B-module and a faithfully flat A-module, then B is a faithfully flat Amodule (taking the modules as right modules, to fix the ideas). On the other hand B and C may be faithfully flat A-modules without C being a faithfully flat B-module (Exercise 7).
5. FAITHFULLY FLAT RINGS

If (a,) is a non-stationary increasing (resp. decreasing) sequence of left

id& of A, the sequence (Ba,) of ideals of B is non-stationary and increasing
= a,,

(resp. decreasing) since p'(Ba,)

contrary to the hypothesis.

* m a r k (1). I f A and B are commutative, we shall see in Chapter 11,s 2, no. 5, Corollary 4 to Proposition 11, that the hypothesis of Proposition 8 implies that

for every prim ideal p of A, there exists aprime ideal q of B such that pl(q) (where p = A n q when A is identified with a subring of B) .*

=P

PROPOSITION 8. Let A, B be two rings and p a homomorphismfrom A to B. Suppose that there exists a right B-module E such that p,(E) is a faithfullyjat A-module. Then : (i) For every lt$t A-module F, the canonical homomorphism j : F -+Fo, = B @A F (such that j ( x ) = 1 @ x for all x E F) is injective. (ii) For every lt$t ideal a of A, p (Ba) = a. (iii) The homomorphism p is injective. (iv) For every maximal l e j ideal m of A, there exists a maximal l$t ideal n o f B
-1

An important application of Proposition 8 is when B is itself a faithfullyjat Amodule. But in this case we have the following more precise proposition:

JiuG properties are equivalent :

PROPOSITION 9. Let A, B be two rings and p a homomorphism ofA to B. Thefollowing

(a) The right A-module B is faithfullyjat. (b) The homomorphism p is injective and the right A-module B/p(A) isJat. (c) The right A-module B ;jut and, for every l$t A-module F, the canonical homomorphism x H 1 @ x of F to B @ * F is injective.

such that p' (n)

(d) The right A-module B i s j a t and, for every l$t ideal a ofA, p (Ba)
e h t s a maximal

-1

= a.

m.

(e) The right A-module B is j u t and, for every maximal l$t ideal m o f A, there

We prove (i). We know (Algebra, Chapter 11, 3 5, no. 2, Corollary to Proposition 5) that for every right B-module M , the canonical A-homomorphism i: M - t p,(M) @ A B = p*(p,(M)) defined by i ( y ) = y @ 1 is injective and that the A-module i ( M ) is a directfactor of p,(M) @A B. Hence, for every left A-module F,

left ideal n ofB such that

PI(")

m.

@ l F : p * ( M ) @A p * ( M ) @A @A is injective ($2, no. 1, Lemma 2). Taking M = E, it follows (since i @ 1 = , @ j ) t h a t j is injective (no. 1, Proposition 2). , 1 Assertion (ii) follows from (i) by taking F = A,/a and (iii) from (ii) by taking a = {O}.
Finally, if m is a maximal left ideal of A, then '(Bm) = m by (ii), and consequently Bm # B. Then there exists a maximal left ideal n of B containing Bm

By Proposition 8, (a) implies each of the properties (c), (d), (e). O n the other hand, if (e) holds, then Bm # B for every maximal left ideal m of A (since there exists a maximal left ideal n of B such that Bm c n), and B is a faithfully flat Amodule by criterion (d) of Proposition 1 of no. 1; hence (e) implies (a). we shall now prove that (c) + (d) * (b) a (a), which will complete the Proof. I n the first place, (c) implies (d) by taking F = A,/a in (c). If (d) holds, e g a = {O} it follows that p is injective; (d) and 9 2, no. 6, Corollary to ~OPOsition7 imply that B/p(A) is a flat right A-module, that is (d) implies (b). Finally, if (b) holds, Proposition 3 of no. 1 applied to the exact sequence

o -A,
8

P, B + B / ~ ( A ) -+ o

shows that B is a faithfully flat right A-module, since A, is faithfully flat.

b r k (2). If A and B are commutative, we shall see in Chapter 11,s 2
33

(Algebra, Chapter I, 5 8, no. 7, Theorem 2); then m c p'(n) and as p(1) $ n,

1 $ ;( I Consequently ' ..

;(.I '

= m.

32

FLAT MODULES

LINEAR EQUATIONS OVER A FAITHFULLY FLAT RING

Q 3.7

no. 5, Corollary 4 to Proposition 11 that the conditions of Proposition 9 are equivalent to the following: (f) B is a j a t A-module and,f o r evey prime ideal p ofA, there exists an ideal q ofB

such that p (9) = p.

Under the conditions of Proposition 9, let us identifjr A with a subring of B by means of p. The relation il(Ba) = a then reads A n Ba = a. O n the other hand if F is a left A-module, F is identified with its image in B @IA F under the canonical mapping x H 1 @ x ; if X is an additive subgroup of F, then we denote by BX the left sub-B-module of B @A F generated by X. With this notation, we have : PROPOSITION 10. Let B be a ring and A a subring of B such that B is a faithfully jlat right A-module. Let F be a l d t A-module, F', Fa t m submodules of F. Then: F' -+ B @A F is an isomorphism of B @A F' (i) The canonical mapping B onto BF'. (ii) F n BF' = F'. (iii) B(F' + F") = BF' + BF". (iv) B(F' n F") = BF' n BF".

-1

on B (5 2, no. 8). I t remains to prove that, if B @A F admits a finite presentation, so does F. We already know from (1) that F is finitely generated, hence fiere exists a surjective homomorphism u : L -+ F, where L is a finitely generated free A-module. Let R be the kernel of u, so that B @A R is identified with the kernel of the surjective homomorphism 1 @ u : B @A L --f B @A F (Q 2, , no. 3, Remark 2 ) . AS B @A F admits a finite presentation by hypothesis, we conclude ($ 2, no. 8, Lemma 9) that B R is finitely generated; then it follows from (1) that R is a finitely generated A-module and consequently F admits a finite presentation.
~ ~ O P O S I T T O12. Let B be a ring and A a commutatiue subring ofthe centre ofB such N that B is a faithfully Jlat A-module. For an A-module F to be projective and finitely g m a t e d , it is necessary and su&cient that B @A F be ajnitely generated projective left B-module.

m condition is obviously necessary without any hypothesis on A or B e (Algebra, Chapter 11, $ 5 , no. 1, Corollary to Proposition 4) ; we prove that it is

As B is a flat right A-module, the canonical mapping

B@AF'-+B@AF is injective; taking account of the identifications made, its image is BF', which proves (i). Assertion (ii) follows from $ 2, no. 6, Proposition 7, applied with E = B, E' = A, and using the formulae A @A F = F and A @A F' = F'. Assertion (iii) is trivial and (iv) follows from $ 2 , no. 6, Proposition 6.
6. FAITHFULLY FLAT RINGS AND FINITENESS CONDITIONS

sufficient. If a finitely generated projective module admits a finite presentation (82, no. 8, Lemma 8), the hypothesis implies that F admits a finite presentation by virtue of Proposition 11, hence, for every A-module M, there is a canonical isomorphism
W:

B @ HomA(F,M) + Hom,(B A

@A

F, B @A M)

(8 2, no. 10, Proposition 11). Then let u : M --f M a be a surjective A-module homomorphism and consider the commutative diagram
B @A HOmA(F, M) -%
1 B@HOm(lF,L')

PROPOSITION 11. Let B be a ring and A a subring of B such that B is a faithfullyjlat right A-module. For a le$ A-module F to be finitely generated (resp.jnitely presented), it is necessary and suficient that the B-module B @A F bejnitely generated (resp.jnitely presented).

B @A HomA(F,M")

@A

F, 3

@A

M)
M")

HOm(lB@F,IB@V)

HOmB(B @A F, 3

@A

As 1,

(1) Without any hypothesis on B, clearly, if F is a finitely generated left AF is module, B F is a finitely generated left B-module. Conversely, ifB a finitely generated B-module, it is generated by a finite number of elements of the form 1 @ xi with xi E F; if M is a sub-A-module of F generated by the xi and j the canonical injection M --f F, 1, @ j : B @A M -+ B @A F is a surjective homomorphism, hencej is surjective (no. 1, Proposition 2), which proves that F is finitely generated. (2) If F admits a finite presentation, so does B @A F without any hypothesis
34

@ v is surjective and B F is assumed projective, Hom(lBaF,1 @ U) , is Jutectiue (Algebra, Chapter 11, fj 2, no. 2, Proposition 4) and so then is 1, @ Hom(l,, v ) . But as B is a faithfully flat A-module, Hom(lF, u) is itself Wkctive (no. 1 Proposition 2), hence F is a projective A-module (Algebra, , Chapter 11,s 2, no. 2, Proposition 4 . )

EQUATIONS OVER A FAITHFULLY FLAT RING

'

k t B be a ring and A a subring of B. We shall say that the ordered pair (A, B) the linear extension property if it satisfies the following condition:
35

FLAT MODULES

FLAT MODULES AND T O R FUNCTORS

94

(E) Every solution ( y k ) equations (3)

,, consisting ,
YkCkt
=

o f elements o f B, o f a system o f linear

4. FLAT MODULES AND TOR FUNCTORS

d,
(1

k=l

< i < m)

whose coej5cients ckt and right-hand sides d, belong to A, is of thef o r m

(4)

For the benefit of readers conversant with Homological Algebra (*), we shall indicate quickly how the theory of flat modules is related to that of Tor hnctors.
PROPOSITION

Yk

xk

+ j=lb,z,k

1. Let E be a right A-module. The following four properties are equiva-

(l G

lent :
(a) E isJlat. (b) For every left A-module F and every integer n 2 1, Tor,A(E,F) (c) For every l$t A-module F, Torf(E, F) = 0. e (d) For everyjinitely generated lejl ideal a o f A,
=

where ( x k ) i a solution o f (3) consisting of elements of A, the 6, belong to B and each s o the ( Z j k ) l k d n is a solution o f the homogeneous linear system associated with (3), f consisting of elements o f A.
PROPOSITION 13. Let A be a subring o f a ring B. For the orderedpair (A, B) to satis& the linear extension property, it is necessary and suficient that B be a faithfullyjlat A-module. The condition is suj5cient. For, as B is a flat A-module, every solution with elements in B of the homogeneous linear system associated with (3) is a linear combination with coefficients in B of solutions consisting of elements of A (9 2, no. 11, Corollary 2, to Proposition 13). The problem then reduces to proving that the existence of a solution of (3) with elements in B implies the existence of one solution with elements in A. Now if we set
ck

0.

Torf(E, AJa) = 0.

W show that e

(a) implies (b). Let .-.+Ln-+Ln-l+. ..+L,-tF+O

be a free resolution of F. As E is flat, the sequence

(1)

* . . + E @L,,+E @ L n - l - t . . . + E

@Lo+E @F+O

(Cki)l<tCmEAy,
n

d = (di) EAF,

is exact. As the Tort(E, F) are isomorphic to homology groups of the complex (l), they are zero for n 2 1. I t is trivial that (b) implies (c) and (c) implies (d). We show finally that (d) implies (a). The exact sequence
0 -+ a -t A, +A,/a -+ 0

system (3) is equivalent to the equation

I n other words, if M is the sub-A-module of A? generated by the ck (1 < k < n ) , the existence of the solution ( y k ) of (3) is equivalent (with the identifications made in no. 5) to the relation d E BM n Ay; but as BM n A = M (no. 5, : Proposition 10, (ii)), it implies d E M, that is, the existence of a solution ( x k ) of system (3) with elements in A. The condition is necessary. For suppose that (A, B) satisfies the linear extension property; we know already that B is a flat right A-module (9 2, no. 11, Corollary 2 to Proposition 13); we prove that, for every left ideal a of A, Ba n A = a, which shows that B is a faithfully flat right A-module (no. 5, Proposition 9, (d)). Now, let x E Ba n A; there exists by hypothesis yi E B and a, E a such that y,ai = x ; property (E) applied to this linear equation with

k=l

1y k @ ck

1 @ din B @AA = B. : :

&es the exact sequence Torf(E, A,/a) -+ E @ a + E @ A. A A

As (d) holds, the canonical homomorphism

E@Aa-tE@AA=E

is injective, which means that E is flat (3 2, no. 3, Proposition 1).

2
i

m~&

Fopsition 1 provides a characterization of flat modules which is often useful applications. We shall restrict ourselves, by way of an example, to giving a
(*) See the part of this Treatise devoted to categories and, in particular, Abelian categories (in preparation). Until this is published, the reader can consult H. &TAN-% EILENBERG, Homological Algebra, Princeton, 1956, or R. GODEMENT, des Faisceaux, Paris (Hermann), 1958.

x =

coefficients and right hand side in A shows that there exist xi E A such that xiai, hence x E a.

2
f

36

37

FLAT MODULES

EXERCISES

new proof of Proposition 5 of 9 2, no. 5. If E' and Enare flat, the exact sequence Torf(E', F) -+T o e ( E , F) - Toe(E", F) > shows that Torf(E, F) = 0 for every left A-module F, hence E is flat. If E and E" are flat, the exact sequence Tor$(E", F) -+ Torf(E', F) -+ Torf(E, F) shows that Toe(E', F) = 0, hence E' is flat. EXERCISES

I 1. In the commutative diagram (10) suppose that the ordered pair (u', u') is an exact sequence and that u 0 u = 0. Show that
Jm(b) n Im(u') = b(Ker(c 0 u ) ) and Ker(b)

+ Ker(u) = biIm(u' o a ) ) .

PROPOSITION 2. Let R, S be two rings, p: R -+ S a homomorphism and F u le$ Rmodule. Thefollowing two properties are equivalent : (a) Tory(p,(E), F) = Ofor every right S-module E. F F) = 0. (b) The l@ S-module p*(F) = F,,, = S gR i s j u t andTor:(p,(S,),
Suppose that (a) holds. Taking E = s d , we see that Tor?(p,(Sd), F) = 0 We . show also that F,,, is a flat S-module. For that, we note that, if E is a right Smodule, the additive group E @ F,,, is identified with p* (E) gR Then if , F. there is an exact sequence of right S-modules
0 -+ E ' + E -+ 4 0 E"
a'

2. Consider a commutative diagram of commutative groups

we obtain, using (a), an exact sequence

--f

Suppose that: (1) (u, u ) and (6, b') are exact sequences; (2) u' 0 u' = 0 and a = 0; (3) c and u' are injective and a' is surjective. Show that under these conditions u" is injective.
0

p*(E')

@ R

--f

p*(E)

@I +

p*(E")
@S

@ R

- f -

3. Consider a commutative diagram of commutative groups

or also

0 + E'

@s

F(s)+ E @s FW

E"

F(s) 0 +

which proves that Fo, is flat. Conversely, if (b) holds, we have first of all, for every free right S-module L = SY), Tory(p,(L), F) = (Tor?(p,(S,), F))") = 0. Every right S-module E can be written in the form E = L/H for a suitable free S-module L ; then we have the exact sequence

A'

A" ----f B" --+

A"' ---f B"'
U " '

-!! !,
I

B - - - + C ->D

E' --+ C'

i Jd !
-z

I' )

C"

(2) 0

Tor?(.(p*(L),F)*Toe(p*(E),F)

p*(H)
--f

@ItF+

p*(L)

@RF'

But as F,,, is flat, the homomorphism H @ F,,, , is identified with the homomorphism
p*(H)
@ R
- f -

L @ F,,) is injective and ,

in which the rows and columns are assumed to be exact, d and u" injective and a surjective. Show that under these conditions u'" is injective. Generalize this '

rwult.
F'
4. Consider a commutative diagram of commutative groups

p*(L)

@ R

Then it follows from (2) that To*(p,(E),

F) = 0.

A--+B---tC---+D

Remark. Proposition 2 also follows from the existence of the exact sequence
E @s TOrT(p*(Sd),F) Tor?(P*(E), F) Tor?'(E, Sd @R F) 0 arising from the spectral sequence of the "associativity" of the Tor functors.
--f
--f --f

A' .--f B' -----f C' wherethe two rows are assumed to be exact.

D'

38

39

EXERCISES

EXERCISES

(a) Show that, if a is surjective and b and d injective, then c is injective. (b) Show that, if d is injective and a and c surjective, then b is surjective.

2
1. Give an example of an exact sequence 0 -+ N' -+ N -+ N" -+ 0 of left &modules and a right A-module E such that E is "-flat and N"-flat, but not &flat (take for example N' = N" = 2/22).

5. Suppose that an exact sequence A 4A -% A" -+ 0 and two surjective homomorphisms B' -$A', B" 5A" are given, where A, A', A , B', B" are modules over the same ring. Show that, if B" is a projectiue module, there exists a surjective homomorphism a : B f @ B" A such that the diagram

2. Let M, N be two submodules of an A-module E such that M + N is flat. For M and N to be flat, it is necessary and sufficient that M n N be flat.

B'

-LB~- % B ~ BB"
A

A'If,

L A "

is commutative (i and p being the canonical mappings).

6. Suppose that an exact sequence 0 + A % A -% A" and two injective homomorphisms A' % C', A" % C" are given, where A, A', A", C', C" are modules over the same ring. Show that, if C' is an injectiue module (Algebra, Chapter 11, 9 2, Exercise 1 l ) , there exists an injective homomorphism a : A ---f C' @ C" such that the diagram

3. Let A be the ring K[X, Y ] of polynomials in two indeterminates over a field K. (a) Consider in A the principal ideals b = (X), c = ( Y ) ,which are free Amodules and whose intersection b n c = (XU) is also free. Show that a = b + c is not a flat A-module, although a is torsion-free (cf. Algebra, Chapter 111, 0 2, Exercise 4). (b) In the A-module A2, let R be the submodule consisting of the elements (x, - x ) where x E a. I n the A-module A2/R, let M, N be the submodules which are the images of the factor submodules of A2; show that M and N are isomorphic to A, but that M n N is not a flat A-module.
4. (a) Give an example of an exact sequence

A'If,
a,!

A
a 1

L A "
a-1

0 -+ E'+ E --f E" -+ 0

C'

-L C'

C" --L C"

which does not split and all of whose terms are flat modules (cf. Algebra, Chapter VII, 3 3, Exercise 8 (b)). (b) From (a) deduce an example of an exact sequence
0 -+ E ' - + E -+E" -+ 0

are commutative (i and p being the canonical mappings).

7. Let U, V, W be three commutative groups and f: -+ V, g: V -+ W U homomorphisms. (a) Consider the diagram
o ~ u ~ u x v - + v + - o O+V--+W
B

which does not split and whose terms are right A-modules which are notJat, such that for every left A-module F the sequence
O + E ' @ F + E @ F + E " @ F-tO

f.1

h1 ,-4
x V-W-+O

is exact (use Lemma 2 of no.

11.

5. Give an example of a right A-module E, a left A-module F and two subflodules F',intersection of thethe canonical image of E 66F' andF") @ F"6b F (F' n E in E (cf. not the F" of F such that canonical image; of E

wherex(u) = ( u , f ( u ) ) , N u , u) = v - f ( u ) , y(u) = (g(u), u ) , a(m,u ) = w -g(u), h(u, v) = ( g ( f ( u ) ) , v). Show that this diagram is commutative and that its rows are exact. (b) Deduce from (a) and Proposition 2 of no. 4 an exact sequence
0 -+ Ker(f) + Ker(g o f )
--f

Exercise 3 (a)1.

fl6.

Let A be a ring and M a left A-module. An exact sequence L,

-+ L n - l

-+. . *-+ L,

-+ Lo -+ M -+ 0

Ker(g) -+ Coker(f)

Coker(g o f ) -+ Coker(g) -+ 0.

Give a direct definition of this exact sequence.

40

where L, is a free left A-module (0 < i < n ) , is called a presentation of M o f 4 t h n or an n-presentation of M. The presentation is called finite if all the L, are finitely generated free modules.
41

EXERCISES

EXERCISES

If M is a finitely generated left A-module, we denote by A(M) the least upper bound (finite or +CO) of the integers n 2 0 such that M has a finite npresentation. If M is not finitely generated, we set A(M) - 1. (a) Let 0 -+ P -+ N -+ M -+0 be an exact sequence of left A-modules. Then A(N) 2 inf(A(P), h ( M ) ) . (Starting with two n-presentations of P and M respectively, derive one for N using Exercise 5 of 9 1.)
= I

(b) Let M, 2 M,- +. . .-+ M, 2 M + 0 be a finite n-presentation of M; show that, if h ( M ) > n, Ker(u,) is a finitely generated A-module. (Let

L,+, % L , ~ . .-+ .

L, --% -+ L, --+ L,

u1

10

M -0

(b) If a is a left ideal of a ring A, which is not finitely generated, AJa is a monogenous A-module which does not admit a finite presentation, in other words A(A,/a) = 0 (no. 8, Lemma 9). (c) Give an example of a monogenous left ideal a of a ring A such that A,/a (which has a finite presentation) admits a dual which is not a finitely generated right A-module. (d) Let K be a commutative field, E the vector space KCN), the canonical (en) of E and T the tensor algebra of E, which therefore has a basis consisting of fie finite products el,eiz. . .elk ( k 2 0, i, E N for all j ) . For a given integer n, let b be the two-sided ideal of T generated by the products
e1e0,

be a finite ( n + 1)-presentation of M and let P = Ker(u,) be such that there is an n-presentation of P: L,,,

...

enen - I

L, -----f.. .--f

L, , L, 2

u1

- f -

P d 0.

Applying the method of (a) to the exact sequence 0 -+ P -+ Lo + M -+ 0 we obtain an exact sequence

and e,+ke, for all k 2 1 ;let A be the quotient ring T / b , and for every integer m, let a,,, be the canonical image of em in A. Show that, if M = A,/Aa,, then X(M) = n (observe that, for m < n - 1, the left annihilator of a, is Aa,, and use Exercise 6(b)).

M,

L,,,

M,-, 0 L,

and exact sequences no. 4, Proposition 2). Observe finally that Ker(w,) is a direct factor of M, @ L,,,. (c) Show that with the hypotheses of (a)

5 Lo -+ 0 0 -+ Ker(v,+,) -+ Ker(w,) -+ Ker(u,) -+ 0 (5 1,

M, @ L,

w-. . .-%

8. Let C be a commutative ring and E, F two C-modules. Show that X(E B0F) 2 inf(A(E), A(F)).

9. Let E be a finitely presented left A-module. of (a) Show that for every family (FJLEI right A-modules, the canonical F,) -+ (E 8, F,) (Algebra, Chapter 11, 9 3, homomorphism E 8,

(n n
1EI

A(M) 2 inf(A(N), A(P)

+ 1).

(If n < inf(A(N), A(P) + l), show by induction on n that A(M) 2 n, arguing as in (a) and using (b).) (d) Show that with the hypotheses of (a)

no. 7) is bijective. (b) Let (G,, (bPa) be a direct system of left A-modules; show that the
Canonical homomorphism

LEI

A(P) 2 inf(A(N), A(M) - 1).

(Same method as in (c).) Deduce that, if A(N) = + CO, then A(M) (e) Deduce from (a), (c) and (d) that, if N = M @ P, then
=

is bijective.
A(P)

--+

lim Hom,(E, G,) + Hom,(E, lim G,)

--+

+ 1.

A(N)

inf(A(M), A(P)).

In particular, for N to admit a finite presentation it is necessary and sufficient that M and P do so too. (f) Let N,, N, be two submodules of an A-module M. Suppose that N1 and N, admit finite presentations. For N1 + N2 to admit a finite presentation it is necessary and sufficient that N, n N, be finitely generated.

10. (a) Let A be a ring, I a set and R a submodule of L = AT). Let 6 be (J,S), where J is a finite subset of I and S a finitely generated submodule of A; n R. 6 is ordered by the relation 7 c J and sty;show that 6 is directed with respect to this order relation, that the family (&/S) is a direct system of right A-modules with 6 as indexing set and there exists an isomorphism of L/R onto lim_ (A#).
*e Set of ordered pairs

(b) Deduce from (a) that every A-module is a direct limit of finitelypresented A-modUles. 11. Let E be a right A-module. E is called pseudo-coherent if every finitely , Bcnerated submodule of E is finitely presented; every submodule of a pseudo-herent module is pseudo-coherent. E is called coherent if it is pseudo-coherent m l finitely generated (and therefore finitely presented). c
43

(J,S) 6 E

7. (a) With the notation of Exercise 6, show that, if M is a projective module, then h(M) = - 1 or A(M) = + CO. IfA is a left Noetherian ring, then, for every A-module M, A(M) = - 1 or A(M) = +a.
42

EXERCISES

EXERCISES

(a) Let 0 -+ E' -+ E -+ E" -+ 0 be an exact sequence of right A-modules. Show that, if E is pseudo-coherent (resp. coherent) and E' is finitely generated E" is pseudo-coherent (resp. coherent). Show that, if E' and E" are pseudocoherent (resp. coherent), so is E. Show that, if E and E" are coherent, so is E' (use Exercise 6 and Lemma 9 of no. 8). (b) Let E be a coherent A-module and E' a pseudo-coherent (resp. coherent) A-module. Show that, for every homomorphism u: E -+E', Im(u) and Ker(u) are coherent and that Coker(u) is pseudo-coherent (resp. coherent) (use (a)). (c) Show that every direct sum (resp. every finite direct sum) of pseudocoherent (resp. coherent) modules is a pseudo-coherent (resp. coherent) module. (d) If E is a pseudo-coherent module and M, N are coherent submodules of E, show that M + N and M n N are coherent (use (a) and (c)). (e) Suppose that A is commutative. Show that, if E is a coherent A-module and F a coherent (resp. pseudo-coherent) A-module, Hom,(E, F) is a coherent (resp. pseudo-coherent) A-module. (Reduce it to the case where F is coherent and consider a finite presentation of E, then use (b).)

(f) Deduce from (e) that every polynomial ring (in any finite or infinite set of indeterminates) over a Noetherian commutative ring is coherent. Deduce from this that a quotient ring of a coherent ring is not necessarily coherent.* (g) For A to be left coherent, it is necessary and sufficient that the left annihilator of every element of A be finitely generated and that the intersection of two finitely generated left ideals of A be finitely generated (use Exercise 6(f)).
$

7 13. Let A, B be two rings, F an (A, B)-bimodule and G a right B-module. Show that, if G is injective (Algebra Chapter 11, $ 2, Exercise 11) and F is a flat left A-module, the right A-module Hom,(F, G) is injective. (Use the isomorphism
Hom,(E, Hom,(F, G)) -+ Hom,(E

8, F, G)

for a right A-module E (Algebra, Chapter 11, $ 4, no. l).)

T[ 12. (a) Let A be a ring. Show that the following four properties are equivalent:
( a ) The right A-module A, is coherent (Exercise 11).

fi 14. Let A, B be two rings, E a left A-module, F an (A, B)-bimodule and G a right B-module; consider the canonical homomorphism (Algebra, Chapter 11, 6 4, Exercise 5)
IS:

Hom,(F, G)

@A

E -+Hom,(Hom,(E, F), G)
all x E E, u E Hom,(F, G), F).

(p) Every finitely presented right A-module is coherent.

(y) Every A-module A (I an arbitrary set) is flat. :

such that ( S . I x ) ) (v) I(@

= u ( v ( x ) ) for

E Hom,(E,

( 6 ) Every product of flat left A-modules is flat. (TO prove that ( a ) implies (p), use Exercise ll(b). To see that (y) implies ( a ) , use Proposition 13 of no. 11 and argue by reductio ad absurdurn. To show that ( a ) implies (8),use Exercises 9.) Such a ring is called right coherent and the concept of a left coherent ring is
defined similarly. (b) Show that every right Noetherian ring is right coherent. Give an example of a right Artinian ring which is not left coherent (cf. Algebra, Chapter VIII, $ 2, Exercise 4). * (c) The ring of a non-discretevaluation of height 1 (ChapterVI) is coherent but contains ideals which are not coherent and admits (monogenous) quotient modules which are not pseudo-coherent. * (d) Show that, if A is a right coherent ring, then, for every right A-module E, A(E) = - 1 or A(E) = 0 or A(E) = +co (Exercise 6). (e) Let (A,, +o,) be a direct system of rings whose indexing set is directed and let A = lim A,. Suppose that, for a < p, A, is a flat right A,-module. + Show that, if the A, are right coherent, so is A. (Observe that A is a flat A,module for all a and that, if E is a finitely generated submodule of A,, there exists an index a and a finitely generated submodule E, of (&)d such that A is isomorphic to E.) E,

Show that, if G is an injective B-module (Algebra, Chapter 11, $ 2, Exercise 11) and E finitely presented, IS is bijective. (Consider first the case where E is
free and finitely generated.)

7 15. Let A be a ring. Show that every left A-module E which is flat and finitely presented is projective. (Given a surjective left A-module homomorphism I F + F", let u' be the homomorphism :
Hom( l,, u) : Hom,(E, F) -+ Hom,(E, F")

and the homomorphism

HOm(U', lc) : Hom,(Hom,(E, F"), G) -+ Hom,(Hom,(E,

F,) G ) ,

where G is a divisible Z-module. Using Exercise 14 first, prove that i is injeci tive; then, with a suitable choice for G (Algebra, Chapter 11, $2, Exercise 1) 43 Show that u is surjective.) '
16. Let A be a ring and a an element of A. Show that the following properties equivalent. (a) aEaAa. (p) aA is a direct factor of the module Ad.

44 '

45

EXERCISES

EXERCISES

(y) A,/aA is a flat right A-module.

(6) For every left ideal b of A, aA n b = ab. (Use the Corollary to Proposition 7 of no. 6 to prove the equivalence of (y) and (6) and show directly that (6) implies ( a ) and ( a ) implies (p), by proving the existence of an idempotent element e E aA such that eA = aA.)
17. Let A be a ring. Show that the following properties are equivalent: ( a ) Every element a E A satisfies the equivalent properties of Exercise 16. (p) Every finitely generated right ideal of A is a direct factor of A,. (y) Every left A-module is flat. (8) Every right A-module is flat. Then A is called an absolutelyJlat ring (*). (To see that ( a )implies (p), use Exercise 15(b) ofdlgebra, Chapter VIII, 3 6.) 18. Let A be an absolutely flat ring (Exercise 17). (a) Let P be a projective right A-module. Show that every finitely generated submodule E of P is a direct factor of P. (Reduce it to the case where P is free and finitely generated. Then note that P/E is finitely presented and use Exercises 15.) (b) Show that every projective right A-module P is the direct sum of monogenous submodules isomorphic to monogenous right ideals of A. (Use Kaplanskys Theorem (Algebra, Chapter 11, 3 2, Exercises 3) to reduce the problem to the case where P is generated by a countable family of elements, then use (a).) (c) Give an example of an absolutely flat ring A and a non-projective finitely generated A-module (consider a quotient of A by an ideal which is not finitely generated; cf. Algebra, Chapter VIII, 3 6, Exercise 15(f) and Commutative Algebra, Chapter 11, 9 4, Exercise 17). 19. Let A be a ring. Show that the following properties are equivalent: ( a ) A is semisimple. (p) Every right ideal of A is an injective A-module. (y) Every right A-module is projective. (6) Every right A-module is injective.

21. Let S be a commutative ring, R a commutative S-algebra, B an Salgebra (commutative or otherwise) and B(R, the R-algebra obtained from B by extension of scalars. Suppose that R is a flat S-module and that B is a finitely generated S-module. If Z is the centre of B, show that the canonical homomorphism of Z,,) = Z BS to B(R) is an isomorphism of Z,,, onto the R centre of B(R). (Use the exact sequence
0 +Z -+ B -+ Homs(B, B)
e

where O(x) (y) = xy - yx, and Proposition 11 of no. 10.)

T[ 22. Let E be a left A-module. For every right ideal a of A and every element
a E A, denote by a: a the set of x E A such that ax E a and by aE: a the set of y E E such that ay E aE. Then clearly (a: a)E c aE: a. Show that, for E to be flat, it is necessary and sufficient that, for every right ideal a of A and every element a E A, (a: a)E = aE: a. (To see that the condition is necessary, 6 A,/a, consider the exact sequence of right A-modules 0 -+ (a: .)/a -+ A,/a

where is the canonical injection and the mapping obtained by taking quotients under left multiplication by a. To see that the condition is sufficient apply the criterion of Corollary 1 to Proposition 13 of no. 11 : starting with a relation
n

2 0, where a, = 2atA and the element

a,x, =
t=1

a, E A, x,
a,

E, apply the hypothesis to the ideal

t=a

and argue by induction on n.)

20. Let A be an integral domain, B an A-algebra which is a flat A-module and M a torsion-free A-module. Show that, if t E B is not a divisor of zero, the relation t. z = 0 for z E B @A M implies z = 0. (Reduce this to the case where M is finitely generated and, by embedding M in a finitely generated free Amodule, to the case where M = A.)
(*) This is a modification of the terminology regular ring introduced in Algebra, Chapter VIII, 3 6 , Exercise 15, as this has a completely different meaning in Commutative Algebra.

23. (a) Let 0 -+ R + L -+ E -+ 0 be an exact sequence of left A-modules, where L is a free A-module; let (e,) be a basis of L. Show that the following conditions are equivalent: (a) E is flat. (p) For all x E R, if a, is the right ideal generated by the components of with respect to the basis (e,), then x E Ra,. (y) For all x E R, there exists a homomorphism u,: L -+ R such that %(X) = x. (8) For every finite sequence of elements of R, there exists a homomorphism u : L --f R such that u(x,) = xi for 1 < i < n. (Use the Corolto Proposition 7 of no. 6.) (b) Let a be a left ideal of A such that A/a is a flat A-module. Show that, for finitely generated left ideal b c a, there exists x E A such that

b c k u c a

(use condition (8) of (a)).

(c) Derive from (a) a new proof of the result of Exercise 15.
47

4 6

EXERCISES

EXERCISES

(d) Let r be the Jacobson radical of A and 0 + R -+ L + E + 0 an exact sequence of left A-modules such that L is free. Suppose that E is flat and R is contained in rL. Show that R = 0 (in the notation of (a) observe that a, is a finitely generated ideal and that a, = a%r). (e) Let E be a finitely generated flat A-module; suppose that there exists a two-sided ideal b ofA contained in the Jacobson radical of A such that E/bE is a free (A/b)-module. Show that E is then a free A-module (observethat there exists a finitely generated free A-module L such that L/bL is isomorphic to E/bE and use Algebra, Chapter VIII, 9 6, no. 3, Corollary 4 to Proposition 6; then apply

(e) Let p: A + B be a ring homomorphism, M a right A-module and M' a pure submodule of M. Show that M&) = M' @A B is canonically identified with a pure submodule of M(B)= M @A B. 3
1. (a) For the direct sum of a family (EL) of A-modules to be faithfully flat, it is sufficient that each of the E, be flat and that at least one of them be faithfully flat. (b) Deduce from (a) that, if A is a simple ring, every non-empty A-module is faithfully flat. Is the result true for semisimple rings?

(4)24. A submodule M' of a right A-module M is called pure if, denoting by j : M' + M the canonical injection, the homomorphism

j @ 1,: M'

@A

N +M

@A

2. Let (Pn)be the strictly increasing sequence of prime numbers and A the product ring Z/PnZ. Show that the direct sum E of the Z/pnZ is a faithful

n
n

is injective for every left A-module N. This is so if M' is a direct factor of M or if M/M' is flat, but these two conditions are not necessary (Exercise 4). (a) Show that, for M' to be a pure submodule of M, it is necessary and suficient that, if is a finite family of elements of M', ( x , ) , ~ a family of x,aJ, for all i E I and a family (aJl)of elements elements of M such that mi =

projective A-module which is not faithfully flat (observe that E is an ideal of A such that E2 = E).

JEJ

ofA, then there exists a family ( x ; ) , ~of elements of M' such that m; = c x ; a , , for all i E I. (To see that the condition is sufficient, use Lemma 10 of no. 11 to N is injective for every finitely generated left show that M' @A N + M A-module N; to see that the condition is necessary, consider a finitely generated left A-module N = L/R, where L is a finitely generated free A-module and R is a finitely generated submodule of L.) Deduce from this criterion that, if A is a principal ideal domain, the notion of pure submodule of an A-module coincides with that of Algebra, Chapter VII, 9 2, Exercise 7. (b) Let M be a right A-module, M' a submodule of M and M" a submodule of M'. Show that, if M' is a pure submodule of M and M" a pure submodule of M , then M" is a pure submodule of M and M'/M" is a pure submodule of M/M". If M" is a pure submodule of M, M" is a pure submodule of M'. (c) Show that, if N and P are two submodules of M such that N n P and N + P are pure in M, then N and P are pure submodules of M. Give an example of two submodules N, P of Z2 which are pure in Z2 but where N P is not a pure submodule of Z2. (d) Let C be a commutative ring and E, F two C-modules; show that, if E' (resp. F') is a pure submodule of E (resp. F), the canonical mapping E' BC + E F' F is injective and identifies E' BC with a pure submodule F' of E @c F.
JOJ

3. Let A be a right coherent ring (5 2, Exercise 12). For a product of left Amodules to be faithfully flat, it is sufficient that each of them be flat and that at least one of them be faithfully flat. Deduce that, if A is a coherent commutative ring, the ring of formal power series A[[X,, . . ., X,]] is a faithfully flat A-module.
4. Let A be a simple algebra over a commutative field K and B a subalgebra of A which is semisimple but not simple. Show that A is a faithfully flat (right or left) B-module, but that there exist right B-modules E which are not faithfully flat, whilst E A is always faithfully flat (Exercise 1).

aB

5. Let A be a commutative ring and M a flat A-module containing a submodule N which is not a flat module (cf. $ 2 , Exercise 3). Let B (resp. C) be the A-module A @ N (resp. A @ M) in which multiplication is defined by (4 %)(a',x ' ) = ( a d , ax' + a'x) ; then B is not a flat A-module, but the Bmodule c is a faithfully flat A-module and consequently B satisfies the conditions of Proposition 8 of no. 5.
6- Give an example of an integral domain A and a ring B of which A is a such that B is a flat A-module but there exists an A-module E which is neither projective nor finitely generated, for which B @ A E is a finitely generated free B-module.

7- I f K is a field, the ring K[X] and the field K(X) are faithfully flat Kmodules, but K(X) is not a faithfdly flat K[X]-module.
.

8. Let @ be a prime number and A the subring of Q consisting of the fmCtions k/pn, where k E Z, n 0. Show that A is a flat Z-module and that
49

48

EXERCISES

there exists a Z-module E which is not flat but where A module.

gZE

is a flat A-

CHAPTER 11(*)

9. Let A be a commutative ring, B an A-algebra, (C,)xEL family of Aa algebras and B, = C, g A B the tensor product algebra of C, and B for all h E L . Let E be a left B-module. Set E, = Bh gB = C, @A E; this is a E (B,, C,)-bimodule. Similarly, if F is a right B-module, set
FA=F@BB,=F@AC~, which is a (C,, B,)-bimodule. (a) Show that the (CA,(2,)-bimodule F, E, is isomorphic to (F @BE) @*CP (b) Show that, if E is a flat (resp. faithfully flat) B-module, each of the E is a A flat (resp. faithfully flat) B,-mod;le. The converse is true if we assume further that @ C, is a faithfully flat A-module.
AL

Localization

(c) Show that, if L is finite, each of the E, is a finitely generated projective B,-module and @ C, is a faithfully flat A-module, then E is a finitely geneAL

rated projective B-module (use Proposition 12 of no. 6). 10. (a) Let p: A + B be a ring homomorphism. Show that, for every left ideal a of A which is a left annihilator of a subset M of A, p (Ba) = a. (b) Deduce from (a) an example of a homomorphism p : A -+ B such that right A-module B is not flat but p' (Ba) = a holds for every left ideal a of A (cf. 3 2, Exercise 17 and Algebra, Chapter VIII, 3 3, Exercise 11 and 3 2, Exercise 6 and Chapter IX, 2, Exercise 4).
4 1. Show that in the statement of Proposition 2, condition (a) can be replaced by: (a') TorT(p,(E), F) = 0 for every monogenous right S-module E. (To prove that (a') implies (a), consider first the case when E is generated by n elements and argue by induction on n.)
-1

7% conventions o Chapter I remain in force in this chapter. Also, unless otherwise f stated, all rings are assumed to be commutative. Let A, B be two rings, p a homomorphismfrom A to B and M a B-module. When we speak of M as an A-module, we mean, unless otherwke stated, with the A-module structure p*(M) (deJined by the external law (a, rn) F-+ p(a)m).

1. PRIME IDEALS
1 DEFINITION OF PRIME IDEALS .

DEFINITION 1. An ideal p of a ring A is called prime ;f the ring Alp is an integral

domain. BY t h i s definition, an ideal

p of a ring A is prime if the following two conditions hold : (1) P # A; (2) if x, y are two elements of A such that x $ p and y $ p, then xy $ P.

These conditions can also be expressed by saying that the product of any Jinite family of elements of C belongs to Cp, as applying this condition to the p empty set yields 1 4 p.

A maximal ideal m of A is prime since A/m is a field; then it follows from -S theorem (Algebra, Chapter I, 4 8, no. 7, Theorem 2) that every ideal of
\

(*) With the exception of the statements placed between two asterisks: *. -*, the results of this chapter depend only on Books I to VI and Chapter I, 88 1-3 of

hk.

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5 1.2
l#k

A other than A is contained in at least one prime ideal. In particular, for prime ideals to exist in a ring A, it is necessary and sufficient that A be not reduced to 0.
-1

belongs to p j , but yk

6 p j , whence z 6 p j .

On the other hand,

y , does not

Letf. A -+ B be a ring homomorphism and q an ideal of B. Set p = f (4) ;the homomorphism A/p + B/q derived from f by taking quotients is injective. Suppose that q is prime; as the ring B/q is an integral domain, so is Alp, being

belong to P k , as none of the factors yi ( i # k ) belongs to it and pk is prime if n - 1 > 1 ; as Yk E P k , z does not belong to p k and the proposition is established.
2 RELATIVELY PRIME IDEALS

-1

isomorphic to a subring of B/q; consequently the ideal p = f (9) is prime. In particular, let A be a subring of B; for every ideal q of B, q n A is a prime ideal A. Iff is surjective,Jis an isomorphism; the conditions p is prime and q is prime are then equivalent. Hence, if p and a are ideals of A such that a c p, a necessary and sufficient condition for p to be prime is that p/a be prime in

A/a.
PROPOSITION 1. Let A be a ring, a,, a2, . . ., a, ideals ofA and p aprime ideal ofA. I f p contains theproduct a1a2. . .a,, it contains at least one ofthe a,. Suppose in fact that p contains none of the a,. For 1 < i < n there exists then , an element s, E a, n Cp ; then s = slsz.. .s is contained in ala2. . .a, and is not contained in p, which is absurd. COROLLARY. Let m be a maximal ideal o f A; f o r every integer n > 0, the only prime ideal containing mn is m. Such an ideal p must contain m by Proposition 1 applied to a, = m for 1 i < n; as m is maximal, p = m.

Let A be a ring; two ideals a, b of A are called relatively prime if a + b = A. For this to be true, it is necessary and sufficient that a + b be contained in no prime ideal (Algebra, Chapter I, 5 8, no. 7, Theorem 2), in other words, that no prime ideal contain both a and b. TWO distinct maximal ideals are relatively prime.
If A is aprincipal ideal domain (Algebra, Chapter VII, 5 l ) , for two elements a, b of A to be relatively prime, it is necessary and suficient, by Bezouts identity (loc. cit., no. 2, Theorem I ) , that the ideals Aa and Ab be relatively
prime.

PROPOSITION 3. Let a and b be two relatively prime ideals ( f a ring A. Let a and 6 be two ideals of A such that every element of a (resp. b) has a power in a (resp. 6).

Te a and 6 are relatively prime. hn

Under the given hypothesis, every prime ideal which contains a contains a and every prime ideal which contains b contains 6. If a prime ideal contains a and b, then it contains a and 5, which is absurd, since a and b are relatively prime; hence a and 6 are relatively prime.
~ O P O S I T I O N4.

<

PROPOSITION 2. Let A be a ring, a a non-empty set of A which is closed under addition and multiplication and ( p i ) i E I a non-empty Jinite family o f ideals o f A. Suppose that a is contained in the union ofthe p i and that at most two ofthe p, are notprime. Then a is contained in one ofthe pi.

each ofthe b, (1

< i 6 n ) , it is relatively prime to b,b,. . .6,.

Let a, b,,

. . ., 6, be ideals o f a ring A. If

a is relatively prime to

k t p be a prime ideal of A. If p contains a and blb, . . .b,, it contains one of the bt (no. 1, Proposition l), which is absurd since a and 6, are relatively prime.
~OPOSITION 5.

We argue by induction on n = Card(1); the proposition is trivial if n = 1. Suppose that n 2 2; if there exists an indexj such that a n p , c U p i , the set
i #i

a, which is the union of the a n pi where i E I, is contained in

U pi and hence i #i

Let (aJiSI be a non-emptyjnite family ofideals o f a ring A. Thefollowing firofierties are eauivalent : (a) Fo; i # j , a, ahd a, are relatively prime. (b) The canonical homomoqhism (p: A --f

in one of the p, by the induction hypothesis. Suppose then that such an index does not exist; for everyj E I let y , be an element of a n p, not belonging to any p , for i # j. Let k be an element of I chosen in such a way that pr is y,. Then prime if n > 2 and chosen arbitrarily if n = 2; let z = y k +
i#k

0 1, no. 7) is surjective.
%phkn $: A/a -+

i#I

(A/a,) (Algebra, Chapter 11,

Ifthese hold, the intersection a ofthe a, is equal to theirproduct and the canonical homo-

a, since a is closed under addition and multiplication; if j # k,

i#k

17y ,

n
iE

(A/a,) (Algebra, Chapter 11, 1, no. 7) is bijective.

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DEFINITION OF RINGS OF FRACTIONS

5 2.1

We argue by induction on n the number of elements in I, the case n = 1 being trivial. Consider first the case n = 2. Then the equivalence of (a) and (b) follows from the exactness of the sequence
0 --+ A/(a, n az) --%(440 (A/az) -+ A/(al

Clearly the canonical mapping of M to &ng

n
iEI

(M/a,M) is zero on aM; then, by

quotients, it defines a homomorphism A: M/aM +

n
ie I

(M/aiM). On

+ az)

-----f

h e other hand, by Proposition 5, the canonical homomorphism

+: A/a +

(Algebra, Chapter 11, 3 1, no. 7, formula (30)). Moreover, there exist el E a, and e2 E a, such that 1 = el + e,; then, for all x E a = a, n a,, x = xe, + xe2; but by definition xe, E a1a2 and xe, E a1a2,hence x E a,a,; whence a c a1a2 and the converse inclusion is obvious. In the general case, suppose that condition (a) holds and let k be an element

n
ie I

(A/a,)

is bijective. Then so is 1 @

:M

8 (A/a) +- M @ 1I (A/$). Now M 8 (A/a) 7 i

of I and 6, =

r#k

,na,; the induction hypothesis implies that 6, = 17a, and it

r#k

identified with M/aM and M @ itself identified with

follows from Proposition 4 that a, and b, are relatively prime; then

a =
iEI

n a, = a, n b,< =

(M/a,M). I t is immediately verified that the above identifications transforms 1, @ into A, whence the proposition.
iI

n
I I

(A/a,) with

n .
ieI

M @ (A/a,), which is

akbk

a,

by the first part of the argument and for the same reason the canonical homomorphism A/a + (A/ak) x (A/b,) is bijective; by the induction hypothesis the canonical homomorphism A/b, + i # k (A/a,) is bijective and so then is the composite homomorphism

Example. Let K be a field, a, ( 1 < i < m) distinct elements of K and, for each i, let g, be a polynomial in K[X]; the principal ideal ( X - a,) = m, is maximal in K[X], hence, for every system ( n , ) , , , , , of m integers 1,
the ideals m;i are relatively prime in pairs. Then it follows from Proposition 5 that there exists a polynomial J E K[X] such that f ( X ) E g,(X) (mod. (X - a l ) " l ) for 1 < i < m, the difference of two such polynomials being divisible by w(X) =

A/a + (A/a,) x (A/b,)

-+

(A/a,) x

(A/a,)

g (W,)

which is precisely +; that is, (b) holds. Conversely, suppose that (b) holds. We show that the a, are necessarily relatively prime in pairs. In the contrary case, there would exist an ideal c # A containing a, and a, for i # j . We set a; = ah for h not equal to i o r j and a; = a; = c; the canonical homomorphism
+I:

(X - al)"f. If all the n, are taken equal to 1, we find the problem is solved explicitly by Lagrange's interpolation formula (Algebra, Chapter IV, 8 2, no. 4).
:=I

rn

A +-

n
161

2. RINGS AND MODULES OF FRACTIONS

1 DEFINITION OF RINGS OF FRACTIONS .

(A/a',)can be written as the composite mapping

ITIO ION 1. Let A be a ring. A subset S of A is called multiplicative fi everyjnite Product of elements of S belongs to S.
f being the product of the canonical homomorphisms A/a, --f A/a;; clearly +' is not surjective, the projection of +'(A) onto (A/a',) x (A/ai) being the diagonal of the product (A/c) x (A/c), which is distinct from this product since c # A. Asf is surjective, this shows that is not surjective.

This is the same as saying that 1 E S and that the product of two elements of S
belong to S.
Examples (1) For every a E A, the set of an, where n E N,is a multiplicative subset of A. (2) Let p be an ideal of A. For A p to be a multiplicative subset of A, it is necessary and sufficient that p be prime. (3) The set of elements of A which are not divisors of zero is a multiplicative subset of A.

PROPOSITION 6. Let (a,),EI be a non-emptyjnite family of ideals of a ring A which f are relatively prime in pairs; let a be the intersection . the a,. For euery A-module M,
the canonical mapping M -+ I I (M/a,M) is surjective and its kernel is aM.

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DEFINITION OF RINGS OF FRACTIONS

5 2.1

(4)If S and T are multiplicative subsets of A, the set ST of products st, where s E S and t E T, is a multiplicative subset. (5) Let 8 be a directed set (with respect to the relation c ) of multiplicative subsets of A. Then T = S is a multiplicative subset of A, as any two SE6 elements of T belong to some subset S E B, hence their product belongs to T. (6) Every intersection of multiplicative subsets of A is a multiplicative subset.

and ab/st depend only on x and y ; for if x E S such that r(sa - sa) = 0, whence
r(st (ta

= als, there exists by hypothesis

+ sb) - st (ta + sb)) = 0

a d r(stab
(w, y)
Hx

+ y = (ta + sb)/st and ( x , y ) Hxy = ab/st define a commutative ring

- stab) = 0. I t is easily verified that the laws of composition

on A, under which 0/1 is the identity element under addition and 1/1

For every subset S of a ring A, there exist multiplicative subsets of A containing S, for example A itself. The intersection of all these subsets is the smallest multiplicative subset of A containing S; it is said to be generated by S. I t follows immediately that it is the set consisting of all the finite products of elements of

is fie unit element. Moreover, it is immediate that h is a ring homomorphism a d that, for all s E S, s/1 is invertible in A, its inverse being 1/s. Finally let B be a
ring and u : A -+ B a homomorphism such that the elements u ( S ) are invertible in B; there exists a unique mapping u : A -+B such that

S. PROPOSITION 1. Let A be a ring and S a subset o A. There exists a ring A and a f homomorphism h o A to A with thefollowing properties: f (1) the elements o h ( S ) are invertible in A ; f (2) for every homomorphism u ofA to a ring B such that the elements o u ( S ) are f invertible in B, there exists a unique homomorphism u o A to B such that u = u h. f
0

(2)

u(a/s) =

u(a)(u(s))-l

(aEA,sES).

Q/S = a/s, there exists t E such that t (sa - sa) = 0, whence u(t)(u(s)u(a) - u ( s ) u ( a ) ) = 0 and, as u ( t ) , u ( s ) and u(s) are invertible, u(u)(u(s))- = u ( a ) ( u ( s ) ) - l I t is easily verified that u is a homomorphism . with respect to addition and multiplication; finally, clearly u 0 h = u and u is

If

the only homomorphism satisfying this relation, as it implies u(a/s) = u((a/l)(l/s)) = u(1/5)u(a/1) = u(l/s)u(a)

I n other words, (A, h ) is a solution of the universal mapping problem (Set Theory, Chapter IV, 5 3, no. 1) with the following conditions: the species of structure X considered is that of a ring, the morphisms are ring homomorphisms and the a-mappings are homomorphisms of A to a ring such that the image of S under such a homomorphism consists of invertible elements. Recall (loc. cit.) that, if (A, h ) and (A;, h,) are both solutions of this problem, there exists a unique isomorphismj: A -+A; such that h, = j o h. Let be the multiplicative subset ofA generated by S. Clearly every solution of the above universal mapping problem is also a solution of the universal mapping problem obtained by replacing S by S and conversely. Consider, in the set A x S, the following relation between elements (a, s),

and 1 = u(l/l) = ~(s/l)u(l/s) u(s)u(l/s), whence formula (2). =

DEFINITION 2. Let A be a ring, S a subset o f A and

&d by S . The ring o fractions o f A dejined by S and denoted by A[S-]] is the quotient f stt ofA x S under the equivalence relation (1) with the ring structure dejined by
(a/s)

s the multiplicative subset gener-

+ ( b / t ) = (ta + sb)/st,

(a/s)(blt) = ( a b ) / ( s t )

fw

Q,

b in A, s, t in S. The canonical matping o f A to A[S-l] is the homomorphism

(u, 5 ) :

a I+- ./I, which makes A[S-l] into an A-algebra.

(1)

There exists t E

s such that t (sa - sa) = 0.

s

This relation is a n equivalence relation: it is clearly reflexive and symmetric; it is transitive, for if t(sa - sa) = 0 and t(sa - f a ) = 0, then tts(sa - sa) = 0 and tts E Let A be the quotient set ofA x S under this equivalence relation; for every ordered pair (a, s) E A x we denote by a/s the canonical image of (a, s) in A and we set h(a) = all for all a E A. We shall see that A can be given a ring structure such that the ordered pair (A, h) solves the problem. a/s and y = b/t be two elements of A. The elements (ta + sb)/st Let x

In this chapter we usually denote this canonical mapping by i:; the proof of b p s i t i o n 1 shows that the ordered pair (A[S-l], iz) satisfies the conditions
ofthe statement of this proposition.

s.

I =

(1) Clearly A[S-l] = ASlRmr s [ -. e ak ] TWO elements of A[S-l] can always be written in the form a/s and a/s i A, s E S) with the same denominator s, for if b/t and b/t are two n ents of A[S-I], then b/t = bt/tt and blt = bt/tt.

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5 2.1

(3) The kernel of i is the set of a E A such that there exists s E satisfying z sa = 0; for i: to be injective, it is necessary and sufficient that S contain no divisor of zero in A. (4) If S contains a nilpotent element, then 0 E and the ring A[S-l] is reduced to 0; this follows easily from Definition 2. (5) For i to be a bijection, it is necessary and sufficient that every element z s E S be invertible in A: the condition is obviously necessary, since s/1 is invertible in A[S-']; it is sufficient, since for all t E t is therefore invertible in A and a/t = a t - l / l in A[S-l]; hence i: is surjective and it has already been seen in Remark 3 that it is injective. Then A and A[S-'] are identified by means of iz.

Suppose now that f is injective. Let a/s be an element of the kernel off '. As the there is an element s1 E s such that multiplicative subset generated by T isf f(sl) f (a) = 0, whencef (sla) = 0 and consequently sla = 0 sincef is injective; then a{s = 0, which proves that f is injective.

(s),

s,

Remark (6). If the elements of T are invertible in B, B[T-l] is identified with B by means of the isomorphism :i andf then becomes identical with the unique homomorphism u' of A[S-l] to B such that ut o i = f. z

COROLLARY 1. Let A be a ring, S a subset of A and u an injective homomorphism of A to a ring B such that the elements of u ( S ) are invertible in B. The unique homomorphism u ofA[S-l] to B such that u' o i = u is then injective. ' t
This is an immediate consequence of Proposition 2 and Remark 6.

Example ( 7 ) . If R is the set of elements in A which are not divisors of 0, the ring A[R-l] is precisely what we have called the ring o f fractions of A (Algebra, Chapter I, 3 9, no. 4) ; to avoid any confusion we shall often call it the total ring of fractions of A. I n particular, if A is an integral domain, A[R-'] is thejeld of fractions of A (loc. cit.).

2. Let A be a ring and S and T two subsets ofA such that S c T. There exists a unique homomorphism i2sfrom A[S-'] to A[T-l] such that ilf = i2" iz.
COROLLARY
0

PROPOSITION 2. Let A, B be two rings, S a subset ofA, T a subset ofB andf a homomorphism from A to B such that f (S) c T. There exists a unique homomorphism f from A[S-'] to B[T-l] such that f '(a/l) = f ( a ) / lfor all a E A. Supposefurther that T is contained in the multiplicative subset ofB generated byf (S). Then, ;ff is surjective (resp. injective) so is f
I.

For a l ~ E A i;f."then maps the element l , in A v - l ] .

a/s in

A[S-l] to the element a/s

The first assertion amounts to saying that there exists a unique homomorphism f A[S-l] -+ B[T-l] giving a commutative diagram:
I :

Remark (7). Note that, if ix is injective, so is if." (Corollary 1). This is what happens if T is the set R of elements of A which are not divisors of 0; then it is possible to identify A[S-I] with the subring of the total ring of fractions generated by A and the inverses in A[R-l] of the elements of S.

d B

GROLLARYB, C be three rings, S (resp. T, U) a rnult$licative subset ofA 3. Let A, (mp. B, C),$ A + Byg : B -+ C two homomorphisms and h: A -+ C the composite
d r p h i s m g 0 f ; suppose t h a t f ( S ) c T, g(T) c U. Letf': A[S-'] --+ B[T-'], B': BF-11 -+ C[U-l], h': A[S-'] --f C[U-'] the homomorphisms corresponding bfi g, h; then h = g' of'. '

Now the relation f (S) c T implies that i:( f (s)) is invertible in B[T-'] for all s E S and it is sufficient to apply Proposition 1 to :i of. I t follows easily from (2) that, for all a E A and s E (multiplicative subset o f A generated by S),

follows easily from the definitions.

(3)

f (a/$) = f (4If(J)'
I.

S C T c U,then i 2 S
LURY

In Particular, if S,

T, U are three multiplicative subsets of A such that

= i:*T
0

Suppose that T is contained in the multiplicative subset generated byf(S) , which is preciselyf(s). Then it follows from (3) that, iff is surjective, so is f
58

4. Let S be a subset of a ring A, B a subring ofA[S- l] containing i:(A) he set i:(A). Let j be the canonical injection o B info A[S-l]; the unique f hism g from B[S'-l] to A[S-l] such that g i: = j is an isomorphism.
0

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5 2.2

The mapping g is injective by Corollary 1; the ring g(B[S'- '1) contains i t ( A ) and the inverse of the elements of S'; hence it is equal to A[S-l]. If A is an integral domain and 0 $ S, the notation A[S-l] agrees with that of Algebra, Chapter IV, 3 2, no. 1 ;also, if S is multiplicative, A[S- 1 coincides in this ' case with the set denoted by S-lA in Algebra, Chapter I, 5 1, no. 1. As an extension of notation,for any multiplicative subset S o f a ring A, we henceforth denote by S- IA the ring of fractions A[S- ']. If S is the complement o a prime ideal f p of A, we write A, instead of S-lA. If A is an integral domain and 0 $ S, S-lA is always identified with a subring of thejield o fractions of A, containing A (Remark 7). f

2. MODULES OF FRACTIONS

The canonical homomorphism i t : A -+ A[S-l] defined in no. 1 allows US to consider every A[S-l]-module as an A-module. PROPOSITION 3. Let A be a ring, S a subset of A, M an A-module, M' the A-module M 8, A[S - '1 and f the canonical A-homomorphism x Hx @ 1 of M to M'. Then : (1) For all s E S , the homothety z Hsz of M' is bijective. (2) For every A-module N such that, f o r all s E S , the homothety y H sy of N is bijective, and every homomorphism u of M to N, there exists a unique homomorphism U' o M' to N such that u = u' of. f I n other words, (M', f)is a solution of the universal mapping problem (Set Theory, Chapter IV, 5 3, no. 1) with the following conditions: the species of structure X is that of an A-module in which the homotheties induced by the elements of S are bijective, the morphisms are A-module homomorphisms and the a-mappings are also A-module homomorphisms. For every A-module N and all a E A, denote by ha the homothety y H ay in N; a ++ha is then a ring homomorphism from A to End,(N). T o say that ha is bijective means that ha is an invertible element of End,(N). Suppose that, for all s E S, h, is invertible in End,(N) ; the elements ha, where a E A, and the inverses of the elements h,, where s E S, then generate in End,(N) a commutative subring B and the homomorphism a H ha from A to B is such that the images of the elements of S are invertible. Then it follows (no. 1, Proposition 1) that there exists a unique homomorphism h' of A[S-l] to B such that

we know (Algebra, Chapter 11, 3 1, no. 14) that such a homomorphism defines on N an A[S-l]-module structure such that (a/s).y = h;l(a.y); the A-module derived from this A[S-l]-module structure by means of the homomorphism i: is precisely the structure given initially. Conversely, if N is an A[S-l]-module and it is considered as an A-module by means of it,the homotheties y Hsy, for s E S, are bijective, for y H(l/s)y is the inverse mapping ofy Hsy; and the A[S-l]-module structure on N derived from its A-module structure by the process described above is the A[S-l]module structure given initially. Thus there is a canonical one-to-one correspondence between A[S-l]-modules and A-modules in which the homotheties induced by the 6 b t S ofS are bijective; moreover, if N, N' are two A-modules with this property every A-module homomorphism u : N + N' is also a homomorphism of the A[S-l]-module structures of N and N', as, for ally E N and all s E S, we may write u(y) = u ( s . ( ( l / s ) y ) )= s . u ( ( l / s ) y ) , whence u((l/s)y) = ( I / s ) u ( y ) ; the converse is obvious. This being so, the statement of Proposition 3 is just the characterization of the module obtained from M by Extending the scalars to A[S-l], taking account of the above interpretation (Algebra, Chapter 11, 3 5 , no. 1, Remark 1).

DEFINITION 3. Let A be a ring, S a subset of A, s the multiplicative subset ofA generated by S and M an A-module. Then the module o fractions of M dejned by S and f
&noted by M[S-l] or S - l M is the A[S-l]-module M @,A[S-l].

In this chapter we shall usually denote by ik the canonical mapping m t+m @ 1 of M to M[S-l].

Rmzarks (1) Clearly M[S-l] = M[S-l]. (2) F o r m E M a n d s E Swealsowritern/sfortheelementm @ (l/s) ofM[S-']. Every element of M[S-1] is of the form, for such an element is of the form
% @ (a,/s), where m,E M, a, E A, s E S (no. 1, Remark 2), and

m, 3 ( a h ) = (a1mJ 3 (1/5),

hmce
(4) (5)

m, @ (a,/s)

m 3 (l/s), where m

aim,. Then

h'(a/s) =
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3 2.2
s =

(3) If S is the complement of a prime ideal p of A, we write Mp instead of S - lM. (4) Let M be an A [ S - l]-module; if M is considered canonically as an A-module, i t is a bijection, for the ordered pair consisting of M and the identity mapping
1, is also trivially a solution of the universal mapping problem solved by M[S-l] and iz. Then M is identified with M[S-l].

proposition 4 there exist si

m, = 0 for all i and hence sM

S such that simi = 0.

0 and, taking

slsZ. . .s, ,,

COROLLARY 3. Let M be ajnitely generated A-module. For an ideal a o A to be such f that aM = M, it is necessary and suficient that there exist a E a such that (1 + a)M = 0. Clearly the relation (1 a)M = 0 implies M = a M . To prove the converse we use the following lemma :

PROPOSITION 4. Let S be a multiplicative subset ofA and M an A-module. For mls = 0 ( m E M, s E S), it is necessary and sufiient that there exist s E S such that sm = 0.
Ifs E S is such that sm = 0, clearly m/s = (sm)/(ss) = 0. Conversely, suppose that m/s = 0. As 1/s is invertible in S - lA, m/ 1 = 0. For every sub-A-module P of S-lA containing 1, we denote by @(P, ) the image of (m, 1) under the canonim cal mapping of M x P to M @A P; then p(S-A, m ) = 0. We know (Algebra, Chapter 11, 5 6, no. 3, Corollary 4 to Proposition 7) that there exists ajnitely generated submodule P of S-lA containing 1 and such that p(P, m) = 0. For all t E S we denote by A, the set of a/t, where a E A; as P is finitely generated, m) there exists t E S such that P c A, (no. 1, Remark 2), whence @(A,, = 0. The mapping a H a/t from A to A, is surjective; let B be its kernel. I t defines a surjective mapping h : M @A A -+ M @A A,, whose kernel is BM (M being m) identified with M @ A ) ; then @(A,, = h(tm) and consequently tm can be expressed in the form him,, where 6, E B, mi E M (1 < i < r ) . A s bi/t = 0 i=l for 1 < i < r, there exists t E S such that tb, = 0 for 1 < i < r, whence t tm = 0, which proves Proposition 4. COROLLARY 1. For mls = m/s in S-lM, it is necessary and sujicient that there exist t E S such that t (sm - sm) = 0.

LEMMA1. For every ideal a of A, the set S o elements 1 + a, where a E a, is a multif bluative subset o A and the set a o f elements o S- lA o f the form als, where a E a and f f s E S, is an ideal contained in the Jacobson radical of S- lA. The first assertion is obvious, as well as the fact that a is an ideal of S-lA. On the other hand, (1/1) + (a/s) = (s + a ) / s and s + a E S for all s E S and a E a by definition of S ;hence (1/ 1) + (a/s)is invertible in S - lA for all a/s E a, which completes the proof of the lemma (Algebra, Chapter VIII, 3 6, no. 3, Theorem 1). This being so, if we set N = S-lM, clearly N is a finitely generated S-lAmodule; if aM = M, then aN = N and it follows that N = 0 by Nakayamas k m m a (Algebra, Chapter VIII, 5 6, no. 3, Corollary to Proposition 6) ; the corollary then follows from Corollary 2.
Let A, B be two rings, S a multiplicative subset of A, T a multiplicative subset ofB and f a homomorphismfrom A to B such that f (S) c T. Let M be an A-module, N a B-module and u an A-linear mapping from M to N. Then there exists a unique S-lA-linear mapping ufrom S - l M to T - l N such that u(m/l) = u ( m ) / l for all m E M. The mapping i: o u from M to T - l N is A-linear. Moreover, if s E S, then f ( s ) E T, hence the homothety induced by s on T- IN is bijective. The existence and uniqueness of u then follow from Proposition 3. Then, for m E M and s E s,
~OPOSITION 5.

(mls) - (m/s)

(sm - sm)/ss.
=

COROLLARY 2. Let M be a finitely generated A-module. For S-lM necessary and sujicient that there exists s E S such that SM = 0.

0, it is

(6)

u(m/s)

u(m>lf(s).

Without any conditions on M, clearly the relation SM = 0 for some s E s implies S - l M = 0. Conversely, suppose that S - l M = 0 and let (mi) , be a , system of generators of M; the mill generate the S-lA-module S-lM, hence to say that S - l M = 0 amounts to saying that m,/l = 0 for 1 < i < n; by

6 a homomorphism from B to C such that g(T) c U, P a

bar mapping from N to P and v
w a t e d with v. Then
\

with the Same notation, let C be a third ring, U a multiplicative subset of C,

C-module, v a Bthe T-B-linear mapping from B to U -lP
=

(7)

(v 0 u)

v u
0

62

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. s T

CIIANGE OF MULTIPLICATIVE SUBSET

',2

Q 2.3

where the left hand side is the A-linear mapping S - l M --f U - l P associated with v 0 u. Similarly, if u1 is a second A-linear mapping from M to N, then

iz = T-lM. Itthe easily verified mapsi;" element m/s of S - lisMa third multiplii:; mapping i' : the to the element m/s of is that lM.If U
0

(8)

(u

+ u,)'

= u'

+ u;,

cative subset of A such that T c U, then i;" = izT i;"; moreover, if u : M -+N is an A-module homomorphism, the diagram
0

the left-hand side being the A-linear mapping S - lM --f T - l N associated with u ul.

Remark (5). If, in Proposition 5, we take B = A, T = S and f = lA,it is easily seen that u' is just the mapping u @ 1: M @ S - l A - t N @ S-lA. We shall henceforth denote it by S-lu; if S is the complement of a prime ideal p of A, we write up instead of S-lu.

is commutative.
~OPOSITION

7. Let A be a ring and S , T two multiplicative subsets of A.

PROPOSITION 6. Let f be a homomorphism from a ring A to a ring B and S a multiplicative subset of A. There exists a unique mapping j from ( f (S))- lB to S- lB (where B is considered as an A-module by means o f f ) such that j ( b / f(s)) = b/sfor all b E B, s E S. I f f ' : S-'A -+( f (S))-lB is the ring homomorphism associated w i t h f (no. 1, Proposition 2), then j f ' = S- 'f. The mapping j is an isomorphism o the S - 'Af module structure on ( f (S))-lB defined by f' onto that on S-lB and also of the B-module structure on ( f ( S ) )-lB onto that on S-lB (resulting from the dejnition
0

Set T' = i(Tz).

(i) There exists a unique isomorphism j from the ring (ST) -lA onto the ring T'-l(S-lA) such that the diagram

S-lB = (S-lA) @AB). If b, b' are in B, s, s' in S, the conditions b/s = b'/s' and b / f (s) = b'/f (s') are equivalent, as follows from Corollary 1 to Proposition 4,which establishes the existence o f j and shows that j is bijective; the uniqueness of j is obvious. Clearly j is an additive group isomorphism. If a E A, b E B, s E S, t E S , then

is commutative.

( b / f ( t ) )= f ' ( a l J ) ( b l f ( t ) )= f ( 4 l f ( S ) ( b l f ( t ) ) =
0

( f (a)b)lf(st),

(ii) Let M be an A-module. There exists an (ST)-'A-isomor$~hism k from the (ST)-lA-module (ST) - l M onto the T'-l(S-lA)-moduZe T'-l(S-lM) such that the diagram
M

from which its follows that j is (S-lA)-linear. Clearly j f = S - l f . Finally, if b E B, 6' E B, s E S, thenj(b. (b'/f(s)) = j ( b b ' l f ( s ) ) = bb'/s = b . (b'js), which proves the last assertion. The mappingj of Proposition 6 is called the canonical isomorphism of (f S ) )-lB ( onto S-lB. These two sets are in general identified by means off; then f ' = S-lf, ig = i;(').
3. CHANGE OF MULTIPLICATIVE SUBSET is commutative.

+ S-lM iL

(ST)-lM

7 T'-l(S-lM)

Let A be a ring, S a multiplicative subset of A and M an A-module. If T is a multiplicative subset ofA containing S, it follows from Proposition 5 of no. 2 that there exists a unique %'A-linear mapping i :': S-IM --f T - l M such that
64

(i) use the definition of ( S T )-lA as the solution of a universal mapping Problem. Let B be a ring and f a homomorphism from A to B such thatf(ST) W d t s of invertible elements. As f (S) consequently consists of invertible dements, there exists a unique homomorphismf' :S - 'A +B such thatf =f o i ' z (no. 1, Proposition 1). For all t E T,f'(iz(t)) f ( t )is invertible in B by hypo= &&, hencef'(T) consists of invertible elements; then there exists, by no. 1, h P d t i o n 1, a unique homomorphism f"from T'-l(S-lA) to B such that =f" 0 whencef =f o u, setting u = IA zA. .S

w e

iz-lA,

iz-

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$2.4

Moreover, iff T'-l(S-IA) +B is a second homomorphism such that .' T f o u = f, then ( fl 0 ir-lA)iz = ( f" o iF-lA) 0 iz, whence f10 zS-lA = o f " o i z - I A and consequentlyf l =f". As the images under u of the elements of ST in T'-l(S-lA) are invertible, the ordered pair (T'-l (S-lA), u) is a solution of the universal mapping problem (relative to Aand ST) considered in no. 1. Thisshows theexistence and uniqueness of j . (ii) The proof is completely analogous with that of (i), using in this case no. 2, Proposition 3, and is left to the reader.

r:

canonical mapping
4

lA to lim S; lA, there exists a unique isomorphism j from + lim SglA to S-lA such thatj 0 p = pa for all u E I. ;

of S;

PROPOSITION 8. Let A be a ring and S , T two multiplicative subsets o A such that f S c T. Thefollowing properties are equivalent: (a) The homomorphism iz': S-lA -+ T - l A is bijective. (b) For every A-module M, the homomorphism i:': S-lM -+ T - l M is bijective. (c) For all t E T, there exists a E A such that at E S (in other words, every element of T divides an element of S). (d) Every prime ideal which meets T meets S.

For u < p < y, pya = pup 0 poa (no. 1, Corollary 3 to Proposition 2), hence (SglA, ppa) is a direct system. We write A' = lim SilA; as pa = pp 0 poa for --+ a < p (no. 1, Corollary 3 to Proposition 2), ( p a ) is a direct system of homomorphisms and j = lim pa is the unique homomorphism from A' to S-lA --+ such that j o p& = pa for all a E I. The homomorphisms p& o i z a : A -+ A' are all equal, for poa 0 i z a = i z B for a < p; let u be their common value. Clearly the elements of u(S) are invertible in A', which shows that there exists a homomorphism h: S-lA +A' such that h 0 iz = u (no. 1, Proposition 1). Then
johoit =jou
,
=jop&oi$a
o

= p,oizcl

is A

for all u E I and consequentlyj the other hand, for all a E I,

h is the identity automorphism of S-'A. On

h o j o p & o i ~ a = h o p , o i z a = h o i z = u = p& 0 i z u ,

It has been seen above that i;." = 1, @ iz", which immediately proves the equivalence of (a) and (b). Set T' = iz(T) then (Proposition 7) T-lA is identi; fied with T'-l(S-lA) and (a) is equivalent to saying that the elements of T' are invertible in S-lA (no. 1, Remark 5). Now, to say that ( t / l )(a/s) = 1/1 ( t E T, a E A, s E S) means that there exists s' E S such that tas' = ss', which shows the equivalence of (a) and (c). We show that (d) implies (c). Let t be an element ofT and suppose that t / l is not invertible in S-lA; then there exists a maximal ideal m' of S-lA containing t / l (Algebra, Chapter I, $ 8, no. 7, Theorem 2) and p = -l(m') is a prime ideal of A containing t and not meeting S (since the image under iz of an element of S is invertible). Conversely, if there exists a prime ideal p which meets T without meeting S, then no element of p n T can divide an element of S; this proves that (c) implies (d) and completes the proof. It follows from Proposition 8 that, amongst the multiplicative subsets T of A containing S and satisfying the equivalent conditions of Proposition 8, there exists a greatest, consisting of all the elements of A which divide an element of s (cf. Exercise 1).

whence h o j 0 p& = p& for all u E I ; it follows that h 0 j is the identity automorphism of A' and consequentlyj is an isomorphism. COROLLARY. Un&r the hypotheses o Proposition 9, let M be an A-module. We write f for u < p, f = iZsafor all u E I and let f: be the canonical mapping , fim S l M to lim S i lM; then there exists an S- lA-isomorphism g o f S - l M onto ; ---f lim SglM such that g 0fa = f for all a E I. 3
fM =

(it)

T'he corollary follows immediately from the definitions S; l M = M @A S lA ; a d S-lM = M @A S-IA and the fact that taking direct limits commutes with tensor products (Algebra, Chapter 11, $ 6, no. 3, Proposition 7).
4. PROPERTIES O F MODULES OF FRACTIONS

Throughout this no., A denotes a ring and S a multiplicative subset o f A.

PROPOSITION 9. Let I be a right directedpreordered set, (Sa)aoI an increasingfamily of multiplicative subsets . f a ring A and S = a o 1 S. W e write poor= i ~ " a f 0 r u < p, , pa = izpsa. Then (SllA, ppa) is a direct system o Zings and, 8for all u E I, p is the f ;

Let (Ma,C$ea) be a direct systemofA-modules; then (S-lM,, S-lC$oa) a direct is S-lA-modules and the fact that taking direct limits commutes with tmsor products (Algebra, Chapter 11, $ 6, no. 3, Proposition 7) allows us to define a canonical isomorphism
System of

66

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PROPERTIES OF MODULES OF FRACTIONS

3 2.4

Similarly, the fact that taking direct sums commutes with tensor products (Algebra, Chapter 11, fj 3, no. 7, Proposition 7) allows us to define for every family (M,), of A-modules a canonical isomorphism

(ii) For every submodule N of M, the submodule ( S - lN) o f M consists of those m E M for which there exists s E S such that sm E N. (iii) is an isomorphism (for the orderings deJined by inclusion) o the set of subf s-1A-modules o f S- l M onto the set of submodules Q of M which satisjjy thefollowing condition :

Finally we note that, if an A-module M is the sum of a family (N,)L E I of submodules, S - l M is the sum of the family of sub-S-lA-modules generated by the i$(N,). Then it follows that, if M is a finitely generated A-module (resp. finitely presented A-module), S-lM = S-lA @A M is a finitely generated S - A-module (resp. finitely presented S- lA-module).

(MS) I f s m E Q, where s E S , m E M, then m E Q.

Obviously S-+(N) c N; conversely, if n = m/s E N, then m / l E N, hence and consequentlyn E S-(+(N)) ;whence (i). For an element m E M to be such that m E +(S-N), it is necessary and sufficient that m / l E S-lN, that is that there exist s E S and n E N such that m / l = n/s; this means that there exists S E S such that ssm = sn E N, whence (ii). Finally, the relation ~mE I$() is equivalent by definition to sm/l E N and as s/1 is invertible in S-lA, this implies m / l E N, or m E +(N),hence +(N)satisfies condition (MS) ; on the other hand, it foliows from (ii) that, if N satisfies (MS), then +(S-) = N,which completes the proof of (iii).
m E I$()

THEOREM 1. The ring S-lA is a j u t A-module (Chapter I, 3 2 , no. 1, Definition

2).

If u : M -+ M is an injective homomorphism of A-modules, it is necessary to establish that S-lu: S-lM + S-lM is injective. Now, if m/s (m E M, s E S) is such that u(m)/s = 0, this implies the existence of an s E S such that su(m) = 0 (no. 2 , Proposition 4) or u(sm) = 0 ; as u is injective, it follows that sm = 0, whence m/s = 0. The fact that S-lA is a flat A-module allows us to apply to it the results of Chapter I, 3 2. In particular: (1) If M is an A-module and N a submodule of M, S- lN is canonically identified with a submodule of S-lM generated by iL(N) (Chapter I. 3 2 , no. 3, Remark 2 ) ; with this identification, S-(M/N) is identified with (S-lM)/(S-lN) and, if P is a second submodule of M, then S-l(N

The submodule +(S-lN) is called the saturation ofN in M with respect to S , and the submodules satifying condition (MS) (and hence equal to their saturations) are said to be saturated with respect to S. The submodule +(S-lN) is the kernel of the composite homomorphism

M --+ M/N h

%S-lM/S-lN

where h is the canonical homomorphism, as follows from the commutativity of the diagram

+ P) = S-lN + S-IP,

S-I(N n P)

S-lN n S-lP

(Chapter I, 5 2, no. 6, Proposition 2). ( 2 ) If M is ajnitely generated A-module, then

(9)

S-l Ann(M) = Ann(S-lM)

(Chapter I, 3 2, no. 10, Corollary 2 to Proposition 12). PROPOSITION 10. Let M be an A-module. For every submodule N of the S- lA-module S-lM, let +(N) be the inverse image o f N under i&. Then: (i) S+(N) = N.
68

If S is the complement in A of a prime ideal p, +(S-lN) is also called the S4twation ofN in M with respect to p.
COROUARY

1. Let N1, N2 be two submodules of an A-module M. For S-N1 c S-lN,, it is necessary and su$Ecient that the saturation of N, with respect to be contained in that o N2. f
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IDEALS IN A RING OF FRACTIONS

0 2.5

COROLLARY 2. If M is a Noetherian (resp. Artinian) A-module, S-lM is a Noetherian (resp. Artinian) S-lA-module. In particular, f the ring A is Noetherian i (resp. Artinian), so is the ring S-lA.

5. IDEALS IN A RING OF FRACTIONS

joint from S : for no element a E S can satisfy sa E t for some s E S, since it would follow that sa E t n S. We conclude that, if t is maximal among the ideals of A meeting S, it is maximal in 5. Similarly, if t is a prime ideal not meeting S, it satisfies condition (MS) of no. 4, Proposition 10 by definition of prime ideals and hence belongs to 5 This completes the proof of (ii). (iii) Suppose that q' is prime and such that q is also prime. The set T = A q is a multiplicative subset of A which contains S, whence ST = T. we write T' = iz(T);it follows from no. 3, Proposition 7 (i) that there exists a unique isomorphismj of T-'A = A, onto T'-l(S-lA) such that

PROPOSITION 11. Let A be a ring and S a multiplicative subset o f A. For every ideal 6' ofS-lA, let b = (i:)-l(b') be such that 6' = S-lb. (i) Let f be the canonical homomorphism A -+ A/b. The homomorphismfrom S- 'A to ( f (S))-l(A/b) canonically associated with f (no. 1, Proposition 2) is surjective and its kernel is b', which deJines, by taking quotients, a canonical isomorphism o f (S-'A)/b' onto ( f (S)) -l(A/b).Moreover, the canonical homomorphismfrom A/b to ( f ( S ) )- (A/b) is injective. (ii) The mapping b' Hb = (i:) - l(b') , restricted to the set o f maximal (resp. prime) ideals of S-lA, is an isomorphism (with respect to inclusion) of this set onto the set o f ideals of A which are maximal among those which do not meet S (resp. the set of prime ideals of A not meeting S ) . (iii) Ifq'is aprime ideal of S - 'A and q = (i:) - l(q') ,there exists an isomorphism of the ring o f fractions A, onto the ring (S-lA),,, which maps a/b to ( a / I ) / ( b / l )where , q. a E A, b E A (i) ( f (S))-l(A/b) can be identified with S-l(A/b) by means of the canonical isomorphism between these two modules (no. 2, Proposition 6). The exact sequence 0 --f b --f A -+ A/b -+ 0 then induces an exact sequence

where a E A and b E T. On the other hand T' obviously does not meet q'; conversely, let a/s E S- lA; since 11s is invertible in S - lA, the condition a/s $ q' is q' = equivalent to i:(a) = all 4: q' and hence to a 4: q; it follows that S-lA S-lT' and hence, by Proposition 8 of no. 3, T'-l(S-lA) = (S-lA)qt.

The isomorphism defined in (iii) is called canonical. If A is an integral domain, the canonical isomorphisms of A, and (S-lA)q, onto subrings of the field of hctions K of A have the same image.
Remark. For an ideal a of A to satisfy S-la = S-IA (or, what amounts to the same thing by no. 4, Theorem I, S-l(A/a) = 0), it is necessary and sufficient that a n S # 0 , as follows immediately from the definitions.

COROLLARYLet A be a ring and S a multiplicative subset o f A. Every ideal p ofA 1. which i maximal among those which do not meet S is prime. s

By Proposition 11, the hypothesis on p means that p = (i:)-'(m'), m' is a maximal ideal of S-lA; as m' is prime, so is p.
(no. 4, Theorem 1) whose existence proves the first assertion of (i), taking account of the fact that 6' = S-lb. Since b is saturated with respect S, the conditions a E A, s E s, as E b imply a E 6; the homothety of ratio s on A/b is then injective, which proves the second assertion of (i). (ii) We note first that the relation b' = S-lA is equivalent to the relation b n S # 0 , the latter expressing the fact that b' contains invertible elements of S-lA. I t followsfromno. 4, Proposition 10 (iii) that 6' H b = (i:)-l(b') isan isomorphism (with respect to inclusion) of the set of ideals of S-IA distinct from S-lA onto the set 5 ofideals ofA not meeting Sand satisfying condition (MS) of Proposition 10. If b' is maximal (resp. prime), clearly 6' is maximal in 5 (resp. prime) and conversely (by (i)). On the other hand, if t is an ideal of A disjoint from S, its saturation tl with respect to S is an ideal of A containing t and dis70
COROUARY

where

2. Let A be a ring and S a multiplicative subset o f A. For every ideal a o f A not meeting S t h e exists a prime ideal containing a and not meeting S.

s-'!
-g
~ ~

# S-IA (Remark) and hence there exists a maximal ideal of S-lA conS-la (Algebra, Chapter I, 8, no. 7, Theorem 2) and the corollary O from Proposition 11 (ii). W S 3. Let A, B be two rings, p a homomorphismfrom A to B and p a prime
= p,

cOROLLAR~

&d a ..ii:*

$A. For there to exist a prime ideal p' ofB such that pl(p')
that pl(Bp(p)) = p.

it is necessary

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NILRADICAL AND MINIMAL PRIME IDEALS

$2.6

If there exists an ideal p' of B such that pl(p') = p, then p(p) c p', whence Bp(p) c p' and >'(Bp(p)) c pl(p') c p; as the converse inclusion is obvious,
ol(Bp(p)) = p. Conversely, suppose that pl(Bp(p)) = p and consider the multiplicative subset S = p(A p) of B; the hypothesis shows that

6. NILRADICAL AND MINIMAL PRIME IDEALS

In a (commutative) ring A the set of nilpotent elements is an ideal, for if x, y are elements of A such that xm = y" = 0, then ( x y),+, = 0 by the binomial theorem.

S n Bp(p)

= 0;

by Corollary 2 there exists a prime ideal p' of B containing Bp(p) and not meeting S; then pl(p') contains p and cannot contain any element of A and hence is equal to p.

DEFINITION 4. The ideal of nilpotent elements of a (commutative) ring A is called the nilradical o f A. If a is an ideal of A, the inverse image, under the canonical mapping A -+ A/a, of the nilradical o A l a is called the radical of a. f

-p

COROLLARY 4. Let A, B be two rings and p a homomorphismfrom A to B. (i) Suppose that there exists a B-module E such that p,(E) is a faithfullyJlat Amodule. Then,for every prime ideal p of A, there exists a prime ideal p' of B such that
P1(Pf) = P.

We often denote by r(a) the radical of an ideal a of A. To say that an element x E A belongs to the radical of a means therefore that there exists an integer n > 0 such that xn E a. Iff is a homomorphism from A
to a ring B and b is an ideal of B, the radical off (b) is the inverse image under f of
the radical of 6, for to say that xn Ef (b) means that ( f (x))" E 6.
-1 -1

(ii) Conversely, suppose that B is ajlat A-module. Then, ;f,for every prime ideal p of
;'(PI)

A, there exists an ideal p' ofB such that

= p,

B is afaithjiullyj7at A-module.

(i) The hypothesis implies that, for every ideal a of A, i1(Bp(a)) = a (Chapter I, 3 3, no. 5, Proposition 8 (ii)) and it is sufficient to apply Corollary 3. (ii) It is sufficient to show that, for every maximal ideal rn of A, there exists a maximal ideal r' of B such that D'(rn') = rn (Chapter I, n

The nilradical of a ring A is contained in its Jacobson radical (Algebra, Chapter VIII, 3 6, no. 3, Corollary 3 to Theorem 1) but may be distinct from it; it is always equal to it if A is Artinian (Algebra, Chapter VIII, 3 6, no. 4, Theorem 3). We say that a prime ideal p of a ring A is a minimal prime ideal if it is minimal the set of prime ideals of A ordered by inclusion.

5 2, no. 5, Proposi-

PRoPosmoN 12. Let p be a minimal prime ideal o f a ring A. For all x s E A p and an integer k > 0 such that sxk = 0.

p, there exists

tion 9 (e)). Now there exists by hypothesis an ideal q ofB such that i l ( q ) = rn; as q # B, there exists a maximal ideal rn' of B containing q and consequently
-1

p ( ' 3 rn; but, as m)

i1(rn') cannot contain 1, p (n) r'

-1

rn.

The set S of elements of the form sxk (k an integer > 0, s E A p) is a multiplicative subset of A. If 0 4 S, there would exist a prime ideal p' not meeth g S (no. 5, Corollary 2 to Proposition 11). Then p' = p and p' # p since # p', contrary to the hypothesis that p is minimal.
~ O P O S I T I O N 13. The nilradical o f a ring A is the intersection of all the prime ideals of A and it is also the intersection o f the minimal prime ideals o f A.

COROLLARY 5. Let A be a ring, S a multiplicative subset ofA and B a ring such that if(A) B c S - I A . Let q be aprime ideal ofB such that theprime ideal p = (iz) ( 9 ) ofA does not meet S and let p' be the prime ideal S-lp o f S- lA. Then p' n B = q.
Let S' = i z ( S ) ; a canonical isomorphism has been defined from S-B to '' S - l A (no. 1, Corollary 4 to Proposition 2) ;we identify these two rings by means of this isomorphism. As q n S' = @, q' = S'-lq is the unique prime ideal of S - I A = S'-lB such that q' n B = (i:)-l(q') = q (Proposition 11 (ii)), whence (iz)-l(q') = p; consequently q' = p' (Proposition 11 (ii)). I n the notation of Corollary 5 , there are canonical isomorphisms of A, and B, onto (S- 'A),. (Proposition 11 (iii)) and hence a canonical isomorphism A, --f B,.
72

clearly, if x E A is nilpotent, it is contained in every prime ideal of A (5 1, no. 1 Definition 1). Conversely, let x be a non-nilpotent element of A; the set , s Of@ (k an integer 2 0) is then a multiplicative subset of A not containing 0 a c l hence there exists a prime ideal p of A not meeting S (no. 5, Corollary 2 to %&tion 11) and afortiori x $ p; this establishes the first assertion. To prove second, it is sufficient to prove

h 2.

Every prime ideal o f a ring A contains a minimal prime ideal o f A.

73

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MODULES OF FRACTIONS OF TENSOR PRODUCTS

3 2.7

I t is sufficient, by Zorn's Lemma, to show that the set P of prime ideals, ordered by the relation 3 , is inductive. Now, if G is a non-empty totally ordered subset of P, the intersection po of the ideals p E G is also a prime ideal: for if x 4 po and y 6 po, there exists an ideal p E G such that x 6 p and y 6 p, whence xy 6 p and a fortiori xy 6 po.

Remark. In 3 4, no. 3, Corollary 3 to Proposition 14, we shall show that in a Noetherian ring the set of minimal prime ideals isfinite; moreover we shall see later that every decreasing sequence of prime ideals in a Noetherian ring is stationary.
COROLLARY 1. The radical o f an ideal a in a ring A is the intersection of the prime ideals containing a and it is also the intersection o f the minimal elements of this set of prime ideals. COROLLARY 2. For an ideal a of a ring A we denote by r(a) the radical ofa. Then,for two ideals o a, b o A, f f

w e write S = A p; then the ring A, = S - l A is identified with a subring of S-IB (no. 1, Proposition 2) and on the other hand A, has only a single prime ideal p' since p is minimal (no. 5, Proposition 11). As S-IB is not reduced to 0 (since it contains A,), it has at least one prime ideal r' and therefore c n A, = p'; if ' -1 j = :i and we write t = j ( t ' ) , then

i z ( c n A) c

t'

n A,

= p'

hence t n A c p and, as p is minimal, t n A = p; moreover, r is prime in B; i f q is a minimal prime ideal of B contained in c (Lemma l), then a fortiori q n A = p since p is minimal.

DEFINITION 5. A ring A is called reduced f its nilradical is reduced to 0, in other words i

if no element # 0 of

A is nilpotent.

r(a n 6) = r(ab) = r(a) n r(b);

in particular, ifa
c

6, then r(a)

r(b).

If 3 is the nilradical of a ring A, A/%is reduced, for if the class mod. % of an this means that xh E % for some integer h, clement x E A is nilpotent in A/%, hence 2 = 0 for some integer k and x E 9. ' PROPOSITION Let A be a ring and % its nilradical. For every multiplicative subset 17. S o A, S-'3 is the nilradical of S - l A . In particular, f A is reduced, then S- ' A is f i dued. If x E A, s E S satisfy ( X I S ) " = x"/s" = 0, there exists s' E S such that S'X" = 0 (no. 1, Remark 3) and a fortiori (s'x)" = 0, hence s'x E % and XIS= s'x/s's E s-'9t; the converse is immediate.

For a prime ideal to contain a n b (or ab), it is necessary and sufficient that it contain one of the ideals a, b (9 1, no. 1, Proposition 1). PROPOSITION 14. For two ideals a, b o a ring to be relatively prime, it is necessary f and sujicient that their radicals c(a) and r(b) be so. The necessity of the condition is obvious since a c r(a) and b c r(b); the condition is sufficient by 1, no. 2, Proposition 3. PROPOSITION 15. In a ring A let a be an ideal and b ajnitely generated ideal contained in the radical ofa. Then there exists an integer k > 0 such that bk c a. Let ( b J l C L 4 , be a system of generators of 6. By hypothesis there exists an , integer h such that b: E a for 1 4 i < n. If a product of nh elements, each of which is a linear combination of the b, with coefficientsin A, is expanded, each term is a multiple of a product of nh factors, each of which is equal to a bi; among these factors, at least h have the same index i for some i, hence, the product belongs to a and nh is the required integer k. COROLLARY. In a Noetherian ring the nilradical is a nilpotent ideal. PROPOSITION Let B be a ring and A a subring ofB. For every minimal prime ideal 16. p o A there exists a minimal prime ideal q o B such that q n A = p. f f
74

7. MODULES OF FRACTIONS OF TENSOR PRODUCTS AND HOMOMORPHISM MODULES

~ P ~ S I T I O N 18.

Let A be a ring and S a multiplicative subset ofA.

(i) IfMandNaretwo A-modules, theS - lA-modules (S- ' M ) @.AN, @A M (S-lM) @s-lA ( S - l N ) and S - l ( M @A N ) are canonically isomorphic. (6)If M and N' are two S-lA-modules, the canonical homomorphism

(s-'N),

M'

@A

N'

--f

M'

@S-IA

N'

derived from the A-bilinear mapping (x', y') Hx' @ y'from M ' x N' to M ' 8 s - 1~ N'
is bijective Assertion (i) is an immediate consequence of the definition S - l M
=

75

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APPLICATION TO ALGEBRAS

5 2.8

M @A S-lA and the associativity of tensor products, which gives to within

canonical isomorphisms (S-lM
&-1A

PROPOSITION 20. Let A, Abe two rings, p: A --f A a homomorphism, S a multiplicative subset o A, S = p (S) and p : S - A -+ - lA the homomorphism correspondf S ing to p (no. 1, Proposition 2).
(i) For euery A-module M there exists a unique S- lA-isomorphism

(S-lN) = (S-lM) & - 1 A (S-lA @ N) = (S-lM) @AN = (S-lA) @A M @AN = S-l(M @ A N ) .

To prove (ii), we note first that in M and N, considered as A-modules, the homotheties induced by the elements s E S are bijective, hence M = S-lM and N = S-lN (no. 2, Remark 4) and similarly S-l(M B A N ) = M @A N; (ii) is then a special case of (i).

j : S-lp*(M) -+ p;(S-lM)
such thatj(m/s) = m/p(s) f o r all m E M, s E S. (ii) For euery A-module M, there exists a unique isomorphism
j : (S-lM) @S-lA (S-A) + S-l(M
@A

COROLLARY. Let M be an A-module and a an ideal o A. The sub-S-lA-modules f (S-la)(S-M), a(S-lM), (S-la)j(M) (where j: M -+ S - l M is the canonical mapping) and S - (aM) of S - M are identical. In particular, if a and b are two ideals o A, then f
(S-a)(S-lb) = a(S-lb) = (S-a)b = S-l(ab).

A)

ofS-A-modules such thatj((m/s) @ (als)) = ( m @ a)/(p(s)s).

Remark. Let M, N, P be three A-modules,$ M x N --f P an A-bilinear mapping and S - y (S-lM) x (S-lN) -+ (S-lP) the S-lA-bilinear mapping obtained from f by extending the ring of scalars to S-lA (Algebra, Chapter IX, 5 1, no. 4, Proposition 1). Let i: M --f S - l M , j : N -+ S-lN be the canonical homomorphisms; it follows immediately that, if Q.is the sub-A-module of P generated byf(M x N), S - l Q i s the sub-S-lA-mod;le of S - l P generated by (S-Y)(i(M) x j(N)).

(i) If we consider S-M as an A-module by means of the composite homomorphism ig,o p, the homotheties induced by the elements of S are bijective, hence there exists a uniquc homomorphismj with the stated property (no. 2, Proposition 3). As p(S) = S, j is surjective; moreover, if m E M, S E S , m/p(s) = 0, there exists t E S such that tm = 0; as there exists t E S such that p(t) = t, t.m = 0 in p,(M), hence m/s = 0 in S-p,(M). (ii) As (S-lM) BS-iA (S-lA) = (M @A S-lA) 6&-iA (S-lA) and

PROPOSITION 19. Let A be a ring and S a mult$licatiue subset ofA. (i) If M and N are two A-modules and M is Jinitely generated (resp. Jiniteb presented), the canonical homomorphism (Chapter I, $2, no. 10, formula (10)) S - l Hom,(M, N)
--f

the existence ofj follows from the associativity of tensor products.

HomS-iA(S-M, S-lN)

8. APPLICATION TO ALGEBRAS

is injective (resp. bijective). (ii) If M, N are two S- lA-modules, the canonical bijection
Homs-l,(M ,N) -+ HomA(M, N)
is bijective.

Let A be a ring, B an A-algebra (not necessarily associative or commutative and not necessarily possessing a unit element) and S a multiplicative subset ofA. w e know that it is possible to define on the S - lA-module S- B = B @A S - A a
canonical S-lA-algebra structure, said to be obtained by extension of the ring of scalars to S-1A (Algebra, Chapter 111, 3 3) and under which the product (*/s)(y/t) is equal to (xy)/(st). If e is the unit element of B, e l l is the unit of S-lB and if B is associative (resp. commutative), SO is S-IB. k t A be a ring and M an A-module; we denote by T(M) (resp. A(M), s(M)) the tensor algebra (resp. exterior algebra, symmetric algebra) of M (Algebra, Chapter 111). It is known that for every commutative A-algebra C there exists 77

As S-lA is a flat A-module, (i) is a particular case of Chapter I, $ 2, no. 10, Proposition 11. On the other hand, we have already remarked that every Ahomomorphism of S - lA-modules is necessarily an S - lA-homomorphism, in the course of proving Proposition 3 of no. 2; whence (ii).

76

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@A

MODULES OF FRACTIONS OF GRADED MODULES

$2.9

C) (resp. of A(M) auniqueisomorphismjofT(M) @A C ontoT(M onto A ( M @A C), of S(M) @A C onto S(M @A C)) such that
i(x @ = x @ I 1)I

homogeneous by hypothesis and m is a sum of homogeneous elements m,; hence x is the sum of the mj/s,each ofwhich belongs to a subgroup (S-lM),. Finally the sum of the (S-lM), is direct; for let us consider a finite family of elements x, (1 < q < n) such that x, G (S-lM)*(,),where the indices i ( q ) are distinct, and

for all X E M , M being canonically identified with a submodule of T(M) (resp. A(M), S(M)) (loc. cit.). Then it is seen in particular that for every multiplicative subset R of A there are canonical isomorphisms R-lT(M) +T(R-lM), R - l A ( M ) + A(R-lM), R-lS(M) + S(R-lM) which reduce to the identity on R-lM.
9. MODULES OF FRACTIONS OF GRADED MODULES

suppose that

9=1

2xq

~'(2~

m, E

0. Each xq may be written as xq = m,/s where s E S, and the hypothesis implies that there exists s' E S such that
=

m,) = 0; if the sfmq were not all zero, we would have a contradiction since, if s' E Sd, then s'm, E Mi(q)+d the i ( q ) d are all distinct. It follows and that xa = 0 for every index q. It is immediately verified that, if a E (S-lA), and x E (S-lM),, then ax E (S-IM),+,. Applying this result to the case M = A, we see first that S-IA is a ring graded by the (S-'A)*; then we see that S - l M is graded module over S-IA. Finally, as 1 E A,, iz and i& are homogeneous of degree 0.

Let A be a graded ring, M a graded A-module and A the degree monoid; we shall assume in this no. that A is a group. Recall (Algebra, Chapter XI, 4 11) that A and M are respectively direct sums of additive groups

with A,A, c A,+j and A,M, c Mi+, for all i , j E A. Let S be a multiplicative subset of A all ofwhose elements are homogeneous. For all i E A, we write S, = S nA, and denote by (S-lM), the set of elements m' of S - l M for which there exist elements j , k of A, an element m E M, and an element s E s k such that j - k = i and m' = m/s. If (m;), is a finite family of elements of S-lM such that
mi E (s-lM),(,),

PROPOSITION 22. Let A (resp. B) be a graded ring o f type A, M (resp. N) a graded module ouer the graded ring A (resp. B), S (resp. T) a multiplicative subset of A (resp. B) all of whose elements are homogeneous, f: A +B a homogeneous homomorphism of degree 0 such that f ( S ) c T and u : M -+ N an A-linear mapping which is homog n o s of degree k. Then the homomorphism f ' : S-'A + T- 'B derived from f eeu (no. 1, Proposition 2) is homogeneous ofdegree 0 and the (S-lA)-linear mapping

u': S-lM

--f

T-lN

derivedfrom f and u (no. 2, Proposition 5 ) is homogeneous o f degree k.

This follows immediately from the equations f ' ( a / s ) = f ( a ) I f ( s ) and

u'(m/s> = u(m)If(S).

there exist elements j ( q ) E A and k E A, elements m, E M,(,) (1 S E s k such that mi = m,ls for 1 < q < r (no. 1, Remark 2).

< q < r ) and

F h d l y we note that, if E is a graded A-algebra and S a multiplicative subset of A consisting of homogeneous elements, S-lE with its (S-lA)-algebra structure (no.8) and the graduation ( S -lE), is a graded S -'A-algebra, as follows immediately from the definitions.

PROPOSITION 21. The ring S-'A with the family ((S-lA),) is a graded ring and S - 'M with the family ( ( S - lM),) is a graded module over the graded ring S - 'A. The canonical mappings it and i& are homogeneous of degree 0. Let m E M,, s E S,, m' E Mj,, s' E Sk,and suppose that j - k = j ' - k = i; ' then (m/s) - (m'ls') = (s'm - sm')/ss' and s'm - s ' EM,,,, = My+k and m ss' E S,,,,, hence (m/s) - (m'ls') E (S-lM), by definition; this shows that the ( S -lM){ are additive subgroups of S-lM. The sum of these groups is the whole of S-lM: for every x E S-lM may be written as m/s where m E M, s E S ; s is

78

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LOCALIZATION

LOCAL RINGS

$ 3.1

3. LOCAL RINGS. PASSAGE FROM THE LOCAL TO THE GLOBAL

1. LOCAL RINGS

PROPOSITION 1. Let A be a ring and I the set ofnon-invertible elements o f A. The set I is the union o f the ideals o f A which are distinct from A. Moreover, thefollowing conditions are equivalent: (a) I is an ideal. (b) The set o ideals o f A distinct from A has a greatest element. f (c) A has a unique maximal ideal. The relation x E I is equivalent to 1 XA and hence XA # A. If a is an ideal of A distinct from A and x E a, then xA c a, hence xA # A and x E 1. Hence every ideal of A distinct from A is contained in I and every element x E I belongs to a principal ideal xA # A. This proves the first assertion, which immediately implies the equivalence of (a), (b) and (c).

ideal m; then A/b is a local ring with maximal ideal m/b and residue field canonia l l y isomorphic to Ajm. This applies in particular to the case b = mk, being m my maximal ideal of A ($ 1, no. 1, Corollary to Proposition 1). If A itself is a local ring with maximal ideal m, then for every ideal b # A of A, A/b is a local ring, the canonical homomorphism A -+ A/b a local homomorphism and the corresponding homomorphism of residue fields an isomorphism. (4) Let X be a topological space, xo a point of X and A the ring of germs at the p i n t xo of real-valued functions continuous in a neighbourhood of xo (General Topology, Chapter I, $ 6 , no. 10). Clearly, for the germ at x,, of a continuous h c t i o n f to be invertible in A, it is necessary and sufficient that f (xo) # 0, as that implies thatf(x) # 0 in a neighbourhood of xg. The ring A is therefore a local ring whose maximal ideal m is the set of germs of functions which are zero at x,; taking quotients, the mapping g H g(xo)of A to R gives an isomorphism of the residue field A/m onto R.

PROPOSITION Let A be a ring and p a prime ideal of A. The ring A, is local; its 2. maximal ideal is the ideal pA, = pp, generated by the canonical image o f p in A,; its rEJidllcfield is canonically isomorphic to thejield of fractions o f Alp.
Let S = A p and j : A -+A,, be the canonical homomorphism; the hypothesis that p is prime implies that p is saturated with respect to S, hence
-1

Remark (1). Note that, if (c) holds, I is the Jacobson radical of the ring A (Algebra, Chapter VIII, $ 6 , no. 3, Definition 3).
DEFINITION 1. A ring A is called a local ring i f i t satisjies the equivalent conditions (a), (b) and (c) o f Proposition 1. The quotient o A by its Jacobson radical (which is then f the unique maximal ideal $A) is called the residuefield of A. DEFINITION 2. Let A, B be two local rings and m, n their rcsjxctive maximal ideals. A homomorphism u : A +B is called local ; f u ( m ) c n. This amounts to saying that ul(n) = m, for ul(n) is then an ideal containing m and not containing 1 and hence equal to m. Taking quotients, we then derive canonically from u an injective homomorphism A/m -+ B/n from the residue field of A to that of B.

j (PA,) = p ($ 2, no. 4, Proposition 10) and, as the ideals of A not meeting S are those contained in p, the first two assertions are special cases of 9 2, no. 5 , Proposition 11 (ii). Moreover, iff is the canonical homomorphism A -+ A/p, f ( S ) is the set of elements # O of the integral domain A/p and hence the last assertion is a special case of $ 2, no. 5 , Proposition 11 (i).
DEFINITION 3.

Let A be a ring and p a prime ideal o f A. The ring A, is called the local G g $A at p, or the local ring ofp, when there is no ambiguity. h a r k (2). If A is a local ring and m its maximal ideal, the elements of A m are invertible (Proposition 1) and hence A,,, is canonically identified with A (8 2, no. 1,Remark 5).
Examples (5) Letp be a prime number. The local ring Z(p)is the set of rational numbers a/b, where a, b are rational integers with b prime top; the residue field of Z(pl isomorphic to the prime field F = Z / ( p ) . , (6) Let V be an affine algebraic variety, A the ring of regular functions on V, an irreducible subvariety of V and p the (necessarily prime) ideal of A cona h g of the functions which are zero at every point of W. The ring A, is a e d the local ring of W on V. *

Examples (1) A field is a local ring. A ring which is reduced to 0 is not a local ring. (2) Let A be a local ring and k its residue field. The ring of formal power series B = A[[X,, . . .,X,]] is a local ring, for the non-invertible elements of B are the formal power series whose constant terms are not invertible in A (Algebra, Chapter IV, 4 5 , no. 6, Proposition 4). The canonical injection of A into B is a local homomorphism and the corresponding injection of residue fields is an isomorphism. (3) Let b be an ideal of a ring A which is only contained in a single maximal
80

81

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MODULES OVER A LOCAL RING

5 3.2

PROPOSITION 3. Let A be a ring, p aprime ideal ofA and S = A - p . For every ideal b' ofApdistinctfrom A,, let b be the ideal (iz)-l(b') ofA so that b' = bA,.
(i) Let f be the canonical homomorphism A+A/b. The homomorphism from A, to (A/b)p,b canonically associated with f (5 2, no. 1, Proposition 2) is surjective and its kernel is b', which deJines, by taking quotients, a canonical isomorphism of A,/b' onto (A/b)p/6' (ii) The mapping 6' + b = (iz)-l(b'), restricted to the set ofprime ideals o f A,, is an isomorphism (with respect to inclusion) of this set onto the set of prime ideals of A contained in p. If b' is prime in A,, there exists an isomorphism o f the ring A, onto the which maps a/s to (a/l)/(s/l)for all a E A, s E A 6). ring

(Algebra, Chapter 11, 5 3, no. 6, Corollary 1 to Proposition 6 ); then the hypothesis implies (A,/m) (N/u(M)) = 0, hence N/u(M) = 0 by Proposition 4.
COROLLARY 2. Let A be a ring which is not necessarily commutative, m a two-sided ideal ofA contained in the Jacobson radical of A, M a left A-module and ( x , ) , I afamily o f elements o f M. If M is finitely generated or m is nilpotent and the elements 1 @ x, (G I) generate the left (A/m)-module (A/m) @A M, the x , generate M. E Let (el),eI be the canonical basis of the left A-module A) it is sufficient to :: apply Corollary 1 to the A-linear mapping u : Af' --+ M such that u(e,) = xl for all t E I.

This is just a particular case of 5 2, no. 5, Proposition 11.

Remarks (3) If a is an ideal of A not contained in p, then CA = A, and (A/a), = 0 I, (9 2, no. 5, Remark). (4) Let A, B be two rings, p: A -+ B a homomorphism, q a prime ideal of B
and p the prime ideal>'(q) of A. As p(A p) c B q, a canonical homomorphism pq: A, -+ B, is derived from p (8 2, no. 1, Proposition 2) and it is immediate that pq(pA,,) c qB,, hence p, is a local homomorphism.
2. MODULES OVER A LOCAL RING

PROPOSITION 5. Let A be a ring which i not necessarily commutative, m a two-sided s deal o A contained in the Jacobson radical ofA and M a left A-module. Suppose that f
one o f thefollowing conditions hola3: (i) M isjnitely presented; (ii) m is nilpotent. M = M/mM is a free left (A/m)-module and the canonical Then, if (A/m) homomorphismfrom m @A M to M is injective, M is afree A-module. To be precise, f i (x,) I is a family o f elements of M such that ( 1 @ x,) is a basis o f the (A/m)-module M / m M , (x,) is a basis of M.
If a E A, x E M and ci is the class of a in A/m, then ii @ x = 1 @ (ax) and hence the hypothesis implies that there exists a family (xJ, of elements of M such that (1 @ xl) is a basis of the (A/m)-module (A/m) @A M. We already know J that the x, generate M (Corollary 2 to Proposition 4) ;we shall see that they are h e a r l y independent over A. To this end, let us consider the free A-module L = A:'); let (el) be its canonical basis and u : Af' -+ M the A-linear mapping such that u(e,) = x , for all t E I ;if R is the kernel of u, we shall prove that R = 0. Under hypothesis (i), (A/m) @A M is a finitely generated (A/m)-module, hence 1is necessarily finite and R is a finitely generated A-module by Chapter I, 3 2, no. 8, Lemma 9. Then by Proposition 4 it will be sufficient to prove (under either hypothesis) that R = mR. Let J' be the canonical injection R + L; then there is a commutative diagram

PROPOSITION 4. Let A be a ring which is not necessarily commutative, m a right ideal o f A contained in the Jacobson radical of A and M a left A-module. Suppose that one of the following conditions holds : (i) M isjinitely generated; (ii) m is nilpotent. Then the relation (&/In) @A M = 0 implies M = 0. The assertion with respect to hypothesis (i) is precisely Corollary 3 to Proposition 6 of Algebra, Chapter VIII, 3 6, no. 3. O n the other hand, the relation (A&) @A M = 0 is equivalent to M = mM and hence implies M = mnM for every integer n > 0; whence the assertion with respect to hypothesis (ii). COROLLARY 1. Let A be a ring which is not necessarily commutative, m a right ideal of A contained in the Jacobson radical of A, M and N two left A-modules and U: M -+ N an A-linear mapping. I f N isjinitely generated or m is nilpotent and 1 @ u: (Ad/m) is surjective, then u is surjective.
@A
- f -

m @ R ~ m @ L ~ m @ M

(Ad/m)

@AN

.1 R

.I
83

(Ad/m) @A (N/u(M)) is canonically isomorphic to

( (Ad/m) @A N, /Im(

in Which the two rows are exact,j is injective and 1 @I u is surjective (Chapter

8 u>

82

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MODULES OVER A LOCAL RING

4 3.2

I, 82, no. 1, Lemma 1); as, by hypothesis, Ker(c) = 0, there is an exact

sequence
0 +Coker(a) -+ Coker(b) &.
d

Coker(c)

this proves that Tor$(A/m, M) is isomorphic to the kernel of the canonical homomorphism m @A M - t M; whence the equivalence of (d) and (4. * It can be shown that, for every ring A with Jacobson radical m such that A/m is a field, every projective A-module is free (Exercise 3).

(Chapter I, 3 1, no, 4 Proposition 2) ; it is sufficient to verify that u is bijective, , for then we deduce that Coker(a) = 0, in other words that a is surjective and consequently R = mR. Now, Coker(b) = (A/m) @A L and Coker(c) = (A/m) @ A M and by definition v(1 @ e,) = 1 @ x , ; as (1 @ e,) is a basis of (A/m) the definition of the x, shows that v is bijective.

L,

COROLLARY 1. Let A be a not necessarily commutative ring, m the Jacobson radical ofA and M a lgt A-module. Suppose that A/m is njield, that the canonical homomorphism J s from m @A M to M is injective and that one O conditions (i), (ii) of Proposition 5 i satisjkd. For a family (yh) of elements o f M to be a basis of a direct factor of M, it is necessary and suficient that thefamily (1 @ yh) be free in M/mM. If this condition holds, it can be assumed that ( y h ) is a subfamily of a family (x,) of elements of M such that (1 @ x , ) is a basis of M/mM (Algebra, Chapter 11,s 7, no. 1, Theorem 2) and Proposition 5 then proves that ( x , ) is a basis of M. COROLLARY 2. Let A be a not necessarily commutative ring, m the Jacobson radical ofA and M a ldt A-module. Suppose that A/m is ajeld and that one ofthe following conditions holh : (i) M is finitely presented; (ii) m is nilpotent. Then thefollowing properties are equivalent: (a) M isfree; (b) M is projective; (c) M isflat; (d) the canonical homomorphism m @ A M --f M is injective; * (e) Tor$(A/m, M) = 0. * The implications (a) + (b) 3 (c) + (d) are immediate. As A/m is a field, (A/m) @A M is a free (A/m)-module and Proposition 5 shows that (d) implies

PROPOSITION 6. Let A be a ring which is not necessarily commutative and m its Jacobson radical; suppose that A/m is a jield. Let M and N be two Jnitely generated free A-modules and u : M -+ a homomorphism. The following properties are N equivalent : (a) u is an isomorphism o f M onto a direct factor o f N; M + (A/m) B A Nis injective; (b) 1 @ u : (A/m) ( c ) u is injective and Coker(u) is a free A-module; (d) the transpose homomorphism t~ : N* + M* is surjective.
We know (Algebra, Chapter 11, 3 1, no. 11, Proposition 21) that, if N/u(M) is free, u ( M ) is a direct factor of N, hence (c) implies (a) ; conversely, (a) implies that Coker(u), isomorphic to a complement of u ( M ) in N, is a finitely generated projective A-module and afortiori finitely prcsentcd (Chapter I, 0 2, no. 8, Lemma 8) ; hence this module is free by Corollary 2 to Proposition 5 and (a) implies (c). On the other hand, (a) obviously implies (b). For simplicity we write M = (A/m) @A M, N = (A/m) @A N ; as M and N are finitely generated, the duals M* and N* of the (A/m)-modulesM and N are canonically identified with M* @A (A/m) and N* @A (A/m) and (1 8 u ) with (u) @ 1 (Algebra, Chapter 11,s 5, no. 4, Proposition 8) ; as M and N are vector spaces over the field A/m, the hypothesis that 1 @ u is injective implies that t ( 1 @ u ) is sujective (Algebra, Chapter 11, 3 7, no. 5 , Proposition 10); Corollary 1 to Reposition 4 then shows that U is surjective and we have thus proved that (b) implies (d). Finally we show that (d) implies (a). Suppose that t~ is surjective; as M* is free, there exists a homomorphism f from M* to N* such that = t~ of(Algebra, Chapter 11, fj 1, no. 11, Proposition 21); as M and N are free and finitely generated, there exists a homomorphism g from N to M such that f = g; hence tl, = I,* = tu 0 g = t ( g 0 u ) , whence 1 = g o u; this , Proves that u is an isomorphism of M onto a submodule which is a direct factor O f N (Algebra, Chapter 11, 3 1, no. 9, Corollary 2 to Proposition 15).
COROLLARY. Under the hypotheses o f Protosition 6 the following properties are equivalent: (a) u is an isomorphism ofM onto N; (b) M and N haw the same rank (Algebra, Chapter 11, 3 7, no. 2) and u is surjective ; (c)-1 @ u : M/mM -+ N/mN is bijective.
85

(4-

* Finally, we know that Tor$(A, M) = 0 and from the exact sequence 0 +- + A + A/m --f 0 we therefore derive the exact sequence m
0 + Torf(A/m, M) -+m
84
@A

M 3 M;

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$ 3.3

Clearly (a) implies (b) ; (b) implies that 1 @I u is surjective; moreover the hypothesis that M and N have the same rank implies that so do the vector spaces (A/m) B A M and ( A / m ) B A N over A / m , hence 1 @ u is bijective (Algebra, Chapter 11,s 7, no. 4 Corollary to Proposition 9) and (b) implies (c). , Finally, condition (c) implies, by Proposition 6, that N is the direct sum of u(M) and a free submodule P and u is an isomorphism of M onto u(M); if P # 0, then (A/m) @AP # 0 and 1 @ u would not be surjective; hence (c) implies (a). The propositions proved above in this no. will usually be applied when A is a local ring and m its maximal ideal. Corollary 2 to Proposition 5 is then completed

hand, as A is reduced,

(p,L) = 0 since L is free (Algebra, Chapter 11, $ 3, no. 7, Remark) ; as p,L i the kernel of +L, this shows that u is injective. I t follows that u' o u = u' o u is d injective, hence u is injective and, as u is surjective by definition, this shows that M is free.
3. PASSAGE FROM THE LOCAL TO THE GLOBAL
~ ~ O P O S I T I O N Let A be a ring, m a maximal ideal o f A and M an A-module. 8. Ifthere exists an ideal a of A such that m is the only maximal ideal o f A containing a and aM = 0, then the canonical homomorphism M --f M, is bijective.

p , = (0) ($ 2, no. 6, Proposition 13), whence

by

PROPOSITION 7. Let A be a reduced local ring, m its maximal ideal, (p,), thefamily o minimal prime ideals of A, K, thejeld offractions $Alp, and M ajnitely generated f
A-module. For M to be free it is necessary and suficient that
(1) [(A/m) @ M : ( A / m ) ] = [K, @ M: K] A A f o r all
t E

A/a is then a local ring with maximal ideal m/a; M can be considered as m the canonical image of s in A/a is inveran (A/a)-module; for all s E A tible, hence the homothety x t+ sx of M is bijective from the definition of M, as the solution of a universal problem (3 2, no. 2) ;whence the proposition.

I.
In particular, if there exists k 2 0 such that mkM = 0, the homomorphism M --f M, is bijective ($ 1, no. 1, Corollary to Proposition 1).

If M is free, clearly the two sides of (1) are equal to the rank of M for all t E I. Suppose now that the condition is satisfied and denote by n the common value of the two sides of (1) ; by Corollary 2 to Proposition 4 M has a system of n generators x j (1 < j < n). Suppose first that A is an integral domain, in which case p , = 0 for all L E I. The elements 1 @ x, (1 < j < n) generate the vector space K @ M over the field of fractions K of A ; but as by hypothesis this space is of dimension n over K, the elements 1 @I x, are linearly independent over K. It follows (Algebra, Chapter 11, $ 1, no. 13, Remark 1) that the x j are linearly independent over A and hence form a basis of M. Passing to the general case, there exists a surjective homomorphism u from L = A" onto M. Consider the commutative diagram

PROPOSITION Let A be a ring, m a maximal ideal o f A, M an A-module and k an 9. integer 2 0. The canonical homomorphism M + M,/rnkMM, surjective, has kernel is
mkM and dejines an isomorphism o f M/mkM onto M,/rnkM,.
Since the case k = 0 is trivial, suppose that k >, 1. It follows from Proposition 8 that the canonical homomorphism M/mkM+ (M/mkM), is bijective. On the other hand (M/mkM), is canonically identified with M,/(mkM), ($2, no. 4, Theorem 1) and hence (mkM), = mkM, ($2, no. 7, Corollary to Proposition 18), whence there is an isomorphism of M/mkM onto M,/mkM, which maps the class of an element x E M to the class of x/1.

>M

COROLLARY. Let A be a ring, m,, m2, . . .,m, distinct maximal ideals ofA, M an Amodule and k,, k,, . . .,k, integers 30. The canonical homomorphism from M to
where u (resp. u') is the mapping x ++ (+,(x)) (resp. y ++ (+,(y))),
+b:

fi
A.

M,/m:IM,

is surjective and its kernel is

(6ma)M.
t=1

L + (A/P,)@ L

(resp. +,: M -+ (A/p,)@ M) being the canonical mapping, and u' is the product Ofthe lA/P, @ v e Then ( A / p )/(m/Pb) @ A h , ( ( A / p t ) @ A M ) = (A/m) @ A M and, as A/p, is a local integral domain, it follows from the first part of the argument that each of the lAlp, v is an isomorphism; then so is v'. On the other @
86

being relatively prime in pairs

follows easily from Proposition 9 and $ 1, no. 2, Proposition 6, the mti (9 1, no. 2, Proposition 3).

In the rest ofthis no. A will denote a ring and Q(A)(or Q) the set o f maximal ideals of
87

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PROPOSITION 10. The A-module faithfully flat.

,FnA,, the direct sum o f the A,,

where m E Q, is

(5) In particular, let b and c be two elements o f A. For c to be a multiple o f b, it is necessary and su@cient that, for all m E R, the canonical image of c in A , be a multiple o that of b. f &b & = 6 ($ 2, no. 7, Corollary to Proposition 18), (i) is a special case of , Corollary 1 ; (ii) follows from (i) applied to the ideal Ab.
COROLLARYLet A be an integral domain, K itsjeld o f fractions and M a torsion4. free &module such that M is canonically identified with a sub-A-module o f K @A M. Then,for all m E Q, M,, is canonically identged with a sub-A-module o f K @A M a n d M = f IeM , . m n

Each of the A, is a flat A-module ($2, no. 4 Theorem l), hence E = , (Chapter I, $ 2, no. 3, Proposition 2). Moreover, for every maximal ideal m of A, mA,,, is the unique maximal ideal of A,, hence mA,,, #A,,,, whence it follows that mE # E and consequently E is faithfully flat (Chapter I, $ 3, no. 1, Proposition 1 (d)).

@ A,,, is flat men

THEOREM 1. Let M, N be two A-modules, u : M -+ N an A-homomorphism and, for all m E Q, let u,: M, -+ N,, be the corresponding A,-homomorphism (5 2, no. 2, Remark 5 ) . For u to be injective (resp. surjective, bijective, zero), it is necessary and su@cient that,for all m E Q, u,, be injective (resp. surjective, bijective, zero).
To say that, for all m same property. But

Q, u, is injective (resp. surjective, bijective, zero) is equivalent to saying that the homomorphism @ u,: @ M, --f @ N, has the m
E
m

& M is identified with a submodule of K @A M, M, is identified with a sub-&-module of (K @ A M ) m K,, B A M ($ 2, no. 4, Theorem 1); as = K,,, = K, we see straightway that M,, is torsion-free; moreover, the commutativity of the diagram M-+ KmAM
M +(K @A M)m m proves that the canonical mapping M --f M, is injective. The corollary then follows from Corollary 1 applied to the A-module K @A M and its submodule

M,, = M

@A

where E = A,,,; as E is faithfully flat (Proposition lo), the theorem follows from Chapter I, $ 3, no. 1, Proposition 1 (c) and Proposition 2. COROLLARY 1. Let M be an A-module, N a submodule of M and x an element o f M. For x E N, it is necessary and su@cient that, for all m E R, the canonical image o f x in M, belong to N,. Let X be the class of x in M/N; to say that x E N means that the A-linear mapping u : Q. H CrX from A to M/N is zero. Now, (M/N), is identified with M,/N, ($2, no. 4, Theorem 1) and u,:A,-+M,/N, with the mapping A H Xf,, where ? is the class mod. N, of the canonical image of x in M,. As , the relation u = 0 is equivalent to u, = 0 for all m by Theorem 1, this proves the corollary. COROLLARY 2. Let M be an A-module and, for all m E Q, let f , be the canonical

E, @ N, = N "1

@A

E and @ u, = u @ 1, m

M.
In particular, for every integral domain A,
A
=
men

nA,.

COROLLARY Let A be a ring. Every system ofgenerators ofthe A-module A" with n 5. e h t s is a basis ofAn.

mapping M

--f

M,. The homomorphism x

F (fm(x)) +

ofM to m o P M, is injective.

Applying Corollary 1 in the case N = 0, it is seen that the relation x = 0 is equivalent to fm(x) = 0 for all m E Q. COROLLARY 3. (i) Let b be an ideal ofA and a an element of A. For a E 6, it i necess sary and suficient that, f o r all m E Q, the canonical image 0 f a in Ambelong to b. & ,
88

, be the canonical basis of A", (xi) I , a system of generators of An Let (e,) mfi n elements and u : An --f A the A-linear mapping such that u(e,) = xt for " < i < n. By hypothesis u is surjective and it is necessary to show that u is hjective. By virtue of Theorem 1 this can immediately be reduced to the case Where A is a local ring; if m is the maximal ideal of A, the elements 1 @ x i (l 6 i < n) in (A/m)" then form a system of generators of the free (A/m)module (A/m)n;as A/m is a field, this system is a basis of (Aim)"; as Anis a free A-module, we deduce from Proposition 5 that (x,) is a basis of An.
~ O P O ~ O N 11.

' h4 :

+. a homomorphism. For N

Let M be an A-module, N a finitely generated A-module and I to be surjective, it is necessary and sufiient that, for (
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3 3.4

all m E 52, the homomorphism M/mM + N/mN derivedfrom u by taking quotients be surjective. I t follows from Theorem 1 that, for u to be surjective, it is necessary and sufficient that u,: M, -+ N, be surjective for all m E Q. As A, is a local ring and N, is a finitely generated A,-module, this amounts to saying that the homomorphism u,',,: M,/mM, -+ N,/mN,, obtained by taking quotients, is surjective (no. 2, Corollary 1 to Proposition 4); but M,/mM, (resp. N,/mN,) is identified with M/mM (resp. N/mN) (Proposition 9), whence the proposition.

are finitely generated free Am-modules. For N, to be a direct factor of M,, it is necessary and sufficient that the canonical mapping N,/mN, + Mm/mM, be injective (no. 2, Proposition 6 ) ; this is the same as saying that the canonical mapping N/mN -+ M/mM must be injective (Proposition 9), and as its kernel is (N n mM)/mN, this proves the corollary. proposition 12 (resp. its Corollary 1) will be applied in particular when A is Noetherian and E (resp. M/N) ajinitely generated A-module (Chapter I, 5 2, no. 8, Lemma 8 . )

PROPOSITION 12. Let E, F, G be three A-modules and v: G --f F, u : E + F homomorphismr. Suppose that E is jinitely presented. For there to exist a homomorphism w : E +-G such that u factors into E % G -% F, it is necessary and sujicient that, for all m E 52, there exist a homomorphism wm: E,,, -+ G, such that u,: Em--f F, factors
into E,

4. LOCALIZATION OF FLATNESS
&OPOSITION

Z G, 2 F,.

13. Let S be a multiplicative subset o f a ring A and M an A-module.

IfM isjlat (resp.faithfullyjlat), S-lM is ajlat (resp.faithfullyflat) S-'A-module

and a j7at A-module.

The existence of w satisfying the above statement is equivalent to the following property: u belongs to the image P of the mapping r
=

As S-lM

HOm(lE,u ) : Hom,(E, G) -+ Hom,(E, F).

Now, (Hom,(E, F)), (resp. (Hom,(E, G)),) is canonically identified with HOmA,(E,, F,) (resp. HomA,(Em,G,)) (5 2, no. 7, Proposition 19 (i)), the canonical image of u in (Horn,(& F)), is identified with u,, r, is identified with Horn&( lE,, v,) and P, with the image of r,. The proposition then follows from Corollary 1 to Theorem 1 applied to Hom,(E, F) and its submodule P. COROLLARY 1 . Let M be an A-module and N a submodule o f M such that M/N is jnitelypresented. For N to be a direct factor o f M, it is necessary and sujicient that,for all m E 52, N, be a direct factor o f M,.

= M @ S-lA, the first assertion follows from Chapter I, 3 2, no. , 7, Corollary 2 to Proposition 8 (resp. Chapter I, 4 3, no. 3, Proposition 5) ; moreover, S-lA is a flat A-module (5 2, no. 4, Theorem 1) ;hence if M is a flat A-module, so is S-lM by virtue of Chapter I, 3 2, no. 7, Corollary 3 to Proposition 8.

Remark. If N is an S-lA-module, S-lN is identified with N and this is consequently equivalent to saying that N is a flat S-lA-module or a flat A-module.
~ O P O S I T I O N14. Let A be a ring, B a commutative A-algebra and T a multiplicative subset ofB. IfN is a B-module which isflat as an A-module, T - l N is aflat A-module.

TOsay that N is a direct factor of M means that the identity homomorphism on M/N factors into M/N .% M 3 M/N where is the canonical homomorphism and w a homomorphism (Algebra, Chapter 11, 1, no. 9, Proposition 14); as (M/N), = M,/N, and is the canonical homomorphism M, -+ M,/N,, the corollary follows easily from Proposition 12.

T-'N = T-lB N; the proposition then follows from Chapter I, 5 2, no. 7, Proposition 8, applied with A replaced by B , B by A, E by T - l B and F by

N.

+ ,

~ P O S ~ ~ 15. N O Let

COROLLARY 2. Let M be ajnitely generatedfree A-module and N a submodule of M which is ajnitely generatedfree A-module. For N to be a directfactor o f M, it is necessary and sufiient that, for a11 m E Q, mN = N n (mM).
By definition M/N is finitely presented; on the other hand, N, and M,

A, B be two rings, +: A -+ B a homomorphism and N a Bmodule. Thefollowing properties are equivalent: (a) N is a j a t A-module. (b) For every maximal ideal n o f B, N,, is aflat A-module. (c) For every maximal ideal n of B, i f w e write m = -1(n), N,, is ajlat &-module.

For all a $ m,the homothety of N,, induced by a is bijective, hence N,, is canonically identified with (N,,), and the equivalence of (b) and (c) follows from the
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0 3.5

Remark following Proposition 13; the fact that (a) implies (b) is a special case of Proposition 14. I t remains to prove that (b) implies (a), that is, that, if (b) holds, for every injective A-module homomorphism u : M -+ M, the homomorphism u = 1 @ U: N @A M -+ N @* M is injective. Now, u is also a B-module homomorphism and, for it to be injective, it is necessary and sufficient that v,,: (N @A M),, -+ (N @A M),, be so for every maximal ideal n of B (no. 3, Theorem 1). As
(N
u,,
@A

DEFINITION 4. A ring is called semi-local if it satisJes the equivalent conditions (a),

(b) of Proposition 16.

Bn

@3 I

(N @A

Nn

@A

is just the homomorphism 1 @ u : N,, @A M --f N,, since N,, is a flat A-module by hypothesis.

M, M, which is injective

Examples. Every local ring is semi-local. Every quotient of a semi-local ring is semi-local. Every finite product of semi-local rings is semi-local. * If A is a Noetherian semi-local ring and B is an A-algebra which is a finitely generated A-module, then B is semi-local (Chapter IV, 3 2, no. 5, Corollary 3 to Proposition 9). *
Another example, generalizing the construction of the local rings A,, is provided by the following proposition :

COROLLARY. For an A-module M to bejlat (resp.faithfullyjlat), it is necessary and su$aent that,for every maximal ideal m ofA, M, be ajlat (resp.faithfullyjlat) A,module.
The necessity of the conditions follows from Proposition 13. Conversely, if M, is a flat &-module for every maximal ideal m of A, M is a flat A-module by virtue of Proposition 15 applied to the case where is the identity. Finally, if M, is a faithfully flat &-module for all m, then mM, = mA,,,M, # M,, hence m M # M for all m (no. 3, Proposition 9), which proves that M is a faithfully flat A-module (Chapter I, 3, no. 1, Proposition 1 (d)).

PROPOSITION 17. Let A be a ring and p l , . . ., p n prime ideals o f A. We write

s = 1n (A - pi) =1

A(a) The ring S-A is semi-local; if ql, . . . , qr are the distinct maximal elements (with respect to inclusion) of the set of pl, the maximal ideals o f S-lA are the S-lq, (1 < j < r ) and these ideals are distinct. (b) The ring A,, is canonically isomorphic to (S-lA)s- lP, for 1 < i < n.
=
n

F ~ ~ ~ .

(c) I f A is an integral domain, then S-lA =

rl A,, in thejield of fractions o f A.

i = l

5. SEMI-LOCAL RINGS

PROPOSITION 16. Let A be a ring. Thefollowing properties are equivalent: (a) the set o f maximal ideals o A isjinite; f (b) the quotient of A by its Jacobson radical is the direct composition o ajinite f number ofjela!s.
Suppose that the quotient ofA by its Jacobson radical % is a direct composition of a finite number of fields. Then A/% possesses only a finite number of ideals and a fortiori only a finite number of maximal ideals. As every maximal ideal contains % (Algebra, Chapter VIII, $ 6 , no. 2, Definition 2), the maximal ideals of A are the inverse images of the maximal ideals of A/% under the canonical homomorphism A --f A/%; hence they are finite in number. Conversely, suppose that A has only a finite number of distinct maximal ideals m,, . . .,m,. The A/mi are fields and it follows from 3 1, no. 2, Proposition A/mi is surjective; as its kernel mi 5 that the canonical mapping A -+ 1=1 t=1 is the Jacobson radical % (Algebra, Chapter VIII, 3 6, no. 2, Definition 2), A/% is isomorphic to

(a) The ideals of A not meeting S are the ideals contained in the union of the (3 1, no. 1, Proposition 2) ; the q j are therefore the maximal elements of the set of ideals not meeting S; consequently, the S-lq, are the maximal ideals of S-lA by 5 2, no. 5, Proposition 11 (ii). (b) is a special case of 3 2, no. 5, Proposition 11 (iii). (c) Suppose that A is an integral domain. If p t c p k , then A,, =) Apt; to prove (c), we may therefore suppose that no two pt are comparable. Then it follows from (a) and no. 3, Corollary 4 to Theorem 1 that S-lA =
pi and hence in at least one of the pi
f = l(S-lA)s-lpl; whence

(c) by virtue of (b).

If A is an integral domain, so is S-lA and Proposition 17 then provides an example of a semi-local ring which is not a direct composition of local rings (cf. Chapter 111, 0 2, no. 13).

n
n

COROLLARY. Let A be an integral domain and pl, . . ., pn prime ideals o f A, no two

n

n
n
1=1

A/m,.

ofwhich are comparable with respect to inclusion. IfA o f A, the maximal ideals o f A are pl, . . ., pn.

Ap,in thejield offractions

92

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n

LOCALIZATION

IRREDUCIBLE SPACES

4 4.1

Setting S = (A pi), S-lA = A by Proposition 17 (c) ;hence the elements of S are invertible in A and S-lp, = p i for all i. Our assertion then follows by virtue of Proposition 17 (a).

PROPOSITION 2. In a topological space X,for a set E to be irreducible, it is necessary and

mficient that its closure E be so.
For an open set of X to meet E, it is necessary and sufficient that it meet E ;then the proposition follows from the above remarks.

4. SPECTRA OF RINGS AND SUPPORTS OF MODULES

1. IRREDUCIBLE SPACES

PROPOSITION 3. (i) IfX is an irreducible space, every non-empty open subset ofX is
irreducible. (ii) Let (Ua)aEA non-empty covering Ofa topological space X consisting of open be a sets such that U n U, # f o r every pair of indices (a, p). If the sets U, are irre, ducible, the space X is irreducible.
(i) If X is irreducible, U c X non-empty and open in X and V c U nonempty and open in U,V is also open in X, therefore dense in X and a fortiori dense in U. Then U is irreducible (Proposition 1). (ii) Let us show that, for every non-empty open set V in X, V n U, # for all cc F A : it follows that V nU, is dense in U by hypothesis, hence that V , is dense in X and this proves that X is irreducible (Proposition 1). Now there exists at least one index y such that V n U., 0 ; as U n U, # 0 for all a # , and V n U, is dense in U,, U, n U, n V # a and a fortiori U, n V # 0 , which completes the proof of (ii).

DEFINITION 1. A topological space X is called irreducible f everyfinite intersection of i non-empty open sets ofX is non-empty.
By considering the empty family of open sets of X it is seen that an irreducible space is non-empty; for a topological space X to be irreducible, it is necessary and sufficient that it be non-empty and that the intersection of two non-empty open sets of X be always non-empty (or, what amounts to the same thing, that the union of two closed sets distinct from X be always distinct from X).

P R O P O S ~ O N X be a non-empty topological space. Thefollowing conditions are 1. Let equivalent : (a) X is irreducible; (b) evey non-empty open set ofX is dense in X; (c) euey open set ofX is connected.
By definition, a set which is dense in X is a set which meets every non-empty open set, hence (a) and (b) are equivalent. I t is immediate that (c) implies (a), for if U1 and U, are disjoint non-empty open sets, U, v U, is a disconnected open set. Finally let us show that (a) implies (c) : if U is a disconnected open set, it is the union of two disjoint non-empty sets U', U" which are open in U and hence also open in X, which implies that X is not irreducible.
A Hausdorffspace is irreducible only if it consists of a single point.

PROPOSITION 4. Let X and Y be two topological spaces and f a continuous mapping from X to Y. For every irreducible subset E ofX,f (E) is an irreducible subset ofY.
-1

If U, V are two open sets of Y which meet f(E), fiU) and f ( V ) are open
-1
-1

sets of X which meet E. Consequently, fiU) nf (V)= f (Un V) meets E, which implies that U n V meetsf (E) and proves the proposition.

DEFINITION 2. Every maximal irreducible subset irreducible component o X. f

of a topological space X is called an

It follows from Proposition 2 that every irreducible component of X is closed in X.

~OPOSITION 5.

A subset E of a topological space X is called an irreducible set if the subspace E of X is irreducible. For this to be so, it is necessary and sufficient that, for every pair of sets U, V which are open in X and meet E, U n V also meet E, or (what amounts to the same thing) that, for every pair of sets F, G which are closed in X and satisfy E c F u G, E c F or E c G. By induction on n, we deduce that, if (Fi)lQlsn a finite family of closed sets of X such that is

Let X be a topological space. Every irreducible subset ofX is contained in an irreducible component ofX and X is the union o its irreducible components. f

TOprove the first assertion, it is sufficient, by virtue of Zorn's Lemma, to

prove that the set 3 of irreducible subsets of X is inductive. Let 6 be a subset of 8 totally ordered by inclusion; we show that the union E of the sets F E 6 is &educible. Let U, V be two open sets of X which meet E; as (5 is totally 95

Ec
94

1=1

u F,, there exists an index i such that E

c F,.

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5 4.2

ordered, there exists a set F E 6 meeting U and V; as F is irreducible, U n V meets F and hence also E, which proves that E is irreducible and hence that 3 is inductive. The second assertion follows from the first, for every subset of X consisting of a single point is irreducible. COROLLARY. Every connected component o f a topological space X is a union ducible components of X.

If v is closed in U and irreducible, V is irreducible (Proposition 2) and v = V n U. Conversely, if Z is irreducible and closed in X and meets U, z n u is a non-empty open subset of Z, hence irreducible (Proposition 3)
and dense in Z and, as Z is closed, Z = Z n U. This proves the proposition.
2. NOETHERIAN TOPOLOGICAL SPACES

of irre-

Every irreducible subspace of X is connected by Proposition 1 and hence is contained in a connected component of X.
Note that two distinct irreducible components of X may have points in common (Exercise 11).

DEFINITION 3. A topological space X is called Noetherian f every non-empty set i closed subsets o f X, ordered by inclusion, has a minimal element.

o f

PROPOSITION 6. Let X be a topological space and (PJIsls, ajinite covering of X consisting o irreducible closed sets. Then the irreducible components o f X are the maximal f elements (with respect to inclusion) of the set o f Pi. We may restrict ourselves to the case where no two P, are comparable. If E is P, and hence E is contained in one of an irreducible subset of X, then E c the closed sets PI; this proves that the P, are the only maximal irreducible subsets of X. COROLLARY. Let X be a topological space and E a subspace with only ajinite number o f distinct irreducible components Q, (1 < i < n ) ; then the irreducible components of the closure E in X are the closures Q, ofthe Q, (1 < i < n) and Q, # Q j i # j . for

It amounts to the same to say that every non-empty set of open subsets of X, ordered by inclusion, has a maximal element, or that every decreasing (resp. increasing) sequence of closed (resp. open) sets is stationary (Set Theory, Chapter 111, 5 6, no. 5, Proposition 6).

,! I

PROPOSITION 8. (i) Every subspace of a Noetherian space is Noetherian. (ii) Let (AJiEI be a finite covering Ofa topological space X. If the subspaces A, ofX are Noethrian, X is Noetherian.
(i) Let X be a Noetherian space, A a subspace of X and (F,) a decreasing sequence of subsets of A which are closed in A; then F, = F, n A and the closures g, of the F, in X form a decreasing sequence of closed subsets of X. As this sequence is stationary, so is the sequence (F,). (ii) Let (G,),> be a decreasing sequence of closed subsets of X; by hypotheis stationary. As I is finite, there is an sis, each of the sequences (G, n integer no such that, for n 2 no, G, n A, = G,, n A, for all i E I. But

E is the union of the Qt, which are irreducible (Proposition 2); as Q, is closed in E, Q, n E = Q,; as Qt c$ Q, for i # j , Q whence the , corollary by virtue of Proposition 6.

a, +

and hence the sequence (G,) is stationary and X is Noetherian.

Remark. Suppose that X has only ajinite number of distinct irreducible components X, (1 < i < n) ; then U, = [ ( v i X j )is open in X and dense in X, since

PROPOSITION 9. For a topological space X to be Noetherian, it is necessary and su&cient

that every open set in X be quasi-compact.

Xi 4 g t X , ; the U, (1

< i < n) are therefore non-empty open sets of X which are irreducible (Proposition 2), pairwise disjoint and with their union dense in X.

TOshow that the condition is necessary, it is sufficient, by virtue of Proposition

8, to prove that every Noetherian space X is quasi-compact. Let (UJLEI an be open covering of X; the set of finite unions of sets U, is non-empty and hence admits a maximal element V = l ~ x Uwhere H is a finite subset of I. By L, definition, V u U, = V for all L E I and hence V = X. Conversely, suppose that every open set of X is quasi-compact and let (U,) be an increasing sequence of open subsets of X. The union V of the U, is open a d hence quasi-compact; as (U,) is an open covering of V, there is a finite
97

PROPOSITION 7. Let U be an open subset ofa topological space X. The mapping V H (closure in X) is a bijection of the set o irreducible subsets of U which are closed in U f onto the set o irreducible subsets o X which are closed in X and meet U; the inverse f f bijection is Z H Z n U. In particular, this bijection maps the set o irreducible comf ponents o U onto the set o irreducible components o X which meet U. f f f
96

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subfamily of (U,) which is a covering of V and hence V = U, for some index n, which proves that the sequence (U,) is stationary.

LEMMA 1 (Principle of Noetherian induction). Let E be an ordered set every non-empty subset o which admits a minimal element. Let F be a subset o E with the f f following property :if a E E is such that the relation x < a implies x E F, then a E F. Then F = E.
Suppose F # E; then O would have a minimal element b. By definition, x F for all x < b, which implies that b E F, which is a contradiction.
E

one of the ideals a or a, it is necessary and sufficient that it contain aa or that it contain a n a; then it is a consequence of 0 1 , no. 1, Proposition 1. The second formula (1) has the following converse: if a is an ideal of A such that V(a) = 0, then a = A, for there is no maximal ideal of A containing a. Finally, if a is an ideal of A and r(a) is its radical (8 2, no. 6, Definition 4), then
(4)

as follows from 3 2, no. 6, Corollary 1 to Proposition 13. Formulae (1) to (3) show that the subsets V(M) of X satisfy the closed set axioms of a topology (General Topology, Chapter I, 0 1, no. 4).

PROPOSITION 10. I f X is a Noetherian space, the set o irreducible components of X f (and a fortiori the set of connected components of X) isjnite.
It is sufficient to prove that X is a finite union of irreducible closed subsets (no. 1, Proposition 6). Let us show that the principle of Noetherian induction can be applied taking E to be the set ofclosed subsets of X, ordered by inclusion, and F to be the set of finite unions of irreducible closed subsets. Let Y be a closed subset of X such that every closed subset # Y of Y belongs to F. If Y is irreducible, then Y E F by definition; otherwise, Y is the union of two closed subsets Y,, Y, which are distinct from Y. Then Y, E F and Y, E F by hypothesis, whence Y E F by definition of F.
In particular it follows that a Hausdorff Noetherian space is necessarily
Jinitc.
3 THE PRIME SPECTRUM O F A RING .

DEFINITION 4. Let A be a ring. The set X ofprime ideals o A, with the tofiology whose f closed sets are the sets V(M), where M rum through T(A), is called the prime spectrum of A and denoted by Spec(A). The topology thus dejined is called the spectral or Zariski topology on X.
Clearly the relation Spec(A) = 0 is equivalent to A = (0). Let X be the prime spectrum of a ring A; for allf E A, let us denote by X, the V(f)and X, is thereset of prime ideals of A not containingf; then X, = X fore an open set. By (2), every closed subset of X is an intersection of closed sets of the form V(f)and hence the X, form a base of the spectral topology on X. Moreover, it follows immediately from the definitions that

(5)

x, = 0,
X,,
=

XI

=x,

and more generally X, = X for every invertible element f of A;

Let A be a ring and X the set of prime ideals of A. For every subset M of A, we denote by V(M) the set of prime ideals of A containing M ; clearly, if a is the ideal of A generated by M, V(M) = V(a) ; if M consists of a single elementf, we write V(f)instead of V({f})and we have V(f ) = V(Af). The mapping M HV(M) is decreasing with respect to inclusion in A and X. Moreover, the following formulae hold :

(6)

X, n X,

for allf, g in A.

For every subset Y of X, let us denote by 3(Y) the intersection of the prime ideals of A which belong to Y. Clearly 3(Y) is an ideal of A and the mapping y H 3(Y) is decreasing with respect to inclusion in X and A. Clearly the relations

(1)

V(0)

x,

V(1) = 0 ;

(7)

S(0) = A

for every family (MJL of subsets of A;

hold for every family (YJAE of subsets of X. Moreover:

~ O P O S I T I O N11.

V(a n a) = V(aa) = V(a) u V(a) (3) for every pair of ideals a, a in A. Formulae (1) and (2) are obvious; on the other hand, formula (3) means that, for a prime ideal p of A to contain

Let A be a ring, a an ideal ofA and Y a subset ofX = Spec(A). (i) V(a) is closed in X and 3(Y) is an ideal o A which is equal to its radical. f (ii) 3(V(a)) is the radical ofa and V(3(Y)) is the closure ofY in X.
99

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(iii) The mappings 3 and V dejine decreasing bijections, one o which is the inverse o f f the other, between the set o closed subsets of X and the set of ideals o A which are equal f f to their radicals. Assertion (i) and the first assertion of (ii) follow from the definitions and 3 2, no. 6, Corollary 1 to Proposition 13. If a closed set V ( M ) (for some M c A) contains Y, then M c p for every prime ideal p E Y, whence M c 3(Y) and consequently V ( M ) 2 V(S(Y)); as Y c V(3(Y)), V(3(Y)) is the smallest closed set of X containing Y , which completes the proof of (ii). Finally, it follows from (ii) that, if a is a prime ideal equal to its radical, then 3 ( V ( a ) ) = a and that, if Y is closed in X, then V ( 3 ( Y ) ) Y; this proves (iii). =
It follows immediately from Proposition 11 that, if M is any subset of A and Y is any subset of X, then V(M) = V(3(V(M)))and 3 ( Y ) = S(V(S(Y))).

COROLLARY 5. For f nilpotent.

A to satigy X, = 0, is necessary and suficient that f be it

This follows immediately from Corollary 4. COROLLARY 6. The closure of a set consisting of a point p E X = Spec(A) is the set V(p) ofprime ideals containing p. For the set (p} to be closed in X (or, as we shall also say by an abuse of language, for p to be a closedpoint of X), it is necessary and sujicient that p be maximal. COROLLARY 7. IfA is a Noetherian ring, X
=

Spec(A) is a Noetherian space.

=

PROPOSITION 12. Fer all f E A, the open set X, in X particular, the space X is quasi-compact.

Spec(A) is quasi-compact; in

COROLLARY 1. For every family (YJhP o f closed subsets o f X, 3 , L is the (c Y,) radical o the sum o the ideals 3(Yh). f f

As the X, form a base of the topology, it is sufficient to prove that, if (gh) is a family of elements of A such that X, c X,,, then there exists a finite sub-

,vL
=

It follows from Proposition 11 (iii) that 3(AcL Yh) is the smallest ideal which is equal to its radical and contains all the 3(Y,); this ideal then
8(Y,) and therefore also the radical of contains Corollary 2 to Proposition 13), whence the corollary.

zL

zL

family ( g h ) h E H such that X, = ,I?X,,. But the relation X, = hvLXgA means that there exists an integer n > 0 and a finite subfamily (g,),,, such thatf belongs to the ideal generated by that subfamily (Corollary 3 to Proposirion 1 1) ;whence the proposition. PROPOSITION 13. Let A, A be two rings, X Spec(A), X
-1

3(Y,)

(3 2,

no. 6,

Spec(A) and h a

homomorphismfrom A to A ; the mapping h: pf F+h(p)from X to X is continuous.

o f

COROLLARY 2. Let r(a) denote the radical of an ideal a ofA; ifa and b are two ideals A, the relation V(a) c V(b) is equivalent to b c r(a) and r(b) c r(a).

For M c A, the set ( h ) - l ( V ( M ) ) is the set of prime ideals p of A such

that M c h(p), which is equivalent to h ( M ) c p; this set is then equal to V(h(M)) and is therefore closed. w e call ah the mapping associated with the homomorphism h.
Remark. If h is surjective and a is its kernel, it follows from the definition of the spectral topology that ah:is a homeomorphism of X onto the closed subspace V(a) of X; for a prime ideal p of A to contain an ideal b of A,
it is necessary and sufficient that h(p) contain h(b); we see first that h is injective by taking 6 to be prime; moreover, for every ideal 6 of A, the
image under h of V(b) is V ( h (b)), form
-1 -1 -1

-1

It is immediate that the relations b = r(a) and r(b) c r(a) are equivalent and, the as V(a) = V(r(a)), corollary follows immediately from Proposition 11, (iii)

COROLLARY (fh)he be a family of elements of A. For an element g E A to 3. Let s a t k h X, c *VLX,,, it is necessary and st@cient that there exist an integer n > 0 such that gn belongs to the ideal generated by thefh.
The relation X, c X,, is equivalent to V ( g ) 3 ,cLV(fh) and it is sufficient to apply Corollary 2. COROLLARY For two elementsf, g o f A to satis& X, = X,, it is necessary and 4, mfiient that there exist two integers m > 0, n > 0 such thatf E A g and g E Af.
100

*VL

whence our assertion, the ideals of the

hib) all being ideals of A which contain a.

COROLLARY. S be a multiplicative subset o f A, A = S-IA and h the canonical Let homomorphism iz; then ah is a homeomorphism o f X = Spec(A) onto the subspace o f x Spec(A) consisting oftheprime ideals ofA which do not meet S.
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of orthogonal families

Let f =As, where f E A, s E S; then Xi, = Xi,l since s/1 is invertible in ' A'. We know already that "h is injective and that, for all p' E X', the relations
-1

PROPOSITION 15. Let A be a ring, I a j n i t e set and E the set

f/l E p' andf E h (p') = "h(p') are equivalent and hence the conditions P'E and "h(p') E X, are equivalent; this shows that "h(Xi,)is equal to X, n " h ( X ) , whence the first assertion, since the X, (resp. X i , ) form a base of the topology of X (resp. X ) . The second assertion follows from 3 2, no. 5, Proposition 11 (ii)

e, = 1. For all (el)iEIE E, we set (el)rEIof idempotents e, # 0 of A such that a ( ( e , ) t E I )= (V(A(1 o((e,),,I) = (AeJ,,,. Then B is a bijection ofE onto the set P ofpartitions (Ut)t,If X = Spec(A) into open sets and o is a bijection o o E onto the set S o ffamilies (a,) I of ideals # 0 o A such that A is the direct sum o the f f f

4.

PROPOSITION 14. Let A be a ring. For a subset Y ofX = Spec(A) to be irreducible, it is necessary and sujicient that the ideal 3(Y) be prime. Writing p = 8(Y), we note that, for an element f E A, the relation f E p is equivalent to Y c V(f ). Suppose that Y is irreducible and letf, g be elements of A such that f g E p. Then

Let (e,),,, be an element of E and set Y , = V(A(1 - e,)); if i # j , then whence Y, n Y , = o 1 = 1 - el e,(l - eJ E A ( I - el) A(l - e,), (forxulae (1) and (2)). On the other hand,

y = V(fg) = V ( f 1 V(g) ; as Y is irreducible and V (f ) and V(g) are closed, Y c V(f ) or Y c V(g), hencef E p or g E p , which proves that p is prime. Suppose now that p is prime; then P = V(p) (Proposition 11 (ii)) and, as p is prime, p = 3({p}), whence P = V(3({p})) = @ (Proposition 11 (ii)). As a set consisting of a single point is irreducible, Y is irreducible (no. 1, Proposition 2).
COROLLARY 1. For a ring A to be such that X = Spec(A) is irreducible, it is necessary and sujicient that the quotient of A by its nilradical 3 be an integral domain. By Proposition 11 (i), 8(X) is the radical of the ideal (0), that is 3. COROLLARY 2. The mapping p HV(p) is a bijection of X = Spec(A) onto the set o irreducible closed subsets of X; in particular the irreducible components o f a closed f subset Y ofX are the sets V(p), where p runs through the set ofminimal elements ofthe set ofprime ideals of A which contain 3 (Y)

"

by hypothesis (1 - e,) = 1 - 1 E I e, = 0, whence Y , = X (formula (I)). As the Y, are closed, they are also open, whence G(E) c P. Also, obviously A = ,I Ae,; if 0 = L E I atet where a, E A, we obtain, by multiplying by e,, 0 = ale; = alet for all i ; this proves that o(E) c S.

,g

LEMMA 2.
thme = J

If e, f are two idempotents ofA such that A e and A f

have the same radical

f =f" E Ae; let x, y be elements of A such that e

There exists by hypothesis integers m 2 0, n 2 0 such that e = em E A and f = xf, f = ye; then ef = x a = x = e and simiiarly ef = ye2 = ye =f,whence e =f. f f Lemma 2 and Corollary 2 to Proposition 11 show that the mappings B and o are injective. Let us show that Q is surjective. If (at)iEI is an element of S, there are elements
e,
E a,

such that 1 =

,I

2e,; if i # j , then e,e,

E a,

n a, = {0}, whence

e, = z e , e , = e ;

AS S ( V ( p ) ) = p for every prime ideal p of A and Y = V(8(Y)) for every closed subset Y of X, the first assertion follows from Proposition 14; on the other hand, for Y 3 V(p), it is necessary and sufficient that
3(V(P)) = D(Y) (Proposition 1l ) , whence the second assertion.

f COROLLARY 3. The set o f minimal prime ideals o a Noetherian ring A isjinite.

X = Spec(A) has only a finite number of irreducible components (Corollary 7 to Proposition 11 and no. 2, Proposition 10) and the corollary follows from Corollary 2 above.
102

finally, Ae, c a, for all i E I and Ae, = A, whence Ae, = a,. It remains to prove that 73 is surjective. Let (U,),EI an element of P and be U,; as Ui and Z, are closed, there exist ideals a,, 6, ofA such set Z, = CU,= that U, = V(a,), Z, = V(b,). We now show that it is possible to suppose whence a, + 6, = A; let a, E a,, further that a, n b, = 0. Now U, n Z, = 0, bt E 6, be such that a, b, = 1. Then X = U, u Z, = V(a,b,) (formula (3)); every element of a,b, is therefore nilpotent (Corollary 2 to Proposition 11) ; let $Jbe an integer such that arb! = 0. Then U,c V(Aa,) = V(Aap),

,&

Z, c V(Ab,)

V(Abf)
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$4.4

and V(Aa,) n V(Ab,) = V(Aa, + Ab,) = 0, hence U1 = V(Aap) and z, = V(Ab:), which establishes our assertion by replacing a, by Aap and 6, by Ab4. The ideals a, and 6, thus chosen, it follows from the fact that CT is bijective that there exist two idempotentsf, E a,, e, E 6, such that 1 = e, +A, elf, = 0, a, = AJ;, 6, = Ae,. If i # j , then X = Z, u Z, = V(Ae,e,), and as e,e, is idem8,

Example. Let a be an ideal of A; in the notation of no. 3, we have

(9)

V(a) = Supp(A/a).

potent, Lemma 2 shows that e,e, = 0. Finally e = e, is idempotent and E Ae for all i E I, whence V(Ae) c Z, for all i; it follows that V(Ae) = and Lemma 2 shows also that e = 1. COROLLARY 1. Let A be a ring, r a nil ideal ofA and h : A -+A/r the canonical homommphism. For every jinite orthogonal family (e;)leI o f idempotents o f A/r such that
1EI

If p is a prime of A such that a Q p, then (A/a), = 0 ($ 3, no. 1, Remark 3); if on the other hand a c p, aA, is contained in the maximal ideal PA, of A, and (A/a), is isomorphic to AJaA, and hence is non-zero (5 3, no. 1, Proposition 3) ; whence our assertion. In particular, Supp(A) = Spec(A). PROPOSITION Let A be a ring and M an A-module. 16. (i) IfN is a submodule of M, then SUPP(M) = SUPP(N) u SUPP(M/N)(ii) I f M is the sum of a family (NJLE1 submodules, then of

(ZI

= V(A.l)

(1

2 - 1, there exists a jinite orthogonal family (el),, o f idempotents o f A such that 2 e, = 1 and h(e,) = el for all i I.
I

We write A = A/r. We know (Remark following Proposition 13) that

ah: Spec(A) += Spec(A)

(i) From the exact sequence 0 += N += M -+ M/N -+ 0, we derive, for every prime ideal p of A, the exact sequence 0 += N, -+M, + (M/N), += 0

is a homeomorphism, every prime ideal of A containing r by hypothesis. Proposition 15 shows that there exists in A a finite orthogonal family (e,),,, of idempotents such that e, = 1 and that the image under hofV(A(1 - e;)) is V(A( 1 - el)). But clearly V(A(1 - el)) is also the image under h of V(A(1 - h ( e l ) ) ) ; as 1 - e; and 1 - h(e,) are idempotent, Lemma 2 shows that el the corollary.
=

(5 2, no. 4,Theorem 1). For M, to be reduced to 0, it is necessary and sufficient that N, and (M/N), be so. In other words, the relation p $ Supp(M) is equivalent to p I$ Supp(N) and p $ Supp(M/N), which proves (i). (ii) For every prime ideal p of A, M, is the sum of the family of submodules (NJ, (3 2, no. 4 .To say that M, # 0 means that there exists L E I such that ) (N,), # 0, whence (ii).
COROLLARY. Let A be a ring, M an A-module, (m,),EIa system ofgenerators ofM and a, the annihilator ofm,. Then Supp(M) = V(a,).

h(e,), whence

COROLLARY 2. For the prime spectrum X = Spec(A) of a ring A to be connected, it i necessary and sujicient that A contain no idempotents other than 0 and 1. s

Supp(M) = vISupp(Am,) by Proposition 16 (ii). On the other hand, Am, is isomorphic to the A-module A/a, and we have seen that SuPP(A/at) = V(a,>
(Example above).
PROPOSITION 17. Let A be a ring, M an A-module and a its annihilator; f M is i hitelygenerated, then Supp(M) = V(a) and Supp(M) is therefore closed in Spec(A).

TO say that X is not connected means that there exists in X a set which is open and closed and distinct from and X.
4. THE SUPPORT

OF A MODULE

DEFINITION 5. Let A be a ring and M an A-module. The set ofprime ideals p ofA such that M, # 0 is called the support o M and is denoted by Supp(M). f As every maximal ideal of A is prime, it follows immediately from 5 3, no. 3, Corollary 2 to Theorem 1, that for A-module M to be equal to 0, it is necessary and sujicient that Supp(M) = %.
104

Let (ml)ls,sn be asystem of generators of M and let a, be the annihilator of hence V(a) = , ~ l V ( a , ) (no. 3, equation (3)) and the f=1 Proposition follows from the Corollary to Proposition 16.
a =

ml; then

n a,,

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$4.4

COROLLARY 1. Let A be a ring, M ajinitebgenerated A-module and a an element of A. For a to belong to every prime ideal of the support of M, it is necessary and su&cient that t h homothety ofM with ratio a be niQotent. It follows from Proposition 17 that the intersection of the prime ideals belonging to Supp(M) is the radical of the annihilator a of M (no. 3, Proposition 11 (ii)). To say that a belongs to this radical is equivalent to saying that there &st a power ak E a and hence that akM = 0. COROLLARY Let A be a Noethrian ring, M a finitely generated A-module and a 2. an ideal of A . For Supp(M) c V(a), it i necessary and su$cient that there exist an s integer k such that akM = 0. If b is the annihilator of M, the relation Supp(M) c V(a) is equivalent to V(b) c V(a) by Proposition 17 and hence to a c r(b), where r(b) is the radical of b (no. 3, Corollary 2 to Proposition 11). Since A is Noetherian, this condition is also equivalent to the existence of an integer k > 0 such that alCc b ($ 2, no. 6, Proposition 15). PROPOSITION 18. Let M, M be twojinitely generated modules over a ring A; then
(10)

PROPOSITION 19. Let A, B be two rings, +: A -+B a homomorphism and

=+: Spec(B) + Spec(A)

the continuous mapping associated with
-1

+ (Proposition 13). For every A-module M,

Supp(M(B))c a+(Supp(M)) ifalso M isfinitezy generated, then ; Supp(M,B)) = $?Supp(M))

-1

Let q be a prime ideal ofB and p = +(q). Suppose that q belongs to Supp(M(B)); then M(B)@ B, = (M @A B) @B B, = M @A B, = (M 6. Ap) @A Bq, since B 34 the homomorphism A - t B - t B , factors into A - t A , - t B , ($2, no. 1, B, Proposition 2) ;the hypothesis M,,, BB # 0 implies therefore M @A A, # 0, whence the first assertion. A s the homomorphism (bq: A, + B, is local, the second assertion follows from the following lemma : LEMMA Let A , B be two local rings, p: A -+ B a local homomorphism and E a 4. Jinitely generated A-module. If E # 0, then E(B) # 0. Let m be the maximal ideal of A and k = A/m the residue field; the hypothesis implies that B @A k = B/mB # 0; since the tensor product is associative, (E @A B) @A k is isomorphic to E @A (B @ A k), hence also to E @A (k @k (B @A k)) and finally to (E @A k) @k (B @ A k ) ; by $ 3, no. 2, Proposition 4, E @A k # 0, hence (E @A B) @A k # 0 (Algebra, Chapter 11, 8 3, no. 7 ) and a fortiori E @A B # 0.
~ O P O S I T I O N 20. Let A be a ring and M ajinitely generated A-module. For every @mideal p E Supp(M), there exists a non-zero A-homomorphism w : M + Alp.

Supp(M @A M)

Supp(M) n Supp(M).

We need to prove that, if p is a prime ideal ofA, the relations (M @A M), # 0 M; and M, # 0 and Mi # 0 are equivalent. As the A,-modules M, BAg and (M M), are isomorphic (9 2, no. 7, Proposition 18), our assertion follows from the following lemma : LEMMA Let B be a local ring and E and E twojinitely generated B-modules. IfE # 0 3. and E # 0, then E @B E # 0. J E Let k be the residue field of B. By virtue of $ 3, no. 2, Proposition 4, k BB # 0 and k @B E # 0; then we deduce that

Let p E Supp(M). As M is finitely generated and M, # 0,

Mp/pMp

Mp

@A

(Ap/pAp)

(k @B E) # (Algebra, Chapter 11, $ 3, no. 7). But, since the tensor product is associative (10~. cit., $ 3, no. 8), this tensor product is isomorphic to

(k @B E,

@k

@ B

((k @k k,

and therefore to k

BB(E mB

E) = @B (k @B E) E), whence the lemma.

@ B

(8 3, no. 2, Proposition 4). Let K = AJpA, be the field of fractions of the integral domain A/p; since M,/pM, is a vector space over K, which is not reduced to 0, there exists a non-zero linear form u : M,/pM, -+K. If (xJl <,*, is a system of generators of M, 5, the image ofx, in the (A/p)-moduleM,/pM,, *ere exists an element ct # 0 of A/p such that the ctu(?i,) belong to A/p for 1 G i Q n; hence u = ctu is a non-zero (A/p)-linear mapping from M,/pM, to Ah. The composition
w : M +M, +M,/pMp

COROLLARY. Let M be ajnitely generated A-module and n its annihilator. For every ideal a of A, Supp(M/aM) = V(a) n V(n) = V(a + n). M/aM 106
=

A/p

@A

( A / a ) and A/a is finitely generated.

is therefore the required homomorphism.

107

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LOCAL CHARACTERIZATION OF FINITELY GENERATED PROJECTIVE MODULES

fj 5.2

5. FINITELY GENERATED PROJECTIVE MODULES. INVERTIBLE FRACTIONAL IDEALS

1. LOCALIZATION WITH RESPECT TO AN ELEMENT

There exist by hypothesis p elements xi E N (1 < i < p ) such that the x,/l form a basis of the free A,-module N,. Consider the homomorphism u : Ap+N such that u(ei) = xi for 1 < i < p , ( e , ) , , , , , being the canonical basis of A". As up is bijective by hypothesis, there existsf E A p such that u, is bijective, by virtue of Proposition 2.

PROPOSITION 3. Let (A)

I be ajinitefamily

ofelements of a ring A, generating the ideal

Let A be a ring and M an A-module. For every element f E A, we shall write A, = A[f-'], M, = M[ f -'I = M @A A[ f -I] (fj 2, nos. 1 and 2) ;if S, is the set off" for n 2 0, then A, = ST'A, M, = Sy'M. Iff is invertible in A, A, (resp. M,) is canonically identified with A (resp. M) ; iff is nilpotent, then A, = 0 and M, = 0. For every A-module homomorphism u : M -+ N, we write u, = u @ 1: M, -+ N,. Let g be another element of A; A,, (resp. M,,) is canonically identified with (A,),,, (resp. (M,),,'), where g/1 is the image of g in A,, and u,, with (u,),/, (fj 2, no. 3, Proposition 7). PROPOSITION 1. Letf be an element o a ring A and : A -+ A, the canonical mapping. f The mapping "+: Spec(A,) -+ Spec(A) is a homeomorphism o f Spec(A,) onto the open subspace XI ofX = Spec(A) (5 4,no. 3). This a particular case of 5 4, no. 3, Corollary to Proposition 13.

A o A. The ring B f

A,, is then afaithfullyfiat A-module.

By fj 2, no. 4,Theorem 1, each of the A,, is a flat A-module, hence so is B (Chapter I, fj 2, no. 3, Proposition 2). O n the other hand, if p is a prime ideal of A, there exists an index i such thatf, $ p and p , = pA, is therefore a prime A,, # B since pA,, # A,,; this suffices to ideal of A,,. Then pB c pA,, x imply that B is a faithfully flat A-module (Chapter I, 3 3, no. 1, Proposition 1). COROLLARY. Under the hypotheses o f Proposition 3, for an A-module M to bejinitely generated (resp. jinitely presented), it is necessary and suficient that, for every index i, the A,,-module M,, be jinitely generated (resp.jinitely presented).

fi

PROPOSITION 2. Let A be a ring, u : M -+ N an A-module homomorphism and p a prime ideal of A. (i) Suppose that up:M, -+ Np is surjective and that N isjinitely generated. Then there exists f E A p such that u, : M, -+ N, is surjective. (ii) Suppose that up is bijective, that M is jinitely generated and that N is jinitely presented. Then t h e exists f E A p such that u, is bijective.

The condition is obviously necessary (fj 2, no. 4 . Conversely, if all the M,, ) are finitely generated (resp. finitely presented), M' = M,, is a finitely
generated (resp. finitely presented) B-module, for we can obviously suppose that for each i there is an exact sequence AT; -+A:,-+ M,,-+O, where m and n are independent ofi). Now, M' = M @A B. The corollary then follows from Proposition 3 and Chapter I, fj 3, no. 6 , Proposition 11.
Note that the condition on thef, means that the open sets X,, form a covering of Spec(A) (8 4, no. 3, Corollary 3 to Proposition 11).
2. LOCAL CHARACTERIZATION OF FINITELY GENERATED PROJECTIVE MODULES

Let R and Q b e the kernel and cokernel of u ; ifg E A, the kernel and cokernel ofu, (resp. up) are R, and Q, (resp. R, and Q,) (fj 2, no. 4,Theorem 1). Then Q, = 0 ; as N is finitely generated, so is Q a n d there exists g E A p such that ' g'Q = 0 (3 2, no. 2, Corollary 2 to Proposition 4),whence Q, = 0. Under , the hypotheses of (ii), the sequence 0 -+ R,, -+ M,. -+ N,. --f 0 is exact, hence R,, is finitely generated (Chapter I, fj 2, no. 8, Lemma 9). Now,

THEOREM A be a ring and P an A-module. The following properties are 1. Let

equivalent : (a) P is ajnitely generated projective module. (b) P is ajnitely presented module and,for every maximal ideal m $A, P, is afree &-module. (c) P i ajnitely generated module,for all p E Spec(A), the A,-module P, is free s and, if we denote its rank by r,, thefunction p I-+ rp is locally constant in the topological Spec(A) (that is, every point of Spec(A) admits a neighbourhood in which this function is constant).
109

hence there exists g, E A,. PA,. such that g,R,. = 0 (fj 2, no. 2, Corollary 2 to Proposition 4). Then g, = gr/grh,where g" E A p ; as g'/l is invertible in R,,, (g"/l)R,, = 0, whence R,,," = (R,,),,,/, = 0. If f = g'g" f E A p, , Q, = 0 and R, = 0, so that uf is bijective.

(Rg*)pRp,

= Rp = 0 ;

COROLLARY. If N is finitely presented and N, is a free A,-module exists f E A p such that N, is a free Ar-module o rank p. f

o f

rank

p , there

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$ 5.3

(d) There exists a j n i t e family (jJisI of elements of A, generating the ideal A, such that,for all i E I, the A,,-module P,, isfree withjinite rank. (e) For every maximal ideal m of A, there exists f E A m such that P, is a free A,-module ofjinite rank.

10) and hence by hypothesis P, is free and of the same rank as Pfl,which proves (c)* A,, and the B-module (a) : Consider the ring B = (d)

We show the theorem by proving the following scheme of implications

P,,

P gAB.

For every index i, there exists a free A,,-module L, such that P,, is a direct factor of L, and it may be assumed that all the L, have the same rank; then
L = 1 E I Li is a free B-module of which M is a direct factor, in other words M is a finitely generated projective B-module. As B is a faithfully flat A-module (no. 1,Proposition 3) , we conclude that P is a finitely generated projective Amodule (Chapter I, $ 3 , no. 6, Proposition 12). COROLLARY Suppose that the equivalent properties o f the statement o f Theorem 1 1. hold. Let m be an integer > 0 such that, for every family (xi) , f elements o f P, o there exists afamily (a,) , ofelements of A, which are not all divisors o f zero andfor

n
m

(a) + (b) : We know that a finitely generated projective module is finitely presented (Chapter I, $ 2, no. 8, Lemma 8 (iii)) ; if P is a projective A-module, P, = P @A A, is a projective &-module (Algebra, Chapter 11, $ 5, no. 1, Corollary to Proposition 4); finally, as A, is a local ring, every finitely presented projective A,,,-module is free (4 3, no. 2, Corollary to Proposition 5). (b) + (e) : This follows from the Corollary to Proposition 2 of no. 1. (c) =- (e) : Let m be a maximal ideal ofA; write r, = n and let (xi) <, be a basis of P,. We can assume that the xi are canonical images of elements fit E P (1 < i < n) to within multiplication by an invertible element of A,. Let (eJ1<,<,, be the canonical basis of An and u : An + P the homomorphism such that u(eJ = p, for 1 < i < n. As P is finitely generated, it follows from Proposition 2 of no. 1 that there existsf E A m such that u, is surjective. We conclude that urgis also surjective for all g E A m and by hypothesis there exists g E A m such that r, = n for p EX,. Then, replacing f by f g , we may assume that r, = n for all p E X,. Then up:A -+ P, is a surjective : homomorphism and P, and A, are both free A,-modules of the same rank; hence (9 3, no. 2, Corollary to Proposition 6) up is bijective for all p E X,. Let P be a prime ideal of A, and let p be its inverse image in A under the canonical mapping; if and (P,),, are identified with A and P, under the canonical : isomorphisms, (uf)p, identified with upand is consequently bijective. We conis clude that u, is bijective ($3, no. 3, Theorem l), which establishes (e). (e) * (d) : Let E be the set off E A such that P, is a finitely generated free A,-module. The hypothesis implies that E is contained in no maximal ideal of A, hence E generates the ideal A and there therefore exist a finite family

mhich&a,x,

= 0. Then,for all p E Spec(A), r,

< m.

Let p be a prime ideal of A; set r = r, and let ( Y , ) ~, b r be a basis of the free b A,-module P,. There exist elements x, (1 < j < r ) of P and s E A p such that y , = x,/s for all j . Then for every family (a,)l C , d r of elements of A

such thatzla,x, = 0 , z (a,/l)y, = 0 in Pp, whence a,/l = 0 for 1 < j < r. As A p does not contain 0, this shows that the a, are all divisors of zero in A (0 2, no. 1, Remark 3), hence of necessity r < m.

COROLLARY Everyjinitely presentedjlat module is projective. 2. If P is a finitely presented flat A-module and m a maximal ideal of A, the &,-module P, is flat ($ 3, no. 4, Proposition 13) and finitely presented (5 2, no. 4) and hence free ($3, no. 2, Corollary 2 to Proposition 5), Condition (b)of Theorem 1 therefore holds.
Remarks
(1) There exist finitely generated flat modules which are not projective

(fi)lsrsnof elements of E and a, E A (1 < i < n) such that 1 = z a & ; whence (d). (d) * (c) : I t follows from no. 1, Corollary to Proposition 3 that P is finitely generated. O n the other hand, for every prime ideal p of A, there exists an index i such that p E Xfl; if p = p,,, then Pp = (P,,),, (3 2, no. 5, Proposition
110

(Exercise 7). (2) Corollary 2 to Theorem 1 extends to modules over non-commutative rings (Chapter I, 5 2, Exercise 15).
3 W .

S OF PROJECTIVE MODULES

D E ~ ~ 1. Let P be a JInitely generated projective A-module. For every prime ideal o N P of& the rank ofthe free A,-module P, is called the rank o f P at p and i s denoted by rgP(P).
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3 5.3

By Theorem 1 the integer-valued function p H rg,(P) is locally constant on X = Spec(A); it is therefore constant if X is connected and in particular if the ring A is an integral domain (9 4, no. 3, Corollary 2 to Proposition 15). DEFINITION 2. Let n be an integer 2 0. A projective A-module P is said to be n f it isjnitely generated and rgp(P) = nf o r every prime ideal p of A. i
o f

rank

Clearly every finitely generated free A-module L is of rank n in the sense of Definition 2, n being equal to the dimension (or rank) of L defined in Algebra, Chapter 11, 3 7, no. 2. A projective module of rank 0 is zero (3 3, no. 3, Corollary 2 to Theorem 1). If A is not reduced to 0 and a projective A-module P is of rank n, the integer n is determined uniquely; it is then denoted by rg(P).

(5)
If the ranks of E and F are defined, so are those of E x F, E @AF,
k

Hom,(E, F), E* and A E and the above equations also hold with the index p omitted. Moreover: COROLLARY. For a jnitely generated projective A-module P to be of rank n, it is
n

THEOREM 2. Let P be an A-module and n an integer 2 0. Thefollowing properties are equivalent : (a) P is projective of rank n. (b) P isjnitely generated and, for every maximal ideal m of A, the A,-module P, isfree o rank n. f (c) P isjnitely generated and, for every prime ideal p o A, the A,-module P, is free f of rank n. (d) For every maximal ideal m of A, there exists f E A m such that the A,module Pf isfree of rank n.

necessary and su8cient that A P be

of rank

1,

PROPOSITION 4. Let B be a commutative A-algebra and P a projective A-module of rank n. The B-module P,, = B @AP is then projective of rank n. We know that Po, is projective and finitely generated (Algebra, Chapter 11, Q 5, no. 1, Corollary to Proposition 4). If q is a prime ideal of B and p its inverse image in A, then
= ( '
@A

By Definition 2 and Theorem 1, (a) and (c) are equivalent; (b) implies (c), as, for every prime ideal p of A, there exists a maximal ideal m containing p and, writing p' = p,, P, is isomorphic to (Pm),. (9 2, no. 5, Proposition 11); if P, is free of rank n, so then is Pp. Property (c) implies (d) by virtue of Theorem 1 and the fact that, iff E A m and m' = mf, P, is isomorphic to (Pf)m* therefore the ranks of Pf and P, are equal. Finally, this last arguand ment and Theorem 1 show that (d) implies (b).

B,

@B Bq

@A Bq

('

@A

@A Bq

and, as, by hypothesis, P @AA, is a free A,-module of rank n, (P(B))q a free is Bq-moduleof rank n.

PROPOSITION . Let A be a semi-local ring and P a jnitely generated projective A5

module. Ifthe rank of P is dejined, P is a free A-module.
Suppose first that A is isomorphic to a product of fields K, (1 < i < n). The Ki are then identified with the minimal ideals (Algebra, Chapter VIII, 3, no. 1) of A and, for all i, the sum pi of the K, of indexj # i is a maximal ideal of A, the p, (1 < i < n) being the only prime ideals of A. Every finitely generated A-module P is therefore the direct sum of its isotypical components Pi (1 d i < n), P, being isomorphic to a direct sum of a finite number r, of Amodules isomorphic to K, (Algebra, Chapter VIII, 5, no. 1, Proposition 1 and no. 3, Proposition 11) ; the ring A,, is identified with K, and annihilates the p, of index j # i , hence r, = rgp,(P); if all the r, are equal to the same number r, P is isomorphic to A', whence the proposition in this case. In the general case, let 31 be the Jacobson radical of A and B = A/%; as B is a product of fields, the projective B-module P(B) free by the remarks preceding is Proposition 4. Also P is a flat A-module and the proposition then follows from 8 3, no. 2, Proposition 5.
113

Remark. If A is an integral domain, a projective A-module admits a welldefined rank (in the sense of Definition 2), as has been observed above; moreover, this rank coincides with the rank defined in Algebra, Chapter 11, 9 7, no. 2; it is sufficient to apply Theorem 2 (c) with p = (0).
Let E and F be two finitely generated projective A-modules. We know (Algebra, Chapter 11, $9 2 and 3) that E x F, E @AF, Hom,(E, F) and the dual E*
of E are projective and finitely generated; so is the exterior power A E for every integer k > 0 (Algebra, Chapter 111).Also, it follows immediately from Definition 1 and 3 2, no. 7, Propositions 18 and 19 and no. 8, that, for every
k

prime ideal p of A: (1) 112 rgJE x F)

=

rgm

+rgm

XI

LOCALIZATION

PROjECTIVE MODULES OF RANK

9 5.4

4. PROJECTIVE MODULES OF RANK 1

N of rank 1, cl(M @A N) depends only on cl(M) and cl(N); as definition we set (6) cl(M)

THEOREM 3. Let A be a ring and M ajnitely generated A-module.

(i) Ifthere exists an A-module N such that M @A N is isomorphic to A, the module M is projective of rank 1. (ii) Conversely, ifM is projective ofrank 1 and M* is the dual of M, the canonical homomorphism u : M @A M* -+ A corresponding to the canonical bilinear form (x, x * ) --f ( x , x * ) on M x M* (Algebra, Chapter 11, 3 2, no. 3) is bijective. (i) It is required to prove that, for every maximal ideal m of A, the &module M, is free of rank 1 (Theorem 2 (b)) ; we are free to replace A by A,,, and hence may assume that A is a local ring (3 2, no. 7, Proposition 18). Let k = A/m. The isomorphism v: M @A N + A defines an isomorphism
v @J 1,: (M/mM) @ k (N/mN) -+ k

+ cl(N) = cl(M @ AN)

and an internal law of composition is thus defined on P(A). PROPOSITION 7. The set P(A) o f classes ofprojective A-modules ofrank 1, with the law o composition ( 6 ) ,is a commutative group. If M is a projective A-module of rank 1 and f M* is its dual, then

(7)

cl(M*)

-cl(M)

and cl(A) = 0.

as the rank over k of (M/mM) 8, (N/mN) is the product of the ranks of M/mM and N/mN, these latter are necessarily equal to 1, in other words M/mM is monogenous. It follows that M is monogenous (3 3, no. 2, Corollary 2 to Proposition 4) ;on the other hand, the annihilator of M also annihilates M @A N and hence is zero, which proves that M is isomorphic to A. (ii) It is sufficient to prove that, for every maximal ideal m of A, u, is an isomorphism (5 3, no. 3, Theorem 1). As M is finitely presented (Chapter I, $ 2, no. 8, Lemma 8), (M*), is canonically identified with the dual (M,)* ($ 2, no. 7, Proposition 19) and, as M, is free of rank 1 like its dual (M,)*, clearly the canonical homomorphism u,: (M,) BArn (M,)* + & is bijective, which completes the proof.
Remark (1). If M is projective of rank 1 and N is such that M @A N is isomorphic to A, then N is isomorphic to M* : there are isomorphisms

The associativity and commutativity of the tensor product show that the law of composition (6) is associative and commutative; the isomorphism between A @A M and M prove that cl(A) is the identity element under this law and, by virtue of Theorem 3, cl(M) cl(M*) = cl(A), whence the proposition.

Let B be a commutative A-algebra and M a projective A-module of rank 1 ; then M(B, = B @A M is a projective B-module of rank 1 (no. 3, Proposition 4). Then there exists a mapping called canonical +: P(A) --f P(B) such that

The equation Mo, @* N,B) = ( M @A N)(B) for two A-modules M, N proves that the mapping is a commutative group homomorphism.

N - t N @ A + N @ M @ M * + A @ M* +M*.

PROPOSITION 6. Let M and N be projective A-modules o f rank 1. Then M Horn,( M, N) and the dual M* o f M are projective o f rank 1.
This follows immediately from formulae (2), (3) and (4).

@A

N,

Let US now note that every finitely generated A-module is isomorphic to a quotient module of L = Am; we may therefore speak of the set F(A) ofclasses OfJTnitelygenerated A-modules with respect to isomorphism (Set Theoy, Chapter I, $6, no. 9) ;we denote by P(A) the subset of F(A) consisting of the classes of projective A-modules of rank 1 and by cl(M) the image in P(A) of a projective A-module M of rank 1. It is immediate that, for two projective A-modules M,
114

*Remark ( 2 ) . Condition (e) of Theorem 1 (equivalent to the fact that P is projective and finitely generated) may also be expressed by saying that the sheafofmodules over X = Spec(A) associated(*) with P is locallyfree and ofjnite type and may therefore be interpreted as the sheaf of sections of a vector bundle over X. Conversely, every vector bundle over X arises from a finitely generated projective module, which is determined to within a unique isomorphism; the projective modules of rank n thus correspond to the vector bundles all of whose fibres have dimension n. In particular, the vector bundles of rank 1 correspond to the projective modules of rank 1. If we denote by Ox the structure sheaf A and by O$ the sheaf of units of Ox (whose sections over an open set u of X are the invertible elements of the ring of sections of Ox over U), it follows that the group P(A) is isomorphic to the first cohomology group H1 0;). * (X,
(*) See A. GROTHENDIECK, gliments de glornktrie algkbrique, I I.H.E.S., no. 4, 1960).

(0 1)

(Publ. Math.

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INVERTIBLE SUBMODULES

3 5.6

f~Hom,(M, N) and set b

5. NON-DEGENERATE SUBMODULES

= f (s)/s;

for all x: E M, there exists t E S such that

(3)

tx E A. Then

In this no. and the two following, A denotes a ring, S a multiplicative subset o f A consisting o f elements which are not divisors of zero in A, and B the ring S - l A ; A is canonically identiJied with a subring ofB (3 2, no. 1, Remark 3). The elements ofS are therefore invertible in B.
One of the most important special cases for applications is that where A is an integral domain and S is the set of elements # 0 of A; B is then thejeld offractions of A. DEFINITION 3. Let M be a sub-A-module ofB. M is called non-degenerate ifB .M = B. I f B is a field, this condition simply means that M is not reduced to 0.

f( x )

= s-'t-'f(stx) = s-'t-'txf

bx,

whence b E N: M and f = hb, which proves the proposition.

Remark. In particular, A: M is canonically identified with the dual M* of M , the canonical bilinear form on M x M* being identified with the restriction to M x (A:M) of the multiplication B x B -+ B.
6. INVERTIBLE SUBMODULES

( W e preserve the notation o no. 5.) f

PROPOSITION 8. Let M be a sub-A-module ofB. Thefollowing conditions are equivalent : (a) M is non-degenerate. (b) M meets S. (c) I f j : M -+B is the canonical injection, the homomorphism u = S - 'j:S - 'M +B is bijective.
(a) implies (b), for if B . M = B, there exists a E A, s E S and x E M such that (a/s)x = 1, hence ax = s belongs to S n M. To see that (b) implies (c), note that u is already injective (3 2, no. 4,Theorem 1) ;moreover, if x E M n S, the image under u of x / x E S-lM in B is equal to 1 and u is therefore surjective. Finally, (c) clearly implies (a).
f COROLLARY. I M and N are two non-degenerate sub-A-modules o f B, the A-modules M N , M.N and M n N are non-degenerate.

DEFINITION 4 A su.'r-A-module M of B is called invertible if there exists a sub-& . module N ofB such that M .N = A.
Example. If b is invertible element of B, the A-module A b is invertible, as is seen by taking N = A b - l .

PROPOSITION 10. Let M be an invertible sub-A-module o B. Then: f (i) There exists s E S such that As c M c As - ' (and in particular M is nondegenerate). (ii) A : M is the only suS-A-module N of B such that M . N = A. If M . N = A, then B . M = B.(B.M) 3 B.(M.N) = B . A = B, hence M is non-degenerate. Similarly N is non-degenerate. If t E S n M and u E S n N (no. 5, Proposition 8), the element s = tu belongs to S n M n N, whence Ms c M . N = A and therefore As c M c As-l. On the other hand, obviously N c A: M, whence

The assertion is trivial for M + N; on the other hand if s E S n M and t E S n N, then st E S n (M.N) and st E S n ( M n N). Given two sub-A-modules M and N of B, let us denote by N: M the sub-Amodule of B consisting of those b E B such that bM c N (Chapter I, 3 2, no. 10, Remark). If every b E N: M is mapped to the homomorphism hb: x w bx of M to N, a canonical homomorphism b w h, is obtained from N : M to Hom,(M, N). PROPOSITION 9. Let M, N be two sub-A-modules o B. If M is non-degenerate, the f canonical homomorphismfrom N : M to Hom,(M, N) is bijective. Let s E S n M. If b E N : M is such that bx = 0 for all x E M, then bs = 0, whence b = 0 since s is not a divisor of 0 in B. On the other hand, let
116

A = M.N

M.(A: M) c A

and M . (A:M) = A; multiplying the two sides by N, we deduce A: M = N, which completes the proof.

T HEOREM 4. Let M be a non-degenerate sub-A-module o f B. Thefollowing properties

are equivalent : (a) M is invertible. (b) M is projective. (c) M is projective of rank 1. (d) M is a Jnitely generated A-module and, for every maximal ideal m o f A, the 4-module M,,, is monogenous.
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5 5.7

Let us show first the equivalence of properties (a), (b) and (c). If (a) holds and N is sub-A-module of B such that M .N = A, then there is a relation
(9) mini = 1
=

(mi E M, n, E N for all i ) .

For all X E M , set vi(x)

x =
i=1

nix; the vi are linear forms on M and by (9)

mivi(x) for all X E M ; this proves (Algebra, Chapter 11, $ 2 , no. 6, Proposition 12) that M is projective and generated by the m,; hence M is a finitely generated projective module. Let m be a maximal ideal of A; we show that the integer r = rg,(M) is equal to 1. Let S' be the image of S in A,,,; as the elements of S are not divisors of0 in A, those of S' are not divisors of 0 in A,, since A, is a flat A-module ($2, no. 4, Theorem 1 and Chapter I, $ 2, no. 4, Proposition 3) ;then S'- lA, # 0 and, as M, is a free &-module of rank r, S'- lM, is a free S' - l&-module of rank r. But if T' is the image of A m in S - 'A, S' - 'A, (resp. S' - lM,) is canonically identified with T'-'(S-'A) (resp. T'-'(S-'M)) (3 2, no. 3, Proposition 7). Now S-'M = B (Proposition 8 (c)) and henceT'-'(S-lM) is a free A-module of rank 1 over T'-'(S-'A), which proves that r = 1 and shows the implication (a) * (c). The implication (c) * (b) is trivial. Let us show that (b) * (a). There exists by hypothesis a family (not necessarily finite) (fA)hE of linear forms on M and a family (mh)he of elements of M such that, for all x E M, the family ( f A ( x ) )

L e t j be the canonical injection N + B. Since M is a flat A-module (Corollary to Theorem4), 1 @ j :M @A N -+ M @A B is injective. But, as B = S-lA, the B-module M @A B is equal to S-'M and hence is identified with B since M is non-degenerate (no. 5, Proposition 8). If this identification is made, the image of 1 @ jis M .N, whence (i). LetussetM' = A: M.ThenobviouslyM'.N c N: M a n d M . ( N : M) c N. O n the other hand, since M.M' = A (Proposition lo), N: M = M'.M. (N: M) c M'.N and N = M.M'.N c M.(N: M), whence (ii).
Remark. The proof of (i) in Proposition 11 uses only the fact that M is flat and non-degenerate.
7. THE GROUP OF CLASSES OF INVERTIBLE MODULES

(Wepreserve the notation o f nos. 5 and 6.)

Under multiplication, the sub-A-modules of B form a commutative monoid mywith A as identity element. Then the invertible modules are the invertible elements of 2.ll and therefore form a commutative group 3. We have seen (no. 6, Proposition 10) that the inverse of M E 3 is A: M. Let A* (resp. B*) be the multiplicative group of invertible elements of A (resp. B) and let u denote the canonical injection A + B. For all b E B*, e(6) = bA is an invertible sub-A-module. The mapping 8: B* + 3 is a homomorphism whose kernel is u(A*); its cokernel will be denoted by Q or B(A). The group Q is called the group of classes o f invertible sub-A-modules of B. The following exact sequence has been constructed
(10)
(1) --+

has finite support and x m h f h ( x ) (Algebra, Chapter 11, $ 2, no. 6, Proposition 12). Since M is non-degenerate, fh(x) = nhx for some nh E A: M by virtue of Proposition 9 of no. 5. Taking x as an element of M n S (no. 5 , Proposition 8), it is seen that of necessity nh = 0 except for a finite number of indices and mhnh = 1. This obviously implies M . (A: M) = A, whence (a). By virtue of Definition 2 of no. 3, (c) implies (d). Let us show the converse. As M is non-degenerate, its annihilator is zero (Proposition 8 (b)), then so is the annihilator of M, ($ 2, no. 4, formula (9)). As M, is assumed to be a monogenous &-module, it is therefore free of rank 1 and it then follows from no. 3, Theorem 2 that M is projective of rank 1.

zL

A* U_ B* -+e 8 . P- Q -+(1) -,

where (1) denotes the group consisting only of the identity element and p is the canonical mapping 3 --f Q = 3/8(B*). As every invertible sub-A-module M of B is projective of rank 1 (no. 6, Theorem 4), the element cl(M) E P(A) is defined (no. 4).
PROPOSITION

COROLLARY. Every invertible sub-A-module o f B is Jut andjnitely presented. This follows from Theorem 4 (c). PROPOSITION M, N be two sub-A-modules of B. Suppose that M is invertible. 11. Let
Then : (i) The canonical homomorphism M @A N -+ M .N is bijective. (ii) N: M = N . (A: M) and N = (N: M) .M.
118

morphkfrorn

12. The mapping cl: 3 --f P(A) deJ;nes, by taking quotients, an isoQ = 3/8(B*) onto the kernel ofthe canonical homomorphism

4: P(A) -+ P(B)
(no. 4). In other words, there is an exact sequence
e (l)+A*--!!+B*--t3*P(A)--+P(B).
6

119

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I t follows from Proposition 11 of no. 6 and the definition of addition in P(A) that cl(M.N) = cl(M) + cl(N) for M, N in 3, which shows that cl is a homomorphism. If M E 3 is isomorphic to A, there exists b E B such that M = Ab and, as M is invertible, there exists 6' E B such that b'b = 1, in other words b is invertible in B; the converse is immediate. Hence the kernel of cl in 3 is B(B*). Let us now determine the image of cl. If M E 3, then M @A B = S - 'M = B . (no. 5, Proposition 8 (c)), whence cl(M) ~ K e r ( + ) Conversely, let P be a projective A-module of rank 1 such that Po, = P @A B is B-isomorphic to B. As P is a flat A-module, the injection u : A + B defines an injection il @ 1 : P -+P,,, = B and P is thus identified with a sub-A-module of B; by J virtue of Proposition 8 (c) of no. 5, P is non-degenerate and Theorem 4 of no. 6 shows that P is invertible. The kernel of is therefore equal to the image of cl: 3 -+ P(A).

EXERCISES

COROLLARY 1. For two invertible sub-A-modules of B to have the same image in Q, it is necessary and suflcient that they be isomorphic. COROLLARY 2. If the ring B is semi-local, the group Q of classes of invertible sub-Amodules of B is canonically identiJied with the group P(A) of classes o projective Af modules of rank 1. In this case P(B) = 0 (no. 3, Proposition 5). Remark. The hypothesis of Corollary 2 is fulfilled in the two following cases: (1) A is an integral domain and S is the set of elements #O of A, B then being the field of fractions of A. The invertible sub-A-modules of B are also called in this case invertiblefractional ideals; those which are monogenous free Amodules Ab ( b # 0 in B) are just thefractionalprincipal ideals defined in Algebra, Chapter VI, 5 1, no. 5. *(2) The ring A is Noetherian and S is the set of elements of A which are not divisors of 0 such that B is the total ring of fractions of A. In this case s = A pi, where the pt are the elements (finite in number) of t Ass(A) (Chapter IV, fj l), hence B is semi-local (5 3, no. 5, Proposition 17). *

91 fi 1. (a) Show that a group G cannot be the union of two subgroups distinct from G. Show that, for every set I with at least two elements, the commutative group G = Fil) is the union of three subgroups distinct from G. (b) Let (HJaEI a finite family of subgroups of a group G such that each be ofthe H, is a subgroup of G of infinite index. Show that G cannot be the union o f a finite number of left cosets of the Ha.(Argue by induction on the number of elements in I ; if there exist two distinct indices i, j such that the index (Hi: (H, n H,)) is finite, H, may be suppressed; if on the other hand H, n H, is of infinite index in H, for every ordered pair (i,j ) of distinct indices, consider an index k such that Hk is maximal in the set of Hi and show that Hk is the union of a finite number of left cosets of the H, n Hi where i # k.) (c) Give an example of a commutative ring A and four ideals a, b, b 6 of , , , A such that a C$ 6, (i = 1,2,3), but a = 6, (use (a)).

-u

, 2. Let A be a ring which is not necessarily commutative and a, p1, . . ., P two-sided ideals of A. Suppose that a is contained in the union of the pa and that all the p, except at most two are prime ideals (Algebra, Chapter VIII, $ 8 , Exercise 6 ) . Show that a is contained in one of the p i .
3. In the product ring A = RN, (for each n E N)m, be the maximal ideal let consisting of the$ N --f R such thatf(n) = 0. Show that a = R") is an ideal ofA contained in the union of the m,, but in none of these maximal ideals.
Q

6 p. Show that p

4. I n a ring A let p be a prime ideal and a an element such that p c Aa but

=

up.

a finite number of prime ideals pi (1

5 (a) Let A be a Noetherian ring and a an ideal of A. Show that there exists . < i < r ) such that plpa. . .p7 c a. (Argue by reductw ad absurdum considering among the ideals containing a, distinct
121

from A and containing no finite product of prime ideals, a maximal element;

120

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EXERCISES

observe on the other hand that, if the ideal b is not prime, there exist two ideals c, b containing 6, distinct from b and satisfying cb c 6.) (Cf. Chapter IV.) I f A is an integral domain and a # 0, we may assume that the p1 # 0. (b) Give an example of a non-Noetherian ring A for which the result of (a) is false. (Take for example A to be the ring of continuous real-valued functions on 11.) 7 6. (a) Let A be a ring and a, b two ideals of A such that b is finitely generated; show that, if the quotient rings A/a and A/b are Noetherian, so is A/ab (observe that blab is a finitely generated (A/a)-module). (b) Show that, if a ring A is such that every prime ideal of A is finitely generated, A is Noetherian. (Argue by reductio ad absurdurn by showing that in the set of ideals of A which are not finitely generated there would be a maximal element c which is not prime by hypothesis; there would therefore be two I ideals a 3 c, b = c distinct from c and satisfying ab c c ; then use (a).)

,?I

9. (a) Let (a,),,,,, be a finite family of ideals of a ring A which are relatively prime in pairs and such that no a, is of the form bc = b n c, where b is another family of ideals of and care two relatively primeideals. If A which are relatively prime in pairs, such that a1a2. . .a, = a;ai. . .a&, show that m < n; if rn = n, there exists a permutation x on [1, n] such that a: = an(,)for 1 < i < n (use Proposition 5 and Algebra, Chapter VIII, 3 1, Exercise 1 (d)). (b) Let A be a Noetherian ring. Show that every ideal a of A is equal to the product of a finite number of ideals which are relatively prime in pairs, none of which is the product of two relatively prime ideals. (Argue by reductio ad absurdurn considering a maximal element of the set of ideals not having this property.) 10. Give an example of a ring A and an infinite family of distinct maximal of A such that mn = 0 but the canonical mapping ideals

A, be the product of a finite family of rings, the A, being 7. Let A = canonically identified with ideals of A. Let B be a subring of A such that pr,B = A, for 1 6 i 6 n. (a) Show that, if the A, are Noetherian (resp. Artinian), B is Noetherian (resp. Artinian) (cf. Algebra, Chapter VIII, 9 2, Exercise 12). (b) Let n, be the ideal of B which is the kernel of the restriction of pr, to B. Show that every prime ideal p ofB is contained in one of the n, (use Proposition 1); deduce that, for this index i, pr, p # A,. Show that, if each of the A, conbins only a finite number k, of maximal ideals, B contains at most k, maximal ideals. (c) Let %(A),R(B) be the Jacobson radicals of A and B respectively. Show that R(B) = B n %(A). If each of the A, contains only a finite number of maximal ideals, show that, for every integer k > 1, prl((R(B))lc)= (%(A,)) for all i and (R(B))lc = (%(A))lcn B (write %(B) as a product of distinct maximal ideals and note that, if m is a maximal ideal of B such that pr,(m) = m, is a maximal ideal of A,, then pr,(mk) = m:).
8. (a) Let a, b be two relatively prime ideals of a ring A. Show that a: b = a, 6: a = b. If c is an ideal of A such that ac C 6, then c c b.

A -j
is not surjective.

(A/mn)

11. Let A be a ring which is not necessarily commutative and let a, b be two two-sided ideals of A such that a + b = A. Show that a n b = ab + ba. Give an v p l e where a n b # ab (consider the ring of lower triangular matrices of order 2 over a field).

(b) Let p, q be two prime ideals neither of which is contained in the other; then p: q = p and q: p = q. Give an example of two principal prime ideals p, q in the polynomial ring A = K[X, Y ] (where K is a field), neither of which is contained in the other and which are not relatively prime. (c) Let a be an element which is not a divisor of 0 in A. Show that, if the principal ideal p = Aa is prime, the relation p = bc for two ideals 6, c of A implies b = A or c = A. 122

2 1. A multiplicative subset S of a ring A is called saturated if the relation xy E S implies x E S and y E S. (a) For a subset S of A to be multiplicative and saturated, it is necessary and sufficient that A S be a union of prime ideals of A. (b) Let S be a multiplicative subset of A and s the set of x E A for which there existsy E A such that xy E S. Show that 5 is the smallest saturated multiplicative subset containing S, A s is the union of the prime ideals of A not meeting S and, for every A-module M, the canonical mapping from S-lM to S-lM is bijective. (c) Let S and T be two multiplicative subsets of A. Show that the two following properties are equivalent: ( a ) S c T; (p) for every A-module M such that S-lM = 0, T - l M = 0. (To see that (p) implies ( a ) , consider a quotient A-module AlAs, where s E S.)

2. Let A be a ring and S a multiplicative subset of A. Show that the set n x f A such that sx = 0 for some s E S is an ideal of A. Set A, = A/n and denote by S, the canonical image of S in A,. Show that no element of S1is a
Of

123

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EXERCISES

divisor of 0 in A, and that the canonical homomorphism S-lA --+ SilA, is bijective. Deduce that, for S -,A to be a finitely generated A-module, it is necessary and sufficient that all the elements of S, be invertible in A,, in which case S-lA is identified with A,. 3. Let S = Z* (the complement of (0) in Z), p an integer > 1 and M the Zmodule the direct sum of the modules Z/pnZ for n E N.Show that S-lM = 0 although M is a faithful Z-module and that the canonical mapping S - l End,(M) is not injective.
4. Let S = Z* and M be a free Z-module with infinite basis. Show that the canonical mapping S - l End,(M) -+ End,-i,(S-lM) is not surjective. Deduce from this and Exercise 3 an example of a Z-module M such that the canonical mapping S-lEnd,(M) + End ,-i,(S-'M) is neither injective nor surjective.
--+

10. (a) Let K be a commutative field, A the polynomial ring K[X, Y],
p = (X), q = ( Y )and S the complement of p u q in A. Show that the saturation of p + q with respect to S is distinct from the sum of the saturations of p

and 9. (b) Let K be a commutative field, A the polynomial ring K[X, Y, Z], p = (X) + (Z), q = ( Y ) + (Z) and S the complement of p u q in A. Show that the saturation of pq with respect to S is distinct from the product of the saturations of p and q.
to the ideal

End,-i,(S-lM)

11. Let p be a prime number; which ideals of Z are saturated with respect (p) ?

12. In a ring A let r(a) denote the radical of an ideal a. (a) Show that, for three ideals a, 6, c of A,
r(a

+ bc)

r(a

+ (b n c))

= t(a

+ b) n r(a + c ) .

(b) Give an example of an infinite sequence of ideals (a,,) of A such that

I(() an)

z (I;I r(an)*

5. Give an example of a sequence (P,) of sub-Z-modules of Z such that, for S = Z*, the submodule S - l ($P,,) is distinct from (S-lP,,).

*(c) Give an example of a principal ideal a such that r(a) is not finitely generated and there exists no integer n > 0 such that (r(a))" c a. (Consider the ring of a non-discrete valuation of height 1.) *
13. Let A be a ring. (a) Give another proof of Exercise 6 (b) of Algebra, Chapter VIII, $ 6 , by considering the image of the polynomial f in the rings (A/p)[X], where p runs through the set of prime ideals of A. (b) Let N be a square matrix of order r over A; for N to be nilpotent, it is necessary and sufficient that each of the coefficients (other than the dominant coefficient) of its characteristic polynomial be so. (To see that the condition is necessary, use the same method as in (a) ;to see that it is sufficient, use the Cayley-Hamilton Theorem.) (c) Show that, for every ordered pair of positive integers k , r, there exists a least positive integer m(k, r ) independent of the ring A such that the relation N k = 0 implies (Tr(N))m(k*r) (Consider the ring A = Z[T,,], where the = 0. Ti, are ra indeterminates, the matrix X = (T,,) over A and the element

6. Give an example of a Z-module M such that, for S but Ann(S-'M) = Q (cf. Exercise 3).

Z*, Ann(M)

0,

7. Let S be a multiplicative subset of a ring A; for every family (ML)L,I of

A-modules, define a canonical homomorphism S-I M, -+ L E I S-lM, of s-lA-modules. Give an example where this homomorphism is neither injective nor surjective (cf. Exercise 3).

8. Let A be a ring, (S,),,,

M = Sc'A. Show that the two following properties are equivalent: ( a ) M is a faithfully flat A-module; (p) for every maximal ideal m of A, there exists h E L such that m n S, = a. I n particular, if S is a multiplicative subset of A, the A-module S-lA is faithfully flat only if the elements of S are invertible, in which case S-lA is identified with A.
9. Let A be a ring, S a multiplicative subset of A and q a prime ideal of A. Showthat, ifTistheimageofA-qinS-lA,theringT-l(S-'A) isisomorphic to S'-lA, where S' is the complement of the union of the prime ideals of A contained in q and not meeting S.
124

h3

a family of multiplicative subsets of A and

t=

2
t

T,, = Tr(X) of A; if

a,

is the ideal of A generated by the elements of

Xk, show, with the aid of (b), that there exists an integer m such that t m E ak.)
(d) Show that m(2,2) = 4.

7 14.

(a) Let A be a left Noetherian ring (not necessarily commutative) a d a a left ideal of A. Suppose that there exists a left ideal b # 0 such that
anb=O.

Show that every element a E a is a right divisor of 0. (Let b # 0 be an

125

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EXERCISES

element of b and let a, = Ab + Aba + . . . + Aba"; consider the smallest integer n such that a, = a, + (b) Let E be an infinite-dimensional vector space over a field K and A the ring End,(E). Give an example of two elements u, u of A such that neither u nor v is a right divisor of 0 and Au n Av = 0.

(f) Suppose that x E X. For U(x) = 3(x), it is necessary and sufficient that every countable intersection of neighbourhoods of x in X be a neighbourhood ofx in X. (Cf. General Topology, Chapter I, 3 7, Exercise 7.) (g) Show that U(X; R) is canonically identified with the total ring of (X; fractions of Urn R). 16. Let A be a topological ring (not necessarily commutative). The topology on A is called (left) linear if the open left ideals of A form a fundamental system of neighbourhoods of 0. If this is so, the set 9of open left ideals of A satisfies the following conditions : (1) Every left ideal of A containing an ideal m E 9belongs to 9. (2) Every finite intersection of ideals of 9belongs to 9. (3) If m E 9 and a E A, the left ideal n consists of those x E A such that xu E m belongs to 9. Conversely, if a set 9of left ideals of a ring A satisfies these three conditions, there exists a unique topology compatible with the ring structure on A and for which 9is the set of open left ideals of A. Such a set 9of left ideals is called (left) topologizing. 17. (*) Let A be a ring (not necessarily commutative) and 9a topologizing set (Exercise 16) of left ideals of A. (a) A (left) A-module M is called 9-negligible if the annihilator of every If element of M belongs to 9. M is S-negligible, so is every submodule and every quotient module of M. If M and N are two 9negligible A-modules, M @ N is 9-negligible. For A,/m to be 9-negligible, it is necessary and If every A-module is 9-negligible; if consists sufficient that m E 9. (0) E 9, only of the single left ideal A,, every *-negligible A-module is reduced to 0. (b) For every A-module M there exists a greatest 9-negligible submodule ofM which is denoted by 9 M . For every A-module homomorphism u : M+N, u(*M) c 9 N ;let 9 u be the mapping from P M to 9 N whose graph coincides with that of u l 9 M . If

7 15. Let X be a completely regular topological space and PX its Stone-cech compactification (General Topology, Chapter IX, 3 1, Exercise 7). For all x E X, let 3(x) denote the maximal ideal of the ring U ( X ;R) consisting of thosefE %(X; such that x belongs to the closure of the sub sety(0) of X R) (General Topology, Chapter X, 3 4, Exercise 15); let U(x) denote the ideal consisting of those f E g ( X ; R) such that J'(0) is the trace on X of a neighbourhood of x in X; U(x) is equal to its radical. An ideal a of C(X; R) is called isolated (resp. absolutely isolated) if, for all f 2 0 on a, every g such that 0 < g < f (resp. I I <f)belongs to a (cf. g Algebra, Chapter IV, 5 1, Exercise 4); then U(X; R)/a possesses an order structure (resp. a lattice-order structure) compatible with its ring structure and for which the elements 2 0 are the classes mod. a of the elements > 0 to U(X; (loc. cit.). R) (a) Show that an ideal a ofU(X; R) which is equal to its radical is absolutely isolated (iff a and lgl < consider the function equal to 0 whenf(x) = 0 and to ( g ( ~ ) ) ~ l f (whenf(x) # 0). In this case for U(X; R)/a to be totally x) ordered, it is necessary and sufficient that a be prime; the set of prime ideals of U(X; is then totally ordered by inclusion. R)/a (b) For an isolated ideal a of U(X;R) to be such that U(X; R)/a is totally ordered, it is necessary that a be contained in a single maximal ideal 3(x) and then a necessarily contains U(x) ; it is sufficient that a contain a prime ideal and then a is absolutely isolated (note that the relation fg = 0 then implies f E a or p e a ) . (c) Take X = R, x = 0; show that the principal ideal generated by the function t H It1 is contained in a(0) and contains U(0) but is not isolated; the principal ideal generated by the identity mapping t Ht is contained in 3(0), contains U(0) and is isolated but not absolutely isolated. (d) Show that, if p and q are two prime ideals in V(X; R), then pq = p n q (and in particular pa = p) and p + q is prime or equal to U(X;R). (If p q # Y ( X ;R), observe that p + q is absolutely isolated and equal to its radical and use (a).) (e) For U ( x ) to be prime, it is necessary and sufficient that, for every knctionfE V(X; R), the closure in P of one of the two sets f ' ([0, +a[), X f '(1 -a, is a neighbourhood of x. Deduce an example where U(x) is prime 01) and not maximal (consider the topological space associated with a non-trivial ultrafilter; cf. General Topology, Chapter I, 5 6, no. 5).

Ifl,

o-M-LN-LP
is an exact sequence of A-modules, the sequence

--f

9~911- N 2PP P

is exact. Show that %A, is a two-sided ideal of A.

(c) Let m, n be two elements of 9such that m c n; for every left A-module

M the canonical injection j: m -+ n defines a commutative group homomorphism

% ,, ; =

HOmA(j, 1 ) ,

: Hom,(n, M) -+Hom,(m, M).

(*) Exercises 17 to 25 (unedited) were communicated to us by P. Gabriel.

126

127

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EXERCISES

define a direct system of comIf 9is ordered by the relation 3 , the mutativegroups, whose direct limit will be denoted by M(9,. Themappings form a direct system, whose direct limit is a mapping (called canonical) from M = HomA(As,M) to M(9). Similarly, if u : M -+ N is a left A-module homomorphism, the u, = HornA(1, u ) : HOmA(m, M) -+ HOmA(m, N) form a direct system, whose direct limit is a commutative group homomorphism
U ( 9 ) : M(9)-+ N ( 9 ) .

These mappings form a direct system and their direct limit therefore corresponds canonically to a Z-bilinear mapping

$: A(9) x M<F)+ M(9p Show that, if M = A,, $ is an internal law of composition which makes
A(9)into a ring and the canonical mapping A -+ A(9)is a ring homomorphism for this structure. For any left A-module M, $ is an external law defining on M p ) a left A(F)-rnodule structure; with this structure (and the canonical mapping A --f A(9)) the canonical mapping M -+ M(9) is an A-module homomorphism. (b) If i: M + M(9)is the canonical homomorphism, show that Ker(i) = 9 M and that the A-module Coker ( i ) = M,F,/i(M) is 9-negligible. (c) For every left A-module M let M 9 denote the left A-module ( M / 9 M ) p , andjM the composite canonical mapping M + M / 9 M -+ MF; then Ker(jM)= S M and the A-module Coker(jM) = M9/jM(M) is 9negligible. Let u : P + M, h: P -+ Q be A-module homomorphisms such that Ker(h) and Coker(h) are F-negligible; show that there exists a unique A-homomorphism v: Q-. MF which makes the following diagram commutative P A M

If 0 --f M % N 4 P is an exact sequence of A-modules, the sequence v(m "(9) 0 M(9) N(9) P(9)
is exact.
18. (a) Let A be a ring and F and 9 two topologizing sets (Exercise 16) of left ideals of A. Let 9.9 denote the set of left ideals I of A for which there exists a left ideal n E 9 such that n/l is 9-negligible. Show that 9.9 topois logizing; for an A-module M to be F. 9-negligible, it is necessary and sufficient that there exist an F-negligible submodule M' of M such that M/M' is 9-negligible. Show that the composition law (9, 9.9 the set of 9) H on topologizing sets of left ideals of A is associative. 9is called idempotent if 9.9 9. = (b) Show that 9. contains all the ideals of the form m . n where m E F 9 and n E 9. (c) Let K be a commutative field and B the ring of polynomials with coefficientsin K in an infinite system of indeterminates (Xi) (i 2 0). Let b be the ideal of B generated by the elements X,X, (i # j ) ;let A be the ring B/b, Ci the class mod. b of Xi and m the ideal of A generated by the 5,; take 9to be the set of ideals containing a power of m. Show that 9is topologizing and contains the product of any two ideals of F but is not idempotent. (d) Suppose that A is commutative and 9is a topologizing set of ideals of A such that every ideal m E 9contains ajnitely generated ideal n E 9. Show that, if the product of two ideals of F belongs to 3,9is idempotent.

- - -

7 19. Let 9be a set of left ideals of a ring A; suppose that 9is topologizing and idempotent (Exercises 16 and 18).
(a) Show that, if m E 9, E 9 and u E HomA(n,As), then u'(m) E .F n f (consider the exact sequence 0 -+ nbl(m) -+ Asbl(m) --f As/n -+0). For every A-module M and all u E HomA(m,M), let u .u denote the canonical image in

(First reduce it to the case where h is injective; then, identifying P with a submodule of Q, note that, for x E Q, there exists m 9 such that mx E P and map x to the canonical image in M 9 of the composite homomorphism
m 7 mr + P % M + M/9M.)

(d) For every A-module homomorphism u: M -+ N show that there exists a unique homomorphism u s : M 9 + N 9 which makes the following diagram commutative M -!!-+N MF --+
NF
129

M(9) (Exercise 17 (c)) of the composite homomorphism ;l(rn> -!+ m M. Show that the mapping (u, u ) eu.v is Z-bilinear; there corresponds to it a Z-linear mapping +m,n : Hom~(n, As) @Z Hom~(m, + M ( s ~ M)
128

"9

XI

LOCALIZATION

EXERCISES

(use (a), (b) and (c)). Show that, if

o-M-LN-LP
is an exact sequence of A-modules, the sequence

sequence of (d); consequently &fiA(m) is 9-negligible). For every A s module M, 9 M = F M (M being considered as an A-module by means of j A ) 9topologizing and idempotent and M j , is canonically identified with , is

Mk.
20. Let 9be a topologizing and idempotent set of left ideals of a ring A. (a) Suppose that every ideal of 9contains ajnitely generated ideal belonging Let to 9. M be an A-module and (N,), I a right directed family of submodules
of M, whose union is M. Show that M s is the union of its sub-Apmodules

is exact (note that the mapping M / F M -+N / 9 N derived from u by taking quotients is injective). Show that the mappingsj, and (jM)s , coincide and are isomorphisms (and
-1

(N,)s. In particular, for every family (MA)&of A-modules,

(A%

MA)pis

therefore 9 M 9 = 0). If N is a sub-A-module of MF, (j, (N))s is canoni-1

cally identified with N h (observe that, if we write N =jM(N), NbM(N) is 9-negligible) (e) Let M be a left A-module and : A x M 3 M the Z-bilinear mapping (a, m) e a r n . Show that there exists a unique Z-bilinear mapping $9:A* x MF -+ M s which makes the following diagram commutative

canonically isomorphic to (Mh)p. (b) Suppose that condition (a) holds and also that, for every surjective Amodule homomorphism u : M -+ N, u ~ MF -+ NF is surjective. Then, the : canonical mapping AS @AM -+ MS defined by the external law on MF as an Apmodule is an Apmodule isomorphism (reduce it to the case where M is free) ; the ring A s is a flat left A-module and the left As-modules coincide with the left A-modules M such that the mapping j,: M -+ M;s is bijective. A, of rings; let e, denote the (c) Suppose that A is an infinite product unit element of A, and take 9to be the set of left ideals of A containing the two-sided ideal a = A, (the A, being canonically identified with ideals of A). Show that, for every left A-module M, M s is identified with the product

A x M -M
iA x h

A s x My+M9
6 s

JjM

We also define on A s a ring structure and on MF a left Apmodule structure. If u : M -+ N is an A-module homomorphism, u s : M s + NF is an A*-module homomorphism. In order that, for every A-module M, the mapping u H u~ of HomA(M,N) to HomAp(MT, NF) be bijective, it is necessary and sufficient thatj, be bijective. (f) Take A to be the polynomial ring K[X,Y] over a commutative field K and 9to be the (topologizing and idempotent) set of ideals of A containing a power of the ideal m = (X) + (Y). If M = A/AX and u : A + M is the canonical mapping, show that u ~A :9 -+ MF is not surjective. (Show where Y is the class of that is identified with A and M F with K[Y, 1/P], Y in Myso that Xv = 0 and X(l/P) = 0.) (8) If we set 9 l M = Mplj,(M), show that, for every exact sequence 0 + M -+ N + P -+ 0 of A-modules, there is an exact sequence 0 +9 M -+ 9 N +9 P -+ .FIM + 9 N +-FP (use the snake diagram). (h) Let . be the set of left ideals 1 of A s such that (A9)JI is an 9F negligible A-module: show that g the set of left ideals of A s containing the is jA(m), where m 9 (observe that r n s = A s for all m E g, using the exact
130

(e,M) and in particular AT = A. Deduce that, for every surjective At61 homomorphism u :M +N, UF : MF -+NF is surjective, but give examples of is A-modules M such that jM not bijective. (d) Suppose that condition (a) holds and also that A is commutative. Show that, if M is 9-negligible, M,s, = 0.

21. Let A be a commutative ring and 9a topologizing and idempotent set of ideals of A. (a) Then the ring A 9 is commutative (note that, if m E 9and
then u(m2) c m; if v is another element of Hom,(m, A), show that
WXY)) = M X Y ) ) for x E myy E m ) . (b) Let F be the family of ideals 1 of A s such that As/[ is 9-negligible (exercise 19 (h)). Show that the mapping p t-f p s is a bijection of the set of ideals p of A not belonging t o g onto the set of prime ideals of AFnot belonging to S.(Show first that, if A is an integral domain, so is A s , making the same
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note as in (a); then use the exact sequence of Exercise 19 (d) to show that p s
- 1

is prime. If p is a prime ideal of A s not belonging to . and p = jA(p), F recall that p = PS.) (c) Let B be an A-algebra and 3 the set of left ideals L of B such that B,/L is g-negligible. Show that 3 the set of left ideals of B containing an ideal of the is form B .m, where m E F; deduce that 3 is topologizing and idempotent and that, for every B-module N, F N = 3 N and NS is canonically identified with N9. (d) Let S be a multiplicative subset of A and 9 the set of ideals of A meeting S. Show that F is topologizing and idempotent and that, for every &module MyM p ) and M y are canonically identified with S-lM (note that every ideal of 9contains a principal ideal As, where s E S).

then there exists s E S such that As c m and v the diagram

E Hom,(As,

N / F N ) such that

As
il

N/SN
Ifin

m +P/FP II

is commutative, i being the canonical injection and p the mapping derived from p by taking quotients. Consider finally, for all s E S, the exact sequence

7 22. Let A be a ring (not necessarily commutative) and S a multiplicative subset of A. (a) Let be the set of left ideals L of A such that, for all a E A, there exists s E S such that sa E L; this implies in particular that I n S # 0 . Show that 9 is topologizing and idempotent. (b) Let B be a ring and 9: A -+ B a ring homomorphism. The ordered pair (By+) is called a ring ofldt fractions of A with denominators in S if it satisfies the following conditions: (I) If + ( a ) = 0, there exists s E S such that sa = 0. (11) If s E S, +(s) is invertible in B. (111) Every element of B is of the form (+(s)) - l + ( a ) , where a E A. Show that the following properties are equivalent : (a) The ring A possesses a ring of left fractions with denominators in S. (p) The following conditions hold: ( p l ) For all s E S, a E A, there exists t E S and b E A such that ta = bs. (p2) If a E A and s E S satisfy us = 0, there exists t E S such that ta = 0. (y) The canonical images of the elements of S in AS are invertible. Moreover these properties imply the following: (6) The principal ideals As, where s E S, belong to 9 and every ideal m E 5 contains one of these principal ideals. (E) The left annihilator of every s E S is contained in FA,. (<) For every exact sequence O - + M $ N & P - + O of A-modules, the
sequence 0 -+ MF NS --f PF --f 0 is exact. . (Show that (a) (p) * (y) e- (a).To see that (y) implies (a),note that, for every A-module M and every x E F M , there exists s E S such that sx = 0. To see that (p) implies (y), prove first that (p) implies (S), (E) and (<). To and show that (p) implies (<), establish, using (a), that, if m 9
u E Hom,(m,

h S

$5

P/.FP),

o+N-A%A---+A/Aso where p is the homothety A I+ hr; use (E), (<) and Exercise 4 of Algebra, , Chapter I, 3 8.) (c) Deduce from (b) that, if A possesses a ring of left fractions (B, +) with denominators in S, this ring has the following universal property: for every &g homomorphism$ A -+ C such thatf(s) is invertible in C for all s E S, there exists a unique homomorphism g : B --f C such that f = g 0 +. In particular B is canonically isomorphic to AS. (d) The notion of a ring o right fractions of A with denominators in S is f similarly defined. Deduce from (c) that, if there exist both a ring of left fractiom and a ring of right fractions of A, these two rings are isomorphic. (e) Let E be a vector space over a field K, (e,),GIa basis of E and T the tensor algebra of E. Let J be a non-empty subset of I distinct from I and S the multiplicative subset of T generated by the e, such that L E J. Show that T admits no ring of left or right fractions with denominators in S. (f) With the notation of (e) suppose that I = N and consider the quotient ring A of T by the two-sided ideal generated by the elements e i and eoet - et+,e,, for all i > 0, and e,e, - e,e,, for i > 0, j > 0. Let S be the multiplicative set generated by the canonical images of the e, in A, or i > 0; show that A admits a ring of left fractions, but not a ring of right fractions, with denominators in S. (g) Suppose that A admits a ring of left fractions with denominators in S. In the set S x A, let R be the relation between (s, x ) and ( t ,y) : there exists r E S , u E A, u E A such that r = us = vt and ux = vy. Show that R is an equivalence relation and define on the set B = (S x A)/R a ring structure such that the ordered pair consisting of S and the mapping +: A -+ B, which UPSE A to the class of (1, x ) , is a ring of left fractions of A with denominax tor~ S (use the fact that, for s E S and t E S, there exists u E A and u E A such in that r = us = tu belongs to S). Consider the case S = A (0) (cf. Algebra, Chapter I, 3 9, Exercise 8). 23. (a) Let A be a left Noetherian ring with no divisor of 0. Show that A Possesses a field of left fractions (use Exercise 14 (a) to show that condition ( p l ) ofhercise 22 (b) is fulfilled for S = A (0)).

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(b) Let A be a left and right Noetherian ring with no divisor of 0. Show that every finitely generated left A-module M, each of whose elements # O is free, is a submodule of a free A-module. (Embed M canonically in K 8 M, , where K is the field of fractions (left or right) of A considered as a right A-module; if (x,) is a basis of the left vector K-space K @,M, show that there exists a # 0 in A such that M is contained in the sub-A-module of K @A M generated by the a-xl.)

7 24. Let A be a ring, commutative or not, and F the set of left ideals 1 of A such that 1 n m # 0 for every left ideal m # 0 of A. it is I n order that 1 9, necessary and sufficient that, for every element a # 0 of A, there exist b E A such that ba # 0 and ba E 1. Every ideal 1 of 9 contains the ZJ socle of A (Algebra, Chapter VIII, $ 5, Exercise 9) and, if A is et Artinian, F consists of the ideals containing the left socle of A. (a) Show that F is a topologizing set (Exercise 16). Deduce that the set a of a E A such that la = 0 for some 1 E 9(union of the right annihilators of the 1 ~ 9 is) a two-sided ideal of A, which contains no idempotent. If A is left Noetherian, show that a is nilpotent (prove first that every element a E a is nilpotent, by considering the left annihilators of the a; then use Exercise 26 (b) of Algebra, Chapter VIII, $ 6). Let K be a commutative field and B the ring of polynomials with coefficients 1). Let b be the ideal of B generated by in K in indeterminates Y and X, (i the X,X, (i # j ) and the Y1-lX,and let A be the quotient ring B/b; show that in A the ideal a defined above contains the class of Y, which is not nilpotent. (b) Show that, for every left ideal m of A, there exists a left ideal n of A such (Take n to be an ideal which is maximal that m n n = 0 and m + n E 9. amongst the left ideals 1 such that m n 1 = 0.) (c) A ring A is called (left) neat if the two-sided ideal a defined in (a) is reduced to 0. If this is so, the set Fis idempotent (let 1, m, n be left ideals of A such that n 9, n, n/l being F-negligible, and m # 0. If x # 0 belongs 1c to m n n, there exists t E F such that r . x c 1 n m).
7 2 5 . With the notation of Exercise 24, suppose that A is a left neat ring. (a) Show that the canonical mapping j,: A --f A 9 is injective, which allows US to identify A with a subgroup of A9. Let 9 the set of left ideals 1 of be A 9 such that lh = A s ; show that 9the set of left ideals 1 of A 9 such that is 1 n m # 0 for every left ideal m # 0 of AF. (Show first that, for every left ideal m # 0 of AF, A n m # 0; note on the other hand that the ideals 1 E S precisely the left ideals of A s containing an ideal m E 9 Show that are . )
the ring A 9 is left neat. (b) Show that A 9 is an injective A-module, that is (Algebra, Chapter 11, $ 2 , Exercise 11) that, for every left ideal 1 of A and all

there exists a E A s such that u ( x ) = xu for all x E 1. (Use Exercise 24 (b) and Exercise 19 (c).) Deduce that every endomorphism of the A-module A 9 is of form u : x Hxu where U E A 9 (note that Horn,(& -49)= HornA9(&, AF) by Exercise 19 (e)); also Ker(u) = (Ker(u));s. (c) Show that, for every left ideal 1 of A, 1 9 is a direct factor of A9. (Let m be a left ideal of A such that m n 1 = 0 and m 1 E F; extend the projection of m 1 onto m, which is zero on I, to an endomorphism p of A s ; show that pa = p and that Ker(p) = 19.) (d) Show that A 9 is an absolutely flat ring (Chapter I, $ 2, Exercise 17). (Reduce it to the case where A = A s . If u is the endomorphism x Hxu of the left A-module A,, then Ker(u) = (Ker(u))F, and Ker(u) therefore admits a complementary ideal m in A,; note that Im(u) is isomorphic to m, hence injective (Algebra, Chapter 11, $ 2, Exercise 11) and therefore a direct factor of A, (loc. cit.). Finally, use Exercise 13 of Algebra, Chapter 11, $ 1.)

(a) Show that every Zorn ring A (Algebra, Chapter VIII, $ 6, Exercise 13) with no nil ideal # O is left neat; in particular, every absolutely flat ring and every primitive ring whose socle is not reduced to 0 is a left neat ring. (b) Let A be a left primitive ring whose socle is not reduced to 0; show that, i f A is represented as a dense subring of a ring of endomorphisms End,(V) of a vector space (Algebra, Chapter VIII, $ 5, Exercise lo), the ring A 9 corresponding to A (Exercise 25) is isomorphic to End,(V). ( c ) Show that every quasi-simple ring A (Algebra, Chapter VIII, $5, Exercise 5) is left and right neat and that the corresponding ring A 9 is quasisimple. Deduce that, for every ring B not reduced to 0, there exists a homomorphism 4: B --t R to a ring R which is quasi-simple, absolutely flat and such that R, is an injective R-module. (d) Let A be a left Noetherian ring with no nilpotent ideals. Show that A is left neat and that the corresponding ring A 9 is a semi-simple ring (Goldies Theorem; use Exercise 24 (a) and, on the other hand, use Algebra, Chapter VIII, $ 2, Exercise 7, noting that in the absolutely flat ring A 9 there cannot &st any family of idempotents which are pairwise orthogonal, unless A contained an infinite direct sum of left ideals #O). Show that, if s E A is not a right divisor of 0 in A, it is invertible in A 9 and conversely; the set S of these elements is a multiplicative subset of A. Show that Fis the set of left ideals of A which meet S (to see that the ideals of A meeting S belong to 9note that the , elements of S are not left divisors of 0 in A; to see that every 1 E 9contains an dement of S , represent each simple component of A 9 as an endomorphism ring of an n-dimensional vector space E and define by induction n elements ., U, such that u p j = 0 for j < i and uf # 0, the ut being of rank 1; finally show that the kernel ofs = u1 . . u, is zero). Deduce that ( A s ,j,) is a ring of left fractions of A with denominators in S (Exercise 22).

7 26.

+- +

134

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27. (a) Let A be a ring and M a finitely generated faithful A-module. Show that, if a, b are two ideals of A such that aM = bM, the radicals of a and b are equal (use no. 2, Corollary 2 to Proposition 4). (b) Deduce from (a) that, if in an integral domain A p is a finitely generated prime ideal, then pm # p" for m # n. (c) Let K be a field and A the polynomial ring K[X, Y] in two indeterminates. Let a be the ideal AX4 + AX3Y + AXY3 + AY4, b the ideal a + AX2Y2of A; show that b # a and b2 = a2.

(b) With the hypotheses and notation of (a),let P, Q b e two complementary submodules of L such that x E P; for all L E I, let el = y, + z,, where y, E P, 2, E Q. Show that the family ofy, for L E J and el for L $ J is a basis of L. (Prove, using (a), that, if z, = CK,el,the components C,, such that K E J and t E J necessarily belong to m and use Corollary 2 to Proposition 4.) Deduce that there exists a free submodule of P which contains x and is a direct factor of P. (c) Show that every projective A-module P is free (using Kaplansky's Theorem (Algebra, Chapter 11, 3 2, Exercise 4), reduce it to the case where P is generated by a countable family of elements and apply (b) to this case). (d) Give an example of a local ring A and a flat A-module M which is not free and satisfies mM = M (take A = Z(p)).*(In Chapter 111, 3 3, we shall give examples of faithfully flat A-modules which are not free over a Noetherian local ring A.) * (e) Let A be a local ring and M a finitely generated flat A-module. Show that M is a free A-module (use Exercise 23 (e) of Chapter I, 9 2 ) .
4. Let A be a local ring (not necessarily commutative) and m its Jacobson radical. Let M and N be two free A-modules (finitely generated or not) and u: M -+ N a homomorphism such that 1 @ u : M/mM -+ N/mN is bijective. Show that u is bijective. (Prove first that u is surjective and then that u is injective, reducing it to the case where M and N are finitely generated and using respectively Corollary 1 to Proposition 4 and Proposition 6.)

3 1. (a) Let A be a ring which is not necessarily commutative and I, (resp. Id)the set of elements of A which have no left (resp. right) inverse. Show that the following conditions are equivalent: (1) the sum of two elements of I, belongs to I,; (2) I, is a left ideal; (3) there is a greatest left ideal 3 in the set of left ideals #A. If these conditions hold, the opposite ring Ao also satisfies these conditions, I, = I, = 3, 3 is the unique maximal (left or right) ideal of A and hence the Jacobson radical of A, every element x $ 3 is invertible and A/3 is a field (cf Algebra, Chapter VIII, 6, no. 3). Then we also say that A is a local ring. (b) Show that in a local ring there exists no idempotent other than 0 and 1.

2. (a) Let A be a (commutative) local ring whose maximal ideal m is principal and such thatnclmn = 0 (cf. Chapter 111, 3 3, no. 2, Corollary to Proposition 4). Show that the only ideals # O and #A of A are the powers m"; deduce that A is Noetherian and is *either a discrete valuation ring (Chapter VI), or a quasi-principal ring in which 1 is an indecomposable idempotent (Algebra, Chapter VII, 3 1, Exercise 6). (b) Let A be the ring of germs at the point t = 0 of real-valued functions defined and continuous in a neighbourhood of 0 and differentiable at the point 0 (General Topology, Chapter I, 3rd ed., 6, no. 10). Show that A is a local ring whose maximal ideal m is generated by the germ of the function j:t Ht ; m" # 0 for all n but A is not a principal ideal domain. If c is the germ of the function t F+ exp( - 1/ t 2 ) and p a prime ideal of A not containing c, show that the quotient ring B = A/p is a local integral domain which is not a principal ideal domain and in which the maximal ideal is principal.

5. Show by an example that Proposition 7 does not extend to the case where the local ring A is not reduced.

6. (a) Let M be the Z-module defined in Algebra, Chapter VII, 9 3, Exercise 22 (h); let T be the torsion submodule of M. Show that, for every prime numberp, the submodule T(p) M(p) a direct factor of M(p), of is although ' is not a direct factor of M. I ' (b) Let M be the Z-module defined in Algebra, Chapter VII, 3, Exercise 5; show that, for every prime number p , M(p)is a free Z(p)-module,although M is not a free Z-module.

7 3. Let A be a local ring (not necessarily commutative, cf. Exercise 1) and m its Jacobson radical. (a) Let L be a free left A-module and x # 0 an element of L. Let (e,), be a basis of L for which the number of components # 0 of x is the least possible; if
x =

5, (c
136

zI

7. Let A be a ring and (S,),= a family of multiplicative subsets of A such that, for every maximal ideal m of A, there exists A E L such that m n S, = 0 (cf. 9 2, Exercise 8). Let M, N be two A-modules and u : M --f N a homomorphism. For u to be surjective (resp. injective, bijective, zero), it is necessary a d sufficient that, for all A E L, Sc'u: SL1M -+ S, lN be so. How can the Corollaries to Theorem 1 of no. 3 be generalized?
8. Let A be a ring, B an A-algebra (not necessarily commutative) and E a finitely generated left B-module.

let J be the set of L E I such that El # 0. Show that none of the E J) belongs to the right ideal of A generated by the others.
Eke,,

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(a) Let S be a multiplicativesubset of A and let S-'B = S-'A @A B be given its S-lA-algebra structure; S-'E can then be considered as a left S-lB-module (Algebra, Chapter VIII, 8 7, no. 1) isomorphic to S-lB @B E. Show that, if E is a flat B-module, S-lE is a flat S-lB-module. (b) Let ( S A ) A e L be a family of multiplicative subsets of A such that, for every maximal ideal m of A, there exists E L such that m n S, = 0 . Show that ATLS;lB is a faithfully flat B-module (left or right; cf. 3 2, Exercise 8). Show that, if, for all A E L, S<'E is a flat (resp. faithfully flat) S; lB-module, then E is a flat (resp. faithfully flat) B-module (use Chapter I, 3 3, Exercise 9, with Ch = SclA). (c) Suppose that the S, satisfy condition (b) and that L is finite. Show that, if, for every A E L, S<'E is a finitely generated projective S; 'B-module, then E is a finitely generated projective B-module.

and considering the ring B/a,, conclude that there are at most n - 1 distinct maximal ideals in B; if then B is not a local ring, reduce it to the case where a, = A, for somej # i using the induction hypothesis and Exercise 1 (b).) Give an example where n > 1 and B is a local ring but not isomorphic to any 4 (take the A, to be algebras over the same field K, whose maximal ideals m, are of zero square).

p and K a field of characteristic p.

7 13.

Let G be a finite group whose order n is a powerpf of a prime number

9 2, Exercise 17), it is necessary and sufficient that, for every maximal ideal m

9. Show that, for a (commutative) ring A to be absolutely flat (Chapter I,

of A, A,,, be a field (note that an absolutely flat local ring is necessarily a field and use the Corollary to Proposition 15). 10. Let A, B be two rings, p : A + B a homomorphism, q a prime ideal of B and p = pl(q). Suppose that there exists a B-module N such that N, is a flat A-module which is not reduced to 0 and N, is a finitely generated A,-module; then the prime ideal p is minimal in A. (Observe that N, is then a faithfully flat A,-module and use Corollary 4 to Proposition 11 of 3 2, no. 5.) 11. Let A be a ring, a an ideal of A and S the multiplicative subset of A consisting of the elements whose canonical images in A/a are not divisors of 0; let CD be the set of maximal elements of the set of ideals of A not meeting S (such that the ideals p E CD are prime, cf. 3 2, no. 5, Proposition 11). Show that a is the intersection of its saturations with respect to the ideals p E CD (reduce it to the case where a = 0 and use Corollary 1 to Theorem 1).
n

(a) Let E be a finite set on which G operates (Algebra, Chapter I, 3 7, no. 2) ; if E' is the set of elements of E which are invariant for all g E G, show that Card(E) = Card(E') (mod. p). Deduce that, if G is not reduced to its identity element e, the centre Z of G is not reduced to e (make G operate on itself by inner automorphisms). Conclude that G is solvable (Algebra, Chapter I, 3 6, Exercise 14). (b) Let V be a vector space over K and p a homomorphism of G to GL(V). Let V' be the set of x E V which are invariant under the linear mappings p(g), where g E G. Show that, if V' is reduced to 0, V is necessarily reduced to 0. (If x E V and x # 0, apply (a) to the additive subgroup E of V generated by the elements p ( g ) x, where g E G.) (c) Let A = K(G) the algebra of the group G over K (Algebra, Chapter be 1 1 8 1) and let I be the vector subspace of A (over K) generated by the 1, elements 1 - g where g E G. Show that I is the Jacobson radical of A and that A/I is isomorphic to K (use (b) and the definition of Jacobson radical) ; deduce that I is nilpotent. (d) Let V be a finitely generated A-module and V' the set of elements x of V such that g . x = x for all g E G. Show that the following inequalities hold

(*) dim,(V)

< n.dim,(V/IV);

(**) dim,(V)

< n.dim,(V').

(TO establish (*), use Corollary 2 to Proposition 4; deduce (**) by considering the dual of the vector space V over K.) For the two sides of the inequality (*) (resp. (**)) to be equal, it is necessary and sufficient that V be a free Amodule (cf. Corollary 1 to Proposition 5).
14. Let A be a ring, which is not necessarily commutative and whose Jacobson radical m is such that A/m is a field, and M a finitely generated free A-module. (a) Let M' be another finitely generated free A-module and u : M -+ M' a homomorphism such that u(M) is a direct factor of M'; the number dim(M) is called the rank of u and denoted by rg(u). For such a homomorphism Ker(u) is a direct factor of M and rg(u) = dim(M) - dim(Ker(u));for u to be injective (rap. surjective), it is necessary and sufficient that rg(u) = dim(M) (resp. %(u) = dim(M')). The transpose ' is such that %(M'*) is a direct factor of U M* and rg@) = rg(u).
139

7 12. Let A = i = 1 A, be the product of a finite family of local rings A,, canonically identified with ideals of A. Let B be a subring of A such that pr, B = A, for 1 < i < n. Show that B is the direct composition of at most n local rings and can only be the direct composition of n local rings if B = A. (Proceed by induction on n, considering the ideals a, = B n A, of B. Examine successively the case where a, = 4 for at least one index i and the case where a, # A, for all i. Note that, if a, # A,, every maximal ideal of B contains a,,
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(b) Let n = dim(M). The direct factors of M of dimension 1 (resp. n - 1) are called lines (resp. hyperplanes). An automorphism u E GL(M) distinct from the identity is called a transuection if there exists a hyperplane H of M all of whose elements are invariant under u ; then u ( x ) = x + a+(x), where is a linear form on M such that H = Ker(+) and a E H; obtain the converse. If A is commutative, show that every automorphism u E GL(M) of determinant 1 is a product of transvections (observe that, in the matrix of u with respect to any basis of M, every column contains a t least one invertible element of A and a matrix of the form I + E,, (i # j) is the matrix of a transvection). (c) Give an example of an automorphism u E GL(M) such that the kernel of 1 - u is not a direct factor of M (take A to be the local ring K[[X]] of formal power series in one indeterminate over a field K and M = A). (d) Give an example of direct factors N, P of M (necessarily free) such that N + P and N n P are not direct factors of M. (Take A = K[X]/(X2), where K is a field and M = A2.)

Topology, Chapter I, 4 8, Exercise l), it cannot admit a generic point unless it consists of a single point. (b) Give an example of an infinite irreducible accessible space (cf. General Topology, Chapter I, 5 8, Exercise 5 ) . (c) Let X, Y be two irreducible spaces each admitting a generic point; suppose also that Y admits only one generic point y. Letf. X -+ Y be a continuous mapping; forf (X) to be dense in Y, it is necessary and sufficient that, for every generic point x of X, f ( x ) = y. (d) Let (X,,fao) be an inverse system of irreducible spaces whose indexing set is directed; suppose that each of the X, admits a single generic point x,. Show that, if, for a < p,fao(X,) is dense in Xu, then X = lim X, is irreducible
t

(commutative) ring and M an A-module. (a) For a submodule M' of M to be pure (Chapter I, 5 2, Exercise 24), it is necessary and sufficient that, for every maximal ideal m of A, Mk be a pure sub-&-module of M, (use Theorem 1 of no. 3). (b) Suppose that A is a local ring with maximal ideal m and M a finitely generated free A-module. For a finitely generated submodule M' of M to be pure, it is necessary and sufficient that it be a direct factor of M. (Using Corollary 1 to Proposition 5 of no. 2, reduce it to proving that, if M' c mM, M' can only be a pure submodule of M if M' = 0.) 16. Let (AA,fw,) be a direct system of local rings, such that thef w h local are homomorphisms; let m, be the maximal ideal of A, and K, = AJm,. Then A = --f A, is a local ring whose maximal ideal is m = lim m, and residue lim --f field 1s K = lim K,. Moreover, if m, = Awm, for A < p, then m = Am, for ---f all h.
94 1. Let (X,,faD) be an inverse system of topological spaces, whose indexing set is directed, X = lim X, and fa be the canonical mapping from X to X,.
t

7 15. Let A be a

and admits a single generic point (same method as in Exercise 1). 3. Let X be a topological space and (Y,) a right directed family of subspaces of X ; show that if each of the subspaces Y , is irreducible and X is the union of the family (Y,), X is irreducible. Deduce an example where X is a Kolmogoroff space, each of the Y , admits a generic point, but X does not admit a generic point. 4. Let Y be an irreducible space admitting a single generic pointy, X a topological space and$ X -+ Y a continuous mapping.
(a) For every irreducible component

Z of X meetingf(y),f(Z) is dense
-1

-1

in Y.

(b) Give an example where f ( X ) is dense in Y but f ( y ) is empty (take

X to be a subspace of Y ) .
(c) Show that, if Z admits a generic point z andf(Z) is dense in Y , then
-1

f ( z ) = y and z is a generic point of Z nf(Y).

5. Let G be a connected semi-topological group (General Topology, Chapter 111,s 1, Exercise 2). Show that, if G only admits a finite number of irreducible components, it is necessarily irreducible (observe that the irreducible components are derived from the irreducible component containing the identity element e by left or right translation). 6. Let X be a topological space. (a) Let x be a point of X and U an open neighbourhood of x with only a finite number of irreducible components. Show that there exists a neighbourhood V of x such that every neighbourhood contained in V is connected. (b) Suppose that every point of X possesses an open neighbourhood with Only a finite number of irreducible components. Show that the following Properties are equivalent : (a)The irreducible components of X are open. (p) The irreducible components of X are identical with its connected components.
141

Suppose that, for all a , f , is surjective; show that, if the X, are irreducible, X is irreducible (cf. General Topology, Chapter I, 5 4, no. 4, Corollary to Proposition 9). I n particular, every product of irreducible spaces is irreducible.

2. A point x in an irreducible space X is called generic if { x } is everywhere dense in X. (a) If X is a Kolmogoroff space (General Topology, Chapter I, 3 1, Exercise 2), it admits a t least one generic point; if X is an accessible space (General
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(y) The connected components of X are irreducible. (6) Two distinct irreducible components of X do not meet.

7. Let X be a compact metrizable space and R an open equivalence relation on X such that the quotient space X/R is irreducible. Show that there exists a point x E X whose class mod. R is everywhere dense. (Note first that every open subset of X which is saturated with respect to R is everywhere dense. Then use Baires Theorem.)

8. Show that the product of two Noetherian spaces is Noetherian. (If X and Y are Noetherian spaces and A is an open subset of X x Y , show that, for all x e p r l A, there exists an open neighbourhood V of x such that V x A(#) c A and deduce that A is quasi-compact.)
9. (a) Show that the prime spectrum of a commutative ring is a Kolmogoroff space (General Topology, Chapter I, 3 1, Exercise 2), in which every irreducible component admits a (unique) generic point. (b) Let A be an integral domain and E = (0) the generic point of X = Spec(A). For the point 5 to be isolated in X, it is necessary and sufficient that the intersection of the prime ideals # O of A be an ideal #O. Give an example of a local ring with this property. 10. Let A be a ring and 2l its nilradical. For the spectrum of A to be discrete, it is necessary and sufficient that A/% be the direct composition of a finite number of fields. 11. Let K be a field, A the polynomial ring K[X, Y ] and B the quotient ring A/(XY) ;show that Spec(B) is connected but has two distinct irreducible components. 12. Let Y be a completely regular space, A = Vm(Y;R)and B = V ( Y ; R). Show that the Stone-cech compactification P of Y is canonically identified Y with an everywhere dense subspace of Spec(A) and with an everywhere dense subspace of Spec(B). 13. Let A be a ring and X = Spec(A) its spectrum. (a) If a subset F of X is closed, it has the following two properties: ( a ) for all P E F, V(p) c F; (p) for all p 6 F, there exists a closed subset of V(p) which contains F n V(p) and does not contain p. (b) Suppose X is Noetherian. Show that every subset F of X with properties (a)and (p) of (a) is closed in X (consider the irreducible components of 9 and use Exercise 9 (a)). (c) With the notation of Exercise 12, take Y to be the interval [0, 11 of R. Show that Y is not closed in X = Spec(A) (cf. 3 2, Exercise 15) but satisfies conditions (a) and (p) of (a).
142

14. Let A be a ring, X = Spec(A) its spectrum and P the set of minimal prime ideals of A. (a) Let Rip, pj be the symmetric and reflexive relation: there exists a prime ideal p of A containing p + p between the elements p, p of P; let S be the equivalence relation whose graph is the smallest of the graphs of equivalences containing the graph of R (Set Theory, Chapter 11, 4 6, Exercise 10). Show that, if I is an equivalence class with respect to S , the set V, = g I V ( p ) isconnected. (b) Show that, if P is finite (and in particular if A is Noetherian), the V, are the connected components of X. Does this result extend to the case where P is infinite (cf. Exercise 12) ?

7 15. Let A be a ring and a a finitely generated ideal of A. Show that the following properties are equivalent: ( a ) a2 = a; ((3) A is generated by an idempotent; (y) V(a) is both open and closed in X = Spec(A) and a is minimal among the ideals b such that r(b) = t(a) (use 2, Corollary 3 to Proposition 4). Give an example where a2 = a, a is not finitely generated and does not contain an idempotent (cf. fj 2, Exercise 15).
fi 16. (a) Let A be an absolutely Jut (commutative) ring (Chapter I, fj 2, Exercise 17). Show that X = Spec(A) is a totally disconnected compact space, that every prime ideal Q of A is maximal and that A, is canonically isomorphic to the field A/p (show first that, for allfE A, V ( f ) is both open and closed in X; on the other hand use fj 3, Exercise 9). (b) Show that the mapping a tf V(a) is a bijection of the set of ideals of A onto the set of closed subsets of X. Moreover, the following conditions are equivalent: ( a ) V(a) is open; (p) a is finitely generated; (y) a is generated by an idempotent; (6) A/a is a projective A-module. * (c) Let A be the structure sheaf of rings over X. Show that every AModule . is of the form E, where E is an A-module defined up to a unique F isomorphism (take E = r(X, 9) use the fact that every point of X admits and a fundamental system of neighbourhoods which are both open and closed). For every ideal a ofA, show that Hom,(a, E) is identified with r ( X V(a),e) (note that X V(a) is the union of the X,, where e runs through the set of idempotents e E a). Deduce that, for E to be an injective A-module, it is necessary and sufficient that be flabby. * (d) Let A be a ring and % its nilradical. The following properties are equivalent : (a) A/Z is absolutely flat. (p) X = Spec(A) is Hausdorff. (y) Every point of X is closed (in other words, every prime ideal of A is maximal). (Use Exercises 9 of $3.)

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7 17. * (a) Let X be a totally disconnected compact space and 0 a sheaf ofrings over X such that, for all x E X, 9, is a commutative field. Show that, i f A = r(X, O),the ring A is absolutely flat and its spectrum (with the sheaf ofrings A) is canonically identified with X (with the sheaf 9).(Observe that for allf E A the set of x E X such that f , = 0 is both open and closed in X and deduce the existence of g E A such that f = gf".) * (b) Let X be a totally disconnected compact space, K a (commutative) field and A the ring of locally constant mappings from X to K. Show that A is absolutely flat (argue directly or use (a)). (c) Let A be the ring of real-valued step functions defined on I = [0, I[, whose points of discontinuity are of the form k/2" (n E N, 0 < k < 2") and which are right continuous. Let 3 be the set of finite unions of half-open intervals [x, y[ c I whose extremities are of the form k/2". For every f E A,
the set Z(f)= f ( 0 ) belongs to 3. If a is an ideal of A, the set 23 of Z(f), wherefruns through a, is such that: (1) the intersection of two sets of 23 belongs to 23; (2) every set of 3 containing a set of 23 belongs to 23. Obtain the converse. For a to be prime, it is necessary and sufficient that 23 be the base of a filter which converges to a point of [0, 11. Show that A is an absolutely flat reduced ring and that, for every maximal ideal m of A, A,,, is isomorphic to the field R. Describe the space Spec(A).
-1

19. (a) Let +: A --+ B be a ring homomorphism. Show that, for every ideal
= V(i'(b)). (b) Deduce from (a) that, for "+(Spec(B)) to be dense in Spec(A), it is necessary and sufficient that Ker(+) be a nil ideal of A. (c) Show that, if every 6 E B may be written as 6 = h+(a), where h is invertible in B and a E A, a+ is a homeomorphism of Spec(B) onto a subspace of Spec(A).

b of By

20. Give an example of a ring homomorphism

-1

4: A -+

B such that every

maximal ideal of A is of the form. +(m),where m is a maximal ideal of B, but there exist prime ideals of A which are not inverse images under of ideals of B (take B to be a field).

21. Let (&, +oa) be a direct system of rings whose indexing set is directed, A = lim A, and + u : A, 4 A the canonical homomorphism. If we write --f X, = Spec(A,), (Xu,a+pa) is an inverse system of topological spaces and, if X = Spec(A), the a+a: X -+X, form an inverse system of continuous mappings. Show that u = lim is a homeomorphism of X onto lim X,. (Prove t t

"+,

7 18. (a) Let Y be a completely regular space. Show that the following conditions are equivalent: (a) Every prime ideal of U(Y; R)is maximal. (p) Every countable intersection of open subsets of Y is open. (y) Every continuous real-valued function on Y is locally constant. (8) The ring W(Y; R) is absolutely flat. (Use Exercise 15 (f) of tj 2.) If these hold, the space X = Spec(U(Y;R)) is canonically identified with the Stone-Cech compactification PY of Y . Such a space Y is calledjd. (b) Every subspace of a flat space is flat. Every completely regular quotient space of a flat space is flat. Every finite product of flat spaces is flat. Every sum of flat spaces is a flat space. (c) In a flat space, every countable subspace is closed and discrete. In particular every countable flat space is discrete. (d) Every Weierstrassian completely regular space (General Toflology, Chapter IX, 3 1, Exercise 22) (and a fortiori every compact space), which is flat, is finite. (e) The space associated with a non-trivial ultrafilter is extremely disconnected (General Topology, Chapter I, tj 11, Exercise 21) but is not flat. (f) The discrete space N is flat but its Stone-Cech compactification is not flat and the spectra of the rings W(N; R) and Wm(N; R) are therefore not isomorphic.
144

first that, if, for all a, p a is a prime ideal of A, such that pa = &:(pp) for all a < fi,the union p of the +,(pa) is a prime ideal of A; conversely, every prime
-1

ideal p of A is the union of the +,(pa), where pa = +,(p). Finally, iff, f = &(fu), note that the relation p E X, is equivalent to
U(P) E $ a ( ( x u ) , u ) -

E A,

and

22. (a) Let M be an A-module and (N,) a finite family of submodules of M. Show that Supp(M/q N,) = Supp(M/N,) (note that MI? N, is isomorphic to a submodule of the direct sum of the M/N,).

(b) Letp be a prime number; the support of the Z-module Z is distinct from
the closure of the union of the supports of the Z-modules Z/pkZ (k E N). (c) Let M be the direct sum of the Z-modules Z/pkZ (k E N); show that

Supp(M) is closed but distinct from V(a), where a is the annihilator of M. (d) Let N be the direct sum of the Z-modules Z/nZ (n 2 1); show that Supp(N) is not closed in Spec(Z). (e) Deduce from (c) and (d) an example of an A-module M such that, if a i its annihilator, Supp(M) is not closed and its closure is distinct from V(a). s

(f) Show that the support of the Z-module k = 1 (Z/pkz) is distinct from the Chsure of the union of the supports of the factor modules Z/pkZ.

n
m

23. b t p be a prime number; give an example of Z-modules M, N, where N

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EXERCISES
I1 LOCALIZATION

is finitely generated, such that M(,, # 0 and N,,, # 0, but (M N),,, = 0 (take M = Q). 24. (a) Let A be a ring and M, N two A-modules such that M is finitely generated. Show that Supp(Hom,(M, N)) is contained in the intersection Supp(M) n SuPP(N)* (b) Give an example where M and N are both finitely presented and Supp(Hom,(M, N)) is strictly contained in Supp(M) n Supp(N) (take A = Z,p) and N = A). (c) Let M be the Z-module the direct sum of the Z/pkZ ( p prime, k E N), Show that Supp(Hom,(M, M)) is not contained in Supp(M).

m2

by the products X,X, (i # j ) , A the quotient ring B/b, the class of X, mod. b (iE N), p the ideal of A generated by the t,of index i 3 1, which is prime, and u the canonical mapping A -+ Alp. Show that up:A, + (Alp), is bijective but p such that uf is bijective. that there exists no f E A

3. Let A be a ring and P a finitely generated projective A-module. Show that A is isomorphic to a finite product of rings A, and P is isomorphic to a

P,, where P, is a projective A,-module of rank n,, the n, being product distinct (use Theorem 1 and the fact that Spec(A) is quasi-compact).
4. Let A be a (commutative) ring and B a (not necessarily commutative) ring containing A. Suppose that the left A-module B is projective and finitely generated. Show that A is a direct factor of B. (Reduce it to the case where A is a local ring and use 5 3, no. 2, Corollary 1 to Proposition 5.)

25. Let A be a Noetherian ring, X = Spec(A) its spectrum, M a finitely generated A-module and Y = Supp(M). Let Yk (1 < k 6 n ) be the distinct connected components of Y. (a) Show that there exists a unique decomposition of M as a direct sum M = M, 0 M, 0.. @ M, such that Supp(M,) = Yk for all k. . (b) If a = Ann(M) and a, = Ann(M,), show that the a, are relatively
prime in pairs and that a, = a. (Using Proposition 17 of no. 4, reduce it to the case where a = 0 and Y = X and apply Proposition 15 of no. 3.)

5. Let A be a reduced ring and M a finitely generated A-module. Suppose that there exists an integer n > 0 such that, for every homomorphism of , A to a field K,, [M @ K,: K,] = n. Show that M is a projective module of rank n. (Reduce it to the case where A is a local ring and use 5 2, no. 2, Proposition 7.)

26. Let

+: A -+ B be a ring homomorphism such that the mapping

a+:

Spec(B) -+ Spec(A)

is surjective. Let N be a finitely generated A-module; show that, if u : M + N is an A-module homomorphism such that u @ 1 : Mo, -+N(B) is surjective, then u is surjective (apply Proposition 19 of no. 4 to Coker(u)).
27. Give an example of a local homomorphism p : A -+ B and an A-module M (not finitely generated) such that Supp(M,,,) is not equal to "p-l(Supp(M)) (take A = Z,p)and B = Z/pZ for some prime number p ) . 28. Give an example of a Z-module M such that, for some prime number @ such that ( p ) ~ S u p p ( M ) there exists no Z-homomorphism #O from M to , WZ*

fi 6. Let A be an integral domain, K its field of fractions and M an A-module. Show that the following properties are equivalent: (a) M is a projective A-module such that [M @ K: K] is finite. , (p) M is finitely generated projective A-module. (y) M is finitely generated and, for every maximal ideal m of A, the A,module M, is free. (To show that ( a ) implies (p), use Algebra, Chapter 11, fj 5, no. 5, Proposition 9. To show that (y) implies ( a ) , observe first that M is torsion-free and conclude that, for every prime ideal p of A, M, is a free A,-module of constant rank.)
7. Let A be an absolutely flat (commutative) ring (cf. 5 4, Exercise 16) and let X be its spectrum. (a) Let F be a closed subset of X and a the corresponding ideal of A (loc. &t.). Show that M = A/a is a monogenous flat A-module such that M, is a free &-module for all m E X, but that M is projective only if F is open. (b) Let E be the module the direct sum of the A/m, for m E X. Show that is a flat A-module such that Emis a free &-module of rank 1 for all m E X; for E to be a projective A-module, it is necessary and sufficient that X be finite (note that, if A/" is a projective A-module, m is finitely generated).
8. Let A be a ring and M a projective A-module of rank n. Show that there
exists a finitely generated (commutative) A-algebra B such that the A-module

5 1. Define an endomorphism u of the Z-module M = Z") such that, for the prime ideal p = (0) of Z, up is an automorphism of M, but that there exists nof # 0 in Z such that u, is a surjective endomorphism of M,.

2. Let K be a field and B the ring of polynomials with coefficients in K in an infinite system of indeterminates X, (i E N);let b be the ideal of B generated
146

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EXERCISES

B is faithfully flat and Mo) = M m A B is a free B-module of rank n (use Theorem 1 (d) and Proposition 3). Obtain the converse.
f 9. (a) Let A be a ring, (jJter family of elements of A generating the a finite ideal A and M an A-module. Suppose given in each of the A,l-modules Mf, an element z, such that, for i # j , the canonical images of zi and z, in Mflf,are equal, Show that there exists a unique t E M such that, for all i, the canonical image of z in M,, is equal to zt. (Note that, for every integer k > 0, there

(b) For every finitely generated projective A-module M and every integer

> 0 let

denote the element .(A M) of K(A). Show that AP(M

N) = r + s = p Ar(M) .As(N).
m

exists a family (gJt of elements of A such that g i f f = 1.) (b) Let A be a ring and P a projective A-module of rank 1. Show that the ring EndA(P)is canonically isomorphic to A (use Theorem 3). (c) Let A be a ring and P a projective A-module of rank n. For every
n

Let A,(M) denote the element p = o AP(M)TP in the ring K(A)[[T]] of formal power series in one indeterminate over the ring K(A) ;show that hT(M

O N)

= A@)

ATW) ;

endomorphism u of P, there corresponds canonically to A u, by (b), an element det(u) of A, called the determinant of u, such that det(u 0 u) = (det u ) (det u) for two endomorphisms u, u of P. The element xU(T) det(T. 1 - u ) of A[T] is = called the characteristic polynomial of u (cf. no. 3, Proposition 4) ;show that xu is a monk polynomial of degree n and that xu(u) = 0 (use (a) and fj 3, no. 3, Theorem 1). Deduce that, for u to be bijective, it is necessary and sufficient
n

derive a homomorphism also written x +-+ k ( x ) of K(A) to the multiplicative group of formal power series of K(A) [[TI] whose constant term is equal to 1. k t A ~ ( x denote the coefficient of TPin AT(x);then )
AP(X

+Y) =

Ar(x)As(Y)

for all x , y in K(A). (c) If A is a local ring, the ring K(A) is canonically identified with Z and
I+)
=

(i).
+

Deduce that, if A is the direct composition of m local rings, K(A)

(T - at) that det(u) be invertible in A. If A is an integral domain, xu(T)= the decomposition into the linear factors of xu in an algebraically closed extenn

sion of the field of fractions of A, and xpc,(T) = (T - q(ct,)) for every polynomial q E A[T]. Generalize similarly Proposition 14 of Algebra, Chapter VII, 9 5, no. 6. 10. Let A be a ring and E(A) the set of classes of finitely generated projective A-modules; let G be the Z-module of formal linear combinations of elements of E(A) and N the submodule of G consisting of the elements E, - 5' - where E,, E E," are the classes of three projective A-modules M, , ' M', M" such that there exists an exact sequence

is isomorphic to Z . " (d) Let +: A -+ B be a ring homomorphism. Show that there exists a unique ring homomorphism +!: K(A) -+ K(B) such that +!(KA(M))= KB(M(B)) for every finitely generated projective A-module M; then + ! ( A p ( x ) )= hP(+!(x)) for all x E K(A) ;if Jr: B -+ C is another ring homomorphism, (Jr 0 +)I = +I o +!. (e) Let : A --f B be a ring homomorphism for which B is a finitely generated projective A-module ;for every finitely generated projective B-module N, &(N) is then a finitely generated projective A-module; deduce that there exists a Z-module homomorphism K(B) -+ K(A) such that

r,

O-+ M ' + M - t

M" --f 0

+I(KB(N))= KA(+*(N))* Show that, for all x E K(A) and y E K(B), +l(y.+!(x))= +,(y). x . If Jr: B -+ C is mother ring homomorphism such that C is a finitely generated projective &module, then (Jr o +)I = +I o Jrl.
11. Let K be a field of characteristic f 2 ; consider a polynomial g(x) K[X] of even degree 2 2 with all its roots distinct (in an algebraically E closed extension of K) and satisfying g(0) # 0. Set B = K[X],

(it amounts to the same to say that M is isomorphic to the direct sum M' @ M" by virtue of Algebra, Chapter 11, fj 2, no. 2). Let K(A) be the quotient Zmodule G/N and, for every finitely generated projective A-module, let K(M) (or KA(M))be its class in K(A). (a) Show that there exists on K(A) a unique commutative ring structure whose addition is that the Z-module K(A) and multiplication is such that K(M)K(N) K(M@A N) for two finitely generated projective A-modules M, = N; K(A)is the unit element of K(A).
148

A = BM/(Y2 wheref(X) = xg(x). (a) Let y be the class of Y in A. Show that every a E A may be written uniquely in the form a = P + y Q , where P and Q a r e in B. Let 6 = P - YQ
149

-Ax))

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and N(a) = a5 = P2 - f Q'. Show that the relation N(a) = 0 implies a = 0 ; deduce that A is an integral domain. Show that the invertible elements of A are the elements #O of K. (b) Let m be the ideal AX + Ay of A; show that m is maximal and that the ideal m, of A,,, is generated by y (note that X = y2/g(X)). Deduce that m is an invertible A-module (use Theorem 1). Show that m2 = AX; deduce that m is not a principal ideal of A and that the group of classes of invertible A-modules in the field of fractions of A is not reduced to the identity element. (If m = At, then X = At2 where A EK, whence A-lX = P2 + fQ2 where P E B and QE B; prove that such a relation is impossible.)

7 12. Let A be a ring, I an A-module and B the unique ring whose underlying additive group is A @ I, A being a subring of B and I an ideal of zero square, whose A-module structure obtained by restriction of the scalars is the given structure (Algebra, Chapter 11, 3 1, Exercise 7). (a) Suppose that every non-invertible element of A belongs to the annihilator of some element #O of I. Show that every element in B which is not a divisor of 0 is invertible, in other words that B is equal to its total ring of fractions. (b) Let ( m h ) h E be a family of maximal ideals of A such that every nonL invertible ideal of A belongs to at least one mh. Show that, if I is taken to be the direct sum of the A-modules A/m,, condition (a) is satisfied. (c) Deduce from (b) that, if there exists a non-free projective A-module of rank 1, I can be chosen such that B is equal to its total ring of fractions but there exists a non-free projective B-module of rank 1 (this module is necessarily not invertible since B is the only non-degenerate sub-B-module of B). (d) Suppose that there exists in A a maximal ideal m such that, for all x E my there exists a maximal ideal m' # m of A containing x. If I is taken to be the A-module the direct sum of the A/m', where m' runs through the set of maximal ideals of A distinct from m, the corresponding ring B = A @ I is equal to its total ring of fractions; if we write n = m @ I, which is a maximal ideal of B, show that B, is isomorphic to A,,,; if A is an integral domain (necessarily not a field by hypothesis), B, is then an integral domain distinct from its field of fractions. If further mA,,, is a principal ideal of the integral domain A,,,, show that the ideal mB = m @A B of B is a non-free degenerate projective B-module of rank 1. (We shall see in Chapter VII that there are Dedekind domains A in which there exist maximal ideals m none of whose powers is a principal ideal; for such a ring A, all the preceding hypotheses are satisfied.)
7 13. Let A be a (commutative) ring and B an A-algebra (not necessarily commutative). Suppose that the A-module B is faithful and generated by a finite number of elements b, (1 < i < n); recall that Bo denotes the opposite algebra of B and that a canonical homomorphism is defined of the A-algebra
150

B @A Bo to the A-algebra End,(B) mapping b @ 6' to the endomorphism t Hbzb'. (a) Show that the two following conditions are equivalent: (a) The b, form a basis of the A-module B and the canonical homomorphism B @A Bo -+ EndA(B) is bijective. (p) The matrix U = (uU) such that ui, = b,b, is invertible in M,(B). (b) Suppose further that A is a local ring with maximal ideal m; let pi denote the canonical image of b, in B/mB. Show that conditions (a)and (p) are then equivalent to each of the conditions: (y) The pi form a basis of the A/m-module B/mB and B/mB is a simple central A/m-algebra (Algebra, Chapter VIII, fj5, no. 4 . ) (6) The matrix @,PI) is invertible in M,(B/mB). (To prove that ( 6 ) implies (p), use the fact that mB is contained in the Jacobson radical of B and Exercise 5 of Algebra, Chapter VIII, 3 6 ) .
14. Let A be a (commutative) ring and B an A-algebra such that the Amodule B is faithfully flat and finitely presented. Show that the following conditions are equivalent: (a) For every maximal ideal m of A, the A/m-algebra B/mB is simple and central. (p) B is a projective A-module and, if Bo denotes the opposite algebra to , the canonical homomorphism B @A Bo -+ EndA(B)is bijective. 3 (Reduce it to the case where A is a local ring and apply Exercise 13.) B is then called an Atumaya algebra over A.

Let B be an Azumaya A-algebra (Exercise 14). (a) Show that the centre of B is identical with the subring A of B and is a direct factor of the A-module B (cf. Chapter I, 3 2, Exercise j 1 and Chapter 11, 5 5, Exercise 4). (b) Show that,'for every two-sided ideal b of By b = (b n A)B. (Note first that B is stable under every homomorphism of the A-module B and use the existence of a projector of B onto A.)
16. (a) Let A be a (commutative) ring, A' a commutative A-algebra which is a flat A-module and B an A-algebra. Show that, if B is an Azumaya algebra, B' = A' @A B is an Azumaya A'-algebra; the converse is true if A' is assumed to be a faithfully flat A-module (cf. Algebra, Chapter 11, $5, no. 1, Corollary to Proposition 4 and Commutative Algebra, Chapter I, $ 2, no. 9, Proposition 10 and $ 3, no. 6, Proposition 12). (b) Show that the tensor product B @A C of two Azumaya A-algebras ByC is an Azumaya A-algebra (cf. Algebra, Chapter VIII, 5 7, no. 4, Corollary 2 to Theorem 2).

7 15.

fi 17. Let A be a ring and P a faithful finitely generated projective A-module.

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(a) Show that the A-algebra B = End,(P) is an Azumaya algebra. (ObServe first that the A-module B is isomorphic to P @ P* and hence finitely , presented, then use 3 2, no. 7, Proposition 19.) [b) Show that P is a left projective B-module (use Theorem 1 (d) and 9 3; Exercise 8 (c)). (c) Let P' be another faithful finitely generated projective A-module. Show that P @IA P' is a faithful finitely generated projective A-module and that EndA(P@IA P) is canonically identified with End,(P) @ Eng,(P') ' , (UseTheorem 1 (e), 3 2, no. 7, Propositions 18 and 19 and 3 3, no. 3, Theorem 1). Consider the case where P' is of rank 1.
\-/

(b) Let Aut,(A) be the group of automorphisms of the A-algebra of matrices M,(A) and let Int,(A) be the subgroup of inner automorphisms of M,(A). Show that the quotient group Autn(A)/Intn(A)is isomorphic to Pn(A) (use Exercise 20 with P = P' = An or Exercise 9 of Algebra, Chapter VIII, 3 1). Deduce that, if A is a semi-local ring or a principal ideal domain, then Aut,(A) = Int,(A).

* (c) If A is a Dedekind domain, show that P,(A)

a

is identical with the subgroup of P(A) consisting of the elements annihilated by n. *

P a faithful finitely generated projective A-module, B the A-algebra End,(P), E a left B-module and F the A-module Hom,(P, E). Show that the canonical homomorphism p: P @A F + E defined in Algebra, Chapter VIII, 3 1, no. 4, is bijective. (Reduce it to the case where A is a local ring as in Exercise 17 (c) ; in this case apply Exercise 9 of Algebra, Chapter VIII, 5 1,observing that F" and Hom,(P, E") are canonically isomorphic A-modules.) Show that there exists a strictly increasing bijection of the set of sub-Amodules of F onto the set of subB-modules of E (same method). B and C two A-algebra and 4: B --f C an A-algebra homomorphism. Suppose that B is an Azumaya algebra (Exercise 14). Let C' be the sub-A-algebra of C consisting of the elements which commute with the elements of+(B). Show that C is isomorphic to the algebra B @ C'. (Consider , C as a B @A Bo-module and apply Exercise 18, taking account of the fact that B @A Bo is isomorphic to End,(B).)

7 18. Let A be a ring,

fi 22. Let A be a ring and M a finitely generated projective A-module. For

finitely presented submodule M' of M to be a direct factor of M, it is necessary and sufficient that it be a pure submodule of M (use Theorem 1 and 5 3, Exercise 15).

23. Let A be a ring and ( J J i E I a finite family of elements of A generating the ideal A. (a) Let M be an A-module. Show that, if, for all i E I, M,, is a finitely generated A,,-module, M is a finitely generated A-module. (b) Let B be a (commutative) A-algebra. Show that, if, for all i E I, B,, is a finitely generated A,,-algebra, B is a finitely generated A-algebra.

7 19. Let A be a ring,

2 . Let A be a ring such that Spec(A) is connected. 4

(a) If M is a projective A-module of rank n, every direct factor N of M not reduced to 0 admits a rank <n. (b) Let u be a homomorphism of a projective A-module of finite rank M to a projective A-module of finite rank M' such that u(M) is a direct factor of M'. Show that Ker(u) is then a direct factor of M (cf. Exercise 23) and rg(Ker(u)) rg(Im(u)) = rg(M). Moreover the transpose tu is such that %(M'*) is a direct factor of M* and rg('u(M*)) = rg(u(M)) (cf. 9 3, Exercise I4 (a)). 25. Let A be a ring and S a multiplicative subset of A. An ideal a of A is called S-invertible if there exists s E S and an ideal b of A such that ab = AS; two ideals a, b of A are called S-equivalent if there exists s, t in S such that SQ = tb. Show that the S-equivalence classes of the S-invertible ideals of A form a multiplicative group 0,. If S is saturated (9 2, Exercise 1) and no element of S is a divisor of 0 in A, show that the group Cs is isomorphic to the C h e s of invertible sub-S-'A-moduIes of the total ring of fractions B of A (and S-lA).

Let A be a ring and P, P' two faithful finitely generated projective Amodules. Show that, if 8: End,(P) + End,(P') is an A-algebra isomorphism, there exists a projective A-module F of rank 1 and an A-isomorphism

7 20.

F such that 8(u) = 0 (u @I 1) 0 4 for all u E End,(P). (Apply Exercise 18 to E = P' considered as an (End,(P))-module by means of 8; to prove that Hom,(P, P') is a projective A-module of rank 1, use Theorem 2 of no. 3 and Algebra, Chapter VIII, 3 5, Exercise 7 (c).)
Let A be a ring and n an integer 2 0. (a) Show that A-modules F such that Fn is isomorphic to An are projective of rank 1 and that their classes in P(A) form a subgroup P,(A) every element of which is annihilated by n. (To show the first assertion, use Proposition
n

4: P -+P @ ' ,

-1

fi 2 1.

5 of 5 2, no. 2; for the second, observe that isomorphic.)

152

A Fn and @ F are canonically

153

CHAPTER III(*)

Graduations, Filtrations and Topologies

All the rings considered in this chapter are assumed to have a unit element; all the ring homomorphisms are assumed to map unit element to unit element. By a subring of a ring A we mean a subring containing the unit element of A. Unless otherwise stated, all the modules are lejt modules.

1. FINITELY GENERATED GRADED ALGEBRAS

1. SYSTEMS OF GENERATORS OF A COMMUTATIVE ALGEBRA

Let A be a commutative ring and B a commutative A-algebra. Let us recall (Algebra, Chapter IV, 5 2, no. 1) that if x = ( x , ) , ~ ~ a family of elements is of B, the mapping f H ( x ) from the polynomial algebra AIXJIEIto B is f homomorphism of A[X,IlEI onto the subalgebra of B generated by the x,, whose kernel a is the ideal of polynomialsf such that f ( x ) = 0, called the ideal o algebraic relations (with coeficients in A) between the x,. f

DEFINITION 1. In a commutative algebra B over a commutative ring A, a farnib

( x ~ ) ofelements ofB is called algebraicallyfree over A (or the x, are called algebrai, ~ ~ cally independent over A) ifthe ideal ofalgebraic relations between the x,, with coeficients in A, i reduced to 0. A family (x,) which is not algebraically free over A is also called s algebraically related (or its elements are also called algebraically dependent over A).

This definition generalizes that given in Algebra, Chapter V, 3 5, no. 1, Definition 1 for families of elements of a commutative field.
(*) Except in Q 5, which uses the results of Chapter I, Q 4 and therefore homological algebra, no use is made in this chapter of any books other than Books I to VI a d Chapters I and I1 of this book.

155

Ill

GRADUATIONS, FILTRATIONS AND TOPOLOGIES

PROPERTIES OF THE RING

A(d'

fj 1.3

To say that a family ( x , ) , ~ ~ is algebraically free over A amounts to the same

xri in the x, are linearly independent over A; as saying that the monomials in particular the x, are then linearly independent over A.

Clearly conditions (b) and (c) are equivalent. If they hold, every element of m is of the form f ((x,)) wherefis a polynomial of AO[X,IhGL with no constant term; then m = h s L Ax,, which proves that (c) implies (a). Conversely, suppose that condition (a) holds. Let A' = A,[x,],~ be the sub-A,-algebra of A generated by the family (x,) and let us show that A' = A. For this, it is sufficient to show that A, c A for all i > 0. We proceed by induction on i, the property being obvious for i = 0. Then let y E A, with i > 1. Sincey E m, there exists a family (ah), of elements of A of finite support such that y = a,xh and we may assume that each of the ah is homogeneous of degree i - deg(x,) (by replacing it if need be by its homogeneous component of that degree); as deg(x,) > 0, the induction hypothesis shows that ah EA' for all AEL, whence y E A' and A, c A', which proves that (a) implies (b). COROLLARY. Let A

DEFINITION 2. A commutative algebra B ouer a commutative ring A is called jinitely generated f it is generated by a j n i t e family o f elements. i

It amounts to the same to say that B is isomorphic to an A-algebra of the form A[X,, . . ., X,]/a (where the Xi are indeterminates and a is an ideal of the polynomial ring A[X,, . . .,X,]).
If the A-algebra B is aJinitely generated A-module, it is obviously a finitely generated A-algebra; the converse is false as the example of polynomial algebras shows (cf. Chapter V).

If B is a finitely generated A-algebra and A' is any commutative A-algebra, B(A,, = B @AA' is a finitely generated A'-algebra, for if (x,),,~ is a system of generators of the A-algebra B, clearly the x, @ 1 form a system of generators of the A-algebra B(K). If B is a finitely generated A-algebra and C a finitely generated B-algebra, then C is a finitely generated A-algebra; for it follows immediately from the definitions that if (b,),EL is a system of generators of the A-algebra B and ( c , ) , , ~ ~is a system of generators of the B-algebra C, every element of C is equal to a polynomial, with coefficients in A, in the b, and the cn.
2. CRITERIA OF FINITENESS FOR GRADED RINGS

,2A, be a graded commutative ring with positive degrees and m the graded ideal, , A,. %
=

(i) The following conditions are equivalent: (a) The ideal m is afinitely generated A-module. (b) The ring A is ajinitely generated A,-module. (ii) Suppose that the conditions in (i) hold and let M = Mi be ajnitely generated graded A-module. Then, f o r all i E Z,M, is a finitely A,-module and there exists i0 such that M, = (0) f o r i < i,.

,%

In this no. and the following, all the graduations considered (Algebra, Chapter 11,

3 11) are assumed to be o f type Z. If A (resp. M) is a graded ring (resp. graded module), A, (resp. M,) will denote the set o f homogeneous elements o f degree i in A (resp. M). I f & = (0) (resp. Mi = (0)) for i < 0, A (resp. M) will, to abbreviate, be called a graded ring (resp. module) with positive degrees.
PROPOSITION 1. Let A =

,%A, be a graded commutative ring with positive degrees, m

(i) If a family (y,) of elements of A is a system of generators of the Amodule m (resp. of the A,-module A), so is the family consisting of the homogeneous components of the y n ; the equivalence of conditions (a) and (b) then follows from Proposition 1. (E) We may suppose that A is generated (as an A,-algebra) by homogeneous elements a, (1 < i < r ) of degree > 1 and M is generated (as an Amodule) by homogeneous elements x, (1 < j < s) ;let h, = deg(a,), k, = deg(x,). clearly M, consists of the linear combinations with coefficients in A, of the elements ay'a?. . .a:%, such that the a, are integers > 0 satisfying the relation
athi = n; for each n there is only a finite number of families (a,)1G i t r atisfjring these conditions, since h, 2 1 for all i; we conclude that M, is a finitely generated A,-module and moreover clearly M, = {0} when R < inf(kj).
-t
j

the graded ideal 1 5 1 A, and (xh), a family o f homogeneous elements o f A o f degrees @ 2 1. Thefollowing conditions are equivalent:
(a) The ideal of A generated by the family (xh) is equal to m. (b) Thefamily (xh) is a system of generators ofthe A,-algebra A. (c) For all i 2 0, the A,-module A, is generated by the elements oftheform which are o &gree i in A. f
156

xp

'. PROPERTIES OF THE RING A(d)

k t A = i@ A, be a graded ring and M Z
=

,% Mi a graded A-module; for

157

I11

GRADUATIONS, FILTRATIONS AND TOPOLOGIES

PROPERTIES OF THE RING

fj 1.3

every ordered pair of integers (d, k ) such that d 3 1 and 0 set

< k < d - 1,

A = Ao[Al] and deg(a,) > 0, each ah is a sum of elements of the form bb' where b E A,, b' E A, whence x E A,M,. Then M,, = AIM,, whence M, + = AkM, by induction on k.

Clearly A(d) a graded subring of A and M(d* a graded A(d)-module moreis ; over, if N is a graded submodule of M, N(d.k) a graded sub-A(d)-module is of M(d.k). We shall write M(d) instead of M(d*o); each d 2 1, M is the direct for sum of the A(d)-modules M(d*k) < k < d - 1). (0

LEMMA 2. Let A be a graded commutative ring such that A = Ao[Al] and let S= S, be a graded commutative A-algebra with positive degrees, which is a

9,

PROPOSITION 2. Let A

and M = M, a graded A-module. Sukpose that A is a jnitely generated A,algebra and M a Jinitely generated A-module. Then, for every ordered pair (d, k ) of integerssuch that d 2 1, 0 < k < d - 1: (i) A(d)is ajnitely generated A,-module. (ii) M(d*) is ajnitely generated A(d)-module. IC

, 9

,2A, be a graded commutative ring with positive degrees

jnitely generated A-module. Then there exists an integer no 2 0 such that: (i) For n 2 no and k 2 0, s n + k = s k . S n * (ii) Ford > no, Sd) sO[sd]. =

By Lemma 1 there exists an integer no >/ 0 such that, for n > no and k >/ 0, S,,, = A,$,, whence a fortiori S,,, = S,S,, which establishes (i). Then, for d 3 no and m > 0, Smd (S,Jrnas follows by induction on m applying (i); = this establishes (ii).

Let us show that A is ajnitely generated A(d)-module.Let (a,) be a system of generators of the A,-algebra A consisting of homogeneous elements. The elements of A (finite in number) of the form ayla?. . .a:a such that 0 < a, < d for 1 < i < s constitute a system of generators of the A(d)-moduleA; for every system of integers n, > 0 (1 < i < s), there are positive integers qt, r, such that n, = q,d + r, where r, < d (1 < i < s ) ; then
aya",a

PROPOSITION 3. Let R = R, be a graded commutative ring with positive degrees which is a jnitely generated R,-algebra. There exists an integer e 2 1 such that R(me) R,[R,,] for all m 2 1. =
Let (xj)lG,ssbe a system of homogeneous generators of the R,-algebra R, whose degrees are > 1. Let h, = deg(x,), let q be a common multiple of the h, and let us write q, = q/h, for 1 < j < s; the elements x y are then all of degree q. Let B be the sub-Ro-algebra of R generated by the x y ; it is a graded subalgebra of R and B, = 0 if i is not a multiple of q. Let A (resp. S) be the and graded ring whose underlying ring is B (resp. R(@) whose graduation consists of the A, = B,, (resp. Si = R,,). Then A = A,[A,] by definition of B. Consider the elements of R (finite in number) of the form ~ 7 ~ x . 7x .: ~ ,where . 0 Q Gcj < q, and alhl + . . + ashs = 0 (mod. q) ; let us show that they generate the B-module R(@. t is sufficient to prove that every element of R(*) the I of form xy'x?. . .x: is a B-linear combination of the above elements. Now, there exist positive integers k,, rj such that nj = kjq, rj where r, < qj (1 < j < s) ; then

go

. .a:

= (a:.

. .a:)

(a:.

. .a:)

which proves our assertion, for every homogeneous element x E A satisfies xd E A(d).Then, if M is a finitely generated A-module, it is also a finitely generated A(d)-module; as M is the direct sum of the M(d.k)(0 < k < d - I), each of the MCd*Ic) finitely generated A(d)-module,which proves (ii). is a Let US apply the above to the graded A-module rn = @ A,, which is finitely 12.1 generated by the Corollary to Proposition 1 of no. 2 ; it is seen that rn(d) is a finitely generated A(d)-module; therefore (no. 2, Corollary to Proposition 1) A(*' is a finitely generated A,-algebra. LEMMA Let A be a graded commutative ring such that A = Ao[Al], M a graded 1. A-module and (yJAs a system ofhomogeneous generators OfM such that deg(y,) Q no for all A L. Then,for all n > no and all k 3 0, M,,, = A,.M,. Let n 2 no and x
E M,,

Since the yh generate M, there exists a family

(ah)hPL of elements of A of finite support such that x = aAyA; we may further suppose that each ah is homogeneous and of degree n + 1 - deg(yh) (replacing it if need be by its homogeneous component of that degree). As
158

x? belong to B by definition, this proves our assertion. As

rjhj = 0 (mod. q) ; as the S is a finitely generated A-module, Lemma 2 can be applied: there exists no such that for d > no, s'd) So[Sd] and hence R(Qd) R,[Rqd] for d > no. The proposition follows = = with e = qn,.

and by hypothesis

n,hj

0 (mod. q), hence

,z

159

111

GRADUATIONS, FILTRATIONS AND TOPOLOGIES

GRADED PRIME IDEALS

3 1.4

4. GRADED PRIME IDEALS

,3A, be a graded commutative ring with positive degrees and m the graded ideal , A,; we shall call the two graded ideals a , % % b @ 6,
Let A
= =

belongs to p' n A,+, p' c p and finally p'

= an+,, = p.

whence by definition x E p, which shows that

a,,

PROPOSITION 6. Let d be an integer 2 1.

(i) For every essential graded ideal p ofA, p n A(,) is an essential gradedprime ideal
o A(,). f

izo

of A equivalent if there exists an integer no such that a, = 6, for n 2 no (clearly it is an equivalence relation). A graded ideal is called essential if it is not equivalent to m.
pi be a graded ideal ofA; for p to beprime, it is necessary 4. Let p = and sufldent that, ifx E A,, y E A, satis- x $ p and y $ p, then xy $ p.
PRoPosInoN

(ii) Conversely,f o r every essential gradedprime ideal p' o A(,), there exists a unique f (necessarily essential) gradedprime ideal p o A such that p n A(d)= p'. f (i) If a E A, does not belong to pry akd does not belong to
p n A(,) is essential.
Pkd

and hence

The condition is obviously necessary. Conversely, if it is fulfilled, then in the A,/p, the product of two homogeneous elements # O is graded ring A/p = # O and hence A/p is an integral domain (Algebra, Chapter 11, 11, no. 4, Proposition 7).

, 9
=

PROPOSITION 5. Let a

, a, be a graded ideal ofA and no an integer > 0. For there $ , to exist a gradedprime ideal p = (0, pi such that P = a, f o r n 2 no, it is necessary

(ii) For all n 2 0, the set p n A, must be equal to the set a, of x E A, such that xd E p'. Let us show that a = n > O a, is a graded prime ideal; as a, = pk @ when n is a multiple of d, since p' is prime, this will prove the uniqueness of p. Now, if x E a,, y E a,, ( x - y)2d is the sum of terms each of which is a product ofxd or yd by a homogeneous element of degree nd and hence ( x - y)', E p' and, since p' is prime, ( x - y, E p' and therefore a, is a subgroup of A. AS p' is ) an ideal of A(,), a is a graded ideal of A; finally, the relation ( x y ) , E p' implies xd E p' or yd E p', which completes the proof by virtue of Proposition 4.

and suflcient that, for pair o homogeneous elements x, y of degrees 2 no, the relation f xtj E a implies "x E a or y E a". If there exists n 2 no such that a, # A,, the prime ideal satisfiing the above conditions is unique. The condition of the statement is obviously necessary. If a, = A, for all n 2 no, clearly every prime ideal containing m is a solution to the problem; there may therefore be several prime ideals which solve the problem; however, any two of these ideals are obviously equivalent. Suppose then that there exists a homogeneous element a E A, (with d 2 no) not belonging to ad. Let p be the set of x E A such that ax E a. Clearly p is an ideal of A; as the homogeneous components of ax are the products by a of those of x and a is a graded ideal, p is a graded ideal; moreover, 1 $ p and hence p # A. To prove that p is prime, it is sufficient to show that, if x E A,, y E A, satisfy x $ p and y $ p, then xy $ p (Proposition 4). Then ax $ am+,, ay $ a n + d , whence by hypothesis $ am+n+Zd; we conclude that axy a,+,+, since xy $ p. Finally, if n 2 no and x E A,, the conditions x E a, and ax E a,,+, are equivalent by hypothesis and hence p n A, = a,, which completes the proof of the existence of the graded prime ideal p which solves the problem. If also p' is another graded prime ideal of A such that p' n A, = a, for n 2 no, then a $ p' and ax E p' for all x E p, whence p c p' since p' is prime. On the other hand, if x is a homogeneous element of degree n 2 0 of p', ax is homogeneous of degree n d 2 no and therefore

Let A be a graded commutative ring with positive degrees and p an essential graded prime ideal of A. The set S of homogeneous elements of A not belonging to p is multiplicative and the ring of fractions S-IA is therefore graded canonically (Chapter 11, 2, no. 9) (note that there will in general be homogeneous elements # 0 of negative degree in this graduation). We shall denote by A(,,) the subring of S-lA consisting of the homogeneous elements of degree 0, in other words the set of fractions x/s, where x and s are homogeneous of the same degree in A and s $ p. Similarly, for every graded A-module M, S-lM is graded canonically (loc. cit.) and we shall denote by M(,,)the subgroup of homogeneous elements of degree 0, which is obviously an A(,,-module.
PROPOSITION

7. Let p be a gradedprime ideal ofA, d an integer 2 1 and p' the graded ideal p n A(,) of A(,); for every graded A-module M, the homomorphism (M(d))(pt) derivedfrom the canonical injection MCd)-+ M is bijective. -+ M,,,

If s is the set of homogeneous elements of A not belonging to p and s' = S n A(,), the canonical homomorphism +: S'-lMcd) -+S-lM is a homogeneous homomorphism of degree 0 and it is injective, for, if x E M,, satisfies 0 for s E A,, s $ p, then also sdx = 0 and sd E Amd,sd $ p'. It remains to show that the image under 4 of (MCd))(,,,) whole of M(,); but if x E M,, is the S E & and s $ p, then also x / s = (xsd-l)/sd where xsd-l E A,,, sd E A,, and f l 4 p', whence our assertion.
3% =

PROPOSITION

8. Let m =

igA,; let (p"))

,be a jnite family

o graded prime f

160

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GRADUATIONS, FILTRATIONS AND TOPOLOGIES

FILTERED RINGS AND MODULES

9 1.2

ideals ofA and a a graded ideal o A such that a n m r$ p(k) f o r all k; then there exists f a homogeneous element z E a n m not belonging to any ofthe We argue by induction on n, the proposition being trivial for n = 1. If there exists an indexj such that a n m n p(j) is contained in one of the pck) of index k # j , it follows from the induction hypothesis that there is a homogeneous element z' E a n rn not belonging to any of the p(k)for k # j and therefore not belonging to p(j) either and this element solves the problem. Suppose then that for every index j , a n m n p(j) is not contained in any of the p(,) of index k # j ; the induction hypothesis therefore implies the existence of a homo) , geneous element y, E a n rn n $') belonging to none of the $ for k # j ; as the y, are all of degrees 2 1, we may assume by replacing them by suitable powers (since the pck) are prime) that y, and

(2)

1 Ao.

The ring A with thisfiltration i then called afiltered ring. s Conditions (1) and (2) show that A, is a subring of A and the A, (left and right) A,-modules. The set B = A, is a subring of A and the set n = A, a two-sided ideal of B; for if x E n and a E A,, for all k E Z, x E &-,, whence ax E A, and xu E A, by (1) ; therefore ax E n and xa E n. An important particular case is that in which A, = A; then A, = A for n < 0 and all the A, are two-sided ideals of A.

,VZ

,CZ

n
j=a

DEFINITION A be afiltered ring, (An)nEz 3. Let itsfiltration and E an A-module. A Jiltration (En)ncz E is called compatible with its module structure over thejltered ring on Aif
(3) AmE, c Em+, for m E Z ,
n E

y, are of the same

degree. Then z = y, yj is homogeneous of degree 2 1 and the same 1-2 argument as in Chapter 11, 4 1, no. 1, Proposition 2 shows that z solves the problem.

Z.

The A-module E with this filtration is called afiltered module. The En are all A,-modules; if B =

,VZ A,, clearly ,yzEnis a B-module and so

is n z Enby the same argument as above for Q submodules of E.

,CZ If A, A,.

A, all the Enare

92. GENERAL RESULTS ON FILTERED RINGS AND MODULES

1 FILTERED .

Examples (1) Let A be a graded ring of type Z; for all i E Z , let A,,, be the subgroup of honlogeneous elements of degree i in A. Let us write A, = t b n A(t);then it is immediate that (A,) is an exhaustive and separated decreasing filtration which is compatible with the ring structure on A; this filtration is said to be associated with the graduation and the filtered ring A is said to be associated with the given graded ring A. Now let E be a graded module of type Z over the graded ring A and for all i E Z let Eo, be the subgroup of homogeneous elements of degree i of E. Let
US

RINGS AND MODULES

DEFINITION 1. An increasing (resp. decreasing) sequence (G,)nEZof subgroups group G i called an increasing (resp. decreasing)filtration on G. s A group with ajltration is called ajltered group.

of a

If (Gn)nszis an increasing (resp. decreasing) filtration on a group G and we write Gk = G-,, clearly (Gk)nEzis a decreasing (resp. increasing) filtration on G. We may therefore restrict our study to decreasing filtrations and hence forth when we speak of a filtration, we shall mean a decreasing filtration, unless otherwise stated. G, and Given a decreasing filtration (G,)nEZon a group G, clearly

u G , are subgroups of G; the filtration is called separated if ,yzG, is reduced to the identity element and exhaustive if ,yZ G, G.
nez

,Cz

write En = Eo,; then (En) is an exhaustive and separated decreasing filtration which is compatible with the module structure on E over the filtered ring A; this filtration is said to be associated with the graduation (EoJtEZ and the filtered module E is said to be associated with the given graded module E. (2) Let A be a filtered ring, (A,)nEZits filtration and E an A-module. Let u write En = A,E; it follows from (1) that s AmEn = A m 4 3 c A + nE = E + n, m m and from (2) that E, = E; then (En) is an exhaustive filtration which is compatible with the A-module structure on E. This filtration is said to be derived from the given filtration (A,) on A; note that it is not necessarily separated, 163

DEFINITION 2. Given a ring A, afiltration (A,),,z compatible with the ring structure on A if
(1) 162 AmA, c Am+,

over the additive group A is called

for m E Z , n E Z

I1I

GRADUATIONS, FILTRATIONS AND TOPOLOGIES

THE GRADED MODULE ASSOCIATED WITH A FILTERED MODULE

3 2.3

even if (A,,) is separated and E and the A, are finitely generated A-modules (cf. 5 3, Exercise 2; see however 3 3, no. 3, Proposition 5 and no. 2, Corollary to Proposition 4 . ) (3) Let A be a ring and m a two-sided ideal of A. Let us write A, = mn for n 2 0, A, = A for n < 0; it is immediate that (A,) is an exhaustive filtration on A, called the m-adicfiltration. Let E be an A-module; the filtration (En) derived from the m-adic filtration on A is called the m-adicjltration on E ; in other words, En = m"E for n 2 0 and En = E for n < 0. I f A is commutative and B is an A-algebra, n = mB is a two-sided ideal of B a d , for every B-module F, nkF = mkF and hence the n-adic filtration on F coincides with the m-adic filtration (if F is considered as an A-module). (4) If A is a filtered ring and (A,) its filtration, the left A-module A, is a filtered A-module with the filtration (A,). On the other hand, clearly (A,) is a filtration which is compatible with the ring structure on the opposite ring A' and A, is a filtered (left) Ao-module with the filtration (A,). (5) On a ring A the sets A, such that A, = 0 for n > 0, A, = A for n < 0 form what is called a trivial filtration associated (Example 1) with the trivial graduation on A; on an A-module E, every filtration (En) consisting of sub-Amodules is then compatible with the module structure on E over the filtered ring A. Then it is possible to say that every filtered commutative group G is a filtered Z-module, if Z is given the trivial filtration. Let G be a filtered group and (G,JnEZ filtration; clearly, for every subgroup its H of G, (H n GJnez is a filtration said to be induced by that on G ; it is exhaustive (resp. separated) if that on G is. Similarly, if H is a normal subgroup of G, the family ((H.G,)/H),Ez is a filtration on the group G/H, called the quotient under H of the filtration on G ; it is exhaustive if (G,) is. If G' is another filtered group and (Gh),Ez its filtration, (G, x GA) is a filtration on G x G' called the product of the filtrations on G and G', which is exhaustive (resp. separated) if (G,) and (G,) are. Now let A be a filtered ring and (A,) its filtration; on every subring B of A, clearly the filtration induced by that on A is compatible with the ring structure on B. If b is a two-sided ideal of A, the quotient filtration on A/b of that on A is compatible with the structure of this ring, for (A, b)(Am 6) C A,+, 6. If A' is another filtered ring, the product filtration on A x A' is compatible with the structure of this ring. Finally let E be a filtered A-module and (En) its filtration; on every submodule F of E, the filtration induced by that on E is compatible with the Amodule structure on F and, on the quotient module E/F, the quotient filtration of that on E is compatible with the A-module structure, as A,(F
164

Note that if the filtration on E is derived from that on A (Example 2), so is the quotient filtration on E/F, but not in general thejiltration induced on F (Exercise 1 ; see however 0 3, no. 2, Theorem 2). If E' is another filtered A-module, the product filtration on E x E' is compatible with its A-module structure. If the filtrations on E and E' are derived from that on A (Example 2), so is their product filtration.
2. THE ORDER FUNCTION

Let A be a filtered ring, E a filtered A-module and (En) the filtration of E. For all x E E let U ( X ) denote the least upper bound in R of the set on integers 12 E Z such that x E En. Then the following equivalences hold:

(4)

The mapping v : E -+ R is called the order function of the filtered module E. Ifu is known then so are the En, for En is the set ofx E E such that u ( x ) 3 n ; the fact that the En are additive subgroups of E implies the relation
u ( x - y) 2 inf(u(x),u ( y ) ) . (5) The above definition applies in particular to the filtered A-module A,; let w be its order function. It follows from equation (3) of no. 1 that for a E A and x E E,

U(X)

--OO

0x

,vz

En
En

u(x)

=p

~ x E E ,and x $ E , + ,
E n? (z

u(x) =

+a 0x

(6)

v(ax) 2 ~ ( a )

V(X)

whenever the right-hand side is defined; in particular, for a E A and b E A, w(ab) 2 w ( a ) (7) whenever the right hand side is defined.

+ w(b)

The orderfunction is defined similarly on a filtered group G which is not necessarily commutative; the corresponding relation to (5) is then written

(' 5)

u(yx-l) = u ( 3 - l ) 2 inf(u(x), u ( y ) ) .

3 THE GRADED MODULE ASSOCIATED WITH A FILTERED MODULE .

Let G be a commutative group (written additively) and (G,) a filtration on G. Let us write
(8)

gr,(G)

G,/G,+l
neZ

for n E Z

+ Em)

+ AnEm C F + Em+,*

gr(G) =

0grn(G)*
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The commutative group gr(G) is then a graded group of type Z, called the graded group associated with the filtered group G, the homogeneous elements of degree n of gr(G) being those of gr,(G). Now let A be a filtered ring, (A,) its filtration, E a filtered A-module and (E,) its filtration. For all p E Z , q E Z, a mapping gr,(A) x gr,(E) grp+q(E) (9) is defined as follows: given a E gr,(A), 5 E grq(E),two representatives a, a' of a and two representatives x , x' of 6, ax E EP+q,a'x' E E,+, and ax = a'x' (mod. E, + q + 1) , for
+

(2) Let K be a commutative ring, A the ring of formal power series

K"X1, . . .,Xrll (Algebra, Chapter IV, 3 5) and m the ideal of A whose elements are the formal power series with no constant term. Let us give A the m-adicjiltration (no. 1, Example 3) ; if M,, . . .,M, are the distinct monomials in X,, . . ., X, of total ( . degree n - 1, clearly every formal power series u of total order a) 2 n

ax

- a'x'

= (a

- a')x

+ a'(# - x ' )

and a - a' E A,+1 and x - x' E E,+, and hence our assertion follows from formula (3) of no. 1. We may therefore denote by a t the class in of the product ax of any representative a E a and any representative x E E. I t is immediate that the mapping (9) is Z-bilinear; by linearity, we derive a Zbilinear mapping gr(A) x gr(E) g w . (10) If this definition is first applied to the case E = A,, the mapping (10) is an internal law of composition on gr(A), which it is immediately verified is associative and has an identity element which is the canonical image in gr,(A) of the unit element of A; it therefore defines on gr(A) a ring structure and the graduation (gr,(A)), E Z is by definition compatible with this structure. The graded ring gr(A) (of type Z) thus defined is called the graded ring associated with the filtered ring A; it is obviously commutative if A is commutative; gr,(A) is a subring of gr(A). The mapping (10) is on the other hand a gr(A)module external law on gr(E), the module axioms being trivially satisfied, and the graduation (grn(E)),Ezon gr(E) is obviously compatible with this module thus defined is called the structure. The graded gr(A)-module gr(E) (of type Z) graded module associated with the filtered A-module E.
+

(loc. cit., no. 2 ) may be written as ukMk,where the uk belong to m; it is k=l Seen that mnis the set offormal power series u such that w ( u ) n, which shows that w is the order function for the m-adic filtration. Then clearly, for every formal power series u E m", there exists a unique homogeneous~olynomialof degree n in the Xi which is congruent to u mod. m"+l, namely the sum of terms of degree n of u ; we conclude that gr(A) is canonically isomorphic to the polynomial ring KIXl, . . ., X,]. (3) More generally, let A be a commutative ring, b an ideal of A and A be given the b-adic filtration. If we write B = gr,(A), F = gr,(A) = b/b2, we know (Algebra, Chapter 111,) that the identity mapping of the B-module F onto itself can be extended uniquely to a homomorphism u from the symmetric algebra S(F) of F to the B-algebra gr(A); it follows from the definition of gr(A) that u is a surjective homomorphism of graded algebras; for n 2 1, every element of gr,(A) is a sum of classes mod b " + l of elements of the form y = xlx2. . .x,, where xi E b (1 < i < n ) ; if ti is the class of xi mod. b2, clearly the class of y mod. b"+ is the element u ( El) . . .u( En), whence our assertion. In particular, every system of generators of the B-module F is a system of generators of the B-algebra gr(A). If now E is an A-module and E is given the b-adic filtration, it is seen similarly that the graded gr(A)-module gr(E) is generated by gr,(E) = E/bE. T o be precise, the restriction to gr(A) x gr,(E) of the external law on the e(A)-module gr(E) is a Z-bilinear mapping of gr(A) x gr,(E) to gr(E) ; moreover gr(A) is a (gr,(A), gro(A))-bimodule and gr,(E) a gr,(A)-module; it is immediately verified that, for a E gr(A), a. E gr,(A), E E gro(E),

Examples (1) Let A be a commutative ring and t an element of A which is not a divisor of 0. Let us give A the (t)-adicjltration (no. 1 Example 3). Then the associated , ) graded ring gr(A) is canonically isomorphic to the polynomial ring ( A / ( t )[XI. For gr,(A) = 0 for n < 0 and by definition the ring gr,(A) is the ring A/(t). We now note that by virtue of the hypothesis on t the relation atn = 0 (mod. t n + l )is equivalent to a = 0 (mod. t );if T is the canonical image o f t in gr,(A), every element of grn(A) may then be written uniquely in the form a-c" where a E gr,(A) ;whence our assertion.

Maao,

4)

= +(a, a051

and hence I defines a surjective gr, (A)-linear mapping $

YE: gr(A) @grg(A) grO(E) gr(E) which is called canonical. * (4) Let K be a commutative ring, g a Lie algebra over K and U the enveloping algebra of g. An increasing filtration (U,JnSz defined on U by taking is = (0) for n < 0 and denoting by U, for n > 0 the set of elements of u which can be expressed as a sum of products of at most n elements of g; then
- f -

(11)

un

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9 2.4

uo K =

and gr(U) is a commutative K-algebra (Lie Groups and Lie Algebras, Chapter I, 3 2, no. 6 ) . The canonical mapping of g to gr,(U) = U,/Uo can be extended uniquely to a homomorphism h of the symmetric algebra S(g) of the Kmodule to the K-algebra gr(U) ;the homomorphism h is surjective and, if the K-module g is free, h is bijective (loc. cit., no. 7, Theorem 1). (5) Let A be a graded ring of type Z and E a graded A-module of type Z; let A,,, (resp. E,,,) be the subgroup of homogeneous elements of degree i of A (resp. E) . Let A and E be given the filtrations associated with their graduations (no. l, Example l) and let A' and E' denote the filtered ring and filtered A-module thus obtained. Then it is immediate that the Z-linear mapping A --f gr(A') which maps an element of A(,,) to its canonical image in

4. HOMOMORPHISMS COMPATIBLE WITH FILTRATIONS

Let G, G' be two commutative groups (written additively), (G,) a filtration on G and (GL) a filtration on G'; a homomorphism h : G - t G' is called compatible with thejiltrations on G and G' if h(G,) c G for all n E Z. The comL GL/Gk+, is zero on G,,, and hence posite homomorphism G, hlGn Gk ---+ defines by taking quotients a homomorphism h, : GJG, + 4 GL/GL + ; there is therefore a unique additive group homomorphism gr(h) : gr(G) -+ gr(G') such that, for all n E Z, gr(h) coincides with h, on gr,(G) = G,/Gncl. gr(h) is called the graded group homomorphism associated with h. If G" is a third filtered group and h' : G' -+ G" a homomorphism which is compatible with the filtrations, h' 0 h is a homomorphism which is compatible with the filtrations and (12) gr(h' 0 h )
=

is a graded ring isomorphism. A canonical graded A-module isomorphism E -+gr(E') is defined similarly.

gr(h') gr(h)
0

PROPOSITION 1. Let A be ajiltered ring, (An)nEz itsjiltration and v its orderfunction. Suppose that gr(A) is a ring with no divisor o f zero. Then, for every ordered pair o f elements a, b ofthe ring B = A,, v(ab) = v ( a ) v(b).

,Vz

PROPOSITION 2. Let G be ajltered commutative group and H a subgroup of G ;let H be given the inducedjiltration and G/H the quotientjiltration. I f j : H -+ G is the canonical injection and p : G + G/H the canonical surjection, j and p are compatible with the Jiltrations and the sequence
(13) is exact.
0

n A, is a two-sided ideal of the ring B, the formula holds if v(a) or v(b) is equal to +a. not, v(a) = r and v(b) = s are integers; the classes If of a mod. A, ,and p of b mod. A, are # 0 by definition, whence by hypo,;as ab E A, *, thesis ap # 0 in gr (A) and therefore ab $ A,
As n
=
nEz
0:

gr(H) Rr(j! gr(G) gr(P)gr(G/H)

The first assertion is obvious; if (G,,) is the filtration on G, then

+s+

u(ab)

= v(a)

+ v(b).

COROLLARY. Let A be ajiltered ring and (A,)nEZ itsjiltration; let us set B =

n = n E Z A,. Ifthe ring gr(A) has no divisors o f zero, neither has the ring B/n. If a and b are elements of B not belonging to n, then v(a) # +a and v(b) # +a, whence v(ab) # +aand therefore ab $ n.

,yzA,,

(H n Gn) n Gn+1 = H n Gn+, and hence gr(j) is injective; moreover the canonical mapping

G n + (H + Gn)/H
is surjective, hence so is gr(P) and gr(p) 0 gr(j) = 0 by (12). Finally, let E E G,/G,+, belong to the kernel of gr(p) ; then there exists x E t such that ~ E H G,+l; but as G,+, c G,,

Note that the ring A can be an integral domain and the filtration (A,,) exhaustive and separated without gr (A) being an integral domain (Exercise 2).
Remark. Let G be a group which is not necessarily commutative with a filtration (Gn)nsz such that G,+, is normal in G, for all n E Z; again let gr,(G) = G,/G,+,. The restrictedproduct of the family (grn(G)),Ez, that is the

G n n (H

+ Gn+1) = (H n Gn) + Gn+1

and hence x = y + z where y E H n G, and z E G, + ;this proves that E is the class mod. G, + o f j ( y ) , in other words it belongs to the image of gr (H) under grw. Note that, given an exact sequence 0 + G' 5 G -% G" -+ 0 of filtered commutative groups, where u and u are compatible with the filtrations, the gr(d sequence 0 gr(G') g r ( 4 gr(G) --+ gr(G") --+ 0 is not necessarily
exact (Exercise 4).

subgroup of the product gr,(G) consisting of the elements (En) all of whose components, except at most a finite number, are equal to the identity element, is also called the graded group associated with G and denoted by gr(G).
168

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2.5

If now A and B are two filtered rings and h: A -+ B a ring homomorphism which is compatible with the filtrations, it is immediately verified that the graded group homomorphism gr(h) : gr(A) + gr(B) is also a ring homomorphism. I n particular, if A is a subring of A with the induced filtration, gr(A) is canonically identified with a graded subring of gr(A) (Proposition 2); if b is a two-sided ideal of A and A/b is given the quotient filtration, gr(A/b) is canonically identified with the quotient graded ring gr(A)/gr(b) (Proposition 2) * Finally, let A be a filtered ring, E, F two filtered A-modules and u : E -+ F an homomorphism compatible with the filtrations. Then it is immediate that gr(u) :gr(E) -+gr(F) is a gr(A)-linear mapping and hence a homogeneous homomorphism of degree 0 of graded gr(A)-modules. Moreover, if u : E -+ F is another A-homomorphism compatible with the filtrations, so is u u and

and for which the G, constitute a fundamental system of neighbourhoods of the identity element e of G (General Topology, Chapter 111,s 1, no. 2, Example) ;it is called the topology on G defined by thejiltration (G,). When we use topological notions concerning a filtered group, we shall mean, unless otherwise stated, with the topology defined by the filtration. Note that the G,, being subgroups of G, are both open and closed (General Topology, Chapter 111,s 2, no. 1, Corollary to Proposition 4 . ) As each G, is normal in G, the entourages of the left and right uniformities on G coincide; we deduce that G admits a Hausdor8cornpletion group (General Topology, Chapter 111, 3 3, no. 4, Theorem 1 and no. 1, Proposition 2). For every subset M of G, the closure of M in G is equal to

(14)

gr(u

+ u ) = gr(u) + gr(u).

Remarks (1) Clearly filtered ring homomorphisms (resp. homomorphisms of filtered modules over a given filtered ring A) compatible with the filtrations can be taken as morphism for the filtered ring structure (resp. filtered A-module structure) (Set Theory, Chapter IV, 2, no. 1). (2) Let E and F be two modules over a filtered ring A and let them have the filtrations derived from the filtration (A,) on A (no. 1, Example 2). Then every A-linear mapping u : E -+ F is compatible with the filtrations, since
u(A,E) = A,u(E) c A,F.
(3) Note that a filtered A-module homomorphism u : E -+ F which is compatible with the filtrations may satisfy gr(u) = 0 without being zero; this is so for example of the endomorphism x Hnx of the additive group Z with the (n)-adic filtration (for any integer n > 1). The relation gr(u) = gr(u) for two homomorphisms u, u of E to F, compatible with the filtrations, does not therefore imply necessarily u = u.

(General Topology, Chapter 111, fj 3, no. 1, formula (1)); in particular G, is the closure of {ej; thus it is seen that for the topology on G to be Hausdorfit is necessary and sufficient that the filtration (G,) be separated. For the topology on G to be discrete, it is necessary and sufficient that there exist n E Z such that G, = {e} (in which case G, = { e } for m 2 n) ; then the filtration (G,) is called discrete. Since the Hausdorff group associated with G is H = G/(nQL G,), the associated graded groups gr(G) and gr(H) (if H is given the quotient filtration) are canonically identified. Not let G be another filtered group and u : G + G a homomorphism compatible with the filtrations; the definition of the topologies on G and G shows immediately that u is continuous (*). If H is a subgroup (resp. normal subgroup) of G, the topology induced on H by that on G (resp. the quotient topology with respect to H of that on G) is the topology on H (resp. G/H) defined by the filtration induced by that on G (resp. quotient topology of that on G). The product topology of those on G and G is the topology defined by the product of filtrations on G and G. Let u be the order function (no. 2) on G. The hypothesis on the G , implies that ~(XYX-) = v(y) and hence v(xy-) = v(yx-l) = v(x-y) = v(y-lx) for a l x, y in G. Let p be a real number such that 0 < p < 1 (for example take l
(*) Throughout this chapter we shall use the words continuous homomorphum in the sense of what is called continuous representation in General Tofiology, Chapter 111, 0 2, no. 8 ; the word homomorphism will never be used in the sense of General Topology, Chapter 111, 2, no. 8, Definition 1 ; for this notion we shall always use the term strict morphism in order to avoid any confusion. 171

,cz

(4)The definitions at the beginning of this no. extend immediately to two groups G, G, which are not necessarily commutative and are filtered by subgroups G,, G, such that G,+, (resp. Gk+l) is normal in G, (resp. GA). Proposition 2 is also valid with the same hypotheses on the G, and assuming that H is invariant in G, the proof remaining unchanged except for notation.
5. THE TOPOLOGY DEFINED BY A FILTRATION

Let G be a group filtered by a family (G,JnEzof normal subgroups of G. There exists a unique topology on G which is compatible with the group structure

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2.6

p = l/e) and let d ( x , y ) = p"(xy-l) for all x, y in G. Then d ( x , x) = 0, d ( x , y) = d ( y , x ) and inequality (5') of no. 2 gives

We know that gr(A/p) is isomorphic to gr(A)/gr(p) (no. 4, Proposition 2) and hence an integral domain; we conclude that A/,$z (p A,) is an integral

d ( x , y ) G SUP(d(X, 4, d(Y, 4 ) (15) for all x, y, z in G, which implies the triangle inequality d(X,Y) G d ( x , 4

domain (no. 3, Corollary to Proposition 1). Then the closure nz (p $ of p is a prime ideal.

+ A,,)

+ d(Y, 4 .

Thus d is a pseudometric on G which is invariant under left and right translations and G, is the set of x E G such that d(e, x ) < pn; the uniform structure defined by d is then the uniform structure on the topological group G. If G is Hausdorff, G is a zero-dimensional metrizable topological space (General Topology, Chapter IX, 6, no. 4) ; d is a distance on G if also the filtration (G,) is exhaustive. Given a topological ring A, recall that a lejl topological A-module is an Amodule E with a topology compatible with its additive group structure and such that the mapping (a, x ) H ax from A x E to E is continuous (General Topology, Chapter 111, fj6, no. 6).

PROPOSITION 3. Let A be ajiltered ring, (A,) itsjiltration, B the subring

E ajltered B-module, (En) itsjiltration and F the sub-B-module mapping (a, x ) ~--t from B x F to F is continuous. ax

,Vz Eno f E. Then the

neZ

u A, ofA,

Let A be a ring and m a two-sided ideal of A; the topology defined on A by the m-adic filtration (no. 1, Example 3) is called the m-adic topology; as the madic filtration is exhaustive, A is a topological ring with this topology (Corollary to Proposition 3). Similarly, for every A-module E, the topology defined by the m-adic filtration is called the m-adic topology on E; E is a topological Amodule under this topology. Let m' be another two-sided ideal of A; for the m'-adic topology on A to bejner than the m-adic topology, it is necessary and sufficient that there exist an integer n > 0 such that m', c m ; the condition is necessary and, if it is fulfilled, mrhnc mh for all h > 0 and hence the condition is sufficient. If A is a commutative Noetherian ring, it amounts to the same to say that V ( m ) c V ( m ' )in the prime spectrum of A (Chapter 11,s 4, no. 3, Corollary 2 to Proposition 11 and 2, no. 6, Proposition 15).
6. COMPLETE FILTERED MODULES

Let a, E B , x, E F; there exists by hypothesis integers r, s such that a. E A, and x, E E,. The relation

ax - aOxO= ( a - a,)x,

+ ao(x - x,) + (a - ao)(x - x,)

E E,,

shows that if a - a, E At and x - x,

Et+s

ax - aOxO belongs to

+ E,+r + E * + P

Then, given an integer n, ax - aOxO En provided i 2 n - s j 2 n - r and E , i j 2 n, that is so long as i a n d j are sufficiently large.

PROPOSITION 5. Let G be ajiltered group whosejiltration (G,) consists of invariant subgroups of G. The following conditions are equivalent: (a) G is a complete topological group. (b) The associated Hausdoflgroup G' = G / ( G,,) is complete. (c) Every Cauchy sequence in G is convergent. I f G is commutative and written additively, these conditions are also equivalent to the following: (d) Every family (xA),.. ofelements o f G' which converges to 0 with respect to the filter 5 o f comfilements ofjinite subsets o f L is summable in G'.

,Cz

COROLLARY. ring B is a topological ring and the B-module F a topologiccl BThe module. The first assertion is obtained by applying Proposition 3 to F = B,. I t is seen in particular that a filtered ring A whose filtration is exhaustive is a topological ring; if this is so every filtered A-module whose filtration is exhaustive is a topological A-module.

PROPOSITION 4. Let A be a commutative ringjiltered by an exhaustivejiltration (A,) and p an ideal ofA. Suppose that the ideal gr(p) = (p n A,)/(p n A,+J ofthe ring gr(A) is prime. Then the closure o p in A is a prime ideal. f

gz

For a filter on G to be a Cauchy filter (resp. a convergent filter), it is necessary and sufficient that its image under the canonical mapping G + G ' be a Cauchy (resp. convergent) filter (General Topology, Chapter 11, 3 3, no. 1, Proposition 4) ;whence first of all the equivalence of (a) and (b) ;on the other hand, as G' is metrizable, the equivalence of (b) and (c) follows from Proposition 9 of General Topology, Chapter IX, 3 2, no. 6. Suppose now that G is commutative. Suppose that G' is complete and let (%.)heL be a family of elements of G' which converge to 0 with respect to 5 . For every neighbourhood V' of 0 in G which is a subgroup of G', there exists a finite subset J of L such that the condition h E L J implies xA E V ' ;then
%El

XA

E V' for

every finite subset H of L not meeting J, which shows that the

173

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f j 2.6

family ( x ~ is summable (General Topology, Chapter 111, fj 5, no. 2, Theorem ) ~ ~ Conversely, suppose that condition (d) holds and let (x,) be a Cauchy sequence on G'; the family (x, + - x,) is then summable and in particular the - x, is convergent and hence the sequence series with general term (x,) is convergent. Let G be a filtered group whose filtration (G,) consists of normal subgroups of G; the quotient groups G/G, are discrete and hence complete, since the G, are open in G. Let f n be the canonical mapping G --+ G/Gn and for m < n letf,, be the canonical mapping G/G, -+ G/G,; (G/G,,f,,) is an inverse system of discrete groups with Z as indexing set (General Topolosy, Chapter 111, f j 7, no. 3). Let be the_topological group the inverse limit of this inverse system and for all n let g: G -+ G/Gn be the canonical mapping; l e t 3 G -+ 6 be the , inverse limit of the inverse system of mappings (fn) such thatf, = g f for all , n; finally, let j be the canonical mapping of G to its Hausdorff completion as the G/Gnare complete, there exists a unique topological group isomorphism i: -+ such thatf = i o j (loc. cit., Corollary 1 to Proposition 2) ; we shall call it the canonical isomorphism of onto Let H be another filtered group whose filtration (H,) consists of normal subgroups of H and let u : G -+ H be a homomorphism compatible with the filtrations (no. 4). Set fi = lim H/H,; for all n, u defines by taking quotients t a homomorphism u,: G/Gn-+ H/H, and the u, obviously form an inverse system of mappings; set u" = lim u,. Moreover let A be the Hausdorff completion of H and ti: -+ H the homomorphism derived from u by passing to the Hausdorff completions (General Topology, Chapter 11, fj 3, no. 7, Proposition 15). I t follows immediately from the definitions that if is identified with and fi with fi by means of the canonical isomorphisms, ti is identified with u". We conclude in particular that, if, for all n, u, is an isomorphism, then ti is an isomorphism of topological groups.
1).

let ah denote the set of P E A' such that a,,p E an- for all e E NS; show that we a is an ideal of A'. Clearly a is an additive subgroup of A'; on the other hand, ; ;

if P E ah and Q E A', then, for all e E NS, , , - ,,+e,, = a,,,Qa,m,p; the u ~ ~ as relation e' + e" = e implies le"] < ] e l , P Q E a Moreover, if Q E ah, then, for .; e' + e" = e, ~ ( , . , ~ aE ~ m, ~ l e ~ l a , ~ l e ~ ~ l ,a , ~ c which proves that (a;)nEz is a jiltration compatible with the ring structure on A' (for obviously 1 E ah). When in future we speak of A' as a filtered ring, we shall mean, unless otherwise stated, with the filtration (ah). Clearly a; is the set of formal power
series all of whose coefficients belong to If a, = A, then ah = A'.

- 2

,g4a,; then, if A is Hausdorff, so is A'.

,cz

c;

e e

PROPOSITION 6. W i t h the above notation, suppose that a, = A and let h denote the mapping P H ( a , , p ) e c N s . Then h is an isomorphism of the additive topological group A onto the additive topological group ANa.The polynomial ring AIXl, . . .,X,] is dense in A'; f A is complete, so is A'. i
Clearly h is bijective; V, = h(a;) is the set of (a,) E AN*such that a, E a,for all e E NSsuch that ]el < n ; as these elements e are finite in number, V, is a neighbourhood of 0 in AN'. Conversely, if V is a neighbourhood of 0 in ANa, there is a finite subset E of Nsand an integer v such that the conditions a, E a, for all e E E imply (a,) E V; if then n is the greatest of the integers v + ]el for e E E , then h(aA) c V, which proves the first assertion of Proposition 6. Moreover, with n and E defined as above, h (P - zEae,pXe) V for all E P E A', which shows that AIXl, . . .,X,] is dense in A'. The last assertion follows from the first and the fact that a product of complete spaces is complete. Let m be an ideal of A and suppose that (a,) is the m-adic filtration; then, if n is the ideal of A' generated by m and the Xi (1 < i < s), the filtration (a;) is the n-adic filtration. For clearly, for all k > 0, nk is generated by the elements axe such that a E mk-lel for all e E Ns such that lel < k, whence nk c a&. Let us prove conversely that a& c nk. For all P E a&, P = P' P",

e.

Examples of CompleteJiltered groups and rings (1) Let G be a complete filtered group. Every closed subgroup of G with the induced filtration is complete (General Topology, Chapter 11, fj 3, no. 4, Proposition 8). Every quotient group of G with the quotient filtration is complete (General Topology, Chapter IX, 3 3, no. 1, Remark 1). ( 2 ) Let A be a filtered commutative ring whose filtration we denote by (an)nEZ; A' be the ring of formal power series A[[Xl,. . ., X,]]. For all let
e = (el, . . .,e,)
E

where P' =

p" = l e l = k XeQe, where the Qe are elements of A', whence P" E nk; on the other hand, clearly aePpXenk for all e E N", E whence P' E nk. Then nk = a&.

lel < k

ae,pXe,P" =

lel 3 k

a,,pXe. Clearly it is possible to write

COROLLARY. Let A be a commutative ring,

A'
=

Ns, write [el = ,~e,, Xe = we

P E A' can be written uniquely P

174

,Zs

I ?

iE1

X:' so that every element

A[[X,, . . ., X,]]

a,,pXewhere ae, E A. For all n E Z,

the ring offormal power series in s indeterminates over A and n the ideal of A consisting o the formal power series with no constant term. The ring A i Hausdorff and complete f s
175

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3 2.8

with the n-adic topology and the polynomial ring AIXl, . . .,X,] is everywhere dense in A'.
I t is sufficient to apply what has just been said to the case m = (0).
7. LINEAR COMPACTNESS PROPERTIES OF COMPLETE FILTERED MODULES

then it follows from Proposition 7 that there exists an element y belonging to all the W,. As W, c F, and F, = {0}, y = 0 ; since x is the canonical image ofy in E/V, x = 0 (cf. Exercises 15 to 21).

,cN

8. THE LIFT OF HOMOMORPHISMS OF ASSOCIATED GRADED MODULES

Recall that, if E is an A-module, an afine subset (or an afine linear variety) of E is any subset F which is empty or of the form a M, where a E E and M is a submodule of E called the direction of F (Algebra, Chapter 11, 9 9, nos. 1 and 3).

PROPOSITION 7. Let A be ajltered ring, E ajltered A-module and (En) tkejltration of E; suppose that E, = E, that the En are submodules ofE, that the A-modules E/E, are Artinian andjnally that the topological group E is Hausdorf and complete. Then the intersection o a decreasing sequence o f non-empty closed afine subsets o f E is non-empty. f
We have seen in no. 6 that, since E is Hausdorff and complete, it is identified with E = lim E/E,. Let (W,) be a decreasing sequence of non-empty closed c affine subsets of E and, for all n 2 0, let W,,, be the canonical image of W, in E/E,; we are going to construct a sequence x = (x,) such that x, E W,,, for all p and all n ; hence x E W, En for all p and all n and, as the W, are closed, x E W, for all p (no. 5), which will prove the proposition. As E/E, = 0, we shall take xo = 0. Suppose that the xt are defined for 0 < i < n - 1 and let W;,, be the set of elements of W,,, whose canonical image in E/E, - is x, - ; as x, - E W,,, - and W,,, - is the canonical image O W,,,, W;,, is non-empty and is obviously an affine subset of E/E,; moreover f the sequence (W;,JPENis decreasing. As E/En is Artinian, this sequence is stationary (otherwise the sequence of submodules of E/En which are the directions of the W;,, would be strictly decreasing, which is absurd). I t is sufficient then to take x, to be an element of W;,, and the construction of (x,) can PEN then be performed by induction.

THEOREM 1. Let X, Y be twojltered groups whosejltrations (X,), (Y,) consist of normal subgroups; let u : X 4 Y be a homomorphism compatible with thejiltrations. (i) Suppose that thejltration (X,) is exhaustive. For gr(u) to be injective, it is necessary and sz@cient that-ul(Y,) = X,for all n E Z. (ii) Suppose that one of the following hypotheses holds: (u) X is complete and Y Hausdorff; (p) Y is discrete. Then, f o r gr ( u ) to be surjective, it is necessary and su$cient that Y, = u(X,) for all n E Z.
(i) To say that the mapping gr,(u) is injective means that

Xn n-i (yn+ 1) c
This is obviously the case of;'

x + 1' n

(Y,+l) = X,,,. Conversely, if

for all n, we deduce by induction on k that Xn-k n i l ( Y n + 'c x,+1 all ) for n E Z and all k 0. As the filtration (X,) is exhaustive, we see that, for all n, X
is the union of the Xn-, ( k 2 0), hence-u'(Y,+,) c X,+, for all n and therefore X,+ c i'(Y, + 1) , which completes the proof. (ii) To say that the mapping gr,(u) is surjective means that
Yn = u (Xn)Yn + P This is obviously the case if Y, = u(X,). Conversely, suppose that y ,= U(X,)Y,+~ all n E Z. Let n be a n integer and y an element of Y,; , for we shall define a sequence (x,),,, of elements of X, such that x k E &, x k + l = x, (mod. X,,,) and u(x,) = y (mod. Yn+,) for all k 2 0. We shall take xo equal to the identity element of X, which certainly gives u(x0) = y (mod. Y,). Suppose that a n x, E X, has been constructed such that u ( x k ) EZ y (mod. Yn+k);then (u(x,))-'y E Yn+,; the hypothesis implies that there exists tEx+k such that u ( t ) = (u(x,))-'y (mod. Y,+,+,) and hence u(xkt) = y (mod. Y,+k+l) ; it is sufficient to take x , + ~= x,t to carry out the induction. This being so, if Y is discrete, there exists k 2 0 such that Y,+k {e'} (the = identity element of Y), whence u(x,) = y and hence in this case it has been Proved that u(X,) = Y, for all n. Suppose now that X is complete and Y Hausdorff. As x i lxk E X, + for h 2 k > 0, (xk) is a Cauchy sequence in X,; as
177

'

PROPOSITION 8. Suppose that A and E satisfu the hypotkeses ofProposition 7. Let (F,) be a decreasing sequence o f closed submodules o f E such that F, = 0. Then,for every neighbourhood V of0 in E, there existsp such that F, c V (in other words, the base of the filter (F,) converges to 0).

We may assume that V is one of the En, which case E/V is Artinian. Let US in write F; = (F, V)/V; as the F; form a decreasing sequence of submodules of E/V, there exists an integerj such that F = F; for all p > j. We L shall see that F; = {0}, which will complete the proof. Let x E F; and let W, be the set of elements of F, whose image in E/V is x ( p 2 j ) ; by definition of j, the W, are non-empty closed affine subsets of E and obviously W,+l c W,;

176

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9 2.9

X, is closed in X and hence complete, this sequence has a t least one limit x in X,. By virtue of the continuity of u, u ( x ) is the unique limit of the sequence ( u ( x k ) ) in Y, Y being Hausdorff. But the relations u ( x J = y (mod. Y,,,,,) show that y is also a limit of this sequence, whence u ( x ) = y and it has also been proved that u(X,) = Y,. COROLLARY 1. Suppose that X is Hausdorff and its jiltration exhaustive. Then, f i
~ ( u is) injective, u is injective.

is commutative. As gro(A) = A/m is a field, the hypothesis implies that 1 @ gro(u) is injective; as by hypothesis yMis injective, so is yM (1 @ gro(u)). This implies first that yN is injective and hence bijective and therefore that
0

Let e, e' be the identity elements of X and Y respectively. Then

gr(u) is injective. The formula >l(rnnM) = mnN is then a consequence of Theorem 1 (i). Also, let us write N' = u(N) and letj: N' --f M be the canonical injection. I f p : M --f P = M/N' is the canonical homomorphism, then in the commutative diagram g m

@ gro(")

163 gro(i) ------+

w @ gr,(M)

1 8 FO(P)
_ _ _ f

gr(A) @ g r o w

by hypothesis, whence the corollary.

YN.1

COROLLARY 2. Suppose that one o f the following hypotheses holds : (a) X is complete, Y is Hausdorfand itsjiltration is exhaustive; (p) Y is discrete and itsjiltration is exhaustive. Then, ifgr(u) is surjective, u is surjective. In this case Y = Y, = u(X,) c u ( X ) .

g V )

gr(i)

d P )

gr(P)

-i -

-+

COROLLARY 3. Suppose that X and Y are Hausdorf, thejltrations of X and Y exhaustive and X complete. Then, ifgr(u) is bijective, u is bijective.
Let A be a local ring, rn its maximal ideal and M an A-module; let A and M be given the m-adic filtrations and let gr(A) and gr(M) be the graded ring and the graded gr(A)-module associated with A and M. We have seen (no. 3, Example 3) that the canonical mapping (1 1) is always surjective; we are going to consider the following property of M: (GR) The canonical mapping
YM:

the lower row is exact (no. 4,Proposition 2) and so is the upper row by virtue of Proposition 2 of no. 4 and the fact that gr,(A) is a field. Moreover, g r ( j ) is injective (no. 4, Proposition 2) and hence gr,(j) is injective, The first part of the argument applied to j shows that yNris bijective; as yMis also bijective by hypothesis, we conclude that yp is bijective (Chapter I, 4 1, no. 4,Corollary 2 to Proposition 2).

COROLLARY. Under the hypotheses of Proposition 9, ;f we assume also that N is Hausdorf with the m-adicjiltration, then u is injective.
This follows from the fact that gr(u) is injective (Corollary 1 to Theorem 1).

is bijective.

gr(A)

@gro(A)

grO(M)

--f

gr(M)

PROPOSITION 9. Let A be a local ring, m its maximal ideal, M, N two A-modules and
u : N -+ M an A-homomorphism. M and N are given the rn-adicjiltrations and suppose that: (1) M sathjiesproperty (GR) ; (2) gr,(u) : gr,(N) --f gr,(M) is injective. Then

* Remark. Suppose that the hypotheses of Proposition 9 hold and also one of the following conditions : (1) rn is nilpotent; (2) A is Noetherian and P is ideally Hausdorff (cf. 9 5 , no. 1) ; then P is aflat A-module. This follows from the fact that y p is bijective and 9 5 , no. 2, Theorem 1 (iv), since A/m is a field. *
9. THE LIFT OF FAMILIES OF ELEMENTS OF AN ASSOCIATED GRADED

gr(u) : gr(N) --f gr(M) is injective, N and P = Coker(u) sathfiproperty (GR) and

MODULE

m"N = -h'(rnnM) for every integer n > 0.

I t is immediately verified that the diagram gr(A)
@gro(A)
1Q g d u )
_ _ _ f

grO(N)

gr(A) @pro(A) grO(M)

I
178

Let A be a filtered commutative ring, (A,Jnez its filtration and C a subring of A, such that C n A, = (0). The restriction to C of the canonical mapping A. +Ao/A, = gro(A) is then injective, which allows us to identify C with a nubmodule of gro(A); this is what we shall usually do in similar cases. If Al # A, and K is any subjield of A,, then K n A, = (0) since K n A, is an ideal of K not containing 1; then K may be identified with a subfield of gro (A). ~ O P O S I T I O N10. Let A be ajltered commutative ring and (A,) itsjltration; suppose
179

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3 2.9

that there exists a subring C of& such that C n A, = (0) and C is identijied with a subring ofgr,(A). Let ( x i ) ,be ajnitefamily ofelements $A; suppose that xi E A,, for 1 < i < q and let 5, be the class o f xi in gr,,(A) for 1 < i < q. (i) I f t h e family (ti)of elements of gr(A) is algebraically free over C , the family (xI) is algebraically free over C. (ii) Ifthejiltration on A is exhaustive and discrete and ( t i )is a system o f generators o f the C-algebra gr(A), then (xi) is a system ofgenerators ofthe C-algebra A.

is dense in A"; moreover the homomorphism u defined in the proof of Proposition 10 is continuous on A' and can be extended uniquely to a continuous homomorphism v: A +-A, since A is Hausdorff and complete (General Topology, Chapter 111, fj 3, no. 3, Proposition 5), which proves (i); also, gr(A") = gr(A') and gr(v) = gr(u); (ii) and (iii) then follow respectively from Corollaries 1 and 2 to Theorem 1 of no. 8 in view of the hypotheses on A.
The conclusion of (ii) (resp. (iii)) of the proposition is sometimes expressed f by saying that the family (x,) is formally free over C (resp. a formal system o generators of A).

Let A' be the polynomial algebra C[X,, . . ., X,] over C; let A' be given the , graduation (A;) of type Z where A is the set of C-linear combinations of the monomials X?l'. . such that ,=I nts(i) = n. Let u be the homomorphismf ++ (q,. .,x,) from the C-algebra A' to the C-algebra A; by definition, f . u(&) c A,, for all n E Z and hence u is compatible with the filtrations (A' being given its filtered ring structure associated with its graded ring structure, c . no. 1, Example 1). This being so, the hypothesis of (i) means that f gr(u) : A' = gr(A') + gr(A) is injective; as the filtration on A' is exhaustive and separated, Corollary 1 to Theorem 1 of no. 8 may be applied and u is injective, which proves the conclusion of (i). Similarly, the hypothesis (ii) on the (&) means that gr(u) is surjective; as A is discrete and its filtration is exhaustive, Corollary 2 to Theorem 1 of no. 8 may be applied and u is surjective, which proves the conclusion of (ii)
I

PROPOSITION 12. Let A be ajiltered ring, E ajiltered A-module and (A,,) and ( E n )
the respectivejltrations on A and E. Suppose that A is complete and the Jiltration (En) is exhaustive and separated. Let (xi)1EI ajnite family o f elements o f E and for i E I be let n ( i ) be an integer such that xi E Eno);jinallylet ti be the class of xi in gr,,(,)(E).Then, f (E,) is a system of generators oj' the gr (A)-module gr ( E ), ( x l ) is a system ofgenerators i o the A-module E. f
In the A-module L = A', let L, denote the set (ai) such that a, E A,-,,(,) for all i E I ; if@and q are the least and greatest of the n ( i ) , then A:-, 2 L, 2 A:-p and the topology defined on L by the definition (L,,) is the same as the product topology; hence L is a complete filtered A-module. As L is free, there exists an

PROPOSITION 1 1. Let A be a complete Hausdorffjltered commutative ring, C a subring o A, such that C n A, = 0 and f ajnite family o elements o A such that f f X I E A,, where n, > 0for 1 < i < q; let El be the class ofx, in gr,,(A) for 1 < i < q.
(i) There exists a unique C-homomorphism v from the algebra o formal power series f A" = C[[X,, . . ., X,]] to A such that v(X,) = x, f o r 1 < i < q. (ii) l f t h efamily (El) is algebraically free over C , the homomorphism v is injective. (iii) I thejltration on A is exhaustive and thefamily (ti)is a system of generators f o the C-algebra gr(A), the homomorphism v is surjective. f As ni 2 1 for all i, , = 1 njs(i) 2

a,x, and it is obviously A-linear mapping u : L + E such that u ( ( a i ) ) = compatible with the filtrations; we must prove that u is surjective and for this it is sufficient, by virtue of Corollary 2 to Theorem 1, no. 8, to show that
gr(u) :gr(L) -+ gr(E) is surjective or also that, for all XEE,, there exist a family (a,) such that

a, E for all i E I and x = (1 aixi (mod. En+,). Let t be the class of x in gr,(E); since the 4, generate the gr(A)-module gr(E), there exist ai E gr(A)
such that t = at& and we may assume that xi E gr,-ncr,(A)by replacing if ,I need be ai by its homogeneous component of degree n - n ( i ) . Then a,is the image of an element a, E A,,-ncr,and the family (a,) has the required property.

on the other hand nis(i) r . i = 1 s ( i ) if r is the greatest of the n,. If A : denotes the set of formal power series whose non-zero terms aJC;('). . .X:(@ satisfy nis(i) 2 n, it follows from no. 6, Corollary to Proposition 6 that A" i=l is Hausdorff and complete with the exhaustive filtration (A;) and that
A' = C[X,,
180

2 < 5
i= 1

s ( i ) for every monomial X;(".

. .Xp' and

COROLLARY 1. Let A be a complete filtered ring and E a jiltered A-module whose Jltration is exhaustive and separated. If gr(E) is a jnitely generated (resp. Noetherian) e ( A ) -module, then E is a jinitely generated (resp. Noetherian) A-module.
If gr(E) is finitely generated, there is a finite system of homogeneous generators and Proposition 12 shows that E is finitely generated. Suppose now that @(E) is Noetherian and let F be a submodule of E ; the filtration induced on F by that on E is exhaustive and separated and gr(F) is identified with a
181

. . ., X,]

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GRADUATIONS, FILTRATIONS AND TOPOLOGIES

APPLICATION

: EXAMPLES OF

NOETHERIAN RINGS

8 2.10

sub-gr(A)-module of gr(E) (no. 4, Proposition 2) and hence is finitely generated by hypothesis; we conclude that F is a finitely generated A-module and hence E is Noetherian. COROLLARYLet A be a complete Hausdorffjltered ring whosejltration is exhaustive. 2. Ifgr(A) is a lejit Noetherian ring, so is A. I t is sufficient to apply Corollary 1 with E = A,. COROLLARY 3. Let A be a completejltered ring, (A,) its filtration, E a Hausdorff filtered A-module, (En) its filtration and F ajnitely generated siibmodule of E ; suppose that A, = A and E, = E. (i) f o r all k > 0, E, = Ek+l AkF, then F = E. (ii) I f i t isfurther supposed that thefiltration on E is deriuedfrom that on A (no. 1, Example 2), the relation E = El F implies F = E.

u,

Suppose conversely that the conditions of the statement hold and let a family of elements of E whose classes mod. mE form a basis of (jJLEI its canonical the (A/m)-module E/mE; let L be the free A-module basis and u : L -+ E the A-linear mapping such that u ( j J = x, for all t E I. The hypotheses already imply that u is surjective (Chapter 11, 9 3, no. 2, Corollary 1 to Proposition 4) and it remains to prove that u is injective. Now, each of the hypotheses (a) and (b) implies that A is Hausdorff and hence so is L with the m-adic filtration, since mkL = (mk)(I) (Algebra, Chapter 11, 9 3, no. (L/mL) from the first part 7, Remark) and gr(L) is identified with gr(A) of the proof; the homomorphism u is compatible with the filtrations and it is possible to write gr(u) = yE u where u is the bijection of gr(L) onto
( X J , ~be ~
0

gr(A)

@Ah

(E/mE)

Let Ei (1 < i < n ) be the classes mod. El of a finite system of generators of F. I t follows from the given hypothesis that for all k > 0 every element of gr,(E) can be expressed in the form i= aIE,, where xi E gr(A) ; the ti therefore generate the gr(A)-module gr(E), which proves (i) by virtue of Proposition 12. If the filtration on E is derived from that on A, the relation E = El + F implies E, = AkE = AkE, whence (ii).

mapping the class off, mod. mM onto 1 @ ?Z,, where ?Z, is the class of x, mod. mE. The hypothesis then implies that gr(u) is injective and the conclusion follows with the aid of Corollary 1 to Theorem 1, no. 8.
10. APPLICATION: EXAMPLES OF NOETHERIAN RINGS

+ AkF = AkA,E + AkF C A,L+lE+ A,F

=

LEMMA 1. Let A be a graded r i y of type Z, whose gradualion (A,) is such that A, = 0 for all n < 0 or A, = 0 for all n > 0. Let M be a graded A-module o type Z. For f M to be a Noetherian A-module, it is necessary and suficient that every graded submodule o M be finitely .Cenerated. f

Ek+, + A,F

c E,L,

As n H -n is an automorphism of the group Z, we may restrict our attention

to the case A, = 0 for all n > 0. Let A' and M' denote the ring A and the module M with the filtrations associated with their respective graduations (no. 1, Example l), which are exhaustive and separated; the hypothesis on A implies that A' is discrete and hence complete. If E is a sub-A-module of M, the filtered A-module E' obtained by giving E the induced filtration is Hausdorff and its filtration is exhaustive; moreover gr(E') is identified with a graded sub-A-module of M = gr(M') and hence is finitely generated by hypothesis. The conclusion then follows from Corollary 1 to Proposition 12 of no. 9.

PROPOSITION 13. Let A be a ring, m a two-sided ideal ofA contained in the Jacobson radical of A and E an A-module. Let A and E be given the m-adicjltrations (no. 1, Example 3). Suppose that one of the following conditions holdr : (a) E is afinitely generated A-module and A is Hausdorf; (b) m is nilpotent. For E to be afree A-module, it is necessary and su8cient that E/mE be a free (Aim)module and that E satisjy property (GR) (no. 8).
If E is a free A-module and (eh) a basis of E, mkE is the direct sum of the submodules mkeh of E for all k > 0 (Algebra, Chapter 11, 3, no. 7, Remark); then mkE/mk IE is identified with the direct sum of the mkeh/mk leh (Algebra, Chapter 11, 3 1, no. 6, Proposition 7). We deduce first (for k = 0) that the E form a basis of the (Aim)classes 1 @ eh of the eh in E/mE = (A/m) module E/mE, since the canonical mapping
+

THEOREM 2. Let A be a graded ring of type N,M a graded A-module o f type N and
(M,) their reqkctiue graduations. Suppose that there exists an element a E A, that A, = AOan M, = anMOo r all n > 0. Then, f M, is a Noetherian and f i A,-module, M i a Noetherian A-module. s

(4) and

(mk/mk+I) @A (E/mE) -+ mkE/mk+lE

is bijective for all k 2 0; hence yE is bijective. Note that this part of the proof uses neither condition (a) nor condition (b). 182

By virtue of Lemma 1 it is sufficient to prove that every graded submodule N of M is finitely generated. For all r 2 0, let N, = N n M, and let L, be the set
of m E M, such that arm E N,. As

aTA, c A, = Aoar,

a'A,L, c A,a'L, c A,N, c N, 183

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fj 2.1 1

and hence the L, are sub-A,-modules of M,; moreover, aN, c N n a M , = N n M,+, = N,+, and hence the sequence (L,),20 is increasing. The hypothesis implies that there exists an integer n 0 such that L, = L, for r 2 n. For each r < n, let (m,,s)l cs<k, be a system of generators of the A,-module L,. We shall show that the elements arm,,, for 1 < s < k,, 0 < r < n form a system of generators of the A-module N. As M, = a'M, for all r, N, = a'L, for all r by definition of L,. Then, for r < n, N, = arL, = and, for r > n,
kn
s= 1

the ring gr(A) is Noetherian by Corollary 3. From this we deduce that A itself is Noetherian (no. 9, Corollary 2 to Proposition 12). COROLLARY 6. For every commutative Noetherian ring C and every integer n > 0, the ring of formal power series C[[X,, . . .,X,]] is Noetherian. This follows from Corollary 5 and no. 6, Corollary to Proposition 6, for if m is the ideal of A = C[[X,, . . .,X,]] consisting of the formal power series with no constant term, A/m is isomorphic to C and m/m2 to the C-module C".
Remarks (1) Corollaries 2, 3 and 6 apply in particular if C is a commutativefield.

2a'A,m,,,
kn

ki

ki

c Jl Aoarmrs,

N, = a'L, = s = 1 arA,mn,, c

,zl zl
en

Aoarm,.,

A,ar-". (anm,,,)

which completes the proof (cf. Exercise 10). COROLLARY 1 (Hilbert's Theorem). For every commutative Noetherian ring C, the polynomial ring C[X] is Noetherian (cf. Exercise 10). COROLLARY 2. For every commutative Noetherian ring C and every integer n > 0, the polynomial ring C[X,, . . ., X,,] is Noetherian. This follows from Corollary 1 by induction on n. COROLLARY 3. If C is a commutative Noetherian ring, every jinitely generated commutative C-algebra is a Noetherian ring. Such an algebra is isomorphic to a quotient of a polynomial algebra C[X,, . . ., X,,] ( 1, no. 1). COROLLARY 4. Let A be a graded commutative ring o type N and let (A,,) be its f graduation. For A to be Noetherian, it is necessary and suj'icient that A, be Noetherian and that A be ajinitely generated A,-algebra. The condition is sufficient by Corollary 3. Conversely, suppose A is Noetherian; m = n a 1 A,, which is an ideal of A, is then finitely generated; then A is a finitely generated A,-algebra (3 1, no. 2, Corollary to Proposition 1); on the other hand A,, which is isomorphic to A/m, is a Noetherian ring. COROLLARY 5. Let A be a commutative ring and m an ideal ofA such that A/m is Noetherian, m/m2 is a jinitely generated (A/m)-module and A is Hausdorff and complete with the m-adic topology. Then gr(A) and A are Noetherian. gr(A) is an (A/m)-module generated by m/m2 (no. 3, Example 3) and hence
184
I
,

* (2) Let g be a Lie algebra over a commutative Noetherian ring C and suppose that g is a finitely generated C-module. Let the enveloping algebra U ofg be given the increasing filtration (U,) defined in no. 3, Example 4. With the corresponding topology, U is discrete and hence Hausdorff and complete; the associated graded ring gr(U) is a finitely generated C-algebra, being a quotient of the symmetric algebra S(g), hence gr(U) is a Noetherian ring (Corollary 3) and we deduce that U is a left and right Noetherian ring (no. 9, Corollary 2 to Proposition 12). *
11. COMPLETE m-ADIC RINGS AND INVERSE LIMITS

We have seen in no. 6 that, if A is a commutative ring and m an ideal of A such that A is Hausdorf and complete with the m-adic topology, then the topological ring A is canonically identified with the inverse limit of the discrete rings A, = A / m i f l (i E N) with respect to the canonical mappings h,j:A/mj+l-tA/mi+l (i G j ) ; note that hi, is surjective and that, if nu is its kernel, then nu = m'+l/mf+' = (m/ml+l11+1 = in particular (n,,)j+l = 0. Conversely:

PROPOSITION 14. Let (A,,hi,) be an inverse system o discrete commutative rings, f f whose indexing set is N and let (Mi, u,,) be an inverse system o modules over the inverse system ofrings (4, Let n, denote the kernel ofh,, : A, -+ A, and set A = lim A,, h,,). c . M = lim M,. Suttose that c (a) for all i E N,h, is the identity mapping on A, and, for i < j , hi, and u,, are
surjective; (b) f i r i

< j , the kernels ofh,, and uu are n;"

and n:+lM, respectively.

Te: hn

1
I

(i) A is a complete Hausdorff topological ring, M is a complete Hausdorf topological A-module and the canonical mappings h, : A -+A,, u, : M --f Mi are surjective. (5) If M, is ajinitely generated A,-module, M is a finitely generated A-module;
185

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4 2.12

to be precise, every jnite subset S of M such that u,(S) generates M, is a system of generators o f M.
The assertions in (i) follow from General Topology, Chapter 11, 3 3, no. 5, Corollary to Proposition 10 and Corollary 1 to Theorem 1. For all i E N, let us write m,+, = Ker(h,), Nt+l Ker(u,); then =
+ m,+, = limhl,,+k(0)= l i m n ,f+ ,k

Nic m,M' Ni= m,M'

+ N,+l; the other hand obviously m,M c N, and hence on + Ni+l all i 2 0; then it follows from Corollary 3 to Propofor

sition 12 of no. 9 that M' = M, which completes the proof.

-1

c
k30

and N, = lim n: 1:Mi +

t

+k ;

as hi + k and u,

are surjective,

COROLLARY 1. With the notation and hypotheses o f Proposition 14 suppose further that M, is ajnitely generated A,-module and that the ideal n1 of A, isjnitely generated. Let rn, be the kernel of h,; the topologies on A and M are then the m,-adic topologies on this ring and this module respectively; to be precise,for all i 2 0, the kernels of h, and ui are m? and m y 'M respectively; further ml/m: is ajnitely generated A-module.
We preserve the notation of the proof of Proposition 14; the hypotheses here allow us to assume that the ideal a isjnitely generated. Let i 2 0 be any integer; for a l l j B 0, by (17), N,+, a'(aiM) = N,+,+l m,(a'M) N,+,tl; c conversely, m,(aiM) c m p , M c m,,,M c Ni+,, whence

Let us show that m,N,c N,+, i 2 1 and j 2 1, which amounts to for proving that U,+,-~(~,N,) = 0; now
u +,i

1(m,N,) h, +,-1(mt)u1+,- "1 =

N t = m,(a'M) i,

+ Nl+,+l*

is equal to n~+,-l(n~+,.-lM,+,-l) 0, as, for all k 2 0, n, = : " which is the kernel of hkk,is equal to 0. We see similarly that m,m; c m,,,. If for i < 0 we set m, = A and N, = M, (mt),ez is a filtration of A and (NJtGz a filtration of M compatible with the filtration on A; the topologies on A and M are obviously those defined by these filtrations. This being so, let a be an ideal of A such that hl(a) = n1 and M' the submodule of M generated by S; we are going to prove that

As a and M are finitely generated A-modules, so is a'M. Applying Corollary 3 to Proposition 12 of no. 9 to the module N,with the filtration defined by Ni, = N, if j < 0, N,,= N,+, j 2 0, we obtain N, = aiM, whence if N, c m:M. But also m:M c m,M c N,,whence N, = miM. Applying this to the case where M , = A,, u,, = hi,, we obtain m, = m. Moreover, : m, = a + m: by (17), which proves the last assertion of the corollary.

(17)

N, = atM'

+ N,,,

for i 2 0.

COROLLARY 2. Under the hypotheses of Corollary 1, f o r A to be Noetherian, it is necessary and suficient that A, be so.
The condition is necessary since A, is isomorphic to a quotient of A; it is sufficient by virtue of no. 10, Corollary 5 to Theorem 2.
12. THE HAUSDORFF COMPLETION OF A FILTERED MODULE

Let us write a, = h,(a), MI = u,(M'); it is sufficient to show that

u ( , = a:M;. ,N)
This is true if i = 0, for No = M and M & = M, by hypothesis. If i 2 1, then u,(N,) n:M, by (16). As h,, is surjective and h,, = h,, hlr, h,, maps the =
0

-1

kernel n, of h,, onto the kernel n1 of h,, and n, = h,,(n,) ;then

Let G be a filtered group whose filtration (G,) consists of normal subgroups of G ; we have already recalled (no. 6) that the Hausdog completion of the topological group G is canonically identified with the inverse limit lim G/Gn

h,,(a,) = h,(a) = n1 = M n , ) and, as the kernel of h,, is n f , n, c a, + np and a, c n,, whence nr = a, nf. Moreover u,,(M:) = uO(M')= M, = uot(Mi) and, as Ker(u,,) = n,M,, M, = MI + n,M,; whence

n:M, = (a,

+ nf)'(MI + ",Mi).
mi c mi, whence

of the discrete groups G/G,, the canonical homomorphism i: G -+G having image the Hausdorff group associated with G (everywhere dense in G) and of the subkernel the closure G, of (0) in G. The Hausdorff completion SOUP G is identified with the closure of i(G,) in G (General Topology, G, of Chapter 11, 5 3, no. 9, Corollary 1 to Proposition 18) and, since G, is closed in

en

G,

Now, a:n:+'-' c n:+' = 0 for 0 < k < i; then it certainly follows that u,(N,) = n,M, = a:M:, which proves (17). Moreover m, = h,(n,), whence a c m, and therefore at c 186
-1

-1

G,

(en) i (en i ( G ) ) . = n
187

-1

Moreover, the G, form a fundamental system of neighbourhoods of 0 in 6 ( G m a l Topology, Chapter 111, $ 3 , no. 4, Proposition 7) and are therefore

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3 2.12

normal open subgroups of G (General Topology, Chapter 111, 3 2, no. 3, Proposition 8); the topology on G is defined by the filtration (G,,), which is always separated by definition. As i (G) is dense in G and G,, is open,

(19)
and similarly (20)

G = i(G).Gn
=

Chapter 11, $ 3, no. 7, Proposition 12). Recall also that, for every uniformly continuous mapping$ X --f Y, J denotes the uniformly continuous mapping from 2 to P such thatJoj, = j , 0 f (loc. cit., Proposition 15) ;if X is a uniform subspace of Y andf the canonical injection, 2 is identified with a uniform subspace of P andfis the canonical injection of X into P (loc. cit., no. 9. Corollary 1 to Proposition 18).

i(Gn-l).G,.

We deduce from (18) and (19) that the filtration is exhaustive if and only if (G,) is. The second isomorphism theorem (Algebra, Chapter I, 3 6, no. 13, Theorem 6 (d)) and equations (18), (19) and (20) show that the canonical homomorphisms Gn - 1/Gn Gn - 1 / G n , + G/Gn + G/Gn, (21) are bijective and hence so is the canonical homomorphism (22) gr(G) gr(G). Now let A be a filtered ring, E a filtered A-module and (A,) and (En) the respective filtrations of A and E; we shall assume that these filtrations are exhaustive so that for the corresponding topologies A is a topological ring and E a topological A-module (no. 5, Proposition 3). Then we have defined ral Topology, Chapter 111, $6, nos. 5 and 6 ) A as a topological ring and topological &module. If i: A --f A is the canonical homomorphism, then i(A,,,)i(A,,) c i(Am+,),whence by the continuity of multiplication in A,
+

(en)

LEMMA 2. Let X Y 5 Z be an exact sequence o f strict morphisms o f topological groups (Algebra, Chapter 11, $ 1, no. 4, Remark). Suppose that X, Y, Z admit Hausdorf completion groups and that the identity elements o X, Y,Z admit countable f fundamental systems o f neighbourhoods. Then 2 --f 9 f 2 is an exact sequence of i .
strict morphisms.
Let N,, N, be the respective kernels off and g ; let us write

f =f 3 o f 2 o f i
where flis the canonical mapping X --f X/N,, f2is an isomorphism of X/N, onto N, and f3is the canonical injection N, -+ Y. We already know that f2 is an isomorphism of (X/N,) onto N, and we have just recalled that f3 is an injective strict morphism of N, to 9 ;if we show thatfl is a surjective strict morphism, it will follow that! is a strict morphism (General Topology, Chapter 1 1 5 2, no. 8, Remark 2). Let g1 be the canonical mapping Y -+ Y/N,; if we 1, show that i1 is a surjective strict morphism of the kernel A,, we shall see as 2 will be exact. above that is a strict morphism and the sequence Thus we have reduced the problem to proving that, if Y = X/N (where N is a normal subgroup of X) a n d 3 X --f Y is the canonical mapping,fis a surjective strict morphism with kernel R. Letf,: X, -+ Yo be the mapping which coincides withfon X,; as& (resp. j,) is a surjective strict morphism of X onto X, (resp. Y onto Y o ) , f o a suris jective strict morphism (General Topology, Chapter 111, 3 2, no. 8, Remark 3). NOWX, and Y o are metrizable (General Topology, Chapter IX, $ 3, no. 1, Proposition 1); then it follows from General Topology, Chapter IX, 4 3, no. 1, Corollary 1 to Proposition 4 and Lemma 1, thatfo = f i s a surjective strict Then it morphism and has kernel the closure f i b in X of the kernel Nb of fo. will be sufficient for us to prove that f i b = &. Now Nb obviously contains NO= jx(N); it will be sufficient to show that Nb is contained in the closure NOof No in X. Now,

A,A, c A,+, since A,, is the closure of i (A,) in A. It can be similarly shown that
(23) (24) in other words:
Amfin c

Ern+,;

PROPOSITION 15. Let A be a jltered ring and E a jltered A-module, the respective s filtrations (A,), (En)o f A and E being exhaustive. Then (A,) i a filtration compatible with the ring structure on A and (I?,) ajltration compatible with the module structure on over thefiltered ring A; moreover thesejiltrations are exhaustive and define respectively the topologies on A and Finally, the canonical mappings gr(A) -+ gr(A) and gr(E)--f gr(I?) of graded Z-modules are respectively a graded ring isomorphism and a graded gr(A)-module isomorphism.

e.

I n what follows, for every uniform space X, jx will denote the canonical mapping from X to its Hausdorff completion fi and X, = jx(X) the uniform subspace of s, which is the HausdorE space associated with X. Recall that the topology on X is the inverse image under jxof that on Xo(General Topolosy,
188

u = jx(xo N,>= x -~JN,) -1

v =f(U) is an open set in Y not containing the identity element e of Y and

hence not meeting the closure of e; thenj,(V) does not contain the identity

is an open set in X which does not meet N ; asf is a surjective strict morphism,

189

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4 2.12

element of Yo. But j,(V) = fo(Xo plete the proof of Lemma 2.

- No) and hence Nb c No, which com-

PROPOSITION 16. Let A be afiltered ring, (A,) itsfiltration, E an A-module and (En) thejiltration on E derivedfrom that on A consisting ofthe En = A,E. Suppose that the filtration (A,) is exhaustive and the module E isfinitely generated. I f ; : E -+ fi is the canonical mapping, then,for all n E Z,
(25)

Examples of Hausdorf completions ojjltered rings (1) Let A be a graded ring of type N and let (A,),aobe its graduation; let it be given the associated filtration which is separated and exhaustive (no. 1, Example 1). The additive group A is canonically identified with a subgroup of
= A,; if B is given the topology the product of the discrete topologies, the neN topology induced on A is the topology defined by the filtration on A ; also B is a complete topological group and A is dense in B (General Topology, Chapter 111, $ 2 , no. 9, Proposition 25). The additive topological group B is then identified with the completion A of the Hausdorff additive group A and it follows from Proposition 15 that it has a unique ring structure which makes it the completion of the topological ring A. To define multiplication in this ring,

8,

A,8

= &i(E)

and

fi

= A.i(E).

In particular fi is a finitely generated &module.

The equation A,E = En implies, by virtue of the continuity of the external law on the A-module 8, A,$ c 8, and obviously A,,8 3 A,; ( E ) .By hypothesis there exists a surjective homomorphism u : L --f E , where L = Af, I being a finite set; let L be given the product filtration, consisting of the L, = A:, which define on L the product topology; then f, = A: and L ,= A; (General Topology, Chapter 11,s 3, no. 9, Corollary 2 to Proposition 18).Letj: L --f f, be the canonical mapping and ( e , ) , , , the canonical basis of L ; for an element cient that a, E An for all i ; then f,,, = &.j(L). This being so, by definition u(Ln) = AnE = En and hence u is a strict morphism of L onto E (General To ology, Chapter 111, $ 2, no. 8, Proposition 24). Lemma 2 then shows that li: -+ I? is a surjective strict morphism. As f,, is an open subgroup off,, d(f,,) is an open (and therefore closed) subgroup of E; but ti(f&) = &ti(j(L)) = A,i(E) and, as i ( E n ) c A,i(E) c & i ( E ) , finally 8, c A,i(E) c An& c fin and therefore = A n i ( E ) ;setting n = 0, we obtain the second formula of (25). =
(1

2 aij(e,) (where a,

A for all i E I) to belong to en, is necessary and suffiit

note that, if we write A; = l > n A,, the closure in B of the two-sided ideal A; is the set B, of x = (x,) E B such that x, = 0 for i 6 n. Then let x = (xi), y = (y,) be two elements of B and z = ( 2 , ) their product. Then, for all n > 0, x = x; (mod. B,), y = yk (mod. B,), where xk = (xi)0G14n, = ( Y , ) ~ ~ ~whence yk ~,,, z = xkyk (mod. B,). But x i and y i belong to A and it is therefore seen that, for all n E N,

en

COROLLARY 1. Under the conditions ofProPosition 16, ifA is complete, so is E.

AS the canonical mapping A -+ A is then surjective (no. 6, Proposition 5), fi = i ( E ) by (25) and the conclusion follows by Proposition 5 of no. 6.

COROLLARY 2. Let A be a commutative ring, m afinitely generated ideal ofA and A the
Hausdorffcompletion ofA with respect to the m-adic topology. Then mn = (m)" for every integer n > 0 and the topology on A is the th-adic topology.
A

mn.A

Let us write A, = mn, which is a finitely generated ideal of A. The formula mpA, = m n + pshows that the topology induced on A, by the m-adic topology coincides with the m-adic topology on the A-module A, (no. 1, Example 3). By Proposition 16 applied to E = A,, A, = A. A,, in other words mn = mn .A. I n particular m = m.A, whence
(m)" =
A

In particular, we again obtain the Corollary to Proposition 6 of no. 6 : if C is . . . ,X , ] , with the filtration associated with its usual graduation (by total degree) is canonically identified with the ring of formal power series c[[xl, . ., X,]] . (cf. Algebra, Chapter IV, $ 5, no. 10). * (2) Let K be a complete commutative field with a valuation. The completion of the ring of convergent series in r variables over K is canonically identified with the ring of formal power series K[[X,, . . ., X , ] ] . * (3) Let a be a non-zero non-invertible element of a principal ideal domain; the (a)-adic topology on A is also called the a-adic topology; it is Hausdor- for the intersection of the ideals (an) reduces to 0 (Algebra, Chapter VII, 5 1, no. 3). Note that the completion of A with respect to this topology is not necessarily an integral domain (cf. no. 13, Remark 3). The associated graded ring m(A) = gr(A) is canonically isomorphic to ( A / a ) [ X ](no. 3, Example 1). If A = Z, the completion of Z with respect to the n-adic topology (n > 1) is , denoted by Z and its elements are called n-adic integers.
a commutative ring, the completion of the polynomial ring C[X,,
k- 1

m".A

A.A,

(cf. Exercise 12).

Every element of Z/nkZ admits a unique representative of the form ap' where 0 < ut < n - 1 for all i; moreover, its canonical image in Z / n " - l Z

10 9

11 9

III

GRADUATIONS, FILTRATIONS AND TOPOLOGIES

k- 2

T H E HAUSDORFF COMPLETION OF A SEMI-LOCAL RING

3 2.13

is the class of aInc. These remarks and the fact that Z , is canonically is0 identified with the inverse limit lim Z/nkZ show immediately that every c element of Z , can be written uniquely in the form a,nl where 0 1=0 and conversely that such a series is convergent in Z. ,
13. THE HAUSDORFF COMPLETION OF A SEMI-LOCAL RING

< ui

to which the ideals # O of A form afundumental system ofneighbourhoods $0, which is compatible with the ring structure on A, is Hausdorff and the completion of A with this topology is canonically isomorphic to the product o f the completions ofA with respect to the x-adic topologies, where x runs through P.
The principal ideals ( x ) where x E P are maximal and distinct and hence relatively prime, we have already seen (no. 12, Example 3) that the x-adic topologies are Hausdorff and hence so is the topology defined in the statement of Proposition 17, which is finer than each of the x-adic topologies.

<n

PROPOSITION 17. Let A be a commutative ring and (m,), a family of ideals o f A, distinctfrom A, such that mh and m, are relatively prime for A # p. For everyfamily s = ( s ( A ) ) , ~ ofintegers 2 0, ofjnite support, set a, = A E L m p ) (equal to theproduct of the ms(,)for the A such that s(A) # 0 ; cf. Chapter 11, fi 1, no. 2, Propositions 3 and 5) ;the a, form afundamental system ofneighbourhoods o 0 with respect to a topof 1ogyYcompatible with the ring structure on A; let A be the Hausdorfcompletion ofA with respect to this topology. On the other hand, f o r all A E L, let A, be the ring A with the

If the Corollary to Proposition 17 is applied when A = Z, we denote by 2 the completion of Z with respect to the topology for which all the ideals # O of Z form a fundamental system of neighbourhoods of 0, the ring isomorphic to the
product P E P Z, of the rings oft-adic integers (Pbeing the set of prime numbers).

m,-adic topology and let A,, be its Hausdorfcompletion. Ifu: A -+ A, denotes the diagonal homomorphism, u is continuous and the corresponding homomorphism li :

Remarks (1) Clearly, under the conditions of Proposition 17, the topology 9is the least upper bound of the m,-adic topologies on A. (2) Every closed ideal a of

]ITr, A, is identical with the product of its projections

A,; for A, is canonically identiA, and a, with a n & (Algebra, Chapter I,

a,, = prh(a), which are closed ideals in the

(General Topology, Chapter 111, fi 6, no. 5 and Chapter 11, 3 3, no. 9, Corollary 2 to Proposition 18) is a topological ring isomorphism.
The first assertion follows from General Topology, Chapter 111,

fied with a closed ideal A; of

Example 3. Let us set B = A,; as the topology on A is finer than each of the m,-adiC topologies, the mappings pr, o u are continuous and hence u is continuous. Also, u(a,) is the intersection of the diagonal A of B and the open set
ofB; it follows that u is a strict morphism from the additive group A to B with image A. NowA is dense in B. For let b = be an element of B ; every neighbourhood of b in B contains a set of the form b V, where

fi 6,

no. 3,

$8, no. 10, Proposition 6), the sum of the a, is dense in the product ah (General Topology, Chapter 111, 2, no. 9, Proposition 25) and the latter is
closed in

I A,, whence our assertion. )

n Q

~ O P O S I T I O N 18.

A9L @:(mi()

Let A be a commutative ring, (mI) a jnite family o f distinct muxima1 ideals ofA, t the product ideal m1m2. . .mg = m, n m2 n. . . n mq and S the multiplicative subset 1 = 1 (A mi). Let A be given the r-adic topology, the ring B = s -lA the rB-adic topology and each ofthe local rings A,, the (m,A,,,,)-adic topology. Let 11: A -+ B, u i : B -+ A,,,{ be the canonical homomorphism (Chapter 11, 2, no.1,
Corollary 2 to Proposition 2) and u the homomorphism (vl) : B -+ t = 1 A,,. The homomorphisms u and u are continuous and the corresponding homomorphism li : A + 9

v = A9L (mi()) for a family s = (s(A)),.~ with finite support of integers pr, 20.As the m y ) are relatively prime in pairs (Chapter 11, 1, no. 2, Proposition 3), there exists x E A such that x a, (mod. m p ) ) for all A (loc. cit., Proposition 5) and hence (b + V) n A # a. The Hausdorff completion of the
-1

n
9

group B/A is then (0); applying Lemma 2 of no. 12 to the exact sequences 0 --+ A -% B , A -% B -+ B/A, we see that li is an isomorphism of A onto 8. COROLLARY.A be a principal ideal domain and P a representative system ofextreLet ma1 elements o A (Algebra, Chapter VII, 3 1, no. 3). The topology on A with respect f
192

and 8 : B 4 i = 1 (A,,)

are topological ring isomorphisms.

mi n s = % for 1 < i < q, hence the ideal mi = m,B of B is maximal (Chapter 11, 2, no. 5, Proposition 11) and rB = mi n m; n...n mi
193

GOOD FILTRATIONS

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GRADUATIONS, FILTRATIONS AND TOPOLOGIES

(Chapter 11, $ 2, no. 4); finally, B,; = A,, up to a canonical isomorphism (Chapter 11, $ 2, no. 5, Proposition 11). As il(rB) = r and ii(mlAmf)2 rB,
u and v are continuous. Then it is sufficient to prove that,
4

element y of A to be invertible, it is necessary and suficient that its class mod. a be invertible in A/a; in particular a is contained in the Jacobson radical of A. (i) As

(1 - x)(l

+ x + * * + x") .

(1

+ x + . . . + x")(l - x ) = 1 - X , + l ,

w = vou:A-+nA,,,,, t=1

fi is an isomorphism of A onto i = l A,,, for this result applied to B and the mi will show that D is an isomorphism and therefore also 6. Note that every
product of powers of the m, contains a power of c and hence the r-adic topology is the least upper bound of the m,-adic topologies; moreover, if A, denotes the ring A with the m,-adic topology and

n
4

it all amounts to proving that the series with general term xn is convergent in A; now, by hypothesis, for every neighbourhood V E 6 of 0 in A, there exists an integer p > 0 such that x" E V for all n 2 p. We conclude that
xp

+ xp+1 + . . . + X Q E V

4: A

--f

n
9

A + 1 = 1 A, is an isomorphism (Proposition 17). Then it all amounts to proving that, if u,: A, -+ A,; is the canonical mapping, GI: A, -+ &,, is an isomorphism. Now, for all n, the mapping
A/m; Arnl/m;Am, derived from u, by taking quotients is an isomorphism (Chapter 11, $ 3 , no. 3, Proposition 9) ; our assertion follows from the fact that A, (resp. A,,) is the inverse limit of the discrete rings A/m; (resp. A,,/rn;A,,,,) (cf. no. 6).
Ut,n:
+

4:

n
4

1=1

A, the diagonal mapping,

for all q 2 p and our assertion then follows from Cauchy's criterion (General Topology, Chapter 111, $ 5, no. 2, Theorem 1). (ii) Suppose that there exists y' E A such that yy' = 1 (mod. a) and y'y = 1 (mod. a). The hypothesis on a implies, by (i), that yy' and y'y are invertible in A and hence y is invertible in A. In particular, every x E a is such that 1 - x is invertible in A and, as a is a two-sided ideal of A, it is contained in the Jacobson radical o f A (Algebra, Chapter VIII, fj 6, no. 3, Theorem 1). Having established this lemma, it is sufficient to apply it to the topological ring A and the ideal iii, as, for all x E tit, xn E (iii)" (m") and the sequence c (x") therefore tends to 0.
If we take A = Z, every maximal ideal of Z is of the form pZ where p is prime. The ring ofp-adic numbers Z, is then a local ring of which pZ, is the maximal ideal (Corollary 2 to Proposition 16) and whose residue field is isomorphic to Z/pZ = F , and Z(,) with the pZ(,,-adic topology is identified , with a topological subring of Z, containing Z.

Remark (3). We see that an integral domain A can be such that its Hausdorff completion A admits non-zero divisors of zero.

PROPOSITION 19. Let A be a commutative ring and m a maximal ideal of A. The

Hausdorfcompletion maximal ideal is m.

A of A with respect to the m-adic topology is a local ring whose

If a = mk, A is the completion of the Hausdorff ring A/a associated with A and, as m/a is maximal in A/a, we may assume that A is Hausdorff with respect to the m-adic topology. As A/m and A/m are isomorphic rings (no. 12, formula (21)), m is maximal in A. As the topology on A is defined by the filtration (m") * (no. 12), the proposition will be a consequence of the following lemma :

kcl

COROLLARY. Let A be a semi-local ring (Chapter 11, $ 3, no. 5), rn, its distinct mavimal ideals (1 < i < q) and r =m,nm,n...nm,
its Jacobson radical. The Hausdorf completion A of A with respect to the r-adic topology
4

i a semi-local ring, canonically isomorphic to the product 1 = 1 A,,, where A,, is the s Haudorfcompletion ring ofthe local ring A,,, with respect to the (rn,A,,,)-adic topology.

LEMMA 3. Let A be a complete Hausdorf topological ring, in which there exists a fundamental system 6 of neighbourhoods o f 0 consisting o f additive subgroups of A. (i) For all x E A such that lim xn = 0, 1 - x is invertible in A and its inverse is
equal to n = O xn. (ii) Let a be a two-sided ideal o A such that lim xn = 0 for all x E a. For an f
n- m

3. m-ADIC TOPOLOGIES ON NOETHERIAN RINGS

All thejiltrations considered in this paragraph are assumed to be exhaustive.
1. GOOD FILTRATIONS

n-

k t A be a filtered commutative ring, E a filtered A-module and (A,) and (En) 195

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GRADUATIONS, FILTRATIONS AND TOPOLOGIES

GOOD FILTRATIONS

3 3.1

the respective filtrations of A and E ; suppose that A, ring A[X] the set A' =

, A,X" ,

A. In the polynomial

the unique element Xn forms a basis of the A-module AX", the equation
J @ xn= a,e,) @ X n implies f = the opposite inclusion is obvious,

is a graded sub-A-algebra
@A

of type N;the sub-

(z

a,&. Then En C mn-"oEna; since

group E' = nbO E n @A AXn of E since

A[X] is a graded A'-module of type N,

C

E n = mn-"oEno, Ern+,@A AX"'+n*

whence En = mEn-l for n > no.

AmXm(E, AX") c (AmEn AX"',") @A @A

DEFINITION A be a commutative ring, m an ideal of A, E an A-module and 1. Let

(En) afiltration on the additive group E consisting o submodules o f E. Thefiltrations f (En) is called m-good ;f: (1) mEn c E n + ,f o r all n E Z; ( 2 ) there exists an integer no such that mE, = En + for n 2 no.
Then by induction on q, mQE, = En+, for n 2 no, q 2 1. Note that condition (1) means that the filtration ( E n ) is compatible with the A-module structure on E if A is given the m-adic filtration. Clearly, on every A-module E , the m-adic filtration is m-good. If a filtration on an A-module E is m-good, the quotient filtration on any quotient module of E is m-good.

LEMMA Let A be a commutative Noetherian ring and m an ideal o f A. Then the sub1.
ring A'
=

nao

2 mnXnofA[X] is Noetherian.

A' is an A-algebra generated by m X ; as A is Noetherian, mX is a finitely generated A-module and the conclusion then follows from 4 2, no. 10, Corollary 3 to Theorem 2.
PROPOSITION 1. Let A be a commutative Noetherian ring and m an ideal o f A; let A be given the m-adicfiltration. Let E , F be twofiltered A-modules and j : F -+ E an injective

homomorphism compatible with thefiltrations. If E isfinitely generated and itsfiltration is m-good, then F isfinitely generated and itsfiltration is m-good.

THEOREM 1. Let A be a commutative ring, m an ideal of A, E an A-module and (En) Jiltration o the additive group E consisting offinitely generated sub-A-modules. a f
Suppose that m E , c E n + ,f o r all n. Let A' be the graded subalgebra

A [ X ] and E' the graded A'-module En @A AX". The two following conditions are equivalent: (a) Thejltration ( E n ) is m-good. (b) E' is afinitely generated A'-module.
Suppose that mE,-l = En for n > no 2 0. For i < no, let (e,,),,,,,, be a finite system of generators of the A-module Ei. As the A-module En @A AX" is generated by the elements en, @ X" for 0 < n < no and is equal to

zo

zo

mnXn of
I

As F is isomorphic to a submodule of E , it is finitely generated since A is Noetherian and E is finitely generated. Let (E,), (F,) be the respective filtrations on E and F, which consist of finitely generated submodules; preserving
the notation of Lemma 1, we set E' =

Jo @AAX", F' = 2 F, @*AX"; En

as by hypothesis F, is isomorphic to a submodule of En, we see o n a that F' is isomorphic to a submodule of E'. By Theorem 1, E' is a finitely generated A'module and hence so is F' since A' is Noetherian (Lemma 1). Hence the conclusion by virtue of Theorem 1.

COROLLARY 1 (the Artin-Rees Lemma). Let A be a commutative Noetherian ring, m an ideal of A, E afinitely generated A-module and F a submodule of E. Thefiltration induced on F by the m-adicfiltration on E is m-good.
In other words, there exists an integer no such that
(1) for all n 2 no.

mn-noE,o

@A

AXn

for n > no, the A'-module E' is generated by the elements en, @ X" for 0 < n < no and 1 < j < r,; then it is certainly finitely generated. Conversely, if E' is a finitely generated A'-module, it is generated by a finite family of elements of the form e, @ Xn(lc), where e, E En(,,. Let no be the greatest of the integers n(k). Then for n 2 no and f E En,

m((m"E) n F) = (mn+lE) n F

COROLLARY 2. Let A be a commutative Noetherian ring and a, b two ideals ofA. Thcre exists an integer h > 0 such that ah n b c ab.
There exists n such that an+l n b to E I F = 6. A,
COROLLARY

f B x n = Z tk(ek

@ Xn(,))

a(an n 6) c ab by Corollary 1 applied

where t , E A ' ; replacing if need be t, by its homogeneous component of degree n - n ( k ) , we may assume that tk = akXn-"(k),where a,Emn-"(".
196

3. Let A be a commutative Noetherian ring, m an ideal ofA and x an

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m-mnc

TOPOLOGIES O N NOETHERIAN RINGS

$ 3.2

element ofA which is not a divisor of 0. There exists an integer k > 0 such that,f o r all n > k, the relation xy E m" implies y E rnn-'.
Corollary 1 applied to E = A, F = A x shows that there exists k such that, for all n > k, mn n Ax = mn-k(mk n Ax). Then, if xy E mn,
xy E mn n Ax c mn-lcx

sufficient by virtue of Proposition 1 to show that the filtration (Hom,(A', F,)) is m-good; but this is immediate by virtue of the existence of the canonical isomorphism HomA(Ar, + F and the fact that the relation m F , = F, + F,) L implies m(F;) = (mF,)' = F',,, (Algebra, Chapter 11, 3 3, no. 7, Remark).

PROPOSITION 3. Let A be a Noetherian ring and m an ideal of A such that A is Hausdorff and complete with respect to the m-adic topology. Let E be ajltered A-module over thejltered ring A, thejltration (En) of A being such that Eo = E and E is HausdorJ with respect to the topology deJined by (E,,). Then thefollowing conditions are equivalent: (a) E is ajnitely generated A-module and (En) is an m-goodjltration. (b) gr(E) is ajnitely generated gr(A)-module. (c) For all n > 0, gr,(E) is ajnitely generated A-module and there exists no such that f o r n 2 no the canonical homomorphism
'

and, as x is not a divisor of 0, we deduce that y

In the notation of transporters (Chapter I, Corollary 3 reads

mn-lc.
no. lo), the conclusion of

9 2,

(2)

mn: Ax c mn-k.

COROLLARY 4. Let A be a commutative Noetherian ring, m an ideal of A, E ajnitely generated A-module and (En) and (Eh) two jltrations consisting o f submodules o f E. Suppose that thejltrations (En) and (Eh) are compatible with the A-module structure on E when A is given the m-adicjltration. IftheJiltration (En) is m-good and Eh c En for all n E Z, thejltration (Eh) is m-good. This a special case of Proposition 1. LEMMA 2. Let A, B be two commutative Noetherian rings, c$ : A + B a ring homomorphism, E a jnitely generated A-module and F a jnitely generated B-module. Then Hom,(E, +,(F)) is ajnitely generated B-module.
There exists by hypothesis a surjective A-homomorphism v : An + E ; the map$,(F)) is therefore injective ping u Hu v of Hom,(E, $,(F)) to HOmA(An, and, as B is Noetherian, it is sufficient to prove that HomA(An,$,(F)) is a finitely generated B-module; which is immediate since it is isomorphic to Fn.
0

(3) i surjective. s

grl(A) @A grn(E) + grn+l(E)

PROPOSITION 2. Let A be a commutatwe Noetherian ring, m an ideal of A and E, F twojinitely generated A-modules. I f (F,) is an m-good filtration on F , the submodules Hom,(E, F,) form an m-goodjltration on the A-module Hom,(E, F ) . As mkF, c Fn+k for n E Z, k 2 0, it is also true that

I t follows immediately from the definitions that (a) implies (c). The fact that (b) implies (c) is a consequence of 5 1, no. 3, Lemma 1 ;conversely, if (c) holds, clearlygr(E) is generated as a gr(A)-module by the sum ofthe gr,(E) forp < no and hence by hypothesis admits a finite system of generators. I t remains to prove that (c) implies (a) ; as the gr,(E) are finitely generated and E, = E, clearly first, by induction on n, E/En is a finitely generated A-module for all n ; it will therefore be sufficient to prove that, for n > no, En is a finitely generated A-module and that mE, = En+,. Now, consider the A-module E n + , with the exhaustive and separated filtration (E,,+k)(k> 1); mE, c En+,; hypothesis (c) implies that the image of mE, in gr,+,(E) = E n + l / E n + 2 is equal to gr, + (E) and generates the graded gr (A)-module gr (En+ ,) As gr, + (E) is by hypothesis a finitely generated A-module, it follows from $ 2 , no. 9, Proposition 12 that mE, = E n + , and that E n + , is a finitely generated Amodule.

2. m-ADIC TOPOLOGIES ON NOETHERIAN RINGS

mk Horn,(% F n )

Fn+k);

the family (Hom,(E, Fn))nezis then a filtration on Hom,(E, F) compatible with its module structure over the ring A filtered by the m-adic filtration. Since E is finitely generated, there exists an integer r > 0 and a surjective Ahomomorphism u : A' + E which defines an injective A-homomorphism

PROPOSITION 4. Let A be a commutative Noetherian ring, m an ideal o f A and E a jnitely generated A-module. All the m-good jltrations on E dejine the same topology (namely the m-adic topology).
Let (En) be an m-good filtration on E. As this filtration is exhaustive, every element of E belongs to one of the En and, as E is finitely generated and the En are A-modules, there exists a n integer n, such that En, = E. On the other hand let no be such that mE, = E n + , for n > no; then, for n > no - n,, mnE c En+,l = mn+nl-noEno c m n + n i - n oE, which proves the proposition.

Hom(u, IF) :Hom,(E, F) + Hom,(Ar, F ) ;

clearly v is compatible with the filtrations (Hom,(E, F,)) and (Hom,(Ar, F,)). As Hom,(E,F) and Hom,(Ar,F) are finitely generated (Lemma 2), it is
198

THEOREM 2 (Krull). Let A be a commutative Noetherian ring, m an ideal ofA, E a

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ZARISKI RINGS

5 3.3

finitely generated A-module and F a submodule of E. Then the m-adic topology on F is induced by the m-adic topology on E.

f'"'(0) = 0 for all n > 0 and there exist such functions with f ( x ) # 0, for all x # 0, for example the functionfdefined byf(x) = e - l / x a for x # 0 andf(0) = 0.

It follows from no. 1, Proposition 1 that the filtration induced on F by the m-adic filtration on E is m-good and the conclusion then follows from Proposition 4 .
COROLLARY. Let A be a commutative Noetherian ring, m an ideal of A, E an Amodule and F a Jinitely generated A-module. Every A-linear mapping u : E --f F is a strict morphim (General Topology, Chapter 111, 3 2, no. 8)for the m-adic topologies.
A s u(mnE)= mnu(E), u is a strict morphism of E onto u(E) for the m-adic topologies on these two modules and the m-adic topology on u(E) is induced by the m-adic topology on F by Theorem 2.

DEFINITION 1. Let A be a topological ring. I f a two-sided ideal m of A is such that the given topology on A is the m-adic topology, m is called a defining ideal o the topology on f

A.
Let A be a commutative Noetherian ring, m an ideal of A and t its radical (Chapter 11, 3 2, no. 6). If m' is a defining ideal of the m-adic topology, there exists an integer n > 0 such that rn'" c m (3 2, no. 5) and hence m' c t; conversely, since A is Noetherian, there exists an integer k > 0 such that tL c m (Chapter 11, 3 2, no. 6, Proposition 15) and hence t is the largest defining ideal of the m-adic topology.
3. ZARISKI RINGS

PROPOSITION 5. Let A be a commutative Noetherian ring, m an ideal o f A and E a

finitely generated A-module. The closure mnE o f { O } in E with respect to the m-adic topology is the set o f x E Efor which there exists an element m E m such that (1 - m ) x = 0.

nnl

If x

mr where m E m , x
m

mnx E mnE for every integer n 2 0 and hence

x EF =

E F, Ax is contained in the intersection of the neighbourhoods of 0 in E ; it then follows from Theorem 2 that the m-adic topology on Ax, which is induced by that on E, is the coarsest topology; as nu is by definition a neighbourhood of 0 with this topology, rnx = Ax and hence there exists m E m such that x = mx.

nno Conversely, if x mnE.

PROPOSITION 6. Let A be a commutative Noetherian ring and m an ideal $ A . The following properties are equivalent: (a) m is contained in the Jacobson radical of A. (b) Every finitely generated A-module is Hausdorf with the m-adic topology. (c) For everyjinitely generated A-module E, every submodule o f E is closed with respect to the rn-adic topology on E. (d) Every maximal ideal of A is closed with respect to the m-adic topology. Let us show that (a) implies (b). Suppose that m is contained in the Jacobson radical of A and let E be a finitely generated A-module. If x E E and m E m are such that (1 - m ) x = 0, then x = 0, for 1 - m is invertible in A. Then (no. 2, Proposition 5) E is Hausdorff with the m-adic topology. Let us prove that (b) implies (c). Suppose (b) holds. Let E be a finitely generated A-module and F a submodule of E. Then E/F is Hausdorff with the rn-adic topology, which is the quotient topology of the m-adic topology on E; then F is closed in E. Clearly (c) implies (d). Let us show finally that (d) implies (a). It follows from (d) that, for every maximal ideal a of A, the A-module A / a is Hausdorff with the m-adic topology. This implies m ( A / a ) # A / a , unless the m-adic topology on A / a were the coarsest topology and A / a were reduced to 0, which is absurd since A/a is ajield. The canonical image of m in A/a is therefore an ideal of A/a distinct from A / a and hence reduced to 0; then m c a, which proves that m is contained in the Jacobson radical of A. DEFINITION A topological ring A is called a Zariski ring ;f it is commutative and 2. Noetherian and there exists a dejining ideal m for the topology on A satisjying the equivalent conditions of Proposition 6.

We may also say that mF = F since

F=

n=1

n mn+lEc m. ? mnE = mF; I

n=l

00

as A is Noetherian, F is a finitely generated A-module; it is then sufficient to apply Chapter 11, 8 2, no. 2, Corollary 3 to Proposition 4.

COROLLARY (Krull). Let A be a commutative Noetherian ring and m an ideal

o f

A. The ideal

n= 1

n mn is the set of elements x

that (1 - m)x = 0. In particular, for mn = {0},it is necessary and su$icient that no element of 1 + m be a divisor of0 in A.

ncl
m

EAfor

which there exists m E m such

I t is sufficient to apply Proposition 5 to E = A,.

Remark. The hypothesis that A is Noetherian is essential in this corollary. For example, let A be the ring of infinitely differentiable mappings from R to itself and let m be the (maximal) ideal ofA consisting of the functionsfsuch thatf(0) = 0. It is immediate that

nno is the set of functionsfsuch mn

00

that

200

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T H E HAUSDORFF COMPLETION O F A NOETHERIAN RING

4 3.4

A Zariski ring A is necessarily Hausdorf (Proposition 6) and every defining ideal of its topology is contained in the Jacobson radical of A.

d : E -+ P be the mapping obtained by passing to the Hausdorff completions; for a E A, x E E,

uF(a

Examples o f Zariski rings (1) Let A be a commutative Noetherian ring and m an ideal of A. If A is Haadorff and complete with the m-adic topology, A is a Zariski ring with this topology, by virtue of 3 2, no. 13, Lemma 3. (2) Every quotient ring A/b of a Zariski ring is a Zariski ring, for it is Noetherian and, if m is a defining ideal of A, m(A/b) = (m + b)/b is contained in the Jacobson radical of A/b (Algebra, Chapter VIII, fj6, no. 3, Proposition 7). (3) Let A be a Noetherian semi-local ring and P its Jacobson radical. Then A with the r-adic topology is a Zariski ring. This will always be the topology in question (unless otherwise stated) when we consider a Noetherian semi-local ring as a topological ring.

(8.(.)) = ajF(u(x))

a l i ( j E ( X ) ) = li(uE(a

8')),

in other words, the diagram

is commutative. Finally, it follows from 3 2, no. 12, Proposition 16 that, if E is finitely generated, the homomorphism uE is surjective.

PROPOSITION 7. Let A, A' be two commutative rings and h : A -+ A' a ring homomorphism. Suppose that A is Noetherian and that A' is ajnitely generated A-module (with the structure deJined by h). Let m be an ideal o f A and let m' = mA'. Then: (i) For the m'-adic topology on A' to be Hausdorf, it is necessary andsuficient that the elements o f 1 + h(m) be not divisors Of0 in A'. (ii) IfA with the m-adic topology is a Zariski ring, then A' with the m'-adic topology is a Zarirki ring. (iii) I f h is injective (thus identifying A with a subring $A'), the m'-adic topology on A' induces on A the m-adic topology.
Recall that the m'-adic filtration on A' coincides with the m-adic filtration on the A-module A' (4 2, no. 1, Example 3). Assertion (i) is thus a special case of Proposition 5 of no. 2 and assertion (iii) a special case of Theorem 2 of no. 2, Finally let us show (ii). Suppose that A is a Zariski ring with the m-adic topology and let E' be a finitely generated A'-module; it is also a finitely generated A-module and the m-adic and m'-adic filtrations on E' coincide; then E' is Hausdorff with the m'-adic topology. Finally the A-module A' is Noetherian and hence the ring A' is Noetherian, which completes the proof that A' is a Zariski ring.
4. THE HAUSDORFF COMPLETION OF A NOETHERIAN RING

THEOREM 3. Let A be a commutative Noetherian ring, m an ideal OfA and E, F, G threefinitely generated A-modules. Then : (i) If E - : F 5 G is an exact sequence of A-linear mappings, the sequence 1 fi -$I? A obtained by passing to the Hausdor$completions (with respect to the madic topologies) is exact. (ii) The canonical A-linear mapping uE: A @A E -+ fi is bijective. (iii) The A-module A isflat.
We have seen that u and v are strict morphisms of topological groups (no. 2, Corollary to Theorem 2). Assertion (i) then follows from 4 2, no. 12, Lemma 2. Assertion (ii) is obvious when E = A and the case where E is a free finitely generated A-module can be immediately reduced to that. In the general case, E admits a finite presentation

L-LL~D-E-o
(Chapter I, 3 2, no. 8, Lemma 8). We derive a commutative diagram
~

Let A be a commutative ring, m an ideal of A and E an A-module; let A and fi denote the respective Hausdorff completions of A and E with respect to the m-adic topology and jE canonical mapping E -+ the The A-bilinear mapping (a, x ) H ajE(x) of A x E to fi defines an A-linear mapping

e.

UE:

A @A E -+ fi,

called canonical. Let u : E -+F be an A-module homomorphism and let 202

The first row is exact (Chapter I, 3 2, no. 1, Lemma 1) and so is the second by (i). We already know that uEis surjective (3 2, no. 12, Proposition 16) ; on the other hand, as uL and uL,are bijective and 1 @ v is surjective, aEis injective by virtue of Chapter I, 3 1, no. 4, Corollary 2 to Proposition 2; this shows (ii). Then it follows from (i) and (ii) that, if a is an ideal of A (necessarily finitely % generated), the canonical mapping A @A a + 2 is injective, being the
203

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T H E HAUSDORFF COMPLETION OF A NOETHERIAN RING

$ 3.4

composition of b-+A and aE, which proves that (Chapter I, $ 2, no. 3, Proposition 1).

A is

a flat A-module

(ii) The mapping n I-+ A

A.j(n) is a bijection ofthe set of maximal ideals ofA

-1

Under the conditions of Theorem 3 A @A E is often identified with E by means of the canonical mapping ax.If u : E -+ F is a homomorphism of finitely generated A-modules, 12 : E -+ P is then identified with 1 @ u by virtue of the commutativity of diagram (4).

COROLLARY 1. Let A be a commutative Noetherian ring, m an ideal ofA, E ajnitely gmerated A-module and F and G two submodules o E. Let A, E, F, G be given the mf adic topologies and let i be the canonical mapping from E to Then :

e.

P = A.i(F),

(F

+ G)^ = P -t- c,
(F: G)* = P: G.

(F n G ) ^= P n e,

Moreover, f a and b are two ideals o A and c = ab, C = 66. i f

are canonically identified with A @A E, A By Theorem 3, fi, P, F, A @A G, which establishes the first two formulae. The third and fourth

containing m onto the set ofmaximal ideals ofA and q ~j (9) is the inverse bGection. (iii) Let n be a maximal ideal of A containing m. The homomorphismj ' : An--+A, derived from j is injection; if A, is identijied by means o j with a subring of A,, the f (nA,,)-adic topology on A,, is induced by the A-adic topology on A, and A,, is dense in A, with the A-adic topology. Let us show (i). As m is a finitely generated ideal, (mn)* = (m)" = mnA (3 2, no. 12, Corollary 2 to Proposition 16) and the topology on A is the m-adic topology. As A/m is isomorphic to A/m, it is a Noetherian ring and th = mA is a finitely generated A-module and therefore A is Noetherian ($2, no. 10, Corollary 5 to Theorem 2) ; finally, as A is Hausdorff and complete with respect to the m-adic topology, A is a Zariski ring (no. 3, Example 1). Assertion (ii) follows immediately from the fact that the canonical homomorphism A/m -+ A/m derived from j is bijective and the fact that every maximal ideal of A contains in, since A is a Zariski ring and the Jacobson radical of A then contains m (no. 3, Proposition 6 ) .
Finally let us prove (iii). As n = j (A), j ( A n ) c A A a n d j certainly defines a homomorphism j ' : A, -+A, (Chapter 11, 3 2, no. 1, Proposition 2). Let us show thatj' is injective; let a E A, s E A n be such that then there exists S ' E A i such that s ' j ( a ) = 0 (Chapter 11, fj2, no. 1, i Remark 3) and the annihilator ofj(a) in A is therefore not contained in fi. Now, if b is the annihilator of a in A, the annihilator ofj(a) in A is 6 (Corollary 1 to Theorem 3) ; hence b 4: n, which shows that a/s = 0. Moreover, there is a commutative diagram
-1

follow respectively from Chapter I, 3 2, no. 6, Proposition 6 and no. 10, Proposition 12. Finally, as d = &(a), 6 = Ai(b),i. = Ai( c),
i. = &(ab) = Ai(a)i(b) = bb.

COROLLARY 2. Let A be a commutative Noetherian ring, m an ideal ofA and A the Hausdorfcompletion ofA with respect to the m-adic topology. If an element a E A is not a divisor of0 in A, its canonical image a' in A is not a divisor of0 in A.
As A is a flat A-module, the corollary is a special case of Chapter I, 3 2, no. 4, Proposition 3 (i).

j ' ( a / s ) = j ( a ) l j ( s ) = 0;

COROLLARY 3. I f A is a commutative Noetherian ring, the ring series A[[X,, . . .,X,]] is aflat A-module.

of formal power
I

A/nk (5)
AIAk

- lh* hl
%I(nAn)
--f

It is the completion of the polynomial ring

A,/(AA,)k

= AIXl,

. . ., X,]

with respect to the m-adic topology, where m is the set of polynomia!s with no constant term (3 2, no. 12, Example 1) ;as B is Noetherian (3 2, no. 10, Corollary 2 to Theorem 2), A[[X,, . . .,X,,]] is a flat B-module by Theorem 3 and, as B is free A-module, A[[X,, . . ., X,]] is a flat A-module (Chapter I, 3 2, no. 7, Corollary 3 to Proposition 8). 8. Let A be a commutative Noetherian ring, m an ideal of A, A the Hausdorfcompletion o A with respect to the m-adic topology andj the canonical mapping f from A to A. The : (i) A is a Zariski ring and rfi = A.j(m) is a dejning ideal ofA.
PROPOSITION

where h and h' are derived fromj andj' respectively and the horizontal arrows are the canonical isomorphisms of Chapter 11, 3 3, no. 3, Proposition 9. As nk is an open ideal of A (since it contains mk),h is bijective and hence so is h'. This shows first that (nA,Jk = j ' ( ( f i A , ) k ) and hence the topology on A, is induced by that on A,; moreover, A, = A,, + for all k > 0 and hence 4 is everywhere dense in A,.

COROLLARY. Let A be a Noetherian local (resp. semi-local) ring and m its Jacobson radical. Then is a Noetherian local (resp. semi-local) ring whose Jacobson radical is 171.
Ais Noetherian by Proposition 8 (i) and the rest follows from Proposition 8 (ii) and the third formula in Corollary 1 to Theorem 3.
205

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THE COMPLETION OF A ZARISKI RING

3 3.5

5. THE COMPLETION OF A ZARISKI RING

PROPOSITIONLet A be a commutative Noetherian ring and m an ideal o A; let A be 9. f given the m-adic topology. For A to be a faithfullyJat A-module, it is necessary and suficient that A be a Zariski ring.

COROLLARY 4 Let A be a Zariski ring such that A is an integral domain, L thejield . o ffractions o f A and K c L thejield o f fractions o f A; then A n K = A. Clearly A c A n K ; on the other hand, if x E A n K, then Ax c A and hence, , as Ax = A @ (Ax) (no. 4, Theorem 3), A @A ((Ax A)/A) = 0. As A is a faithfully flat A-module (Proposition 9), we deduce that Ax c A, whence

For every finitely generated A-module M, the canonical mapping M --f M @,A is identified with the canonical mapping M -+ M from M to its Hausdorff completion with respect to the m-adic topology (no. 4, Theorem 3) and the kernel of this mapping is then the closure of (0) in M with respect to this topology. As we already know that A is a flat A-module (no. 4, Theorem
3), the proposition follows from the characterization of faithfully flat modules (Chapter I, 3 3, no. 1, Proposition 1 (b)) and the characterization of Zariski rings (no. 3, Proposition 6). If A is a Zariski ring and E is a finitely generated A-module, we may (by virtue of Proposition 9) identify E with a subset of fi by means of the canonical mapping j,: E + fi. With this identification: COROLLARY 1. Let A be a Zariski ring, E afinitely generated A-module and F a submodule of E. Then F = @ n E = (AF) n E. This is a special case of Chapter I, follows from no. 3, Proposition 6.

XEA.
COROLLARY 5. Let A be a commutative Noetherian ring, E, F twofinitely generated Amodules and u : E + F an A-homomorphism. For every maximal ideal m of A, let A(m) (resp. E(m), F(m)) denote the Hausdorfcompletion ofA (resp. E, F) with respect to the m-adic topology and u(m) : E(m) --f F(m) the corresponding homomorphism to u. For u to be injective (resp. surjective, bijective, zero), it is necessary and suficient that u(m) be so f o r ever9 maximal ideal m o A. f We know that for u to be injective (resp. surjective, bijective, zero), it is necessary and sufficient that u,: Em+ F, be so for every maximal ideal m of A (Chapter 11,s 3, no. 3, Theorem 1). We now note that A, is a Noetherian local ring (Chapter 11, 3 2, no. 4, Corollary 2 to Proposition 10) and hence a Zariski ring and there is a canonical A-algebra isomorphism A, + A(m) (3 2, no. 13, Proposition 18). On the other hand (beginning of no. 4), there is a commutative diagram
Em
@A,n

3 3, no.

5, Proposition 10 (ii) and it also

COROLLARY 2. Let A be a Zariski ring and E ajinitely generated A-module. If fi is a free A-module, E is a free A-module. Let m be a defining ideal of A, which is therefore contained in the Jacobson radical of A. We apply the criterion of Chapter 11, 3 3, no. 5, Proposition 5 : the canonical mapping j,: E -+ fi defines a bijection i,: E/mE + fi/(mE)* ; similarly the canonical mapping j,: A -+ A defines a bijection i,: A/m+A/lii, which is a ring isomorphism. Then (mE)' = A. mE = (no. 4, Theorem 3), so that fi/(mE)* is given an (W/m)-module structure and hence (by means of i A ) an (A/m)-module structure. I t is immediate that i, is (A/m)-linear, so that it is an (A/m)-moduleisomorphism. As is a free (A/m)-module, E/mE is a free (A/m)-module. On the other hand, let v: m @ E + E be the canonical homomorphism; , %s (m @A E) @A A is canonically identified with m @ , and E @ A A with E (no. 4, Theorem 3), the hypothesis that f2 is a free &module implies that the ? homomorphism u @ 1 : m @A fi -+ I is injective. As A is a faithfully flat Amodule (Proposition 9), we conclude that v is injective (Chapter I, fj 3, no. 1, Proposition 2) and the conditions for applying the above mentioned criterion are indeed fulfilled.

urn8 1

A(m)

@A

A(m)
1

18 .
@A

Fm

@Am

A(m) --+ F

A(m)

m e

e/mfi

where the horizontal arrows on the left arise from the associativity of the tensor product and the isomorphisms Em-+ E @ A,,,, F, + F 8, A,; as E and F , are finitely generated A-modules, it follows from no. 4, Theorem 3 that the rows of this diagram consist of isomorphisms; thus we are reduced to proving that u, being injective (resp. surjective, bijective, zero) is equivalent to urn @ 1 being so. But this follows from the fact that A, (and hence also A(m)) is a faithfully flat A,-module by Proposition 9 (Chapter I, 5 3, no. 1, Propositions 1 and 2).

E(m)

Jm) F(m)

PROPOSITION 10. Let A, B be two Zariski rings, A, 8 their completions,f: A + B a continuous ring homomorphism and $ A --f B the homomorphism obtained from f by emsing to the completions; ijf is bijective, the A-module B isfaithfullyjat.
As A and B are Hausdorff, the hypothesis thatfis bijective implies first thatf is injective. Identifying (algebraically) A with f (A) by means off and A with B by means ofA we then obtain the inclusions A c B c A = 8; we know that A is a faithfully flat A-module and a faithfully flat B-module (Proposition 9) ;we conclude that B is a faithfully flat A-module (Chapter I, 3 3, no. 4, Remark 2).

COROLLARY 3. Let A be a Zariski ring such that A is an integral domain and let a be an ideal o A. rf the ideal aA o f A is principal, a is principal. f This is a special case of Corollary 2.

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PROPOSITION 1I. Let A be a Noetherian local ring, m its maximal ideal, A its m-adic completion and B a ring such that A c B c A. Suppose that B is a Noetherian local ring whose maximal ideal n satk-es the relation n = mB. Then
nk =

(ii) The canonical mapping f: -+ S - lE is continuous f E is given the m-adic topE i ology and S - l E the (S-lm)-adic topology andJ E -+( S - l E ) ^ is an isomorphism. Every element of 1

mkB = m k n B

+ ( S - l m ) is of the form

for all k 2 1, the n-adic topology on B is induced by the m-adic topology on A, B is a faithfullyjat A-module and there is an isomorphism ofA onto the n-adiccompletionB o f B,

+ ( m / ( l + m')) = (1 + m + m')/(l + m )

which extend the canonical injection A -+ B. It is sufficient to verify the relation nk = ritk n B , for, as B is dense in A and the n-adic topology is induced by the m-adic topology, the last assertion will follow from General Topology, Chapter 11,s 3, no. 9, Corollary 1 to Proposition 18 and the last but one from Proposition 10. The injection j,: A --f A (resp. j,: B -+ A) defines by taking quotients an injective homomorphism

where m E m and m' E m ; it is therefore invertible in S-lA, which proves that S - l m is contained in the Jacobson radical of S-lA; as S-lA is Noetherian (Chapter 11, 3 2, no. 4, Corollary 2 to Proposition lo), S-lA is a Zariski ring with the (S-lm)-adic topology, which proves (i). Let us show (ii). For all n > 0,
-1 -1

f ((S-'m)"E)
-1

=f

(S-l(m"E))

mnE:

i,: A/(& n A) --f A/m

(resp. i: B/(m n B ) -+ A/m). We know that m n A = m and that iAis bijec, tive, hence i, is bijective, which shows that B/(rii n B ) is a field, hence that m n B is a maximal ideal of B and therefore m n B = n. As A = A + m, B = A n = A m B ; by induction on k we deduce that

for clearly first of all f (mnE) c S - l m n E ; conversely, let x be an element of

f ( S - l m n E ) ; then there exist elements m', m" of m and x" E m"E such that (1 + m') (( 1 + m")x - x " ) = 0, whence (1 - m ) x = x', where
m
and x'
= =

-(m'

+ m" + m'm") ~m

B = A + mkB = A

+ nk

(1

for all k > 1. A s nk c mk n B , it is sufficient to show that m k n B c nk; if b E litk n B, we may write b = a + z where a E A, z E nk; whence

+ m')x" E mnE; we conclude that x = (1 + m+...+rnn-')x' +rn"xErn"E.

a = b - z e m k n A = m k c nk
and b E nk.

* An important case where this applies is the following: B is the ring of integral series in n variables over a complete valued field, which converge in the neighbourhood of 0, A is the local ring
K[XI,

This proves that f is a strict morphism. Moreover, the kernel off, which is the set of x E E for which there exists some s E S such that sx = 0, is identical with the kernel of the canonical mapping j : E -+ I (no. 2, Proposition 5). Then ? there is a topological isomorphismf o : j ( E )-+f( E ) such that f = foo j ; a s j is a topological isomorphism, the problem reduces to verifying that f ( E ) is dense in S - l E . Now every element of S - l E may be written as x/(l - m ) , where m E m, and it is immediately verified that x/(l - m )

--

- 3

Xnl~

= ((1 + m + ... + m"-')x)/l

(mod. S-'mnE)

where p is _themaximal ideal consisting of the polynomials with no constant term and A is the ring of formal power series K[ [X,, . . ., XJ]. *

which completes the proof.

Remark. A local ring B such that A c B c whose maximal ideal n is equal to mB and whose n-adic topology is induced by the m-adic topology on A, is not necessarily Noetherian (Exercise 14).

a,

4 LIFTING IN COMPLETE RINGS .

1 STRONGLY RELATIVELY PRIME POLYNOMIALS .

PROPOSITION 12. Let A be a commutative Noetherian ring, m an ideal o A, S the f multiplicative subset 1 + m of A and E a Jinitely generated A-module. Under these conditions : (i) S - lA is a Zariski ring with the ( S - lm) -adic topology.

Let R be a cormutative ring. Two elements x , y of R are called strongly relatively prime if the principal ideals Rx and R y are relatively prime, in other

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4 4.1

words (Chapter 11,s 1, no. 2) if R x + R y = R; it amounts to the same to say that there exist two elements a, b of R such that ax by = 1.

P' are strongly relatively prime, P divides Q' by Lemma 1 ; if Q' # 0, there would exist a polynomial S # 0 such that Q' = PS, whence deg(Q') = s

LEMMA ("Euclid's Lemma"). Let x, y be two strongly relativelyprime elements of 1 R;;f z E R is such that x divides y z , then x divides z.

+ deg(S) 2 s,

If 1 = ax

+ by, then z = x(az) + (yz)b.

RXY= (Rx)r\ ( R y )

Ifx and y are strongly relatively prime in R, then

(Chapter 11, 3 1, no. 2, Proposition 5 ) ; if R is an integral domain, two strongly relatively prime elements then have an lcm equal to their product (Algebra, Chapter VI, 3 1, no. 8) and are therefore relatively prime in the sense of Algebra, Chapter VI, 3 1, no, 12. Conversely, if R is a principal ideal domain, two relatively prime elements are also strongly relatively prime, as follows from Bezout's identity (Algebra, Chapter VII, fj 1, no. 2, Theorem 1). For polynomial rings there is the following result : PROPOSITION 1. Let A be a commutative ring and P and P' two strongly relatively prime polynomials in A[X]. Suppose that P is monic and of degree s. Then every polynomial T in A[X] may be written uniquely in theform (1)

which is a contradiction. We conclude that Q' = 0, whence P Q = 0 and finally Q = 0 by the remark at the beginning. Finally, suppose that deg(T) < t and deg(P') < t - s ; with the polynomial T in the form ( l ) , deg(P'Q') and therefore

< deg(P') + deg(Q') < s + deg(P') < t

+ deg(Q) = deg(PQ) = deg(T - P'Q') < t whence deg(Q) < t - s.

s

Example. For a polynomial P E A[X] to be strongly relatively prime to X - a (where a E A), it is necessary and sufficient that P(a) be invertible in A. For if P and X - a are strongly relatively prime, it follows from Proposition 1 that there exist c E A and a polynomial Q E A[X] such that cP + (X - a ) Q = 1, whence cP(a) = 1 and P(a) is invertible. Conversely, by Euclidean division
P = (X - a ) R

+ P(a)

P Q + P'Q'

where Q E A[X], Q' E A[X] and deg(Q') < s. Iffurther deg(T) < t and deg(P') < t - s, then deg(Q)

and, if P(a) = b - l , where b E A , we deduce that 1 = bP - b(X - a)R, which shows that P and X - a are strongly relatively prime.

< t - s.

Let A and B be two commutative rings and f: -+ B a ring homomorphism. A

As P is monic, PR # 0 for every polynomial R # 0 of A[X] and in this case

deg(PR) = s deg(R). Let T be any polynomial in A[X]. As the ideal generated by P and P' is the whole ofA[X], there exist polynomials Ql and Q" such that

If P =

2 a,X' is a formal power series in A[[X]], letf(P) denote the formal power series 2 f ( a , ) X i in B[[X]]. If P is a polynomial, so is f(P) and, if
f b O

tbO

P a l + P;Q'i;

as P is monic of degree s, Euclidean division (Algebra, Chapter IV, 3 1, no. 5) shows that there exist two polynomials Q', Q" such that Ql PQ" = Q where deg(Q) < s; then we deduce that

further P is monic, thenf(P) is monic of the same degree as P. Finally, P -f(P) is clearly a homomorphism ofA[[X]] to B[[X]] which extendsf and maps X to X. The notationfwill be constantly used in this sense in the rest ofthis paragraph. PROPOSITION 2. Let A and B be two commutative rings, f a homomorphismfrom A to B and P, P' two polynomials in A[X]. I f P and P' are strongly relativelyprime in A[X], thenf(P) a n d f ( P ' ) are strongly relatively prime in B[X]. The converse is true i f f is surjective, if its kernel is contained in the Jacobson radical of A and ifP is monic. Suppose that P and P' are strongly relatively prime; then there exist polynomials Q, Q' in A[X] such that P Q P'Q' = 1 ;we deduce that

T = PQl

+ P'(PQ"+

Q')

P Q + P'Q'

where Q = Q1 P Q . To show the uniqueness of formula ( l ) , it is suffi'" cient to prove that the relations

(2)

0 = P Q + P'Q',

deg(Q) c s

f ( P ) f ( Q ) +f(P')fCQ) = 1, whence the first assertion. To show the second, let a denote the kernel off;

imply Q = Q = 0. Now, if (2) holds, P divides - P Q= P ' Q and, as P and 210

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3 4.2

let E = A[X] and F the ideal of E generated by P and P'; as f is surjective andf(P) monic, Proposition 1 shows that for every polynomial T E A[X] there exist two polynomials Q,Q' in A[X] such that whence the relation E = F + aE. Now, E/F is a finitely generated A-module, fir every polynomial is congruent mod. P to a polynomial of degree < deg(P), p being monic. As E/F = a(E/F) and a is contained in the Jacobson radical of A, Nakayama's Lemma shows that E/F = 0 (Algebra, Chapter VIII, fj6, no. 3, Corollary 2 to Proposition 6 ) , which means that P and P' are strongly relatively prime.
2. RESTRICTED FORMAL POWER SERIES

exists an integer m such that c ~ ~ , E ,3 ~ , , and ckl,,,,, E 3 for every system (n,, . . .,n,) such that n k 2 m for at least one index k; now, if

T" = TT'

& c i l , . , , , X ~...X ,:
+

then 4 1 ...np = Cll,.,lpC~l.,,sp for all Systems ( T k ) , (Sk) such that rk Sk = nk for 1 < k < p ; we conclude that if nk 2 2m, then rk 2 m or sk 2 m and hence, since 3 is an ideal, c : ~ . . , ,E~ 5 so long as nk 2 2m for at least one k , which establishes our assertion. Moreover, every derivative BT/BX, (1 < i 6 p ) of a restricted formal power series is restricted, as follows immediately from the definition and the fact that the neighbourhoods 3 E 99 are additive subgroups of A.
If A is discrete, the ring of restricted formal power series is just the polynomial ring A[X,, . . ., X,].

DEFINITION 1. A commutative topological ring A is said to be linearly topologized (and its topology is said to be linear) ifthere exists a fundamental system g of neighbourhoods o 0 consisting of ideals o A. f f
Note that in such a ring, the ideals 3 E g are open and closed (General Topology, Chapter 111, 2, no. 1, Corollary to Proposition 4). For all 3 E g, quotient the 8' topological ring A/3 is then discrete; for 8 E g, E a, 3' c 8, let

Let us always assume that A is linearly topologized and let B be a fundamental system of neighbourhoods of 0 in A consisting of ideals of A; for all 3 E 9, let p3: A + A/3 be the canonical homomorphism. By definition, for every restricted formal power series T E A{Xl, . . .,X,},
E

hS3,:AID' -+ A/8
be the canonical mapping. We know (General Topology, Chapter 111,s 7, no. 3) that (A/3, h33c) an inverse system of discrete rings (relative to the indexing set is 9 which is ordered by 3 and directed), whose inverse limit is a complete Y Hausdorff linearly topologized ring A; further (loc. cit., Proposition 2 ) , a strict morphism i : A -+ A is defined, whose kernel is the closure of {0}in A and whose image is everywhere dense in A, so that A is canonically identified with the Hausdorff completion of A. Clearly

(A/3)[X1,. . ., X,].

((A/8)[XI, *

,XPl, LJ I

DEFINITION 2. Given a commutative topological ring A, a formal power series T=

cnlna...npx:'x~- .x? *

is an inverse system of rings (relative to the directed indexing set a)and ( j 3 ) is an inverse system of homomorphisms A{X,, . . .,X,} --f (A/3)[X,, . . .,X,] ; as every polynomial is a restricted formal power series, is surjective; its kernel N3 is the ideal of A{X,, . . ., X,} consisting of the restricted formal power series all of whose coefficients belong to 3; we shall give A{X,, . . .,X,} the (linear) topology for which the N3 (for 3 E 99) form a fundamental system of neighbourhoods of 0 (a topology which obviously depends only on that on A). Then it follows from General Topology, Chapter 111, 3 7, no. 3, Proposition 2 that
(3)
x =

in the ring A[[X,, . . .,X,]] is called restricted ;f,for every neighbourhood V of0 in A, there is only afinite number of coeficients c,~,~...~, belonging to V (in other words, not tends the family (c,,~,,~...~,,) to 0 in A with respect to the filter of complements of finite subsets of NP).
IfA is linearly topologized, the restricted formal power series in A[[X,, . . .,X,]] form a subring of A[[X,, . . ., X,]], denoted by A{X,, . . ., X,}: for if

lim&: A{Xl,
t

. . .,X,} + lim (A/8)[X1, . . .,X,] t

is a strict morphism whose kernel is the closure of {0}in A{X,, . . .,X,} and whose image is dense in A' = lim(A/8)[X,, . . .,X,].

T= C , , ~ . . , , ~ X .Xz, T' = ( n d C ~ ~ , , , , . . X : ~ . two restricted formal .~ ~ . ~ z are power series and 8 a neighbourhood of 0 in A which is an ideal of A, there
i

-3

PROPOSITION 3. If the linearly topologized commutative ring A is Hausdorf and complete, the canonical homomorphism x is a topological ring isomorphism.
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3 4.3

x?.

For all (nlJ . . ., n,) E N P and all 3 E a, let +;l,,,np be the mapping (A/3)[Xl,. . ., X,] -+A/3 which maps every polynomial to the coefficient of . . X z in this polynomial; clearly the +;l,,.np form an inverse system of (A/3)-module homomorphisms (relative to the ordered set a) and, as A is canonically identified with lim(A/3) by hypothesis, +nl...np = lim +;l.,.np is a
t

1 < r < p and let the ring A{Xl, . . ., X,} be given the topology defined above. Then the topological ring A{X,, . . ., X,} is identified with the ring of restricted formal power series

continuous A-homomorphism from A' to A. For every element S = ( S 3 ) 3 e a

of A', we shall see that the formal power series T = (ni) +,,l..,np(S)Xyl. : is . .X restricted and satisfies x(T) = S. For all 3 E 93 and all 3' E such that 3' c 3, the relation +,.( :., S3) = 0 implies
as S , is a polynomial, we see that +nl,,,np(S)3 except for those (nl, . . ., n,), E finite in number, such that +~1...np(S3) which proves our first assertion; # 0, the second follows from the definitions. As A is Hausdorff, the intersection of the N3 reduces to 0 and hence x is bijective, which completes the proof, since ; i is a strict morphism. PROPOSITION 4. Let A, B be two linearly topologized commutatiue rings, B being Hausdorff and complete, and u : A -+ B a continuous homomorphism. For every jamily of elements o B, there exists a unique continuous homomorphism f b = (6,)

as follows immediately from the definitions. (3) With the notation of Remark 2, suppose further that A is Hausdorff and complete and let us write every restricted formal power seriesf E A{Xl, . . .,X,} in the form

where the c,,,+~,,,,, are restricted formal power series. For every system x = (x,, . . .,x,) of elements of A, let

It follows immediately from Remark 1 that

bnf+l,,,npX,+l .X? is a n,+i . .

,,

restricted formal power series denoted by f (xl, . . .,x,, X, + . . ., X,) ; it is said to be obtained by substituting the xt for the Xi for 1 < i < r i n 5
3. HENSEL'S LEMMA

u": A{X,,

. . ., X,}

-+ B

such that :(a)

.(a) for a16 a E A and ."(Xi) = b, for 1

< i < p.
I

There exists a unique homomorphism u : AIX1,. . ., X,] -+ B such that u(a) = .(a) for a E A and u(X,) = 6, for 1 < i < p. Moreover, if 9 is a neighbourhood of 0 in B which is an ideal, u1(4) 3 is an ideal of A which is a = neighbourhood of 0 and, for every polynomial P E NB,clearly v(P) E 4 and hence v is continuous. As AIX1,. . .,X,] is dense in A{Xl, . . ., X,}, the existence and uniqueness of u" follow from General Topology, Chapter 111, fj 3, no. 3, Proposition 5 and the principle of extension of identities.

I n a topological ring A, an element x is called topologically nilpotent if 0 is a . limit of the sequence (x" ) , If A is a linearly topologized commutative ring, to say that x is topologically nilpotent means that for every open ideal 3 of A the canonical image of x in A/3 is a nilpotent element of that ring. If r3 is the nilradical of A/3, clearly (r3) is an inverse system of subsets and the set t of topological nilpotent elements of A is the inverse image of r = lim r3 under the
t

f(b,,

I n the special case where A = B and u is the identity mapping we shall write . . ., 6,) or f(b)for the value of ."(f) every restricted formal power for seriesf E A{Xl, . . .,X,}.

canonical homomorphism A -+ lim A/3; it is therefore a closed ideal of A. If t also A is Hausdorff and complete, this ideal is contained in the Jacobson radical of A and, for an element x E A to be invertible, it is necessary and sufficient that its class mod. t be invertible in A/t (9 2, no. 13, Lemma 3). Note that if A is a ring and m a two-sided ideal of A, the elements of m are topologically nilpotent with respect to the m-adic topology.

Remarks (1) Proposition 4 proves that for every closed ideal a in a ring A which is assumed to be Hausdorff and complete, the relations b, E a for 1 < i < p imply , f ( b l , . . .,6,) E a for every restricted formal power seriesfE A{Xl, . . .,X,}. (2) Suppose that A is linearly topologized; let r be an integer such that
214

THEOREM 1 (Hensel). Let A be a complete Hausdorff linearly topologized commutatiue

&g. Let m be a closed ideal ofA whose elements are topologically nilpotent. Let B = A/m be the quotient tgpological ring and 'p: A 4 B the canonical mapping. Let R be a resttktedformal power series in A{X}, P a monic polynomial in B[X] and Q a restricted 1 f power series in B{X}. Suppose that T(R)= P . a a n d that P and a a r e strongly relatively prime in B{X}. Then there exists a unique ordered pair (P, Q ) consisting
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9 4.3

of a
that (4)

monic polynomial P E A[X] and a restricted formal power series Q E A{X} such

R = P.Q,

Cp(P) =

P,

V(Q) = Q.

Moreover, P and Q are strongly relatively prime in A{X} and, ; R is a polynomial, f so is Q.

The proof is divided into four steps. I n the first three we assume that A is discrete, in which case R and are polynomials.

as (mn-1)2 = 0, there exists a unique ordered pair (P, Q) of polynomials in A[X] such that Pis monic and R = P Q , 6(P) = P, G(Q) = as = o 8, this shows the existence and uniqueness of P and Qsatisfying (4) ;moreover P and Q are strongly relatively prime by the induction hypothesis and hence so are P and Q.

a; + +

(1) m2 = 0 Let S, T be two polynomials of A[X] such that S is monk and q(S) = P, q(T) = Proposition 2 of no. 1 shows that S and T are strongly relatively prime; hence (no. 1, Proposition 1) there exists a unique ordered pair of polynomials (S, T) of A[X] such that

a;

I
I

(5)

R - ST

ST + TS and deg(S) < deg(S)

deg(H).

The polynomials P = S problem; then in fact P.V(T) (6) As P is monic, P and

+ TS,

Q= T

+ T are

then solutions to the

+ Q.Cp(S)

= (p(ST

+ TS) = F(R - ST) = 0.

strongly relatively prime and

Proposition 1 of no. 1 shows that F(S) = F(T) = 0, in other words the coefficients of S and T belong to m and the relation m2 = 0 gives P Q = ST

(3) A is discrete Note that in this case m is no longer necessarily nilpotent, but it is always a nilideal by hypothesis. Let Po, Qo be two polynomials of A[X] such that g(Po) = P, F(Qo) = Q and Po is monic. Let us consider the ideal n of A generated by the coefficients of R - PoQo; it is finitely generated and contained in m, hence it is nilpotent (Chapter 11, $2, no. 6, Proposition 15) and by definition, if 4: + A/n is the canonical mapping, then $(R)= $(Po)$(Qo). A Moreover, +(Po)and $(Qo) strongly relatively prime, as follows from the are hypothesis on P and Q and Proposition 2 of no. 1 applied to the canonical homomorphism A/n -+ A/m. By virtue of case (2), there therefore exists an ordered pair (P, Q) of polynomials in A[X] such that P is monic and relations (4)hold. The fact that P and Q a r e strongly relatively prime implies also here that P and Q a r e strongly relatively prime in A[X] by virtue of no. 1, Proposition 2, for m is contained in the Jacobson radical of A. Suppose finally that PI, are two polynomials in A[X] satisfying (4) and such that P, is monic Ql and let n, be the finitely generated ideal of A generated by the coefficients of P - PIand the coefficients of Q - Q1;as n, is contained in m, it is nilpotent and, if ; A -+ A/n, is the canonical mapping, ql(P) = &(Pl) and
-

h(Q) h(Q1); =

+ ST + TS = R,

the uniqueness property for case (2) therefore implies P = P,, Q = Q,.

which satisfies relation (4). Since F(P) = H and = Q, P and Q are strongly relatively prime (no. 1, Proposition 2) ; finally, if P, and Q1are two other polynomials in A[X] satisfying (4) and such that P, is monic, then necessarily, setting S; = P, - S, Ti = Q, - T, deg(S;) < deg(S) and R - ST = ST; TSi since S; and Ti have their coefficients in m; but Proposition 1 then proves that S = Si and T = TI, which proves the uniqueness of the ordered pair (P, Q).

?(a)

(4)General case Let S be a fundamental system of neighbourhoods of 0 in A consisting of ideals of A. For all 8 E g,letf, be the canonical mapping A + A/3, the canonical mapping

+,

(2) m is nilpotent
Let n be the smallest integer such that mn = 0 and let us argue by induction on n > 2, the theorem having been shown for n = 2. Let A = A/mn-, m = m/mn-l; m- = 0, there exists a unique ordered pair (P, Q) of as polynomials in A[X] such that P is monic, R = PQ, +(P) = P and $(Q) = where denotes the canonical homomorphism A -+ A / m = B, 0 the canonical homomorphism A --f A and R = 8(R). n the other hand, O

a,

A/3 H (A/3)/((m + 3 ) / 3 ) = A/(m + 3), g the canonical mapping B = A/m-tA(m 8) and write R3 =f3(R), , P, = &(P), Q = &(Q). As each ring A/8 is discrete, case (3) can be applied , to it and we see that there exists a unique ordered pair (P,, Q,) of polynomials in (A/3)[XI such that P, is monic and R, = P,Q,, tj3(P3) = P,, p3(Q3) = The uniqueness of this ordered pair implies that, if 3 c 3, 3E and fa,,: A / 3 - + A / 3is thecanonicalmapping, then P, =&(P,,), Q3 = &,,(Q,). Then it follows from the canonical identification of A{X) with lim(A/3)[XI

a,.
217

%-

216

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COMPOSITION OF SYSTEMS OF FORMAL POWER SERIES

3 4.4

(no. 2, Proposition 3) that there exists P E A{X} and Q E A{X} such that = PQandf,(P) = P3,f,(Q) = Q3 for all 9 E a. Moreover,

(Algebra, Chapter IV, 9 5, no. 5). If

&(P - g(P))

0,

&(Q - T(Q))

h = (hl, *

* Y

4) E (A"&,

* * * J

x*ll)r

for all 8 E g, which means that for all 3 E 9 the coefficients of P - q(P) and 3 Q - q(Q) all belong to (m + 8)/m. But, as m is closed in A, (m 8 ) = m,

is a third system without constant term, then

(10) For every integer m,

(fog) oh = fo(goh).

whence P = q(P), Q = q(Q) and P and Q then certainly satisfy (4) ; moreover, as the P3 are monic and of the same degree, the restricted formal power series P is a monic polynomial. If (P', Q') were another ordered pair satisfying (4) and such that P' is a monic polynomial, we would deduce that R3 =&(P')&(Q'J, T,(f,(P'))= P, and T3(&(Q')) = Q and by theunique, ness in case (3) f3(P') = P,, f,(Q') = Q3 for all 8 E a, which implies that P = P' and Q = Q'. Let us show finally that P and Q are strongly relatively prime; by virtue of case (3) and Proposition 1 of no. 1, for all 3 E g, there exists a unique ordered pair (S,, T,) of polynomials in (A/s)[X] such that

(fern)

p)) = f(m) h(m)

(&m)

h(m) 1

where f("), g("), h(")denote the systems of polynomials consisting of terms of total degree < m in the systems of formal power series f, g, h. But clearly the terms of total degree < m in the series of (f 0 g) o h (resp. f o (g o h)) are the 0 0 0 same as in (f'") g'"))0 h(")(resp. f(*) (g'") hem))), whence our assertion. For every system ( 8 ) , we shall denote by Mi or Mi(X), the Jacobian matrix (af;/aX,) ( 1 < i < p , 1 < j < q) where i is the index of the rows a n d j that of the columns; for two systems (8) and (9), where g is without constant term,

(7)

1 = P3S3 + Q3T3 and deg(T,) < deg(P,) = deg(P).

The uniqueness of this ordered pair shows immediately that, for 3' E B, 9' c 8, S, = f,;,(S3,),T, = f,3,(T,,) ; taking account of no. 2, Proposition

3, we conclude that there exist two restricted formal power series S, T of A{X} such that S, =f3(S), T, =f3(T) and 1 = PS + QT. It remains to verify that, if R is a polynomial, so is Q. Now, the Q, are polynomials by construction and, as P, is monic, the relation R, = P,Q, implies
deg(Q3)

(MAg)). M g where Mi(g)is the matrix whose elements are obtained by substituting g, for X, (1 < j < q ) in each series element of Mi; this formula is just a reformulation of formula (9) of Algebra, Chapter IV, 4 5, no. 8. We shall denote by Mi(0) the matrix of constant terms of the elements of M p ;then we deduce from (1 1) that
(11)
Mior =

< deg(R,) < deg(R)

for all 8 E a; whence immediately the required result by definition of Q.

4. COMPOSITION

(12) Miog(0) = MAO) .Mg(O). Given an integer n > 0, we shall write

OF SYSTEMS OF FORMAL POWER SERIES

I

Let A be a commutative ring; we shall say that a system (8)

f = (fl,
* *

.J f P )

E" ( 1 ,

* * *,

XQll)"

of formal power series in the X, (1 ,< j < q), with coefficients in A, is without constant term if this is true of all the f . every system (8) of formal power , For series and every system
(9)

(XI, . ., Xn) E (A"X1, . . * > Xnll)", which will be considered as a matrix with a single column. For every system f = (fl, . . .,f,) E (A[[Xl, . . ., X,]])", Mi is a square matrix of order n ; we shall denote by Ji or Ji(X) its determinant and by Ji(0) the constant term of Ji, equal to det(M,(O)); if g = (gl,. . .,gn) is a system without constant term in (A[[Xl, . . ., X,]])", then, by (1 1) and (12),
(13)

1n

= (g1,. . .Y 9,) E ("Xl,

. ,xma
*

of q formal power series without constant term, we shall denote by f 0 g (or f(g))the system of formal power seriesf,(g,, . . .,g4) (1 < j < p ) in

(N[XI, .
218

PROPOSITION 5. Let A be a commutative ring and f = ( fl, . . ., a system without fn) constant term o n series in A[[X,, . . ., X,,]]. Suppose that Jf(0) is invertible in A. f Then there exists a system without constant term g = (gl, . .,gn) o n series in . f A[[X,, . . .,X,]] such that (16)

* 2

Xrll)"

f o g = 1I.
219

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3 4.5

This system is unique and

(17)

seen that, if u solves the problem, then u(mk) c 4,which proves the continuity of u. There obviously exists a unique homomorphism

gof

1,.

The existence and uniqueness of g follows from Algebra, Chapter IV, 8 5, no. 9, Proposition 10, applied to the n formal power series

v : A[X,,

. . .,X,]

-+B

.h(Y,,. . ., Yn) - Xi

(1

< i < n).

It follows from (15) and (16) that Jl(0) JE(0) = 1 and hence J,(O) is also invertible. We conclude that there exists a system h = (h,, . . ., h,) of n series without constant term in A[[X,, . . ., X,]] such that g o h = 1,; from this relation and (16) it then follows, with the aid of (lo), that

such that v(a) = .(a) for a E A and u(Xi) = xi for 1 < i < n and the above argument shows that u is continuous with respect to the topoloogy induced on AIXl,. . ., X,] by the m-adic topology. As A[X,,. . ., X,] is dense in A[[X,, . . .,X,]] with the m-adic topology and B is Hausdorff and complete, this completes the proof of the existence and uniqueness of u.
Note that this proposition gives us again as a special case (i) of Proposition 11 of 9 2, no. 9.

h = & o h = ( f o g ) o h = f o ( g o h )= f o l , = f .
Proposition 5 and formulae (10) and (15) show that under the law of composition (f, g) t+ f 0 g the set of systems f = (f l , . . ., of n series without f,) constant term in A[[Xl, . . ., X,]] for which JJO) is invertible in A, is a group.
5. SYSTEMS OF EQUATIONS IN COMPLETE RINGS

If A itself is linearly topologized, the restriction of u to A{Xl, . . . , X,} coincides with the homomorphism derived from u in Proposition 4 of no. 2. This follows immediately from the fact that AIXl, . . ., X,] is dense in A{X,, . . . X,} if this ring is given the topology with fundamental system of neighbourhoods of 0 the ideals m k n N3 (in the notation of no. 2, this topology is the least upper bound of the topology induced on A{X,, . . ., X,} by the m-adic topology on A[[Xl,. . ., X,]] and the topology defined in no. 2). If B = A and u is the identity mapping, we shall write f (x,, . . .,x,) or f ( x ) for the element u( f ) for every formal power series J E A[[Xl, . . ., X,]] ; for .. every system f = (Jl,.,fr) of formal power series of A[[Xl, . . .,X,]], let f(x) denote the element (f l ( x ) ,. . ., f r ( x ) ) A, then it is said to be obtained of by substituting the xi for the Xi in f. If n < m and F is a formal power series of A[[Xl, . . ., X,,,]], it is possible to consider F as a formal power series in X,,,, . . ., X, with coefficients in A[[Xl, . . .,X,]] ; let

T o abbreviate, we shall say in what follows that a ring satis-es Hensels conditions if it is commutative, linearly topologized, HausdorE and complete; given a n ideal m in such a ring, m (or the ordered pair (A, m)) will be said to satisfv Hensels conditions if m is closed in A and its elements are topologically nilpotent. The ideal t of A consisting of all the topologically nilpotent elements satisfies Hensels conditions (no. 3). I n particular, if A is a commutative ring and m an ideal of A and A is Hausdorff and complete with respect to the m-adic topology, the ordered pair (A, m) satisfies Hensels conditions.

PROPOSITION 6. Let A be a commutative ring, B a ring satisjiying Hensels conditions and u : A + B a homomorphism. For every family x = (x,, . . .,x,) o f topologically nilpotent elements o f B, there exists a unique homomorphism u from A[[Xl, . . .,X,]] to B such that U(a) = u(a) for all a E A and u(X,)= xi for 1 < i < n. Moreover, ifm denotes the ideal ofseries without constant term in A[[Xl, . . X,]], u i continuousfor s the m-adic topology.
I ,

, denote the formal power series in A[[X,+ , . . .,X,]] obtained by substituting thex, for the Xi in the coefficients of F, for 1 < i < n.
Let us take B to be the ring of formal power series A[[X,, ., X,]] and let n be the ideal of series in B without constant term, so that (B, n) satisfies Hensels conditions (I 2, no. 6, Corollary to Proposition 6). Proposition 6 may be applied by taking the xi E B to be series without constant term; then, for every series f E A[[X,, ., X,]], E ( f ) is just the formal power seriesf(xl,. ., x,) defined in Algebra, Chapter IV, 8 5, no. 5 . This is obvious iffis a polynomial and it follows from the proposition in the general ,x,) is continuous on A[[X,, . ,X,]] case by remarking thatfHf(xl, with respect to the m-adic topology.

..

Let a be the finitely generated ideal generated in B by the xi (1 < i < n) ; for every open ideal 4 of B, the images of the xi in B / 4 are nilpotent, hence the ideal (a 4)/4 nilpotent in B / 4 and there exists an integer k such that, is
for

2 pi 2 k,

..

...

..

xyl.

. . x:

E 4 As every element of mk is a finite sum of formal .

power series of the form X?.

. .XFg(X,, . . ., X), where

i=1

2pi 2 k, it is

a family

COROLLARY. Let A be a ring satis-ing Hensels condition and x = (xl, . . . x,) of topologically nilpotent elements o f A. Let g = (gl, . .,g,) be a system .

220

221

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SYSTEMS OF EQUATIONS IN COMPLETE RINGS

3 4.5

without constant term of series in A[[X,, . . ., X,]] and f = (f l , . . ., a system of f,) formal power series in A[[X,,. . ., X,]]. Then g ( x ) = ( g l ( x ) ,. . .,g,(x)) is a family of topologically nilpotent elements o f A and ( f o g ) ( x )= f ( g ( x ) ) * The fact that the g,(x) are topologically nilpotent follows immediately from Proposition 6 and the fact that in A the ideal of topologically nilpotent elements is closed. Relation (18) is obvious when the f , are polynomials; on the other hand, if rn and rn' are the ideals of series without constant term in
(18)

A{X,, . . . ,X,} and let a E An; let us write J f ( a ) = e. There exists a system g = (g,, . . .,g,) of restricted formal power series without constant term in A{X,, . . .,X,} such that (i) MJO) = I, (unit matrix). (ii) For all x E A", f ( a ex) = f ( a ) + M,(a).eg(x). (19) (iii) Let h = (h,, . . ., h,) be the system o f formal power series without constant term (not necessarily restricted) such that g o h = 1 (Proposition 5 ) . For all , yErnXn,
(20)

A[[X,,

.>Xqll and A"X1,

* *

., Xnll

respectively, clearly the relation f E mk implies f ( g l , . . .,9,) E dk. The two sides of (18) are therefore continuous functions of f to (A[[X,, . . .,X,]])p if A[[X,, . . .,X,]] is given the rn-adic topology, by virtue of the above remark and Proposition 6; whence relation (18). In what follows, for a ring A and an ideal m of A we shall denote by m product set the

f(a

+ e h ( y ) ) = f ( a ) + Mda) .ey.
E A[[X,,

For every formal power seriesf

. . .,Xn]],

n
!=1

where the GI, are well determined formal power series in

m, in An, where m, = m for 1

< i < n, to avoid ambiguity.

A[[X,, . . * 3 Xn, Y1, *

* *

>

Ynll.

PROPOSITION 7. Let A be a ring and rn an ideal of A such that the orderedpair (A, rn) satkjes Hensel's conditions. Let f = (f , , . . ., be a system without constant term o f f,) series in A[[X,, . . .,X,]] such that J f ( 0 ) is invertible in A. Then, for all x E m n, f ( x )E m and x Hf ( x )is a bijection of m onto itself, the inverse bijection being x IJ g(x),where g is given by relation (16) in no. 4.
The fact that f ( x )E rn ' is obvious when theft are polynomials and follows in the general case from Proposition 6 and the fact that rn is closed in A. The other assertions of the proposition are then immediate consequences of (16), (17) and (18). COROLLARY. Let q be a closed ideal ofA contained in rn. Then the relation x (mod. q ") is equivalent to f ( x ) = f ( x ' ) (mod. q "). For every formal power seriesf
E A[[X,,
n

Iff is restricted, so are the elements of M , and the G,,, for these formal power series are polynomials iff is a polynomial and it follows from their uniqueness that for every open ideal FJ of A, denoting by ps: A -+ A13 the canonical mapping, the image of G,, under is the coefficient of YY, in B3(F) where F is the formal power seriesf ( X Y ) in A[[Xl, . . .,X,, Y,, . . .,Y,]] ;whence our assertion. This being so, writing formula (21) for each seriesft (1 < i < n), we obtain for all x E An (no. 2, Proposition 4),

(22)

f ( a + ex) = f ( a ) + M,(a) .ex

+ e2r(x)

= x'

. . .,Xn]],

where r = (r,, . . ., r,) is a system of restricted formal power series each of which is of total order 2 2. I t follows from formulae (18) of Algebra, Chapter III,$ 6, no. 5 that there exists a square matrix M' E M,(A) such that

(23)
whence using this in (22)

M,(a).M' = eI,,

where the h, belong to A[[X,, . . ., X,, Y , , . . ., Y,]] (Algebra, Chapter IV, 5 5, no. 8, Proposition 9) ; it follows immediately that the relation x = X' (mod. q"") implies f ( x ) = f ( x ' ) (mod. q x n ) . The converse is obtained by replacing f by its "inverse" g.

f ( a + ex) = f ( a ) + M f ( a ) + M,(a)M'.er(x). .ex (24) Writing g = 1 + M'.r, we see that g satisfies conditions (i) and (ii); , then it is sufficient to replace x by h(y) to obtain (iii).
COROLLARY 1. Let A be a ring and m an ideal ofA such that the orderedpair (A, m) satisjes Hemel's conditions. Let f E A{X}, a E A and write e = f ' ( a ) . I f f (a) = 0 (mod. e2rn), then there exists b E A such t h a t f ( b ) = 0 and b = a (mod. em).If

THEOREM 2. Let A be a ring and rn an ideal o f A such that the ordered pair (A, m) satisjes Hensel's conditions. Let f = (f i , . . ,, fn) be a system o n elements of f

222

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APPLICATION TO DECOMPOSITIONS OF RINGS

4.6

bisanotherelementofAsuchthatf(b) = Oandb = a(mod. em),thene(b - b) = 0.In particular, b is unique i f e is not a divisor o f zero in A.

Let f (a)

e2c where c E m; formula (20) for n

1 gives

f( a + eh(y)) = e2(c + Y )
and it is therefore sufficient to take y = -c, b = a + eh(-c). Moreover if b = a + ex, b = a + ex, x E m, x E m, f ( b ) = f (b) = 0, we deduce from (19) that e2(g(x)- g ( x ) ) = 0. As g(X) - g(Y) = ( X - Y)u(X,Y), where u is restricted and u(0, 0) = 1, g ( x ) - g(x) = ( x - x)u, where v E A is invertible, for, since m is closed, v - 1 = u ( x , x ) - 1 E m and m is contained in the Jacobson radical of A; whence the relation e(b - b) = 0.

COROLLARY 3. With the notation o Corollary 2, let a E An; let us write e = JF-(a) f (not necessarily invertible in A) and suppose that f(a) = 0 (mod. ezmx(n-r)). Then there exist n - r formal power series without constant term ( r + 1 < i < n) in A[[X,, . . .,X,]] such that,for all t = (tl, . . .,t,) E m r,

+,

(25) &(a1 + e2t1, f o r r + 1 < i < n.

., a,

+ e2tr, art1 + e+r+l(t),. .

.J

an

+ e+n(t))

Remark. The corollary applies notably when e is invertible in A; we can then also deduce the existence of b from Hensels Theorem, for the canonical image off(X) in (A/m){X}is of the form (X - a )fl(X), X - a and fl(X) being strongly relatively prime, forfl(a) = f ( a ) is the image of e (no. 1, Example). Examples (1) Let p be a prime number # 2 and n an integer whose class mod. p is a , square # O in the prime field F. If Z, is the ring ofp-adic integers (5 2, no. 12, Example 3), the application of Corollary 1 to the polynomial X2 - n shows that n is a square in Z,; for example 7 is a square in Z,. ( 2 ) Let A = K[[Y]] be the ring of formal power series in one indeterminate with coefficients in a commutative field K ; with the (Y)-adic topology, the ring A is Hausdorff and complete (8 2, no. 6 , Corollary to Proposition 6 ) and the mapping f(Y) wf (0) defines by passing to the quotient ring an isomorphism of A/(Y) onto the field K. By Corollary 1, if F(Y, X) is a polynomial in X with coefficientsin A and a is a simple root of F(0, X) in K, there exists a unique formal power seriesf (Y) such that f (0) = a and F(Y,f(Y)) = 0.
COROLLARY 2. Let A be a ring and m an ideal ofA such that the orderedpair (A, m) satisJies Hensels conditions. Let r, n be integers such that 0 < r < n and f = (Atl,. .,f,) is a system o f n - r elements ofA{X,, . . ., X,}; let Jp-r)(X) . denote the minor o f M , ( X ) consisting ofthe columns ofindex jsuch that r + 1 < j < n. Let a E An be such that Jp-,)(a) is invertible in A and f(a) = 0 (mod. mx(n-r)). Then there exists a unique x = (xl, . . .,x,) E An such that x k = a, for 1 < k < r, x = a (mod. mxn) and f(x) = 0. Substituting a, for X, for 1 < k < r in the& (no. 2, Remark 3), we see immediately that we may restrict our attention to the case where r = 0 to prove the corollary. Theorem 1 and Proposition 7 show then that fdefines a bijection of a + m x n onto f(a) + m x n = m x n ; the corollary follows from the fact that 0 E mxn.
224

< i < r, let&(X) = X, - a, and let u = ( f l , .. .,f,); JU(a)= then and Theorem 2 may be applied to the system u. With the notation of Theorem 2 it follows from the above definitions that gi(X) = X, for 1 < i < r, whence h,(X) = X, for 1 < i < r ; moreover, if MEM,(A) is such that M,,(a).M = el,, M is of the form
For 1
e

Replacing y by M . z (where z we obtain

(zl, . .,z,) E m ) in formula (20), .

(26) A ( a l

+ e2z1,. . . , a , + e2z,, a,+, + e h r + l ( M . z ) ,. . . , a n +ehn(M.z))

=&(a)

+,(XI,.. ., X,)

By hypothesis, f,(a) = e2bj where = h , ( M . X ) and

+ e2z1 for 1 < i < n. bj ern for r + 1 < j < n. Let us write

+,(XI, -..yXr) = + j ( X l , * . . , X r ,- b r t l , . . * > -bn)

for r + 1 < j < n. For r + 1 < i < n, substituting t, for z, for 1 < j < r and 6, for z, for r + 1 < j < n in ( 2 6 ) , we obtain relations (25) for all t E m I.
6. APPLICATION TO DECOMPOSITIONS OF RINGS

Let A be a ring and m an ideal o f A such that the ordered pair (A, m) satisJ;es Hensels conditions. Let B be the quotient ring A/m and x : A -+ B be the canonical homomorphism. For every idempotent c o f B there exists a unique idempotent e o A such that x(e) = c. f
~ M M 2. A

Let a be such that x ( a ) = c ; Corollary 1 to Theorem 2 of no. 5 may be applied to the polynomial f(X) = X2 - X in A[X] and the element a E A. Then ? ( a ) = 2a - 1 and, as x ( 2 a - 1) = 2c - 1 and (2c - 1)2 = 1 in B, 2c - 1 invertible in B and hence 2a - 1 is invertible in A (8 2, no. 13, Lemma 3). Asf(a) E m, Corollary 1 to Theorem 2 of no. 5 immediately gives the existence and uniqueness of e.
PROPOSITION8. Let A be a ring and m an ideal ofA such that the orderedpair (A, m) Sa%$es Hensels conditions. Let B be the quotient ring A/m and x : A -+B the canonical

225

STATEMENT OF TIIE FLATNESS CRITERION

5 5.2

Ill

GRADUATIONS, FILTRATIONS AND TOPOLOGIES

homomorphism. If B i the direct composition o f a finite family (b,) I o f ideals, there s exists a uniquefamily o f ideals of A such that x(a,) = b,for all i E I and A is the direct composition o thefamily (a,). f
Let I = c, where c, E b, for all i; the c, are idempotents of B such that c,c, = 0 for i # j . By Lemma 2 there therefore exist idempotents e, of A (i E I) such that x(e,) = c, for all i; as e,e, is an idempotent such that

(2) Every direct sum of ideally Hausdorff modules is an ideally Hausdorff module, by virtue of the relations

(3) If a n A-module M is flat and Hausdorf with the 8-adic topology it is ideally Hausdorff, for a @A M is then identified with a submodule of M and the 3-adic topology on a @A M isJner than the topology induced on a @A M by the 3-adic topology on M, which is Hausdorff by hypothesis.
2. STATEMENT OF THE FLATNESS CRITERION

x(e,e,) = cicj

for i # j , e,e, = 0 for i # j (Lemma 2) ; as 1 x(

1el) = 1 c, = 0, similarly 1 = e;. It follows that A is the direct composition of the ideals a, = e,A and that x(aJ = x(e,)B = 6 . , It remains to show the uniqueness of such a decomposition. Now, supof ideals such pose that A is the direct composition of another family
x(ei) that =(a;) = b, for all i; then 1 = el where el E a;, whence, in B , 1 = where x(e{)E b,, which implies x(ei) = c,; as el and e, are idempotents, neccssarily el = e, (Lemma 2), which completes the proof.

e, is an idempotent such that

Let A be a ring, 3 a two-sided ideal of A, M a left-module and gr(A) and gr(M) the graded ring and graded gr (A)-module associated respectively with the ring A and with the module M with the 3-adic filtrations (9 2, no. 3). We have seen (loc. cit.) that for every integer n 2 0 there is a surjective Zmodule homomorphism Y,,: (3"/3"+')@A,3 (M/3M) + 3"M/3"+lM and a graded homomorphism of degree 0 of graded gr(A)-modules gr(A) @gro(A) grO(M) -+ gr(M) whose restriction to gr,(A) @gro(A) gro(M)is yn for all n and which is therefore surjective.
YM:

Remark. Proposition 8 again gives the structure of a semi-local ring on A which is Hausdorff and complete with the c-adic topology (c the Jacobson radical of A), which has already been obtained as a consequence of 9 2, no. 13, Corollary to Proposition 19.

5. FLATNESS PROPERTIES OF FILTERED MODULES

1. IDEALLY HAUSDORFF MODULES

THEOREM 1. Let A be a commutative ring, 3 an ideal of A and M an A-module. Consider thefollowing properties: (i) M is afrat A-module. (ii) Tor:(N, M) = 0for every A-module N annihilated by 3. (iii) M / 3 M is a jlat (A/3)-module and the canonical mapping 3 M -+ 3 M is bijective (the latter condition being equivalent to Torf(A/3, M) = 0 by virtue of the relation Tor:(A, M) = 0 and the exact sequence Tor:(A, M) -+ Tor:(A/3, M) -+ 3 @A M -+ M). (iv) M/3M is ajlat (A/3)-module and the canonical homomorphism
YM: gr(A) grO(M) +gr(M) is bijective (property (GR) of 3 2, no. 8). (v) For all n 2 1, M/SnM is afrat (A/3")-module. Then (i) * (ii) o (iii) * (iv) o (v). Iffurther 3 is nilpotent or $A is Noetherian and M is ideally Hausdorff, properties (i), (ii), (iii), (iv) and (v) are equivalent. Remark. If A / 3 is a field (as often happens in applications) the condition "M/BM is a flat (A/3)-module" holds automatically for every A-module M, which simplifies the statement of properties (iii) and (iv) ; moreover, in this case, property (v) is equivalent to saying that M/B"M is a free (A/3")-module for every integer n 2 1 (Chapter 11, $ 3, no. 2, Corollary 2 to Proposition 5).

DEFINITION 1. Let A be a commutative ring and 3 an ideal of A. An A-module M is called ideally Hausdorff with respect to 3 (or simply ideally Hausdorff if there is no ambiguity) if, for every finitely generated ideal a o f A, the A-module a @A M is Hausdorf with the 3-adic topology.
Putting a = A in this definition, we have already seen that M is necessarily Hausdorff with the 3-adic topology.

Examples (1) If A is Noetherian and 3 is contained in the Jacobson radical of A (in other words if A is a Zariski ring with the 3-adic topology), everyjnitely generated A-module is ideally Hausdorff ($ 3, no. 3, Proposition 6 ) .

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PROOF OF T H E FLATNESS CRITERION

5.3

3. PROOF OF THE FLATNESS CRITERION

(A) The implications (i) 3 (ii) 0 (%) The implication (i) 3 (ii) is immediate (Chapter I, $ 4 ) . The equivalence (ii) o (iii) is a special case of Chapter I, 3 4 Proposition 2 applied to R = A, , s = A/8, F = M, E = N, taking account of the fact that being given an (A/8)-module structure on N is equivalent to being given an A-module structure under which N is annihilated by 3.

where we note that (3"/3"+l) (M/SM) is canonically identified with @A (8"/3, ") (M/SM). This diagram is commutative by definition of yn and its rows are exact. If (b) holds, 0, and On+1 are bijective and so therefore is yn by definition of cokernel, hence (b) implies (c). Conversely, assuming that 3 is nilpotent, let us show that (c) implies (b) ;we shall argue by descending induction on n, since 3" @AM = 3"M = 0 for n sufficiently large. Suppose then , that in diagram (l), y and 8, are bijective; then so is 8, by virtue of Chapter I, $ 1, no. 4,Corollary 1 to Proposition 2.

&mark (1). Condition (ii) is also equivalent to the following: (ii') Tort(N, M) = 0 for every A-module N annihilated by a power of 3. Clearly (ii') implies (ii) Conversely, if (ii) holds, then in particular Tort(8nN/3n+1N, = 0 for all n ; from the exact sequence M) O + 3 n + 1 N + 3 n N + 3"N/3"+lN+O

( C ) The implication (ii) 3 (iv) If (ii) holds, so does (ii') by Remark 1 ; Proposition 1 then shows that yMis an isomorphism. On the other hand, we already know that (ii) implies (iii) and hence M/SM is a flat (A/3)-module, which completes the proof that (ii) implies (iv)

we derive the exact sequence Torf(gn+lN, M) +Tort(SnN, M) -+Tort(3nN/3n+1N, M) and, as there exists an integer m such that 9"N = 0, we deduce by descending induction on n that Tort(3"N, M) = 0 for all n < m and in particular for n = 0. I t follows from this that if 9 is nilpotent, (ii) implies (i), for (ii') then means that Torf(N, M) = 0 for every A-module N and hence that M is flat (Chapter 1 4). ,

Remark ( 2 ) . Proposition 1 shows that, if 3 is nilpotent, (iv) implies (iii); taking account of Remark 1, we have therefore proved in this case that (i), (ii), (iii) and (iv) are equivalent.

(B) Let us prove the following proposition: PROPOSITION 1. Let A be a commutative ring, 3 an ideal o A and M an A-module. f Thefollowing conditions are equivalent: (a) For all n > 1, Tort(A/S", M) = 0. (b) For all n 3 1, the canonical homomorphism en: 8" @A M + 3"M is bijective. Moreover these conditions imply : (c) The canonical homomorphism yM: gr (A) @gro(A) gr, (M) -+ gr (M) is bijective. Conversely, ;f 8 is nilpotent, (c) implies (a) and (b). The equivalence of (a) and (b) follows from the exact sequence 0 = Tort(A, M) -+Tor:(A/Sn, M) + 8" @A M -+ M.
Consider next the diagram
3"+' @AM +3" @AM +(3"/8"+')@A (M/3M)+

(D) The equivalence (iv) o (v) For all n > 1, M / V M has a canonical (A/S")-module structure. If it is filtered by the (8/gn)-adicfiltration, it is immediate that grm(M/3"M)= grm(M)if m < n and gr,,,(M/BnM) = 0 if m 2 n. For all k 2 1, let A, = A/gk, 3 = 3 / g k , M, = M/gkM; let (iv), (resp. (v),) denote the assertion derived from (iv) (resp. (v)) by replacing A, 3, M by A,, 3,, M,. It follows from what has just been said that (iv) is equivalent to "for all k 2 1, (iv)k)' and obviously (v) is equivalent to "for all k 2 1, (v)~".Then it will sufficeto establish the equivalence (iv), o (v), for all k or also to show that (iv) o (v) when 3 is nilpotent. NOW(Remark 2 ) we have seen that in that case (iv) is equivalent to (i). As M/S"M is isomorphic to M @A (A/3"), (i) implies (v) (Chapter I, 2, no. 7, Corollary 2 to Proposition 8);moreover clearly (v) then implies (i). We have therefore shown the equivalence (iv) o (v) in all cases and also that of all the properties of the theorem in the case where 3 is nilpotent. (E) The implication (v) G- (i) when A is Noetherian and M ideally Hausdory It is sufficient to prove that for every ideal a of A the canonical mapping j : a @A M -+ M is injective (Chapter I, 3 2, no. 3, Proposition 1). Let x E Kerj;
a @A M is Hausdorff with the 8-adic topology, it suffices to verify that, for every integer n > 0, x E 3"(a @PA M). Letf. 3"a-t a be the canonical injection; it suffices to show that x E Im(f@ lM) for if b E 3", a E a and m E M, the ; h g e underf @ 1, of the element (ba) @ m of (3%) @A M is the element (ba) @ m = b(a 8.2)of a @AM and hence I m ( f @ )1 C 3"(a @AM). , BY virtue of Krull's Theorem (5 3, no. 2, Theorem 2), there exists an integer k
I

(1)

o.+l

0 --+Sn+lM---+

3"M

-1
Yn

gr,(M) -+ 0

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5 5.4

such that a, = a n c 3%; if i : a, -+ a is the canonical injection, it will then be sufficient to show that x E Im(i @ lM). Now, denoting by p : a -+ a/ak and h : a/a, -+ A/Sk the canonical mappings, there is a commutative diagram
a,
@A

- jl - 18 ;@
1M

@A

fig 1M

in which the first row is exact. It suffices to prove that x E Ker(p @ lM)and, as x E K e r j by hypothesis, it will suffice to verify that the mapping h @ 1, is injective. Now, it may also be written (Algebra, Chapter 11, $ 3, no. 6, Corollary 3 to Proposition 6)

@A/Sk

@A

IM

(A/3k)

@AM

to show that the canonical mappingf: 3B @ M -+ 3M is injective. Let fibe , the canonical mapping 3 @AB -+ 3B and f a the canonical isomorphism 8 @ A M-+ ( 8 @A B) 8 M ; f 0 (f i lM)0f z is the canonical mapping , f: 8 @A M -+ 3M, as is easily verified. Nowf is an isomorphism since M is a flat A-module, whilst fiis an isomorphism because B is flat over A; f is then an isomorphism. Let p : A / 3 -+ B/3B be the canonical homomorphism; the (A/3)-module structure on M/3M derived by means of p from its (B/3B)-module structure is isomorphic to that on M @A (A/3). Then it follows that, if M is a flat Amodule, M/3M is a flat (A/S)-module and hence also a flat (B/3B)-module if p is an isomorphism; we have thus proved that (c) 3 (b) in that case.
0

8 lM/3M:

(M/3kM)

--f

M/3kM

and, as h is injective and, by (v), M/SkM is aflat (A/3)-module,this completes the proof.
4. APPLICATIONS

COROLLARY. A be a commutative Noetherian ring, 3 an ideal ofA, A the Hausdorff Let completion of A with respect to the 3-adic topology and M an ideally Hausdorff module with respect to 3A. For M to be aJat A-module, it is necessary and suficient that M be afrat &module.

a-

PROPOSITION 2. Let A be a commutative ring, 3 an ideal o A and B a commutative f Noetherian A-algebra such that B is contained in the Jacobson radical of B. Then every jnitely generated B-module M is an ideally Hausdorff A-module with respect to 3. We shall see more generally that for every finitely generated A-module N, N B A M is Hausdorff with the 3-adic topology. For No, = N g A B is a finitely generated B-module and the B-module N @A M is canonically identified with N,,, 8 M by virtue of the associativity of the tensor product. , Let 2 be the Jacobson radical of B; as 3B is contained in 2,the 3-adic topology on N @A M is therefore identified with a finer topology than the 2-adic topology on N(B)QPB ; but this latter topology is Hausdorff since N,,, 8 M is a M , finitely generated B-module (no. 1, Example l), whence the conclusion. PROPOSITION 3. Let A be a commutative ring, B a commutative A-algebra, 3 an ideal o A and M a B-module. Suppose that B is a Noetherian ring and aJat A-module and f that M is ideally Hausdorffwith respect to 3B. Thefollowing conditions are equivalent: (a) M is aflat B-module. (b) M is aflat A-module and M/3M = M/(3B)M is aJat (B/3B)-module. Iffurther the canonical homomorphism A/3 -+ B/SB is bijective, conditions (a) and (b) are also equivalent to: (c) M is aflat A-nodule. Condition (a) implies (b) by Chapter I, $ 2 , no. 7, Corollaries 2 and 3 to Proposition 8 and the fact that M/3M is isomorphic to M @ (B/3B). Suppose , condition (b) holds; to show that M is a flat B-module, we shall apply Theorem 1 of no. 2 with A replaced by B and 3 by 3B. It will therefore be sufficient

We know in fact that A is a Noetherian ring ($ 3, no. 4 Proposition 8) and , a flat A-module ($ 3, no. 4,Theorem 3), that 3A = 3 (5 2, no. 12, Proposition 16) and that the canonical homomorphism A / 3 -+A/& is bijective (3 2, no. 12, Proposition 15) ; Proposition 3 can therefore be applied.

PROPOSITION 4 Let A and B be two commutative Noetherian rings, h : A -+ B a ring . homomorphism, 3 an ideal ofA and 2 an ideal ofB containing 3B and contained in the Jacobson radical of B. Let A be the Hausdorff completion of A with respect to the 3-adic tofiology and 8 the Hausdorff completion ofB with respect to the 2-adic topology; h is 3 continuous with these topologies and h: A -+ f therefore makes 8 into an &algebra. Let M be ajnitely generated B-module and its Hausdorffcompletion with respect to the 2-adic topology; thefollowing properties are equivalent: (a) M is aflat A-module. (b) is aflat A-module. (c) M is aflat &module.

As B with the 2-adic topology is a Zariski ring, 8 is a faithfully flat B-module (5 3, no. 5, Proposition 9) and M is canonically isomorphic to M @ 8 (5 3, ,
is an isomorphism of the A-module structure on
no. 4, Theorem 3) ;it is immediately verified that this canonical isomorphism onto the A-module structure on M @ 8 derived from that on M. Applying Proposition 4 of Chapter , IY no. 2 with R replaced by B, S by A, E by 8, F by M, we see that for M 3 3, to be a flat A-module, it is necessary and sufficient that be a flat A-module. Moreover, is a finitely generated &module and 3B is contained in 2 = 2B a d hence in the Jacobson radical of fj (3 3, no. 4 Proposition 8) ;therefore is , an ideally Hausdorff A-module with respect to 3A (Proposition 2). Conditions (b) and (c) are therefore equivalent by the Corollary to Proposition 3.

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EXERCISES

(c) In order that A, ! = @A! (resp. A = (A?)") for n 2 no, it is neces! sary and sufficient that A,,, = A,A, (resp. A, = (A,)n) for n 3 no.

3. Let K be a field, B the polynomial ring K[X, Y] with the graduation defined by the total degree, C the graded subring of B generated by X and Y2and a the graded ideal of C generated by Y4. Show that, in the graded ring A = C/a, A,,, = A,A, for n 3 2 but A, # (A,), for n 2 6.

32
1. Let K be a commutative field, A the polynomial ring K[X, Y] in two indeterminates and a, the principal ideal (XU") in A; the sequence (an)n2 forms with a, = A an exhaustive and separated filtration on A. Let b be the principal ideal (X) of A; show that the topology on b induced by that on A is strictly coarser than the topology defined by the filtration on b associated with that on A (and a fortiori this latter filtration is distinct from the filtration induced by that on A).

31
1. Let A be a graded commutative ring of type Z and (A,) its graduation;

we set Aa = n b O A,, A< = @ A,; these are graded subrings of A. (a) For every homogeneous elementfof A of degree d, the ring of fractions A, (corresponding to the multiplicative subset consisting of the f",where n 3 0) has a canonical graded ring structure (Algebra, Chapter 11, 3 11) ; we denote by A,,, the subring of A, consisting of elements of degree 0. Show that, ifd > 0, then (A"), = A,, A,,)isisomorphic toACd)/(f - l)A(d)and((A,)>),,, is a graded ring isomorphic to A,. (b) Let the polynomial ring B = A[X] = A gZ Z[X] be given the graduation the tensor product of those on A and Z[X], a graduation compatible with the ring structure on B. Show that, if d > 0, B,,) is isomorphic to (A,) and (A(d)),is a graded ring isomorphic to A,,, Z[X, X-l]. (c) Let g be another homogeneous element of A of degree e. Show that, if d > 0 and e > 0, A(,,, is isomorphic to (Au))gd,,e. * (d) Suppose d > 0 and A, = (0) for n < 0. Show that, if A is Noetherian, so is A,, (use 3 2, no. 10, Corollary 4 to Theorem 2). *

"9,

2. Let K be a commutative field of characteristic 2 2 and A the ring K[[X, yl] of formal power series in two indeterminates.
(a) Show that in A the principal ideal p = (X2 - Y3) is prime. (If a productf(X, Y)g(X, Y) of two formal power series is divisible by X2 - Y3, note first that f(T3,T2) = 0 or g(T3, T2) 0 in the ring of formal power = series K[[T]]; assuming for examplef(T3, T2) = 0, show first thatf(X, Y2) is divisible by X - Y3 and by X + Y3 and, by consideringf ( -Y3 + X, Yz), prove finally thatf(X, Yz) is divisible by X2- Y6.) (b) Let m be the maximal ideal AX + AY of A. Show that p is closed with respect to the m-adic topology on A (with which A is Hausdorff and complete) but that in theringgr(A), gr(p) is not a prime ideal (p being given the filtration induced by that on A).

aZ

2. Let A be a graded commutative ring of type Z such that A, = 0 for n < 0. For all n 2 0, let A[,] denote the graded ideal mqnAm A; the Aof
algebra Ah =

3. Let A be a filtered ring and E a finitely generated A-module. Show that, i f E is given the filtration induced by that on A, gr(E) is a finitely generated @(A)-module (cf. Exercise 5 (c)).
4. Give an example of a bijective A-linear mapping u : E -+ F, where E and

nTo is a ring graded by the A[,, = A!; A[,]

for allfE A, (d > O),

F are two filtered A-modules, such that u is compatible with the filtrations but
@(u) is neither injective nor surjective. (Take E filtration and u the identity mapping.)
Qo

letfh denote the element of A whose component are zero except for that of h degree d, which is equal to$ (a) Show that, iff E Ad, where d > 0, the ring A, , is isomorphic to (A,) :h (notation of Exercise 1). (b) For Ah to be a finitely generated A-algebra, it is necessary and sufficient that A be a finitely generated A,-algebra.

A, F = A with another
(a,),,,

"

5 Let A be a filtered commutative ring with filtration . = A.

such that

(a) For the ring gr(A) to be generated by a family of elements whose degrees are bounded, it is necessary and sufficient that there exist an integer q such
233

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EXERCISES

that, for all n, a,

= a,+

+b ,

where 6 is the sum of the ideals aFa7. . .: , a

for

of the indicesj and k appearing in the elements of R or S, consider the images of the two sides of (*) under the canonical homomorphism ( E / E ~@A Fq ) and argue by induction on Card(R) Card@).) (d) Deduce from (c) that the canonical homomorphism defined in (a) is then bijective.
@A
+

all systems of integers a, 2 0 (1 < i < q) such that f = l a, = a n + k + 6 for all k > 0. , (b) For gr(A) to be Noetherian, it is necessary and sufficient that A/a, be Noetherian, that the condition of (a) hold and that for i < q the a,/a,+, be finitely generated (A/a,)-modules (use Corollary 4 to Theorem 2 of no. 10). (c) Let K be a commutative field and A the polynomial ring in two indeterminates K[X,Y]. A total ordering is defined on the set of monomials X*Yn by setting XmYn< XPYq if m + n < p + q or if m + n = fi + q and m < p . Let (M,) be the sequence of monomials in X, Y thus arranged in ascending order and let a, be the ideal of A generated by the Mk of index k 2 n. Show that (a,) is a filtration compatible with the ring structure on A; with this filtration gr(A) admits divisors of 0 and is not Noetherian, although A is a Noetherian integral domain (use the criterion in (b)); in particular, gr(al) (with the filtration induced on a, by that on A) is not a finitely generated gr(A)-module, although a, is a finitely generated A-module (cf. 1, no. 2, Corollary to Proposition 1). Let A be a commutative ring, E and F two A-modules and (En) (resp. (F,)) an exhaustive filtration on E (resp. F) consisting of sub-A-modules. On the tensor product G = E @A F, consider the exhaustive filtration consisting of the G, = t + j = n Im(E, @A Fj). (a) Show that the composite canonical homomorphisms (Ef/Ei+l)@A (Fj/Fj+l)+ (Ei @AFj)/(lm(Et @AF,+,)

7. Let A be a commutative ring, E an A-module, F a submodule of E, B the exterior algebra A (E) and 3 the two-sided ideal of B generated by the canonical images in B of the elements of F. Let gr3(B) be the graded ring associated with the ring B filtered by the 3-adic filtration. (a) Define a surjective canonical (non-graded) A-algebra homomorphism ( A (F)) 8 ( A (E/F)) -+ grS(B) (where we mean the skew tensor product of : graded algebras (Algebra, Chapter 111). (b) Show that, if F admits a complement in E, the homomorphism defined in (a) is an isomorphism. (c) Take A = Z,E = 2/42, F = 22/42; show that the homomorphism defined in A is not injective in this case.
I

7 6.

(En) filtration. Show that if A, its

~

8. Let A be a filtered ring, (A,) its filtration, E a filtered A-module and = A and E, = E, the mapping (a, X ) H ax

of A x E to E is uniformly continuous with the topologies defined by the filtrations.

+ lm(Ei+l

@AF,))

*Gt+j/Gf+j+l

are the restrictions of a graded homomorphism of degree 0 (called canonical) gr(E) @A gr(F) --f gr(E @A F), which is surjective. for (b) Show that, if gr(E) is a flat A-module, the A-modules Em/En m < n and E/En for n E 2 are flat. (c) Suppose in the following that gr(E) is a Aat A-module and that E is a flat A-module (the second hypothesis being a consequence of the first if (En) is a discrete filtration). Then the H,, = E, @A Fj are canonically identified with submodules of G = E @A F (Chapter I, 2, no. 5, Proposition 4). Show that, for any two finite subsets R, S of 2 x 2,

9. Give an example of two filtered rings A, B whose filtrations are exhaustive and separated and a non-surjective homomorphism u : A --f B compatible With the filtrations and such that gr(u) is bijective. From this deduce a counterexample to Corollary 1 to Proposition 12 when the ring A is not assumed to be complete and a counter-example to Proposition 13 when E is no longer assumed to be finitely generated (use Algebra, Chapter VIII, 3 7, Exercise 3

(b)1.

10. Let A be a Noetherian ring and 0 an automorphism of A. Show that the ring E defined in Algebra, Chapter IV, 3 5, Exercise 10 (b) is a (left or right) Noetherian ring.

(*I

where in the second sum (i,j, h, k) run through R x S. (If R and S are each reduced to a single element, use Chapter I, 5 2, no. 6 , Proposition 7. Ifp is the greatest of the indices i and h appearing in the elements of R or S, q the least 234

((,zR ((hzEs
Ht,>
Hhk)

11. Show that, if E is a vector space of dimension 2 2 over a commutative field, the tensor algebra of E is a ring which is neither left nor right Noetherian (f a, b are two linearly independent vectors in E, consider the left ideal (or i right ideal) generated by the elements anbn for n 2 1). 112. Let K be a commutative field, A the polynomial ring KIX],],EI in an arbitrary infinite family of indeterminates and m the (maximal) ideal of A generated by the X,. If we set 4 = A/mi+l,the A, and the canonical homomorphisms h,,: A/mj+ -+ A/mi+ for i < j satisfy the conditions of Proposition 235

= Hsup(t.h),sup(f.k)

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EXERCISES

14; the ring lim A, is the completion A of A with respect to the m-adic topot logy and the kernel of the canonical homomorphism A --f A, is equal to (mi) fie closure of rn' in A. (a) Show that A is canonically identified with the ring of formal power series in the X,, each of which has only afinite number of terms of given degree (Algebra, Chapter IV, 3 5, Exercise 1). (b) From now on take I = N. Show that m # A.rn (consider the formal
A,

which is therefore linearly topologized (General Topology, Chapter 111, 3 7, no. 3). (c) A Hausdorff linearly topologized A-module E is discrete if it is Artinian or if there exists a least element in the set of submodules # 0 of E. 15. (a) Let E be a linearly topologized A-module (Exercise 14). For a 3 filter base 2 on E consisting of linear varieties to admit a cluster point, it is 3 necessary and sufficient that there exists a convergent filter base 23' 2 2 consisting of linear affine varieties. E is said to be linearly compact if it is Hausdorff and every filter base on E consisting ofaffine linear varieties admits a t least one cluster point. Every Artinian module is linearly compact with the discrete topology. Every linearly compact submodule of a Hausdorff linearly topologized module F is closed in F. (b) If E is a linearly compact A-module and u a continuous linear mapping of E to a Hausdorff linearly topologized A-module F, u(F) is a linearly compact submodule of F. (c) Let E be a Hausdorff linearly topologized A-module and F a closed submodule of E. For E to be linearly compact, it is necessary and sufficient that F and E/F be so. (d) Every product of linearly compact modules is linearly compact (consider a filter base which is maximal among the filter bases consisting of affine linear varieties. (e) Let (Ea,fa,) be an inverse system of linearly topologized modules relative to a directed indexing set; suppose that thef,, are continuous h e a r mappings and that, for u < P,f,,(O) is a linearly compact submodule of E,. Let E = lim E, and letf, be the canonical mapping E -+E,; show that, for
c
-1

XI. power series (c) Suppose that K is a finite field. Show that (m)2 # (rn2)).. (Show first the following result: for every integer k > 0, there exists an integer nk and for every integer n 2 nk a homogeneous polynomial F, of degree n in n2 indeterminates with coefficients in K such that F, cannot be the sum of the terms of . . . P k Q k , where the P, degree n in any polynomial of the form P,Q, and Qi are polynomials without constant term in the same na indeterminates) . Deduce that A is not complete with respect to the m-adic topology.

2l

13. Let K be a field, A = K[[X]] the ring of formal power series and rn its maximal ideal, so that A is Hausdorff and complete with the rn-adic topology (no. 6, Corollary to Proposition 6 ) . On the additive group A consider the filtration (En) such that E, = A and En is the intersection of rnn and the ring K[X] ; this filtration is exhaustive and separated, the topology 9 which it defines on A is compatible with the additive group structure on A and is finer than the rn-adic topology but A is not a complete group with the topology 9 (consider the sequence of polynomials (1 - Xn)/(l - X)). 14 Let A be a ring (not necessarily commutative) and E a left A-module. A topology on E is called linear if it is invariant under translations and 0 admits a fundamental system of neighbourhoods which are submodules of E ; E is then said to be linearly topologized. A linear topology on E is compatible with its additive group structure and defines on E a topological A-module structure if A is given the discrete topology. O n any A-module the discrete topology and the coarsest topology are linear topologies. (a) I f E is a linearly topologized module and F a submodule of E, the induce topology on F and the quotient topology of that on E by F are linear topologies. If @,,fa,) is an inverse system of linearly topologized A-modules, where the fap are continuous linear mappings, the topological A-module E = lim Ea t is linearly topologized. (b) Let E be a linearly topologized A-module. There exists a fundamental of system (Vh)hpL neighbourhoods of 0 in E consisting of open (and closed) submodules; if E/V, -+E/V, is the canonical mapping when V, 2 V,, is an inverse system of discrete A-modules; the topolothe family (E/V,, gical A-module = lim E/V, is identified with the Hausdorff completion of E,

all a , f a ( E ) =
-1

,413

n&(ED)

(in particular, if thef,,

are surjective, so are the

fa)

and fa (0) is linearly compact (use (d) and General Topology, Chapter I, Appendix, no. 2, Theorem 1).

+ :, e

7 16. (a) Let E be a Hausdorff linearly topologized A-module. Show that the following properties are equivalent: (a) E is linearly compact (Exercise 15). (P) For every continuous linear mapping u from E to a Hausdorff linearly topologized A-module F, u(E) is a closed submodule of F. (y) With every linear topology (Hausdorff or not) on E coarser than the given topology, E is complete. (8) E is complete and there is a fundamental system (U,) of open neighbowhoods of 0 in E, consisting of submodules and such that the E/U, are linearly compact discrete A-modules (cf. 4 3, Exercise 5). (TO that (y) implies (8) consider a n open submodule F of E and a filter see base 23 on E/F consisting of affine linear varieties. For all V E 9, let M, be the
237

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inverse image in E of the direction submodule of V in E/F; consider on E the linear topology in which the M, form a fundamental system of neighbourhoods of 0.) (b) Let E be a Hausdorff linearly topologized A-module and M a linearly compact submodule of E. Show that, for every closed submodule F of E, M + F is closed in E (consider the image of M in E/F). (c) Let E be a linearly compact A-module and F a Hausdorff linearly topologized A-module. Show that for ever closed submodule M of E x F, the projection of M onto F is closed. Obtain the converse (cf. General Topology, Chapter I, 3 10, no. 2). (d) Let E be a linearly compact A-module and u a continuous linear mapping of E to a Hausdorff linearly topologized A-module F. Show that, for every filter base 8 on E consisting of affine linear varieties, the image under u of the set of cluster points of 8 is the set of cluster points of u ( 8 ) . In particular, for every closed submodule M of E, NQB (M + N) = M + N.

complete with respect to F*, is complete with respect to F (General Topology, it Chapter 111, 3 3, no. 5, Proposition 9). (c) Suppose that F is linearly compact. Then show that F*is linearly compact and is the coarsest Hausdorff linear topology coarser than 9; in particular F*is a minimal linear topology (Exercise 17). (Let 8 be a filter base consisting of submodules closed under F whose intersection is 0; show that, for every submodule U which is open under F and sheltered, there exists M E 8 such that M c U, using Exercise 16 (d)). l (d) Let F be a Hausdorff linearly topologized A-module and F its topology; show that, if u : E + F is a continuous linear mapping with respect to the u is topologies F and Fl, also continuous with respect to the topologies T* and F . : (a) Let E be a linearly compact A-module. Show that the following conditions are equivalent: ( a ) For every continuous linear mapping u from E to a Hausdorff linearly topologized A-module F, u is a strict morphism (General Topology, Chapter 111, 5 2, no. 8) from E to F. (p) For every closed submodule F of E, the quotient topology on E/F is a minimal topology (Exercise 17). (y) E is complete and there is a fundamental system (U,) of open neighbourhoods of 0 in E, consisting of submodules and such that the E/ULare Artinian modules. (To see that (y) implies (p), reduce it to the case where F = 0 and use Exercises 17 and 18.) If E satisfies the equivalent conditions ( a ) , (p) and (y), E is called strictly linearly compact. (b) Let E be a Hausdorff linearly topologized A-module and F a closed submodule of E. For E to be strictly linearly compact, it is necessary and sufficient that F and E/F be so. (c) Every inverse limit of strictly linearly compact modules is strictly linearly compact. (d) Let E be a Hausdoxff linearly topologized A-module and u a linear mapping from E to a strictly linearly compact A-module F. Show that if the graph of u is closed in E x F, u is continuous (use Exercise 16 (c) and the fact that, if M is closed in E and E/M is Artinian, M is open in E). T[ 20. (a) Show that a discrete linearly compact module cannot be the direct sum of an infinity of submodules which are not reduced to 0. (b) Give an example of a minimal linear topology (Exercise 17) which is not linearly compact (consider an infinite direct sum of simple modules no two of which are isomorphic). (c) Let E be a linearly compact module such that there exists a family of simple submodules whose sum is dense in E. Show that: (1) E is strictly

NcB

7 19.

17. A linear topology Fon an A-module E is called minimal if it is Hausdorff and there exists no Hausdorff linear topology strictly coarser than F. (a) For a Hausdorff linear topology F on E to be minimal, it is necessary and sufficient that every filter base 8 on E, consisting of affine linear varieties and having a single cluster point, be convergent to this point. (To see that the condition is necessary, observe that, when M runs through 8 and V a fundamental system of neighbourhoods of 0 consisting of submodules, the M + V form a filter base with the same cluster points as 8. To see that the condition is sufficient, note that a filter base consisting of open submodules, whose intersection is reduced to 0, is a fundamental system of neighbourhoods of 0 in a Hausdorff linear topology coarser than 9.) (b) For a discrete topology on an A-module E to be minimal, it is necessary and sufficient that E be Artinian. (c) If Fis minimal, the topology induced by Fon any closed submodule of E is minimal.

7 18. In an A-module E, a submodule M

# E is called sheltered if there exists a least element in the set of submodules # 0 in E/M. (a) Show that every submodule N # E of E is an intersection of shcltered submodules (for all x 6 N, consider a maximal element in the set of submodules of E containing N and not containing x ) . (b) Let F be a Hausdorff linear topology on E and let F*be the linear topology with fundamental system of neighbourhoods of 0 the filter base generated by the submodules of E which are open under 9- and sheltered. Show that F*is Hausdorff and that every submodule which is closed under 9- is also closed under F*(note that every submodule which is closed under .T is an intersection of submodules which are open under F). Deduce that, if E is
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linearly compact (apply (a) to the quotient of E by an open submodule) ;(2) E is isomorphic to the (topological) product of a family of discrete simple modules. (Consider the sets 0 of maximal open submodules of E such that for every finite
< , E G k )is the direct sum sequence (Gk) k < , of n distinct elements of 0, of n simple submodules. Show that there exists a maximal set 0 (with respect to inclusion) and that the intersection of all the submodules G belonging to such a set is reduced to 0; use the fact that (0) is an intersection of maximal open submodules and that for every maximal open submodules G of E there is at least one simple submodule of E not contained in G. Conclude by using the fact that E is strictly linearly compact.) (d) Deduce from (c) that every linearly compact vector space over a field K is strictly linearly compact and isomorphic to a product K:.

which converges in A to an idempotent e, and Ae, is a closed ideal of A of which eh is the unit element. Show that the ring Ae, is a local ring and that A is isomorphic to the product of the Ae,.)

/(kbl

7 21. Recall that on a ring A a topology is called (left) linear if it is a linear topology on the A-module A, and it is compatible with the ring structure on A (Chapter 11, 3 2, Exercise 16). A topological ring A is called (left) linearly compact (resp. (left) strictly linearly compact) if A, is a linearly compact (resp. strictly linearly compact) A-module. (a) Show that, if A is left linearly compact with the topology F, topothe logy F* defined in Exercise 18 (b) is also compatible with the ring structure on A (use Exercise 18 (d)). (b) Suppose that A is commutative; let u # 0 be an idempotent of A/%, where 31 is the Jacobson radical of A. Show that if A is linearly compact with the discrete topology, there exists a unique idempotent e E A whose image in A/% is equal to u. (Show that among the linear affine varieties x b, where b c 31 and x2 - x E b, which are contained in the class u, there is a minimal a. Deduce that e2 = e and a = 0, by considering the element element e ea - e = rand showing that r E Ar2, using Algebra, Chapter VIII, 5 6 , Exercise 10 (a). Prove the uniqueness of e by showing that if el, e2 are two idempotents o f A such that e,e2 E %, then e1e2 = 0.) (c) Show that every commutative ring A which is linearly compact with the discrete topology is a direct composition of a finite number of local rings (which are linearly compact with the discrete topology). (Consider first the 1 case, where 3 = 0, using Exercise 15 (b) and Chapter XI, 6 1, no. 2, Proposition 5, then apply (b) to the idempotents of A/%.) (d) Show that every linearly compact (resp. strictly linearly compact) commutative ring A is the product of a family of linearly compact (resp. strictly linearly compact) local rings. (Let (mh)be the family of open maximal ideals of A; for every open ideal a not containing mh, let AI, x A: be the decomposition of A/a as a direct composition of two rings such that AI, is the local ring with maximal ideal (mh + a)/a defined in (c); let eI,(a) be the unit element of A; considered as a class mod. a in A; the e;(a) form a filter base

7 22. (a) Let A be a local ring and m its maximal ideal. Show that, if, for a linear topology F on A, A is strictly linearly compact, . is coarser than the F m-adic topology. (b) Let A be a commutative ring and m an ideal of A. For A to be strictly linearly compact with the m-adic topology, it is necessary and sufficient that it be Hausdorff and complete with this topology, that A/m be an Artinian ring and m/maand (A/m)-module of finite length * (in other words, A is a complete Noetherian semi-local ring) *. Ic\ Let I be an infinite indexing set, K a finite field and A = K[[X,]ILEI \-I the algebra of formal power series in the family of indeterminates (xL)LE~ (Algebra, Chapter IV, 3 5, Exercise 1) ; A is a local ring. As a vector space over K, A may be identified with the product space KN"';if K is given the discrete show that . is a linear topology on F topology and A the product topology F, the ring A with which A is strictly linearly compact; if m is the maximal ideal of A, show, by arguing as in Exercise 12 (c), that A is not complete with the m-adic topology.
v .

Let A be a commutative ring with a linear topology . . T (a) Show that the ideals a of A, which are closed under F and such that A/a is Artinian, form a fundamental system of neighbourhoods of 0 under a linear topology FC) which is coarser than . (useAlgebra, Chapter VIII, on A, F 5 2, Exercise 12) ; then (F(c))(c) Let B be the Hausdorff completion = FC). ring of A with respect to the topology FC); that B is strictly linearly show compact; B is said to be the strictly linearly compact ring associated with A. (b) Let Fm(A) the discrete topology on A, K(A)the topology (Fm(A))''). be For the topology FC) to be Hausdorff, it is necessary and sufficient that on A r be Hausdorff and that, for every ideal b of A open under F, topology the rc(A/b) be Hausdorff. * If A is the ring of a non-discrete valuation of height 1 (Chapter VI), Fc(A) is not Hausdorff. * (c) Suppose that A is linearly compact under .T; then A is complete (but Then in general not Hausdorff) with Pc). for F ( C ) to be Hausdorff, it is necessary and sufficient that there exist on A a linear topology which is strictly linearly compact and coarser than F; is then the unique topology with F@) these properties. (d) Let E be a linearly topologized and strictly linearly compact A-module. Show that, if A is given the topology Fc(A), E is a topological ring (note that if F is a n Artinian A-module, then, for all x E F, the annihilator a of x is such that A/a is Artinian). Deduce that, if B is the Hausdorff completion of A with E respect to the topology YC(A), can be considered as a topological B-module; the ring B being isomorphic to a product of strictly linearly compact local rings

7 23.

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B, (Exercise 21 (d)), show that E is isomorphic to a product of strictly linearly compact submodules EL, where E, is annihilated by the B, of index p # A and can therefore be considered as a topological B,-module (if e, is the unit element of B, take E = e,. E).
24. O n a commutative ring A let Fm(A)denote the linear topology which has a fundamental system of neighbourhoods of 0 the products (equal to the intersections) of a finite number of powers of maximal ideals (cf. no. 13, Proposition17) ; if every finite intersection of ideals # 0 of A is # 0, let Tu(A) denote the linear topology for which a fundamental system of neighbourhoods of 0 consists of all the ideals #{O} of A. (a) Show that .Fc(A) (Exercise 23) is coarser than Fm(A)(observe that the Jacobson radical of an Artinian ring is nilpotent) ; give an example where Yc(A) # Ym(A) (cf. Exercise 22 (c)). * If A is the ring of a non-discrete valuation of height 1 (Chapter VI), then Fc(A) = Fm(A) and Fu(A) # r m (A)* * (b) The topology .Fm(A)is the coarsest linear topology on A under which the maximal ideals of A are closed and every power of an open ideal is an open ideal (note that under a linear topology on A, under which a maximal ideal m is closed, m is necessarily open). ( c ) If A is a Noetherian ring, then Fm(A)= Fc(A) (observe that, if m is a maximal ideal of A, A/mk is an Artinian ring for every integer k 2 1, noting that mh/mh+lis an (A/m)-module which is necessarily of finite length). Give an example of a Noetherian local ring A for which .Fm(A)# Fu(A) (consider a local ring of a polynomial ring over a field). 25. Let A be a topological ring and E a finitely generated left A-module. Show that there exists on E a topology (called canonical) compatible with its A-module structure and finer than all the others (write E in the form A,"/R, give A: the product topology and E the quotient topology). If E' is a topological A-module and u : E -+ E' an A-linear mapping, show that u is continuous with the canonical topology on E. If further E' is finitely generated and has the canonical topology, u is a strict morphism. If the topology on A is defined by a filtration (A,,), show that the canonical topology on E is defined by the filtration (A,E). 26. Let A be a commutative ring, m an ideal of A, (ah)heL a system of generators of m and A the Hausdorff completion of A with respect to the madic topology. Show that, if A' denotes the ring of formal power series in a family ( T J A S of indeterminates with only a finite number of terms of given degree (Exercise 12), A is isomorphic to the quotient of A' by the closure b of the ideal of A' 242

generated by the T, - a, (use Theorem 1 of no. 8). In particular, the ring Z , ofp-adic integers is isomorphic to the quotient Z[p]]/(T - p). 727. (a) Let A be a commutative ring with a linear topology. For every multiplicative subset S of A, let A{S-'} denote the Hausdorff completion of the ring S- lA with the topology for which a fundamental system of neighbourhoods of 0 consists of the ideals S-lU,, where (U,) is a fundamental system ofneighbourhoods of 0 in A consisting of ideals of A. Show that A{S-l} is canonically isomorphic to the inverse limit of the rings S, '(A/U,) where S, is the canonical image of S in A/U,. IfA is the Hausdorff completion ofA, A{S - '} is canonically isomorphic to A{S'-l}, where S' is the canonical image of S in A. (b) For A{S-l} to be reduced to 0, it is necessary and sufficient that, in A, 0 belong to the closure of S. Deduce an example where A is Hausdorff and complete but S-lA is not so with the topology defined in (a). (c) For every continuous homomorphism u of A to a complete Hausdorff linearly topologized ring B such that u(S) consists of invertible elements of B, show that u = u' j , where j : A -+ A{S-'} is the canonical mapping and u' is continuous; moreover u' is determined uniquely. (d) Let S,, S, be two multiplicative subsets of A and let Sa be the canonical image of S, in A{S-l); define a canonical isomorphism of A{(S1S2)-l} onto A{S; '}{S;- '}. (e) Let a be an open ideal ofA and let a{S-l} be the Hausdoficompletion of S-la with respect to the topology induced by that on S-lA; show that a{S-l} is canonically identified with an open ideal ofA{S-l} and that the discrete ring A{S-l}/a{S-l} is isomorphic to S-l(A/a). Conversely, if a' is an open ideal of A{S-l), its inverse image a in A is an open ideal such that a' = a{S-1). In particular, the mapping p t-+ p{S-l} is an increasing bijection of the set of open prime ideals of A not meeting S onto the set of open prime ideals of A{S- l}. (f) Let p be an open prime ideal of A and let S = A p . Show that A{S-1) is a local ring whose residue field is isomorphic to the field of fractions of Alp. (g) For every elementfE A, let A,,, denote the ring A{Si l}, where S, is the multiplicative set of thef" ( n 2 0). Iffruns through a multiplicative subset S of A, the A,,, form a direct system of rings whose direct limit is denoted by A,,) (without any topology) ; define a canonical homomorphism
0

A,,, +A{S-l}.
If S = A p, where p is an open prime ideal of A, show that AtS, is a local ring, the canonical homomorphism A,,) +A{S-l} is local and the residue fields of A,,, and A{S-l} are canonically isomorphic (cf. Chapter 11, 3 3, Exercise 16).
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l) that (E @A F) * is isomorphic to the inverse limits lim((E/mn+ @ A F) and lim(E @A (F/rnnflF)). c

(h) Suppose that the topology on A is the m-adic topology for some ideal m of A, that A is Hausdorff and complete and that m/m2 is a finitely generated (A/m)-module. Show that, if m = m{S-l}, the topology on A= A{S-l} is the m-adic topology, m = mA and m / d 2 is a finitely generated (A/m)-module (use Proposition 14 of no. 10). If A is Noetherian, so is A.
28. Let A be a commutative ring with a linear topology and E, F two topological A-modules which are linearly topologized. If V (resp. W) runs through the set of open submodules of E (resp. F), the submodules

29. Let A be a commutative ring, m an ideal of A such that Q ,o

rnn = 0 and

c is an element of A which is not a divisor of 0. Show that the transporters q = mn: Ac are open under the m-adic topology and have zero intersection. ,

If A is strictly linearly compact with the m-adic topology (Exercise 22(b)), (, is a fundamental system of neighbourhoods of 0 in A for this topology. q) 30. Let K be an infinite commutative field and A the ring of formal power series K[[X, YIJ in two indeterminates, which is a complete Hausdorff Noetherian local ring. Define a multiplicative subset S of A such that S-lA is not a semi-local ring (if (A,) is an infinite sequence of distinct elements of K, consider the prime ideals p = A(X + A,Y) of A). ,

lm(V

@A

F,

+ lm(E

@A

w,

of E F form a fundamental system of neighbourhoods of 0 in E @A F for a topology which is compatible with its module structure over the topological ring A and is called the tensor product of the given topologies on E and F. The Hausdorff completion (E @A F) * of this A-module is an A-module called the completed tensor product of E and F. (a) Show that, if (V,) (resp. (W,)) is a fundamental system of neighbourhoods of 0 in E (resp, F) consisting of submodules, (E @A F)^ is canonically isomorphic to the inverse limit of the inverse system of A-modules
(E/VA)

31. Show that if A is a semi-local ring, so is the ring of formal power series A[[X]] (consider the Jacobson radical of this ring).
3 1. (a) Let K be a commutative field of characteristic p > 0 and B the ring of formal power series with coefficients in K in two infinite systems of indeterminates (X,,), (Y,) with only a finite number of terms of given degree (5 2, Exercise 12) ;B is a Hausdorff local ring with the rn-adic topology, m being its maximal ideal. Let b be the closed ideal of B generated by the monomials Y,X, for i 0, 0 < j < i; let A be the local ring B/b, which is Hausdorff with the n-adic topology, where n = m/b is its maximal ideal. Let c be the element of A equal to the class mod. b of nk n (Ac) ciz nac (and a fortiori the relation
n=l

@A

(Fwb) ;

deduce that (E @A F) is an h-module canonically isomorphic to (fi @A PA) ; it is also denoted by fi @ A P. (b) Let E, F be two topological A-modules which are linearly topologized and u : E --f E v: F -+ F two continuous A-linear mappings; show that u @ u : E @ F -+ E @ F is continuous with the tensor product topologies on E @ F and E @ F; we denote by u @ v the continuous linear mapping (E @ F) -+ (E @ F) corresponding to u @ v. (c) Let B, C be two commutative A-algebras with linear topologies such that the canonical mappings A -+ B, A -+ C are continuous (to abbreviate, B, c are called topological A-algebras). Show that (B @A C) has a canonical topological A-algebra structure called the completed tensor product of the algebras B and C. Define canonical continuous representations
A

2X:; show that, for k 2 3,

n2(nZk (Ac)) = n2k+2n (A4 n

cannot hold). (b) Let C be the commutative ring with underlying set A x A, with multiplication (a, x)(a, x) = (ad, ax ax); let C be the subring A x (Ac) of C; C and C are local rings, whose maximal ideals we denote by t and t, and C is a finitely generated C-module. Show that t = t n C but that the topology induced on C by the t-adic topology is not the r-adic topology.

p :B -+

(B @A C)

A,

0:

C -+ (B @A C)

with the following property : for every complete Hausdorfff commutative topological A-algebra D and every ordered pair of continuous A-homomorphisms u: B -+ D, v: C -+ D, there exists a unique continuous A-homomorphism w : (B m A C ) . - + D such that u = w o p and v = w Q. (d) Let m be an ideal of A such that the topology on A is the m-adic topology. If E and F are each given the m-adic topology, show that on E @A F the tensor product of the topologies on E and F is the m-adic topology. Deduce
0

2. Let A be a Noetherian integral domain which is not a field, K its field of fractions and m an ideal # A of A. The m-adic topology on A is not induced by the m-adic topology on K and the latter is not Hausdorff.
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* 3.

I f A is the ring of a non-discrete valuation of height 1 (Chapter VI) and m is its maximal ideal, A is not Hausdorff with the m-adic topology, the closure of (0) being m. *

module of finite length and, for every submodule M of E, the topology Fm(M) is induced by Fm (E)

Let A be a semi-local ring and r its Jacobson radical. For A to be Noetherian, it is necessary and sufficient that every ideal of A be closed under the r-adic topology and that every maximal ideal of A be finitely generated. (If these conditions hold, show first that the Hausdorff completion A of A is Noetherian, using 3 2, no. 13, Corollary to Proposition 19 and no. 10, Corollary 5 to Theorem 1. Then observe that the r-adic topology is Hausdorff on A and that there exists an increasing injection of the set of ideals of A into the set of ideals of pi.)

7 4.

T[ 8. Let A be a Noetherian semi-local ring, n its nilradical (which is the largest nilpotent ideal of A) and m its Jacobson radical. Show that, if A (with the m-adic topology) is such that A/n is complete, then A is complete. (Reduce it to the case where n is generated by a single element c such that c2 = 0; using Exercise 9 of General Topology, Chapter 111, 3 3, reduce it to showing that n = Ac is complete and use the fact that n is an (A/n)-module.) T[ 9. (a) Let A be a Zariski ring, m a defining ideal of the topology on A and B a ring such that A c B c A, which is a finitely generated A-module; show that, if mB is open in B under the topology induced by the topology on A, of necessity B = A (use Nakayama's Lemma). * (b) Let A be a commutative Noetherian ring and m an ideal of A. Show that, if the Hausdorff completion A of A with respect to the m-adic topology is a finitely generated A-module, A is complete with the m-adic topology (reduce it to the case where A is Hausdorff; use Chapter V, 3 2, no. 1, Proposition 1 and Theorem 1 to show that A is a Zariski ring with the m-adic topology and conclude with the aid of (a)). I 10. Let A be a Zariski ring, m a defining ideal of the topology on A and E a finitely generated A-module. Show that, if E is an kmodule admitting a system of generators with Y elements, then the A-module E admits a system of generators with r elements (note that E/mE and g/mE are isomorphic and use Chapter 11, 0 3, Corollary 2 to Proposition 4). Is the result valid if E is not assumed to be finitely generated (cf. Exercise 9) ? Is it valid if we only assume that A is Noetherian (take A = Z) ? 11. Let A be the ring Z, ofp-adic integers ( p prime) with the p-adic topology with which it is a complete Zariski ring. Let E be the A-module A with " the @-adic topology. (a) Show that the completion fi of E is identified with the submodule of AN consisting of the sequences (an)neN of elements of A such that lim a, = 0.

7 5.

Let A be a commutative Noetherian ring and m its Jacobson radical. (a) For A to be strictly linearly compact with a linear topology F (3 2, Exercise 19), it is necessary and sufficient that A be semi-local and complete with the m-adic topology ;9 is then necessarily identical with this latter topology. (Use 3 2, Exercise 21 (d) and 22 (a) and also $ 3, no. 3, Proposition 6.) (b) For A to be linearly compact with a linear topology F it is necessary , and sufficient that A be semi-local and complete with the m-adic topology and that F be finer than this latter topology. (To see that it is necessary, reduce it first to the case where A is a local ring, using Exercise 21 (d) of $ 2. Consider first the case where Fis the discrete topology and note that A is then linearly compact with the m-adic topology. In the general case, reduce it to the case where Fis a minimal topology ($ 2, Exercise 18 (c));show that A is then strictly linearly compact and use criterion (y) of $ 2 , Exercise 19 (a) and Exercise 18 (b) of 9 2.) 6. Let A be a Noetherian local integral domain, m its maximal ideal and K its field of fractions; suppose that A is complete with the m-adic topology. Consider on A a linear topology F which is finer than the m-adic topology. Show that, if F' is the linear topology on K for which a fundamental system of neighbourhoods of 0 consists of the neighbourhoods of 0 in A with the topology F F'is compatible with the field structure on K and K is complete with , the topology F'.

7. Let A be a commutative Noetherian ring and E an A-module. Let A be given the topology Fm(A) ($2, Exercise 24) and let Sm(E)denote the linear topology on E for which a fundamental system of neighbourhoods of 0 consists of the submodules a.E, where a runs through a fundamental system of neighbourhoods of 0 for Fm(A),consisting of ideals of A. Show that if E is finitely generated, E is a Hausdorff topological A-module (with Fm(A)and Fm(E)) where every submodule is closed. A fundamental system of neighbourhoods of 0 for Fm(E)then consists of the submodules F of E such that E/F is a
246

(b) Let en be the n-th vector of the canonical basis of E. Consider in E the submodule F generated by the vectors e2n-1 and the submodule G generated by the vectorspanean eznml(n 1). Show that the topologies induced on F and G b the p-adic topology on E are the p-adic topologies on F and G but that, in ,

n- m

F
(c) In
(I

+ G z F + G.

e, let a, = n=Opne,+2 2 0 ) ; let H be the submodule of fi gene2

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rated by the a, (r > 0). Show that on H the topology induced by the p-adic topology on fi is thep-adic topology on H but that E n H # E n g . (d) Let L be the submodule of E generated by the pne,,; show that on L the topology induced by the p-adic topology on E is distinct from the p-adic topology on L. 12. (a) Let A be a commutative Noetherian ring and m,, m2 two ideals of A contained in the Jacobson radical of A; let A, be the completion of A with respect to the m,-adic topology. If m, c m,, show that the identity mapping on A can be extended by continuity to an injective representation of A, into As (cf. General Topology, Chapter 111, $ 3, no. 5, Proposition 9). (b) Let n = A,m2. Show that, if A, is canonically identified with a subring of A,, A, is identified with the completion of A, with respect to the n-adic topology. 13. Let A be a Noetherian local ring with maximal ideal m and B a ring such that A c B c A. Suppose that B is a Noetherian local ring with maximal __ ideal n (Exercise 14). (a\ Show that n = B n m and B = A n. If further n2 = B n m2, then n = Bm (note that then n = B + n2). m (b) Let K be a commutative field, C the polynomial ring K[X], p the prime ideal CX, A the (Noetherian) local ring C, and m its maximal ideal; the completion A is identified with the ring of formal power series K[[X]] (no. 4, Proposition 8). Let u = u(X) be an element of A which is transcendental over the field of rational fractions K(X) (cf. Algebra, Chapter V, $5, Exercise 13 or Functions O f a Real Variable, Chapter 111, 5 1, Exercise 14 (a)) with no constant term; let B be the subring of A consisting of the quotients
\ I

,
I

(a) Show that A c B, that B is a local ring whose maximal ideal n is equal to B and that nk = B n hkfor every integer k > 1; B is therefore m everywhere dense in A and the topology induced on B by the m-adic topology on A is the n-adic topology. (b) Show that in B the ideal b generated by all the elements of the form Xf(Y), wheref(Y) E K[[YI], is not finitely generated (cf. Algebra, Chapter V, $ 5, Exercise 13) and therefore B is not Noetherian, although B/n and gr(B) = gr(A) are Noetherian and the ideal n is finitely generated; b = B n A x and b is the closure in B of the principal ideal (not closed) BX; finally B is not a flat A-module and fj = A is not a flat B-module (use Chapter I, $ 3, no. 5, Proposition 9). (c) Letf(Y) be an invertible formal power series in K[[Y]], which is not an element of K(Y). If c is the ideal of B generated by X and Xf(Y), show that on c the n-adic topology is strictly finer than the topology induced on c by the n-adic topology on B. Show that the canonical mapping B BB - t t c (where 2 is the completion of c with respect to the n-adic topology) is not injective (consider the images off(Y) @ X and 1 @ Xf(Y) ; to show that c, consider this tensor product as a these two elements are distinct in quotient of the tensor product @K(Y) c). (d) Letfl(Y),f,(Y) be two invertible formal power series in K [ v ] ] such f, that 1, andfa are linearly independent over K(Y). Let cl, c2 be the principal ideals of B generated respectively by Xfl(Y) and Xf2(Y) n-adic topologies ;the on c1 and c, are respectively identical with the topologies induced by that on B and the closures of these ideals in A = f3 are both identical with the principal ideal AX of A. Deduce that the closure of c, n c, in A is not equal to Cl n Z2 and that the closure of c1 : c, is not equal to Z, : Z2.

P K u(X))/Q(X u(X)), where P and Q a r e polynomials in K[X, Y] such that Q(0,O) # 0. Show that B is a Noetherian local ring containing A, whose maximal ideal n is generated by X and u(X) ;but on B the n-adic topology is strictly coarser than the m-adic topology. (c) With the same definitions as in (b), let B be the subring of B generated by A and u(X) ;show that B is not a local ring (note that B n n is a maximal ideal of B but that there are elements of B not invertible in B and not belonging to B n n).
f 14. Let K be a commutative field, C the ring K[X, yl, p the maximal ideal CX + CY of C, A the local ring C,, m its maximal ideal and A the completion of A, which is identified with the ring of formal power series K[[X, yl] (no. 4, Proposition 8). Let B be the subring of A consisting of the formal power series where f E A and P and Q are two of the type Xf(X, Y) + ( P ( Y ) / Q ( Y ) ) , polynomials of K v ] such that Q(0) # 0.

15. (a) Let A be a Noetherian integral domain, m an ideal of A and A the Hausdorff completion of A with respect to the m-adic topology. Show that, if M is a torsion-free A-module, then, for every element b which is not a divisor of 0 in A, the homothety with ratio b in the A-module A @A M is injective. (Reduce it to the case where M is finitely generated; then there exists a maxi-

mal free system (m,) < < , in M and a E A such that for all m ,

M, am =

ajmj

where aj E A; every x E A M therefore satisfies ax = b, @ m, where bj E A; then use the flatness of the A-module A.) (b) Let K be an algebraically closed field of characteristic 0, B the polynomial ring K[X, Y] and P(X, Y) = X(X2 + Y2) + (X2 - Y2). Show that the ideal BP is prime in B; consider the quotient ring A = B/BP which is a Noetherian integral domain. Let m be the maximal ideal of A, the canonical image of the maximal ideal n = BX BY of B. Show that the Hausdorff completion A of A with respect to the m-adic topology is not an integral domain (observe that in the ring of formal power series K[[X,Y]], P

2. 48
I

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decomposes into a product of two formal power series ("double point of an irreducible cubic")). 16. Let A be a Commutative Noetherian ring, m an ideal of A and E a finitely generated A-module with the m-adic topology. For every infinite set I, let E, denote the set of families (x,), E I of elements of E such that lim x, = 0 with respect to the filter of complements of finite subsets of I; it is a submodule of the product A-module EI. (a) Show that, if 0 -+ E' -+ E -+ E" -+ 0 is an exact sequence of finitely generated A-modules, the corresponding sequence 0 --f Ei --f El -+ E; -+ 0 is exact. (b) Define a canonical A-homomorphism A, @A E -+ El for every Amodule E and show that it is an isomorphism (first verify this when E is free and finitely generated and then use (a)). (c) Deduce from (b) that A, is a faithfully flat A-module.

fl 17. (a) Let K be a commutative field, A = K[[Xl,. . ., X,]] the ring of formal power series in n indeterminates with coefficients in K and V a vector space over K. With the notation of $ 2, no. 6, Example 1, let V[[Xl, . . .,X,]] denote the vector space VNn with the A-module structure defined by

field k = A/m. In particular, if A is an integral domain, the field of fractions K of A is a quasi-finite A-module. (a) Show that if A is Noetherian and M is a quasi-finite A-module, its Hausdorff completion I with respect to the m-adic topology is a finitely ? l . generated A-module (use $ 2 , no. 11, Corollary 2 to Proposition 14). In particular, if A is complete and M Hausdorff with the m-adic topology, M is a finitely generated A-module. (b) Let B be another local ring, n its maximal ideal, +: A -+B a local homomorphism and M a finitely generated B-module. Show that, if B is Noetherian and M is a quasi-finite A-module, then the m-adic and n-adic topologies on M are identical. (Note that M/mM is a B-module of finite length and deduce that, if b is the annihilator of the B-module M/mM, then V(b) = {n} in Spec(B) and therefore V(mB + 6) = {n}. Conclude using Chapter 11, $ 4, no. 3, Corollary 2 to Proposition 11.) (c) Under the hypotheses of (b), show that, if M # 0, B/b is a quasi-finite A-module (note that M # nM and M/nM is a vector space of finite rank over k; deduce that B/n is of finite rank over k).

7 19. Let A be

where wa = D + y = a cBuy. Show that, if V admits a basis with I as indexing set, the A-module V[[Xl, . . .,X,]] is isomorphic to A' if I is finite and to the Amodule A, defined in Exercise 16 if I is infinite. Deduce that V[[X,, . . ., X,]] is a flat A-module and is faithfully flat if V is not reduced to 0. (b) Let L be an extension of the field K. Deduce from (a) that the ring of formal power series L[[X,, . . .,X,]] is a faithfully flat module over the ring K[[Xl, . . ., X,]]. If L has finite rank over K, L[[X,, . . ., X,]] is isomorphic to L @K WX,, * * ., Xnll* (c) If L is an algebraic extension of K, show that the ring L[[X,, . . .,X,]] is a faithfully flat module over the ring L @K K"XD * * 9 Xnll (consider L as the direct limit of its sub-extensions of finite rank over K and use Chapter I, $ 2, no. 7, Proposition 9). Deduce that the ring B = L & K"X1,

a commutative Noetherian ring, m an ideal of A and S a multiplicative subset of A. Let A be a given the m-adic topology. (a) Show that the ring A{S-'} ($ 2, Exercise 27) is a flat A-module. (b) Let S' be another multiplicative subset of A contained in S. Show that A{S-l} is a flat (A{S'-l))-module (use Exercise 27 (d) of $ 2). (c) Show that A{S-'} is a flat Ao,-module ($ 2, Exercise 27 (g)). (d) Suppose that S = A p , where p is an oben prime ideal of A. Show that A{S-l} is a faithfully flat Ao)-module and deduce that the ring A,,, is Noetherian (cf. $ 2, Exercise 27 (g)).

n 20. Let A be a commutative ring and r an ideal of A; let A be given the m-adic topology. Let B be a commutative topological A-algebra ($ 2, Exercise 28) ;suppose that B is a Zariski ring; let n be a defining ideal of B. Show that, if M is a finitely generated A-module with the m-adic topology, then on the Bmodule B B A M the tensor product of the topology on B and the m-adic topology on M is the n-adic topology; then the completion tensor product (B @A M) . is isomorphic to B @A M.

* -9

Xnll

21. Let A be a commutative Notherian ring, m an ideal of A and M and

is a Noetherian local ring whose completion is identified with L[[X,, . . . .,X,]]. In order that = Byit is necessary and sufficient that n = 0 or [L : K] < +a.

N two finitely generated A-modules.

(a) Suppose that M is Hausdorff with the m-adic topology. Show that in HomA(M,N) with the m-adic topology the set of injective homomorphisms is open (use no. 1, Proposition 2 and the Artin-Rees Lemma). (b) Suppose that A is a complete Zariski ring and m a defining ideal of
!

18. Let A be a local ring with maximal ideal m; an A-module M is called qumi-jnite if M/mM is a vector space of finite rank over the residue 250

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A. For every integer i, let A, = A/mffl, M, = M/mitlM, N, = N/ml+lN; show that the topological A-module Hom,(M, N) is isomorphic to lim Hom,(M,, N,).
f-

Deduce that in Hom,(M, N) the set of surjective homomorphisms is open.

(*) Let A be a ring, commutative or not; all the A-modules to be considered are left A-modules. Let P be a property such that: (a) iff: M + N is an injective A-module homomorphism and N has property P,then M has property p ; (P) the direct sum of two A-modules with property P has property P. (a) Let M be an A-module. Show that the submodules M' of M such that M/M' has property P form a fundamental system of neighbourhoods of 0 for a linear topology Fp(M) on M. Show that Yp(A,) is compatible with the ring structure on A and that M with the topology Yp(M) is a topological module over A with Tp(A,). Every A-module homomorphism$ M -+ N is continuous with the topologies Yp(M) and Yp(N). (b) Suppose that the following condition holds: (y) if N is a submodule of M with property P and, for every submodule L # 0 of M, N n L # 0, then M has property P. Show that with these conditions, if F is a submodule of an A-module E, the topology Yp(F)is induced by Yp(E). (Let F' be a submodule of F such that F/F' has property P;consider a maximal element G among the submodules of E such that G n F = F' and show that E/G has property P.)

7 22.

(a) Show that, for every element c # 0 of A, AIAc is an A-module of finite length. (Observe that, if a decreasing sequence of ideals Aa, of A contains Ac, then c = bnanfor all n and consider the right ideals bnA.) (b) Show that every submodule of a (left or right) free A-module is free (same argument as in Algebra, Chapter VII, $ 3, Theorem 1). (c) In every A-module M, the set of elements of M which are not free is a submodule T of M called the torsion submodule of M (use Chapter 11, $2, Exercise 14 (a)) ; M is called a torsion module if T = M; M is called torsion-fee i f T = 0. (d) Show that every finitely generated torsion-free A-module is free (use Chapter 11, 9 2, Exercise 23 (b)). (e) Show that every finitely generated A-module is the direct sum of a free module and a torsion module. (f) Let a be a two-sided ideal #O of A. Show that there exists an element a E a and an automorphism CJ of A such that a = Aa = aA and ax = C J ( X ) U for all x E A. (If 6 is a generator of the left ideal a, there exists an endomorphism 7 ofA such that bx = T ( x ) bfor all x E A; show that, if a = ub is a generator of the right ideal a, u is invertible, using Algebra, Chapter VIIT, 5 2, Exercise 8 (b).)

7 23.

(a) Let A be a commutative Noetherian ring and m an ideal of A. Let PIMI denote the following property: M is an A-module and every finitely generated submodule of M is annihilated by a power of m. Show that conditions (a),(p) and (y) of Exercise 22 are fulfilled. (To prove (y), reduce it to the case where M is finitely generated; for all a E m, there exists by hypothesis k > 0 such that akN = 0; use the fact that there exists Y > 0 such that Ker(ak) n Im(&) = 0 (Algebra, Chapter VIII, $ 2, no. 2, Lemma 2).) (b) Show that. if M is a finitelv generated A-module, the topology Fp(M) is identical with ;he m-adic topology. Give an example of an A-module M for which Yp(M) is strictly finer that the m-adic topology (cf. Exercise 11). (c) Show that the conclusion of (a) does not extend to the case where A is a non-commutative left Noetherian ring and m is a two-sided ideal ofA (consider the ring of lower triangular matrices of order 2 over a commutative field).
\ I
~

I "

7 24.

A ring (commutative or not) A, not reduced to 0, is called a principal ideal ring if it has no divisors of zero and every left or right ideal of A is monogenous. Such a ring is left and right Noetherian.

* Exercises 22 to 25 were communicated to us by P. Gabriel.

252

7 2 5 . Let A be a principal ideal ring (Exercise 24), a a two-sided ideal # 0 of A and a an element of a with the properties stated in Exercise 24 (f). Let P{M{denote the following property: M is a left A-module and every finitely generated submodule of M is annihilated by a power of a. ( a ) Show that the conditions (a),(p) and (y) of Exercise 22 are fulfilled (consider the homothety aM and argue as in Exercise 23 (a), observing that Ker(aL) and Im(aL) are submodules of M). (b) Show that every torsion A-module M (Exercise 24 (c)) is the direct sum of a submodule Ma which has property P and a submodule Mk such that the restriction to Mk of the homothety aM is bijective (observe that, if N is a torsion A-module and aN is injective, then aN is bijective; for this, reduce it to the case where N is monogenous and use Exercise 24 (a) and also Algebra, Chapter VIII, 3 2, no. 2, Lemma 2). (c) Let S be the set of elements s E A whose canonical image in the ring A/a is invertible. Show that S is a multiplicative subset of A and that the following conditions, for any left ideal I of A, are equivalent: (a) I n S # la; (P) I a = A; (y) (A/[), = 0 (in the notation of (b)); (6) for all x E A, there exists s E S such that sx E 1. Deduce that A has a (left or right) ring of fractions with respect to S (Chapter 11, $ 2, Exercise 22), which is a principal ideal ring and whose only non-zero two-sided ideals are generated by the canonical images of the ideals an; moreover the canonical mapping of A to this ring of fractions is injective. (d) Suppose now that the two-sided ideal a is maximal. Show that, for every integer n > 0, the ring Alan is isomorphic to a matrix ring M,(Bn) over a

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EXERCISES

completely primary ring (Algebra, Chapter VIII, $ 6, Exercise 20). If b,, is the : maximal ideal of B,, show that b = 0, that every (left or right) ideal of B, is of the form bk and is monogenous. (Note on the one hand that a/an = M,(b,) (Algebra, Chapter VIII, $ 6, Exercise 5 ) and on the other that, for k < n, is necessarily a simple B,-module, without which M,(bk) could not be a monogenous (A/a")-module.) Deduce that the completion of A with respect to the topology Tp(As) is a matrix ring M,(B) over a ring B with no divisors of zero and each of whose ideals (left or right) is a power of the same maximal two-sided ideal.
bk/b:+l

and using the flatness of P, the vertical arrows being the canonical homomorphisms of 3 2, Exercise 6.)
4 1. Let A be a commutative ring which is Hausdorff and complete with a filtration (a,,), such that a, = A. Let M, M', N be three A-modules, each with the filtrationinduced by that on Aand the topologydefined by that filtration; we = M'/alM', = N/a,N. Letf: M x M' -+ N be a write 7Gi = M/alM, bilinear mapping and f: R x R' -+ the (A/a,)-bilinear mapping derived fromfby taking quotients. Lety E N, E E E' E be such that: (l)f(E, E') is the class 5 of y in N;(2) every element of can be written as

a'

m m

m, a' m

26. Let B be a commutative ring and A a complete Noetherian semi-local subring of B. Let n be an ideal of B containing a power of the Jacobson radical of A and such that the n-adic topology on B is Hausdorff. Then show that the topology on A is induced by the n-adic topology on B (use Proposition 8 of 3 2, no. 7).

f ( E , 2)

+ f ( z , Z'),

7 27. Let A be a ring, B a commutative A-algebra which is a Zariski ring and N a finitely generated B-module. (a) Suppose that, for an ideal 3 of B contained in the Jacobson radical of B, the A-modules N/S"+'N are flat for n >, 0. Show that N is a flat A-module. (If u : M + M' is an injective homomorphism ofjnitelygeneratedA-modules, it is necessary to prove that u = u @ 1: M @ A N --f M' N is injective. Reduce it to proving that, if we write N, = N/S"+lN and u, = u @ lN,, the homomorphism limu, is injective, using the fact that the 3-adic topologies on M @A N an%M' @A N are Hausdorff.) (b) Let b be an element contained in the Jacobson radical of B and such that the homothety with ratio 6 on N is injective. Show that, if N/bN is a flat A-module, N is a flat A-module (reduce it to the case in (a)). (c) Suppose further that A is a local ring with maximal ideal m and residue field k = A/m and that mB is contained in the Jacobson radical of B. Let P be a B-module which is a flat A-module and u : N -+ P a homomorphism such that u @ 1,: N @JA k -+ P @A k is injective. Then show that N is a flat A-module and that u is injective. (Reduce it to showing that, for every finitely generated A-module M, the homomorphism u @J :1 N @A M --f P @A M is injective; , observe that the m-adic topology on N @A M is Hausdo&, then use 5 2, no. 8, Corollary 1 to Theorem 1, considering the commutative diagram

where Z E and 2' G R'. Show that, if N is Hausdorff and M and M' are complete, there exists x E x and x' E x' such thatf(x, x') = y (argue by induction as in the proof of Hensel's lemma). Under what conditions are x and x' determined uniquely ?

7 2.

Let A be a local ring, m its maximal ideal, k = A/m its residue field and

f:A -+ k the canonical homomorphism. Let P E A[X] be a monk polynomial

of degree n. We write B = A[X]/P.A[X] and denote by x the canonical image of X in B. (a) Let Q , Q' be two strongly relatively prime monic polynomials in A[X] such that P = QQ'. Show that the ring B is the direct sum of the ideals B. Q ( x ) and B.Q'(x). (b) Conversely, let B = b @ 6 be a decomposition of B as a direct sum of ' two ideals. Show that there exist polynomials Q, Q' in A[X] satisfying the hypotheses of (a) and such that b = B.Q(x), b' = B.Q'(x). (Show first that b/mb and b'/mb' are generated by the images in B/mB of monic polynomials
Qo Efib), Q E7;b') such that ' ,

f ( P ) = AQo) f(Q'o) Let r = deg(Q,), s = deg(Q',). Show that b is a free A-module with basis Qo(x>, ~Qo(x,.. ., Y-lQo(x) (apply Chapter 11, $ 3 , no. 2, Proposition 5 ) ; we may then write *Qo(x) = a,Q,(x) a,xQ,(x) + . + ~ ~ - ~ x ~ - ~ Q , ( x ) , where at E A (0 6 i < s - 1) ;show that, if we write

f ( p ) = f(Qo) f(Q') and Q' E f ( 6'). Similarly define Q starting with and Qoand show that Q and Q' solve the problem, using Proposition 2 of no. 1.)

-1

a.

254

Q(X)

x*- (a, + a,X +. . + a,-,X*-1),

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7 3. Let A be a local ring, m its maximal ideal, k = A/m its residue field and .f: A -+ k the canonical homomorphism. Show that the two following conditions are equivalent: (H) For every monk polynomial P E A[X] and every decomposition of - f(P) E k[X] as a productf(P) = Q.Q' of relatively prime monic polynomials, there exist two monic polynomials Q, Q' in A[X] such that f ( Q ) = Q, f ( Q ) = Q' and P = QQ'. (C) Every commutative algebra over A which is a finitely generated Amodule is a direct composition of A-algebras which are local rings. (To prove that (H) implies (C), argue as in Proposition 8 of no. 6, using Exercise 2 (a). To see that (C) implies (H),show first that, for every commutative A-algebra B which is a finitely generated A-module, every decomposition of B/mB as a direct sum of two ideals is necessarily of the form b/mb @ b'lmb', where B = b 0 6' is a decomposition of B as a direct sum of two ideals; then use Exercise 2 (b).) A local ring satisfying conditions (H) and (C) is called Henselian. Every complete Hausdorff local ring is Henselian. If A is Henselian and B is a commutative A-algebra which is a local ring and a finitely generated A-module, then B is Henselian. 4. (a) Let (Aa, +ap) be a direct system of Henselian local rings, the homomorphisms +aD being local. Show that the local ring A = lim A, (Chapter 11, + $ 3, Exercise 16) is Henselian (use criterion (H) of Exercise 3). (b) Let K be a commutative field and L an algebraic extension of K. Deduce from (a) that the ring L BK K[[Xl, . . .,X,]] is Henselian. * (c) Let A be a Henselian local ring and B a commutative A-algebra which is integrul over A (Chapter V) and is a local ring. Show that B is a Henselian ring (use (a)). * 7 5.
Let A be a Henselian local ring, B a (not necessarily commutative) Aalgebra which is finitely generated A-module, b a two-sided ideal of B and let B = B/b. (a) Show that every idempotent E in B is the canonical image of an idempotent in B (reduce it to the commutative case, considering the subalgebra of B generated by a single element). (b) Let ( E , , ) , , ~ ~ infinite sequence of elements of B such that be an
wj

(c) Suppose now that b is the Jacobson radical of B. Let n be an integer and ( c i j ) (1 < i < n, I < j < n ) a family ofelements ofB such that E{jE,,k = S,, ,,, and 1 = 1 = 1 etl. Show that there exists in B a family (e,,) (1

< i < n, 1 <j <

such that e,,e,, = S,he,k and 1 = e,, and that E S j is the canonical image of 1=1 etj for every ordered pair of indices. (Use (b), Exercise 11 of Algebra, Chapter VIII, $ 6, and Exercise 9 of Algebra, Chapter VIII, $ 1.) Deduce that, if B is isomorphic to a matrix ring M,(F), where is a not necessarily commutative field, then B is isomorphic to a matrix ring M,(D),where D is an A-algebra which is a finitely generated A-module and whose Jacobson radical b is such that D/b is isomorphic to B (cf. Algebra, Chapter VIII, 5 1, Exercises 9 and 3). Show that, if further B is an Azumaya algebra over A (Chapter 11, $ 5 , Exercise 14), so is D.

.>

6. Give an example of a non-commutative Artinian ring A, which is filtered by a sequence (a,,) of two-sided ideals such that a, = A and a, = 0 and for
which Proposition 8 of no. 6 does not hold (cf. Algebra, Chapter VIII, $ 2 , Exercise 6 ) . (a) Let A be a commutative ring and m an ideal of A such that A is Hausdorffand complete with the m-adic topology and m/m2 is a finitely generated A-module. Show that the topology on A' = A{Xl, . . .,X,} is the m'adic topology, where m' = mA' and that m ' / d 2 is a finitely generated (A'/rn')module (use Proposition 14 of 5 2, no. 11). In particular, if A is Noetherian, so is A'. (b) Let A be a commutative Noetherian ring and m an ideal of A such that A is Hausdorff and complete with the m-adic topology. Let u : A -+ B be a continuous homomorphism from A to a Hausdorff commutative topological ring B making B into an A-algebra. Show that the following conditions are equivalent :
(a) B is Noetherian, its topology is the mB-adic topology, B is complete and B/mB is a finitely generated algebra over A/m. ((3) B is topologically A-isomorphic to lim B,, where (B,),> is an inverse fB, system of discrete A-algebras such that the mappings c$,,~: --+ B, for m 2 n are surjective, the kernel of is ma+ lB, and B, is a finitely generated algebra over A/m. (y) B is topologically A-isomorphic to a quotient of an algebra of the form A& . . ., by a closed ideal.

7 7.

&j%

,+

for every ordered pair of indices (i,j). Show that there exists in B an orthogonal sequence (en)nP of idempotents such that E, is the canonical image of e, for all n. (Argue by induction as in Algebra, Chapter VIII, $ 6 , Exercise 10; observe that, if e, e' are two idempotents of B such that ee' = 0, e' - e'e = e" is an idempotent such that ee" = e"e = 0.)

(Toprove that (p) implies (y), use Proposition 14 of $ 2, no. 11 and Theorem 1 of 0 2, no. 8.)
257

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EXERCISES

8. Let A be a linearly topologized commutative ring. The additive group A[[Xl,. . ., X,]] is identified with the product group ANand is given the product topology F. (a) Show that 9is compatible with the ring structure on A[[Xl, .. .,X,]] and is a linear topology for which the mappings f H aflaX, are continuous.
(b) For every element P = a,,pXeof A[[Xl, . . ., X,]] (notation of 4 1, no. 6) and every complete Hausdorff topological A-algebra B (4 2, Exercise 28), an element x = (xl, . . .,x,) E B P is said to be substitutable in P if the family (ae,pXB)(where we have written xe = %el,. . .x$ for e = (el, . . .,e,)) converges P to 0 in B with respect to the filter of complements of finite subsets of N . This family is then summable and its sum is denoted by P(x). Show that the set of formal power series P E A[[Xl, . . .,X,]] such that x is substitutable in P is a subring S, ofA[[X,, . .,X,]] and the mapping P ++ P(x) is a homomorphism from S, to B. (c) Show that, if x is substitutable in P and y = (yl, . . .,y,) is an element of B P such that the yi are topologically nilpotent for 1 < i < p, then x + y is substitutable in P. In particular, if there exists in B a neighbourhood of 0 consisting of topologically nilpotent elements, then, for all P E A[[Xl, . . .,X,]], the set D of x E Bp which are substitutable in P is open and the mapping x H P(x) from D to B is continuous. (d) Suppose from now on that A is Hausdorff and complete and let A[[&, . . ., X,]] be given the topology 9. a system of q formal power For series PI, . .,P, of A[[X,, . . .,X,]] to be substitutable in a formal power series

5 1. Let A be a commutative ring and 3 an ideal of A. An A-module M is called absolutely Hausdorff with respect to 3 if, for every finitely generated Amodule N, the A-module N @A M is Hausdorff with the 3-adic topology; an absolutely HausdorfTA-module is ideally Hausdorff. (a) For M to be absolutely Hausdorff with respect to 3, it is necessary and sufficient that, for every finitely generated A-module N and every submodule N of N, Im(N @A M) be closed in N @A M with the 3-adic topology. (b) Let B be a commutative A-algebra and 2 an ideal of B containing 8B. If M is an absolutely Hausdorff B-module with respect to 2, M is an absolutely Hausdorff A-module with respect to 3.
2. Show that every Z-module which is Hausdorff with the p-adic topology

(p a prime number) is ideally Hausdorff, but give an example of a finitely

generated Z-module which is Hausdorff but not absolutely Hausdorff with respect t o p (use Exercise 1 (a)).

3. With the notation of Exercise 11 of 9 3, let N be the submodule of fi which is the closure in & of the submodule of fi generated by the vectors fiea,-l - p e a , , ( n 2 1) and let M = E/N. Show that under thep-adic topology the submodulepM of M is not closed in M and deduce that M is a Z,-module which is ideally Hausdorff but not absolutely Hausdorff with respect top.
Let A be a commutative ring, 3 an ideal of A and S = 1 + 3. Show that, XM is an absolutely Hausdorff A-module with respect to 3, then S-lM = M, in other words, for all a E S , x I+ ax is a bijection of M onto itself. (Show first

fi 4.

QEAX1,

*. *>

&Il>

that the hypothesis that M is Hausdorff with the 3-adic topology implies that x H ax is injective; then prove that the submodule aM of M is dense in M with the 8-adic topology and use Exercise 1 (a).)

it is necessary and sufficient that the system (Pl(0), . . .,P ( ) be substitutable ,O) in Q. (e) Suppose that x is substitutable in each of the Pk (1 < k < q) and that the system (Pl, . . .,P,) is substitutable in Q . Show that x is substitutable in Q(p1, . . .,Pa), that the system (Pl(x), . . .,P,(x)) is substitutable in Q and that Q(Pl(x), . . .,P,(x)) = ((Q(P,, . . .,Pg))(x)iffurther one of the following hypotheses is assumed to be satisfied : (a) there is in B an ideal n such that the ordered pair (By satisfies Hensels conditions and the X , (1 < i < p) belong n) to n; (p) the formal power series Q i s restricted. , (f) Take B = A = F with the discrete topology, P = X

Q=
258

Xa;then P is substitutable in Q, x = 1 is substitutable in P and in Q(P) and P(x) is substitutable in Q, but Q(P(x)) = 0 and (Q(P))(x) = 1.

zo
m

+ x2,

5. Take A = Z and 3 = pZ, where) is prime. (a) Show that, if q is a prime number distinct from p, the Z-module Z/qZ satisfies property (ii) of Theorem 1, but not property (i). (b) Show that the Z-module Q/Z satisfies property (iv) of Theorem 1 but not property (ii). 6. Let A be a commutative Noetherian ring, 8 an ideal of A and M an Amodule. Show that condition (v) of Theorem 1 is equivalent to the following: (v) For every finitely generated A-module N and every submodule N of N, the canonical mapping (M @A -+ (M @A N)^ (where the two sides are N the Hausdorff completions with respect to the 3-adic topologies on M gA and M @A N respectively) is injective. (To prove that (v) implies (v), argue as in part (E) of the proof of Theorem 1. To see that (v) implies (v), consider A-modules N annihilated by a power of 8.)
259

III

GRADUATIONS, FILTRATIONS AND TOPOLOGIES

is the maximal ideal of Ah, suppose that, for A < p, m, = m,A, and that A, is a flat AA-module.Show then that A = lim A, is Noetherian and a flat A,-module for -+ all A. (If rn = m,A is the maximal ideal of A (Chapter 11, 3 3, Exercise 16), show that on A the m-adic topology is Hausdorff, observing that A is a faithfully flat &-module for all A. Then prove that, if A is the completion of A with respect to the m-adic topology, A is Noetherian, using 3 2, no. 10, Corollary 5 to Theorem 2; finally, prove that, for all A, A is a flat A,-module using Theorem 1 of no. 2 and Proposition 2 of no. 3.)

7 7. Let (A,, fSA) a directed direct system of Noetherian local rings; if m, be

CHAPTER IV(*)

Associated Prime Ideals and Primary Decomposition

7 8. Let A be a Noetherian local ring, m its maximal ideal and k = A/m its residue field. Let K be an extension of k ; show that there exists a local homomorphism from A to a Noetherian local ring B such that B/mB is isomorphic to K and B is a flat A-module. (Consider first the case where K = k ( t ) ,distinguishing two cases according to whether t is algebraic or transcendental over k ; consider next a family ( K , ) of subfields of K containing k, which is well ordered by inclusion and such that, if K , has a predecessor K,, K , = K,(t,) for some t, E K,. Finally, apply Exercise 7.)

All the rings considered in this chapter are assumed to be commutative and to possess a unit element; all the ring homomorphisms are assumed to map unit element to unit element. B y a subring o a ring A we shall mean a subring containing the unit element f o A. f Recall that f o r every A-module E and all x E E, Ann(x) denotes the annihilator o f x , the set o a E A such that ax = 0. f

1. PRIME IDEALS ASSOCIATED WITH A MODULE

1. DEFINITION OF ASSOCIATED PRIME IDEALS

DE~NITION M be a module over a ring A. A prime ideal p is said to be asso1. Let ciated with M ifthere exists x E M such that p is equal to the annihilator o x. The set f o prime ideals associated with M is denoted by Ass,(M), or simply Ass(M). f
a be an ideal in the polynomial ring A = C[X,, . . ., X,], V the corresponding affine algebraic variety and V,, . . ., V, the irreducible components of V. If M is taken to be the ring A/a of functions which are regular on V, the set of prime ideals associated with M consists of the ideals of V1,.., V,, and in general other prime ideals each of which . contains one of the ideals of the V,. *

* Examkle. Let

As the annihilator of 0 is A, an element x E M whose annihilator is a prime ideal is necessarily # 0. To say that a prime idea p is associated with M
(*I The results of this chapter depend only on Books I to VI and Chapters I to I11 of this Book, excluding Chapter I, 0 4 and Chapter 111, 9 5.

260

26 1

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ASSOCIATED PRIME IDEALS AND PRIMARY DECOMPOSITION

LOCALIZATION OF ASSOCIATED PRIME IDEALS

4 1.2

amounts to saying that M contains a submodule isomorpliic to A/p (namely Ax, for all x E M whose annihilator is p). I f a n A-module M is the union of a family (M,),,, of submodules, then clearly

submodule of M/N, whence p E Ass(M/N). If F # {0}, the annihilator of every element # O of F is p (Proposition 1) and hence p E Ass(F) c Ass(N). COROLLARY 1. l f a n A-module M is the direct sum of afamily (M,) , of submodules, Ass(M,). then Ass(M) =
LEI

Ass(M) = ;ASS(MJ. PROPOSITION every prime ideal p of a ring A and every submodule M # 0 of 1. For Alp, Ass(M) = {PI. As the ring A/p is an integral domain, the annihilator of an element # O of A/P is p.
PROPOSITION 2. Let M be a module over a ring A. Every maximal element of the set o ideals A n n ( x ) of A, where x rum through the set of elements # O o f M, belongs to f Ass(M). Let a = Ann(x) ( x E M, x # 0) be such a maximal element; it is sufficient to show that a is prime. As x # 0, a # A. Let b, c be elements of A such that bc E a and c 4 a. Then cx # 0, b E Ann(cx) and a c Ann(cx). As a is maximal, Ann(cx) = a, whence b E a, so that a is prime. COROLLARY 1. Let M be a module over a Noetherian ring A. Then the condition M # (0) is equivalent to Ass(M) # 0 . If M = {0}, clearly Ass(M) is empty (without any hypothesis on A). If M # {0}, the set of ideals of the form Ann(%),where % E M and x # 0, is non-empty and consists of ideals #A; as A is Noetherian, this set has a maximal element; then it suffices to apply Proposition 2. COROLLARY Let A be a Noetherian ring, M an A-module and a an element o f A. 2. For the homothety on M with ratio a to be injective, it is necessary and su@cient that a belong to no prime ideal associated with M. If a belongs to a prime ideal p E Ass(M), then p = Ann(x), where x E M, x # 0; whence ax = 0 and the homothety with ratio a is not injective. Conversely, if ax = 0 for some x E M such that x # 0, then Ax # {0}, whence Ass(x) # 0 (Corollary 1). Let p E Ass(Ax); then obviously p E Ass(M) and p = Ann(bx), where b E A; whence a E p, since abx = 0. COROLLARY 3. The set o divisors of zero in a Noetherian ring A is the union of the f ideals p E Ass (A).

I t may be reduced to the case where I is finite by means of ( l ) , then to the case where Card(1) = 2 by induction on Card(1). Then let I = {i,j},where i # j ; as M/Mt is isomorphic to M,, Ass(M) c Ass(M,) u Ass(M,) (Proposition 3) ; moreover, Ass(M,) and Ass(Mj) are contained in Ass(M) (Proposition 3), whence the result.

ajinitefamily ofsubmodules of M. COROLLARY 2. Let M be an A-module and (QJteI

V,Q Qt = (01, then

hs(M) c
1EI

U &(M/Qt).

The canonical mapping M --f (M/Q,) is injective; then it suffices to apply Proposition 3 and its Corollary 1. PROPOSITION 4. Let M be an A-module and @ a subset of Ass(M). Then there exists a submodule N of M such that Ass(N) = Ass(M) @ and Ass(M/N) = @.

Let (E be the set of submodules P of M such that Ass(P) c Ass(M) @. Formula (1) shows that the set &, ordered by inclusion, is inductive; moreover, (0) E B and hence & # O . Let N be a maximal element of &. Then Ass(N) c Ass(M) 0. shall see that Ass(M/N) c @, which, by PropoWe sition 3, will complete the proof. Let p E Ass(M/N);then M/N contains a submodule F/N isomorphic to A/p. By Propositions 1 and 3, Ass(F) c Ass(N) u{p}. Since N is maximal in &, F $ & and hence p E @.

2. LOCALIZATION OF ASSOCIATED PRIME IDEALS

~ O P O S ~ ~5. Let A be a ring, S a multiplicative subset o f A, @ the set ofprime O N ideals of A which do not meet S and M an A-module. Then : (i) The mapping p H S-lp is a bijection of AssA(M)n @ onto a subset of Ass, - iA( - 1M). S (ii) If p E @ is a jnitely generated ideal and S - l p E AssS-~A(S-~M), then P E AssA(M).

PROPOSITION 3 Let A be a ring, M an A-module and N a submodule o f N. Then .

(2)

Ass(N) c Ass(M) c Ass(N) u Ass(M/N).

The inclusion Ass(N) c Ass(M) is obvious. Let p E Ass(M), E be a submodule of M isomorphic to A/p and F = E n N. If F = {0}, E is isomorphic to a

Recall (Chapter 11, 3 2, no. 5, Proposition 11) that the mapping p H S-Ip is a bijection of @ onto the set of prime ideals of S-lA. If p E AssA(M) n @, p is the annihilator of a monogenous submodule N of M; then S-lp is the annihilator of the monogenous submodule S-lN of S-lM (Chapter 11, 9 2, no. 4, formula

262

263

IV

ASSOCIATED PRIME IDEALS AND PRIMARY DECOMPOSITION

CASE OF FINITELY GENERATED MODULES OVER A NOETHERIAN RING

9 1.4

(9)) and hence S-lp E Asss-lA(S-lM). Conversely, suppose that p E @ is finitely generated and such that S-lp is associated with S-lM; then there exists , x E M and t E S such that S- p is the annihilator of x / t . Let (ai) <, be a system of generators of p; then ( a i / l )( x / t ) = 0 and hence there exists si E S such that sp,x = O ( 1 < i < n). Let us write s = sls2. . ., for all a E p, sax = 0 s; , whence p c Ann(sx); on the other hand, if b E A satisfies bsx = 0, then b/l E S-lp by definition, whence b E p. Then p = Ann(sx) and p E Ass,(M).

3. RELATIONS WITH THE SUPPORT

Let M be a module over a ring A. Recall that the set of prime ideals p of A such that M, # 0 is called the support of M and is denoted by Supp(M) (Chapter 11, 3 4, no. 4, Definition 5). PRoposrnoN 7. Let A be a ring and M an A-module. (i) Everyprime ideal p ofA containing an element o Ass(M) belongs to Supp(M). f (ii) Conversely, f A is Noetherian, every ideal p E Supp(M) contains an element i o Ass(M). f If p contains an element q of Ass(M), then q n (A p) = o and hence, if we write S = A p, S-p is a prime ideal associated with S-lM = M, (no. 2, Proposition 5) and a fortiori M, # 0, hence p E Supp(M). Conversely, if A is Noetherian, so is A, (Chapter 11, 5 2, no. 4, Corollary 2 to Proposition 10). If Mp # 0, then AssA,(Mp) # 0 (no. 1, Corollary 1 to Proposition 2) and hence there exists q E AssA(M) such that q n (A p) = ~zr (no. 2, Corollary to Proposition 5).

COROLLARY. I the ring A is Noetherian, the mapping p I-+ S-lp is a bijection f o AssA(M) n CD onto A~s,-~A(S-~M). f
If A is not Noetherian, the mapping p ~ S - l p Ass,(M) A @ to of h s s - i a (S-1M) is not necessarily surjective (Exercise 1).

PROPOSITION 6. Let A be a Noetherian ring, M an A-module, S a multiplicative subset o A and Y the set o elements of AssA(M)which do not meet S. Then the kernel N of f f the canonical mapping M --f S-M is the unique submodule of M which satisJies the relations

COROLLARY 1 .

If M is a module over a Noetherian ring, then Ass(M) c Supp(M)

and these two sets have the same minimal elements.

(3)

Ass(N)

Ass(M)

- Y,

As(M/N) = Y.

COROLLARY 2. The nilradical of a Noetherian ring A is the intersection o the ideals f p E Ass(A). We know that the nilradical of A is the intersection of the minimal elements of Spec(A) = Supp(A) (Chapter 11, 5 2, no. 6, Proposition 13).
4. THE CASE OF FINITELY GENERATED MODULES OVER A NOETHERIAN RING

By Proposition 4 of no. 1, there exists a submodule N of M which satisfies the relations Ass() = Ass(M) - Y and Ass(M/N) = Y. need to prove We
N = N. Consider the commutative diagram
P

M --+ M/N

THEOREM 1. Let A be a Noetherian ring and M ajnitely generated A-module. There

exists a composition series (Mi)osiGn f M such that, for 0 o k komorphic to Alp,, where pi is a prime ideal of A.

<i

6 n - 1, Mi/Mi,,

where p, U, v are the canonical homomorphisms. We shall show that S-lp and v are injective, which will prove that u and p have the same kernel and hence N = N. As Ass() n Y = a, every element of Ass() meets S. Then hs-lA(S-lN) = (Corollary toProposition 5), whence S-lN = (0) (no. 1, Corollary 1 to Proposition 2), which proves that S-lp is injective (Chapter 11, $ 2 , no. 4, Theorem 1). O n the other hand, if x belongs to the kernel K of V, then Ann(#) n S # a (Chapter 11, 5 2, no. 2, Proposition 4); hence Ass(K) = 0 since Ass(K) c Ass(M/N) = Y; we deduce that K = (0) (no. 1, Corollary 1 to Proposition 2) and v is injective. 264

Let B be the set of submodules of M which have a composition series with the property of the statement. As Q is non-empty (for ( 0 ) belongs to Q) and M is Noetherian, Q has a maximal element N. If M # N, then M/N # 0 and hence Ass(M/N) # o (no. 1, Corollary 1 to Proposition 2) ;M/N therefore contains a submodule N/N isomorphic to an A-module of the form Alp, where p is prime; then by definition N E Q, which contradicts the maximal character of N. Then necessarily N = M.

THEOREM 2. Let M be a finitely generated module over a N o e t h a n ring A and a composition series of M such that, f o r 0 < i < n - 1, Mi/M,+, is
somorphic (4)
to

Alp, where pi i aprime ideal o A. Then s f Ass(M1 C {PO,. *

*,

pn-i>

Supp(M);
265

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ASSOCIATED PRIME IDEALS AND PRIMARY DECOMPOSITION

PRIMARY SUBMODULES

9 2.1

the minimal elements of these three sets are the same and coincide with the minimal elements ofthe set of @*me ideals containing Ann(M).
The inclusion A s s ( M ) c {po, . . .,P , , - ~ } follows immediately from Propositions 1 and 3 ofno. 1. For 0 < i < n - 1,
Pi E Supp(A/p,) = Supp(M,/M,.,)

DEFINITION 2. Given an A-module M, an endomorphism u of M is called almost nilpotent ;f,for all x E M , there exists an integer n(x) > 0 such that U " ( ~ ) ( X ) = 0.

I f M is finitely generated, every almost nilpotent endomorphism is nilpotent. COROLLARY. Let A be a Noetherian ring. M an A-module and a an element of A. For the homomorphism a M :x Hax o f M to be almost nilpotent, it is necessary and
s u f i e n t that a belong to every ideal of Ass(M).
The condition of the statement is equivalent to saying that for all X E M there exists n(x) > 0 such that (Aa)"(")(Ax)= 0; by Proposition 9 this means also that a belongs to all the prime ideals associated with the submodule Ax of M ; the corollary then follows from the fact that Ass(M) is the union of the Ass(Ax) where x runs through M (no. 1, formula (1)). PROPOSITION 10. Let A be a Noetherian ring, E a jinitely generated A-module and F an A-module. Then Ass(Hom,(E, F)) = Ass(F) n Supp(E). (5) By hypothesis, E is isomorphic to an A-module of the form A"/R, hence Hom,(E, F) is isomorphic to a submodule of HOmA(An, and the latter is F) isomorphic to F"; now, Ass(F") = Ass(F) (no. 1, Corollary 1 to Proposition 3) ; thus Ass(Horn,(E, F)) c Ass(F). On the other hand, Supp(HomA(E,F)) Supp(E) : for every prime ideal p of A, Hom,,(E,, F,) is isomorphic to (HornA& F ) ) , (Chapter 11, 3 2, no. 7, Proposition 19), whence our assertion immediately; then we conclude from Theorem 2 that Ass(Hom,(E, F))
C

(Chapter 11,s 4, no. 4, Example), whence pi E Supp(M,) c Supp(M) (Chapter I I , 4, no. 4, Proposition 16), which shows the inclusion

{Po, * .

., Pn-1) = Supp(M).

Corollary 1 to Proposition 7 of no. 3 shows that Ass(M) and Supp(M) have the same minimal elements and (4) shows that these are just the minimal elements of {po, . . ., P,,-~}. The last assertion then follows from Chapter 11, fj4, no. 4, Proposition 17. COROLLARY.

If M

is a jinitely generated module over a Noetherian ring A, Ass( M )

is jinit..
Under the conditions of Theorem 2, the set {PO, .. ., pn - is not necessarily determined uniquely by M; in particular it may be distinct from Ass(M) (Exercise 6).

PROPOSITION 8. Let A be a Noetherian ring, a an ideal of A and M ajinitely generated A-module. Thefollowing conditions are equivalent : (a) there exists an element x # 0 of M such that ax = 0. (b)for all a E a, there exists an element x # 0 o M such that ax = 0 ; f (c) there exists p E Ass(M) such that a c p . Clearly (a) implies (b). By virtue of no. 1, Corollary 2 to Proposition 2, condition (b) means that the ideal a is contained in the union of the prime ideals associated with M and hence in one of them since Ass(M) is finite (Chapter 11, 9 1, no. 1, Proposition 2); thus (b) implies (c). Finally, if there exists p E A s s ( M ) such that a c p, p is the annihilator of an element x # 0 of M (no. 1, Definition 1) and ax = 0; thus (c) implies (a). PROPOSITION 9. Let A be a Noetherian ring, a an ideal ofA and M a jinitely generated A-module. For there to exist an integer n > 0 such that anM = 0, it is necessary and sufiient that a be contained in the intersection of the prime ideals associated with M . This intersection is also that of the minimal elements of Supp(M) (no. 3, Corollary 1 to Proposition 7) and to say that a is contained in this intersection is equivalent to saying that V(a) 3 Supp(M) in the notation of Chapter 11, $4; the conclusion then follows from Chapter 11, $4, no. 4, Corollary 2 to Proposition 17.

Supp(E).

Conversely, let p be a prime ideal of A belonging to Ass(F) n Supp(E). By definition, F contains a submodule isomorphic to A/p. On the other hand, since E is finitely generated and E, # 0, we know that there exists a homomorphism w # 0 from E to A/p (Chapter 11, 4, no. 4 Proposition 20). As there , exists an injective homomorphism j from Alp to F, j o w E Hom(E, F ) and j 0 w # 0. On the other hand, the relation aw = 0 for some a E A is equivalent to a E p, the annihilator of every element # O of A/p being p; then certainly P E fbS(HOm,(E, F)).

2. PRIMARY DECOMPOSITION
1 PRIMARY .

S BMODULES

~ O P O S I T I O N 1.

Let A be a Noetherian ring and M an A-module. Thefollowing conditions are equivalent: (a) Ass(M) is reduced to a single element.
267

266

ASSOCIATED PRIME IDEALS AND PRIMARY DECOMPOSITION

PRIMARY SUBMODULES

3 2.1

(b) M # 0 and every hornothety ofM is either injective or almost nilpotent ($ 1, no. 4). o f a E A such that the hornothety aM is almost nibotent, then Ass(M) = {p}.

If these conditions are fulfilled and p is the set

PROPOSITION 2. Let M be a module over a Noetherian ring A, p a prime ideal of A and (QJieI non-emptyjnite family of submodules of M which are p-primary with a Q, is p-primary with respect to M. respect to M. Then

, Q

This follows immediately from $ 1, no. 4, Corollary to Proposition 9 and no. 1, Corollary 2 to Proposition 2. DEFINITION 1. Let A be a Noetherian ring, N an A-module and Q a submodule o f N. I the module M = N/Qsatigfes the conditions o f Proposition 1, Q i s called p-primary f with respect to N (or in N). When there is no ambiguity, we shall simply say that Q i s p-primary or primary; clearly for every submodule N # Q of N containing Q, Q is p-primary in N. Definition 1 applies in particular to the case N = A; the submodules of N are then the ideals of A and hence an ideal q of A is called primary if Ass(A/q) has a single element or, what amounts to the same, if A # q and every divisor of zero in the ring A/q is nilpotent. If q is p-primary, it follows from Definition 1 that p is the radical (Chapter 11,s 2, no. 6) of the ideal q.
Remark. Let q be a p-primary submodule of an A-module N. If N / Q isjniteb generated, there exists an integer k > 0 such that pkN c Q by $ 1, no. 4, Proposition 9. Examples (1) If p is a prime ideal of A, p is p-primary ($ 1, no. 1, Proposition 1). (2) Let q be an ideal of A such that there exists a single prime ideal m (necessarily maximal) containing q; then, if M is an A-module such that qM # M, qM is m-primary with respect to M. For every element of Ass(M/qM) contains q, hence is equal to m and Ass(M/qM) # 0 ($ 1, no. 1, Corollary 1 to Proposition 2). In particular q is an m-primary ideal in A. (3) Let m be a maximal ideal of A; the m-primary ideals are then the ideals q of A for which there exists an integer n 2 1 such that mn c q c m. For if mn c q c m, m is the only prime ideal containing q (Chapter 11, $ 1, no. 1, Corollary to Proposition 1) and the conclusion follows from Example 2; conversely, if q is m-primary, m is the radical of q and there therefore exists n 2 1 such that mn c q (Chapter 11, $ 2, no. 6, Proposition 15). (4) I n a principal ideal domain A, the primary ideals are (0) and the ideals of the form Ap, where p is an extremal element and n 1 ; this follows immediately from Example 3. (5) The powers of any prime ideal are not necessarily primary ideals (Exercise 1). O n the other hand, there exist primary ideals which are not powers of prime ideals (Exercise 1).
268

M / ( C Qi) is isomorphic to a submodule # O of the direct sum Now

2 (M/Qi).

($ 1, no. 1, Corollary 1 to Proposition 3). Hence Ass(M/(~Q Q,)) = {p}

(3 1, no. 1, Proposition 3 and Corollary 1 to Proposition 2).

PROPOSITION 3. Let A be a Noetherian ring, S a multiplicative subset o f A, p a prime ideal o f A, M an A-module, N a submodule o M and i = i the canonical mapping of f z M to S-lM. (i) Suppose that p n S # 0. f N is p-primary with respect to M, then S-lN = I S - lM. (ii) Suppose that p n S = a . For N to be p-primary with respect to M, it is
-1

necessary and suficient that N be of the form i (N), where N is a sub-S-lA-module ofS-M which is (S-lp)-primary with respect to S - I M ; then N = S-lN. and N is p-primary with respect to M, then (i) If p n S #

1, Corollary 1 to Proposition 2), whence S-lM/S-lN = 0. (ii) Suppose that p n S = a . If N is p-primary with respect to M, then AssS-iA(S-l(M/N)) = {S-lp} ($ 1, no. 2, Corollary to Proposition 5) and hence the submodule N = S-lN of S-lM is (S-lp)-primary; moreover, if s E S and m E M are such that sm E N, then m E N , for the homothety with
-1

(9 1, no. 2, Corollary to Proposition 5) and hence S-l(M/N) = 0 (3 1, no.

ratio s in M/N is injective, whence N = i (N) (Chapter 11, fj2, no. 4, Proposition lo). Conversely, let N be a submodule of S-lM which is (S-lp)-1

primary with respect to S-lM; let us write N = i (N); then N = S-lN (Chapter 11, $ 2, no. 4, Proposition 10) and Ass,-~A(S-~(M/N)) = ha-iA((S-lM)/N) = {S-lp}. As the canonical mapping M/N + S(M/N) is injective, no prime ideal of A associated with M/N meets S (3 1, no. 2, Proposition6 ) ;it follows that Ass(M/N) = {p} ($ 1, no. 2, Corollary to Proposition 5), SO that N is p-primary with respect to M.
269

ASSOCIATED PRIME IDEALS AND PRIMARY DECOMPOSITION

UNIQUENESS PROPERTIES IN THE PRIMARY DECOMPOSITION

3 2.3

2. THE EXISTENCE OF A PRIMARY DECOMPOSITION

D E F I N I ~ O N2.

Let A be a Noethetian ring, M an A-module and N a submodule of M. A J;.& family (QJtorof submodules o M which are primay with respect to M and f such that N = Qi called aprimary decomposition ofN in M. is

cI

(a) thre exists no inhx i E I such that Q, c Q i ; (b) ifAss(M/Q,) = {pi}, the pi ( i E I) are distinct. From every primary decomposition N = Qlof N in M a reduced primary decomposition of M in N can be deduced as follows: let J be a minimal element of Qi. satisfies condition the set of subsets I' of I such that N = fQ, Clearly (QJioJ (a). Then let @ be the set of pi for i EJ ; for all p E @, let H(p) be the set of i EJ such that pi = p and let Q ( p ) = Qi; it follows from Proposition 2 of no. 1 that Q ( p ) is p-primary with respect to M; further N = pQ Q(p) and the family Q((p)),,o is therefore a reduced primary decomposition of N in M.

0,

Example. Let us take A = Z, M = Z,N = n for some integer n > 0. Z If n = py . . .p;z" is the decomposition of n into prime factors, nZ = (p;lZ) n. . .n ( p F Z ) is a primary decomposition of nZ in Z by Example 4 of no. 1. By an abuse of language, the relation N
=

fi Qiis called a primary decompo-

sition of N in M. I t amounts to the same to say that {0} = (Qi/N) is a primary decomposition of (0)in M/N. If (Ql)iEI is a primary decomposition of N in Mythe canonical mapping from M/N to (M/Q,) is injective. Conversely let N be a submodule of M and f an injective homomorphismfrom M/N to a finite direct sum P = Pi, where each set Ass(P,) is reduced to a single element pi; let fi be the homomorphism M/N --f PI obtained by taking the composition off with the projection P -+P, and let Q,/N be the kernel off,; then the Qidistinct from M are primary with respect to M (no. 1, Definition 1) and N = Q,. Moreover, Ass(M/N) c {pi} by virtue of 3 1, no. 1, Proposition 3.

cl

lg

We shall see that the primary decomposition defined in the proof of Theorem 1 of no. 2 is reduced; this follows from the following proposition:

PROPOSITION 4. Let M be a module over a Noetherian ring, N a submodule of My N= Qiaprimaydecomposition ofN in M and,f0r all i E I, let {p,} = Ass(M/Ql).
For this decomposition to be reduced, it is necessary and su8cient that the pl be distinct and belong to Ass(M/N); then

fi

(2) (3)

Ass(M/N) = {{Pi} Ass(Q,/N)

=

# {p,}

for all i E I.

THEOREM 1. Let M be a Jinitely generated module over a Noetherian ring and let N be a submodule of M. There exists a primay decomposition of N of the form

If the condition of the statement is fulfilled, N =

where, for all p E Ass(M/N), Q(p) is p-primay with respect to M. We may replace M by M/N and therefore suppose that N = 0. By 5 1, no. 4, Corollary to Theorem 2, Ass(M) is finite; by 5 1, no. 1, Proposition 4, there exists, foreach p ~Ass(M),asubmoduleQ(p) ofMsuchthatAss(M/Q(p)) ={PI and ASS(Q(p)) = Ass(M) {p}. Let US write P = pEfi(M)Q(~); all for p E &(M), &(P) c Ass(Q(p)) and hence Ass(P) = a, which implies P = 0 (3 1, no. 1, Corollary 1 to Proposition 2) and therefore proves the theorem.

would deduce that Ass(M/N) c {pr} (3 1, no. 1, Corollary 2 to Proposition 3) contrary to the hypothesis; the primary decomposition of N is then certainly reduced. Conversely, Ass(M/N) c {pi} always holds (3 1, no. 1, Corollary 2 to Proposition 3) ; on the other hand, for all i E I, let us write = j f i Qj; then Pi n Ql = Nand P, # N if (QJioI reduced, hence Pi/N is is non-zero and is isomorphic to the submodule (Pi + Qi)/Qt M/Qi, of whence {pi) = Ass(Pi/N) (5 1, no. 1, Proposition 3 and Corollary 1 to Proposition 2); as Pi/N c M/N, p f E Ass(M/N), which completes the proof of the necessity of the condition in the statement and formula (2). Finally, as

p,

ci

Qr cannot hold, for we

iG

3 WQUENESS PROPERTIES IN THE PRIMARY DECOMPOSITION .

DEFINITION Let M be a module over a Noetherian ring and N a submodule of M. 3. A @m ydecomposition N = ' a Qt of N in M is called reduced if th follozuing conditions arefu&!ed:

fi

= (Q,nQJYA4Qt/N &(Q,/(Q,nQJ) (5 1, no. 1,Corollary 2 to Proposition 3); but Qt/(Qj n Qi) is isomorphic to the submodule (Qi + QJlQ, ofM/Q,, hence Ass(Qt/(Qj n Q i ) ) c {p,} and

fij

gf

Ass(QiIN) c

gf{PJ;
271

2 70

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ASSOCIATED PRIME IDEALS AND PRIMARY DECOMPOSITION

THE LOCALIZATION OF A PRIMARY DECOMPOSITION

5 2.4

taking account of (2) and Proposition 3 of easily.

5 1,

no. 1, formula (3) follows

of the indices i such that S n pt S in M. Then:

(21.

Let N' be the saturation

of N with respect to

COROLLARY. A be a Noetherian ring, M an A-module, N a submodule ofM and Let (QJiEI a primary decomposition o N in M. Then Card(1) 2 Card(Ass(M/N)); f for (QJIEI be a reduced primary decomposition, it is necessary and suj'icient that to Card(1) = Card(Ass(M/N)). I t follows from the remarks preceding Proposition 4 that there exists a reduced primary decomposition (Rj)jej of N in M such that Card(J) < Card(1); the first assertion then follows from the second and the latter is a consequence of Proposition 4. PROPOSITION 5 . Let A be a Noetherian ring, M an A-module, N a submodule of M, N = (?, QL reduced primary decomposition of N in M and, f o r all i E I, let a {pi} = Ass(M/QJ. r f pi is a minimal element of Ass(M/N), Qi is equal to the saturation on N with respect to pi (Chapter 11, fj 2, no. 4) (cf. Exercise 2). We can obviously restrict our attention to the case where N = 0, replacing if need be M by M/N. If pt is minimal in Ass(M), the set of elements of Ass(M) which do not meet A pi reduces to pi; the proposition then follows from formula (3) above and 5 1, no. 2, Proposition 6, the kernel of the canonical mapping M e M,, being equal to the saturation of 0 with respect to pi (Chapter 11, 3 2, no. 4).

(i) r f (Ql)iEI is an element o D,(M/N), the family (QJtEJ an element of f is D,(M/N') and thefamily (S-lQJie is an element ofDj(S-lM/S-lN). -+ (S-lQ,)te is a bijection of Dj(M/N') onto (ii) The mapping (QJIE Dj(S- 'M/S- 'N). (iii) If ( Q 1 ) t E j is an element OfDj(M/N') and (R,),,, an element ofDI(M/N), such that T, = Qtf o r i E J and T, = R,f o r i E I J is an the family element of DI(M/N).

(i) We know (no. 1, Proposition 3) that for i E J, S-lQ, is primary for S-'p, and that for i E I J, S-lQ, = S-lM; as S-lN = 1 E I S-lQ, (Chapter 11,

8 2, no. 4), then also S-lN

Remark. The prime ideals pt E Ass(M/N) which are not minimal elements of this set are sometimes called the immersed prime ideals associated with M/N; if M/N is finitely generated, for po E Ass(M/N) to be immersed, it is necessary and sufficient that V(po) be not an irreducible component of Supp(M/N) (Chapter 11, 5 4, no. 3, Corollary 2 to Proposition 14); if ( Q ( p ) ) , G A s s ( M , N ) and (q(p))peAss(MIN) two reduced primary decompositions of N in M, it may are be that Q ( p 0 ) # Q ( p o ) (Exercise 24 (c)); a canonical reduced primary decomposition of N in M may always be defined by imposing supplementary condition~ the primary submodules which appear in it (Exercise 4). on
4. " E LOCALIZATION OF A PRIMARY DECOMPOSITION H

= {QJ S-lQi. The S-lp, for i E J are distinct and their set is Ass(S-'M/S-'N) (3 1, no. 2, Corollary to Proposition 5) ;then (Proposition 4) (S- lQJiEis a reduced primary decomposition of s-". Moreover, QL (i$)-l(S-lQ,) (no. 1 Proposition 3), hence N' = (i$)-l(S-'N) = = QL and is obviously a reduced primary decomposition of N' in M. LEJ (ii) As S-lN' = S-", we may replace N by N', that is suppose that J = I. Let (P,),,, be a reduced primary decomposition of S-lN in S-lM and let US write Q, = ( -l(P,) ; it follows from no. 1, Propcsition 3 that Q, is primary i : ) , for pi (i E I) and (Qi),I is then a reduced primary decomposition of N in M by virtue of no. 3, Corollary to Proposition 4. Finally, as, for all i E I and every submodule Q of which M is p,-primary with respect to M, Q, = (i;) -l(S-'Q'J ' , ' by virtue of no. 1, Proposition 3 and the hypothesis J = I, we see that two mappings DI(M/N) -+ D,(S-lM/S-lN) and D,(S-lM/S-'N) -+D,(M/N) have been defined whose compositions are the identities on D,(M/N) and DI(S-~M/S-'N), which proves (ii). (iii) By virtue of (i), N' = R,, whence

(a1){ ,

I?,

and it follows immediately from no. 3, Corollary to Proposition 4 that this primary decomposition is reduced. COROLLARY. mappings The

Given a submodule N of a module M over a Noetherian ring A, to simplify we shall denote by DI(M/N), in this no., the set of reduced primary decompositions of N in M whose indexing set is I (equipotent to Ass(M/N)). PROPOSITION 6. Let A be a Noetherian ring, M an A-module, N a submodule ofM and I = Ass(M/N). Let S be a mult$luative subset ofA and J the subset o1 c o d t i n g f

D,(M/N)

--f

D,(M/N)

and D,(M/N)

--f

D,(S-lM/S-lN)

&$zed in Proposition 6 (i) are surjective.

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ASSOCIATED PRIME IDEALS AND PRIMARY DECOMPOSITION

RINGS AND MODULES OF FINITE LENGTH

3 2.5

Proposition 6 (iii) shows that the mapping D,(M/N) -+ D,(M/N') is surjective and Proposition 6 (ii) then shows that the mapping D,(M/N) is surjective.
5. W G S AND MODULES OF FINITE LENGTH
--f

it is necessary and sufficient by definition that p ~ S u p p ( M )(Chapter 11, 5 4,no. 4),that is that p contain an element of Ass(M) (8 1, no. 3, Proposition 7). This proves the corollary.

DJ(S-lM/S-lN)

If an A-module M is of finite length, we shall denote this length by lOngA(M) or long(M). Recall that every Artinian ring is Noetherian (Algebra, Chapter VIII, 3 6, no. 5, Corollary 3 to Proposition 12) and that every finitely generated module over an Artinian ring is of finite length (loc. cit., Corollary 1 to Proposition 12). Moreover, every Artinian integral domain is a field (Algebra, Chapter VIII, 5 6, no. 4 Proposition 9). , PROPOSITION 7. Let M be ajinitely generated module over a Noetherian ring A. The following properties are equivalent: (a) M is o jinite length. f (b) Every ideal p E Ass(M) is a maximal ideal of A. (c) Every ideal p E Supp(M) is a maximal ideal of A. Let (Mi)ocictbe a composition series of M such that, for 0 < i < n - 1, M,/M,+, is isomorphic to A/p,, where pi is prime (3 1, no. 4, Theorem 1). If M is of finite length, so is each of the A-modules A/p,, which implies that each of the rings A/p, is Artinian; but as A/pt is an integral domain, it is therefore a field, in other words pt is maximal; we conclude that (a) implies (b) (3 1, no. 4 Theorem 2). Condition (b) implies (c) by 3 1, no. 3, Proposi, tion 7. Finally, if all the ideals of Supp(M) are maximal, so are the pt (3 1, no. 4, Theorem 2), hence the A/p, are simple A-modules and M is of finite length, which completes the proof. COROLLARY 1. For every module Ass(M) = Supp(M).

Remark (1). Let M be a finitely generated module over a Noetherian ring A; let (M I),,,,, be a composition series of M such that, for 0 < i < n - 1, M,/M,+l is isomorphic to A/p,, where p, is a prime ideal of A (4 1, no. 4, Theorem 1). If p is a minimal element of Ass(M), the length longA,(M,) is equal to the number o indices i such that pi = p. For the f form a composition series of M, and (Mf)p/(Mi+l)p isomorphic to ( A / P ~ ) ~ hence is and to (0)if p, # p (since p is minimal in the set of pl by $ 1, no. 4, Theorem 2) and to (A/p), which is a field, if p, = p.

PROPOSITION 8. Let M be a module of jinite length over a Noetherian ring A. (i) There only exists a single primary decomposition of{O} with respect to M indexed by Ass(M) (necessarily reduced) ; let {0} = , Q(p) be this decomposition, where Q ( p ) is p-primary with respect to M. (ii) There exists an integer no such that, f o r all n 2 no and all p E Ass(M), Q(P) = p"M* (iii) For all p E Ass(M), the canonical mapping o M to M, is surjective and its f kernel is Q(p). (iv) The canonical injection of M into (M/Q(p)) is bijective.

CCM)

%(,

As every element p E Ass(M) is minimal in Ass(M) (Proposition 7), assertion

(i) follows from no. 3, Proposition 5. As M is finitely generated, there exists no such that p"M c Q ( p ) for all p eAss(M) and all n 2 no (no. 1, Remark); but as p is a maximal ideal, p"M is p-primary with respect to M (no. 1, Examples 2 and 3 ) and, as pnM = {0}, it follows from (i) that necessarily pnM = Q ( p ) for all p E Ass(M); whence (ii). As the p", for p E Ass(M), are relatively prime in pairs (Chapter 11, t 1, no. 2, Proposition 3), the canonij cal mapping M (M/p"M) is surjective (Chapter 11, fj 1, no. 2, Proposition 6 ) , whence (iv). Then Ass(Q(p)) = Ass(M) {p) and &(M/Q(p)) = {p} (no. 3, Proposition 4); as the elements of Ass(M) are maximal ideals, p is the only element of Ass(M) which does not meet A p; Q(p) is therefore the kernel of the canonical mapping j : M --f M, (9 1, no. 2, Proposition 6). If s E A p, the homothety of M/Q(p) with ratio s is injective by virtue of the relation Ass(M/Q(p)) = {p} (no. 1, Proposition 1); since M/Q(p) is Artinian, this homothety is bijective (Algebra, Chapter VIII, 0 1, no. 2, Lemma 3). The canonical mapping M -+M/Q(p) is then written f o j , where3 M, -+M/Q(p) is an A-homomorphism (Chapter 11, fj 2, no. 2, Proposition 3) ; as Ker(j) = Ker(f o j ) = Q ( p ) , f is injective; we conclude that j is surjective and f bijective.

of jinite

length M over a Noctherian Zing A,

Every element of Supp(M) is then minimal in Supp(M) and the conclusion follows from 5 1, no. 3, Corollary 1 to Proposition 7. COROLLARYLet M be ajinitely generated module over a Noetherian ring A and p 2. a prime ideal of A. For M, to be a non-zero A,-module ofjinite length, it is necessary and m$%ent that p be a minimal element o Ass(M). f By 5 1, no. 2, Corollary to Proposition 5, AssA,(M,) is the set of ideals q,, where q runs through the set of ideals of Ass(M) which are contained in P. On the other hand, p p is the unique maximal ideal of Ap;by Proposition 7, for Mp to be an A,-module of finite length, it is necessary and sufficient that no element of Ass(M) be strictly contained in p. On the other hand, for Mp # 0, 2 74

275

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ASSOCIATED PRIME IDEALS AND PRIMARY DECOMPOSITION

RINGS AND MODULES OF FINITE LENGTH

9 2.5

COROLLARY. I f M is a module of Jinite length over a Noetherian ring A, then

(4)
= PEASs(M)

I t follows from Proposition 9 and Proposition 8 (iii) and (iv) that, if (mt)l<ts, is the family of maximal ideals of A, the canonical mapping A --f A,,,, is bijective.

long*,(M,).

This will follow from Proposition 8 (iv) if we prove that longA(M/Q(P)) = longAp(Mp)Now, it follows from Proposition 1 of no. 1 that for all s E A p the homothety with ratio s on M/Q(p) is injective; the homothety with ratio s on every submodule R of M/Q(p) is therefore injective and, as R is Artinian, it is bijective (Algebra, Chapter VIII, 9 2, no. 2, Lemma 3) ; we conclude that the sub-Amodules of M/Q(p) are the images under the bijection f: M, -+ M/Q(p) of the sub-A,-modules of M, (Chapter 11, 3 2, no. 3), whence our assertion. PROPOSITION 9. Let A be a Noetherian ring. Thefollowing conditions are equivalent : (a) A is Artinian. (b) All the prime ideals o A are maximal ideals. f (c) All the elements ofAss(A) are maximal ideals. I f these conditions are fulfilled, A has only a jinite number of prime ideals, which are all maximal and associated with the A-module A; further, A is a semi-local ring and its Jacobson radical is niQotent.

Remark (3). This corollary can also be deduced from the fact that Spec(A) is finite and discrete and Chapter 11, 3 4 no. 3, Proposition 15. ,

COROLLARY 2. Let A be a Noetherian ring and m an ideal ofA. Thefollowing conditions are equivalent : (a) A is a semi-local ring and m is a defining ideal ofA. (b) A is a ZariSki ring with the m-adic topology and A/m is Artinian. If (a) holds, A is a Zariski ring with the m-adic topology (Chapter 111,

Q 3, no. 3, Example 3); further, as by hypothesis m contains a power of the

Jacobson radical t of A, every prime ideal of A which contains m also contains t (Chapter 11, 3 1, no. 1, Proposition 1); it is therefore maximal, since r is a finite intersection of maximal ideals (loc. cit.) ; Proposition 9 then shows that A/m is Artinian. Conversely, if (b) holds, every maximal ideal p of A contains the Jacobson radical of A and hence contains m (Chapter 111, Q 3, no. 3, Proposition 6) ; as A/m is Artinian, the ideals p/m are finite in number (Proposition 9) and hence A has only a finite number of maximal ideals, which implies that it is semi-local. COROLLARY 3. Let A, A' be two rings and h a homomorphismfrom A to A'. Suppose that A is semi-local and Noetherian and that A' is a jinitely generated A-module. Then the ring A' i semi-local and Noetherian; f m i a deJiing ideal of A, mA' i a defining s i s s &a1 o A . f We know that A' is a Zariski ring with the mA'-adic topology (Chapter 111, 0 3, no. 3, Proposition 7). As A/m is Artinian (Corollary 2) and A'lmA' is a finitely generated (A/m)-module, A'/mA' is an Artinian ring, hence A' is semilocal and mA' is a defining ideal of A' (Corollary 2).
I

To say that A is Artinian is equivalent to saying that A is an A-module of finite length; hence (a) and (c) are equivalent by Proposition 7. Clearly (b) implies (c). Finally, (a) implies (b) since every Artinian integral domain is a field. The properties (a), (b) and (c) are therefore equivalent. Suppose they hold. As every prime ideal of A belongs to Supp(A) and every element of Supp(A) contains an element ofAss(A) (9 1, no. 3, Proposition 7), it follows from (c) that Ass(A) is the set of all prime ideals of A; then A has only a finite number of prime ideals, all of them maximal and associated with the A-module A. This obviously implies that A is semi-local; finally, we know that the Jacobson radical of an Artinian ring is nilpotent (Algebra, Chapter VIII, 9 6, no. 4, Theorem 3).
Remark (2) The conditions of Proposition 9 for a Noethrian ring A imply that the spectrum of A is finite and discrete, every point of Spec(A) being therefore closed (Chapter 11, 5 4, no. 3, Corollary 6 to Proposition 11). Conversely, for a Noetherian ring A, to say that every point o Spec(A) is closed means that every f prime ideal of A is maximal (loc. cit.) and hence this condition is equivalent to that of Proposition 9.
COROLLARY 1. Every Artinian ring A is isomorphic to the direct composition o ajnite f family o f Artinian local rings.
I

COROLLARY 4. Let A be a complete semi-local Noetherian ring, m a dejning ideal of A, E a jinitely generated A-module and (F,) a decreasing sequence o f submodules o f E such that (? F, = 0. Then,for all p > 0, there exists n > 0 such that F,, c mPE.

As A is a Zariski ring, E is HausdorfT and the F, are closed under the m-adic
topology. On the other hand, E is complete (Chapter 111,s 2, no. 12, Corollary 1 to Proposition 16). Finally, E/mPE is a finitely generated module over the k g A/mp, which is Artinian (Corollary 2); then E/mpE is an Artinian (A/mp)-moduleand hence an Artinian A-module. The corollary then follows from Chapter 111,s2, no. 7, Proposition 8.

276

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ASSOCIATED PRIME IDEALS AND PRIMARY DECOMPOSITION

PRIMARY DECOMPOSITION AND EXTENSION OF SCALARS

3 2.6

COROLLARY In a complete semi-local Noetherian ring every decreasing sequence o 5. f &ah whose intersection is 0 i ajlter base which converges to 0. s I t is sufficientto apply Corollary 4 to the A-module A. PROPOSITION Let A be a Noetherian ring and ply . . .,pn the prime ideals asso10. ciated with the A-module A, where p1 # p, f o r i # j . (i) The set S = (A- pi) is the set of elements which are not divisors of0 in A. (ii) I f a l l the pi are minimal elements ofAs(A), the total ring offractions S-IA of A is Artinian. (iii) Ifthe ring A is reduced, 1111the pl are minimal elements o Ass(A) (and therefore f are the minimal elements o Spec(A)) and each of the 4,is a j e l d ; for each index i, f the canonical homomorphism S-IA -+ A,, (Chapter 11, 3 2, no. 1, Corollary 1 to Proposition 2 ) is surjective and its kernel is S - 'p, ;jnally the canonical homomorphism

homomorphismg,: S-IA -+ (S-IA),,, is surjective and has kernel S-Ipi and the canonical homomorphism S-IA-t t = 1 (S-'A/S-'p,) is bijective. We know moreover that the canonical homomorphism S-'A -+ A,, is composed ofg, and an isomorphism (S-lA)s-l,, A,, (Chapter 11, 3 2, no. 3, Proposition 7). + Finally, it follows from Proposition 8 that (S-lA)s-lp, is isomorphic to S-lA/S-lp, and hence is a field since S-Ip, is a maximal ideal.
6. PRIMARY DECOMPOSITION AND EXTENSION OF SCALARS

ic
n

In this no., A and B will denote two rings and we shall consider a ring homomorphism p: A +- B which makes B into an A-algebra; recall that, for every B-module F, p,(F) is the commutative group F with the A-module structure defined by a .y = p(a) y for all a E A, y E F. LEMMA Let A be a Noetherian ring, p a prime ideal o A, E an A-module whose 1. f f annihilator contains a power o p and such that Ass(E) = {p) and F a B-module such that p,(F) is a jlat A-module. The condition E AssB(E @A F) then implies
-1

from S-1A to i = l (S-'A/S-'p,) is bijective.

The fact that S is the set of elements which are not divisors of 0 in A has already been seen (Q1, no. 1, Corollary 3 to Proposition 2). The prime ideals of S-'A are of the form S-lp, where p is a prime ideal of A contained in i = 1 p, (Chapter 11, $2, no. 5, Proposition 10) that is contained in one of the p, (Chapter 11, 3 1, no. 1, Proposition 2). If p, is a minimal element of Ass(A), it is a minimal element of Spec(A) (3 1, no. 3, Corollary to Proposition 7); if each of the pr is a minimal element of Ass(A), we then see that the prime ideals of S-'A are the S-lp, and they are therefore all maximal, which proves that S-lA is Artinian (Proposition 9). Suppose finally that the ring A is reduced. Then
i=1

(W= P.

If n is such that p"E = 0, then p"B c Ann(E @A F), whence p"B c g, which implies pn c - 1 (a) and therefore p c-pl(~) p since-:(P) is prime. Moreover,
i f a E A p, the homothety h with ratio a on E is injective (3 1, no. 1, Corollary 2 to Proposition 2); as h @ lF is the homothety h' with ratio p(a) on E @A F and p*(F) is flat, h' is injective (Chapter I, Q 2, no. 2, Definition 1);

this proves that p(a) 6 Y, whence>'(V)

= p.

THEOREM 2. Let p: A -+ B be a ring homomorphism, E an A-module and F a

B-module such that p*(F) i a j u t A-module. Then s

n pi = (0)

(8 1, no.

3,

I
I

(5)

@A

F,

I>

p,-AvA(E)
(5) are equal.

AssB(F/pF).

Corollary 2 to Proposition 7). We deduce that (0) = i(1pi is a reduced primary i = decomposition of the ideal (0) (no. 3, Corollary to Proposition 4) ;in particular, none of the p, can contain a p, of index j # i and therefore the pi are all minimal elements of Ass(A).The ring S-IA is then Artinian by (ii). The S-lp, are prime ideals associated with the S-lA-module S-IA (8 1, no. 2, Corollary to Proposition 5) and(0) = S-l p,) = S - Ip, (Chapter 11, 5 2, no. 4) ;as the S-'p( are distinct, ( S - l p r ) l c r ~is a reduced primary decomposition of (0) in S-'A n (no. 3, Corollary to Proposition 4). Proposition 8 then shows that the canonical

when A is Noetherian, the two sides

o f

Let p E AssA(E) ;by definition there exists an exact sequence 0 +-A/p -+E. Shce F is a flat A-module we derive an exact sequence O-+F/pF+E@AF whence AssB(F/pF)c AssB(E @AF), which proves the inclusion (5). Suppose now that A is Noethm'an and let US prove the opposite inclusion.

,fi

278

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PRIMARY DECOMPOSITION AND EXTENSION OF SCALARS

3 2.6

We proceed in stages: (i) Suppose first that E is a finitely generated A-module and that AssA(E)is reduced to a single element p. By 9 1, no. 4,Theorem 1 there exists a composition of series (El)oGiGn E such that Et/Et+lis isomorphic to A/pi, where p r is a prime ideal of A; moreover (3 1, no. 4, Theorem 2 and no. 3, Proposition 7) all the p i contain p. As F is a flat A-module, the E, @A F form a composition series of E @A F and (El @A F)/(EL+l F) is identified with @A
(A/pi)
@AF

COROLLARY 2. Suppose that A and B are Noetherian and that B is a j a t A-module. Let p be a prime ideal of A, Q c E a p-primary submodule and p a prime ideal of B. For Q @A B to be a 9-primary submodule of E @A B, it is necessary and suficient that pB be a p-primary ideal o B. f
Let us apply Theorem 2 to the A-module E / Q and the B-module B; then AssA(E/Q) = (p} and (E/Q) @A B is isomorphic to (E @A B)/(Q @A B) and hence AssB((E @AB)/(Q@AB)) = AssB(B/pB). TO say that Q@,B is q-primary in E @A B therefore means that AssB(B/pB) is reduced to p, whence the corollary. Remark. Suppose that A and B are Noetherian. Let p be a prime ideal of B and

= F/piF*

Then by virtue of 3 1, no. 1, Proposition 3

@A

F,

;,

n-1

AssB(F/pLF)*

We know that E is annihilated by a power of p (no. 1, Remark); Lemma 1 then shows that, for all p E AssB(E F), Q(p) = p. AS F/p,F is isomorphic
to (A/pl) @A F, -(p) : = pi for all p E AssB(F/P~F) Lemma 1, whence by AssB(E@A F) n Ass(F/p,F) = % if pi # p, which proves the theorem in the case considered. (ii) Suppose only that E is a jnitely generated A-module. Let p i (1 < i < n)

be the elements of AssA(E) and let (0) = L = l Ql be a corresponding reduced primary decomposition (no. 3) ; E is then isomorphic to a submodule of the and, as F is a flat A-module, E @A F is isomorphic direct sum of the El = E/QL to a submodule of the direct sum of B-modules El @A F. We deduce ( 1, no. 1, Proposition 3 and Corollary 1 to Proposition 3) that
n

let p = p 1 ( 9 ) let us write S = A ; p and let k ( p ) = S-I(A/p) be the field of fractions of A/p. Since 9 contains pB, p/pB is a prime ideal of B/pB. If p is the composite homomorphism A -% B +B/pB, we know that S-(B/pB) is identified with the ring (p(S))-I(B/pB) and 7s = S-l(g/pB) with an ideal of this ring (Chapter 11, 2, no. 2, Proposition 6); as p/pB does not meet p(S), qis a prime ideal of S-l(B/pB) (Chapter 11, 9 2, no. 5, Proposition 11) ; moreover there are canonical isomorphisms between S-l(B/pB), S - l ((A/p) @A B) and (S-l(A/p)) @A B = k ( p ) @A B; similarly S-(F/pF) is canonically identified with k(p) @A F. This being so, under the hypotheses of Theorem 2, in order that p E AssB(E @A F), it is necessary and suficient that p E AssA(E) and

9E Ass,(p)gA~(k(~) F). @A
For by Theorem 2 and its Corollary 1, it amounts to verifying that the conditions

V E AssB(F/pF) and V E A s s ~ < ~ ) B ~ B ( ~ F)) @A ( P

But El is a finitely generated A-module such that AssA(E1) is reduced to a single element p i (no. 1, Definition 1). By (i), AssB(E1 @A F) = AssB(F/piF), whence the theorem in this case. (iii) General case. The B-module E @A F is the union of the submodules E @ A F, where E runs through the set of finitely generated submodules of the A-module E. If Cp belongs to AssB(E@A F), then there exists a finitely generated submodule E of E such that p E AssB(E @A F). By (ii), there exists p E Ass,(E) such that p E Ass,(F/pF) ; as Ass,(E) c Ass,(E), this completes the proof of Theorem 2. are equivalent; but, as B is Noetherian, this follows from 3 1, no. 2, Corollary to Proposition 5 and the above identifications.

COROLLARY 1. If A is Noetherian and p E AssB(E

F), then p(p)

Ass,(E)
=

PROPOSITION 11. Suppose that A and B are Noetherian and that B is a frat A-module. k t E be an A-module and E a submodule ofE such that,for every ideal p E AssA(E/E), PB is a prime ideal ofB or equal to B. Let E = Q ( p ) be a reducedprimary decomposition ofE in E, Q(p) being p-primary f o r all p E Ass(E/E). (i) I f p E Ass(E/E) and pB = B, then Q ( p ) @A B = E @A B. (ii) I f p E Ass(E/E) and pB is prime, Q ( p ) is pB-primary in E @A B. f (iii) If is the set o p E Ass(E/E) such that pB is prime, then E @A B =

and-t(p) is the onlyprime ideal p ofA such that p E AssB(F/pF).

pGQ ( p ) (

@A

B)
@A

This follows from Theorem 2 and Lemma 1 applied to the case where E 280

A/p.

and this relation is a reducedprimay decomposition o E @A B in E f

B. 28 1

IV

ASSOCIATED PRIME IDEALS AND PRIMARY DECOMPOSITION

PRIME IDEALS ASSOCIATED WITH A GRADED MODULE

5 3.1

If pB = B, Theorem 2 applied to E/Q(p) and B shows that

~ B ( ( E / Q ( P )@A B) = )
6 3

3. PRIMARY DECOMPOSITION IN GRADED MODULES

1. PRIME IDEALS ASSOCIATED WITH A GRADED MODULE

and, as B is Noetherian and is a flat A-module, we conclude ($ 1, no. 1, Corollary 1 to Proposition 2 ) that Q ( p ) @ A B = E @JAB. Assertion (ii) follows from Corollary 2 to Theorem 2 , taking = pB. Finally the relation E @A B = ( Q ( p ) @A B) follows from the fact that B is a flat A-module

pcm

(Chapter I, $ 2 , no. 6, Proposition 6); as p = pl(pB) for p E Q (Lemma l), pB # pB for two distinct ideals p, p of the set 0; the other hand, on

PROPOSITION 1. Let A be a torsion-jiree commutative group, A a graded ring o type A f and M a graded A-module o type A. Every prime ideal associated with M is graded and f is the annihilator o a homogeneous element o M. f f
We know that A can be given a total order structure compatible with its group structure (Algebra, Chapter 11, 5 11, no. 4,Lemma 2 ) . Let p be a prime ideal associated with My the annihilator of an element x E M, and let ( x , ) , ~ ~ be the family of homogeneous components of x ; let i ( 1) < i ( 2 ) < . + < i ( r ) be the values of i for which xi # 0. Consider an element a E p and let (aJIEA be the family of its homogeneous components; we shall prove that a, E p for all i E A, which will show that p is a graded ideal. We argue by induction on the number of indices i such that a, # 0. Our assertion is obvious if this number is 0; if not, let m be the greatest of the indices i for which a, # 0; if we prove that a, E p, the induction hypothesis applied to a - a , will give the conclusion. Now, ax = 0; for all j E A, using the fact that the homogeneous component of degree m + j of ax is 0, we obtain
, E ~

Ass((E @A B)/(E @A B)) = by Theorem 2; we conclude from no. 3, Proposition 4 that

is a reduced primary decomposition.

COROLLARY. Suppose that pB is prime for all p E AssA(E/E). Then, ;f ply . . .,pn are the minimal elements o AssA(E/E),the p,B are minimal elements o f f B)/(E 8 B)). 4 It follows from Proposition 11 that in this case ptB # p,B for i # j .
@A

Examples (1) Let us take B = S-IA, where S is a multiplicative subset of A; if A is Noetherian, the hypotheses of Proposition 11 are satisfied and we recover a part of Proposition 6 of no. 4 . (2) Let A be a Noetherian ring, m an ideal of A and B the HausdorfT completion of A with respect to the m-adic topology; then B is a flat A-module and Theorem 2 may be applied with F = B; but in general the hypotheses of Proposition 11 are not satisfied for the prime ideals of A (Chapter 111, 5 2 , Exercise 15 (b)). (3) Let A be a Noetherian ring and B the polynomial algebra A[X,, . . ., X,] ; B is Noetherian and is a free A-module and therefore flat. Also, if p is a prime ideal of A, B/pB is isomorphic to (A/p) [X,, . . ., X,], which is an integral domain, and hence pB is prime; the hypotheses of Proposition 11 are therefore satisfied for every A-module E and every submodule E of E. (4) Let A be a finitely generated algebra over a field k , K an extension of k and B = A @k K the algebra over K obtained by extension of scalars; A and B are Noetherian and B is a free A-module and hence Theorem 2 may be applied to F = B. In certain cases (for example if k is algebraically closed) it can be shown that for every prime ideal p of A, pB is prime or equal to B; we shall return later to this example.

a,-ix,+l = 0; we conclude that a,xj is a linear combination of the x, of indices E > j . In particular therefore amxf(r; 0, whence, by descending induc= tion on n < r, a;-n+lxt(n, = 0. Then ahx = 0, whence a; E p and, as p is prime, a, E p. We now show that p is the annihilator of a homogeneous element of M. Let us write 6 = Ann(x,(,,) for 1 < n < r. For every homogeneous element b of , P and all n the homogeneous component of bx of degree i ( n ) + deg(b) is bxi(n),hence bx,,,) = 0 and therefore b E 6,; as p is generated by its homogeneous elements, p 6,. On the other hand, clearly 6, c Ann(x) = p; as p is n= 1 Prime, there exists an n such that 6 c p (Chapter 11, $ 1, no. 1, Proposition l), , whence 6 = P = Ann(x,(,,), which completes the proof. ,

1
I

COROLLARY. For every (necessarily graded) prime ideal p associated with a graded A-module M, there exists an index k E A such that the graded A-module (A/p)( k ) obtained from the graded A-module Alp by diminishing the degrees by k (Algebra, Chapter 11,s 11, no. 2 ) is isomorphic to a graded submodule o M. f With the notation of the proof of Proposition 1, consider the homomorphism obtained, by taking quotients, from the homomorphism a H ax,(,, of A to M; the latter is a graded homomorphism of degree i ( n ) and hence it

282

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ASSOCIATED PRIME IDEALS AND PRIMARY DECOMPOSITION

PRIMARY DECOMPOSITION IN GRADED MODULES

5 3.3

gives on taking quotients a graded bijective homomorphism of degree i ( n ) of A/p onto a graded submodule of M .

PROPOSITION A be a torsion-free commutative group, A a graded Noetherian 2. Let &g o type A and M a gradedjnitely generated A-module of type A. There exists a f
composition series (Mt),,GiGn consisting o graded submodules of M such that for f 0 Q i < n - 1 the graded module M t / M I + lis isomorphic to a shifted graded module (Alp,) (k,), where pt is a gradedprime ideal o A and k, E A. f I t is sufficient to retrace the argument of 4 1, no. 4, Theorem 1 taking on this occasion to be the set of graded submodules of M with a composition series with the properties of the statement; we conclude using the Corollary to Proposition 1.
2. PRIMARY SUBMODULES CORRESPONDING TO GRADED PRIME
IDEALS

Consider now a homogeneous element b of A p'; then b 6 p since b is be homogeneous. Let x be an element of M such that bx E N' and let ( x i ) l E A the family of homogeneous components of x. A s N' is graded, bx, E N ' for all i, hence bx, E N and, as b 6 p, we conclude that xi E N; as xi is homogeneous, X , E N', whence x E N' and the homothety with ratio b on M/N' is injective. Proposition 4 then follows from Proposition 3 applied to p' and M / N ' .
3. PRIMARY DECOMPOSITION IN GRADED MODULES

PROPOSITION 5. Let A be a torsion-free commutative group, A a graded Noetherian ring o f type A, M a graded A-module of type M , N a graded submodule o f M and N = Qt a primary decomposition o f N in M . (i) Let Q, the largest graded submodule o f M contained in Qt. Then the Qt are 'be Qt. primary and N =

tG

tG

PROPOSITION 3. Let A be a torsion-free commutative group, A a graded Noetherian ring o type A, p a graded ideal o f A and M a graded A-module o f type A not reduced f to 0. Suppose that for every homogeneous element a o f p the homothety o ratio a on M is f p the homothety o f almost nilpotent and that for every homogeneous element b o f A ratio b on M is injective. Then p is prim and the submodule (0) o f M is p-primary.

(ii) I f the primary decomposition N =

sition N = Qt andfor all i E I theprime ideals corresponding to Ql and Qtare equal. (iii) IfQ, corresponds to aprime ideal p1 which is a minimal elementofAss(M/N), Qt i a graded submodule o f M . s
We have seen (no. 2, Proposition 4) that the Qt are primary with respect to M and N c Q" c Qt, which proves (i). Proposition 4 of no. 2 also shows that the prime ideal corresponding to Qt is the largest graded ideal contained in the prime ideal pt corresponding to Q,. If the decomposition N = (?I Q, is reduced, pt E A s s ( M / N ) for all i (5 2, no. 3, Proposition 4 ,hence ) is a graded ideal (no. 1, Proposition 1) and therefore pi = pt; then Ass(M/N) = {pi} (5 2, no. 3, Proposition 4), which proves that the decomposition N = element of A s s ( M / N ) , then pi = p, since p i is graded (no. 1, Proposition I), whence Qt = Ql by virtue of 5 2, no. 3, Proposition 5.

cI

tG

Qt

is reduced, so is the primary decompo-

It suffices to show that A s s ( M ) = {p} (3 2, no. 1, Proposition 1). Let q be a prime ideal associated with M ; it is a graded ideal and it is the annihilator of a homogeneous element x # 0 of M (no. 1, Proposition 1). For every homogeneous element a of q, ax = 0 and hence the homothety of ratio a on M is not injective, whence a E p. Conversely, let b be a homogeneous element of p ; there exists an integer n > 0 such that bnx = 0, whence 6" E Ann(x) = q and, as q is prime, b E q. As p and q are generated by their respective homogeneous element, p = q, which proves that A s s ( M ) c {p}. A s M # {0},A s s ( M ) # o (3 1, no. 1, Corollary 1 to Proposition 2), whence A s s ( M ) = {p}.

PROPOSITION 4. Let A be a torsion-free commutative group, A a graded Noetherian ring o type A and M a graded A-module o type A. Let p be aprime ideal o f A and N, f f a submodule o M which is p-primary with respect to M . f (i) The largest graded ideal p' o f A contained in p (Algebra, Chapter 11, 9 11, no. 3) isprime. (ii) The largest graded submodule N' o N is p'-primary with respect to M . f
We know (loc. cit.) that the homogeneous elements of p' (resp. N ' ) are just the homogeneous elements of p (resp. N ) . Let a be a homogeneous element of P; if x is a homogeneous element of M, there exists an integer n > 0 such that anx E N; as anx is homogeneous, anx E N'; as every y E M is the direct sum of a finite number of homogeneous elements, we conclude that there exists an integer q > 0 such that a 9 E N', so that the homothety with ratio a in M/N' is almost nilpotent.
284

tg tGQ;is reduced (3 2, no. 3, Proposition 4). Finally, if p i is a minimal

285

EXERCISES

EXERCISES

composition series of a all of whose factor modules are isomorphic to A. (The existence of such a series would imply that a was isomorphic to a module A; then necessarily n = 1, which is absurd.)

7 6.

Let A be a ring and E an A-module.

(a) Show that for a prime ideal p of A to belong to Supp(E), it is necessary and sufficientthat there exist a submodule F of E such that p E Ass(E/F) (to see that the condition is necessary, consider a submodule F of E of the form px,

where x E E; to see that the condition is sufficient, use Proposition 7 of no. 3). (b) Suppose that A is Noetherian and E finitely generated. Show that for every prime ideal p E Supp(E), there exists a composition series (EJ0 <,, of E such that, for 0 < i < n - 1, E,/Ei+l is isomorphic to A/pi, where pi is a prime ideal and one of the p, is equal to p.

3
1. (a) Let A be an absolutely flat ring (Chapter I, $ 2 , Exercise 17). Show that Ass(A) is the set of isolated points of Spec(A) (note that Ass(A) is the set of prime ideals which are annihilators of an idempotent of A). (b) Deduce from (a) an example of a ring A such that A # 0 and Ass(A) = a (cf. Chapter 11, $ 4, Exercise 17) and for which the conclusion of no. 1, Corollary 2 to Proposition 2 does not hold. (c) Deduce from (b) an example of a ring A and a multiplicative subset S of A such that the mapping p HS-lp of Ass(A) n 0 to Ass(S-lA) (no. 2, Proposition 5) is not surjective.

7. Let A be a Noetherian ring, M a finitely generated A-module and

a = Ann(M). a =

(a) Show that, if a is prime, a is the least element of Ass(M). (Note that . . p.) p EA d M ) (b) Show that every prime ideal associated with A/a is associated with M. (Note that if p is a prime ideal of A the annihilator of the class in A/a of an element a E A, then p = Ann(aM) and use (a).) (c) Let p, q be two distinct prime ideals of A such that p c q. Show that, if M = (A/p) 0 (A/q), then Ass(A/a) # &(MI.

2. Let K be a commutative field and A the valuation ring, whose order

group is Q, consisting of the formal power series c,T, where c, E K, r E Q+and the set of r such that c, # 0 is well ordered. Let a be an irrational number > 0, a the ideal of A consisting of the elements with valuation > a and C the ring A/a. Then Spec(C) reduces to a point p; for all x # 0 in C, p x # 0, but for all h E p, there exists y # 0 in C such that hy = 0. In particular, Ass(C) = a, although Supp(C) = Spec(C) = {p). *

8. Let A be a Noetherian ring, a an ideal of A, M a finitely generated A-module and P the submodule of M consisting of the x E M such that ax = 0. Show that Ass(M/P) c Ass(M) (note that for all x E M the annihilator of (Ax + P) /P is also that of QY and use Exercise 7 (a)).
9. Let A be a Noetherian ring and a an ideal of A. (a) For an ideal b ofA to satisfy a: b # a, it is necessary and sufficient that b be contained in a prime ideal p E Ass(A/a). (b) Let A be the polynomial algebra K[X, Y, Z] in 3 indeterminates over a field K. Let n = AX, m = AX + AY + AZ, a = n n m2.Show that there is a prime ideal p containing a such that a: p # a but which is not a prime ideal associated with A. 10. (a) Give an example of a Z-module M such that Ass(Hom,(M, M)) is not contained in Supp(M) (cf. Chapter 11,s4, Exercise 24 (c)). (b) Give an example of Z-modules E, F such that Ass(Hom,(E, F)) = 0, but Ass(F) n Supp(E) # 0 (take F = Z . ) 11. (a) Let A be a Noetherian ring and E an A-module. Show that the
287

3. Let M be an A-module and N a submodule of M. Show that every prime ideal p E Ass(M/N) which does not contain Ann(N) is associated with M. Give an example of an ideal p belonging to Ass(M/N) but not to Ass(M) (take A to be an integral domain, M = A).
4. Give an example of a ring A such that M = A does not satisQ the conclusion of Theorem 1 of no. 4 (cf. Exercise 1 (b)).

5. Let A = K F , y1 be the polynomial algebra in two indeterminates over a commutative field K and a the maximal ideal AX + AY of A. Show that Supp(a) = Spec(A) is infinite and Ass(a) = (0). Prove that there is no
286

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ASSOCIATED PRIME IDEALS AND PRIMARY DECOhII'OSITION

EXERCISES

canonical homomorphism of E to the product E, is injective (if N is p E AWE) the kernel of this homomorphism, show that Ass(N) = a). (b) Take A to be the polynomial ring K[X, Y, Z] over a field K ; let p1 = AX AY, p2 = AX AZ, which are prime ideals and a the ideal p1p2. The set Ass(A/a) consists of pl, p2 and the maximal ideal m = p1 p2; show that the canonical homomorphism from E = A/a to E,, x E,, is not injective.

12. Let A be a Noetherian ring and P a projective A-module. Show that, if, for all p E Ass(A), Pp is a finitely generated A,-module, then P is a finitely generated A-module (embed A in the product use Algebra, Chapter 11, 3 5, no. 5, Proposition 9).

PEE(A)

A, (Exercise 11) and

7 13. Let A be a Noetherian ring, E a finitely generated A-module, p, q two prime ideals of A such that p c q and a an element of q. Suppose that p E Ass(E) and that the homothety aE is injective. Show that there exists a prime ideal n E Ass(E/aE) such that p + Aa c n c q. (Replacing A by A,, we may assume that A is local with maximal ideal q. Let F # 0 be the sibmodule of E consisting of the x such that p x = 0. Show that the relation F c aE would imply F = aF and obtain a contradiction using Nakayama's Lemma.Then use Proposition 8 of no. 4.)
14. Let A be an integral domain, a # 0 an element of A and p an element of Ass(A/aA). Show that, for every element b # 0 of p, p E Ass(A/bA) (if c E A is such that the relation xc E aA is equivalent to x E p, show that there exists d E A such that xd E bA is equivalent to xc E aA).

7 17. Let A be a ring and M an A-module. A prime ideal p of A is said to be weakly associatedwith M if there exists x E M such that p is a minimal element of the set of prime ideals containing Ann(x) ; we denote by Ass,(M) the set of ideals weakly associated with M. Then Ass(M) c Ass,(M). (a) Show that the relation M # 0 is equivalent to Ass,(M) # 0. (b) For a E A to be such that aMis injective, it is necessary and sufficient that a belong to no element of Ass,(M) (note that, if a belongs to the radical of an ideal Ann(x) where x # 0 in M, there exists y # 0 in M such that a E Ann(y). To show that the condition is necessary, reduce it, by considering the ring A/Ann(x), to proving that in a ring A every element belonging to a prime ideal p which is minimal in the set of prime ideals of A is necessarily a divisor of 0 (Chapter 11, 3 2, no. 6 , Proposition 12).) For a E A to be such that aM is almost nilpotent, it is necessary and sufficient that a belongs to all the elements of Ass,(M). (c) If N is a submodule of M, then
Ass,(N) c Ass,(M) c Ass,(N)

u Ass,(M/N).

15. Let A be a Noetherian ring, E a finitely generated A-module, F a submodule of E and m an ideal of A. For F to be closed in E under the m-adic topology, it is necessary and sufficient that p + m # A for every ideal p E Ass(E/F). (Reduce it to the case where F = 0, use Chapter 111, 3 3, no. 2, Corollary to Proposition 5 and apply Corollary 2 to Proposition 2 of no. 1 to an element 1 + m, where m E m.) 16. Let A be a Noetherian ring. For A to be isomorphic to a finite product of integral domains, it is necessary and sufficient that for every prime ideal p of A the local ring A, be an integral domain. (To see that the condition is sufficient, note first that it implies that that ring A is reduced; deduce that ( ) = ) pt, where the pi (1 < i < n) are the minimal prime ideals of A. Show 0 f that, for i # j , of necessity p, + p, = A; for this, note that, if there existed a maximal ideal m containing pt + p,, the ring A,,, would not be an integral domain, using Corollary 3 to Proposition 2 of no. 1, and the Corollary to Proposition 5 of no. 2.)
288

(Note that, if p is a prime ideal, a 6 p, x E M such that ax E N and Ann(x) c p, then Ann(ax) c p.) (d) Let S be a multiplicative subset of A and CD the set of prime ideals of A not meeting S. Show that p E S-lp is a bijection of Ass,(M) n CD onto Ass,(S-lM). (Observe that the inverse image under the canonical mapping A +-S-lA of the annihilator of an element XIS, where x E M, s E S, is the saturation with respect to S of A n n ( x ) . ) (e) Let S be a multiplicative subset of A; show that, if N is the kernel of the canonical homomorphism M -+S-IM, Ass,(N) is the set of p E Ass,(M) which meet S and Ass,(M/N) the set of p E Ass,(M) which do not meet S. (TO prove the latter point, consider a prime ideal q which is minimal in the set of those containing Ann(y), where i E M/N; note that, ify E ij and t E q, there exists j c 4 q and an integer n > 0 such that ct"y E N (Chapter 11, 3 2, no. 6, Proposition 12); deduce first that q n S = 0. There exists s E S such that sct"y = 0; conclude that there can be no prime ideal q' # q such that Ann(y) c q' c 9.) (f) For a prime ideal ofA to belong to Supp(M), it is necessary and sufficient that it contain an element of Ass,(M). (g) Show that, if A is Noetherian, Ass,(M) = Ass(M). (h) If A is an absolutely flat ring, then Ass,(A) = Spec(A). (i) For every A-module E the canonicalhomomorphism from E to the product
P E Aasl(E) Ep

is injective; in other words, the intersection of the saturations of (0) in E with respect to the ideals p E Ass,(E) is reduced to 0. Generalize Exercise 12 similarly.
289

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ASSOCIATED PRIME IDEALS AND PRIMARY DECOMPOSITION

EXERCISES

(j) Let M be a finitely generated A-module. Show that the minimal elements of the set of prime ideals containing a = Ann(M) belong to Ass,(M) (if is a system of generators of Myshow that such an ideal contains one of the Ann(x,)). Deduce that Ass,(A/a) is contained in Ass,(M) (if a prime ideal p contains the annihilator of the class mod. a of an element a E A, note that p contains the annihilator of the submodule aM of M) ; show that Ass,(A/a), Ass(M) and the set of prime ideals containing a have the same minimal elements. 18. Let A be a ring and M an A-module. For an element c E A to be such that, for all a E A such that the homothety aMis injective, 6 is an injective , , homothety for all b of the form a + Ac, where ~ E A it is sufficient that c belong to the intersection of the maximal elements of Ass,(M) (use Exercise 17 (b)). Is this condition necessary?

to be p-primary in Myit is necessary and sufficient that the family (e(M/Qh))heL be bounded above; then e(M/Q) 2 e(M/Q,) for all h E L.

7 4.

Let A be a Noetherian ring and M a finitely generated A-module. Let p be an element of Ass(M) and let &p be the set of submodules Q of M such that Ass(M/Q) = {p} and Ass(Q) = Ass(M) {p} (a set which is not empty by 1, no. 1, Proposition 4). We write e,(M) = inf e(M/Q) (Exercise 3).

Q@p

* 19. Let A be the ring of a valuation of height 2, I? its order group, I?l the unique isolated subgroup of I? distinct from (0) and I? and y > 0 an element of I? not belonging to rl. Let a be the ideal of those x E A such that v ( x ) 2 y, b the ideal of those x E A such that u(x) > y, E = A/a and F = A/b. Show that Ass,(Hom,(E, F)) is distinct from Assl(F) n Supp(E). *
2 1. (a) Show that in the Noetherian polynomial ring A = Z[X] in one indeterminate over Z, the ideal m = 2A + AX is maximal and that the ideal q = 4A + Ax is m-primary, but is not equal to a power of m. (b) In the ring B = Z[2X, Xa, X3] c A which is Noetherian, show that the ideal p = 2BX BX2 is prime, but that pa is not p-primary, although its radical is equal to p. (c) Let K be a commutative field and A the quotient ring of K[X, Y, 21 by the ideal generated by Z2 - XY; let x, y, z be the canonical images of X, Y, Z in A. Show that p = Ax + Az is prime, that p2 is not primary and that p2 = a n b2 is a primary decomposition of p2, where a = Ax and b = Ax Ay Az.

(a) Let n, be an integer >e,(M) and let $(no) be the subset of G, consisting of the submodules Q such that e(M/Q) < n,. Show that $(n,) has a least element Q(p, n,). (b) Let (np)pEAss(M) a family of integers such that n, 2 e,(M) for all be p E Ass(M). Show that the submodules Q ( p , n,) corresponding to this family form a reduced primary decomposition of (0) in M said to be canonically determined by thefamily (n,). If we take n, = e,(M) for all p E Ass(M), the primary decomposition consisting of the Q ( p ) = Q ( p , e,(M)) is called the canonical primary decomposition of (0) in M. Let (0) = Q"p) be any reduced M' (p / ( ) for primary decomposition of (0) in M. Show that e(M/Q(p)) < eQ all p Ass(M) and that, if e(M/Q(p)) = e(M/Q'(p)) for some p, then Q(p) c Q'(p) ("Theorem ofOrti2'). (c) Show that Q ( p , n,) is the saturation of p " M with respect to p (use 5 1, ~ no. 2, Proposition 6 ) ; p is the least element of Supp(M/p"M). (d) Let S be a multiplicativesubsetofAnotmeetingaprimeidea1 p E Ass(M) andletQbeap-primarysubmoduleofM.Showthate(M/Q) = e(S-IM/S-lQ). Show that, if S is a multiplicative subset of A, @ the set of p E Ass(M) such that S n p = and N the saturation of{O}in M with respect to S, the Q ( p , n,) where p E @ form the reduced primary decomposition of N in M canonically determined by the family (np)p)pE(D the S - l Q ( p , n,) where p E @ the reduced and primary decomposition of (0) in S -lM canonically determined by the family (n,), *. Consider the particular case of canonical primary decompositions.

pefi(M)

2. In the example of Exercise 11 (b) of $ 1, show that a = m2 n p1 A pa is a reduced primary decomposition of a in A and that the saturation of a with respect to m is equal to a (and is therefore not primary).
3. Let A be a Noetherian ring and M a finitely generated A-module. Let

5. Let L be a finitely generated free Z-module and T a finite commutative group whose order is a power of a prime number p. Show that the canonical primary decomposition (Exercise 4) of (O} in M = L 0T is (0) = pnL n T, where n is the least integer 2 0 such that pnT = 0 (note that pnM = pnL).
6. In Exercise 5 of 4 1, (0) is primary in the A-module a relative to the prime ideal (0) of A. Show that the submodule AX of a is primary with respect to a relative to a prime ideal # {0}and that the submodule AXY of a is not primary with respect to a.

Q be a p-primary submodule in M. The greatest lower bound of the integers

n >, 1 such that pnM c Q is called the exponent of Q in M and denoted by e(M/Q). Let ( Q J A s L be a family of p-primary submodules in M. For Q = Qh

7. Let A be a Noetherian ring, M a finitely generated A-module and

(Pt)lccGn a sequence obtained by arranging the elements of A.s(M) in any

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order. Show that there exists a composition series (MJoctcnof M such that, for 0 < i < n - 1, Mi+1is pf-primary in M, (use Proposition 4 of no. 3).

7 8. Let A be a Noetherian ring, E a finitely generated A-module, F a submodule of E and m an ideal ofA. Let F = pcAf&,F) a reduced primary Q(p) be
decomposition of F in E. Show that the closure of F in E under the m-adic topology on E is equal to V E O Q ( p ) , where @ is the set of p E Ass(E/F) such that p + m # A. (Consider first the case where F is p-primary in E and show that, if p + m = A, F is dense in E; proceed to the general case using Exercise 15 of 5 1 and Chapter 111, 5 3, no. 4,Corollary 1 to Theorem 3).

does not extend to the case where A is not an integral domain (take A = B/b, where B = K[X, Y] (K being a field), b = BX' + BXY). (d) If A is an absolutely flat ring (Chapter I, 5 2, Exercise 17), the primary ideals of A are identical with the prime ideals of A. (e) Give an example of a Z-module M such that (0) is p-primary (for a prime number p) but that for no a # 0 in Z is the homothety aM nilpotent (cf. Chapter 11, 5 2, Exercise 3). 13. (a) Let u : M + M' be a surjective A-module homomorphism. Show that, if N' is a primary submodule in M', N = il(N') is primary in M and tM(N) = cM-(N'). (b) Every intersection of a non-empty finite family of p-primary submodules in an A-module M is p-primary in M. Does the proposition extend to arbitrary intersections? (c) For an A-module M to be such that (0) is p-primary in M, it is necessary and sufficient that, for every submodule N # 0 of M, Supp(N) = V(p). (Note that, for all x E M, M contains a submodule isomorphic to A/Ann(x).) 14. (a) Generalize Proposition 3 of no. 1 to arbitrary rings. (b) Let M be an A-module such that, for every multiplicative subset S of A, the kernel of the canonical mapping M -+ S-IM is (0) or M. Show that (0) is primary in M (consider for all a # 0 in A the multiplicative subset of the a" (n 2 0). T[ 15. Let q be a primary ideal in a ring A and p its radical. Show that in the polynomial ring B = A[X] the ideal Bq is primary and has radical the ideal
'

9. Let A be a Noetherian ring, m a maximal ideal of A and M an A-module such that (0) is m-primary in M. If A is the Hausdorff completion of A with respect to the m-adic topology, show that the canonical mapping M + M @A A is bijective (consider first the case where M is finitely generated, using Proposition 7 of no. 5; in the general case, consider M as the direct limit of its finitely generated submodules)

10. Let A be a Noetherian ring and M an A-module. Show that the following properties are equivalent: (a) Every finitely generated submodule of M is of finite length. (B) M is a direct limit of A-modules of finite length. (y) Every element p E Ass(M) is a maximal ideal of A. (6) Every element p E Supp(M) is a maximal ideal of A. 11. Let A be a ring, M an A-module and N a submodule of M. The set of such that the homothety of ratio a on M/N is almost nilpotent is called the radical of N in M and denoted by tM(N). Show that cM(N)is an ideal of A and that, for all p E Ass,(M/N), tM(N)c p. If N1, N2 are two submodules of M, then cM(Nl n N,) = cM(N1) n cM(N2); if a is an ideal of A, cM(aN)2 r(a) n cM(N) and tA(a) = r(a).
a EA

Bp. (Let f ( X ) = a,X' and g(X) = b,X' be two non-constant polynomials such thatfg E Bq andf $ Bp. Let a, be the coefficient of smallest index not belonging to p; let a be the ideal ofA generated by a,, a,, . . ., a m - l ; there exists an integer k such that aR c q. Let qr be the transporter of a k - { in q for i < k. Show by induction on i that g E Bq,, arguing by reductio ad absurdum.
16. In a ring A let p be a non-maximal prime ideal and q a p-primary ideal distinct from p. Let x be an element of p q and y an element of A p such that p Ay # A. Show that the ideal a = q Axy, such that p 3 a 3 q, is not primary (note that x E a is impossible).

7
-

Let A be a ring, M an A-module and N a submodule of M. (a) For Ass,(M/N) (3 1, Exercise 17) to be reduced to a single element p, it is necessary and sufficient that N # M and that, for all a E A, the homothety with ratio a on M/N be injective or almost nilpotent; then p = cM(N)(Exercise 11) and we also say that N is prima y (or p-prima y) in M. For every submodule M' of M such that N c M' and N # M', N is then p-primary in M'. (b) If cM(N) is a maximal ideal of A, show that N is primary in M. In particular, every ideal q of A which is only contained in a single prime ideal m (necessarily maximal) is m-primary. (c) Let A be an integral domain and x an element of A such that p = Ax is prime; then, for every integer n 2 1, Ax" is p-primary. Show that this result 292

7 12.

17. Let M be an A-module and N a p-primary submodule in M. (a) Let F be a submodule of M not contained in N. Show that the transporter N: F is an ideal of A contained in p. (b) Let a be an ideal of A. Show that if a c N:M, then N: a = M. If a Q N:M, N: a is a p-primary submodule in M. If a Q p, then N: a = N. 293

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1 . (a) Let A be a ring and M an A-module. Show that, if p is a minimal 8 element of Ass,(M), the saturation of (0)with respect to p in M is p-primary in M (cf. 3 1, Exercise 17 (b)). (b) Let p be a prime ideal of A. Show that for every integer n > 0 the saturation in A of pn with respect to p is p-primary in A (use Exercise 14 (a)) ; this saturation is denoted by pen) and is called the n-th symbolic power of p. (c) Show that, if every prime ideal of A is maximal, then, for every A-module M and every submodule N of M, N is the intersection of a family (finite or otherwise) of primary submodules in M (use (a) and Exercise 17 (i) of 3 1).
the primary ideals in the ring of a valuation of height 2 (cf. Chapter VI) ; deduce an example of a ring where there are ideals which are not intersections of a family (finite or otherwise) of primary ideals, although there exist in the ring only two distinct prime ideals. *

(c) For B to be a local ring, it is necessary and sufficient that A be a local ring and that F be a power of an irreducible polynomial of k[X].

7 22.

* 19. Determine

7 20. The notion of primary decomposition and that of reduced primary decomposition may be defined for any ring A as in nos. 2 and 3 (using the notion of primary submodule defined in Exercise 12). (a) Generalize Propositions 4 and 6 by replacing Ass by Ass, throughout. (b) Let E be a finitely generated A-module and F a submodule of E. For every multiplicative subset S of A let sat,(F) denote the saturation of F in E with respect to S. Show that, if F admits a primary decomposition in E, every saturation of F in E is of the form F: ( a ) for some a E A. (Let pi (1 < i < r ) be the elements of Ass,(E/F). Show first that, using (a), that for every multiplicative subset S of A there exists b E A such that, if T is the multiplicative subset of the 6" (n 2 0), then sah(F) = sat,(F), taking b such that b E p, if pi n S # 0 and b # p, otherwise. Then prove that we may take a = 6" for m sufficiently large.) (c) Give an example of a Z-module E such that (0) is primary with respect to E but there exist saturations sat,(O) which are not of the form 0: ( a ) (cf. Algebra, Chapter VII, 5 2, Exercise 3).
21. Let Abearing, FamonicpolynomialofA[X],B theringA[X]/F.A[X], m a maximal ideal of A, k = A/m the quotient field and Ti; the canonical image of F in k[X]. (a) Let Ti; = 1=1 where t h e 5 are distinct irreducible polynomials of k[X]. Let F, E A[X] be a monic polynomial such that its canonical image in k[X] isJ;. Let 9l, denote the ideal mB + F,. Bof B; show that the D, are distinct and are the only maximal ideals of B containing mB (note that B/mB is an algebra of finite rank over A/m = k generated by the roots of P). (b) For all i let us write Q, = mB + Fy' .B. Show that the Q, are 912-primary in B and that mB = Q1 n Q2 n . . . n Q, = Q,Q2.. .Q,.
294

Let E be an A-module and F a submodule of E. (a) Let p be a prime ideal of A and a an element of A such that a 6 p and Q = F: ( a ) is p-primary in E. Show that F = Q n (F + aE). (b) Suppose that there exist b E A and x E E such that bnx 6F for all n > 0. Show that, if there exists an integer n > 0 such that F:b"+l = F :b", then F = (F + Abnx) n (F:(b")). (c) Suppose that F is irreducible with respect to E (Algebra, Chapter 11, 3 2, Exercise 16) and consider the three following properties : (ct) F is primary in E. (p) For every prime ideal p of A, the saturation of F with respect to p in E is of the form F: ( a ) for some a # p. (y) For all b E A, the sequence (F: (b,)),, is stationary. Show that each of conditions (p), (y) implies ( a ) (use (a) and (b) and Exercise 18 (a)). If E is finitely generated, the three conditions ( a ) , (p) and (y) are equivalent (cf. Exercise 20 (b) and 20 (c)). (d) Let K be a field, A the ring K[X, Y] and m the maximal ideal AX + AY of A; show that the ideal m2 is primary but not irreducible. (e) Let A be a not necessarily commutative ring and E a left Noetherian A-module. Show that every submodule F of E is the intersection of a finite family of irreducible submodules in E (consider a submodule of E which is maximal among those which are not finite intersections of irreducible submodules). (f) Deduce from (e) and (c) a new proof of Theorem 1 of no. 2.

nAei,

7 23. Let A be a ring. An A-module E is called Laskerian if it finitely generated and if every submodule of E has a primary decomposition in E. (a) For a finitely generated A-module E to be Laskerian, it is necessary and sufficient that it satisfy the two following axioms: (LA,) For every submodule F of E and every prime ideal p of A, the saturation of F with respect to p in E is of the form F: ( a ) for some a 6 p. (LA,) For every submodule F of E, every decreasing sequence (sat,,,(F)) (where (S,) is any decreasing sequence of multiplicative subsets of A) is stationary. (To show that the conditions are sufficient, prove first, using (LA,) and Exercises 18 (a) and 22 (a), that, for every submodule F of E, there exists a submodule Q of E which is primary for some ideal p f3 F: E and a submodule G =-- F + aE, where a 4 p, such that F = Q n G. Then argue by reductio ad absurdum: show that there would exist an infinite sequence (Q,) of p,-primary submodules of E and a strictly increasing sequence (G,) of submodules of E such that,if we write H, = Ql n Q2 n . . n Q (1) F = H, n G,; (2) G, , : is maximal among the submodules G containing G,-l and such that
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H, n G; (3) there exists a, 4 p, such that a,E c G,. Show then that, if

s, = 1 G i s n (A pi), S, meets G,:E and deduce that satsn(F) = H,. Conclude with the aid of (LA,,).) * (b) Give an example of a ring A such that the A-module A does not satisfy (LA,) but where every ideal a c A is irreducible and the set of saturations sat,(a) for all the multiplicative subsets S of A is finite (cf. Exercise 19). * (c) Let K be a field, B = K[[X]] the algebra of formal power series over K and m the maximal ideal of B consisting of the formal power series without constant term. In the product algebra BN,consider the subalgebra A generated by 1 and the ideal n = m(N).Show that in A the only prime ideals distinct from n are the ideals the direct sums in n of all the component ideals except one; every strictly increasing sequence of prime ideals of A then has at most two elements. Let a # A be an ideal of A and let S be a multiplicative subset of A not meeting a; if a, (resp. S,) is the projection of a (resp. S) onto the n-th factor B, of BN, show that sat,(a) is the direct sum of the ideals satsn(a,) (observe that, if s E S, s, E S, is the n-th projection of s and x, E satsn(a,) is such that s,x, E a,, then s2xn E a). Deduce that A satisfies axiom (LA,) but not (LA,,) (use Exercise 20 (b)). (d) Show that, if an A-module E satisfies axiom (LA,), every submodule of E is the intersection of a family (finite or otherwise) of primary submodules in E (argue as in (a), by transfinite induction). (e) Let E be a finitely generated A-module and E' c E a finitely generated submodule. For E to be Laskerian, it is necessary and sufficient that E' and E/E' be so. In particular, if A is a Laskerian ring, every finitely generated Amodule is Lzskerian. If E is a Laskerian A-module, S-lE is a Laskerian S-lAmodule for every multiplicative subset S of A.
7 24. In a Laskerian ring A (Exercise 23), let pl, p,, p3 be three distinct pl, x3 E p3 p,. Replacing prime ideals such that p1 c p2 c p3; let x2 E pa if need be p, and p3 by prime ideals contained in p2, p3 respectively and containing respectively x2 and x3, we may suppose that p2 is minimal in Assr(A/(pl + Ax,)) and p3 is minimal in As~f(A/p, Ax3)). Consider the ideal a = p1 ~ 2 ~ 3 . (a) Show that x2 4 a and xf 4 a for every integer k > 0; deduce that a is not primary in A. Show that p2 is a minimal element of Ass,(A/a).

Conclude that p3 is a non-minimal element of Assf(A/a); we denote by qj the primary component of a in A which corresponds to it in the above decomposition. (c) Let b = p2 n qj; on the other hand let rn > 0 be such that x'jl E qj and let c = b + Ax:". Show that the saturation of c with respect to p3 is a p3-primary ideal : (show that every element of p3 is a power in qi by using the fact that q the saturation of p a + Ax3 with respect to p3 is primary). Prove on the other hand that x: 4 qi and that b = p2 n q:; then there are two distinct reduced primary decompositions of the ideal b.

7 25.

Let A be a Laskerian ring. Let a be an ideal of A and a = q, a reduced primary decomposition of a in A; let p1 denote the radical of ql; suppose that the minimal elements of Ass,(A/a) are the p, such that 1 < i < s and that s < n. We write b = q,, c = l+lQ,Gn q,. (a) Show that there exists X E C such that x 4 p r for 1 < i < s and that a = b n (a Ax). (b) Suppose for example that pscr is minimal in Ass,(A/c). Show that xps+l + a # Ax + a and a = b n (xps+l + a) ; moreover, ps+l is minimal in Ass,(A/b), where b = X P , + ~ + a. Show that the saturation of b with respect to ps+ is different from q,, 1. (Note that this saturation cannot contain x.)

,cl,,

lcss

(b) Let a = 1=1 q, be a reduced primary decomposition of a in A and let pi be the radical of 9,; suppose that p3 c$ pi for 1 < i < s, p3 C pi for s + 1 < i < n; show that of necessity s < n and x2 E qi for 1 < i < s. Show that there exists an index i 2 s + 1 such that p3 = pi. (Argue by reductio ad absurdurn: in the opposite case, there would exist y 4 p3 such that y E qr for all i s + 1 ; then x,y E a and prove that this relation contradicts y p3.)

7 26. Let A be a Laskerian ring in which every ideal #A has a unique reduced primary decomposition in A. (a) Show that for every ideal a # A all the elements of Assr(A/a) are minimal in this set (use Exercise 25 (b)). Let (0) = q, be a reduced primary decomposition in A and let p, be the radical of qt (1 < i < n). Show that every prime ideal of A distinct from the p, is maximal (use Exercise 24 (c)). If p is a prime ideal of A, q an ideal contained in p and such that p/q is a nil ideal in A/q, show that every ideal a such that q c a c p is p-primary. Deduce that if one of the p i is not maximal, p, is the only p,-primary ideal and p f = pi (use Exercise 16). (b) Show that in A every increasing sequence of ideals equal to their radicals is stationary. Deduce that every strictly increasing sequence (a,) of ideals such contains non-nilpotent elements in A/a, - is that every quotient a,/a,finite. Conclude from this that for every prime ideal p of A there exists a primary ideal with radical p which is finitely generated. In particular, each of the p1 which is not maximal is finitely generated and therefore contains an idempotent e, which generates it (Chapter 11, 3 4, Exercise 15). (c) Show that, for i # j pr pj = A (consider el + ej - elej if pi and pj are not maximal). Conclude that A is isomorphic to the product of a finite number of rings A, = A/qi such that: either A, is a local ring whose maximal ideal is a nil ideal; or A is an integral domain in which every prime ideal # (0) is maximal

lc<,

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and in which every ideal #{O} is only contained in a finite numberof maximal ideals * (cf. 5 1, Exercise 2). * Obtain the converse. Let M be an A-module and Q a p-primary submodule of M. Q is said to be of exponent m if m is the smallest integer k such that pkM c Q (cf Exercise 3) ; if there exists no integer k with this property, Q is said to be of injnite exponent. If Q is of finite exponent, Q is also said to be strongly primary. (a) Show that, if Q: p = Q, Q i s of infinite exponent and that there exists C E p such that Q: (a) distinct from Q a n d is a p-primary submodule of M of ( is infinite exponent. * (b) Give an example of a ring A and a p-primary ideal q of infinite exponent and such that q: p = q (cf. 5 1, Exercise 2). * (c) Let K be a field, A the polynomial ring K[X,,InEN, the prime ideal of p A generated by the X, and q the p-primary ideal generated by the products X,Xj (i # j ) and the elements X:+ l. Show that for all a E p q, q: (a)is of finite exponent, that q: p # q and that q : p is a p-primary ideal of infinite exponent. (d) Let Q be a p-primary submodule of M of finite exponent e. Show that the pkM for k < e are all distinct and that the submodules Q: pk for k < e are all distinct. For every ideal a of A show that either Q: a = Q or Q : a is a p-primary submodule in M distinct from M and of exponent < e - 1 (observe that if a c p then pe-lM c Q:a).

7 27.

generated A-module is strongly Laskerian. If E is a strongly Laskerian Amodule, S-1E is a strongly Laskerian S- 'A-module for every multiplicative subset S of A. (e) Generalize Exercises 3 and 4 to strongly Laskerian modules.

7 29.

Let A be a strongly Laskerian ring (Exercise 28).

n

(a) Let a, b be two ideals of A, ab = q, a reduced primary decomposition of ab in A and c the intersection of those q, whose radicals do not contain 6 ; show that a t c (if q, is such that its radicalp, does not contain b and x E b and x # p,, consider the product ax). (b) Deduce from (a) that there exist three ideals a', b', c and an integer s > 0 such that as c a', b8 c b', (a b)s c c and

,Q

ab = a ' n b = a n b' = a n b n c .

(c) Show that for every finite family (a,) of ideals of A, there exists an integer m > 0 such that the number of ideals ak).
a c :
a,

(apply (b) arguing by induction on

T[ 28. A finitely generated A-module E is called strongly Laskerian if every submodule of E admits a primary decomposition in E all of whose elements are strongly primary (Exercise 27). (a) Show that for a finitely generated A-module E to be strongly Laskerian, it is necessary and sufficient that it satisfy axiom (LA,,) of Exercise 23 and the axiom : (LAIII) For every sequence (b,) of ideals of A and every submodule F of E, the increasing sequence of submodules F: (b,b,. . .6,) is stationary. (To show that the conditions are necessary, use Exercise 27 (d). To see that they are sufficient, prove first that (LA,,) implies (LA,) and then that it implies that every primary ideal is of finite exponent, using Exercise 27 (a).) (b) Show that the ring A defined in Exercise 23 (c) satisfies (LAIII). (c) Let K be a field, V an infinite dimensional vector K-space and A = K @ V the ring whose multiplication is defined by
(a, X ) ( U ' , x') = (ad, ax'

(d) For every ideal a of A show that the intersection b = n = l a" is the ideal of the x E A such that x E xa (apply (b) to the product (ku)a). Deduce that b is the intersection of the primary components of (0) (for a reduced primary decomposition of (0)) whose radicals meet 1 a. (e) Deduce from (d) that, for every prime ideal p of A, the intersection of the symbolic powers p(") (Exercise 18 (b)) for n E N is the ideal of those x E A such that x E x p (consider the ring AD).

30. Let M be an A-module and let N be a submodule of M admitting a reduced primary decomposition N = ,=1 Q,; let pi be the prime ideal associated with Q,. (a) Show that, if b is an ideal of A which is not contained in any of the p i , then N: b = N (cf. Exercise 17). (b) If each of the Q, is strongly primary in M, show conversely that, if N: b = N, b is not contained in any of the p i . (Note that, if b c p i and p = i#fj , then b'P c N for some suitable integer r and deduce that, if Q N: b = N, then P = N.) Deduce that there then exists @ E b such that N: (p) = N.

+ a'x).

Show that in A every ideal #A is strongly primary, although A is not Noetherian. (d) Let E be a finitely generated A-module and E' c E a finitely generated submodule. For E to be strongly Laskerian, it is necessary and sufficient that E' and E/E' be so. In particular, if A is a strongly Laskerian ring, every finitely

T[ 31. (a) Let A be a Noetherian ring, m a maximal ideal of A and p a prime ideal contained in m; show that, if the Hausdorff completion A of A with respect to the m-adic topology is an integral domain, the filter base of symbolic power pc")of p tends to 0 with respect to the m-adic topology on A. (Reduce it
299

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to the case where A is local; let q be a prime ideal of whose trace on A is p and for all n > 0 let c, 4 p be such that c,pcn) c pn; show that c,,p(")w c qcn). Use Exercise 29 (e) and Chapter 111, fj2, no. 7, Proposition 8.) (b) Let A be a Noetherian ring, n an ideal of A, p a minimal prime ideal in &(A/n) andm,, m twomaximalidealsofAcontainingp; letA(n), A(rn,),A(m) denote the Hausdorff completions of A with respect to the n-adic, m,-adic, m-adic topologies respectively. Let z be an element of A(n) whose canonical image in A(m,) is zero. Show that if A(m) is an integral domain, the canonical image of z in A(m) is also zero. (Take z as the limit of a sequence (x,) of elements of A such that x, - x, E nmfor n > m and x, E m;f ; deduce that x, belongs to the closure of n" with respect to the m,-adic topology; using Exercise 8, conclude that x, E pcm) all m and complete with the aid of (a).) for (c) Let A be a Zariski ring and r a defining ideal of A; suppose that Spec(A) is connected and that for every maximal ideal m of A the Hausdorff completion A(m) of A with respect to the m-adic topology is an integral domain. Show then that the completion A of A with respect to the c-adic topology is an integral domain. (Show that for every maximal ideal m of A, the canonical homomorphism A -+ A(m) is injective. For this, we may assume that r is the intersection of a finite number of prime ideals which are minimal in Ass(A/r), let t = p1 n pa n n ps; show that the hypothesis on Spec(A) implies for each i the existence of a maximal ideal m, containing (pl n . . n p, - + p,. Using (b), show that, if the canonical image of z E A in A(m) is zero and for example p1 c m, then the canonical image of z in each of the A(m,) is zero, then conclude that the canonical image of z in A(m') is zero for every maximal ideal m' of A.)

(a) Show that every primary ideal and every irreducible ideal is primal. (b) Let a be an ideal of A such that the set of ideals b for which a: b # a has a greatest element p; show that p is prime and that a is primal. * Give an example of a primal ideal a for which the above condition is not satisfied (cf. 3 1, Exercise 2). * (c) I n a Noetherian ring A characterize the primal ideals and give an example of a non-primary primal ideal (cf. 3 1, Exercise 11 (b)).

3 . I n a commutative ring A an ideal a is called quasi-prime if for every 4 ordered pair of ideals 6, c of A, the relation b n c c a implies b c a or c C a; every prime ideal is quasi-prime and every quasi-prime ideal is irreducible. If the Chinese remainder theorem is valid in A, show that every irreducible ideal is quasi-prime (Algebra, Chapter VI, 3 1, Exercise 25).

* 35.

Let K be a commutative field, B the valuation ring, whose order group

is R, consisting of the "formal power series"

c,Tx, where C, E K, x E R + and the set of x such that c, # 0 is well ordered; the ring A defined in 3 1, Exercise 2 is a subring of B and B is a flat A-module. If C is the A-module defined in 3 1, Exercise 2, show that Ass,(C @A B) # .@ althoughAssA(C)= 0 (consider an element of C @A B = B/aB the canonical image of an element of B of valuation a). *

32. A ring A is called primary if it is a local ring and its maximal ideal m is a nil ideal (*). Every ideal of A contained in m is then m-primary in A. (a) Let A be a strongly Laskerian primary ring, so that in particular the maximal ideal m is nilpotent. Show that, if a, b are two ideals contained in m, necessarily a: b # a (use Exercise 30 (b)). (b) A primary Noetherian ring is Artinian. Deduce that, for every finitely generated module M over a Noetherian ring A and every p-primary submodule N of M, there exists an integer m such that every strictly decreasing sequence (M,/N)ocrcr of submodules of M/N for which the M, are p-primary has length k < m (consider the A,-module M, and note that MJN, is annihilated by a power of PA,). (c) Show that an Artinian ring A in which every prime ideal #{O} is maximal is the direct composition of a finite number of primary rings. 33. Let A be a commutative ring. An ideal a of A is called primal if, in A/a, the set of divisors of 0 is an ideal p/a; the ideal p is then prime.
(*) For (commutative) Artinian rings this definition coincides with that of Algebra, Chapter VIII, $6,Exercise 20.

300

3 1. Under the hypotheses of Proposition 1 of no. 1, show that every prime ideal p E Ass,(M) (3 2, Exercise 17) is graded and is a minimal element of the set of prime ideals containing the annihilator of a homogeneous element of M. (Show first that the largest graded ideal p' contained in a prime ideal p of A is prime, observing that, if the product of two elements x,y belongs to p', SO does the product of their homogeneous components # O of highest degree. Note then that, if a prime ideal contains the annihilator of an element z E M, it also contains the annihilator of a t least one of the homogeneous components # O of 2.)

2. I n a graded ring A of type A (where A is torsion-free) let p be a minimal element of the set of prime ideals of A, which is necessarily graded (Exercise 1). Show that for every homogeneous element t E p there exists a homogeneous element s 4 p and an integer n > 0 such that stn = 0. Deduce generalizations of Propositions 3 , 4 and 5 to graded rings which are not necessarily Noetherian (with the definitions of fj 2, Exercises 12 and 20).
3. Let A be a graded ring of type A (where A is torsion-free) and M a strongly Laskerian finitely generated graded A-module (3 2, Exercise 28). Show that the submodules Q ( p ) = Q ( p , e,(M)) (where p runs through h , ( M ) ) defined in Exercise 4 of 3 2 are graded submodules.
301

CHAPTER V(*)

Integers

Unless otherwise stated, all the rings and all the algebras considered in this chapter are assumed to be commutatiue and to possess a unit element; all the ring homomorphisms are assumed to map unit element to unit element. B y a subring o a ring A we mean a subring f containing the unit element of A.

1. NOTION OF AN INTEGRAL ELEMENT

1. INTEGRAL ELEMENTS OVER A RING

THEOREM 1. Let A be a (commutative) ring, R an algebra ouer A (not necessarily commutative) and x an element o f R. Thefollowing properties are equivalent:
(E,) x is a root o f a monic polynomial in the polynomial ring A[X]. (En) The subalgebra A[x] o f R is a Jinitely generated A-module. s (EIII) There exists a faithful module ouer the ring A[x] which i ajnitely generated A-module.
Let us show first that (E,) implies (EII).Let

Xn + a,Xn-l

+ . . . + an
+

be a monic polynomial in A[X] with x as a root; for every integer q 2 0 let M, be the sub-A-module of R generated by 1, x, . . .,xn q. Then
#n+Q

= -a

p+P--1

-. . . - anxQ M, E
=.
e

for all q 2 1, whence, by induction on q,

M, = M,-l

Mo.

(*) The results of this chapter and the next one depend on no Book other than Books I to VI, nor on Chapter I, Q 4, nor on Chapter 111, Q 5.

303

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fj 1.1

We conclude that A[x] is equal to M, and is therefore a finitely generated A-module. the commutative ring A[x] is a faithful module over itself, (E1J implies (EIII)* Finally, the fact that (EIII)implies (El) follow from the following more will precise lemma : LEMMA Let A be a ring, R an algebra (not necessarily commutative) over A 1. and x an element ofR. Let M be afaithful module over A[x] which is a jnitely generated A-module. If q is an ideal ofA such that xM c qM, then x is a root o f a monicpolynomial with coeficients in A all o whose coeficients other than the dominant coejicient f belong to q. Let ( U J ~ < ~ < ,be a finite family of elements of M such that M = , Au,. 1=1 For all i, there exists by hypothesis a finite family (qtj)lcjan of elements of q such that
XU( =
j

(3) The complex numbers integral over Z are also called algebraic integers.
Remarks (1) Let A be the subring of R (contained in the centre of R) the image of A under the ring homomorphism A -+ R which defines the A-algebra structure on R. Clearly it is equivalent to say that an element of R is integral over A or that it is integral over A. ( 2 ) Let R be a sub-A-algebra of R; the elements of R which are integral over A are just the elements of R which are integral over A and belong to R; this often allows us not to specify the algebra to which an integral element over A belongs, when no confusion can arise.
PROPOSITION 1.

Let A be a ring, R an algebra over A (not necessarily commutative) and x an element o R. For x to be integral ouer A, it is necessary and suficient that A[x] f be contained in a subalgebra Ro f R which is a Jinitely generated A-module.
The condition is obviously necessary by virtue of property (EII); it is also sufficient by virtue of (EIII),for R is a faithful A[x]-module (since it contains the unit element of R).

2
=

qtjuj ~

for

< i < n.

Therefore (Algebra, Chapter 111, 5 8) if d is the determinant of the matrix - &,x) with elements in A[x] (6,, denoting the Kronecker index), then du, = 0 for all i and hence d M = 0; as M is assumed to be a faithful A[x]module, necessarily d = 0. This means that x is a root of the polynomial det(qt, - 6,,X) in A[X] which, up to a sign, is a monic polynomial whose coefficientsother than the dominant coefficient belong to q.
(qu

COROLLARY. Let A be a Noetherian ring, R an A-algebra (not necessarily commutative) and x an element of R.For x to be integral over A, it is necessary and suficient that there exist a Jinitely generated submodule of R containing A[x].
The condition is necessary by virtue of (EII); it is sufficient for if A[x] is a sub-A-module of a finitely generated A-module, it is itself a finitely generated A-module (Algebra, Chapter VIII, fj 2, no. 3, Proposition 7). The hypothesis that A is Noetherian cannot be omitted from the statement (Exercise 2).

DEFINITION 1. Let A be a ring and R an A-algebra (not necessarily commutative). An element x E R is called integral over A f it satisfies the equivalent properties (EI), i (EII), (E111) of Theorem 1. A relation of the form P(x) = 0, where P is a monic polynomial in A[X] is also f called an equation o integral dependence with coefficients in A.
Examples (1) Let K be a (commutative) field and R a K-algebra; to say that an element x E R is integral over K is equivalent to saying that x is a root of a non-constant polynomial in the ring K[X] ;generalizing the terminology introduced when R is an extension of K (Algebra, Chapter V, 5 3, no. 3), the elements x E R which are integral over K are also called the algebraic elements of R over K. * ( 2 ) The elements of Q(i)which are integral over Z are the elements of the form a ib where a E Z and b E Z (Gaussian integers) ; the elements of Q ( 4 5 ) which are integral over Z are the elements o f the form (a b1/5)/2 where a and b belong to Z and are both even or both odd (for these two examples see Exercise 1). *

DEFINITION 2. Let A be a ring. A n A-algebra R (not necessarily commutative) is f called integal over A if every element o R is integral over A. R is calledjnite over A ;f R is a Jinitely generated A-module.

It follows from Proposition 1 that every finite A-algebra is integral; if R is commutative and a finite A-algebra, R is obviously ajnitely generated A-algebra; the converse is false.
Example (4) If M is a finitely generated A-module, the algebra End,(M) of endomorphisms of M is integral over A by virtue of (EIII); in particular, for every integer n, the matrix algebra M,(A) = End,(An) is integral (and even finite) over A.
PROPOSITION

2. Let A, A be two rings, R an A-algebra, R an A-algebra (not

305

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INTEGRAL ELEMENTS OVER A RING

9 1.1

necessarily comniutative) and f:A --+ A' and g : R --+ R' tzuo ring homomorphisms such that the diagram f A- A'

induction hypothesis implies that B = A[x,, . . ., x,,-,] is a finitely generated A-module; as x, is integral over B, B[xn] = A[x,, . . .,xn] is a finitely generated B-module and therefore also a finitely generated A-module (Algebra, Chapter 11, 3 1, no. 13, Proposition 25). COROLLARY 1. Let A be a ring and R a (Commutative)A-algebra. The set o R integral over A is a subalgebra of R. f

R -R' 1 8
If xn + a&'-'

of elements

is commutative. I f an element x E R is integral over A, then g ( x ) is integal over A'.

+ . + a,,

= 0 where ai E A for 1

< i < n, we deduce that

In fact, if x, y are two elements of R integral over A, it follows from Proposition 4 that A [ x ,y] is a finitely generated A-module; as it contains x + y and xy, the corollary follows from Proposition 1.

(dx))" +f(ad(g(x))n-l +**..+f(an) = O m COROLLARY 1. Let A be a ring, B a (commutative) A-algebra and C a (not necessarily commutative) B-algebra. Then every element x E C which is integral over A is integral over B.
CORLLARY 2. Let K be ajeld, L an extension ofK and x, x' two elements ofL which are conjugate over K (Algebra, Chapter V, 3 6, no. 2). I f A is a subring ofK and x is integral over A, x' is also integral over A. There exists a K-isomorphismf of K(x) onto K(x') such that f ( x ) = x' and the elements of A are invariant underf. COROLLARY 3. Let A be a ring, B a (commutative) A-algebra and C a (not necessarily commutative) B-algebra. I f C is integral over A, C i integral over B. s P R O P O S ~3. O N ( R J 1 ~ Let <{<,, be aJinitefamily of (not necessarily commutative)

In a non-commutative algebra the sum and product of two integral elements over A are not necessarily integral over A (Exercise 4).

COROLLARY 2. Let A be a ring, R an A-algebra (not necessarily commutative) and E a set o elements o R which are pairwise permutable and integral over A. Then f f f the sub-A-algebra B o R generated by E is integral over A. Every element of B belongs to a sub-A-algebra of B generated by a finite subset of E.

Remark (3) It follows from Proposition 4 that every commutative A-algebra integral over A is the union of a right directed family ofjinite subalgebras over A.

PROPOSITION 5. Let A be a ring and A and R two (commutative) A-algebras. I f R is integral over A, R @A A' is integral over A'.
Consider any element x' = xi @ a; of R @A A', where the xi belong to R and the a; to A'; as xi @ a: = (xi @ 1)a: and the xi @ 1 are integral over A' (Proposition 2), so is x. COROLLARY. Let R be a ring and A, B, C subrings o R such that A c B. I f B is f integral over A, C[B] is integral over C[A].

A-algebras and let R = R,be their product. For an element x = (xi) , of R , to be integral over A, it is necessary and suficient that each o f the xi be integral over A. For R to be integral over A, it is necessary and suficient that each ojthe R, be integral over A.
I t is obviously sufficient to prove the first assertion. The condition is necessary by Proposition 2. Conversely, if each of the xi is integral over A, the subalgebra A[xi] of Riis a finitely generated A-module and hence so is the subalgebra

a
n

i = 1 A[+] of R; as A [ x ] is contained in this subalgebra, x is integral over A by Proposition 1.

B @A C[A] is integral over C [ A ] by Proposition 5 and hence so is the C [ A ] in R (considered as an A-algebra) by canonical image C [ B ] of B Proposition 2.
PROPOSITION Let A be a ring, B a (commutative) A-algebra and C a (not neces6. sarily commutative) B-algebra. I f B is integral over A and C is integral over B, then C is integral over A. I t is sufficient to verify that every x E C is integral over A. By hypothesis there . + b, with coefficients in B exists a monic polynomial X" + blXn-' with x as a root; then x is integral over B' = A[b,, . . ., b,] and B'[x] is therefore a finitely generated B-module. But as B is integral over A, B' is a finitely

PROPOSITION 4. Let A be a ring, R an A-algebra (not necessarily commutative) and (xi) a Jinite family of elements of R which are pairwise permutable. I f , for all i, xi is integral over A[x,, ., xi-J (and inpartinrlar ifall the xi are integral over A), then the subalgebra A[x,, . . .,xn] OfR is a finitely generated A-module.

--

+-

We argue by induction on n, the proposition being just (E,) for n = 1. The

306

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EXAMPLES OF INTEGRALLY CLOSED DOMAINS

3 1.3

generated A-module (Proposition 4) ; we conclude that B'[x] is also a finitely generated A-module (Algebra, Chapter 11, 5 1, no. 13, Proposition 25) and therefore x is integral over A.

K is the field of fractions of B and it is sufficient to apply Proposition 7 to R = K.

PROPOSITION 8. Let R be a ring, (B,),,L a family o f subrings o f R and for each h E L let A, be a subring ofB,. Ifeach A, i integrally closed in B,, then A = ,L A, s Q
i integrally closed in B = ,L s Q

A. Then R

COROLLARY. Let A be a ring and R, R' two (commutative) A-algebras integral over @A R' is integral over A.

B,.

R @A R is integral over R (Proposition 5) and hence the conclusion follows from Proposition 6.
2. THE INTEGRAL CLOSURE OF A RING. INTEGRALLY CLOSED DOMAINS

This follows immediately from Definition 3 and no. 1, Corollary 1 to Proposition 2. COROLLARY. Every intersection of a non-emptyfamily o f integrally closed subdomains ofan integral domain A is an integrally closed domain. It is sufficient to apply Proposition 8 taking R and the Bh equal to the field of fractions K of A and noting that a subring of K integrally closed in K is a fortiori an integrally closed domain since its field of fractions is contained in K.
I

DEFINITION 3. Let A be a ring and R a (commutative) A-algebra. The sub-A-algebra A' of R consisting ofthe elements ofR integral over A (no. 1, Corollary 1 to Proposition 4) is called the integral closure of A in R.If A' is equal to the canonical image of A in R, A is called integrally closed in R.

Remarks (1) If h: A -+ R is the ring homomorphism defining the A-algebra structure on R, the integral closure of A in R is also that of h ( A ) in R. On the other hand, if R' is a subalgebra of R, the integral closure of A in R' is A' n R'. (2) If A is a j e l d , the integral closure A of A in R consists of the elements of R which are algebraic over A (no. 1, Example 1) ; generalizing the terminology used for field extensions (Algebra, Chapter V, 5 3, no. 3), A' is then also called the algebraic closure of the field A in the algebra R and A is called algebraically closed in R if A' = A.
DEFINITION 4 If A i an integral domain, the integral closure of A in its jeld of . s fractions is called the integral closure of A. A n integral domain i called integrally closed s f it is equal to its integral closure. i

PROPOSITION 9. Let A be a ring, (RJlsisn a jnite family of A-algebras and A; the integral closure o f A in R, (1 < i < n ) . Then the integral closure o f A in

R=

FIR, is equal FIA;.

1=1

to

;=1

This is an immediate consequence of no. 1, Proposition 3. COROLLARY 1. Let A be a reduced Noetherian ring, p, (1 < i < n ) its distinct minimal prime ideals, K, the jeld o f fractions o f the integral domain Alp, (canonically isomorphic to the local ring Ap, (Chapter IV, 5 2, no. 5, Proposition 10)) and A; the integral closure of A in K, (1 < i < n ) . Then the canonical isomorphism o f the

total ring o f j u t i o n s B o f A onto

onto the product ring

n
n
1=1

K, (loc. cit.) maps the integral closure o f A in B

IA;. 2
1=1

Note that an integrally closed domain is not necessarily closed in any ring containing it, as the example of a field which is not algebraically closed shows. PROPOSITION 7. Let A be a ring and R an A-algebra. The integral closure A' ofA in R i a subring integrally closed in R. s The integral closure of A' in R is integral over A by no. 1, Proposition 6; it is therefore equal to A'. COROLLARY. The integral closure of an integral domain A i an integrally closed s domain. Let K be the field of fractions of A and B the integral closure of A. Clearly

COROLLARYFor a reduced Noetherian ring to be integrally closed in its ring of 2. fractions it is necessary and suj'icient that it be a direct composition of integrally closed (Noetherian) domains.
3 EXAMPLES OF INTEGRALLY CLOSED DOMAINS .

PROPOSITION 10. Every principal ideal domain i integrally closed. s

Let A be a principal ideal domain, K its field of fractions and x an element of K. There exist two relatively prime elements a, b of A such that x = ab-1 (Algebra, Chapter VII, 9 1, no. 2, Proposition 1 and Chapter VI, 5 1, no. 11, Proposition 9 (DIV)). If x is integral over A, it is a root of a polynomial

308

309

V
x n

INTEGERS

of A[X]. Then an = b(-c1an-l - . - c,bn-l), which proves that b divides a". Since a and b are relatively prime, this implies that b is invertible in A (Algebra, Chapter VI, 5 1, no. 12, Corollary 1 to Proposition 11 (DIV)); hence x E A.
I

+~

~ X n - 1.

+ . + c,

EXAMPLES OF INTEGRALLY CLOSED DOMAINS

5 1.3

cients ofthe minimal polynomial P o f x over K are integral over A (and they therefore belong to A if A is integrally closed). There exists by hypothesis (no. 1, Theorem 1) a monic polynomial Q E A[X] such that Q(x) = 0. As P divides Q in K[X], it follows from Proposition 11 that the coefficients of P are integral over A. Let A be a ring and R a (commutative) A-algebra; the homomorphism 4: A +R defining the A-algebra structure on R can be extended uniquely to a homomorphism A[X] + R[X] of polynomial rings over A and R, leaving X invariant and hence R[X] is given a canonical A[X]-algebra structure. PROPOSITION 12. Let A be a ring, R an A-algebra and P a polynomial in R[X,, . . .,X,]. For P to be integral over AIXl, . . .,X,], it is necessary and sujicient that the coejicients of P be integral over A.

LEMMA Let R be a ring and P a monk polynomial in R[X]. There exists a ring R' 2. containing R such that in the polynomial ring R'[X] the polynomial P is a product o f monic polynomials o degree 1. f We proceed by induction on the degree n of P, the lemma being obvious for n = 0 and n = 1. Suppose therefore that n > 1. Let a be the ideal of R[X] generated by P and let f be the canonical homomorphism of R[X] onto B = R[X]/a. Since P is monic, for every polynomial Q E R[X], deg(PQ) = deg(P) + deg(Q), whence a n R = 0; the restriction off to R is therefore injective. Identifying R with the subring f (R) of B by means of f and writing b =f (X), we see that b is a root of P in B, P being considered as a polynomial in B[X]. Then there exists a monic polynomial Q in B[X] of degree n - 1 such that P(X) = (X - b)Q(X) (Algebra, Chapter IV, 5 1, no. 4 Proposition 5 ) . By the induction hypothesis there exists a ring R' 3 B , such that in R'[X] the polynomial Q is a product of monic polynomials of degree 1;clearly in R'[X] P is then a product of monic polynomials of degree 1. PROPOSITION 11. Let A be a ring, R an A-algebra and P and Q monic polynomials f in R[X]. If the coejicients of P Q are integral over A, the cocficients o P and Q are integral over A.

By considering the polynomials of RIXl, . . ., X,] as polynomials in X, with coefficients in R[X,, . . ., Xn-J, we see immediately that it is reduced to proving the proposition for n = 1. Then let P be a polynomial in R[X]; it follows immediately from no. 1, Proposition 5 that, if the coefficients of P are in the integral closure B of A in R, the element P, which belongs to B[X] = B @A A[X], is integral over A[X]. Conversely, suppose that P is integral over A[X] and let
Q(Y)
=

Ym + Fly"'-'

+ . * + F,
*

By a double application of Lemma 2, we see that there exists a ring R' containing R and families of elements ( a f ) l ( l < m ,(b,)l<lsn of R' such that in

R[X] P(X) = 1 = 1 (X - a,), Q(X) = 1 = 1 (X - 6,) ; the coefficients of P Q belong to the integral closure A' of A in R' and hence (no. 2, Proposition 7) the elements a, (1 < i < m) and b, (1 < j < n) belong to A . It follows that the coefficientsof P and Qare integral over A (no. 1, Corollary 1 to Proposition 4) Let A be an integral domain, K its field of fractions and K' a K-algebra (not necessarily commutative). Given an element x E K' algebraic over K, the polynomials P E K[X] such that P(x) = 0 form an ideal a # 0 of K[X], necessarily principal (Algebra, Chapter IV, fj 1, no. 5, Proposition 7). There exists a unique monic polynomial which generates a; generalizing the terminology introduced in Algebra, Chapter V, 5 3, no. 1, Definition 3, this monic polynomial will be called the minimal polynomial of x over K.

be a monic polynomial with coefficients F, E A[X] with P as a root. Let r be an integer strictly greater than all the degrees of the polynomials P and F, (1 < i < rn) and let us write Pl(X) = P(X) - X'. Then P, is a root of the polynomial Q,(Y) = Q ( Y

+ Xr) = Y" + G1Ym-l +

* *

* *

+ G,

with coefficients in A[X] ;we may therefore write

(1)
I

-Pl(P?-'

+ G,PY-2 + . + Gm-,) = G,.

Now the choice of r implies that - P, is a monic polynomial of R[X] and so is G,(X) = Q(Xr), the degrees of the polynomials F,(X)Xr(m-k) being all <nn for k 2 1. We conclude first of all that the polynomial
of R[X] is also monic; moreover, as the coefficientsof G, belong to A, Proposition 11 shows that PIhas coefficientsintegral over A and the coefficients of P are therefore certainly integral over A.
31 1

I
I

COROLLARY. Let A be an integral domain, K itsjeld offractions and x an element Ofa K-algebra K (not necessarily commutative). If x is integral over A, the coefi310

INTEGERS

COMPLETELY INTEGRALLY CLOSED DOMAINS

5 1.4

PROPOSITION 13. Let A be a ring, R an A-algebra and A the integral closure of A in ' R. Then the integral closure of A [ X , , . . ., X,] in REX,, . . ., X,,] is equal to

A'[XI, * . -, %IThis follows from Proposition 12 and Definition 3 of no. 2.

COROLLARY 1. Let A be an integral domain and A' its integral closure. Then the integral closure of the polynomial ring A [ X , , . . .,X,] is A'[X,, . . .,X,]. Arguing by induction on n, the problem is immediately reduced to the case n = 1. Let K be the field of fractions of A, which is also that of A'; if an element P of the field of fractions K ( X ) of A [ X ] is integral over A [ X ] , it belongs to the polynomial ring K [ X ] , for the latter is a principal ideal domain (Algebra, Chapter IV, 3 1, no. 5, Proposition 7) and hence integrally closed (Proposition lo); the corollary then follows from Proposition 13 applied to R = K. COROLLARY 2. Let A be an integral domain. For the polynomial ring A [ X , , to be integrally closed, it is necessary and su$cient that A be integrally closed. COROLLARY 3. If K is a jeld, every polynomial algebra K [ X , , integrally closed domain.
4. COMPLETELY INTEGRALLY CLOSED DOMAINS

PROPOSITION 14. Let A be a completely integrally closed domain. Then every polynomial ring A [ X , , . . ., X,] (resp. every ring o formalpower series A [ [ X , , . . .,X,]]) f is completely integrally closed.
By induction on n, it is sufficient to prove that A [ X ] (resp. A [ [ X ] ] )is completely integrally closed. Then let P be an element of the field of fractions of A [ X ] (resp. A [ [ X ] ] ) and suppose that there exists a non-zero element QE A [ X ] (resp. Q E A [ [ X ] ] )such that QP" E A [ X ] (resp. QP" E A [ [ X ] ] ) for every integer m > 0. If K is the field of fractions of A, A [ X ] (resp. A [ [ X ] ] ) is a subring of K [ X ] (resp. K [ [ X ] ] )and K [ X ] (resp. K [ [ X ] ] )is a principal ideal domain (Algebra, Chapter VII, 3 1, no. 1) and hence integrally closed (no. 4, Proposition 10) and Noetherian (Algebra, Chapter VIII, 5 2, no. 3) and therefore completely integrally closed; then we have already seen that P E K [ X ] (resp. P E K [ [ X ] ] ) .Let P = a,Xk (a, E K ) and Q = b,Xk k=O k=O (6, E A) and we argue by reductio ad absurdum by supposing that the a, do not all belong to A; then there is a least index i such that a, 6 A; if we write
1-1

. . .,X,]
is an

. . ., X,]

DEFINITION 5. An integral domain A is called completely integrally closed f the i following condition is satisfied: every element x of thejeld offractions K ofA such that all the powers xn (n 2 0 ) are contained in a jnitely generated sub-A-module of K , belongs to A.
Note that the hypothesis that the x" are contained in a finitely generated sub-Amodule of K can also be expressed by saying that there exists a non-zero element d E A such that d x n E A for all n 2 0; for the latter condition means that xn E Ad-,; and conversely, if (b,)l~,s,,,is a finite sequence of elements of K , there exists d E A such that db, E A for 1 < i < m, whence d M c A for the sub-A-module M of K generated by the b,. Clearly a completely integrally closed domain is integrally closed ; conversely, the Corollary to Proposition 1 of no. 1 shows that an integrally closed Noetherian domain is completely integrally closed. * On the other hand, the ring of a valuation of height 2 2 (Chapter VI, 5 4, no. 4) is integrally closed but not completely integrally closed. * If (A,)is a family of completely integrally closed domains with the same field of fractions K , A = C A I is completely integrally closed. For if x E K is such that for some non-zero d in A, dx" belongs to A for all n > 0, the hypothesis implies that x E A, for all L and hence x E A. 312

PI = a,Xk E A [ X ] , it follows immediately from the hypothesis that also k=O Q(P - PI)" E A [ X ] (resp. Q ( P - PI)" E A [ [ X ] ] )for all m 2 0. Let j be the least integer such that b, # 0; clearly in Q ( P - P,)" the term of least degree with a coefficient #O is b,ayX'+"L and hence b,ay E A for all m > 0; but as A is completely integrally closed this implies a, E A, contrary to the hypothesis.

PROPOSITION 15. Let A be a filtered ring whose filtration is exhaustive and such that evey principal ideal o f A is closed under the topology dejned by the filtration. If the associated graded ring gr(A) (Chapter 111, 5 2, no. 3) is a completely integrally closed domain, then A is a completely integrally closed domain.
Let (A,)nGZ the filtration defined on A; as ,flz is the closure of the ideal be A, (0) (Chapter 111,s 2, no. 5), the hypothesis implies first that the filtration (A,,) is separated and, as gr(A) is an integral domain, so then is A (Chapter 111, 5 2, no. 3, Corollary to Proposition 1). Let x = b/a be an element of the field of fractions K of A (a E A, b E A) for which there exists an element d # 0 of A such that dxn E A for all n 2 0. We must prove that b E A a and, as by hypothesis the ideal A a is closed, it is sufficient to show that, for all n E Z , b E A a + A,. As the filtration of A is exhaustive, there exists an integer q E Z such that b E A a A,. It will therefore suffice to prove that the relation b E A a + A, implies b E A a + A,,,. Suppose then that b = ay z where y E A, z E A,,,. Then by hypothesis hUn E A for all n 2 0, whence we obtain immediately d ( x - y)" E A for all n 2 0; in other words, dz" = ant, where t, E A for all n > 0. We can obviously

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THE INTEGRAL CLOSURE OF A RING OF FRACTIONS

Q 1.5

Iimit our attention to the case where z # 0. Let u denote the order function on A (Chapter 111, Q 1, no. 2) and let us write v(d) = n,, ~ ( z= n, 2 m, ) V(a) = n3; let d', z', a' be the respective images of d, z, a in A,,l/A,,l+l, A,,2/A,,a+l,A,,3/An3+1.For all n 2 0, v(dzn) = nl nn, (Chapter 111, Q 2, no. 3, Proposition 1) and hence the canonical image in gr(A) of dzn is d'z'"; similarly it is seen that the canonical image in gr(A) of ant, is of the form a?; where t; ~ g r ( A )and, as a' # 0 we deduce that, for all n 2 0, d'(z'/a')n E gr(A). The hypothesis that gr(A) is completely integrally closed therefore implies the existence of an s' E gr(A) such that z' = a's'; decomposing s' into a sum of homogeneous elements, it is further seen (since z' and a' are homogeneous) that s' may be assumed to be homogeneous, that is the image of an element s E A; then v(as) = v ( z ) = n2 and z = as (mod. Aria+,); as n2 2 m, a fortiori z = as (mod, A,,,), hence b = a ( y + s) (mod. A,,,+,).

COROLLARY 1. Let A be an integral domain, A its integral closure and S a multi' plicative subset o f A such that 0 # S. Then t h integral closure of S- lA is S- lA'. The field of fractions R of A is also the field of fractions of S-lA since 0 # S (Chapter 11, Q 1, no. 1, Remark 7); Proposition 16 is then applied to R. COROLLARY 2. Let A be an integral domain, K its jield of fractions, R an algebra f over K and B the integral closure o A in R. The elements of R which are algebraic over K (no. 1, Example 1) are the elements oftheform a - l b where b E B and a E A, a # 0; ifL is the algebraic closure ofK in R, there exists a basis ofL over K contained in B. The first assertion follows from Proposition 16 applied in the case S = A (0). If (xJCEIis a basis of L over K, then there exists for all L E I an element a, # 0 is also a basis of L over K. of A such that a,x, E B; then COROLLARY 3. Let A be an integral domain and S I the set o f maximal ideals of A. For A to be integrally closed, it is necessary and sujicient that, for all m E Q, A,,, be integrally closed. It follows from Corollary 1 that the condition is necessary. The condition is sufficient, for A = mfn A,,, (Chapter 11, Q 3, no. 3, formula (2)) and it is sufficientto apply the Corollary to Proposition 8 of no. 2. COROLLARY 4 Let A be an integral domain, K its jield o f fractions and S a multi. plicative subset ofA such that 0 # S. (i) Let B be a subring ofK which is integral over A and let f be the annihilator ofthe A-module B/A. Then S-lf is contained in the annihilator o f the (S-lA)-module S-lB/S-,A and is equal to this annihilator if B is a Jinitely generated A-module. (ii) Let A' be the integral closure o f A. For S-IA to be integrally closed, it is sujicient that the annihilator f ofthe A-module A'/A meet S. This condition is also necessary if A ' i a finitely generated A-module. s (i) As fB c A, (S-lf)(S-,B) c S-lA and hence S-lf is contained in Ann (S-'B/S-lA). If B is a finitely generated A-module, the equation S-lf = h ( S - l B / S - l A ) is a special case of formula (9) of Chapter 11, Q 2, no. 4 , S-lB/S-'A being canonically identified with S-l(B/A). (ii) By Corollary 1 S-lA' is the integral closure of S-lA. As the relations f n S # 0 and S-lf = S-lA are equivalent (Chapter 11, Q 2, no. 5, Remark) (ii) is an immediate consequence of (i).
315

5. THE INTEGRAL CLOSURE OF A RING OF FRACTIONS

Let A be a ring, R an A-algebra and S a multiplicative subset of A. Recall (Chapter 11,s 2, no. 8) that S-lR has a canonical S-'A-algebra structure.

PROPOSITION 16. Let A be a ring, R an A-algebra, A the integral closure of A in R ' and S a multiplicative subset o A. Then the integral closure of S- lA in S- lR is S- IA'. f
Let b/s be an element of S-lA' (s E S, b E A'). Since the diagram A-S-lA
i z

is commutative, b/l is integral over S-IA (no. 1, Proposition 2). As 11s E S-IA, b/s = (b/l)(l/s) is integral over S-IA. Conversely, let r/t (r E R,t E S ) be an element of S-IR which is integral over S-IA; then r/l = ( t / l ) ( r / t ) is integral over S-IA. Then there is a relation of the form

< i < n) and s E S. This relation may also be written (srn + alrn-l + a,)/$ = 0 and therefore there exists s' E S such that s'"(srn + alrm-l + . . + a,,) = 0 ; we deduce that (s'sr)" + s'al(s'sr)n-l + . . . + slnsn-lan = 0. By definition
where a, E A (1
+ . a .

therefore s'sr E A', whence r/l

S-lA' and rlt E S-IA'.

314

. +

(r/l)"

+ (al/s)(r/l)n-l +. + (a&)

= 0,

INTEGERS

NORMS AND TRACES OF INTEGERS

4 1.6

If B is a subring of K which is integral over A, the annihilator f of B/A (equal

by definition to the transporter A: B (Chapter I, $ 2, no. 10)) is sometimes called the conductor of B in A. COROLLARY 5. Let A be an integral domain, A' its integral closure and f the annihilator ofthe A-module A'/A. Suppose that A' is afinitely generated A-module. The prime ideals p o A such that A,, is not integrally closed are those which contain f. f This follows immediately from Corollary 4 (ii) applied to S
=

in B reduces to 0, condition (EIII)of no. 1, Theorem 1 proves that d is integral over A. COROLLARY 1. Let A be an integral domain, K its field ef fractions and K' a finitedimensional K-algebra (not necessarily commutative). I f x E K' is integral over A, the coejicients of the characteristic polynomial Pc,,/,(x; X) (Algebra, Chapter VIII, 5 12, no. 2) are integral over A. If z ~ + M ( t ) is the regular representation of the algebra K' (considered as a matrix representation; cf. Algebra, Chapter VIII, 3 13) PcK,/K(x;X) is by definition the characteristic polynomial of the matrix M ( x ) ; if x integral over A, the matrix M ( x ) is integral over A (no. 1, Proposition 2) and it is sufficient to apply Proposition 17. COROLLARY 2. With the same hypotheses and notation as in Corollary 1, TrK,/K(x) and NK,/K(x) integral over A. are TrKflK(x) N ~ / K ( x ) to within a sign, coefficients of Pc,./,(x; X) (Algebra, and are, Chapter VIII, 4 12, no. 1, equations (4)) and hence are integral.
Remark (1) If K' is a simple central algebra over K and
x E K' is integral over A, the coefficients of the reduced characteristic polynomial of x (Algebra, Chapter VIII, $ 12, no. 3) are integral over A. For there is a power of this polynomial equal to P c ~ , , ~ ( x ; (loc. cit., Proposition 8 ) and it is sufficient X) to apply Proposition 17 and no. 3, Proposition 11.

- p.

Note that under the hypotheses of Corollary 5 f # 0 since A' is a finitely generated A-module and every element of KIA (K the field of fractions of A) has an annihilator # 0. * In algebraic geometry, Corollary 5 and the above remark show that the points where an affine variety V is not normal form a closed set distinct from

v. *

6. NORMS AND TRACES OF INTEGERS

PROPOSITION 17. Let A be a ring, B a (commutative) A-algebra and X a square f matrix o order n over B ; thefollowing properties are equivalent: (a) X i s integral over A. (b) There exists a finitely generated sub-A-module M o f Bn such that X . x E M for all x E M and M is a system o generators o the B-module Bn. f f (c) The coej'icients o the characteristicpolynomial o f X are integral over A. f If x(T) = det(T. 1 - X ) is the characteristic polynomial of X , the CayleyHamilton Theorem shows that x ( X ) = 0 (Algebra, Chapter VII, 5 5, no. 4, Remark 1) and, as x is a monic polynomial, (c) implies (a) by no. 1, Proposition 6. Suppose in the second place that (a) holds. If ( e l ) l G l s n is the canonical basis ofBn, the sub-A-module M of B generated by the Xk. ( 1 < i < n, k 2 0 ) el is a finitely generated A-module, since the A-algebra A[X] is a finitely genera. ted A-module (no. 1, Theorem 1); as M contains the el, it is seen that (a) implies (b) ; the converse is a consequence of no. 1, Theorem 1, condition (EIII). Finally let us prove that (a) implies (c); as X is integral over A and a fortiori over the polynomial ring A[T], T . 1 - X is also integral over A[T] and by no. 3, Proposition 12 the problem is seen to reduce (by replacing X by T. 1 - X and A by A[T]) to proving that, if X is integral over A, d = det(X) is an element of B which is integral over A. Now, we have seen above that the endomorphism u of Bn defined by X leaves stable a finitely generated sub-& module M containing the el; the n-vectors x1 A x, A . .A x,, where xi E M for 1

PROPOSITION 18. Let A be an integrally closed domain, K its field of fractions, K' a jnite-dimensional separable K-algebra (Algebra, Chapter VIII, 3 7, no. 5) and A' t h integral closure o A in K'. Then A is contained in a finitely generated A-module. f The proposition will follow from the following more precise lemma:

LEMMA Under the hypotheses ofProposition 18, let 3.

(to1,.

. ., w,)

be a basis o f K'

over K contained in A' (no. 5, Corollary 2 to Proposition 16);then there is a unique basis (wT, ,w,*) ofK' over K for which Trrl,(wlw~) = sl, (Kronecker index) ; ;f d = DK*/K(w~, .,w,) i the discriminant o f the basis (wl,. . ., w,) (Algebra, .. s

. ..

Chapter IX, 5 2), then d # 0 and

1=1

Awl c A' c

1=1

5 Aw:

c d-l

(2

Aw,).

< i < n, therefore generate in A ( B n ) a finitely generated sub-A-module

A u, in other words
n

In partinrlar, ;f d is an invertible element

(WI,

o A, A' f

is a free A-module with basis

,wn).

containing el A e, A . . . A e, and which is stable under under the homothety of ratio d ; as the annihilator of el A e, A . ' - A e, 316

ASK' is a separable K-algebra, d # 0 (Algebra, Chapter IX, 3 2, Proposition 5)

and the K-bilinear form

(x, y)

*TrK'/K(xy)
317

INTEGERS

EXTENSION OF SCALARS IN AN INTEGRALLY CLOSED ALGEBRA

1.7

over K' is therefore non-degenerate (loc. cit., Proposition 4) ; this shows the (Algebra, existence and uniqueness of the basis ( w : ) ~ ~ ~ ~ , Chapter IX, 0 1, no. 6, Corollary to Proposition 6). This being so, the first inclusion of (2) is obvious. Let x be an element of A'; let us write x = E,w: where Ct E K; for all i, El = TrK,/K(XW[), hence El is integral over A (Corollary 2 to Proposition 17) and, as A is integrally closed, El E A for 1 < i < n; this shows the second

zl
n

: inclusion (2). Finally, let us write w

1=1

,=I

c q q where q1 K ; then E

CZ,{Trr/K(wpk)

= 8,k

for a l l j and k; Cramer's formulae show that the

a {belong to ,

d-IA,whence the third inclusion (2). The last assertion follows

=
l=l

immediately from (2), which in this case gives A'

5 Awl.

Let K be the field of fractions of R ; as k is a field, L BkR is canonically identified with a sub-k-algebra of L BkK and L and R with sub-k-algebras of L BkR. Moreover, since an element s # 0 of R is not a divisor of 0 in R, 1 @ s is not a divisor of zero in L @ k R since L is flat over k (Chapter I, 3 2, no. 3) ; identifjring s with 1 @ s, it is therefore seen that, if S = R {0}, L @ k K is identified with S-l(L BkK) ;as L @ k R is assumed to be an integral domain, L @k K is thus identified with a subring of the field of fractions s2 of L @kR(1) Suppose that L is a finite extension of k ; then L @ k K is an algebra of finite rank over K and by hypothesis has no divisor of 0; hence it is a j e l d (Algebra, Chapter V, 3 2, no. 1, Proposition 1) and therefore it is in this case the field offractions S of L g kR. Let (wl,. ., w,) be a basis of L over k, which is 2 . K . : therefore also a basis of L gk over K. There exists a basis (wT, . ., w ) of L such that TrLlk(wlw:) = 6,, (no. 6, Lemma 3); every z E L Q k K may be

In the two corollaries which follow the hypotheses and notations are those of Proposition 18. COROLLARY 1. IfA is a Noetherian ring, the A-module A' is finitely generated and in ' particular the ring A is Noetherian.

written uniquely z

1=1

a p t where a1 E K ; then
n

A' is a submodule of a finitely generated A-module.

COROLLARY 2. I A is a principal ideal domain, A' is a free A-module o rank n. f f Every submodule of a free A-module is then free (Algebra, Chapter VII, 3 3, Theorem 1). COROLLARY 3. Let E be an extension o degree n ofthefield Qofrational numbers. The f f f f additive group o the integral closure in E o the ring Z o rational integers is a free f commutative group o rank n.
Z is integrally closed (no. 3, Proposition 10) and E is separable since Q is of characteristic 0. Corollary 2 can therefore be applied to the case where A = Z, K = Q a n d K' = E.

Remark ( 2 ) . The conclusions of Corollary 1 are not necessarily true if K' is not assumed to be separate over K, even if K' is an extension field of K (Exercise 20). On the other hand, if A is ajnitely generated integral KOalgebra, where KOis aJield, the integral closure of A in any extension of finite degree of the field of fractions of A is a finitely generated A-module and a Noetherian ring, as we shall see in 8 3, no. 2, Theorem 2.
7. EXTENSION OF SCALARS IN AN INTEGRALLY CLOSED ALGEBRA

and as in L the traces Tr(L@K)/K Tr,,, coincide (Algebra, Chapter VIII, and 3 12, no. 2, formula (13)) finally Tr(L@K)/K(zwT) a, for 1 < j < n. Note on = the other hand that the elements of L are integral over k and hence also over R (no. 1, Corollary 1 to Proposition 2); therefore (no. 1, Proposition 5) L Bk is integral over R. This being so, suppose that t E L @ k K is integral R over L @k R ; then z is also integral over R (no. 1, Proposition 6), hence so is z : and therefore also a, = Tr(LQK)/K(zw?) 1 < j < n (no. 6, Corollary 2 w for to Proposition 17). As R is integrally closed, a, E R for all j and hence z E L BkR, which proves the proposition in this case. (2) Suppose now that L is a finitely generated separable extension of K; then there exists a separating transcendence basis ( x l , . . ., x d ) of L over k (Algebra, Chapter V, 3 9, no. 3, Theorem 2) ; as L and K are algebraically disjoint over k in the field Q (Algebra, Chapter V, 3 5, no. 4 ,the xt are algebraically inde) pendent over K; hence R[xl, . . .,xd] is integrally closed (no. 3, Corollary 2 to Proposition 13). Let T be the set of elements #O of the ring A = k[xl, . . ., xd] c L, so that the field k, = k ( x l , . . ., x d ) c L is equal to T - I k [ x 1 , . . .,xd] ; then

k i @k R = (T-lA) g kR

= T-lA @A

(A @ j k R)

= T-'(A @ j k R) = T-'R[x1,

. . .,xd]
319

PROPOSITION 19. Let k be a j e l d , L a separable extenrion o k and R an integrally f R closed k-algebra. Ifthe ring L Bk is an integral domain, it is integrally closed.
318

by the asociativity of the tensor product, hence this domain is integrally closed (no. 5, corollary 1 to Proposition 16). But L @k R is identified with

INTEGERS

INTEGERS OVER A GRADED RING

5 1.8

L gk1k , (

@ k R) and by definition L is a finite separable extension of k l ; it follows therefore from (1) that L @k R is integrally closed. (3) General case. If z is an element of ! which is integral over L g kR, it 2 satisfiesa relation of the form zm + blzm - + . . + b, = 0, where the b, belong to L g kR; then there exists a finitely generated sub-extension L of L over k ' such that the b, belong to L' @k R for 1 < i < m and z to L' g kK. Then it follows from (2) that z E L' @ k R and hence L BkR is integrally closed.

Let A[X, X-l] denote the ring of fractions S- lA[X] of the polynomial ring A[X] in one indeterminate, S being the multiplicative subset of A[X] consisting of the powers X" of X (n 2 0) ; as X is not a divisor of 0 in A[X] it is immediate that the Xi (i E Z) form a basis over A of the A-module A[X, X-'1. For every element a E A with homogeneous components a, (i E Z), we write

* Let V be an affine irreducible algebraic variety, k a defining field of V and

R the ring of functions regular on V defined over k ; if R is integrally closed, V is called normal over k ; Proposition 19 shows that, if V is normal over k, it remains normal over every separable extension L of k. *
COROLLARY. Let k be a j e l d and R and S two integrally closed k-algebras. Suppose that the ring R @ k s is an integral domain and that the jelds o f fractions K and L o f R and S respectively are separable over k. Then the ring R BkS is an integrally closed domain. As R and S are identified with subalgebras of R g k K and L are S,

(5)

j,(a) =

a,X{ E A[X,

X-11

it is immediate thatj,: A -+A[X, X-l] is an injective ring homomorphism.

PROPOSITION 20. Let A = A, be a graded ring and B a (commutative) graded A-algebra. The set A' o f elements ofB integral over A is a graded subalgebra of B.
IfA, = 0 f o r i < 0 and B is a reduced ring, then A; The diagram
B A A[X, X- '1 IJ B[X, X- 1 P ' (where p is the homomorphism defining the A-algebra structure on B and p' the homomorphism canonically derived from it) is commutative, as is immediately verified from the definition (5). Let x be an element of B integral over A; then j,(x) is integral over A[X, X-l] (no. 1, Proposition 2) and it therefore follows from no. 5, Proposition 16 that there exists an integer m > 0 such that XmjB(x) an element of B[X] integral over A[X]. We then deduce from no. 3, is Proposition 12 that the coefficients of the polynomial XmjB(x) integral over are A; as these coefficients are by definition the homogeneous components of x , it is seen that these are integral over A, which proves that A' is a graded subalgebra of B. Suppose now that x E A; where i < 0; the remark at the beginning of this no. shows that x satisfies an equation of the form (4) where a; E Akt for 1 6 k < n. If A, = 0 f o r j < 0, then xn = 0 and if B is a reduced ring we conclude that x = 0 and hence A; = 0 for all i < 0 in this case.
&call (Chapter 11, 3 2, no. 9) that, if A = 4 is a graded ring and S is a multiplicative subset of A consisting of homogeneous elements, a graded ring structure is defined on S-'A by taking the set ( S - 'A) of homogeneouselements of degree i to be the set of elements of the form als, where a E A and s E S are homogeneous and such that deg(a) - deg(s) = i.
P

,%

0 for i < 0.

identified with subfields of the field of fractions SZ of R BkS which are linearly disjoint over k (Algebra, Chapter V, 5 2, no. 3, Proposition 5). It then follows from Proposition 19 that R @gk L and K @k S are integrally closed domains; as their intersection is R @ k s (Chapter I, 5 2, no. 6, Proposition 7), R gk is an integrally closed domain (no. 2, Corollary to Proposition 8). S

* Given two irreducible affine varieties V, W defined over k, their product

V x W is an afine variety and the ring of functions regular on V x W is identified with the tensor product over k of the ring of functions regular on V and the ring offunctions regular on W. The Corollary to Proposition 19 shows that, if V and W are normal over k, then V x W is normal over k. *
8. INTEGERS OVER A GRADED RING

All the graduations considered in this no. are oftype Z; ifA is a graded ring and i E 2 , 4 denotes the set of homogeneous elements o f degree i of the ring A.
Let A be a graded ring and B a graded A-algebra. Let x be a homogeneous element of B which is integral over A ; then there is a relation (3)
ui

x"

+ a,x"-l

+ a,, = 0

where a, E A for

< i Q n.

Let m = deg(x) and let a; be the homogeneous component of degree m i of (1 < i < n ) ; then obviously

,%

x" + a;xn-l +. . . + a; = 0 (4) in other words x satisfies an equation of integral dependence with homogeneous coefficients.

320

321

INTEGERS

INVARIANTS OF A GROUP OF AUTOMORPHISMS OF AN ALGEBRA

3 1.9

LEMMA Let A = 4. A, be a graded integral domain and S the set o f homogeneous elements # O o f A. (i) Every homogeneous element # O of S-lA is invertible, the ring K O = (S-lA), is a j e l d and the set of i E Z such that (S-lA), # 0 is a subgroup qZ of Z (where
q 2 0. )

,2

with a subring of the ring of homogeneous elements of degree 0 of S-lA; every element of KOintegral over A, (and a fortiori over A) belongs therefore by hypothesis to A,. COROLLARY 3. Let A = A, be an integrally closed graded domain. Then, f o r every integer d > 0, the ring A(d)(Chapter 111, 3 1, no. 3) is an integrally closed domain. Let U be the set of homogeneous elements #O of A(d) and let x be a homogeneous element of U-lA(d)integral over A(d) and hence over A; as x E S-lA, x belongs to A by hypothesis; as its degree is divisible by d, it belongs to A(d) and it then follows from Corollary 1 that A(d) integrally closed. is
9. APPLICATION: INVARIANTS OF A GROUP OF AUTOMORPHISMS OF AN ALGEBRA

,3

(ii) Sup#ose that q 2 1 and let t be a non-zero element o f (S-lA)*. Then the KOhomomorphismf of the polynomial ring Ko[X] to S-A which maps X to t extends to an isomorphism o K o [ X ,X - l ] onto S-lA and S-lA is integrally closed. f The assertions in (i) follow immediately from the definitions and the hypothesis that A is an integral domain, for if als and als are two homogeneous elements #O of S-lA of degrees i and i, aa/ss is a homogeneous element # 0 and of degree i + i. To show (ii), we note that since t is invertible in S-lA the homomorphism f extends in a unique way to a homomorphism r: K,[X, X-l] += S-lA and necessarilyJ(X-) = t - l . On the other hand, by definition of q, every homogeneous element # 0 of S-lA is of degree qn ( n E Z) and hence can be written uniquely in the form Atn where A E KO(since S-lA is an integral domain); hencefis bijective. Finally, we know that Ko[X] is integrally closed (no. 3, Proposition 10) and hence so is K o [ X ,X-l] (no. 5, Corollary 1 to Proposition 16), which completes the proof of the Lemma. PROPOSITION 21. Let A = ? A, be a graded integral domain and S the set o f l z homogeneous elements # O o A. The integral closure Ao f A is then a graded subring f OfS-lA. Iffurther A, = 0 f o r i < 0, then A: = 0 for i < 0. I f A = A,, the proposition is trivial. Otherwise we may apply Lemma 4; the ring S-lA is an integrally closed domain and therefore A c S-lA; as S-lA is graded, so is A by Proposition 20; the latter assertion also follows from Proposition 20. COROLLARY 1. With the hypotheses and notation o f Proposition 2 1, ;f every homogeneous element of S-lA which is integral over A belongs to A, then A is integrally closed. Then A; c A for all i E Z and hence A = A. COROLLARY 2. IfA is integrally closed.
=

Given a ring K, a K-algebra A and a group 9, shall say that g operates on we A if: (1) the set A has group of operators 9 (Algebra, Chapter I, 3 7, no. 2) ; (2) for all Q E %?, mapping x w Q . x is an endomorphism of the K-algebra A the (and therefore an automorphism since it is bijective (loc. Lit.)). We shall denote by A? the set of elements of A which are invariant under 9; clearly it is a subK-algebra of A. We shall say that $9 is a locallyjnite group of operators on A if every orbit of g in A (Algebra, Chapter I, Corrections to Fascicule IV) isjnite.

PROPOSITTON A be a (commutative) K-algebra and %? a locallyjnite group o f 22. Let operators on A. Then A is integral over the subalgebra AS.
For all x E A, let xi (1 < i < n) be the distinct elements of the orbit of x under 5; all Q E 9, for there exists a permutation x , of the set { 1,2, . . .,n} such that c.x1 = xn,(i) for 1 < i < n ; therefore the elementary symmetric in functions of the xt are elements of A which are invariant under 9, other
words elements of A. As x is a root of the monk polynomial ( X - xi) and i=l the coefficients of this polynomial belong to A, x is integral over A.

n
n

THEOREM 2. Let A be a jnitely generated K-algebra and 92 a locally jinite group o f oflerators on A. Then A i a jinitely generated A-module; f further K is Noetherian, s i As is a finitely generated K-algebra.
Let ( a j ) 1 G , 4 m a system of generators of the K-algebra A; as a fortiori be A = Ag[a,, . . ., a,] and the aj are integral over AS by Proposition 22, the first assertion follows from no. 1, Proposition 4 The second is a consequence . of the following lemma: LEMMA 5. Let K be a Noetherian ring, B a jnitely generated K-algebra and C a
323

,% A, is an integrally closed graded domain, the domain A.

The field of fractions KOof A, is identified (in the notation of Proposition 21)
322

INTEGERS

THE FIRST EXISTENCE THEOREM

2.1

sub-K-algebra of B such that B is integral over C. Then C is a finitely generated A-algebra.

Let (xJICltnbe a finite system of generators of the K-algebra B. For all i, there exists by hypothesis a monic polynomial Pi E C[X] such that P,(x,) = 0. Let C' be the sub-K-algebra of C generated by the coefficients of the P, (1 < i < n) ; clearly the x, are integral over C' and B = C'[xl, . . .,x,,] ; hence B is a finitely generated C'-module (no. 1, Proposition 4). On the other hand C' is a Noetherian ring (Chapter 111, 2, no. 10, Corollary 3 to Theorem 2) ; hence C is a finitely generated C'-module, which proves that C is a finitely generated K-algebra.
Remark. The set of 0 E B such that maj = aj for 1 < j < rn obviously leaves invariant every element of A. The normal subgroup 2'P of '3 leaving invariant every element of A is therefore offinite index in 9 and A may be con? = Ag. sidered as having afinite group of operators '312; obviously

2. THE LIFT OF PRIME IDEALS

1 THE FIRST EXISTENCE THEOREM .

DEFINITION 1. Let A, A' be two rings and h : A -+ A' a ring homomorphism. An

ideal a' o A' is said to lie above an ideal a of A ;fa = h (a'). f

To say that a prime ideal p' of A' lies above an ideal p of A therefore means that p is the image of p' under the continuous mapping "h: Spec(A') -+ Spec(A) associated with h (Chapter 11, 4, no. 3). Note that for there to exist an ideal of A' lying above the ideal (0) of A, it is necessary and sufficient that h : A -+ A' be injective. Let a be an ideal of A; by taking quotients the homomorphism h gives a homomorphism h,: A / a -+ A'la'; to say that a' is an ideal of A' lying above a is equivalent to saying that aA' c a' and that a'/aA' is an ideal of A'laA' lying above (0).

-1

Let S be a multiplicative subset of a ring A and 9 a group operating on A and there exists a unique endomorphism for which S is stable; then, for all Q E 9, z HQ . z of the ring S-lA such that Q . ( a / l ) = ( Q . a ) / l for all a E A; it is given by the formula Q . (a/s) = ( o . a ) / ( o . s ) for a E A and s E S (Chapter IT, 2, no. 1, Proposition 2) ; if 7 is another element of $9, clearly Q . ( T . z ) = (m).z for all z E S-lA and hence the group $9 operates on the ring S-lA. PROPOSITION 23. Let A be a K-algebra, $9 a locally finite group o f operators on A, S a multijlicative subset ofA stable under 9 and S 9 the set S n A". Then the canonical mapping of (Sg)-lA to S-lA (Chapter 11,s 2, no. 1, Corollary 2 to Proposition 2) i an isomorphism which maps (Sg)-lA" to (S-lA)". s For all s E S , let s, sl, . . .,s be the distinct elements of the orbit of s under , 93; as ssl. . .s, E Sg, the first assertion follows from Chapter 11, fj 2, no. 3, Proposition 8. Identifying canonically (S") -lA with S-lA, clearly every element of (S")-lAg is invariant under g.Conversely, let a/t be an element of (Sg) -lA which is invariant under $9 (a E A, t E S") ; if a, (1 < j < m ) are the distinct elements of the orbit of a under 9, then a,/t = a/t for 1 < j < m and therefore there exists s E S g such that s(a, - a) = 0 for 1 < j < m ; in other words, sa is invariant under $9 and, as a/t = (sa)/(st),certainly a/t E (SS) -lAg.
I

LEW 1. Let h: A + A' be a ring homomorphism, S a multiplicative subset o f A, i = iz: A+ S-lA, i' = i;<'):A' -+ S-lA' = (h(S))-IA'the canonical homomorphisms and h, = S - l h : S - lA -+ S - lA', so that there is a commutative diagram

Let p be a prime ideal o f A such that p n S = 0 . Then a' e S-la' i a surjective s mapping ofthe s e t s o f ideals of A' lying above p onto the set 6 o f ideals of S-lA' lying
I

COROLLARY. Let A be an integral domain, K its field of fractions and 9 a locally ? jinite group of operators on A. Then $9 operates on K and Kg is the field o fractions f of A9.
A

above S - l p and the mapping a; H i' (a:) is a bijection of& onto the set ofideals belonging t o g and is saturated with respect to h ( S ) ; in particular p' H S- lp' is a bijection of the set o f p r i m ideals of A' lying above p onto the set o f prime ideals of S- lA' lying above S-lp.
We know that S-lp is a prime ideal of S-lA and that -i1(S-lp) = p (Chapter
11, Q 2, no. 5, Proposition 11) ;if there exists an ideal b' of S-'A' lying above

-1

- (0)is stable under $9.

S-lp,thenh(1 -'1 b ' ) ) = - 1(h,1 (6')) = p ; a s S - l . i '- b ' ) = b'(loc.cit.),thisalready - i ( i (1

324

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THE FIRST EXISTENCE THEOREM

g 2.1

shows that the image of 9under the mapping a' ++S-la' contains S On the l . other hand, if a' 9, and s E S, there are the following equivalences aEA
hl(a/s) E S-la' o h(a)/h(s)E S-la' o there exists t E S such that h(t)h(a)E a' o there exists t E S such that ta E p o a / z E S-lp.

16), S-lp is a maximal ideal of'S-lA (Chapter 11, fj 2, no. 5, Proposition 1l ) , S-la' and S-'p' are ideals of S-lA' lying above S-lp (Lemma 1) and S-'a' 2 S-lp'. As S-lp' is prime, it is maximal by Proposition 1 and hence S-lp' = S-la'; therefore a' is contained in the saturation of p' with respect to h ( S ) , which is equal to p' (Chapter 11, 3 2, no. 5, Proposition 11). COROLLARY 2. Let A' be an integral domain, A a subring of A' such that A' is integral over A and f a homomorphism from A' to a ring B. rf the restriction off to A is injective,f is injective.
.

Hence h;l(S-la') = S-lp, which completes the proof that the image of 9 under the mapping a' H S-la' is equal to Fl;other assertions follow from the Chapter 11, 5 2, no. 5, Proposition 11. PROPOSITION 1. Let h: A -+A' be a ring homomorphism such that A is integral over ' A, p' a prime ideal o f A' and p = h-l(p'). For p to be maximal, it is necessary
and suficient that p' be so.

If a' is the kernel off, the hypothesis means that a' n A = (0) ; as A' is an integral domain, Corollary 1 may be applied taking p and p' to be the ideal (0) of A and the ideal (0) of A respectively, whence a' = (0). COROLLARY 3. Let h : A -+A' be a ring homomorphism such that A' is integral over A and m a maximal ideal o f A and suppose that there are in A' only a Jinite number of distinct maximal ideals m; (1 < j < n) lying above m. Let q; be the saturation of mA' with respect to m; (Chapter 11, 5 2, no. 4). Then: (i) In the ring A'/q; the divisors of zero are the elements of m;/q; and they are ni4otent (1 < j < n).

Let us write B = Alp, B' = A / p ' and let h,: B + B' be the homomorphism derived from h by taking quotients; B and B' are integral domains and B' is integral over B (5 1, no. 1, Proposition 2). T o say that p (resp. p') is maximal means that B (resp. B') is a field. The proposition then follows from the following lemma: LEMMA 2. Let B be an integral domain and A a subring of B such that B is integral over A. For B to be a Jield, it is necessary and suficient that A be aJield.

(iii) The canonical homomorphism A'lmA' +

n
j

(A'/q;) is bijective.

If A is a field, then, for ally # 0 in B, A[y] is by hypothesis (9 1, Theorem 1) a finitely generated A-module; as A[y] is an integral domain, it is a field (Algebra, Chapter V, 3 2, no. 1, Proposition 1) and a fortiori y is invertible in B and hence B is a field. Conversely, suppose that B is a field and let z # 0 in A; as 2-l E B, 2-l is integral over A, in other words there is an equation of integral dependence
2-n

+ alz-(n-l) + . . . + a,,

For a prime ideal of A' to contain mA', it is necessary and sufficient that its inverse image under h contain m and hence that it lie above m, since m is maximal in A; the m; are therefore the only prime ideals of A' containing mA' (Proposition 1) and therefore c' = m; is the radical of mA' (Chapter 11, 0 2, no. 6, Corollary 1 to Proposition 13). By definition of q;, the class mod. q; of an element of A' m; is not a divisor of 0 in A'/q;; on the other hand, as the m; are distinct maximal ideals, for every i n d e x j there exists an element a; belonging to m; and not to m; (Chapter 11, 1, no. Proposition as then, for all x tpcj a;x E r', hence the class mod. q; of a;x is1,nilpotent and,4); E m;,

(;7

where the ai E A; now this relation shows that

-2-l

= a1

+ a,z +. - - + a,,zn-l EA,

hence A is certainly a field. COROLLARY 1. Let h :A + A' a ring homomorphism such that A is integral over ' A, p aprime ideal ofA and p' and a' two ideals o f A' lying above p such that p' C a'. If p' i prime, then a' = p'. s Letuswrites
= A-

p; thenS-lA'isintegraloverS-lA (5 l,no.5,Proposition

that of a; is not a divisor of 0, we conclude that the class of x is nilpotent; in other words m; is the radical of q, which proves (i). It follows that the q; are ; relatively prime in pairs (Chapter 11, 3 1, no. 1, Proposition 3); (iii) will therefore be a consequence of (ii), taking account of Chapter 11, 3 1, no. 2, bposition 5. To establish (ii), we note that in the ring A'/mA' the m;/mA' are the only maximal ideals and q;/rnA' is the saturation of (0) with respect to m;/mA' (Chapter 11, 5 2, no. 4) ;we may therefore restrict our attention to the case mA' = (0); the assertion of (ii) then follows from Chapter 11, 3 3, no. 3, corollary 2 to Theorem 1.

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THE FIRST EXISTENCE THEOREM

$2.1

Remark (1) If A' is Noetherian, it follows from (i) and (ii) that unique primary decomposition of mA' (Chapter IVY 2, no. 3). $

(9;)

(, ,,is the

THEOREM 1. Let h: A -+ A' be an injective ring homomorphism such that A is integral over A and p a prime ideal ofA. There exists a prime ideal p' of A lying above p. '
Suppose first that A is a local ring and p the maximal ideal of A; then, for
-1

COROLLARY 4. Let A be a ring, A' a ring containing A and integral over A and f a homomorphism from A to an algebraically closed jield L. Then f can be extended to a homomorphismfrom A' to L.
Let p be the kernel ofJ which is a prime ideal sincef (A) c L is an integral domain; let p' be a prime ideal of A' lying above p (Theorem 1). Then A/p is canonically identified with a subring of A'/p' and A'/p' is integral over A/P ($ 1, no. 1, Proposition 2). The homomorphismf defines, by taking the quotient, an isomorphism of A/p onto the subringf(A) of L, which can be extended to an isomorphism g of the field of fractions K of Alp onto a subfield of L. As the field of fractions K' of A / p ' is algebraic over K, g can be extended to an isomorphism g' of K' onto a subfield of L (Algebra, Chapter V, fj 4, no. 2, Corollary to Theorem 1) ; if x' : A' -+ A l p ' is the canonical homomorphism, g' o x' is a homomorphism from A' to L extending$
Remark (2). Let h: A -+A' be a ring homomorphism such that A' is integral over A; then the associated continuous mapping ah: Spec(A') -+ Spec(A) is closed. For every ideal a' of A', A'/a' is integral over A', hence also over A (0 1, no. 1, Proposition 6) and Spec(A'/a') is identified with a closed subspace V(a') of Spec(A') ; to show that O h is closed, we see then (replacing A' by A'/a') that it is sufficient to prove that the image of Spec(A)' under ah is a closed subset of Spec(A) ; now it follows from Theorem 1 that this image is just the set of prime ideals of A containing the ideal Ker(h) and this set is closed by definition of the topology on Spec(A).

every maximal ideal m' of A', h (m') is a maximal ideal of A (Proposition 1) and hence equal to p, which proves the theorem in this case (sinceA' contains A by hypothesis and is therefore not reduced to 0). In the general case, let us write S = A p; then S-lA is a local ring whose maximal ideal is S-lp (Chapter 11, 3 2, no. 5, Proposition 1l), S - l h : S-lA -+S-'A, is injective (Chapter 11, $ 2, no. 4, Theorem 1) and S-lA is integral over S-lA (3 1, no. 5, Proposition 16) ; then there exists a prime ideal q' of S - l A ' lying above S - l p and we know that q' = S-lp', where p' is a prime ideal of A' lying above p (Lemma 1).

If h : A + A is not injective, Theorem 1 is no longer necessarily true, .' as the example of the homomorphism Z -+ Z / n Z ( n > 1 ) shows. However Theorem 1 can be applied to the canonical injection h(A) --f A'; in other words, the statement of Theorem 1 is true for prime ideals p containing Ker(h).

COROLLARY 1. With the hypotheses and notation of Theorem 1 ,h (pA')

-1

= p.

PA'c p'and h(p')

-1

= p.

COROLLARY 2. Let h: A -+ A be a ring homomorphism such that A' is integral over ' A, a and p two ideals of A such that a c p and a' an ideal of A' lying above a. Suppose that p is prime. Then there exists aprime ideal p' of A' lying above p and containing a'.

2. Let h : A -+A' be a ring homomorphism such that A' is integral over A, p a prime ideal of A, S = A p, (pi) I the family of all the prime ideals o A' f lying above p and S' = (A' pl); then S-lA' = S'-'A'. re1
PROPOSITION

n -

If hl :A/a +A'la' is the homomorphism derived from h by taking quotients, hl is injective by hypothesis and A'/a' is integral over A/a ($ 1, no. 1, Proposition 2) ; then there exists a prime ideal p'/a' of A'/a' (p' prime in A ) lying
above p/a (Theorem 1) and p' is the required ideal.

In fact, by definition h ( S ) c S' and, as h ( S ) - A = S-'A', ' it suffices to prove, by virtue of Chapter 11, fj 2, no. 3, Proposition 8, that, if a prime ideal q' of A does not meet h ( S ) , it does not meet S' either. Now, suppose that q' n h ( S ) = o and let q = h (4') ; then q n S = o, in other words q c p. A q' lies above q by definition, it follows from Corollary 2 to Proposition s 1 that there is an index c such that q' c pi and hence q' n S' = 0, which completes the proof.
-1

COROLLARY 3. Let A be a ring and A' a ring containing A and integral over A. 9 ' is the Jacobson radical o A ,3 n A is the Jacobson radical of A. 1 f ' '

If

Let 32 be the Jacobson radical of A. For every maximal ideal m' of A', m' n A is a maximal ideal of A (Proposition l), hence 32 c m' n A and therefore 9t C %' n A (Algebra, Chapter VIII, fj 5, no. 3, Definition 3). Conversely, let x E 32' n A; for every maximal ideal m of A, there exists a prime ideal of A' lying above m (Theorem 1) and this ideal m' is necessarily maximal (Proposition I), hence x E m' n A = m and therefore x E 32.

PROPOSITION 3. Let h : A -+A'be a ring homomorphism such that A' is a jinitely generated A-module; then, for every prime ideal p of A, the set of prime ideals of A' lying above p isjinite.
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3 2.2

Let S = A p; by Lemma 1 we may replace A by S-lA, A by S-lA (which is a finitely generated S-lA-module) and p by S-lp; in other words, we may asume that A is a local ring and p is its maximal ideal. Then (by the remark made at the beginning of this no.) A may be replaced by A/p, A by A / p A and p by (o), for A/pA = (A/p) @A A is a finitely generated (A/p)-module. Thus we have finally reduced the problem to proving the proposition when A is a field and p = (0) ; A is then an A-algebra of finite rank and therefore Artinian and we know that in such an algebra there is only a j n i t e number of prime ideals (Chapter IV, 3 2, no. 5, Proposition 9).
2. DECOMPOSITION GROUP AND INERTIA GROUP

A l p leaving invariant the elements of AZ/(pn AZ) (canonically identified with a subring of A/p) and by definition ST(p) is the kernel of this canonical homomorphism; gTis therefore a normal subgroup of gZ. k is the field of If fractions of Alp, every automorphism of A / p can be extended uniquely to an automorphism of k, so that I-+ E can be considered as a homomorphism from g Z ( p ) to the group of automorphisms of k. Note finally that, since gT is AT normal in gZ, is stable under gZ.

DEFINITION 2. Let A be a ring and 9 a group operating on A (5 1, no. 9). Given a prime ideal p o A the subgroup of elements 0 E 9 such that Q . p = p is called the f decomposition group o f p (with respect to 9) and is denoted by 9 z ( p ) . The ring of elements o f A invariant under g Z ( p ) is called the decomposition ring of p (with respect to 9) is denoted by Az(p) (*). and
We often write gZ and AZ instead of g Z ( p ) and AZ(p) respectively, when there is no ambiguity. For all 0 E g Z ( p ) we also denote by z H 0 . z the endomorphism of the ring A/$ derived from the endomorphism x t-+ 0 . x of A by taking quotients; clearly the group g2(p) operates in this way on the ring A/$. DEFINITION 3. With the notation of Definition 2, the subgroup of V ( p ) consisting of those 0 such that the endomorphh z I-+ Q . z o A/$ is the idatity is called the inertia f group ofp (with respect to 9) denoted by g T ( p ) (or gT). ring of elements of and The A invariant under gT(p) is called the inertia ring o f p (with respect to 9) is and denoted by AT($) (or AT) (t). If A is the subring of A consisting of the invariants of 9, clearly (1) (2)

LEMMA 3. Let A be a ring, 9 a group operating on A, A the ring of invariants of 9, p a prime ideal o f A and S a multiplicative subset of A not meeting p. Then P(S-p) = g Z ( p ) , iP(S-p) = gT(p) and, ij-9islocallyjnite, S-lAZ(p) = AZ(S-lp) and Sw1AT(p) AT(S-lp). =
0 . p = p, also S-lp. Conversely, suppose that 0 E 9 is such that Q . (S-p) = S-lp; then, ifx E p, (o.x)/l E S-lp and there therefore exists s E S such that s(0.x) E p, whence 0.x E p since p is prime and s $ p; this proves that u. p c p and it can be similarly shown that 0 - l . p c p, hence 0 . p = p and u E gZ(p). If 0 E iP(p), then 0.x - x E p for all x E A, hence also, for all s E s,
0 . (S-lp)

As the elements of S are invariant under 9,clearly, if

=

o.(x/s)

- (x/s) = (O.x - x)/sES-p

and therefore 0 E F(S-1p). Conversely, suppose that 0 E gT(S-lp) ;then, for all x E A, 0. (x/l) - (x/l) E S-lp and therefore there exists s E S such that ~ ( 0 . x x) E p, whence as above Q . X - x E p, which proves that 0 E gT(p). The last two assertions follow from 3 1, no. 9, Proposition 23.

THEOREM 2. Let A be

a ring, g a jnite group operating on A and A the ring invariants of$, so that A is integral over A (3 1, no. 9, Proposition 22).

of

A c Az(p) c AT($) c A.

It follows from Definitions 2 and 3 that, for all p E 9,

9Z(p.p) = p P ( p ) p-1, 9T(p.p) = p9T(p) p-1.

If, for all Q E 9z(p), 5 is the automorphism z I-+ Q . z of Alp, 0 H 5 is a ? homomorphism (called canonical) of gZto the group I, of automorphisms of
The letter 2 is the initial of the German word Zerlegung which means decomposition. (t)The letter T is the initial of the German word Tragheit which means inertia.
(*)

I
i

(i) Given two prime ideals p, q o f A lying above the same prime ideal p of A, there exists 0 E 9 such that q = 0. p; in other work, 9 operates transitively on the set o prime ideals of A lying above p. f (ii) Let p be aprime ideal ofA, p = p n A and k (resp. k) thejeld offractions of Alp (resp. Alp). T h k is a quasi-Galois extension (*) o f k and the canonical homomoqhirm Q H d from 9(p) to the group Iof k-automorpkismr o f k defines, by taking the quotient, an kumorphim of9z(p)/%2T(p) onto I. ?
(*) I n order to avoid confusion with other meanings of the word normal we henceforth use the term quasi-Galois extension as synonymous with the term 6 normal extension defined in Algebra, Chapter V, 5 6, no. 2, Definition 2.

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DECOMPOSITION GROUP AND INERTIA GROUP

$ 2.2

(i) If x E q then ' ,

cr.x E q '

nA

= p c p';

then there exists

that Q . x E p', that is x E 5 - l. q. We conclude that q' c ' 5 . p' and hence (since 9 is finite and the 5 . p' prime) there exists Q E 9 such that q' c cr. p' (Chapter 11,s 1, no. 1, Proposition 2) ; as q' and cr. p' both lie above p, q' = Q . p' (no. 1, Corollary 1 to Proposition 1). (ii) To see that k' is a quasi-Galois extension of k, it suffices to prove that every element X E A / is a root of a polynomial P in k[X] all of whose roots '$ are in A / p ' (Algebra, Chapter V, $ 6 , no. 3, Corollary 3 to Proposition 9). Now, let x E A' be a representative of the class X; the polynomial Q(X) = (X - 0 . x ) has all its coefficients in A ; let P(X) be the polynomial in (A/p) whose coefficients are the images of those of Q under the [XI canonical homomorphism x : A -+ A l p . As x may be considered as the restriction to A of the canonical homomorphism x' : A' -+ A'/$, it is seen that P is the product in (A/p')[X] of the linear factors X - x ' ( 0 . x ) and therefore solves the problem since j;: = x ' ( x ) . Clearly, for all Q E P,6 is a k-automorphism of k'; it remains to verify that u Hd maps 9=onto the group of all k-automorphisms of k'. Let us write S = A p; k and k' are not changed by replacing A' and p' by S - l A ' and S-lp' respectively, by virtue of fj 1, no. 9, Proposition 23 and the relation S-lp' n S - l A = S - l ( A n p') = S-lp (Chapter 11, $ 2, no. 4) ; it follows from Lemma 3 that neither gZnor its operation on k' is changed; we may therefore restrict our attention to the case where p is maximal, in which case we know that SO is p' (no. 1, Proposition 1) and every element of k' is therefore of the form x'(x) for some x E A'; it has been seen above that such an element is a root of a polynomial in k[X] of degree < Card(9). A s every finite separable extension of k admits a primitive element (Algebra, Chapter V, fj 7, no. 7, Proposition 12 and $ 11,no. 4, Proposition 4), it is seen that every finite separable extension of k contained in k' is of degree <Card($??), whence it follows that the greatest separable extension k: of k contained in k' (Algebra, Chapter V, fj 7, no. 6 , Proposition 11) is of degree <Card(B) (Algebra, Chapter V, $ 3, no. 2, Remark 2). Let y E A' be an element such that x'(y) is a primitive element of k . The ideals cr. p' for Q E 9 g2are maximal and distinct from p' by defii nition; there therefore exists x E A' such that x = y (mod. p') and x E a-lp' for Q E 3 g2(Chapter 11, $ 1, no. 2, Proposition 5). This being so, let u

ovg

9 such

but u(x'(x)) # 0 and, for cr E $ 9 g2,Q . X E p' and hence x ' ( 0 . x ) = 0; we conclude that necessarily T E BZ.But as u and 7 have the same value for the primitive element d ( y ) = x ' ( x ) of k:, they coincide on k: and, as k' is a radicial extension of ki, they coincide on k'. COROLLARY. With the hypotheses and notation of Theorem 2, let f i , f a be two homomorphisms of A to a j e l d L with the same restriction to A.Then there exists Q E 9 such that fa(%) = f l ( Q . x ) f o r all x E A'. Let p; be the kernel offt ( i = 1,2) which is a prime ideal of A; hypothesis by p i n A = p i n A and this intersection is a prime ideal p of A ; there therefore exists T E 9 such that pi = p i (Theorem 2 (i)); replacingf l by the homomorphism x H f i ( T . x ) we may then assume that pa = pi (an ideal which we shall denote by p'). By taking the quotient we then derive from f l and f a two injective homomorphismsf ; , fl from A'/$ to L which therefore extend to two injective homomorphisms f!', f [ from the field of fractions k' of A'/p' to L. As k' is a quasi-Galois extension of k, so is k; = f;(k') and kg = fl(k') (k being identified with a subfield of L) and, as there is a k-isomorphism of

ag

k; onto ki, k! = kg (Algebra, Chapter V, $ 6, Proposition 6 ) . Thus f; f l is a k-automorphism of k'; by Theorem 2 (ii) it is therefore of the form 6, where Q E ~ ~ ( P ' In particular, for all X E A 'the elements f a ( x ) and f l ( o . x ) are ). equal.
0

- 1

Remarks
( 1 ) Note that under the hypotheses of Theorem 2 k' may be inznite over k if k' is not separable over k (Exercise 9). (2) Clearly k is a Galois extension of k if the field k is perfect. It is then finite ' over k.

be a k-automorphism of k' and let P(X) = (X - x ' ( 0 . x ) ) ; as ~ ' ( x is a ) root of P and P E k[X], u ( x ' ( x ) ) is also a root of P in k' and hence there exists T E 9 such that
u(x'(x)) = x ' ( 7 . x ) ;

Let A' be a ring, 3 a jinite group operating on A', .%' a subgroup ' $3,A and B the rings ofinvariants of9and .%' respectively and p' aprime ideal of A ; let us write p = A n p' and p(B) = B n p'. (i) For to be contained in the decomposition group S2(p'), it is necessary and mt & that p' be the only prime ideal o f A lying above p(B). (a) If.%' contains 9 2 ( p ' ) , thefollowing conditions are satis-ed: (a) The rings Alp and B/p(B) have the same j e l d offractions. (b) T e maximal ideal ofthe local ring B, is equal to pB,(,,. h ,, , (a) Suppose further that A' is an integral domain and that pnA;. = 0 ; then Conditionr (a) and (b) o (ii) imply that g2(p') leaves invariant the elements ofB. f
~ O P O S I T I O N4.

nco

(i) It follows from Theorem 2 (i) that the prime ideals of A lying above

P(B) are the ideals of the form Q . p', where Q E X ; whence immediately (i).
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$2.2

(ii) We write S = A p; we know that the rings of invariants of 9 and 8 in S-lA' are respectively S - I A and S-lB (5 1, no. 9, Proposition 23) and g z ( S - 1 ~ ) gZ(p') (Lemma 3); finally S-lp(B) = S-lp' n S-lB (Chapter = 11, 3 2, no. 4),the local ring of the prime ideal S-lp(B) of the ring S - l B is and canonically isomorphic to Bp(B) its residue field is isomorphic to the field of fractions of B/p(B) (Chapter 11, $ 2, no. 5, Proposition 11). We can therefore show (ii) restricting our attention to the case where p is maximal. To establish (a) it will be sufficient to prove that

for this will show that the fields Alp and B/p(B) are canonically isomorphic. By Theorem 2 there is only a finite number of prime ideals of A' lying above p and by Theorem 1 of no. 1 there is at least one prime ideal of A' lying above every prime ideal of B; this implies that there is only afinite number of prime ideals of B lying above p; let nf (1 < j < I ) denote those of these ideals which are #p(B). Let x be an element of B; as the ideals p(B) and n, are maximal (no. 1, Proposition I), there exists y E B such that y = x (mod. p(B)) and y E nr for 1 < j < r (Chapter 11, 3 1, no. 2, Proposition 5). Let y , = y , y,, . . .,y , be distinct elements of the orbit of y under 27; clearly

hand, if z E 9, u = u and hence necessarily 7. ut # u for i > 2, which z. shows that 7 . v = v and hence v E B. It can be shown as in the proof of (a) that, '3 if cr E 2 is such that a.u = ut where i > 2, a-l.p' lies above one of the nr and, as u 4 nf, also u $ cr-l.p', in other words ut 6 p'. We conclude that v $ p' and therefore v $ p(B). On the other hand clearly w E p' n A = p and the relation w = uv shows that u is in the saturation of pB with respect to p(B) and hence establishes (4). (iii) Suppose that A' is an integral domain, that Q pnA$ = 0 and that ,0 conditions (a) and (b) of (ii) hold. With the same notation as in (ii), clearly S - l A ' is an integral domain and S - IA;. = A;.; it is therefore possible to replace A' and p' by S-lA' and S-lp', in other words, suppose also that the ideal p is maximal. The hypotheses (a) and (b) then imply that
(5)
Bp(B)

=A

+ pBp(B,

By induction on n we deduce that BPo, = A + pnBPCB) all n > 0. Then for let cr be an element of gZand x be an element of B. For all n > 0, there exists a,, E A such that x - a , E pnBp(B) pnA;; as cr.a, = a, and a . p ' = p', we c dedcce that c . x - x E pnA[.. Since this relation holds for all n, we conclude from the hypothesis that u. x = x.
harks

and to establish (3) it will be sufficient to show that y t E p' for i > 2, for then we shall deduce that z - y E p' n B = p(B), whence x E A + p(B) since x = y (mod. p(B)). Then let i 2 2 and cr E 9 such that cr.y = y ; ; we show that 9 0 - l . p' does not lie above p(B). For otherwise there would exist z E 2 such that c r - l . p' = z. p' (Theorem 2 (i)),whence ( z - b - l ) . p' = p', in other words T - l o - l E gzc 8 by hypothesis, whence cr E 8; but as y E B and cr.y # y , this is absurd. We conclude that 0 - l . p' lies above one of the ideals nr and, as y E nf by construction, certainlyy E 0 - l . p' or y t = 0 . y E p'. T o prove (b) it will suffice to establish that p(B) is contained in the saturation q of the ideal pB with respect to p(B) (Chapter 11,s 2, no. 4 Proposition 10); , as p(B) is contained in none of the nj (1 < j < r ) , it will suffice even to prove that

(3) If A' is an integral domain and Noetherian, the condition p"A;, = 0 always holds (Chapter 111, 0 3, no. 2, Corollary to Proposition 5). It can be shown that this condition is also satisfied if A' is assumed to be an integral domain and A to be Noetherian. (4) If p is not a maximal ideal of A relation (3) does not necessarily hold under the hypotheses of (ii) and therefore A/p and B/p(B) are not necessarily isomorphic even if we take # = %", whence B = A" (Exercise 10). ?

COROLLARY 1. Under the hypotheses of Theorem 2 the rings A/p and AZ/(p'n A') have the same field offractions and the maximal ideal of the local ring (AZ);,A= generated by p. COROLLARY 2. Let A' be an integral domain, g afinite group operating on A ,A' the ' ring o invariants o 5 and p' aprime ideal ofA'; let K, Kz and K be the fields of f f 9 fractions of A, Az and A' respectively. T e K' is a Galois extenion of K and the hn subfildr L o K containing K and such that p' is the only prime ideal o A' lying above f f the ideal p' n L o A' n L are just those which contain Kz. f

(4)

p(B)

= q u n1 u . u nr

by Chapter 11, 3 1, no. 1, Proposition 2. For this, we consider an element u E p(B) belonging to none of the nj (1 < j < r ) (Chapter 11, 5 1, no. 1, Proposition 2) ; let u1 = u, u2, . . .,urnbe the distinct elements of the orbit of u under 9; write w = q u a . . .urn,v = u2. . .urn;clearly w E A; on the other we

9 operates on K' and K is the field of invariants of 3 in K' (8 1, no. 9, ' Proposition 23 applied to S = A ( ) and similarly KZ is the field of in0)
variants of Bz; by definition K' is therefore a Galois extension of K. If . #
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5 2.3

is the subgroup of 3 consisting of those Q E 3 leaving invariant the elements of L, to say that L contains KZ means that X is contained in gZ(Algebra, Chapter V, 3 10, no. 5, Theorem 3) and, as L is the field of invariants of X in K, A n L is the ring of invariants of X in A; the second assertion then follows from Proposition 4 (i).

DEFINITION 4. With the hypotheses and notation of Corollary 2 to Proposition 4 a , prime ideal p of A is said to decompose completely in K $the number ofprime ideals of Alying above p is equal to [K :K].
I t amounts to the same to say that, for a prime ideal p of A lying over p, the subgroup gZ(p) is equal to the subgroup 4 leaving invariant all the elements of A, or that AZ(p) = A, or that 3 / 4 operates faithfully on the set of prime ideals of A lying above p.

a radicial extension of kT; whence ki c kT, since every element of k: is separable over k and a fortiori over kT. We know that ki is a Galois extension of k (Algebra, Chapter V, 9 10, no. 9, Proposition 14) and it follows from Theorem 2 that its Galois group is isomorphic to 3 = 3z/3T. kT is a radicial extension of k;, kT is a quasi-Galois As :gT). extension of k and the separable factor of the degree of kT over k is q = (gZ It remains to see that kT is a separable extension of k. We have seen above that 3 is identified with an automorphism group of AT and that AZis the ring of invariants of 3.If x AT, the polynomial Q(X) = (X - ~ ( x ) there) fore has its coefficients in AZ;the polynomial over Az/(p n AZ)whose coefficients are the images of those of Q under x is of degree q and has a root x(x) AT/($ n AT). As AZ/(pn AZ) = k by Proposition 4 (ii), we see that every element of kT is of degree < q over k. This being so, let k, be the field of invariants of the group of k-automorphisms of the quasi-Galois extension kT of k ; then [kT:kl] = q (Algebra, Chapter V, 0 10, no. 9, Proposition 14). Let u be a primitive element of kT over k,; as it is of degree q over k, and of degree < q over k, it is of degree q over k and its minimal polynomial over k, has coefficients in k ; this shows that u is separable over k. On the other hand, for all v E k,, there exists a power pr of the characteristic exponentp such that u p f E k. We conclude that k(u - v), which contains
(u

aG,

COROLLARY 3. Let A be an integral domain, 3 ajnite commutative group operating on A, A the ring o f invariants o f 3, p a prime ideal of A and K and K the fields o f fractions o f A and A respectively. Then the prime ideals of A lying above p all have the same decomposition ring AZ and the jeld of fractions KZ o f AZ is the greatest intermediate field between K and K in which p decomposes completely.
If p is a prime ideal of A lying above p, then g Z ( c .p) = g Z ( p ) since 3 is commutative (formula (2)), hence (Theorem 2 (i))all the prime ideals of A lying above p have the same decomposition group gZ and therefore the same decomposition ring AZ;their number is ( 3 : gZ). L be an intermediate field Let between K and K and let X be the subgroup of 3 leaving invariant the n elements of L; the decomposition group of p with respect to X is gZ X ; as A n L is the ring of invariants of X in A, the number of prime ideals of A lying above p n L is ( X :(SZ X ) ) = ( X g ZgZ) n : (since 3 is commutative). X The number of prime ideals of A n L lying above p is therefore ( 3 : g Z ) . For p to decompose completely in L, it is necessary and sufficient therefore that ( 3 : X 3 )= [L:K] = ( 3 : X )and, as X c X g Z , this is equivalent to 2 S Z = X or also to gZc 2 and finally to L c KZ.

- 7))

UPf

- UPf,

contains upf and consequently k(up). But as u is separable over k, k(u) = k(UP) (Algebra, Chapter V, 3 8, no. 3, Proposition 4), whence k(u) C k(u - v). AS u is of degree q over k and u - v of degree <q, it follows that k(u) = k(u - v), whence v E k(u). This shows that v is separable over k, hence k, = k and kT is separable over k.

COROLLARY. Ifthe order ofthe inertia group ST(p) is relatively@*me to the characteristic exponent p o f k, thefield k is a Galois extension of k.
With the notation of the proof of Proposition 5, the polynomial x(P) has coefficients in kT = k: and all its roots equal to ~ ( x j ; we immediately deduce that x(P) is a power ofa minimal polynomial of x ( x ) over k:; but the latter has degree equal to a power of p and hence, as the degree ofx(P) is equal to the order of gT, hypothesis implies that x(x) E ki, in other words the ki = k.
3 DECOMPOSITION AND INERTIA FOR INTEGRALLY CLOSED DOMAINS .

PROPOSITION 5 . With the hypotheses and notation of Theorem 2, the field o fractions f kT ofAT/(p n AT) is equal to the greatest separable extension ki o f k contained in k.
As in Proposition 4 this may be reduced to the case where p is a maximal ideal of A, which implies that p, p n AZ and p n AT are maximal in A, AZ and AT respectively (no. 1, Proposition 1).

For all x E A, the polynomial P(X) = (X - Q . X ) has its coefficients in the inertia ring ATand, by definition of gT, its roots in A are congruent all mod. p; the polynomial x(P) over AT/($ n AT) whose coefficients are the canonical images of those of P under the homomorphism x : A -+A/$ therefore has all its roots in A/$ equal to the image of x, which shows that k is

arIT

LEMMA 4. Let A be an integrally closed domain, K its field of3actions, p the characA
histics exponent o f K, K a radicial extension . K and A a subring o f K containing f and integral over A. For evey p r i m ideal p of A, there exists a unique prim ideal

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9 2.3

p' of A' lying above p and p' is the set of x for which 9"' p. E

A such that there exists an integer m 2 0 '

it is seen that S is closed in 3and, as (Fa) left directed set, its intersection , is a 9 is non-empty. Clearly for (I 9,g 2 ( p ' ) and 6 = u, which completes ( E I the proof of (ii) in this case. (C) General care. The field of invariants K , of g is a radicial extension of K (Algebra, Chapter V, 9 10, no. 9, Proposition 14); there therefore exists a single prime ideal p, of A, = A' n K, lying above p (Lemma 4). If p' and q' are two prime ideals of A' lying above p, then they lie above pl; as K' is a Galois extension of K , and A' n K , is integrally closed (fj 1, no. 2, Proposition 7 and Corollary to Proposition 8), it follows from (B) that there exists Q E such that (I. p' = q'; whence (i). On the other hand, clearly the field of fractions k , of A&, is a radicial extension of k (A being integrally closed) ; as k' is a quasi-Galois extension of k, by (B), k' is a quasi-Galois extension of k, every k-isomorphism of k' to an algebraically closed extension of k' being a k,isomorphism. This last remark shows also, taking account of (B), that every k-automorphism of k' is of the form 8 where (I E g2(p'), which completes the proof of (ii). Remark (2) Suppose that K is a Galois extension of K and let us keep the
notation of the proof of Proposition 6; for all a let 9: (resp. 9:) be the subgroup of 9 consisting of the cs whose restriction to A ' K, belongs to g Z ( p ' &) (resp. ST(p'n K,)). The proofof Proposition 6 shows that these subgroups are closed in 9 and that

The existence of p' follows from no. 1, Theorem 1. If x E p', there exists m 2 0 such that xpmE K , whence xp"'E A since A is integrally closed, hence XP"' E p' n A = p. Conversely, if x E A' is such that xpmE p c p', then x E p since p' is prime. Remark (1). It follows from 8 1, no. 3, Corollary to Proposition 1 1 that the integral closure of A in K' is the set of x E K' such that there exists rn 3 0 for which 9"' A (Algebra, Chapter V, 8 8, no. 1, Proposition 1). E

PROPOSITION 6. Let A be an integrally closed domain, K itsjield of fractions, K' a f quasi-Galois extension o K and A' the integral closure of A in K'. Then: (i) For every prime ideal p of A, the group 9 of K-automorphisms of K' operates transitively on the set ofprime ideals of A' lying over p. (i) For every prime ideal p' of A ,thejield of fractions k' of A'lp' is a quasi-Galois ' extension of the jield of fractions k of A/(A n 9') and the canonical homomorphism c H 6from gz(p') to thegroup F ofk-automorphisms ofk' deJines,by taking the quotient, a bijection of S2(p')/ST(p') onto F. (A) Suppose first that K' is ajinite Galois extension of K . Then A = A n K since A is integrally closed and A is therefore the ring of invariants of 3 in A'. As g is finite, the proposition follows in this case from no. 2, Theorem 2. (B) Suppose secondly that K' is any Galois extension of K. Then K' is the union of a right directed family (Ka)aoIof finite Galois extensions of K. To show (i), consider two prime ideals p', q' of A lying above p. For all a E I, P n K, and q' n K, are two prime ideals of A n K, lying above p. Since ' A' n K, is the integral closure of A in K, and the restrichons to K, of the ' elements of3 form the group of K-automorphismsof K , it follows from case (A) that there exists Q E 99 such that (I.(p' n K,) = q' n K,. Let b, be the set of Q E 9 which have the above property. Let Q E 9 ' 2 8,; then, for all T E 3 leaving invariant the elements of K,, (QT) . (p' n K,) = Q . (p' nK,) # q' n K, and hence QT E 3 b,. It follows that 8, is closed in the topological Galois P O U P g (Algebra, Chapter V, Appendix 11, no. 1) and clearly the family (8a)uoI is left directed. As $ is compact (loc. cit., no. 2 , Proposition 3) and the 9 are non-empty, the intersection of the family (8,) is non-empty and Q. p' = q' for all Q E , whence (i). TOshow (ii), note that k' is the union of the right directed family (ka)a.EI, where k, is the field of fractions of (A' n n K,). As each k, is a quasiGabis extension of k by (A), so is k' (Algebra, Chapter V, 6 , no. 3, Proposition 8). On the other hand, let u be a k-automorphism of k and let X I : A +A l p ' ' ' be the canonical homomorphism. By virtue of no. 2, Theorem 2 applied to A' n K,, there exists for all a a non-empty set 9 of elements (I E g such that , Q . (p' n K,J = p' n K, and u(x'(x)) = x ' ( Q . x ) for all x E A' n K,. As above

BZ(p') = (7 9 and :
a

gT(p') =

n 9:.
a

Moreover, the set of restrictions to A n K, of the elements of 9 (resp. 9:) is ' the whole of the group g z ( p ' n &) (resp. gT(p' n K,)), every K-automorphism of K, extending to an element of 3.

With the same hypotheses, the ring AZ(p') (resp. AT($)) is the union of the directed family of the A2(p' n K,) (resp. AT($ n K,)): in fact, every x E AZ(p') (resp. every x E AT($)) belongs to one of the K , and by the above there exists a (3 such that K , c KB and the restrictions to A' n K , of the elements of g Z ( p ' ) (resp. gT(p')) are the same as the restrictions to A' n K , of n the elements of Qz(p' n KB) (resp. gT($ KB)), the groups g 2 ( p ' n K,) and p($K , ) being finite; hence x belongs to AZ(p' n KB) (resp. AT(p' n K B ) ) . n

&)/(PI

COROLLARY 1. Under the hypotheses of Proposition 6, let f be a homomorphismfrom A to a j e l d L and g, g , two homomorphismsfrom A' to L which extend$ Then there , exists a K-automorphi-sm Q o K' such that g , = g o (I. f ,
The proof starting from Proposition 6 is the same as that of the Corollary to Theorem 2 starting from the latter.

COROLLARY A be an integrally closed domain, K i t s j e l d of fractions, K' a 2. Let j%te algebraic extension of K and A' a subring of I'containing A and integral over A. (
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3 2.3

(i) For evey prime ideal p of A the set of prime ideals of A lying above p is jnite. ' (ii) If p' is a prime ideal of A lying above p, evey element of A l p ' is of degree ' < [ K : K] over the jield of fractions of Alp. (i) Let K" be the quasi-Galois extension of K generated by K' in an algebraic closure of K' and A" the integral closure of A in K". The field K" is a finite extension of K (Algebra, Chapter V, 3 6, no. 3, Corollary 1 to Proposition 9) and hence its group of K-automorphisms is finite; it follows that the set of prime ideals ofA" lying above p is finite (Proposition6 (i)). On the other hand, as A" is integral over A, the mapping p" Hp" n A' of the set of prime ideals of A" lying above p to the set of prime ideals of A' lying above x is surjective (no. 1, Theorem 1). (ii) The coefficients of the minimal polynomial (over K) of any element x'EA' belong to A (3 1, no. 3, Corollary to Proposition 10); applying the canonical homomorphism x' : A' -+ A / to the coefficients of this polynomial, '$ an equation of integral dependence with coefficients in A/p and of degree < [K' :K] is obtained for the class mod. p' of x ; whence the conclusion.

(ii) Suppose now that x E AT; there exists 0: such that x E AT(p' n K,) (Remark 2) and Proposition 5 of no. 2 shows that the class 2 of x mod.(p' n K, n AT) is algebraic and separable over k ; a fortiori the class mod.(p' n AT) of x is separable over k; to complete the proof of the corollary, it is sufficient to show that k' is a radicial extension of kT. Now, k' is the union of the right directed family offields offractions k,oftherings (A' n K,)/(p' n K,). It follows therefore from Proposition 5 that, if an element of k' belongs to k,, it is radicial over the field of fractions of AT(p' n Ka)/(P' n AT(p' n Ka)) and afortiori over kT (by virtue of Remark 2).

DEFINITION 5. With the hypotheses and notation of Proposition 6, the jield of invariants KZ(p') (resp. KT(p')) of the group g Z ( p ' ) (resp. YT(p')) in the field K' is called the decomposition jield (resp. inertia jield) o p' with respect to K. f

COROLLARY 3. With the hypotheses and notation of Corollary 2, i f A is semi-local, so is A'.

For every maximal ideal m' of A', m' n A is a maximal ideal of A (no. 1, Proposition 1) ;the corollary then follows from Corollary 2, since by hypothesis the set of maximal ideals of A is finite.

3 1, no. 9, Proposition 23 that KZ (resp. KT) is thejield of fractions of the ring

AZ (resp. AT); AZ (resp. AT) is the integral closure of A in KZ (resp. KT).
Remarks

We also write KZ (resp. KT) in place of KZ(p') (resp. KT(p')).It follows from

COROLLARY 4. Let A be an integrally closed domain, K itsjield of fractions, K a Galois extension of K, A' the integral closure of A in K', p' a prime ideal of A , p = A n p' and k and k' thejields of fractions of A/p and A'lp' respectively. Then: (i) Thefield offractions ofAZ/(p'n AZ) is equal to k and the maximal ideal of the local ring of AZ relative to p' n AZ is generated by p. (ii) Thejield o fractions kT of AT/($ n AT) is the greatest separable extension of f k contained in k ' .
The ring A is the ring of invariants in A' of the Galois group of K' over K; if K' is ofjinite degree over K, the corollary then follows from Propositions 4 and 5 of no. 2. Consider now the general case, K' therefore being the union of a right directed set (K,) of finite Galois extensions of K. Then: (i) If x, y are two elements of AZ,where y # p', there is an index u such that x and y belong to AZ(p' n KJ (Remark 2) ;by Proposition 4 of no. 2, there are X O , yo in A with y o $ p' such that xyo - xoy E p', which proves the first assertion of (i) ;if further x E p', we may assume that y o satisfies
XYO E

(3) Under the conditions of Corollary 4 of Proposition 6 and assuming that [K': K] isjnfte, the number of distinct prime ideals lying above p is [KZ:K], this degree being equal to the index ('3 :gZ) Galois theory; moreover, it by
follows from Galois theory that

(6)

[KT:Kz] = (BZ:gT) [ k T : k ] . =

pAZ(p' n Ka) c pAZ(p'),

which proves the second assertion of (i). 340

(4) Let A be an integrally closed domain, K its field of fractions, K' ajnite algebraic extension of K and A' the integral closure of A in K'. Then, for f f every prime ideal p of A, the number o prime ideals o A' lying above p is at most [K:K], (the separable factor of the degree of K over K). We may first restrict our attention to the case where K is a separable extension of K, for in general K is a radicial extension of the greatest separable extension KOof K contained in K', [K':K], = [Ko:K] by definition and, if A, is the integral closure of A in KO,the prime ideals of A, and A' are in one-to-one correspondence (Lemma 4). Suppose therefore that K is separable over K and let N be the Galois extension of K generated by K in an algebraic closure of K, '3 its Galois group, B the integral closure of A in N and 9 a prime ideal of B lying above p. Let % be the Galois group of N over K and 9 2 the decompo.' sition group of 9; prime ideals of B lying above p are the s . 9 where the s E B (no. 2, Theorem 2) and the relation s . 9 = d.9 means that s' = sg where g E Bz. On the other hand in order that s . P n K' = s ' . P n K', it is necessary and sufficient that d.9 = t s . 9 , where t E .%' (no. 2, Theorem 2), whence finally s' = tsg where t E .%' and g E g2.The number of prime 341

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T H E SECOND EXISTENCE THEOREM

$ 2.4

ideals of A' lying above p is therefore equal to the number o classes o 9 under f f the equivalence relation "there exists t E X and g E 9zsuch that s' = tsg" between s and s'; clearly this number is at most equal to the index ( 3 : X ) , the number of right cosets of 2 in 3, and ( 9 : X )= [K': K] by Galois theory.

4. THE SECOND EXISTENCE THEOREM

PROPOSITION 7. Let A be an integrally closed domain, K its field o fractions, K' a f Gal& extension o K, 9 its Galois group, A' the integal closure of A in K.', p' a prime f ideal of A and p = A n p'. Finally, let L be a subjeld of K' containing K and let ' p(L) = P n L. '

THEOREM 3. Let A be an integrally closed domain and A a ring containing A and ' ' integral over A. Suppose that 0 is the only element ofA which is a divisor o f 0 in A.
Let p, q be two prime ideals o A such that q 3 p and q' a prime ideal o A lying above q. f f f Then there exists a prime ideal p' o A lying above p and such that q' 2 p'.
Suppose first that A is an integral domain. Let K, K' be the fields of fractions of A and A' respectively; let K" be the algebraic closure of K and A the integral closure of A in K"; then A c A c A ". Let p" be a prime ideal of A" lying above p (no. 1, Theorem l), q" a prime ideal of A" lying above q and such that p" c q" (no. 1, Corollary 2 to Theorem 1) and finally q; a prime ideal of A" lying above q' (no. 1, Theorem 1). By no. 3, Proposition 6 (i), there exists a K-automorphism Q of K" such that Q . q" = q. Then Q . p" is a prime ideal of A" ; lying above p such that Q . p" = q; and hence p' = A' n Q . p" is a prime ideal of A' lying above p and contained in A' n q; = q'. We pass to the general case. As A is an integral domain and q' is prime, the subsets A (0) and A' q' of A are multiplicative; then their product S = ( A (O}(A' q') is a multiplicative subset of A which does not contain 0 since the non-zero elements of A are not divisors of 0 in A'. Then there exists (Chapter 11, $2, no. 5 , Corollary 2 to Proposition 11) a prime ideal m' of A' disjoint from S, in other words such that m' c q' and m' n A = 0. Let h be the canonical homomorphism A' - A'/m'. The restriction of h to A > is injective and hence h(A)is integrally closed. As m' c q', h(q') is a prime ideal of A/m'lying above h(q) ; since A / m ' is an integral domain, the first part of the proof proves that there exists a prime ideal n' of A'/m' such that -1 n n h ( A ) = h(p) and h(q') 3 n'. The ideal p' = h (n') is a prime ideal of A' ' and q' 3 p', since q' contains the kernel of h. A s n' 3 h ( p ) , p' 3 p. Finally, for x E P n A , h(x) E n' n h(A) = h ( p ) and hence x E p since the restriction of h ' to A is injective; hence p' n A = p.

(i) The decomposition jield (resp. inertia jield) of p' with respect to L is L(KZ) (resp. L(KT)); iffurther L is a Galois extension ofK, the decompositionfield ofp(L) with respect to K is L n KZ. (ii) rf L is contained in KZ, A/p and (A' n L)/p(L) have the same j e l d o f fractions and in the local ring A n L corresponding to the prime ideal p(L), the maximal ideal isgenerated by p. Conversely, ifthese two conditions hold andfurther nQo pnAi. = 0, L is contained in KZ. (i) If 2 is the subgroup of 9 leaving invariant the elements of L, clearly the decomposition group (resp. inertia group) of p' with respect to L is Bzn 2 (resp. gTn X') and the first assertion follows from Galois theory if K' is a j n i t e Galois extension of K (Algebra, Chapter V, 5 10, no. 6, Corollary 1 to Theorem 3) ;in the general case it follows from the fact that AZ (resp. AT) is the union of the AZ(p'n K,) (resp. AT(p'n K,)) in the notation of Remark 2 : every element x E K' belongs to some K, and if it is invariant under g Z ( p ' ) n 2 (resp. ST(p') n X') it is also invariant under g Z ( p ' n KO) i n% ? (resp. g T (n K,) n . ? for some suitable p; hence it belongs by the begin~' %) ning of the argument to L(KZ(p' n K,)) c L(KZ) (resp. L(KT(p' n KO)) c
L(KT)).

Suppose now that L is a Galois extension of K ; the restriction to L of every cr E Bzthen leaves invariant p(L) = p' n L and hence belongs to the decomposition group of p(L) with respect to K. Conversely, let T be an automorphism of L belonging to this group and let o be an extension of T to a K-automorphism of K'; we write q' = a.p'. As p' and q' both lie above p(L), there exists an automorphism p E A such that q' = p. p', whence p - l E gZand T is the re? ~ striction of p - l o to L; in other words, the decomposition group of p(L) with respect to K is identical with the group of restrictions to L of the automorphisms cr E 9 which proves the second assertion. ' , (ii) To say that L c KZ means that X' =I Bz and the assertions of (ii) are therefore special cases of no. 2, Proposition 4 (ii) and (iii) when [ K : K ] is finite. I n the general case the argument is as in the proof of Proposition 6. 342

1L

COROLLARY. Under the hypotheses on A and A' of Theorem 3, let p be a prime ideal The prime ideals ofA lying above p are the minimal elements ofthe set d ofprime ' ideals of A' containing pA'. A prime ideal of A lying above p is minimal in d by virtue of no. 1, Corollary 1 to Proposition 1. Conversely, let q be a minimal element of &. As q' n A = p, ' I Theorem 3 shows that there exists a prime ideal p' of A' lying above p such that q 3 PI. As p' contains pA', the hypothesis made on q' implies that '

of A.

q' = p' and hence q' lies above p.

to V such that f(V') is dense in V. Let A (resp. A') be the ring of functions regular on V (resp. V') ; having been given f we can identify A with a subring of A'; suppose that A' is integral over A. Theorem 1 of no. 1 shows that

* Let V, V' be two affine algebraic varieties and f a morphism of V'

343

INTEQERS

for every irreducible subvariety W of V there exists an irreducible subvariety W of V such thatf(W) is a dense subset of W; in particular, every point of V is the image of an irreducible subvariety of V, which shows thatf is surjective. Similarly, the restriction off to every irreducible subvariety W of V maps W onto an irreducible subvariety of V. Corollary 2 to Theorem 1, no. 1 shows that, if W and X are two irreducible subvarieties of V such that W 3 X and if W is an irreducible subvariety of V such that f ( W ) = W, then there exists an irreducible subvariety X of V contained in W and such thatf(X) = X. If A is integrally closed, V is called normal. Theorem 3 shows that, if V is normal, if W and X are irreducible subvarieties of V such that W 3 X and if X is an irreducible subvariety of V such that f(X) = X, then there exists a subvariety W of V contnining X and such thatf(W) = W. Finally, the Corollary to Theorem 3 shows that, if V is normal and W is an irreducible subvariety of V, the irreducible subvarieties W of V such that
-1

f(W) = W are just the irreducible components off(W).

3. FINITELY GENERATED ALGEBRAS OVER A FIELD

1. THE NORMALIZATION LEMMA

In this no. and the following, k denotes a commutativefield.

THEOREM 1 (Normalization Lemma). Let A be a jnitely generated k-algebra and f f let a, c a, c . c a, be an increasing Jinite sequence o ideals o A such that p 2 1 and a, # A. There exists ajnite sequence of elements ofA which are algebraically indekendent ouer k (Chapter 111, 3 1, no. 1) and such that: (a) A is integral ouer the ring B = k[x,, . . .,x,,]. (b) For all j such that 1 < j < p, there exists an increasing sequence ( h ( j ) ) G f s of integers such that f o r all j the ideal a, n B ofB is generated x l , . . .,x,,.

, ,

Note first that it is sufficient to prove the theorem when A is a polynomial algebra k w , , . . .,Y,]. For in the general case, A is isomorphic to a quotient of such an algebra A by an ideal ah; let a; denote the inverse image of a, in A and let x; (1 < i < r ) be elements of A satisfying the conditions of the statement ; for the ring A and the increasing sequence of ideals ah c a; c . . . c a. Then the images X , of the x; in A for i > h ( 0 ) satisfy the desired conditions; this is obvious for condition (b) and for condition (a) this follows from $ 1, no. 1, Proposition 2; finally, if the x,(h(O) + 1 < i < r ) were not algebraically independent over k, there would be a non-zero polynomial

Q E ~ [ X M+ 1,). . > X;l O

344

where the Q,are polynomials in k p , , . . ., Y,]; as up # 0 is invertible in k, (4) is certainly an equation of integral dependence with coefficients in B, whence our assertion. The field of fractions k(Y,, . . .,Y,) ofA is therefore algebraic over the field of fractions k ( x l , . . .,x,) of B, which proves (Algebra, Chapter V, 9 5, no. 3, Theorem 4) that the x, (1 < i < m ) are algebraically independent. Moreover, a, n B = Bx,; for every element z E a, n B may be written z = xlz where z E A n k(xl, . . .,x,) ; but A n k(x,, . . .,x,) = k[x,, . . .,x,] = B

INTEGERS

THE NORMALIZATION LEMMA

3 3.1

since B is integrally closed (3 1, no. 3, Corollary 2 to Proposition 13); therefore 2 E Bywhich completes the proof of properties (a) and (b) in this case. We argue by induction on m, the case m = 0 being trivial. We may obviously suppose that a, # 0 (otherwise we may take x, = Y , for 1 < i < m and h(1) = 0). Let x1 be a non-zero element of a,; by (Al) there exist tz, . . ., t, such that x,, tz, . . ., t , are algebraically independent over k, A is integral over c = k[x,, t,, . . ., t,] and x,A n C = x,C. By the induction hypothesis there exist elements x2, . . .,x, of k[tz, . . ., t,] and an integer h such that k[t,, . . ., t,] is integral over B = k[xz, . . ., x,], xz, . . .,x, are algebraically independent over k and the ideal a, n B is generated by xz, . . .,xh. Then C is integral over B = k[x,, x,, . . .,x,] (3 1, no. 1, Corollary to Proposition 5 ) and hence so is A (5 1, no. 1, Proposition 6 ); the same argument as in the case (Al) shows that x,, . . .,x, are algebraically independent over k; finally, as x1 E a, and 3 = B [ , , a, n B = Bx, + (a, n B) and, as a, n B is generated (in B) by x] xa, . . ., x,, a, n B is generated (in B) by x,, xz, . . ., x,.

(a)Gmeral case (p = 1).

COROLLARY 1. Let A be an integral domain and B a finitely generated A-algebra containing A as a subring. Then there exist an element s # 0 ofA and a subalgebra B OfB isomorphic t o apolynomial algebra A[Y,, . . .,Y,] such that B[s-l] (Chapter 11, 0 2, no. 1) is integral ouer B[s-]. We write S = A (0) and let k = S-lA the field of fractions of A; clearly S-lB is a finitely generated k-algebra and, as it contains k by hypothesis (Chapter 11, 5 2, no. 4,Theorem l ) , it is not reduced to 0. By Theorem 1 (applied t o p = 1 and a, = 0) there exists therefore a finite sequence (x,) <, <, of elements of S-lB which are algebraically independent over k and such that S-lB is integral over k[xl, . . .,x,]. Let (zj)lsjcm be a system of generators of the A-algebra B; in S-lB each of the zj/l satisfies an equation of integral dependence

(B) Passage f r o m p - 1 t o p . Let t,, . . .,t , be elements of A satisfying the conditions of the theorem for the increasing sequence of ideals a, c . . . c aP-, and let us write r = h ( p - 1). By (A2) there exist elements x, + , . . .,x, of k[t,+ , . . .,t,] and an integer s , , such that C = k[tr+l, * . tml
0 ,

where the Phj are polynomials in the x, with coefficients in k. There exists an element s # 0 of A such that we may write x, = y,/s where y , E B for 1 < i < n and all the coefficients of the P,, are of the form c/s where c E A; finally, replacing if need be, s by a product of elements of S, we may assume that in B

is integral over B = k[x,+,, . . ., x,], xr+,, . . .,x, are algebraically independent over k and the ideal ap n B is generated by x,+,, . . .,x,. Writing x, = t, for i f Y the family ( x , ) , ~ obtained solves the problem with h ( p ) = s. ,~~ For A is integral over C[t,,. . ., t,] = C[x,, . . .,xr] and hence also over B = k [ x , , . ..,x,] = B[xlJ . . .,xr] since C is integral over B (3 1, no. 1, Corollary to Proposition 5 and Proposition 6) ; it can be shown as in the case (Al) that the x1 are algebraically independent over k. On the other hand, for j < p - 1, the ideal
aj

where the Q,, are polynomials in y , , . . .,y , with coefficients in A; if we write z = sz, it is seen, multiplying (6) by s%-l, that z; is integral over ; B = A[y,, . . .,y,,]. We show that the y , are algebraically independent over

A; if there is a relation of the form

n k[x,,

* * -3

*r, t r + l ,

* J

tml

is by hypothesis the set of polynomials in x,, . . .,x,, tr+,, . . .,t, all of whose monomials contain one of the elements x,, . . .,x,,,,; as x,+,, . .,x, are polynomials in t r f l , . . .,t, with coefficients in k, it is seen immediately that a polynomial in xl, . . .,x,, x, + , . . .,x, (with coefficients in k) can belong to a, , only if all its monomials contain one of the elements x,, . . ., Finally, as x,, . . .,x, belong to ap- and hence also to ap, ap n B[xl, . . .,xr] consists of the polynomials in x,, . . .,xr with coefficients in B whose constant term belongs to ap n B; this ideal i s therefore generated by x,, . . .,x,, x r + , , . . .,x,.

all p, we deduce that a;x:l. . = 0 in S-lB, where 4 = aDsP1++Pn in k; by hypothesis therefore a6 = 0 for all p, whence aD = 0 for all p. Moreover, i the ring B[s-l] each of the z;/l is integral over B[s-l] (5 1, no. 1, Proposin tion 2) and, as z,/l = (z;/l)(l/s) in B[s-l], it is seen that the z,/l are integral over B[s-l], which completes the proof (3 1, no. 1, Proposition 4 . )

.*

a,,y;. . .yF

0 where

a,, E

A for

If JS is ajinitely generated A-algebra, [K: L] isjnite and there exists a #

COROLLARY 2 . Let K be afield, A a subring ofK and L thefield offractions $A. 0 in A such that L = A[a-l].

It follows from Corollary 1 that there exist elements x l , . . ., x, of K and a n element a # 0 of A such that x,, . . ., x, are algebraically independent
347

346

INTEGERS

THE ZEROS THEOREM

5 3.3

Over A (and therefore over L) and that K is integral over the subring A[%,, . .,x,,a-1].Thenitfollowsfrom~2,no.l,Lemma2thatA[xl, . . .,x,,a-l] . is a field. But the only invertible elements of a polynomial ring CV,, . . .,Y,] Over an integral domain C are the invertible elements of C; applying this remark to C = A [ a - l ] , it is seen that necessarily n = 0 and that A[a-l1 is a field equal to L by definition of the latter. As K is integral over L and is a finitely generated L-algebra, the degree [K: L] is finite (5 1, no. 1, Proposition 4)

COROLLARY 3. Let A be an integral domain, B a finitely generated A-algebra and b an element o B such that zb" # 0 for all z # 0 in A and every integer n > 0. Let f Q : A -+B be the canonical homomorphism; there exists a # 0 in A such that, for every homomorphismf from A to an algebraically closedjield L such thatf (a) # 0, there exists a homomorphism g from B to L such that g(b) # 0 and f = g o p. The hypothesis on b implies that, if h is the canonical homomorphism x H x/ 1 of B to B[b-'], the homomorphism h 0 Q of A to B [ b - l ] is injective. By Corollary 1 there therefore exist an element a # 0 ofA and a subring B' of B[b-l] such that B[b-', a-'1 is integral over B'[u-'] and B' is isomorphic to a polynomial algebra Awl, . . .,Yn]. f be a homomorphism from A to an algebraically closed field Let L such that f (a) # 0 ; there exists a homomorphism from AIYl, . . .,Y,] to L extendingf and hence there exists a homomorphismf ' from B' to L extending5 A s f ' ( a ) # 0 in L, there exists a homomorphismf " from B'[a-'] to L such that
f"(x/an)

our attention to the case where A = k [ X l , . . ., X,]. Let N be the quasiGalois extension of K (in an algebraic closure of K ) generated by K', which is a finite algebraic extension of K (Algebra, Chapter V ,5 6, no. 3, Corollary 1 to Proposition 9). It will suffice to prove that the integral closure B of A in N is a finitely generated A-module, for A' is a sub-A-module of B and A is a Noetherian ring (Chapter 111, 9 2, no. 10, Corollary 2 to Theorem 2). We may therefore confine our attention to the case where K' is a quasi-Galois extension of K . Then we know (Algebra, Chapter V, 5 10, no. 9, Proposition 14) that K' is a (finite) Galois extension of a (finite)radicial extension K" of K. If A" is the integral closure of A in K", A' is the integral closure of A" in K' and it will suffice to prove that A" is a finitely generated A-module and A' is a finitely generated A"-module. Now, if it has been proved that A" is a finitely generated A-module, it is a Noetherian domain, integrally closed by definition; the fact that A is a finitely generated A"-module will follow from 5 1, no. 6, Corollary 1 to Proposition 18. We see therefore that we may confine our attention to the case where A = k [ X l , . . ., X,] and where K' is a finite radicial extension of K = k ( X l , . . ., X,). Then K' is generated by a finite family of elements (y,) <, ,, and there exists a power q of the characteristic exponent of k such that yP E k ( X , , . . ., X,). Let c, (1 ,< j ,< r ) be the coefficients of the numerators and denominators of the rational functions in X , , . . .,X , equal to y;

f (4 (f(41'
*

< i < m). Then K' is contained in the extension L = k'(Xy ,. . ., XP, ), -1 - 1 where k' = k(cQ, ,. . ., cz ) (we are in an algebraic closure of K') and A is
(1 contained in the algebraic closure B' of A in L'. Now, k' is algebraic over k and hence C' = k ' [ X l , . . .,X,] is integral over A (5 1, no. 1, Proposition 5); as

-1

-1

for all x E B' and all n > 0 (Chapter 11, 5 2, no. 1, Proposition 1). Finally, as B[b-', a-l] is integral over B'[a-l], there exists a homomorphism f " from B[b-',a-l] toLextendingf" (fj2,no. 1, Corollary4toTheorem 1). I f j : x H x / I is the canonical homomorphism from B to B[b-l, a - l ] , g = f " o j solves the preblem forj(b) is invertible in B[b-l, a - l ] and hence f " ( j ( b ) ) # 0 in L. Note that, if B is assumed to be an integral domain and A c B in Corollary 3, the hypothesis on b is equivalent to b # 0.
2. THE INTEGRAL CLOSURE OF A FINITELY GENERATED ALGEBRA OVER A FIELD

k'[XP, , . . ., X i ] is integrally closed (5 1, no. 3, Corollary 2 to Proposition 13), it is seen that this ring is the integral closure of C' in L' and hence also
that of A (5 1, no. 1, Proposition 6), in other words B' = k'[XQ,, . . ., XP, 1. Now clearly B' is a finitely generated C'-module (3 1, no. 1, Proposition 4)and, as k is a finite extension of k, C' is a finitely generated A-module and hence B' ' is a finitely generated A-module; since A is Noetherian and A c B', A is a finitely generated A-module.
3. THE NULLSTELLENSATZ
-1
-1

-1

-1

THEOREM 2. Let A be afinitely generated integral k-algebra, K itsjield ofjiactions and A' the integral closure ofA in afield K' which is afinite algebraic extension of K. Then A i a finitely generated A-module and a jinitely generated k-algebra. 's
By Theorem 1 there exists a subalgebra C of A isomorphic to a polynomial algebra k [ X l , . . .,X,,] and such that A is integral over C ; A' is obviously the integral closure of C in K' (6 1, no. 1, Proposition 6) ;we may therefore confine

PROPOSITION 1. Let A be a finitely generated algebra over a field k and L the algebraic closure of k. (i) I f A # {0},there exists a k-homomorphism from A to L. (ii) Let.fl, fa be two k-homomorphisms from A to L. For f l and fa to have the same kernel, it is necessary and sufficient that there exist a k-automorphism s o f L such that f 2 = SOf'.
349

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INTEGERS

JACOBSON RINGS

$3.4

(iii) Let a be an ideal of A. For a to be maximal, it is necessary and suficient that it be the kernel o a k-homomorphismfrom A to L. f (iv) For an element x of A to be such thatf( x ) = 0 for every k-homomorphism f from A to L, it is necessary and sufficient that x be nilpotent. Assertion (i) follows from no. 1, Corollary 3 to Theorem 1 applied replacing A by k, B by A, b by the unit element of B and f by the canonical injection of k into L. If f is a k-homomorphism from A to L, f(A)is a subring of L containing k; as L is an algebraic extension of k, f(A) is a field (Algebra, Chapter V, 3 3, no. 2, Proposition 3) and, if a is the kernel off, A/a, isomorphic to f ( A ) ,is therefore a field, which proves that a is maximal. Conversely, if a is a maximal ideal of A, it follows from (i) that there exists a k-homomorphism from A/a to L and hence a k-homomorphism of A to L whose kernel b contains a; but as a is maximal, b = a; this proves (iii). We now prove (ii). If s is a k-automorphism of L such that f 2 = s 0f l , clearly f l and f a have the same kernel. Conversely, suppose that fl and f2 have the same kernel; then there exists a k-isomorphism so of the field f l ( A ) onto the field f 2 ( A )such that f2 = so0fl; but by Algebra, Chapter V, 3 6, no. 3, Proposition 7,so extends to a k-automorphism s of L and hencefa = s o fl. Finally, if x E A is such that X" = 0, for every k-homomorphismf from A to L, (f(x))" = f ( x " ) = 0 and hence f ( x ) = 0 since L is a field. Conversely, suppose that x E A is not nilpotent; then A[x-l] is a finitely generated A-algebra (and therefore a finitely generated k-algebra) not reduced to 0 (Chapter 11, 5 2, no. 1, Remark 3) and hence there existsa k-homomorphismgfromA[x-l] to L by (i). I f j : A -+ A[x-'] is the canonical homomorphism, f = g o j is a k-homomorphism from A to L and f ( x ) g ( l / x ) = g(x/l)g(l/x) = g(1) = 1, whence f ( 4 f 0. Let k be a field and L a n extension field of k; an element x = (xl, , . .,x,) of L" is called a zero in Lnofan ideal c ofthepolynomial ring k[Xl, . . .,X,] if

mappingf H 0 his a bijection of the set ofk-homomorphismsfrom A to L onto f the set of k-homomorphisms from k[Xl, . . ., X,] to L which are zero on c. For every polynomial P E k[Xl, . . .,X,] and every element x = (xl, . . .,x,) E Ln we write &(P) = P(x); then the mapping x Hh, is a bijection of L" onto the , set of k-homomorphisms from k[Xl, . . .,X,] to I (such a homomorphism being determined by its values at the X, (1 < i < n ) ) ; to say that h, is zero on c means that x is a zero of c in L", whence the lemma.

If Proposition 1 is applied to the algebra A = k[Xl, . . .,X,]/c, where c is an ideal of k[Xl, . . ., X,] distinct from the whole ring, we obtain by Lemma 1 the following statement:

PROPOSITION 2 (Hilbert's Nullstellensatz). Let k be a field and L an algebraic closure of k. (i) Every ideal r o k[X,, . . ., X,] not containing 1 admits at least one zero in L". f (ii) Let x = (xl, . . .,x,), y = (y,, . . .,y be two elements o L"; f o r the set o , ) f f polynomials o f k [ X , , . . ., X,] zero at x to be identical with the set ofpolynomials o f k [ X , , . . ., X,] zero at y, it is necessary and sujicient that there exists a k-automorphism s of L such that y, = s(xJ for 1 < i < n. (iii) For an ideal a ofk[X1, . . ., X,] to be maximal, it is necessary and sujicient that there exist an x in Ln such that a i the set o polynomials ofk[X,, . . ., X,] zero s f at x. (iv) For a polynomial Q o f k [ X l , . . ., X,] to be zero on the set o f zeros in L" 9 an ideal c o f k[Xl, . . .,X,], it is necessary and sufiient that there exist an integer m > 0 such that Q E c. m
4. JACOBSON RINGS

DEFINITION 1. A ring A is called a Jacobson ring f every prime ideal o f A is the i

intersection o f a family

of maximal ideals.

P(x) = P(x1,. . ., x,)

for all P E r.

=0

LEMMA 1. Let A be a jinitely generated algebra over a field k, (a,) s i g n a system of generators o f this algebra and c the ideal o f algebraic relations between the at with coeficients in k (Algebra, Chapter IV, tj 2, no. 1). For every extension jield L o f k, the mapping f I-+ d f ( u , ) ) ,is a bijection o f the set o f k-homomorphism from A to L onto the set of zeros oft in L".

Examples (1) Every field is a Jacobson ring. (2) The ring Z is a Jacobson ring, the unique prime ideal which is not maximal (0) being the intersection of the maximal ideals ( p ) of Z, where P runs through the set of prime numbers (cf. Proposition 4). (3) Let A be a Jacobson ring and let a be a n ideal of A. Then A / a is a Jacobson ring, for the ideals of A/a are of the form b/a, where b is an ideal of A containing a and b/a is prime (resp. maximal) if and only if b is.

There exists a unique k-algebra homomorphism h of k[X1,. . ., X,] onto A such that h(Xi) = a, for 1 < i < n and by definition c is the kernel of h. The

PROPOSITION 3. For a ring A to be a Jacobson ring, it is necessary and suj'icient that, for every ideal a ofA, the Jacobson radical ofAla be equal to its nilradical (Chapter 11, $2, no. 6).
The Jacobson radical (resp. nilradical) of A/a is the intersection of the maximal

350

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INTEGERS

JACOBSON RINGS

9 3.4

(resp. prime) ideals of A / a (Algebra, Chapter VIII, 6, no. 3, Definition 3 and Commutative Algebra, Chapter 11, fj2, no. 6, Proposition 13). The stated condition means therefore that for every ideal a of A the intersection of the prime ideals containing a is equal to the intersection of the maximal ideals containing a. This condition obviously holds for every ideal a of A ifA is a Jacobson ring; conversely, if it holds for every prime ideal of A, A is a Jacobson ring by definition. COROLLARY. Let A be a Jacobson ring; for every ideal a of A, the radical of a is the intersection o the maximal ideals ofA containing a. f I t is sufficient to note that A / a is a Jacobson ring. PROPOSITION 4. Let A be a principal ideal domain and ( p A ) h s L a representative system of extremal elements o f A (Algebra, Chapter VII, 5 1, no. 3, Definition 2). For A to be a Jacobson ring, it is necessary and sujicient that L be injnite. The maximal ideals of A are the AA (loc. cit., no. 2, Proposition 2). If L p is finite, their intersection is the ideal Ax, where x = u p , (ibid.) and hence different from (0) ; on the other hand, if L is infinite, the intersection of the A A is (0), every element #O of A being divisible by only a finite number of p extremal elements (loc. cit., no. 3, Theorem 2). The proposition then follows from the fact that (0) is the only prime ideal which is not maximal in A (Algebra, Chapter VI, 3 1, no. 13, Proposition 14 (DIV)). PROPOSITION 5. Let A be a ring and B an A-algebra integral over A. Jacobson ring, so is B.

As B/p is a finitely generated integral (Alp)-algebra and the canonical homomorphism : A/p -+ B/p is injective, there exists an element u # 0 of A/p such that, for every homomorphism f from Alp to an algebraically closed field L whose kernel does not contain u, there exists a homomorphism g from B/p to L whose kernel does not contain v and for whichf = g o (no. 1, Corollary 3 to Theorem 1). Since A is a Jacobson ring, there exists a maximal ideal m of A containing p and such that u 4 m/p. We take L to be an algebraic closure of A/m and f to be the canonical homomorphism A/p -+ L; let

g : B/p
be a homomorphism such that f
=g
0

-+ L

+ and g(v) # 0. Then

= L,

A / m = g(B/p)

hence g(B/p) is a subfield of K (Algebra, Chapter V, 3 3, no. 2, Proposition 3) and the kernel of g is therefore a maximal ideal of B/p not containing v. Thus it is seen that the intersection of the maximal ideals of B/p is reduced to 0, which proves that B is a Jacobson ring. Moreover, if p is maximal, g is necessarily injective and hence p = m is maximal; finally B/p is then a finitely generated algebra over the field A / m and hence is a finite extension of A / m (no. 1, Corollary 2 to Theorem 1).

Pr;nt. ideal p o f

COROLLARY 1. Every jinitely generated algebra A over Z is a Jacobson ring; for a A to be maximal, it is necessary and sujicient that the ring Alp bejinite.

If A

ir a

Replacing A by its canonical image in B, we may assume that A c B. Let p be a prime ideal of B and let p = A np. There exists by hypothesis a family (m&, of maximal ideals of A whose intersection is equal top. For all A E L there exists a maximal ideal mi of B lying above mh and containing p (5 2, no. 1, Proposition 1 and Corollary 2 to Theorem 1). If we write q = * L m, Q ; then q n A = mh = p and q 3 p, whence q = p ($2, no. 1, Corollary 1 to Proposition 1).

If the integral domain A/p is finite, it is a field, as, for every u # 0 in Alp, the mapping v t-f uv of A/p to itself is injective and hence bijective since A/p is finite. Conversely, for every maximal ideal rn of A, the inverse image of rn in , is a maximal ideal ( p ) and A / m is finite over the prime field Z/(p) = F by Theorem 3.

THEOREM 3. Let A be a Jacobson ring, B ajinitely generated A-algebra and p : A +B the canonical homomorphism. Then : (i) B is a Jacobson ring. (ii) For every maximal ideal m of B y m = pl(m) is a maximal ideal o A and f B/m is a jinite algebraic extension o A/m. f
Let p be a prime ideal of B and p = j(p). Let v be an element # O of B/p.
7

Q be a polynoniial in Z[X,, . . .,X,,] such that, for every system of elements (xt) , belonging to a jinite jield and f o r which P,(x,, . . .,x,,) = 0 for all A, also Q(x1,. . ., x,,) = 0. Then, f a is the ideal of Z[X,, . . ., X,] generated by the i PA,there exists an integer m > 0 such that Qm a. Moreover,for every reduced ring R E and every system (yt) ,of elements of R such that PA(y1, . . .,y,,) = 0 for all A, d o Q(Y1, . Y n ) = 0. The second assertion follows from the first since the ideal of Z[X,, . . .,X,]
* *9

COROLLARY Let (PA),,, be a family ofpolynomials in ZIXl, . . .,X,,] and let 2.

consisting of the polynomials P such that P(yl, . .,y,,) = 0 contains a. To show the first assertion, it suffices to note that, for every maximal ideal rn of A = Z[X,, . . ., X,,] containing a, A / m is a finite field (Corollary 1) and the hypothesis implies that the canonical image of Q i n A / m is zero; then Qbelongs

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to the intersection of the maximal ideals of A containing a, which is the radical of a (Corollary to Proposition 3). COROLLARY 3. Let A be a Jacobson ring. If there exists ajinitely generated A-algebra B containing A and which is afield, then A is ajield and B is an algebraic extension $A. It suffices to apply Theorem 3 (ii) with m' = (0).

31
1. Let d be a rational integer not divisible by a square in Z. Show that the elements of the field K = Q ( 4 d ) which are integral over Z are of the form u + b z / d where a EZ,b E Z if d - 1 $ 0 (mod. 4) and the elements ( a + b d d ) / 2 where a E Z, b E Z, a and b both even or a and b both odd, if d - 1 3 0 (mod. 4) (cf. Algebra, Chapter VII, 5 1, Exercise 8). Deduce that A = Z[.\/5] is not integrally closed and give an example of an element of Q[1/5] which is integral over A but whose minimal polynomial over the field of fractions of A does not have coefficients in A. 2. Let K be a commutative field and A the sub-K-algebra of the polynomial algebra K[X, yl generated by the monomials YkXkfl (k 2 0). Show that XY is such that A[XY] is contained in a finitely generated A-module but XY is not integral over A.

3. Give an example of an infinite sequence (K,) of extensions of a commutative field K of finite degree over K such that the K-algebra algebraic over K.

K, is not

4. I n the matrix ring M,(Q) give an example of two elements integral over the sum nor the product of which is integral over Z (consider matrices of the form I N, where N is nilpotent).

z but neither

5. Let A be a commutative ring, B a commutative ring containing A and x an invertible element of B. Show that every element of A[x] n A[x-l] is integral over A. (If y = a, . . apx-P = bo + . . . + bqxq, where the a, and b, are in A, show that the sub-A-module of B generated by 1, x , . . ., x P + q + l is a faithful A[y] -module.)
+ a

6. Let A be a commutative ring and B a commutative A-algebra; suppose

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that the minimal prime ideals of B arejnite in number; let pt (1 < i < n) be these ideals (note that this hypothesis holds if B is Noetherian). For an element x E B to be integral over A, it is necessary and sufficient that each of its canonical images xi in B/pt be integral over A. (If this condition holds, show first that x is integral over the subalgebra of B generated by the nilradical Cn = pi of B and use the fact that the elements of Cn are nilpotent.)

7. Give an example of a reduced ring A which is integrally closed in its total ring of fractions and which is not a product of integral domains (take the integral closure of a field K in the infinite product extensions of K). K, of suitable algebraic

8. Let A be a commutative ring and B a finitely generated A-algebra. Show that there exists a finite A-algebra C which is a free A-module and a surjective A-homomorphism C + B.

9. Show that the quotient domain Z[X]/(X2 even though Z[X] is.

+ 4) is not integrally closed

10. Let A be a completely integrally closed domain. Show that for every set I the polynomial domain AIXJIEIand the domain of formal power series A[[X,]],,I (Algebra, Chapter IV, 3 5, Exercise 1) are completely integrally closed. (Use Proposition 4 of no. 4 and the following lemma: for every finite subset J of I and all P E A[[X,]]t, J, let P, be the formal power series in A[[X,]ILE derived from P by replacing by 0 in P all the X, of index c J; if P, Q a r e two formal power series such that P, is divisible by QJin A[[X,]],. for all J, then P is divisible by Q i n A[[X,]],EI. For this note that, if J, J' are two finite subsets of I such that J c J' and P,. = L'Q,. and P, = L a J , then L is obtained from L' by replacing by 0 in L' the X, of index 1 E J' J.)

(a) Show that A is completely integrally closed. (b) For all x E A, let Z(x) be the set of zeros of x (which is a closed subset of C,which is discrete (and therefore countable) if x # 0). If a is an ideal of A distinct from A and (0), show that the Z ( x ) for x E a form a filter base 8. (If , x and y are two integral functions with no zero in common, show, using the Mittag-Leffler Theorem, that it is possible to write l/xy = u / x u/y, where u and u are in A, and deduce that A x Ay = A). Conversely, for every filter 5 on C to which a closed discrete subset of C belongs, the set a($) of x E A = 3 for every filter 5 for which Z ( x ) E $ is an ideal of A. Show that to which a closed discrete subset of C belongs and a($) 2 a for every ideal a of A distinct from A and (0). (c) If p # (0) is a prime ideal ofA, show that $p is an ultrafilter. (Restricting it to the case where all the sets of are infinite, show that, if M E $p is the union of two infinite sets M', M" with no point in common, one of these sets belongs to Conversely, for every ultrafilter U on C to which a closed discrete subset of C belongs, a(U) is a maximal ideal of A; obtain the converse. (d) Let U be an ultrafilter on C,the image under the canonical injection Z + C of a non-trivial ultrafilter on Z. Show that there exist non-maximal prime ideals p of A such that S p = U. (For all x E a(U) and all n E Z, let o , ( n ) be the order of x a t the point n ( w x ( n ) = 0 if x ( n ) # 0) ; consider the set p of x E a(U) such that lim, w, = fa.) (e) With the notation of (d), let m be the maximal ideal a(U). Show that the domain A,,, is not completely integrally closed (consider the meromorphic function l/(sin X Z ) ) . *

sp

sp.)

11. (a) Let R be an integral domain, (&) a right directed family of subrings of R and A the union of the &.Show that, if each of the A, is integrally closed, so is A. (b) Let K be a commutative field and R = K(X, Y) the field of rational functions in two indeterminates over K. For every integer n > 0 let A,, denote the subring K[X, Y, YX-"1 of R. Show that the A, are completely integrally closed but that their union A is not. (For an element of the form P(X, Y) .X-ns, where P E K[X, y1, to belong to A, show that it is necessary and sufficient that P belong to SS, where 3 denotes the ideal of K[X, Y] generated by X" and Y.)

7 13. Let A be a local integral domain and K its field of fractions. Consider the two following properties : (i) A is Henselian (Chapter 111, f 4, Exercise 3). j (ii) For every finite extension L of K, the integral closure A' of A in L is a local ring. Show that (i) implies (ii) and that the converse is true if A is integrally closed. (To see that (i) implies (ii), note that A' is the union of a right directed family of finite A-algebras and use the definition of a Henselian ring. To see that (ii) implies (i) if A is integrally closed, show that, if P E A[X] is an irreducible monk polynomial and$ A --f k is the canonical homomorphism of A onto its residue field k, f(P) is irreducible in K[X] and consider the field L = K[Xl/(f).) If condition (ii) is fulfilled, the integral closure A of A in any extension of K a local ring. Consider the case of complete Hausdorff local rings; if A is a complete Hausdorff Noetherian local ring, every A-algebra contained in A' and which is a finitely generated A-module is a complete Hausdorff local ring.
14. Let A be a completely integrally closed domain and K its field of fractions. Show that for every extension L of K the integral closure A of A in

7 * 12. Let A be the ring of integral functions (with complex values) of a complex variable. I t is an integral domain whose field of fractions is the field of meromorphic functions of a complex variable.
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L is a completely integrally closed domain. (Reduce it to the case where L is a finite quasi-Galois extension of K of degree m : if x E L is such that there exists d E A such that dxn E A' for all n > 0, show first that it may be assumed that ' d E A, then deduce that, if c, (1 6 i < m) are the coefficients of the minimal polynomial of x over K, then dmc; E A for all n 3 0.) 15. Let K be a commutative field of characteristic 0 containing all the roots of unity and such that there exist Galois extensions of K whose Galois group is not solvable (cf. for example Algebra, Chapter V, Appendix I, no. 1, Proposition 2). Let f2 be an algebraic closure of K and let R, be the set of elements z E f2 such that the Galois extension of K generated by z in Q admits a solvable Galois group. (a) Show that R, is a subgroup of Q distinct from f2 (cf. Algebra, Chapter V, tj 10, no. 4, Theorem 1). (b) Let A be the subring of Q[X] consisting of the polynomials P such that P(0) E R,. Show that A is not integrally closed but that every element of its field of fractions Q(X) a power of which belongs to A is itself in A.

Show with the aid of Lagrange's interpolation formula that

(b) Let A be an integrally closed domain, K its field of fractions and p the characteristic exponent of K. Suppose that the subring A1'p of K"P consisting ofthep-th roots of the elements of A is a finitely generated A-module. Show that for every finite extension E of K the integral closure of A in E is a finitely generated A-module (reduce to the case where E is a quasi-Galois extension). Let KO a perfect field of characteristic p > 0, K the field of rational be and functions Ko(X,JnEN B the ring of formal power series K[[Z]], where Z is an indeterminate; if m is the maximal ideal of B, B is Hausdorff and complete with the m-adic topology and is a discrete valuation ring. Let L = K((Z)) be the field of fractions of B and E, the subfield of L generated by Lp and the elements Z and X, (for n E N). (a) Show that the element c = X,Z" of L does not belong to E,. (b) Let E be a maximal element of the set of subfields of L containing E, and not containing c; we write A = B n E. Show that A is a discrete valuation ring (and therefore Noetherian) whose field of fractions is E; if m' is the maximal ideal of A, then m'lC = mk n A and A is dense in B with the m-adic topology; L = K(c) is an extension of K of degreep and B is the integral closure of A in L but B is not a finitely generated A-module (use Chapter 111, $ 3 , Exercise 9 (b)). *

7 * 20.

16. Let B be a ring, A a subring of B and f the ideal of A the annihilator of the A-module B/A. Let U be the complement in X = Spec(A) of the closed set V(f) and let u = =p, where p: A -+B is the canonical injection. Show that the
restriction of u to-:(U) is a homeomorphism of-i(U) ontoU (for every element g E f, consider the spectrum of the ring A, identified with the open set X, c U) .

2,
03

17. Let K be a field, B the polynomial ring KIXnInEN A the subring of and B generated by the monomials X: and X: for all n E N ; show that B is the
integral closure of A and that the conductor of 3 in A is reduced to 0; but, if S = A {0}, the conductor of S-IB in S-IA is not reduced to 0 and S-lA is integrally closed.

18. Let A be an integral domain, K its field of fractions, M a finitely generated A-module, u an endomorphism of M and u @ 1 the corresponding endomorphism of the finite dimensional vector K-space Mo, = M @A K. Show that the coefficients of the characteristic polynomial of u @ 1 are integral over A (use condition (EIIr)of Theorem 1 of no. 1). 19. (a) Let A be an integrally closed domain, K its field of fractions, L a separable algebraic extension of K, x an element of L integral over A, K' the field K(x) c L and F the minimal polynomial of x over K. If x is of degree n over K, show that the integral closure of A in K' is contained in the A-module generated by the elements l/F'(x), x/F'(x), . . ., x n - I / F ' ( x ) of K . (If z E K' is integral over A, write zF'(x) = g ( x ) , where g ( X ) =
358
60

7 21. (a) Let KO be a perfect field of characteristic p > 0, L the field of rational functions Ko(XJnEN, the ring of formal power series L[[Y, Z]], A' where Y and Z are two indeterminates, and A the tensor product ring K [ F , Z]] BK where we write K = Lp c L; A is a Noetherian local ring, L, which is not complete and whose completion is identified with A' (Chapter 111, tj 3, Exercise 17) and A is integral over A. Let c, denote the element
X,Y

+ X,+,YZ + X,+,YZ2 +

* * *

+ b,X

-I-... + b,-,Xn-l EK[X].

of A'. Let B be the subring of A' generated by A and the elements c, (n > 0). If C = A[c,], C is Noetherian and the ring B (which is not integrally closed) is contained in the integral closure of C and contains C ; but show that B is not Noetherian (observe that c, does not belong to the ideal of B generated by the ci of index i < n). (b) Suppose p = 2; KO, and L being used with the same meaning as in K (a), consider this time the ring of formal power series A' = L[[Y, TI] in three indeterminates, the subring

z,

A = K"Y,

z, TI1 @K

L,
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and write

b =Y

zo

X2,,Tn

+Z

so

X2n+1Tn.

Chapter 11, $ 11, Exercise 1) is a (ring) homomorphism of the algebra A(A) of of the group A with respect to A to the algebra BcA) the group A with respect to B. Let P = b, @ Xa be an element of B(A). Show that for P to be integral aEA over A(A),it is necessary and sufficient that each of the elements b, E B is integral over A. (Reduce it to the case where A is finitely generated and then to the case A = Z.) Show that if A is an integral domain and integrally closed so is A(A). 25. Let A be a totally ordered commutative group. Extend Propositions 20 and 21 of no. 8 to graded rings of type A (for Proposition 20 use Exercise 24; for Proposition 21 generalize Lemma 4 of no. 8 to the case where A is finitely generated and then prove Proposition 21 by taking the direct lit).

Show that the ring A[b] is Noetherian but that its integral closure B is not a Noetherian ring. (As b2 E A, every element of the field of fractions of A[b] is of the form P Q b , where P and Q a r e linear combinations of a finite number of XI, with coefficients in the field of fractions of K[V, Z, TI] ; for such an element to be integral over A[b], show that it is necessary and sufficient that it belong to A'. Show that B is generated by the elements

for i 2 0 and conclude the argument as in (a).) 22. Let A be an integrally closed domain and K its field of fractions; show that for every extension L of K there exists an integrally closed subdomain B of L whose field of fractions is L and such that B n K = A (consider L as an algebraic extension of a pure transcendental extension E = K(X,) I of K and thus reduce it to the case where L is an algebraic extension of K, using Exercise 11 (a)).

23. (a) Let K be a commutative field, n an integer prime to the characteristic of K and P a polynomial in K[X] with only simple roots (in an algebraic closure of K). If we writej(X, Y ) = Y" - P(X), show that, if K contains the n-th roots of unity, the domain A = K[X, Y]/(f) is integrally closed and has in its field of fractions the separable extension I, of K(X) generated by a root y off (considered as a polynomial in K ( X ) M ) . (Show that, if an element z of L is integral over K[X], it belongs to A; for this, write z in the form
n-1

z =

130

a,(X)y',

where al(X) EK(X). Show that the elements a,(X)yi (0 < i < n - 1) are integral over K[X] and deduce that the (ai(X))n(P(X))i elements of are K[X]; conclude that so are the a,(X).) (b) Suppose that K is an imperfect field of characteristic p # 2; let a E K be an element not belonging to Kp, let E be the field K(@) and let us write P(X) = Xp - a,f(X, Y) = Y2 - P(X). If A is the integrally closed domain K[X, Yl/(f), that B = E @K A is an integral domain but not integrally show closed (consider the element y/(X - a l ' p ) of the field of fractions of B). 24. Let A be a torsion-free commutative group written additively. Let A be a commutative ring, B a commutative A-algebra and h: A --t B the ring homomorphism defining the algebra structure on B. Then A(A) B(A)(Algebra, -+

7 26. (a) Let A be an integral domain such that for all a # 0 in A, the ideal Aa is the intersection of a family (qt) of saturations of Aa with respect to prime ideals pb which are minimal among those which contain a, such that the domains Aptare integrally closed (resp. completely integrally closed). Then show that A is integrally closed (resp. completely integrally closed). (b) Let A be a strongly Laskerian local ring (Chapter IV, 4 2, Exercise 28) and m its maximal ideal. Suppose that, for some a E A, m is an immersed prime ideal weakly associated with AIAa (Chapter IVY$ 1, Exercise 17). Show that Aa : m is contained in every ideal which is primary for every prime ideal p # m weakly associated with AIAa (consider the transporter q : m for such a primary ideal q, cf. Chapter IV, $2, Exercise 30). If further A is assumed to be an integral domain, show that the relation p . (Aa: m) = Aa, for a prime ideal p minimal among those which contain Aa, is impossible (if q is the saturation of A with respect to p , note that the above relation would imply that qA, = qpA, in A,, and conclude with the aid of Exercise 29 (d) of Chapter IV, $ 2). (c) Show that, if A is a strongly Laskerian integral domain and there exists an element a # 0 of A such that there are prime ideals which are weakly associated with A/Aa and immersed, A is not completely integrally closed. (Reduce it to the case considered in (b);in the notation of (b), there then exists b E Aa: m such that b 6 Aa and bp c am; deduce by induction on n that bnp c unmfor all
(d) Deduce in particular from (a) and (c) that, for a Noetherian integral domain to be integrally closed, it is necessary and sufficient that for all a # 0 in A the prime ideals p associated with A/Aa be not immersed and be such that 4 is integrally closed (cf. Chapter VII, tj 1, no. 4, Proposition 8). 27. Let A be an integrally closed but not completely integrally closed domain and K its field of fractions; let a # 0 be a non-invertible element of A for which there exists d # 0 in A such that da-" E A or every integer n 2 0. 36 1

n.1

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Show that in the field of formal power series K((X)) there exists a formal power series k = l u,Xk = f (X) satisfying the equation

4. Let A be a Noetherian ring, p: A +B a ring homomorphism making B into a finitely generated A-module and N a finitely generated B-module. Show that the prime ideals p E Ass(p,(N)) are the inverse images under p of the prime ideals q E Ass(N).
5. Let K be a field; in the polynomial domain K[X, yl in two indeterminates consider the subrings A = K[X4, Y4], A' = K[X4, X3Y, XY3, Y4];A is Noetherian and A' is a finite A-algebra. Let p = AY4, which is a prime ideal of A; show that m = AX4 + AX3Y + AXY3 + A'Y4 is an (immersed) prime ideal associated with the ideal PA' of A' but does not lie above p (note that m is the annihilator of the class of X2Ys in the ring A'/pA') (cf. 3 1, Exercise 26

(f (x))2 .f(X) + x = 0, hence integral over A[[X]], belonging to the field of fractions of A[[X]] but not belonging to A[[X]], so that A[[X]] is not integrally closed.

28. Let k be a field and A, the polynomial ring k[X,, Ynlnszin two infinite families of indeterminates. Let G be an infinite monogenous group (therefore isomorphic to Z) and let IS be a generator of B. G is defined as operating on A, by the conditions 5(Yn) = Y, and IS(X,) = X,+l for all n E Z. Let 3 be the ideal of A, generated by the elements Y,(X, - X,, 1 ) for all n E Z and let A be the quotient ring A,/3; as o ( 3 ) c 3, the group 9 also operates on A by passing to the quotient. Let S be the multiplicative subset ofA generated by the canonical images of the Y, in A, so that S consists of the elements invariant under G. Show that S-l(A9) # (S-lA)s.

(4).
denotes the integral closure of Z in K,, p a prime number #2, K, is a quadratic extension of KnV1and there exists in A, a prime ideal P, lying above (p) such that there are in A,+1 two distinct prime , ideals p, + , p; + lying above pn (observe that, in a finite field of characteristic 2 2 , there are always elements which are not squares). Let K be the union of the K, and A' the integral closure of Z in K ; show that there exists an infinity of (maximal) ideals of A' lying above the maximal ideal (p) of Z.

. . .,K,, . . . such that, if A,

6. Define an increasing sequence of algebraic number fields K O= Q, K,,

29. Let k be a field of characteristic 2 2 , A the polynomial ring k[T] in one indeterminate and a, b two elements of k such that a # 0, b # 0 and a # b. Let K = k(T) be the field of fractions of A and L, M the extensions of K adjoining to K respectively a root of X2 - T(T - a) and a root of X2 - T(T - b ) . Let B, C be the integral closures of A in L and M respectively, which are finitely generated free A-modules. Show that L @K M is a field, a separable finite extension of K, but that B @A C, which is canonically identified M, is not the integral closure of A in L & M. with a subring of L

2
1. Give an example of an injective ring homomorphism p : A -+ B such that B is finite A-algebra, the mapping =p: Spec(B) -+ Spec(A) is surjective but B is not a flat A-module. Conversely, give an example of a faithfully flat A-algebra which is finitely generated but not integral over A.

2. Let A be a ring such that Spec(A) is Hausdorff (Chapter 11, 3 4, Exercise 16). Show that, for every A-algebra B integral over A, Spec(B) is Hausdorff.
3. Let A be a ring and A' a ring containing A and integral over A. For every ideal a of A, show that the radical of a is the intersection of A and the radical of aA'. Show that the latter is the set of elements x E A' satisfying an equation of integral dependence whose coefficients (other than the dominant coefficient) belong to a (note that, if y, z are two elements of A' satisfying such a n equation of integral dependence, so does y - 2).
I

7 7 Let A be a Noetherian integral domain and A' its integral closure. Show . that for every prime ideal p of A there exists only a finite number of prime ideals of A' lying above p. (Reduce it first to the case where A is a local ring with maximal ideal p; consider its completion A and the total ring of fractions B oA and note that the field of fractions K of A is identified with a subring of B (Chapter 111, 9 3, no. 4, Corollary 2 to Theorem 3). Note that the spectrum of B is finite and therefore that in B there is only a finite number of idempotents which are orthogonal to one another. Then let C 3 A be a subring of K which is a finitely generated A-module and therefore semi-local. Note that the completion of C is identified with a subring of B; conclude by noting that fi is the product of a finite number of local rings, this number being equal to the number of maximal ideals of C). Generalize to the integral closure of a Noetherian ring in its total ring of fractions (reduce it to the case of a reduced ring).

8. A local ring A is called unibranch if its integral closure is a local ring. (a) Let A be a local integral domain and K its field of fractions. For A to be unibranch, it is necessary and sufficient that every sub-A-algebra of K which is a finitely generated A-module be a local ring. (b) Show that, if the completion of a Noetherian local ring A is an integral domain, A is unibranch (if B is a finite A-algebra contained in K, show that the subring of the field of' fractions of A generated by B and A is isomorphic

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to B @A A, using the flatness of the A-module A and the fact that B is contained in a finitely generated free A-module contained in K ; then use (a) and Chapter 111, 3 2, no. 13, Corollary to Proposition 19).

9. Let ko be a field and A the polynomial ring ko[X,]n.N in an infinite sequence of indeterminates; it is an integrally closed domain whose field of fractions is K = ko(Xn)nEN. B denote the k,-automorphism of A such that Let
4 h n ) = -Xzn + X2n+1s Q(Xzn+l)= & n + l for all n > 0; Q and the identity automorphism form a group 9 of automorphisms of A. Let A be the ring of invariants of 9 and let K be its field of fractions; K is a separable extension of K of degree 2 and A is the integral closure of A in K. (a) Show that A is an A-module admitting an inznite basis. (If k, is of characteristic 2 2 , show that, if we write Y, = X,, - +X,,+,, A is the subring of A generated by the X,, + and the products Y,Y, for n > 0, m 3 0. If k, is of characteristic 2, A is generated by the X,, + and the Xtn + XZnXzn+l for n 3 0.) (b) Let m be the maximal ideal of A generated by all the X, and let m = A n m; show that m = mA, that m is the only ideal of A lying above m and that the fields A/m and Alm are canonically isomorphic. (c) Let p be the prime ideal of A generated by the X,,,, for n > 0 and let p = p n A; let k, k be the fields of fractions of A/p and A l p respectively; Pis the only prime ideal of A lying above p. If k, is not of characteristic 2, k k a separable extension of k of degree 2; if k, is of degree 2, k is an infinite radicial extension of k. 10. (a) Let A be the polynomial ring Z[X, yl in two indeterminates and let B be the automorphism ofAleaving Y invariant and such that B(X) = - X ; Q and the identity automorphism form a group 9 of automorphisms of A and the ring of invariants of 9 is A = Z[X2, Y]. Let p be the prime ideal A(Y - 2X), P = A n p; the decomposition group g Z ( p ) is reduced to the identity element. Show that A/p and A/p are not isomorphic (consider the tensor products of these rings with 2/22). (b) Let K be a field of characteristic 2 2 , A the polynomial ring K[X, Yl and 9 the automorphism group of A consisting of the identity and the KIN-automorphism B of A such that B(X) = - X ; the ring of invariants A of 9 is K[X2, Y]. Let p be the prime ideal A(X3 - Y ) of A and p = A n p; the decomposition group gZ(p) is reduced to the identity element but A/p and A l p are not isomorphic.

of A in K, m a maximal ideal of A lying above m, B = AZ(m) its decomposition ring and n = m n B. For every integer k > 0, B = A + nk (argue as in Proposition 4). Moreover there exists a primitive element z of Kz (field of fractions of B) such that z E n; deduce that n n A[z] = mA[t]. (b) Show that, for every integer k, mkBnn A = mk. (If x E mkBnn A, note that there exists t E A[z] (where z is defined in (a)) such that t $ n and t x E mkA[z]; writing t = to + t,z + . . + t,-lzr-l (where r is the degree [KZ:K]), deduce that t,x E mk and to $ m.) (c) Suppose now that K is any Galois extension of K. Keeping the same notation as above, show that B = A + nk and mkBnn A = mk still (note that every element of AZ(m) is contained in the decomposition ring of m n C, where C is the integral closure of A in a finite Galois sub-extension of K). (d) Under the hypotheses of (c), show that, if A is Noetherian, so is B,. (Observe that the Hausdorff completion of B, with respect to the m-adic topology is identified with the completion A of A by (c) ; if 4: B, -+ A is the canonical homomorphism, show that, for every ideal a of B,, 4 (aA) = a, using the fact that in A every ideal is finitely generated and hence that aA is generated by a finite number of elements of a and thus reduce it to the case where K is a finite extension of K.)
-1

12. Let K be a field, K a finite Galois extension of K, C the polynomial ring K[X, Y], B the quotient ring C/CXY and x , y the canonical images of X, Y in B. Let A be the subring K[x] + yK[y] of B. The Galois group 9 of K over K operates faithfully on A, the ring of invariants A of 9 in A being K[x, y]. Let S be the set of powers of x in A. Show that S-lA = S-lA and that 9 does not operate faithfully on S-lA.

7 11. (a) Let A be a local integrally closed domain, m its maximal ideal, K its field of fractions, K a finite Galois extension of K, A the integral closure
364

7 13. (a) Let K be a field of characteristic 0 and n the ideal of the polynomial ring K[X, Y, Z] generated by Y2- Xa - X3. Show that n is prime and that the integral domain A = K[X, Y , Z]/n is not integrally closed: if x, y, z are the images of X, Y , Z in A, the element t = y/x of the field of fractions L of A is integral over A but does not belong to A. Let A 2 A be the subring K[x, t, z] of L, which is integral over A. Consider in A the prime ideal p generated by xz - y and z2 - 1 - x and the maximal ideal q 2 p generated by x, y, z - 1. Consider on the other hand in A the maximal ideal q generated by x, t 1 and z - 1; show that q lies above q but that there exists no prime ideal p c q of A lying above p. (Considera homomorphism from A/pA to an extension field of K and show that the image of q under such a homomorphism is necessarily 0.) (b) Let A be the quotient ring of the polynomial ring Z[X]by the ideal n generated by 2X and X2 - X; let x be the image of X in A; is integral A

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over Z but the number 2 is a divisor of 0 in A. Let q be the prime ideal of A generated by 2 and x - 1;then q n Z = 2 2 ; if p is the prime ideal (0) in Z, show that there exists no prime ideal p c q contained in A which lies above (c) Let K be a field, n the ideal of the polynomial ring K[X, Y, Z] generated by X2, XY, XZ, YZ - Y and Z2 - Z, A the quotient ring K[X, Y, Z]/n, x, y, z the images of X, Y, Z in A and A the subring K[x, y] of A; A is integrally closed in its total ring of fractions and A is integral over A. Consider in A the prime ideal p generated by x and the maximal ideal q generated by x and y. Consider on the other hand in A the maximal ideal q generated by x, y, z ; show that q lies above q but that there exists no prime ideal p c q lying above p (same method as in (a)). * Interpret the examples in (a) and (c) geometrically. * 14. (a) Let A be a subring of the field K and x an element # O of K. Show that, if x is not integral over A, there exists a maximal ideal of A[x-l] which contains x-l and that, for every maximal ideal m of A[x-] containing x, the ideal A n m is maximal in A (observe that x does not belong to the ring A[x- 3). (b) Let A be a local integral domain, m its maximal ideal, K a field containing A and k the residue field of A. Let x E K be such that x $ A and x - l $ A and suppose that A is integrally closed in the ring A[x]. Show that there exists an A-algebra homomorphism A[x] +k[X] which extends the canonical homomorphism A + k and which maps x to X. (It is necessary to prove that, there would be a relation a,xn-p + . . . up = - ( u p + l x - l + . . . + u0x-P), where ap is invertible in A; using Exercise 5 of 9 1, show that the common value b of the two sides belongs to A and, using (a), show that necessarily 6 E m; conclude that x - l would be integral over A, which is absurd.) (c) Under the hypotheses of (b), show that the ideal tnA[x] of A[x] is prime and not maximal. 15. Let A be a ring and p a prime ideal of A. Show that, in the polynomial ring B = A[X], the ideal pB = q is prime; the maximal ideal of the local ring B, is equal to pB,; if k is the field of fractions of A/p, B,/pB! is isomorphic to the field of rational fractions k ( X ) . If A is integrally closed, so is B,.

P.

(a) The subring B = B[A] of K(X) is integral over B; its field of fractions is K ( X ) and [ K ( X ) : K(X)] = n. (b) For every maximal ideal m of A containing m, n = mB is a maximal ideal of B; if we write n = mB, then

[(Alm) :(A/m)]
and

[(Bln):(B/n)]
:(B/n)ls.

[(Alm):(A/m)ls = [(B

(Observe that (Alm) @A B is isomorphic to the field (Alm)(X) and deduce that B/n is isomorphic to (A/m)(X).) (c) The mapping m t+ mB is the bijection of the set of maximal ideals of A containing m onto the set of maximal ideals of B; the inverse bijection is n H n n A.

if f = O alxf = 0, where a, E A for all i, then all the a, belong to m. Otherwise

7 17. (a) Let K be an infinite field, E a finite separable algebraic extension of K and g a polynomial of K[X]. Show that there exists an element x E E such that E = K(x) and the minimal polynomial of x over K is relatively prime to g (argue as in Algebra, Chapter V, 9 7, no. 7, Proposition 12). (b) Let k be a field, A a primary k-algebra (Chapter IV, 3 2, Exercise 32) and m its unique prime ideal. If A/m is a transcendental extension of k, there exists in A elements which are not algebraic over k. If A/m is algebraic over k and d is an integer at least equal to the separable factor of the degree of A/m over k (and hence any integer if this separable factor is infinite), show that there exists in A elements whose minimal polynomial over k is of degree 2 d. If further A/m is not separable over k or if m # 0, there exists in A an element whose minimal polynomial over k is of degree > d. (If A/m is not separable over k, use Algebra, Chapter V, 3 8, Exercise 5. If A/m is separable and of degree d over k and x E A is such that 5 E A/m, the class of x , is a primitive element of A/m, whose minimal polynomial isf E k[X], observe thatf(5) # 0 and deduce that, ify # 0 is an element of m, thenf(x + y) # 0.) (c) Let k be an infinite field and A a k-algebra the direct composition of r primary algebras A, (1 < i < r ) ; let m, be the maximal ideal of A, and df an integer at least equal to the separable factor of the degree of A,/m, over k if A, is algebraic and this factor is finite, or an arbitrary integer otherwise. Show that there exists in A an element which is not algebraic over k or
whose minimal polynomial over k is of degree d, ; if further one of the m, f=1 is #O or if one of the fields A,/ml is not a separable algebraic extension of k, there exists in A an element which is not algebraic over k or whose minimal polynomial over k is of degree >

16. Let A be an integral domain, K its field of fractions, K a finite extension of K of degree n and A a subring of K containing A, with K as field of fractions and integral over A. Let m be a maximal ideal of A and B the local ring A[X],,,A[= (Exercise 15).
366

2
I

dl (use (a) and (b)).

T[ 18. Let A be a local integrally closed domain, K its field of fractions, m

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its maximal ideal and k = A/m its residue field. Let K' be a finite algebraic extension of K of degree n, A' a subring of K containing A, integral over A and with K' as field of fractions and m, (1 < i < r ) the maximal ideals of A . An ideal m is called unrarnijied in A' if there exists a basis (w,) I , K' over K of . consisting of elements of A' and whose discriminant DK,/K(wl, . ., w,) (Algebra, Chapter IX, 5 2) belongs to A m. (a) Show that, if m is unramified in A', K' is a separable extension of K, A' is the integral closure of A in K' and is a free A-module every basis of which Over A is a basis of K' over K; mA' is the Jacobson radical of A' and A'/mA' is a semi-simple k-algebra of rank n over k which is separable over k and the direct composition of the fields A'/m;. (b) Let di be the separable factor of the degree of A'/mi over A/m. Show

let A; denote the ring of fractions of A' whose denominators are in A p. p is called unrarnijed in A' if pA, is unramified in A;. (a) Let pi (1 < i < r ) be the prime ideals of A' lying above p. Let di be the separable factor of the degree of the field of fractions of A'/p[ over the field of
di < n. (Reduce it to Exercise 18.) fractions of A/p; show that (b) The following conditions are equivalent: (a) The ideal p is unramified in A'. (p) A' contains a basis of K' over K whose discriminant belongs to A

- p.

that, if k is infinite, di < n (use Exercise 17 (c)); moreover, the following conditions are equivalent: ( a ) m is unramified in A'. (p) A' is a finitely generated A-module and A'/mA' is a semi-simple kalgebra and separable over k.

(Y) dl Q n. (To see that (F) implies (y), note that there is a system of generators of the A-module A' whose classes mod. mA' form a basis of A'/mA' over k, using Chapter 11, 5 3, no. 2, Corollary 2 to Proposition 4;deduce that
[K': K]

< [(A'/mA')

: k].

TOsee that (y) implies ( a ) ,use Exercise 17 (c) to show that there exists a basis of A'/mA' over k consisting of the powers ELof an element E (0 < i < n - 1) ;
if x E A' is an element of the class E, deduce that DK,/K(l,x, . . .,x"-') belongs to A m.) Give an example where K' is separable over K, A'/mA' = A/m and A' is not a finitely generated A-module (cf. Exercise 9 (c)). (c) Extend the results of (b) to the case where k is finite (in the notation of Exercise 16, show that, if n is unramified in B', then m is unramified in A'; taking account of the fact that B/n is infinite, use Exercise 16 (c), thus obtaining an element t E B' such that

(Y) di = n. I n particular, if r = n, p is unramified in A'. Give an example where p is unramified in A but A' is not a finitely generated A-module (cf. Exercise 9 (a)). (c) A is called unrarnijrd in A' (or in K') if every prime ideal of A is unramified in A'. Show that A' is then a faithfullyjat A-module (cf. Chapter 11, 5 3, no. 4,Corollary to Proposition 15). Let K" be a finite algebraic extension of K' of degree n' ;let A' be the integral closure of A in K' and A" the integral closure ofA in K"; for A to be unramified in A", it is necessary and sufficient that A be unramified in A' and A' be unramified in A". (d) Let k be a field, A an integrally closed integral k-algebra and K its field of fractions. Let k' be a finite separable algebraic extension of k of degree n over k. Show that, if k' @, K is a field, A is unramified in k' @, K (consider a primitive element x of k over k and the basis of k' Qk consisting of the xi ' K for 0 < i Q n - 1).

DK,(Xm(xdl,2, *

-, ..-? B - "; E

20. Let A be the integral domain defined in Chapter 111, 4 3, Exercise 15 (b), C the local ring A,,,, n = mA, the maximal ideal of C and L the field of fractions of A and C. If x, y are the canonical images of X and Y in C, show that t = y/x does not belong to C but that t2 E C , so that C is not integrally closed; moreover C' = C[t] is the integral closure of C and is isomorphic to S-'K[T] (T an indeterminate), where S is the multiplicative subset of K[T] consisting of the polynomials which are not divisible by T - 1 nor by T 1. Show that C' is a finitely generated C-module and that the (maximal) ideals of c' lying above n are the principal ideals q, = (t - 1)C' and q, = (t + 1)C'; but the local rings C:l and Ciz are not C-algebras integral over C.

show that z may be assumed to be a polynomial in A'[X] and, by expressing the above discriminant as a polynomial in X, obtain the existence of a system o f n elements w, (1 < i < n) of A' such that D K , / K ( w l y., w,) E A m). ..

7 19. Let A be an integrally closed domain, K its field of fractions, K' a finite algebraic extension of K of degree n and A' a subring of K' containing A, integral over A and with K' as field of fractions; if p is a prime ideal of A,
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' I

21. Let A be an integrally closed domain containing the field Q, K its field of fractions, L an algebraic extension of K and B the integral closure of A in L. Show that, for every ideal a of A, A n aB = a.

7 22.

Let A be a Noetherian integral domain, K its field of fractions and A' 369

a subring of K containing A. Suppose that A is integrally closed in A' and that

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EXERCISES

for every prime ideal p of A there exists a prime ideal p' of A' lying above p. Argue by reductio ad absurdum: let x E A' n [A and let a = A n ( x - l A), which is an ideal distinct from A. Let p be a prime ideal associated with A/a; the transporter b = a: p is then distinct from a (Chapter IV, 3 1, no. 4, Proposition 9) and there therefore exists y E b such that xy A and xyp c pA' n A = p; deduce a contradiction.)
93

3. Let K be an infinite field, L an extension field of K, ( x i ) of elements of L and d the transcendence degree of K(x,,

, finite family a
. . ., x,) over K.

Show that there exist d elements z, = afixi of L (where the a,, E K) such that K[x,, . . .,x,] is integral over K[z,, . . ., z d ] .If we suppose further that K(x,, . . ., x,) is a separable extension of K, show that the a,, may be chosen such that the z, form a separating transcendence basis of K(x,, . . .,x,) over K (argue by induction on n when n > d ) .

,=,

i:

7 1. Let A be a ring, p a prime ideal of A, B a finitely generated A-algebra and let cl c . . . c c,, be a non-empty increasing sequence of ideals of B lying above p. Show that there exist an element a E A p and a finite family (y,),,,,, of elements of B with the following properties: (1) If we write B' = A[y,, . . .,y,] and if S is the set of powers of a, the ring S-lB is integral over S-lB'.

(2) For all i such that 1 < i < m there exists an integer h ( i ) 2 0 such that c, contains y,, . . .,y,,,, and for every polynomial P E AIX,(,,+l, . . .,X,] the relation P(y,(,)+,, . . .,y,) E c1 implies that all the coefficients of P belong to p. The ideal c, n B' is then generated by p and the fyk such that k < h ( i ) . (Argue by induction on m, thus reducing it to the case m = 1. Then let c = r,a; argue by induction on the number n of generators of the A-algebra B. Let (x;) < , be such a system of generators and let B be the ideal of A[X,, . . .,X,] , consisting of those P such that P(x,, . . .,x,) E c; then 8 1 pA[X,, . . ., X,] ; distinguish two cases according to whether B is equal or not to pA[X,, . . .,X,]. I n the second case, there is a polynomial Q E A[X,, . . .,X,] none of whose coefficientsis in p and which belongs to B. Show that it is possible to determine integers m, (2 < i < n) such that, ifwe write x i = Q(xl, . . .,x,), xi = xl - x!' (2 < i < n), there exists an element b E A p for which bx, is integral over C = A[& . . .,x 3 ; apply the induction hypothesis to the A-algebra

4 Let B be an integral domain and A a subring of R. Suppose that there . exist n 2 1 elements t,, . . ., t, of B which are algebraically independent over A and such that B is integral over A[t,, . . ., t,]. Let n be a maximal ideal of B and p = n n A. Then there is a prime ideal q of B contained in n, distinct from n and containing p. (Reduce it first to the case where A is integrally closed by considering the integral closure A of A (contained in the field of fractions of B) and the ring B' = B[A']; in the case where A is integrally closed, use Theorem 3 of 9 2, no. 4 ) .

7 5. Let A be an integral domain and B 3 A a subring of the field of fractions K of A; suppose that A is integrally closed in B and that B contains an element t such that B is a finitely generated A[t]-module. (a) Let F be a polynomial #O of A[X] such that F(t) belongs to the conductor f of B with respect to A[t] ; show that, if c is the dominant coefficient of F, c belongs to the radical o f f . (By considering the rings A[c-'] and B[c-l], reduce it to showing that, if c = 1, necessarily B = A[t]. On the other hand we may assume that F(t) # 0, otherwise t E A. For all x E B, by hypothesis xF(t) = F ( t ) Q ( t )

+ R(t)

B, = A[& and the ideal c n B,.)

. . ., 41

2. Let K be a field and B the quotient of the polynomial ring K[X, Y] in two indeterminates by the ideal a of K[X, yl generated by Xa and XY; denote by x and y the images in B of the elements X, Y; let A be the subring K[x] of B. Show that the elements x and yn (n 2 0) form a basis of B over K and that B is not integral over A. On the other hand, there exists in B no element which is algebraically free over A. Deduce a counter-example to Corollary 1 to Theorem 1 of no. 1 when A is not an integral domain.
370

where Q and R are polynomials in A[X] and deg(R) < deg(F) ; attention may be confined to the case where R(t) # 0; ify = R(t)(F(t))- l = x - Q(t), show that t is integral over A[y-l] and deduce thaty is integral over A.) (b) Suppose further that A is Noetherian; let q be a prime ideal of B belonging to Ass(B/f).Show that, if w is the canonical homomorphism from B to the field of fractions of B/q, w(t) is transcendental over the field of fractions of A/(q n A). (If p = q n A[t], there is an element y E B such that q is the set By with of z E B for which zy E f ; show that p is the conductor of B = A[t] respect to A[t]. Then argue by reductio ad absurdurn using (a).) (c) Suppose that A is Noetherian. Let n be a maximal ideal of B and p = A n n. Show that, if Ap # B,, there exists a prime ideal of B contained in n, distinct from n and containing p . (Let f be the conductor of B with respect to A[t]. Suppose first that n 2 f; consider a minimal element q in the set of prime ideals of B contained in n and containing f ; consider the canonical

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image of A in B/q and use (b) and Exercise 4. If n $ f, the local ring B, is equal to the local ring A[t],,,, where n, = n A[t] (3 1, Exercise 16). If t E A,, show that A, = B,,. If on the contrary A, # B,,, deduce from 3 2, Exercise 14 (c) that pA,[t] is a non-maximal prime ideal of AJt] and conclude that pB,, is a prime ideal of B,, distinct from nB,,.)

6. An integral domain A is called integrally Noetherian if it is Noetherian and if, for every finite sequence (t,) of elements of an extension field of the field of fractions of A, the integral closure of A[tl, . . ., tn] is a finitely generated A[t,, . . .,tn]-module. Every finitely generated integral algebra over a field is an integrally Noetherian domain (no. 2, Theorem 2). (a) Every finitely generated integral algebra over an integrally Noetherian domain is an integrally Noetherian domain. Every ring of fractions of an integrally Noetherian domain not reduced to 0 is an integrally Noetherian domain. (b) Let A be an integrally Noetherian domain (tJl s i C n a finite sequence of elements of an extension field of the field of fractions K of A and B a subring of K(t,, . . ., tn) containing A and integral over A. Then B is a finitely generated A-module. (Note that the field of fractions of B is a finite algebraic extension of K, using Algebra, Chapter V, 5 5, no. 7.)

7 10. Let k be a field, L an infinite set and A the polynomial ring k[X,],. L. If k, is the prime field contained in k, let b denote the cardinal of a transcendence basis of k over k, and let us write c = Card(L). (a) For every ideal a of A, show that there exists a system of generators S of a such that Card@) < c. (Consider the intersections of a and the subrings k[X,]),.J for the finite subsetsJ of L.) (b) Suppose that c < b. Show that, if m is a maximal ideal of A, A/m is an algebraic extension of k. (Let K be the subfield of k generated over k, by the coefficients of the polynomials forming a system of generators of m of cardinal G c ; let m, = m n K[X,],.., so that m = m, & k and
A/m = (K[X*I, E L/mo) @K k. Note finally that there exists a K-isomorphism of the field of fractions of K[X,], L/moonto an algebraic closure of k.) Deduce that A is then a Jacobson ring (use Exercise 8). (c) Suppose that b < c ; then Card(k) < c, so that there exists a bijection H 6 of a subset I, of L onto k, L having a non-empty complement in L. , Let ho E L L; show that there exists a k-homomorphism u of A onto a subfield of the field of rational functions k ( Y ) such that u(X,,) = Y,

7 7. Let A be an integrally Noetherian domain (Exercise 6), a finite sequence of elements of an extension field of the field of fractions of A, B the ring A[tl, . . ., t,], n a maximal ideal of By p = A n n, A the integral closure of A in B and p = n n A. Then, if the local rings A;, and B,, are distinct, there exists a prime ideal of B contained in n, distinct from n and containing p (Zariskis Princ$al Theorem). (Using Exercise 6 (b), reduce it to the case where A = A, then reduce it to the case where A is a local ring with maximal ideal p . Show that B/n is then a finite algebraic extension of A/p (cf. no. 4, Theorem 3) ; deduce that, for every ring C such that A c C c By n n C is a maximal ideal of C. Then argue by induction on n, denoting by B, the integral closure of A[tl, . . ., tt] in B; distinguish two cases according to whether ti + is transcendental or algebraic over the field of fractions of Bi; in the former case, use Exercise 4 and, in the latter, Exercise 5 (c).)

for h E L, u(X,) = 0 for h E L (L u (A,}) ; if m is the kernel of u, A/m is therefore not an algebraic extension of k. (d) Under the same hypotheses as in (c), show that A is not a Jacobson ring. (Note that there exist k-algebras B which are not Jacobson rings (for example local rings) such that Card(B) = b.)

8. Let A be a ring. For A to be a Jacobson ring, it is necessary and sufficient that, for every maximal ideal m of the polynomial ring A[X], mn A is a maximal ideal of A. (Note that if an integral domain B admits a Jacobson radical R # 0 and if b E R, b # 0, the intersection of B and a maximal ideal of B[X] containing 1 bX cannot contain b.)

9. Give a n example of a Jacobson domain A and a Jacobson ring B containing A and such that there exists a maximal ideal of B whose intersection with A is not a maximal ideal. 3 72

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CHAPTER VI

Valuations

Unless otherwise stated, all the rings considered in this chapter are assumed to be commutative and to possess a unit element. All the ring homomorphisms are assumed to map unit element to unit element. Every subring o a ring A is assumed to contain the unit f element o f A. If A is a local ring, its maximal ideal will be denoted by m(A), its residue Jield A/m(A) will be denoted by K(A) and the multiplicative group o f invertible elements o f A will be denoted by U(A); then U(A) = A m(A).

1. VALUATION RINGS
1. THE RELATION OF DOMINATION BETWEEN LOCAL RINGS

DEFINITION 1. Let A and B be two local rings. B is said to dominate A ifA is a subring ofB and m(A) = A n m(B). PROPOSITION 1. Let A and B be local rings such that A is a subring ofB. Thefollowing conditions are equivalent: (a) m(A) = m(B); (b) B dominates A; (c) the ideal Bm(A) generated by m(A) in B does not contain 1. Ifm(A) c m(B), m(B) n Ais an ideal ofA which does not contain 1 and which contains the maximal ideal m(A) ; it is therefore equal to it and (a) implies (b). If B dominates A, the ideal Bm(A) is contained in m(B) and hence does not contain 1; thus (b) implies (c). If (c) holds, Bm(A) is contained in the unique maximal ideal m(B) of Bywhence (a). Note that, if K is a ring, the relation B dominates A is an order relation on the set of local subrings of K. Let A and B be two local rings such that B dominates A. The canonical
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VI

VALUATIONS

VALUATION RINGS

4 1.2

injection A -+ B defines by taking quotients an isomorphism of the field K(A) onto a subfield of K(B); this isomorphism allows us to identify K(A) with a subfield of K(B). Examples (1) Let A be a Noetherian local ring and its completion; the local ring A then dominates A (Chapter 111, 3 3, no. 5, Proposition 9). (2) Let B be an integral domain, A a subring of B, p a prime ideal of B and p = A n p. Then PA, c pB,,, so that B,. dominates A,.
2. VALUATION RINGS

LEMMA 1. Let A be a subring of a ring B and x an element of B not integral over A; then the ring oj-fractions B, (Chapter 11,s 5, no. 1) i not reduced to 0 and there exists s in the subring A [ l / x j of B, maximal ideals containing l / x ; moreover, if3n i any of these s maximal ideals, the inverse image of 2ll in A is a maximal ideal.

As x is not integral over A, it is not nilpotent and therefore B, # 0; moreover, x/ 1 $ A[ 1/XI ,otherwise there would be a relation of the form
x/1 = a,/l

+ a J x + - + a&
* *

for some n

THEOREM K be a jeld and V a subring o f K. The following conditions are 1. Let equivalent : (a) V is a maximal element ofthe set o f local subrings of K, this set being ordered by the relation B dominates A between A and B. (b) There exists an algebraically closedjeld L and a homomorphism h from V to L which is maximal in the set of homomorphismfrom subrings ofK to L, ordered by the relation g is an extension off betweenf and g. (c) I ~ x E K - V , t h e n x - l E V . (d) T h e f i l d of fractions o f V is K and the set ofprincipal ideals o f V is totally ordered by the relation o f inclusion. (e) Thejield of fractions ofV is K and the set o f ideals of V is totally ordered by the relation o inclusion. f
We shall show the theorem by proving the following implications (a) => (b) => ( 4
=>

> 0 (where a, E A for 0 < i < n), which is equivalent to p t h - a p t h - 1 - a l X n + h - a - . . . - a,$-l =0 for some convenient h > 1 ; but such a relation would imply that x is integral

Over A, contrary to the hypothesis. The existence of a maximal ideal of A[l/xj containing 1/x therefore follows from the fact that l/x is not invertible in A[l/x] (Algebra, Chapter I, 3 8, no. 7, Theorem 2). Then let 3n be a maximal ideal of A[ 1/xj containing 1/ x ; let :A --f A[ 1/XI, p: A[ 11x1 --f A[ 1/xj /3n be the canonical homomorphisms; then

P ( A [ l / x l ) = P(+(A))/X)l sincep(l/x)
=

= P(+(A))

0; this proves thatp(+(A))is a field and hence the inverse image

& %maximal ideal of A. : is aI )

(4 * (4

(a).

Suppose that (a) holds. Then V is a local ring. Let L be an algebraic closure of the residue field K(V) h the canonical homomorphism from V to L. Let V and be a subring of K containing V and h a homomorphism from V to L extending h. If p is the kernel of h, then p n V = m ( V ) ; hence (no. 1, Example 2) Viedominates V, which implies V $ = V and V = V. Thus (b) holds. Suppose (b) holds. Let L be an algebraically closed field and h a homomorphism from V to L; suppose that h is maximal in the set of homomorphisms from subringsof K to L; let p be the kernel ofh. The elements o f h ( V p) heing invertible in L, h can be extended to a homomorphism from V ,to L (Chapter 1 , 1 5 2, no. 1, Proposition 1) ;hence V = V,, which shows that V is a local ring and that p is its maximal ideal. Let x be a non-zero element of K ; we must show that one at least of the elements x, x - l belongs to V ,that is, by virtue of the maximal character of h, that h can be extended to V [ x ] or V[x-]. If x is integral over V, this follows from Chapter V ,8 2, no. 1, Corollary 4 to Theorem 1. If x is not integral over V ,we shall use the following lemma:

We apply this lemma with A = V and B = K; then there is a maximal ideal ofV [ x - l ] containing x - l and 98 nV is a maximal ideal of V ;then 3n n V = p since V is local; denoting by f the canonical homomorphism of V [ x - l j onto V [ X - ~ fI( / -~ )~ = 0, whence V/p = f ( V ) = f ( V [ x - l j ) ; as h defines by x , taking the quotient an injective homomorphism from V/p to L, 6 f is a homomorphism from V [ x - l ] to L extending h. Hence (c) holds. Suppose now that (c) holds. Clearly K is the field of fractions of V .Let a and b be elements of V such that V a Q V b ; we show that V b c V a . It is true if b = 0; otherwise the relation a $ V b implies 6-la $ V ,whence by (c) a-lb E V and therefore V b c V a . Hence (d) holds. Suppose that (d) holds. Let a and b be ideals of V such that a b. There exists a E a such that a $6. For all b E 6, a 4 V b , whence V a V b and therefore V b c V a c a (by (c)) and b E a. Then b c a, which shows that condition (e) is satisfied. Suppose finally that (e) holds. AS V has a maximal ideal, it has only one and is therefore a local ring. Let V be a local subring of K dominating V and let x be a non-zero element of V;we write x = ab-l where a E V ,b E V . One of the ideals V a , V b is contained in the other. If V a c V b , then x E V . If V b c V a ,
Q

* *

37 6

377

VI

VALUATIONS

EXAMPLES OF VALUATION RINGS

3 1.4

then
#-I$

E V; as the ideal V'm(V) does not contain 1 (no. 1, Proposition l), m(V), whence again x E V since V is local. Every element of V' therefore belongs to V; we conclude that (a) holds.

COROLLARY 1. Every valuation ring is integrally closed. COROLLARY 2. For an integral domain to be integrally closed, it is necessary and sujicient that it be the intersection o f afamily o f valuation rings o f itsjield o f fractions. In the case of a Noetherian ring, Corollary 2 can be made more precise (Chapter VII, 5 1, no. 3, Corollary to Theorem 1). COROLLARY 3. Let K be afield, K' an extension o f K and A a valuation ring o f K. The integral closure o f A in K' is the intersection of the valuation rings V' o f K such that V' n K = A. Theorem 1 (c) show that, if V' is a valuation ring of K', V' n K is a valuation ring of K and V' dominates V' n K. For V' to dominate A, it is necessary and sufficientthat V' n K dominate A and therefore be equal to it.
4. EXAMPLES OF VALUATION RINGS

DE~NITION In the notation o f Theorem 1,V is called a valuation ringf o r thefield K 2. i f t h equivalent conditions (a), (b), (c), (d), (e) hold. A ring is called a valuation ring f i it is an integral domain and it is a valuation ringfor itsjield o ffractions.

THEOREM K be ajeld and h a homomorphismfrom a subring A of K to an alge2. Let braically closed field L. Then there exist a valuation ring V for K and a homomorphism -1 h' from V to L such that V contains A, h' extends h and h' (0) = m(V).
Let 4 be the set of homomorphisms of subrings of K to L, ordered by the relation of extension. This set is inductive; for if (ha)aeris a non-empty totally ordered family of elements of 4 and B, is the defining ring of ha, the B, form a totally ordered family of subrings of K and their union B is therefore a subring of K; there therefore exists a unique mapping from B to L which extends the ha (Set Theoy, Chapter 11, 5 4 no. 6, Proposition 7) and it is immediately seen , that is a homomorphism from B to L. Zorn's Lemma then shows that there exists a maximal element h' of 4 which extends h. The defining ring V of h' is a valuation ring of K (Theorem 1) ;if p is the kernel of h', h' can be extended to a homomorphism from V, to L (Chapter 11, 3 2, no. 1, Proposition l), whence V, = V and p = m(V). COROLLARY. Every local subring A of ajeld K i dominated by at least one Valuation s ring o f K. Apply Theorem 2 to the canonical homomorphism h from A to an algebraic closure L of A/m(A).
3. CHARACTERIZATION OF INTEGRAL ELEMENTS

(1) Every field is a valuation ring. (2) If V' is a valuation ring of a field K' and K is a subfield of K', v' n K is, by no. 2, Theorem 1 (c), a valuation ring of K. (3) The following proposition provides numerous examples of valuation
rings : PROPOSITION 2. Let A be a local ring whose maximal ideal is a principal ideal A!.
m

If

f-I Apn = (0) ( f o r example f i n= 1

A is Noetherian, cf. Chapter 111, 5 3, no. 2,

Corollary to Proposition 5 ) , the only ideals o f A are (0) and the Ap"; then eitherp is nilpotent or A is a valuation ring. Let A be filtered by the Apnand let u denote the corresponding order function (Chapter 111, 3 2, no. 2). A s
~

THEOREM 3. Let A be a subring o f afield K. The integral closure A of A in K is the intersection ofthe valuation rings ofK which contain A; ifA is local, A' is the intersection ofthe valuation rings of K which dominate A.
Let x be an element of A' and V a valuation ring of K containing A; as x is integral over V, there exists a prime ideal p' of V[x] such that p' n V = m(V) (Chapter V, 32, no. 1, Theorem 1); clearly then the local ring (V[X])~, dominates V and hence is equal to it; whence x E V. Conversely let y be an element of K which is not integral over A; then there exists a maximal ideal 2.2 of A [ y - l ] which contains y - l (no. 2, Lemma 1) ;there exists also a valuation ring V of R which dominates ( A [ y - I ] ) , (no. 2, Corollary to Theorem 2) ; as y - l E m(V), y $ V. Further 2.2 n A is a maximal ideal of A (no. 2, Lemma 1) ; hence, if A is local, 2.2 n A = m(A) and V dominates A.

n=l ~

p = n

(o),

I
I

i
I

the relation v(x) = +co implies x = 0. Let a be an ideal # (0) of A and a an element of a at which v takes its least value; let us write v(a) = s (s # +a). Then a c Aps.In particular, there exists u E A such that a = ups; as a $ Aps+l, u 4 A@; hence u is invertible and ps E A a c a. I t follows that a = Aps,whence our first assertion. I t is also seen that every element a # 0 of A may be written in the form a = upU(@ where u is invertible. If a' = (u' invertible) is another non-zero element of A, then aa' = U U ~ ( ~ ) + ~ (hence, ifp is not nil~ ' ) ; potent, aa' # 0 and A is an integral domain. Then, as the set of ideals of A is totally ordered by inclusion, we conclude that A is a valuation ring (Theorem I (e>>. 379

378

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PLACES

3 2.2

For example, ifp is a prime number, the local ring Z(p)is a valuation ring. Let B = KIX1, . . .,X,,] be the polynomial ring in n indeterminates over a field K; the ideal BX1 is prime, since B/BXl is isomorphic to K[X,, . . ., X,]; hence BBXlis a valuation ring; it is composed of rational functions PQ-I, where P and Qare polynomials and Q(0, X,, . . ., X,) # 0.

* More generally, we shall see that, if F is an extremal element of

B
=

invertible in V; then p = X - lK[X-l] since the latter ideal is maximal. Finally let us consider a rational function A(X)/B(X), where A and B are polynomials of respective degrees a and b ; then A(X) = XaA(X-l) and B(X) = XbB(X-l), where A and B are polynomials such that A(0) # 0 and B(0) # 0; hence, for A(X)/B(X) to belong to the local ring of K[X-l] a t X-lK[X-I], it is necessary and sufficient that a < b.

KIXl,

. . ., X,],
2. PLACES
1. THE NOTION OF MORPHISM FOR LAWS OF COMPOSITION NOT EVERYWHERE DEFINED

B,, is a valuation ring (cf. Chapter VII, 3 3, no. 5). * The ring of formal power series K[[T]] in one indeterminate over a field K is a Noetherian local integral domain whose maximal ideal is principal; it is therefore a valuation ring. On the other hand the ring K[[T,, T,]] of formal
power series in two indeterminates, which is a Noetherian local integral domain is not a valuation ring, for neither of the elements TI, T, is a multiple of the other.

DEFINITION 1. Let E and E be two sets each with an internal law of composition denoted by (x, y ) t+ x * y , not necessarily everywhere defined. A mapping f : E -+ E is a morphism ;f,f o r all x, y in E such that f ( x ) *f ( y ) is dejined, the composition x * y i s also dejined and:
(1) f ( X * Y ) =f(4 f(Y). * More briefly, we may say that formula (1) must hold every time the right hand side has a meaning. The notion of morphism is distinct from that of representation (Algebra,

PROPOSITION 3. Let A be a principal ideal domain and K its jeld of fractions. The valuation rings of K containing A and distinct from K are the rings o f the form AAP, where p is an extremal element of A.
Clearly A,, (p extremal) is a valuation ring containing A and distinct from K (Proposition 2). Conversely, let V be a valuation ring distinct from K and containing A. As V # K, m(V) contains an element x # 0; writing x = a/b where a E A and b E A, it is seen that A n m(V) contains the non-zero element a. As A n m(V) is prime, it is of the form Ap where p is extremal in A. Then AAp c V, pAAp c m(V), so that V dominates AAp;as A,, is a valuation ring of K (Proposition 2), V = AAp. COROLLARY 1. Every valuation ring ofthejeld Q and distinct from Q is ofthe form Z(p)where p is a prim number. Every subring of Q contains Z. COROLLARY 2. Let K be ajeld, K(X) thejeld of rational functions in one indeterminate over K and V a valuation ring ofK(X) containing K and distinctfrom K(X). I f X E V, there exists an irreducible polynomial P E K[X] such that V = (K[X])p); otherwise V i the local ring of K[XW1]at the prime ideal X-lKIX-l] (in other s worh V is composed ofthe fractions A/B, where A E K[X] and B E K[X], such that deg(A) < deg(B)). If X E V, then K[X] c V and the assertion made follows from Proposition 3. If X 4 V, then X-I EV,whence K[X-l] c V; then V is the local ring of K[X-l] a t a prime ideal p (Proposition 3) and this ideal contains X - l since X- is not

Chapter I, 3 1, no. l ) , where it is demanded that equation (1) hold whenever the left hand side has a meaning. Of course, the two notions coincide for laws of composition everywhere defined.

DEFINITION 2. Let E and E be two sets each with a family o f internal laws ofcomposition (x,y ) Hx *a y , a E I. A mapping$ E -+ E is a morphism f it is a mori phism for each of the laws o cornposition ( x , y ) Hx *a y. f
Just as representations, so morphisms satisfy axioms (MO,), (MO,,), (MOrII) of Set Theory, Chapter IV, 8 2. Iff: E -+ E is a morphism,f(E) is a stable subset of R.
2. PLACES

If K is a field, recall that K denotes the set the sum of K and an element denoted by co (Algebra, Chapter 11, 3 9, no. 9) ; the laws of composition of K extend to K by setting (loc. cit.) (2)
a+co=co
co.a = a.co =
03

for U E K , a # c o , for
aEit,

(3)

#o.

co .0 and 0. co. O n the other hand, the mappings x

The only compositions not defined are therefore the compositions to + to, H - x and x t+ x - extend 38 1

380

VI

VALUATIONS

PLACES AND VALUATION RINGS

2.3

similarly to K by setting --CO = to, 0-1 = coy co- = 0. We shall also write x (-y) x -Y. The set K, called the projectivejeld associated with K, can be identified with the projective line Pl(K) (loc. cit.).

3. PLACES AND VALUATION RINGS

D E F I N ~ O N K and L be twofields. Every morphismf o f K to ( f 0 r addition 3. Let and multiplication) such that f (1) = 1 is called a place of K with values in L.
I n other words, if x and y are elements of K andf(x) + f ( y ) (resp.f(x)f(y)) is defined, then x y (resp. xy) is defined and

PROPOSITION 1. Let K be ajeld, A a valuation ring ofK and K(A)the residucjeld of A. w extend the canonical mapping ofA onto K(A)to a mapping h,: R -+ (K(A))e by the equation hA(x) = co i f x 6 A. The mapping h, thus defined is aplace of K whose valuejeld is K(A). Clearly h,(l) = 1. We show that hA is a morphism for addition. Let x, y be two elements of k such that hA(x) + h,(y) is defined. One of the two elements x, y belongs then to A and hence x + y is defined. If x E A and y E A, clearly

(4)

f(x

+ 9) = f ( x )

+f(Y)

(5)
(6)

f(XY) =f(X)f(Y)*

As co + co is not defined, neither isf(co)

f(m) =

+ ~ ( c o )which shows that ,

+ hA(y) = hA(x + Y ) holds. If x E A and y $ A,then x + y $ A and the two sides of the above formula
hA(x)

co.

Similarly, since 0.co is not defined, neither is.f(O)f(co), which, by virtue of (6), implies

equal co. We show finally that h, is a morphism for multiplication. Let x E K,y E K be such that hA(x)hA(y) defined. If x E A and y E A, clearly xy is defined and is hA(x)hA(y)= h,(xy). Suppose now that one of the elements x, y , for exampley, does not belong to A; as h,(y) = co, h A ( x ) # 0, that is x$m(A), whence x - l E A;it follows that xy is defined and that xy $ A,whence
~ A ( x Y )= 00

(7) On the other hand

f ; o ) = 0.
=~A(x)~A(Y).

(8)

f(a-1)

=f(a)-

forall a E K .

This proves Proposition 1. I f j is an isomorphism of K(A)onto a subfield of a field L, j 0 h,: k -+ is a place of K with values in L. The above process in fact provides all the places on K. To be precise:

Iff(a) f ( a - l ) is defined, a a - l is defined and hence is equal to 1 ; then f(a)f(a-l) = f ( l ) = 1, which proves (8) in this case. I f f ( a ) f ( a ) - l is not defined, then, eitherf(a) = 0 andf(a-l) = co orf(a) = 03 andf(a-l) = 0 and (8) still holds. Similarly it can be shown that

(9)

f(- u )

-f(a)

for all a E K.

PROPOSITION 2. Let K and L be twojelds and f aplace ofK with values in L. Then thre exists a valuation ring A ofK and an isomorphismj o f K(A)onto a subjeld of L such thatf = j o h,; these conditions determine A and j uniquely. The ring A is the set of x E K such t h a t f ( x ) # 00 and m(A) is the set of x E K such t h a t f ( x ) = 0.
I f f = j o h,, the condition f ( x ) # co (resp. f ( x ) = 0) is equivalent to the condition hA(x) # co (resp. hA(x) = 0) and hence to the condition x E A (resp. x E m(A)). Hence A is determined uniquely and, as h, is surjective,j is also unique. Now letfbe any place of K with values in L ; let A denote the set of x E K such that f ( x ) # 00. If x E A and y E A, the compositions f ( x ) - f ( y ) and f ( x )f ( y ) are defined and #a, which shows that x - y E A and xy E A;hence A is a subring of K. If x 4 A,thenf(x) = 00, hencef(x-l) = 0 and x-l belongs to the kernel m of the homomorphismf obtained by restrictingfto A. Conversely ify E m ytheny - l $ A.This shows that A is a valuation ring of K and that m is its maximal ideal. L e t j be the injectivehomomorphism from K(A)to L derived from
383

From formulae (8) and (9) it follows that f is also a morphism for the laws of composition ( x , y) Hx - y and ( x , y) Hx y - l . For x E K,fis called finite a t x iff(.) # co;this implies x E K by (6). Iff: K -+f, is a place, f(k)is a subset of ]r; which is stable for the laws of composition (x, y) Hx y, ( x , y ) H x - y, ( x , y) Hxy and ( x , y) e- y - l and x which contains 1. If E is the set of finite elements off(K), E is a subfield of L andf(K) = fi. By an abuse of language E is called the valuejeld off. The composite mapping of two places is a place. Let F be an isomorphism of a field K onto a subfield of a field L; let us extend f to K by settingf(m) = co. Thus we obtain a place of K with values in L which is called trivial and which is often identified with the isomorphismf.

382

VI

VALUATIONS

VALUATIONS ON A RING

3 3.1

f by passing to the quotient. Then f (x) = j ( h , ( x ) ) for all x E A and this equation remains true for x $ A, the two sides being then equal to 00.

over K and a,, . . ., a,, any elements l<i<n.

o f

L, fmay be chosen such that f (x,) = a, for

The decompositionf = j 0 h, is called the canonical decomposition of the placef. A is called the ring off, m(A) the ideal off and K(A)the residuejeld off. For two placesf: K -+ and f: K -+ E to have the same ring, it is necessary and f. sufficientthat there exist an isomorphism s of the value field off onto that off such thatf = s of; then f andf are called equivalent. It is seen that every result on valuation rings can be translated into a result on places and conversely; this is what we shall do in the following nos. Examples of places (1) Let K be a field. The identity mapping on K is a trivial place with ring K and ideal (0). (2) Let k be a field. For all u E k((T)), let us writef ( u ) = co if u $ k[[T]] and definef (u) to be the constant term of u if u E k[[T]]. Thenf is a place ofk( (T)), with residue field k and ring k[[T]]. For k[[T]] is a valuation ring of k((T)) (3 1, no. 4, Example 3 ) and the restriction offto k[[T]] is identified with the canonical homomorphism of k[[T]] onto its residue field. (3) Let k be a field, a an element of k and A the set of u E k ( X ) such that a is substitutable in u (Algebra, Chapter IVY 3, no. 2). If p denotes the prime ideal 3 (X - a) of k[X], then A = k[X],, so that A is a valuation ring of k(X) (0 1, no. 4, Proposition 2). For all u E k(X) ,let us writef ( u ) = 00 if u $ A and f ( u ) = .(a) if u E A. Then f is a place of k ( X ) with residue field k and ring A; for the restriction off to A is a homomorphism of A onto k (Algebra, Chapter IVY 3, Proposition 2) of kernel pA = m(A). The elementf (u) E E is said to be 8 obtained by putting X = a in u. * (4) Let S be a connected complex analytic variety of dimension 1 and K the field of meromorphic functions on S. For all zo E S, the mappingf t-+ f (zo)from K to is a place of K whose ring is the set off E K which are holomorphic at zo and whose ideal is the set off E K which are zero at zo. I t is this example and other analogues which are the origin of the term place.*
4. EXTENSION OF PLACES

Let V be the ring off, g the restriction off to V and g the extension of g to V [ x , , . . .,x,,] such that g(xi) = a, for 1 < i < n. I t is sufficient to take L to be an algebraic closure of L and apply Proposition 3 to g and L: we obtain a placef: K E which extends g; if x E K --f V, then x - l E m(V), whence f ( x - l ) = g ( x - l ) = 0 andf(x) = co = f ( x ) ; hencef extendsf.

5. CHARACTERIZATION OF INTEGRAL ELEMENTS BY MEANS OF PLACES

PROPOSITION 5 . Let K be a f i l d , S a subring o K, h a homomorphismfrom S to ajield f and p the kernel o h. For an element x o K to be integral over the local ring S,, it i f f s necessary and suflcient that every place of K extending h bejnite at x.

Iff is a place of K extending h, f is finite on S, and zero on pS, and hence the ring of the place f dominates S,. Conversely, if V is a valuation ring of K which dominates S,, V is the ring of a placef whose restriction to S is a homomorphism with the same kernel as h ; replacing f by an equivalent place, it is seen that V is the ring of a place of K which extends h. To say that every place of K extending h is finite at x is equivalent to saying that x belongs to all the valuation rings of K which dominate S,. The proposition then follows from Theorem 3 of 8 1, no. 3. PROPOSITION 6. Let K be a&ld and S a subring o K. For an element x E K to be f integral over S, it i necessary and sujicient that every place of K which isjnite on S be s jnite at x.
This is also a consequence of Theorem 3 of 3 1, no. 3.

3. VALUATIONS
1 VALUATIONS ON A RING .

PROPOSITION 3. Let K be ajield, S a subring o K and f a homomorphismfrom S to an f algebraically closedJield L. Then there exists aplace ofK with values in L which extends

f.
Tg * account of Proposition 1, this is a translation of Theorem 2 of no. 2 .

3 1,

~ X T B I T I O N 4. Let K be a j e l d , f a place of K with values in a&ld L and K an extension of K. Then there exists an extension L o L and aplacef o f K with values in f Lzohich extendsf. I f x l , . . .,x, are elements of K which are algebraically independent

Let I be a totally ordered commutative group written additively. In the rest of this chapter, we shall have to consider, for such a group, the set obtained by adjoining to I an element denoted by +co; we shall denote this set by I, and we shall give it: (1) a total ordering for which +co is the greatest element, in other words, such that a < +co for all a E I?; (2) a commutative monoid structure whose law induces on I the given group law and is defined by the equations

(+a) (+m)

+coy

+ (+a) +a =
385

384

VI

VALUATIONS

VALUATIONS ON A FIELD

3 3.2

for all a E F; it is immediately verified that this law is associative and com' mutative and that the relation 01 < @ in I implies 01 + y < y for all y E I a '

DEFINITION 1. Let C be a (not necessarily commutative) ring and I? a totally ordered ' commutative group written additively. A valuation on C with values in I is any mapping u : C --f which satisJies thefollowing conditions: ( V h ) v(xy) = v(x) v ( y )for x E C, y E C. (VLJ u ( x y) > inf(v(x), v ( y ) ) f o r x E C , y E C. (VL,) u ( 1 ) = 0 and v(0) = +co.

r,

If C has no divisor of zero other than 0, the unique mapping vo of C to I?, such that vo(x) = 0 for x # 0 and vo(0)= +co is a valuation, called the improper valuation on C . If z E C is such that z" = 1 for some integer n > 1, then, by (VLJ, nv(z) = v(z") = 0 and hence v ( z ) = 0 for every valuation v on C, since ' is a totally ordered group. In particular v( - 1) = 0, whence v( - x ) = v ( x ) I for all x E C . Moreover, it follows from (VL,) that v(xy) = v(yx) for all x , y in C. If x is invertible in C, then V ( X - 1 ) = -v(x). PROPOSITION 1. Let v be a valuation on a (not necessarily commutative) ring C. For any elementsxlEC (1 < i < n),

Remarks (1) If v: C + I?, is a valuation on C and u : B -+ C a homomorphism of a ring B to C, it is immediate that the composite mapping B & C I is a valuation ? , on B with values in I. ' (2) Conditions (VL,) and (VLIJ show immediately that the set-: (+ co) is a two-sided ideal p in C distinct from C by virtue of (VL,,,) ; moreover, if x, y are it two elements of C such that v(xy) = +a, follows from (VL,) that necessarily V ( X ) = +aor v ( y ) = +a; other words, the quotient ring C/p has no in divisor of0 other than 0 ; it is immediately verified that the mapping 8: C/p+I?, derived from v by passing to the quotient is a valuation on C/p, the inverse image of +a, under this valuation reducing to 0.

>

2. VALUATIONS ON A FIELD

Moreover, ifthere exists a single index k such that v(x,J

(1) are equal. Inparticular, i f v ( x ) # v(y), then v ( x

inf v(x,), the two sides

1416n

0s

+ y)

= inf(v(x), v ( y ) ) .

PROPOSITION 2. Let K be a (not necessarily commutative)Jield and v a valuation on K with values in I. Then: ' (i) F o r x # 0, ~ ( x # +a. ) (ii) The set A o x E K such that ~ ( x >, 0 is a subring o f K. f ) (Ki) For all cc >/ 0 in I?, the set V, (resp. V&)o f x E A such that v(x) > a (resp. v ( x ) > a ) is a two-sided ideal ofA and every ( l d t or right) ideal # (0) ofA contains O M of the V&. (iv) The set m(A) of x E A such that v(x) > 0 is the greatest idral # A in A; U(A) = A m(A) is the set of invertible elements o f A and K(A) A/m(A) is u (not necessarily commutative)Jield. (v) For all x E K A, x - l E m(A).

=C

Relation (1) follows from axiom (VL,,) by induction on n. If there exists a single index k such that u(xk) = inf v(xl), then, writing y =

z = xi, v ( y ) > v(xk) and v ( z ) > v(xk) by (1); if v ( z ) > v(xk), the relation f=1 xk = z - y would give v(xk) 2 inf(v(z), v(y)) > v(xk), which is absurd; whence v(z) = v(xk), which proves the second assertion.

1614"

x1 and

COROLLARY.
xi =

If ajnite sequence o f elements (xi)

of C ( j i r n > 2)

is such that

Assertion (i) follows from the fact that;'( co) is an ideal of K not equal to K. The verification of the fact that A is a ring and the V, and V two-sided ideals L is trivial by virtue of axioms (VLI), (VLII) and (VLIII). If a is a (left, for example) ideal ofA and x # 0 belongs to A, every y E A such that v ( y ) > v(x) can be writteny = zx where z = yx-l, hence v(z) = v(y) - ~ ( x ) 0 and therefore z E A; in other words the left ideal A contains the V&for a > v(x). The x m(A) is the set of X E Ksuch that v ( x ) = 0; if x e U ( A ) , set U(A) = A then

0, there exist at least two distinct indicesj, k such that

v(xJ = v(xk) = inf v(xl).
1 4 1 4"

v(x-1) = - u ( x ) = 0,
whence x - l E U(A) ; conversely, if y E A is invertible in A, then u(y) > 0, v(y-l) 2 0 and v(y) u(y-') = 0, whence v ( y ) = 0 and y e U ( A ) ; this proves (iv) and (v) follows immediately from the definitions.

If there were only a single index k such that v(xk) = inf v(xi), Proposition 1 l6f4" would show that v(xk) = v(0) = +m, whence v(xJ = +co for all i, contrary to the relation n >, 2 and the hypothesis made on k.

A (resp. m(A), x(A)) is called the ring (resp. ideal, residuejefield)of the valuation D on K.
387

386

vl

VALUATIONS

EXAMPLES OF VALUATIONS

3 3.4

Clearly U ( A )is the kernel of the homomorphism v: K* -+ I? and the image n(K*) under v of the multiplicative group K* is a subgroup of the additive g o u p r, called the order group or value group of v, which is therefore isomorphic to K*/U(A) for x E K , the element v(x) of rmsometimes called the valuation ; is or order o x for v. Two valuations v, v' on K are called equivalent if they have the f same ring. PROPOSITION 3 For two valuations v, v' over a (not necessarily commutative)jield K to . be equivalent, it is necessary and suficient that there exist an isomorphism A o the ordered f goup v(K*) onto the ordered group v'(K*) such that v' = A 0 v. Suppose v and v' are equivalent; by hypothesis, the ring A of the valuation v being the same as that of v', v and v' (restricted to K*) factor into homomorphisms K* + K*/U(A)3 v(K*), K* -+ K*/U(A)& v'(K*), where p and Y are isomorphisms; moreover, the set of positive elements of v(K*) (resp. v'(K*)) is the image under p (resp. v) of the set of classes mod. U ( A )

remains to prove that w satisfies axiom (VL,,). Then let x' E K*, y E K* be such that x + y E K*; there exists a E C* such that ax E C* and ay E C*, whence a(x + y) E C*. Since the restriction of w to C* satisfies (VL,),

w(a(x Y)> 2 i n f ( w ( 4 , w(ay)). Eliminating w(a) from both sides, we obtain w(x
3. TRANSLATIONS

+ y) 2 inf(w(x),~ ( y ) ) .

Let K be a (commutative) field, f a place of K , v a valuation on K and A a valuation ring of K . We shall say that A,f and v are associated if A is the ring of rand the ring of v. By virtue of no. 1 and fj2, no. 3, each of the three objects A, f and v then determines the other two (up to an equivalence as far as places and valuations are concerned). In particular there are the following equivalences:

of elements # O of m(A); we conclude that A = v converse being obvious.

02 the problem, the solves

Suppose now that K is a commutative field; then, for all valuations v on K , the ring A of the valuation v is a valuation ring o K in the sense of fj 1, no. 2, Definif tion 2 (which justifies the terminology) ; this follows immediately from Proposition 2 (c) and 3 1 no. 2, Theorem 1 (c) Conversely, recall that for every integral domain B whose field of fractions is K the relation of divisibility xIy (equivalent to y E Bx) makes K* into a preordered group, whose associated ordered group rB is the quotient K * / U ( B ) of K* by the group U ( B ) of invertible elements of B, the positive elements of this group being those of B*/U(B) (where B* = B (0)) ; the mapping x t-f Bx defines, by passing to the quotient, an isomorphism of the ordered group K * / U ( B ) onto the group (ordered by the relation 2 )of non-zero principal fractional ideals of K (Algebra, Chapter VI, 3 1, no. 5). The rings A with field of fractions K and for which the group r A = K*/U(A)is totally ordered are precisely the valuation rings ofK (5 1, no. 2, Theorem 1 (d)). If v, denotes the canonical homomorphism of K* onto FA,it is immediate that V , (extended by ~ ~ (=0 +a) a valuation (called canonical) ) is on K whose ring is A; every valuation equivalent to V , may be written v = Q 0 v,, where Q is an isomorphism of r A onto a subgroup of the group where v takes its values (Proposition 3);Q 0 v,, is called the canonicalfactorization o v. f

XEA 0 v(x) 2 0 * f(x) # 0 V(X) > 0 x Em(A) 0 f(x) = o x E A m ( A ) = U ( A )0 f ( x ) # 0 and f ( x ) # co o V ( X ) = 0 0 v(x) < 0 XEK-A 0 f ( x ) = co Every result relating to valuation rings, places or valuations can be translated into a result relating to the other two notions. Thus Proposition 4 of 3 2, no. 4 gives :

PROPOSITION 5. Let K be ajield, v a valuation on K and K' an extension o K . There f exists a valuation v' on K' whose restriction to K is equivalent to v. Let I?,, and r,,. the order groups of v and v'. Since the restriction of v' to be K is equivalent to v, there exists an isomorphism A of I?, onto a subgroup of rV., that v' = A o v on K. If r,,is identified with A(FJ by means of A, it is such seen that v' extends v. Note that I is in general distinct from h(I',) and the equivalence class of u' ' " ,
is not necessarily unique. We shall return to this in 8 8.

Translating Theorem 3 of 3 1, no. 3 (or Proposition 6 of 3 2, no. 5), we obtain:

~ O P O S I T I O N6. Let K be ajield, A a subring o K and x an element o K . For x to be f f integral over A, it i necessay and suficient that evey valuation on K which is positive on s A be positive at x. From now on, we shall in general leave to the reader the trouble of performing translations analogous to the above.

PROPOSITION 4 Let C be an integral domain, K itsjield offractions, C* = C (0) . and V : C +-I?- a valuation on C. Then there exists a unique valuation w on K which extends v and w ( K * ) is the subgroup o I? generated by v(C*). f By Theorem 2 of Algebra, Chapter I, 3 2, no. 7, there exists a unique homomorphism w from K* to-I' which extends v I C*and w (K*) is generated by v(C*). I t
388

4. EXAMPLES OF VALUATIONS

The examples of valuation rings given in 3 1, no. 4 provide us with Examples 1 to 4 below :

389

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IDEALS OF A VALUATION RING

3 3.5

Example (1) Every valuation on aftnite field F is improper, since every element ofF* is a root unity. Example (2) If K is a subfield of a field K', the restriction to K of a valuation on K' is a valuation on K. Example (3) Let k be a field and K = k( (T)). The mapping v which maps every non-zero formal power series to its order (Algebra, Chapter IV, 3 5, no. 7) is a valuation on K whose order group is Z and whose ring is k [ [ T ] ] .The associated place is the canonical homomorphism$ k[[T]] k extended to k ( ( T ) ) -+ by settingf(u) = co if u 6 k [ [ T ] ] . Example (4) Let A be a principal ideal domain, K its field of fractions and p an extremal element of A. For x E K* let up(.) denote the exponent of p in the decomposition of x into extremal elements (Algebra, Chapter VII, 3 1, no. 3, Theorem 2) ;it is immediately seen that up is a valuation whose order group is Z and whose ring is AAp.By Proposition 3 of 3 1, no. 4 we thus obtain, up to equivalence, all the valuations on K which are not improper and are positive on A. Taking A = Z we recover the p-adic valuations on Q (General Topology, Chapter I X , 3 3, no. 2); these valuations are, up to equivalence, the only valuations on Q which are not improper (3 1, no. 4, Corollary 1 to Proposition 3). Taking A = k [ X ] ,where k is a field, the non-improper valuations on k ( X ) whose restrictions to k are improper are (up to equivalence) : on the one hand the valuations v, where P runs through the set of irreducible monic polynomials of k [ X ] and on the other hand the valuation v defined by
for P E k [ X ] and QE k [ X ] (3 1, no. 4, Corollary 2 to Proposition 3) ; all these valuations obviously have Z as order group and their residue fields are monogenous algebraic extensions of k (Algebra, Chapter V, 3, no. 1).

u(0) = +a; is immediately verified that the mapping u of C to I', satisfies it conditions (VLI) and (VLJ of no. 1 and that C is an integral domain. Let K be the field of fractions of C and w the valuation on K which extends u (Proposition 4, no. 2). As every element of I? is the difference of two positive elements, w admits I? as order group. Let A be the ring of w and r its maximal ideal; we n shall show that A is the direct sum of rn and k (identified with k . l ) , which will prove that the residue field of w is isomorphic to k. Clearly rn n k = (0). On the other hand, denoting by p the ideal of C generated by the x, where a > 0, every element x of valuation 0 in K can be written in the form ( a + y ) / ( b + z ) where a E k*, b E k*, y E p and z E p ; then

ab-l

+ (by - az)b-l(b + z ) - l

whence w ( x - ab-l) > 0 and x = ab-l (mod. m); this shows our assertion. If I? = Z x Z, then K = k ( X , Y ) and the above construction then provides valuations on k ( X , Y) which are improper on k, whose order group is Z x Z and whose residue field is k. These valuations depend on the order structure chosen on Z x Z. For example, Z x Z can be given the lexicographic ordering. Or indeed, for an irrational number a, Z x Z may be identified with a subgroup of R under the homomorphism (m, n) H m + na (a homomorphism which is injective since a is irrational) and given the ordering induced by that on R.
Other constructions of valuations using Proposition 4 of no. 2 will be described in 8 10.
5. IDEALS OF A VALUATION RING

Example (5) The mapping P(X,Y) t+P(T, eT) of C[X,yI to C((T)) is injective (Functions of a real variable, Chapter IV, $ 2 , Proposition 9) and therefore can be extended to an isomorphism of C(X, Y) onto a subfield of C ( ( T ) ) . The restriction to this subfield of the valuation on C ( (T))defined in Example 3 defines a valuation on C(X, Y) which is improper on C, whose order group is z and whose residue field is C.
Proposition 4 of no. 2 allows us to construct a valuation whose order group and residue field are given:

DEFIN~ION G be an ordered set. A subset o f G is called major f the relations 2. Let i x E M a n d y 2 ximplyyEM. Let K be a field, u a valuation on K, A the ring of u and G the order group of u. For every major subset M c G, let a(M) be the set of x E K such that u ( x ) E M u {+a>. Clarly a(M) is a sub-A-module of K.
PROPOSITION 7. The mapping M t-+ a(M) is an increasing bijection o f the set of major subsets of G onto the set of sub-A-modules of K.
Let b be a sub-A-module of K. The set of u ( x ) for x E b (0) is a major subset M ( b ) of G. Proposition 7 will be shown if the following equations are proved : (2) M ( a ( N ) ) = N for every major subset N of G ; (3) a ( M ( b ) ) = b for every sub-A-module b of K. Formula (2) is easy, since, for all m E N, there exists x E K such that V ( X ) = m. Then obviously b c a(M(b)); conversely, let x E a ( M ( b ) ) and suppose x # 0 ;

Example (6) Let I be a totally ordered group and k a field. Let r +be the ' monoid of positive elements of X and C the algebra of I over k. By definition, ' ' C has a basis ( x , ) , ~ over k whose multiplication table is x,x, = x, + I).If
+
+

x =

C a,%,

is a non-zero element of C, we write u(x) = inf ( a ) and

a,#o

390

391

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VALUATIONS

INCLUSION OF VALUATION RINGS OF THE SAME FIELD

5 4.1

then ~ ( xE) M(b) and therefore there exists y E b such that ~ ( x = v(y);whence ) x = uy where v(u) = 0, which proves that x E A y c b and completes the proof.

(d) A is a Noetherian ring and m(A) is principal. (e) A is a Noetherian valuation ring. Proposition 8 shows that (a) implies (b), (d) and (e). If A is a principal ideal domain, then m ( A ) = A u and every non-zero ideal of A is of the form Aun since A is local (Algebra, Chapter VII, 3 1, no. 3, Theorem 2); therefore
n=l
I

COROLLARY. Let G, be the set ofpositive elements in G. The mabping M e a(M) is a bijection ofthe set ofmajor subsets of G , onto the set o ideals ofA. f

As A

= a(G,), a(M) c A is equivalent to

M c G,.

For example the maximal ideal m(A) is equal to a(S), where S denotes the set of strictly positive elements of G.
6. DISCRETE VALUATIONS

n m(A)n = 0; this shows that (b) implies (c). On the other hand (d) implies

(c) (Chapter 111, 3 3, no. 2, Corollary to Proposition 5); by Proposition 2 of 3 1, no. 4, (c) implies (a). Thus conditions (a), (b), (c), (d) are equivalent and imply (e). Finally suppose (e) holds and let us show that (b) holds; it will be sufficient to prove the following lemma:

DEFINITION 3. Let K be a (not necessarily commutative)jeld, v a valuation on K and r the order group of v. v is called discrete fi there exists a (necessarily unique) isomorphism o the ordered group r onto Z. Let y be the element o I corresponding to 1 under f f this isomorphism; every element u ofK such that v(u) = y is called a uniformizer ofv. A discrete valuation is called normed if its order group is Z.
For example the valuation vg defined by an extremal element p of a principal ideal *or factorial, domain is a normed discrete valuation which admits p as a uniformizer. In particular, if k is a field, k[[T]] is the ring of a discrete valuation on k((T)) which admits T as a uniformizer. * Let S be a connected complex analytic variety of dimension 1, K the field of meromorphic functions on S and z0 a point o f S; the set off E K which are holomorphic at zo is the ring of a discrete valuation v; for a function f E K to be uniformizing for v, it is necessary and sufficient that it be holomorphic and zero at zo and that there exist a neighbourhood V of zo in S such that the restriction off to V be a homomorphism of V onto a neighbourhood of the origin in C.It is this example and other analogues which are the origin of the word uniformizer.*

LEMMA 1. Let A be a valuation ring. Eveyjnitely generated torsion-free A-module is free. Every jnitely generated ideal o A is principal. Every torsion-free A-module isJut. f
Let E be a finitely generated torsion-free A-module and let x,, . . .,x, be generators of E which are minimal in number; we show that they are linearly
a,x, = 0 (a, E A) is a non-trivial relation between the independent. If xi, one of the a,, say a,, divides all the others since the set of principal ideals of A is totally ordered by inclusion (5 1, no. 2, Theorem 1); then a, # 0 since the relation is non-trivial. As E is torsion-free, we can divide by a,, which amounts to assuming that a, = 1. But then x1 is a linear combination of x2, . . .,x,, contrary to the minimal character of n. Hence E is free. In particular every finitely generated ideal a of A is principal, all the elements of a system of generators of a being multiples of one of them. Proposition 3 of Chapter I, 5 2, no. 4 then shows that every torsion-free A-module is flat.

,z
n

PROPOSITION 8. Let K be a (not necessarily commutative)jeld, v a discrete valuation on K , A the ring of v and u a uniformizerJor v. The non-zero ideals of A are two-sided and o theform Aun ( n 2 0). f
It may be assumed that v is normed, so that V ( U ) = 1. For all x E K*, there is an integer n E Z such that ( ~ ( x= n = v(un) and hence we may write )
x = zun = unz,

4. THE HEIGHT OF A VALUATION

I. INCLUSION OF VALUATION RINGS OF THE SAME FIELD

PROPOSITION Let K be afield and A a valuation ring o f K . Then : 1.

(a) Every ring B such that A c B c K is a valuation ring of K ; (b) The maximal ideal m(B) of such a ring is contained in A and it is aprime ideal $A; ( c ) The mapping p H A, is a decreasing bijection o f the set o f prime ideals o f A onto the set o rings B such that A c B c K ; its inverse bijection is the mapping f B H m(B). If B is a ring such that A c B c K and x E K B, then x E K A, whence x-l E m(A) c B, which proves both that B is a valuation ring of K and that m(B) c m(A) ;as m(B) = m(B) n A is a prime ideal of A, we have shown (a)

where z, z are two invertible elements of the ring A; whence the proposition.
PROPOSITION 9. Let A be a local integral domain distinctfrom itsjeld offractions. The following conditions are equivalent: (a) A is the ring of a discrete valuation. (b) A is a principal ideal domain. m

(c) The ideal m(A) is principal and

,r?, m(A)n = (0).

392

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COMPARISON OF VALUATIONS

3 4.3

and (b). Moreover, Am(B) B; conversely, if x E B A, then x - l E A and c X - 1 4 m(B) and hence x E Am(,); thus Am(,)= B. Finally let p be a prime ideal ofA; we write B = Ap; then m(B) n A = p. (Chapter 11,s 2, no. 5, Proposition 11) and m(B) c A by (b) ; hence m(B) = p, which shows that the mappings A, and B t+ m(B) of the statement are inverse bijections. p COROLLARY. The set o subrings ofK containing A is totally ordered by inclusion. f The set of prime ideals of A is totally ordered by inclusion (3 1, no. 2, Theorem 1 (e)) and the mapping p H Apreverses the inclusion relations.
f PROPOSITION 2. Let K be ajield, B a valuation ring ofK and h, the place o K associated with B (with values in K(B)). Then the mapping A Hh,(A) dejines a bijection of the set U o f valuation rings of K contained in B onto the set U of valuation rings of

Example (1) Let A and B be two ordered groups; let A x B be given the lexicographic order (i.e. (a, b) < (a, b) is equivalent to ( a < a) or (a = a and b < b)). The second factor B of A x B is then, as is seen immediately, an isolated subgroup of A x B.

PROPOSITION 3. Let G be an ordered group and P the set of its positive elements. (a) The kernel of an increasing homomorphism of G to an orderedgroup is an isolated subgroup of G. (b) Conversely, let H be an isolated subgroup of G and g the canonical homomorphism of G onto G/H. Then g(P) is the set of positive elements of an ordered group structure on G/H. Moreover, i f G is totally ordered, so is G/H. (a) Letf be an increasing homomorphism from G to an ordered group; let H denote the kernel off. If 0 < y < x and x E H, then 0 < f ( y ) < f ( x ) = 0, whencef ( y ) = 0, that is y E H. Hence H is isolated. (b) Let H be an isolated subgroup of G and g: G -+ G/H. Let P = g(P). Clearly F P c P. Also

If A E U, then h,(A) E 2l: for if x = hB(x) (where x E B) is an element of K(B) h,(A), then x I$ A, hence x-l E A and hB(x)- l E h,(A). On the other hand, for A E U, A 2 m(B) (Proposition 1 (b)) and hence the mapping, -1 A H h,(A) is injective. Finally, let A E 2l and A = h,(A) c B; we shall A, then either show, which will complete the proof, that A E 2l; if x E K x 4 By or x E B; if x B, then x - l E m(B) C A ; if x E B, then hB(x)E K(B) and hB(x)4 A, hence h,(x-l) E A and we conclude again that x - l E A; hence A E 9L.

0)
*

COROLLARY. Let A and B be two valuation rings ofK, where A c B; let A = hB(A), which is a valuation ring o f ~ ( B )The residuejeld K(A) . ofA is canonically isomorphic to the residuehld K(A) A and the place hA associated with A is the composition of h,. 0 h, of the places associated with A and B. Since the local ring A is a quotient of the local ring A, their residue fields are canonically isomorphic and the equation hA(x) = hA,(hB(x)) holds for x E A. On the other hand, if x E B A, then hB(x)I$ A and the two sides of the equation are equal to co; the same is true if x E K B.

P n (- P) = (01, for, i f x and y are elements of P such that g ( x ) = - g ( y ) , then x y E H, whence x E H and y E H since H is isolated; hence g(x) = g ( y ) = 0. Thus P is the set of positive elements of an ordered group structure on G/H (Algebra, Chapter VI, 3 1, no. 3, Proposition 3). Finally, if G is totally ordered, then P n (-P) = G, whence P u (- P) = G/H and therefore G/H is totally ordered (loc. cit.).

Example ( 2 ) If we reconsider the example where G is a lexicographic product A x B and H = Bythe ordered group G/H is canonically identified with A.

3. COMPARISON OF VALUATIONS

Remark. Conversely, let f be a place of K with values in K andf a place of K with values in K. Thenf f is a place of K whose ring is contained in the ring of the placef.
0

Let K be a field and A a valuation ring of K. For every subring B of K containing A, U ( A )c U(B). Then there is a canonical homomorphism A of FA = K*/U(A) onto I?, = K*/U(B), whose kernel is U(B)/U(A). Then, letting vA and U , denote the canonical valuations on K defined by A and B (0 3, no. 2),
VB = A VA. (1) As A c B, A maps the positive elements of to positive elements of r B and hence is increasing. Therefore (Proposition 3) the kernel H, of A is an isolated subgoup of and A factors into -+ -5- r,, where p is an increasing bijective homomorphism and hence an isomorphism of totally ordered groups; hence r B is identified with the quotient totally ordered group FA/&.

2. ISOLATED SUBGROUPS OF AN ORDERED GROUP

To study the situation in no. 1 from the point of view of valuations we shall need Definition 1 and Proposition 3 below.
DEFINITION 1. A subgroup H of an ordered group G is called isolated $ the relations O<y<xandx~Himplyy~H.

PROPOSITION 4. The mapping B HH is an increasing bijection ofthe set ofsubrings B o K containing A onto the set o isolated subgroups o ra. f f f
I
I

394

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VALUATIONS OF HEIGHT

3 4.5

Given H,, v, is defined up to equivalence and hence B is determined uniquely. On the other hand, let H be an isolated subgroup of F A ; considering r A / H as a totally ordered group (Proposition 3), the composite mapping

belonging to H; let, for example x 2 x; as H is isolated, x E H, which is a contradiction.

This also follows from Proposition 4 of no. 3 and the Corollary to Proposition 1 of no. 1, taking account of the fact that every totally ordered group is the order group of a valuation (S 3, no. 4, Example 6).

K* -% rA

----f

rA/H

is a valuation on K whose ring contains A.

Remark. Under the above hypotheses, let f denote the canonical homomorphism ofB onto K(B) and A = f (A) ;it is a valuation ring of K(B)(Proposition DEFINITION 2. Let G be a totally orderedgroup. Ifthe number ofisolated subgroups ofG distinct from G isjinite and equal to n, G i said to be o height n. I f this number is s f injnite, G is said to be o injnite height. f Examples (1) The height of the group G = (0) is 0. (2) The groups Z and R are of height 1. (3) Let G be a totally ordered group and H an isolated subgroup of G. If / and I G / H ) denote the heights of the totally ordered groups H and G / H , @h ) ( then h(G) = h(H) h(G/H), (2) since the set of isolated subgroups of G is totally ordered by inclusion. In particular, if G is the lexicographic product of two totally ordered groups H and H, then h ( G ) = h ( H ) + h(H) (3) (cf. no. 2, Example 2) ; thus the lexicographic product Z x Z is of height 2.
On the other hand the height of Z x Z ordered by embedding in R (cf.

2, no. 1). Thenf(K(B)*) = U(B),Y(A)

-1

-1

A,y(m(A)) = m(A), hence

f (U(A)) = U(A).
Then thereis a canonical isomorphism ofU(B)/U(A)onto K(B)*/U(A)= FA.. The exact sequence
0 +- u(B)/U(A) --f

r +- r B +- 0 A
0.

then gives an exact sequence

0 --f F A --f r
A --f r B

Example. Let k be a field, E = k(X) and K

=

k(X,Y) = E(Y)

(X, Y indeterminates). Let B = EM(,, be the valuation ring of K defined by the extremal element Y of the principal ideal domain E[Y] ( 5 1, no. 4, Proposition 3). The residue field K(B)is canonically identified with E[Y]/(Y) = E. Similarly, let A = k[XIo, be the valuation ring of E = k(X) defined by the extremal element X of k[X]. Denoting by h, the place of E associated with B and writing A = hB(A), a valuation ring A of K is defined which is contained in 3 and K(A) = K(A)= k. The canonical place h,: K -+ k can be described as follows: iff (X, Y) is an element of K, then we first put Y = 0 in f (which gives an element o f c = k(X)*), then X = 0 in the result obtained. The groups F A and r B are canonically isomorphic to Z (5 3, no. 4, Example 4). *It is not difficult to show (cf. 3 10, no. 2, Lemma 2) that the group r A is isomorphic to the lexicographic product Z x Z and that the valuation vA is equivalent to the valuation defined in 3 3, no. 4, end of Example 6. *
4. THE
-1

0 3, no. 4,end of Example 6) is equal to 1 (cf. Proposition 8 below).

DEFINITION 3. T e height ofthe order group ofa valuation is called the height ofthat h valuation. For example a discrete valuation is of height 1. Only improper valuations are of height 0. Propositions 1 and 4 imply: PROPOSITION 5. The height ideals in its ring.
5. VALUATIONS OF

of a valuation is equal to the number o f non-zero prime

HEIGHT OF A VALUATION

Let G be a totally ordered group. Given two isolated subgroups H and H of G, one of them is contained in the order: for otherwise there would exist a positive element x of H not belonging to H and a positive element x of H not

HEIGHT 1 PROPOSITION 6. Let K be ahfield and A a subring of K. Suppose that A is not ajeld. Then thefollowing conditions are equivalent : (a) A is the ring of a valuation of height 1 on K; (b) A is a valuation ring ofK and has no prime ideals 0 t h than ( 0 )and m(A) ; (c) A is mcximal among the subrings o f K distinctfrom K.

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3 5.1

Proposition 5 of no. 4 shows that (a) implies (b) and Proposition 1 of no. 1 shows that (b) implies (c). It remains to show that (c) implies (a). Suppose A is maximal among the subrings of K distinct from K. Let m be a maximal ideal of A and V a valuation ring of K dominating A,,, (3 1, no. 2, Corollary to Theorem 2); as m(V) f?A = m and rn # (0) (since A is not a field), V # K, whence V = A, which proves that A is not the ring of a valuation v on K. This being so, v is of height 1 by Propositions 1 (no. 1) and 5 (no. 4).

n 2 0, whence - v ( x ) < 0 (Proposition 8 (b)) and x E A. Thus A is completely integrally closed. Suppose now that v is not of height 1. Then there exist y E m(A) and t E A such that nv(y) < v ( t ) for all n 2 0 (Proposition 8 (b)). Then ty- E A for all n 0, but y - l $ A. Hence A is not completely integrally closed.
COROLLARY. Let K be afield, ( v , ) , ~ family o f valuations o f height 1 on K and A a~ the intersection of the rings o the v,. Then A is a completely integrally closed domain. f
A completely integrally closed domain is not always an intersection of valuation rings of height 1 (Exercise 6 ) .

PROPOSITION For a valuation on ajeld to be o f height 1, it is necessary and suficient 7.

that its order group be isomorphic to a non-zero ordered subgroup o f R.
This follows in fact from the following proposition:

PROPOSITION G be a totally ordered group not reduced to 0. Thefollowing con8. Let ditions are equivalent : (a) G i o f height 1 ; s (b) for all x > 0 and y 2 0 in G, there exists an integer n 2 0 such that y < nx; (c) G is isomorphic to a subgroup o f the ordered additive group R which is not reduced to 0.
Let x be a positive element of G and let H, be the set of y E G such that there exists an integer n 2 0 satisfying lyl < nx. I t is easily verified that H, is an isolated subgroup of G and that every isolated subgroup of G containing x contains H,. Condition (a) is therefore equivalent to H, = G for all x > 0, that is, to condition (b). Clearly (c) implies (b). Conversely, suppose condition (b) holds and let Q denote the set of elements > 0 of G. Suppose first that Q has a least element x ; for all y E Q, let n be the least integer such that y < nx; if y < nx, then also 123~- y 2 x, whence y < ( n - 1). contrary to the choice of n ; then y = nx, which shows that G = Z x is isomorphic to Z c R. Suppose now that Q h a s no least element; we apply to the ordered set P = Q U (0) Proposition 1 of General Topology, Chapter V, 3 2 (which is possible, since condition (b) is just cc Archimedes axiom) ;it is seen that there exists a strictly increasing mapping f of P to R, such that

5. THE TOPOLOGY DEFINED BY A VALUATION

1. THE TOPOLOGY DEFINED BY A VALUATION

Let K be a not necessarily commutative field, v a valuation on K and G the totally ordered group v(K*). For all a E G let V, be the set of x E K such that v(x) > a ; this set is an additive subgroup of K (3 3, no. 1). There exists a v unique topology F on K for which the V, form a fundamental system of neighbourhoods of 0 (General Topology, Chapter 111, 3 1, no. 2, Example). For v to be improper, it is necessary and sufficient that Fu the discrete topology. be

LEMMA L e t x E K * , y E K * andcrEG.If 1.

4% Y ) > suP(a + 2V(Y), t h n v ( x - l - y-) > a.

#-1 - y - l

V(Y)),

x-l

( y - x ) y - l and hence v(x-1 - y - 1 )

=

v(x - y ) - v(x) - v(y).

f ( x + Y) = f ( 4 f ( Y ) + for x E P and y E P; by linearityf can be extended to an isomorphism of G onto a subgroup of R, which proves that (b) implies (c).
PROPOSITION 9. Let K be ajeld, v a non-improper valuation on K and A the ring ofv. For A to be completely integrally closed (Chapter V, 3 1, no. 4, Definition 5), it is necessay and suficient that v be o f height 1. Suppose v is of height 1. Let x E K be such that the xn ( n 2 0 ) are all contained in a finitely generated sub-A-module of K. There exists d E A ( 0 ) such that dr E A for all n 2 0. Then v(d) + nv(x) >, 0, that is n( -v(x)) f v(d) for all

x =y

Ifv(x - y ) > v ( y ) , Proposition 1 of 3 3, no. 1 implies that v ( x ) = v(y), since ( x - y). Moreover, X v ( x - y ) > a 2v(y), then

v(x-l - y-) > a

+ 2v(y) - 2v(y) = a.

P R O P O S ~ ~ OThe topology T is HausdorJ and compatible with the field structure 1. N o on K. The mapping v: K* + G is continuous ifG is given the discrete topology. Let x E K* and a = v(x) ; then x # V,, which shows that F is Hausdorff. For u all x0 E K and a E G, there exists p E G such that xoVBc V, and VBxoc V, (it is sufficient to take p 2 a - v(xo)). On the other hand, if a 2 0, then v,V, c V,. The axioms (AV,) and (AV,) of General Topology, Chapter 111,

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3 5.2

Let xo EK*; if X E K * satisfies u(x - x,) > sup(cc + 2u(x,), u ( x o ) ) , then ~ ( x - ' - x c l ) > a (Lemma l), which shows that x F x - l is continuous and + , that F is therefore compatible with the field structure on K . Finally, the single condition u ( x - x 0 ) > u(xo) implies u ( x ) = u(xo) (3 3, no. 1, Proposition 1) and hence the mapping u : K* 4 G is continuous if G is given the discrete topology. Let a E G and Vk be the set of X E K such that U ( X ) > a. If p < a, then V, 2 Vk 3 V,. If u is not improper, it is therefore seen that the Vk form a fundamental system of neighbourhoods of 0 for F , . The V, and the Vk are open additive subgroups and therefore closed in K and therefore the topological field K is totally disconnected. As every non-zero ideal of the ring of u contains a V,, it is open and closed in K . The quotient topology on the residue field of u is therefore discrete. Let A be the ring of u. If u is discrete, Proposition 8 of 3, no. 6 shows that the topology induced by 6 on A is the m(A)-adic topology. This is not so in general (Exercise 4).

3 6, no. 3 being thus satisfied, F is compatible with the ring structure on K , u

my < u(y) < ( m + 1)y. Wededucethat0 < v ( y ) - my < yandbydefinition of y this implies u(y) = my. Therefore u(K*) = Z.y and the valuation u is discrete. Conversely, suppose conditions (i), (ii), (iii) hold. We may restrict our attention to the case where u is normed; let u be a uniformizer for u. Then K(A) = A/Au and hence AIAu is finite. As x H xun defines by taking quotients an isomorphism of the additive group AIAu onto AunlAun+ AIAuj is finite for l, a l l j 2 0. As A is closed in K, it is complete and hence isomorphic to the inverse limit of the AIAuj (General Topology, Chapter 111, fj 7, no. 3, Proposition 2) and therefore compact. Since A is open in K, it is therefore seen that K is locally compact.

Remark. Note that it is sufficient in this proof to suppose that A is complete.

We shall see in 5 9 that a field K fulfilling the conditions of Proposition 2 admits a centre which is either a finite algebraic extension of a p-adic field, or a field F,((T)) of formal power series over a finite field; moreover K is of finite rank over its centre.

PROPOSITION 2. Let K be a not necessarily commutatiuejeld, u a non-improper valuation on K , A the ring o u and m the ideal of u. For K with the topology F to be locally f ,
compact, it is necessary and m@cient that thefollowing conditions befuljilled: (i) K is complete; (ii) u is discrete; (Gi) the residuejield K(A)isjnite. I so, A is compact. f Suppose K is locally compact. Then it is complete (General Topology, Chapter 111, 3 3, no. 3, Corollary 1 to Proposition 4) ; further there exists a compact neighbourhood of 0, which contains a neighbourhood Vk, where a belongs to the value group of u ; in other words, there exists a # 0 in K* such that A. a is compact and it follows that A = (A.a) a - l is compact. As every ideal b # (0) of A is open, A/b is compact and discrete (General Topology, Chapter 111, 3 2, no. 5, Proposition 14) and therefore finite and in particular K(A) = A/m is finite. Moreover, for y # 0 in m, the ring A/Ay being finite, there is only a finite number of ideals of A containing Ay and the set P of elements of the form v(x) such that
,

2. TOPOLOGICAL VECTOR SPACES OVER A FIELD WITH A VALUATION

Throughout let K be a (not necessarily commutative) field, u a valuation on K and G its order group. K is given the topology F. ,

PROPOSITION 3. Let E be a hjit topological vector space ouer K which is Hausdorff and of dimension 1. Suppose that u is not improper. For all xo # 0 in E, the mapping a Haxo ofK, onto E is a topological isomorphism.
This mapping is a continuous algebraic isomorphism. It is sufficient to show that it is bicontinuous. Let a E G. We need to show that there exists a neighbourhood V of 0 in E such that the relation ax, E V implies u(a) > a. Let a, E K* be such that u(ao) = a. As E is Hausdorff, there exists a neighbourhood W of 0 in E such that aOxO W. As u is not improper, there exist a neigh4 bourhood W' of 0 in E and an element p of G such that the relations y E W', v(a) 2 p imply ay E W. Let a, E K* be such that u(al) = - p. The relations E a;'W' and u(a) < a imply alaxOE W and u(a,a-la;l) = cc + p - u(a) 2 f and hence aOxO= aoa-la;l(alaxo) E W, which is absurd; in other words, l the relation ax, E a;lW implies u(a) > a. COROLLARY. Let E be a lejit topological vector space ouer K, H a closed hyperplane ofE and D a 1-dimensional vector subspace of E an algebraic supplement o H. Suppose that v f i not improper. Then D is a topological supplement of H. s
Taking account of Propositions 1 and 3, the proof is the same as that of T~pologicalVcctor Spaces, Chapter I, Q 2, Corollary 2 to Theorem 1.
401

is finite; as u(K*) is totally ordered, P has a least element y . Then for all X E A such that U ( X ) > 0, either u(x) > u(y) 2 y, or u(x) < u(y) and then U ( X ) 2 y by definition, so that y is the least of the elements > O of u(K*). As P is finite, there is a greatest integer m 3 0 such that my E P, whence
400

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PRELIMINARIES ON ABSOLUTE VALUES

tj 6.1

PROPOSITION 4 Suppose that v is not improper and K is complete. Let E be a lgt topo. logical vector space over K, which is Hausdorfand ofjinite dimension n. For every basis
(eJ19 1 c nofE over K, the mapping (ai) t+ space isomorphism. alei o f K onto E is a topological vector : i=1

Taking account of Proposition 3 and its corollary, the proof is the same as that of Topological Vector Spaces, Chapter I, 3 2, Theorem 2. COROLLARY. Suppose that v is not improper and K is complete. Let E be a Hausdorf topological vector space over K and F ajnite-dimensional vector subspace o f E. Then F is closed.

holds in K* and hence also holds in K* by continuity. Thus 0 (extended by 8(0) = +a) a valuation on K and (b) is proved. is We now show (d). Let a E G and x E 8, (0). For y in V, sufficiently close . to x, 0(x) = 0(y) = u(y) and hence 8(x) > a Conversely, let x E R* be such that 0(x) > a ; for y in K* sufficiently close to x, v ( y ) = B(y) = 8(x) and therefore y E V,, whence x E 8,.Thus 8, is the set of x E k such that 8(x) > a The . argument is analogous for Vk. This proves (d). Taking account of Proposition 7 of General Topology, Chapter 111, tj 3, no. 4 , assertion (c) is a consequence of (d). Assertion (e) is a special case of (d). Finally let x E A; there exists y E A such that 0 ( x - y ) > 0 ; then z = x - y E m and hence x = y + z E A + m; thus A = A + m, which shows (f).

F is complete.
3. THE COMPLETION OF A FIELD WITH A VALUATION

Remark. For all x E R not belonging to A, there exists xo E K such that 0(x - xo) > 0, 0(x) = O(xo) = u(xo) < 0; then x ; l x ~ A and, as xo1 E A , it is seen that, if we set S = A {0}, it is possible to write k = S-lA.

PROPOSITION 5. Let K be a not necessarily commutativejeld, u a valuation on K and G the group u(K*) with the discrete topology. (a) The completion ring R ofK (with 9J is a topologicaljeld. (b) The mapping v: K* --+ G can be extended uniquely to a continuous mapping 8: R*-+ G. The mapping 0 (extended by 0(0) = +a)is a valuation on R and 8(R*) = v(K*). (c) The topology on K is the topology dejned by the valuation 0. (d) For all a E G let V,, V&be the subgroups ofK dejined by the conditions ~ ( x > a, ) V(X) 2 a. Then the closures 8,, 8; o f V,, V&in K are dejined by the conditions d ( x ) > a, 0(x) 2 a respectively. (e) The ring of0 is the completion A ofthe ring A o f v ; the ideal o f 0 is the completion ti^ o the ideal m o u. f f (f) A = A m; the residuejeld o f 8 is canonically identiJied with that ofu.

6. ABSOLUTE VALUES
1. PRELIMINARIES ON ABSOLUTE VALUES

Let K be a field (commutative or not). Recall (General Topology, Chapter IX, 3 3, no. 2, Definition 2) that an absolute value on K is any mapping f from K to R + satisfying the following axioms: (VA,) The relation f ( x ) = 0 is equivalent to x = 0. WAIJ f ( X Y ) = f ( x ) f ( y )for all x, Y in K. (VA,,,) f . + Y ) < f (4 + f ( Y ) for all x, y in K. ( I t follows from (VA,) and (VA,) that f (1) = 1,f ( - 1) = 1 and

To prove (a) it suffices (General Topolosy, Chapter 111,s 6, no. 8, Proposition 7) to show the following: let 5 be a Cauchy filter (with respect to the additive uniform structure) on K* for which 0 is not a cluster point; then the image of 8 under the bijection x H x - l is a Cauchy filter (with respect to the additive uniform structure). For since 0 is not a cluster point of 5, there exists M E 5 and (3 E G such that p is an upper bound of v ( M ) . Let a E G. If M is an element of 3 contained in M and such that v(x - y ) > sup(a + 2p, p) for x E M and EM', then u ( x - l - y - l ) > a for X E M and EM' (no. 1, Lemma 1). Whence (a). By Proposition 1 of no. 1, vlK* is a continuous homomorphism from K* to G and hence can be extended uniquely to a continuous homomorphism 0 from K* to G. the Relation

for x # 0. For a mapping f from K to R, and a real number A > 0, let (U,) denote the relation f (x y ) < A.sup(f (x), f ( y ) ) f o r all x, y in K. We shall denote by V ( K ) the set o f mappings f from K to R + satishing (VA,) and (VA,,) and for which there exists an A > 0 (depending onf) such that (U,) holds.

Note that iff E V(K), then, putting x = 1, y = 0 in (U,),

+ y) > inf(c(x), 8(y))

402

A. PROPOSITION 1. For a mapping f from K to R , satishing (VA,) and (VAIJ to belong to V(K), it is necessay and suficient that f (1 + x) be bounded in the set o f x~Ksuch thatf(x) < 1.
1 =f(l)
=

< A.sup(f(l), f(0))

403

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ULTRAMETRIC ABSOLUTE VALUES

5 6.2

I f f satisfies (UA),then f (1 x) < A if f (x) < 1. Conversely, suppose that f ( x + 1) < A for the X E K such that f (x) < 1 (which implies that A 2 f (1) = 1) ; then, if x = 0 or y = 0, condition (U,) is fulfilled; if on the other hand x # 0 and y # 0, we may assume for example that f ( y ) < f(x), hence, by (VA,), f (yx-') < 1 and therefore f (1 + yx-') < A, which gives, by virtue of (VAJ, f (x y )f (x)-' < A; whence

COROLLARY 2. For a mapping f of K to R + to belong to V(K), it is necessary and sujicient that it be ofthe form gt, where t > 0 and g is an absolute value on K.

To say that f satisfies (U,) is equivalent to saying that? satisfies (U,.); as there exists s > 0 such that As < 2, Corollary 1 shows that for such a value of s,fS is an absolute value.
2. ULTRAMETRIC ABSOLUTE VALUES

f (x + Y ) < Af (4 6 A.sup(f(x),f(y))* Iff is an absolute value on K, then f (n.1) < n by induction on the integer n > 0 starting from (VAI,) ; conversely:
PROPOSITION 2. Let f be a mapping o f K to R + belonging to V(K); f there exists i C > 0 such thatf (n.1) < C .nfor evey integer n > 0,f is an absolute value on K. By induction on Y > 0 we deduce from (U,) the relation

A mapping f of K to R, is called an ultrametric absolute value if it satisfies conditions (VA,), (VA,,) and (U,) (which obviously implies that f is an
absolute value).

PROPOSITION 3. Let f be a mapping of K to R +. Thefollowing properties are equivalent: (a) f is an ultrametric absolute value. (b) There exists a valuation u on K with values in R and a real number a such that 0 < a < 1 a n d f = a". (c) f belongs to V(K) and f ( n . 1) < 1for every integer n > 0. (d) For all s > 0,f" is an absolute value.

for every family (xi) of 2' elements of K. We set n = 2' - 1; for all x E K, we deduce from (1)

forf

((3)< (9)
C

< CA'A
; therefore

(1) (f (x))'

= CA'(1

+f (4)"

f (1

Letting r tend to for all x E K ; applying this inequality with x replaced by xy-I (where y # 0) and taking account of (VAII), we obtain relation (VAIII), which proves the proposition. COROLLARY 1. For a mappingffrom K to R + to be an absolute value, it is necessay and sufient that it satis- conditions (VAI), (VAIJ and (U2). I t is necessary, for (VA,) implies
+ f ( Y ) < 2 sup(f(x),f ( Y ) ) . Conversely, suppose f satisfies (VAI), (VA,) and (U,); for every integer n > 0, let r be the least integer such that 2' 2 n ; if in (1) A is replaced by 2, the X, of index i < n by 1 and the xI of index i > n by 0, we obtain
f ( X

+ x) < C1'"A''"(I +f (x)). +CO, we obtain f (1 + x) < 1 + f (x)

For every real number c such that 0 < c < 1, the mapping t H8 is an isomorphism of the ordered group R (with the opposite ordering to the usual ordering) on the ordered group R*,; this shows the equivalence of (a) and (b). Clearly (a) implies (c) ; (c) implies (d), for we deduce from (c) that (f(n.1))' < 1 < n for every integer n > 0 and Proposition 2 of no. 1 shows thatf" is an absolute value. Finally (d) implies (a) : for iff" is an absolute value, it satisfies (U,) and hence f satisfies (U,ira) for all s > 0 and therefore also (Ul), letting s tend to +a. COROLLARY. If K is a (not necessarily commutative) jield function on V ( K ) is an ultrametric absolute value.

of characteristic p > 0,

Every non-zero element z = n. 1 (n an integer > 0) belongs to the prime subfieldF of K and hence satisfies the relation zP-' = 1, which impliesf ( z ) = , 1 and we may apply Proposition 3 (c). Given a real number c such that 0 < c < 1, the formulae
f (x) = CU(X),

+ Y) < f ( 4

UX ()

log, f (x)

< 2n; then Proposition 2 may be applied with C = 2 and hencef is an absolute value.
f(n.l) 4. 01

< 2'

therefore establish a one-to-one correspondence between ultrametric absolute values on K and valuations on K with real values. The improper valuation corresponds to the improper absolute value (General Topology, Chapter IX, 0 3, no. 2). Let vl, v, be two valuations on K with real values and fl, the f2 corresponding absolute values; for v1 and v, to be equivalent, it is necessary
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3 6.4

and sufficient that fl and fz be so: for to say that u1 and u2 are equivalent amounts to saying that the relations u l ( x ) 2 0 and u z ( x ) 2 0 are equivalent or again that the relationsf i ( x ) < 1 and f 2 ( x ) < 1 are equivalent; it is therefore sufficient to apply Proposition 5 of General Topology, Chapter IX, 0 3, no. 2. Moreover (loc. cit.) for the topologies defined on K by fl and fz to be identical, it is necessary and sufficient that fiand fabe equivalent.
3. ABSOLUTE VALUES ON Q

tends to 0 (Functions Ofa Real Variable, Chapter 111,s 2, no. 1). Taking the limit in (3),we obtain
(4)

But f ( h ) > 1, whence g ( h ) > 0; if a is replaced by h in (4), we obtain sup(0, g ( b ) ) > 0 and hence SUP(0, d b ) ) = g ( b ) . Then, for any integers a, b a t least equal to 2, g ( a ) < g ( b ) and therefore g(a) = g ( b ) , exchanging the roles of a and b. In other words, there exists a constant A such that g ( a ) = A for every integer a 2 2; if we write s = A/p, thenf ( a ) = lalSfor every integer a 2 2. Asf (xy) = f ( x )f (y) andf( - x ) =f( x ) f ( x ) = l x l s for all x E Q. Finally, if 0 < s < 1, we know that x H lxls is an absolute value (General Topology, Chapter IX, 3 3, no. 2) ;conversely, if s is such is l)s < l S ls, that is 2s < 2, that x I+ I x J s an absolute value on Q,then ( 1 whence s < 1.

PROPOSITION4. Letf be a mapping o f Q t o R, belonging to V(Q), Then: (i) Either f is the improper absolute value on Q. (ii) Or there exists a real number a and a prime number p such that 0 < a < 1 and f =..fzv~, where up is the p-adic valuation. ( 1 ) Or there exists s > 0 such that f ( x ) = lxlsfor all x E Q. 11 In care (iii) for f to be an absolute value on Q, it is necessary and sujicient that
O<s<l. Suppose first that f (n) < 1 for every integer n > 0. By Proposition 3 of no. 2 there exist a real number b and a valuation u on Qsuch that 0 < b < 1 and = bV. Now, we know (3 3, no. 4, Example 4)that the only valuations on Q a r e (up to equivalence) the improper valuation and the p-adic valuations u p ; we therefore have either case (i) or case (ii). Suppose from now on that there exists an integer h > 0 such that f ( h ) > 1; by no. 1, Corollary 2 to Proposition 2, there exists a number p > 0 such that f p is an absolute value; let us write
= P Wf (x))/loglxl

4. STRUCTURE OF FIELDS WITH A NON-ULTRAMETRIC ABSOLUTE VALUE

for every rational number x # 0. Let a, b be two integers >, 2; for every integer n 2 2 let q(n) denote the integral part of n. log a/log 6, in other words the least integer m such that an < bm+l; the expansion of an to base b is therefore

THEOREM 1 (Gelfand-Mazur). Let K be an algebra over the jield R with the two following properties : (1) K is a (not necessarily commutative) jield. ( 2 ) There exists on K a norm x ++llxll compatible with the algebra structure on K (General Topology, Chapter IX, 3 3, no. 7, Definition 9). Then the algebra K is isomorphic to one o the algebras R, C or H. f
Recall (loc. cit.) that it may always be assumed that llxyll llxll. llyll for all x,y in K. We shall give K the topology (compatible with the algebra structure) defined by the norm.

<

(2)

an = c0

+ c1b + + CP(,)bq(")
9

* *

where 0 < c, < b for 0 < i < q ( n ) . As f p is a n absolute value, f p ( c i ) and we therefore deduce from (2) that

< ci < b

(A) First case: K is commutative and there e x k t s j E K such that j z = - 1

Then there exists an isomorphism Q of the field C onto a subfield of K such that U 5 ( iq) = 5.1 + -q .j for E,, q in R.We shall prove by reductio ad absurdum that K = o(C). Suppose then that there exists x E K cs(C);for all t E C, - ~ ( z ) x is therefore invertible in K; let us write F(z) = ( x - ~ ( z ) ) as cs is continuous and the inverse is continuous on K (General Topology, Chapter IX, 3 3, no. 7, Proposition 13 applied to the completion algebra of K), F is a continuous mapping of C to K. Moreover, we may write for z # 0

(f (a))np = (f a n ) ) p< b ( l (

6 b(q(n) f ( f (b))p))q(n'. Taking logarithms on both sides of this inequality and dividing by n .log a, we obtain

+ (f( b ) ) p+. . . + ( f ( b ) ) P q ( n ) )

Note now that as n tends to +a, q(n)/n tends to log a/log b ; therefore q ( n ) tends to +co and W q ( 4 + 1)/q(4

F(z) = ( Q ( Z ) ) - ' ( X ( Q ( Z ) > - ' - 1)-'. But, as ( Q ( z ) ) -= Q ( Z - 1 ) tends to 0 as z tends to infinity in C,it is seen that ~ F(z) tends tc 0; in other words, Z H llF(z)II is a continuous real-valued

406

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STRUCTURE OF FIELDS WITH A NON-ULTRAMETRIC ABSOLUTE VALUE

9 6.4

function, 2 0 on C, tending to 0 at the point a t infinity and which can therefore be considered as a continuous function on the compact space C obtained by adjoining to C a point at infinity. The least upper bound a of IlFIl on C is therefore finite and > 0 and the set P of complex numbers z such that IIF(z)/I = a is closed and non-empty (General Topology, Chapter IV, 3 6, no. 1, Theorem 1). Let z E P; let us writey = x - ~ ( zand let t be a complex number # O such ) that Ilo(t)II < a-l, whence ila(t). y - l 11 < 1 by definitionofa. The sequenceof y-I)" and that of the n ( o ( t )y-')" therefore tend to 0 in K as n tends the (o(t) to + 00, for so do the corresponding sequences of norms in R. On the other hand
P

Therefore by (8), letting n tend to of a this implies

+CO,

/IF(.

+ t ) 11 > a and by definition

I + 41 = a, W 1
in other words t E P. This proves that the set P is open in C ; as it is also closed and non-empty and C is connected, P = C and ljFll is therefore constant on C; as this function tends to 0 at the point at infinity, llF(z)11 = 0 in C and in particular IIF(0) /I = Ilx-lll = 0, which is absurd.

note that for every polynomial H(T) = k = l (T - Q(ck)), where the ck are distinct complex numbers, in the field K(T) of rational functions

Il

(B) Second case; K is commutative and - 1 is not the square o an element ofK f
Let L be the commutative field obtained by adjoining to K a r o o t j of T2 1; L is a vector space over K admitting (1, j ) as a basis and L is obviously an algebra over R. Clearly the function x yj-+ llxll llyll is a norm on L compatible with its structure as a vector space over R; on the other hand, for z = x + yj, z' = x' yj' in L,

(5)
We apply this formula to the polynomial
n-1

IIZZ'll

H(T) = T" - ( ~ ( t ) ) = "

n
k=O

(T - a(wkt)),

= llxx' - Y'I YI IIXY' + "' 1 4 IlXX'II + IlYY'II + llxll * IlX'II + IlYll . IlY'll + llxll. IIY'II + IlX'II . IlYll = ( 1 1 + Ilvll)(llx'll + Ilu'II) = IlZll*II~'II. 1x1

<

IIXY'II

Ilx'YII

where a = exp(2xi/n), and substitute for T the element y E K, which is dis, tinct from all the wit). I t follows (in the commutative field K) that

The norm thus defined is consequently compatible with the R-algebra structure on L. By case (A) L is an R-algebra isomorphic to C; now the only sub-R-algebra of C distinct from C is R and hence K is isomorphic to R.

Taking account of the definitions of F and y, we obtain

(7) F ( z

+ t ) + SlF ( z + wkt)

"-1

- nF(z) - nyn-l
yn -

n 1 - - = _. n ( o ( t ) y - l ) " (Q(t))" Y Y 1 - (Q(t>Y-l)n'

(C) Third case: K is not commutative Let Z be the centre of K and x an element of K not in Z; the subfield Z(x) of K is commutative and the norm induced by that on K is compatible with the Ralgebra structure on Z(x); as Z # Z(x) and Z and Z(x) are R-algebras isomorphic to R or C by virtue of (A) and (B), Z is necessarily isomorphic to R and Z(x) to C. For all x E K, Z(x) is therefore of rank < 2 over Z. Now we have the following lemma :

But by virtue of the choice oft and the remarks made above, the last expression in (7) tends to 0 as n tends to co ;hence

n- 1

LEMMA 1. Let D be ajield with centre L such that, for all x E D, L(x) is an extension of L of degree <m. Then the rank o f D over L is < ma.
We may obviously restrict our attention to the case where D # L. Then there exists in D a finite separable algebraic commutative extension E of L of degree > 1 (Algebra, Chapter VIII, 3 10, no. 3, Lemma 1) ; as E = L(x) for some suitable x in E (Algebra, Chapter V, 7, no. 7, Proposition 12 and Chapter VII, $5, no. 7 , by hypothesis [E: L] < m. Suppose the separable extension E is ) taken such that [E: L] is finite and as great as possible and consider the centralizer E' =Y E of E in D, which is a field of centre E such that

[D: E']

[E: L]

<m
409

VI

VALUATIONS

STRUCTURE OF FIELDS WITH A NON-ULTRAMETRIC ABSOLUTE VALUE

3 6.4

(Algebra, Chapter VIII, 3 10, no. 2, Theorem 2). If E # E', there would exist in E a finite separable algebraic extension F of E of degree > 1 (Algebra, ' Chapter VIII, 3 10, no. 3, Lemma 1) ; F would therefore be a finite separable algebraic extension of L (Algebra, Chapter V, 3 7, no. 4, Proposition 7) of degree > [E: L], contrary to the definition of E; therefore E' = E, whence [D: L] = [D: E][E: L] < m2.
Applying this lemma to K with m = 2, it is seen that K is a non-commutative extension field of R of finite rank and hence isomorphic to the field of quaternions H (Algebra, Chapter VIII, 3 11, no. 2, Theorem 2).

Remark (1) We shall give in the chapter devoted to normed algebras a shorter proof of the Gelfand-Mazur Theorem which is valid for every Hausdorff locally convex topological algebra K over R and whose principle is the following: it is reduced (as in cases (B) and (C)) to the case where K is a commutative algebra over C;if x E K C.1, we consider as above the mapping t H ( x - z . 1 ) - l of C to K, which is continuous and differentiable on C . For every element x' of the dual K' of the locally convex space K, t H ( ( x - z . 1) -l, x ' ) is then a bounded integral function on C and therefore constant by Liouville's Theorem and we conclude as in part (A) of the proof of Theorem 1 that this necessarily implies ( ( x - t .1) -l, x ' ) = 0 for all t E C and all x'EK'; the Hahn-Banach Theorem shows that this conclusion is absurd, since ( x - t .1) - l # 0. Note that the argument in part (A) of the proof of Theorem 1 differs from the above only in appearance, for this argument is only a special case of that which serves to prove the maximum principle for analytic functions, the summation over the roots of unity and and passing

of no. 2, Proposition 3. Then there exists a real number s > 0 such that h(x) = 1x1' for all x E Q, that is f ( x . 1) = 1x1'; we write g = f llS. Then g E V ( K ) and g ( n . 1) = n for every integer n; Proposition 2 of no. 1 therefore shows that g is an absolute value on K. For x E Q a n d y E K, g(xy) = Ixlg(y) and hence g is a norm on K compatible with its Q-algebra structure (with the usual absolute value on Q).The completion K of K is therefore a normed algebra over Q = R (General Topology, Chapter IX, 3 3, no. 7) ; let 2 be the norm on K the continuous extension of g. As g is an absolute value on K, K is a field and 2 an absolute value on K (General Topology, Chapter IX, 3 3, no. 3, Proposition 6). By Theorem 1 there exists an R-algebra isomorphismf of R onto one of the fields R, C or H and g'(x) = l j ( x ) I is therefore an absolute value on R;as is finite-dimensional ' icoincide on the subfield R . 1 of R,g = by the following ' over R and g and ,j lemma : LEMMA 2. Let L be a (not necessarily commutative)jield and K a subjield ofL such that L i~ ajinite-dimensional lejit vector space over K. Let g be an absolute value on L andf its restriction to K. I f K is complete and not discrete with respect t o f , L is complete with respect to g ; iffurther g is another absolute value on L with the same restrictionf to K, ' then g' = g.

As the topology defined by g is Hausdorff and compatible with the left vector
K-space structure on L, the first assertion follows from Topological Vector Spaces, Chapter I, 3 2, no. 3, Theorem 2. Moreover the topologies on L defined byg and g' are identical (loc. cit.) ; there therefore exists a real number s > 0 such that g = gs (General Topology, Chapter IX, 3 3, no. 2, Proposition 5). Let x be ' an element of K such that f ( x ) # 1 ; the equation g'(x) = g ( x ) proves that s = 1. Returning to the proof of Theorem 2, it is seen that, i f j denotes the restriction o f j to K, j is an isomorphism of K onto an everywhere dense subfield of R, C or H and g(x) = Ij ( x ) I for x E K, whencef(x) = Ij(x) Finally note that, iff is an absolute value on K, h is an absolute value on Q and s < 1 by no. 3, Proposition 4; conversely, if s < 1, f = gs is an absolute value on K since g is (General Topology, Chapter IX, 3 3, no. 2) ; this proves the last assertion of the statement.

to the limit being equivalent to calculating the integral

S, F(z t t , dt along
+

a circle of centre 0 and the use of Cauchy's formula being avoided here, thanks to the particular form of the function F.

THEOREM 2 (Ostrowski). Let K be a (not necessarily commutative) jield and f an element o V(K) which is not an ultrametric absolute value. Then there exist a unique f real number s > 0 and an isomorphkm j of K onto an everywhere dense subfild of one of the &lo3 R, C or H such that f ( x ) = I j ( x ) Isfor all x E K (*). For f to be an absolute value on K, it is necessary and sufwient that s < 1.
By no. 2, Corollary to Proposition 3, K is of characteristic 0 and hence an algebra over Q; for all x E Q we write h ( x ) = f ( x . 1); clearly h E V(Q) and therefore Proposition 4 of no. 3 may be applied; neither of cases (i) and (ii) of the statement of this proposition can hold, for this would implyf (n . I ) < 1 for every integer n > 0 andf would be an ultrametric absolute value by virtue
(*)

Is.

On H we write

1 . ~ 1= z . Z ~

= f . r , Z being the conjugate quaternion of z.

I

Remarks (2) If K is a field and a normed algebra over R, the norm is not necessarily iq --?' 151 + [ql is a norm on C an absolute value on K; for example, E compatible with its R-algebra structure. (3) For a proof of case (C) of Theorem 1 not using the general results of Algebm, Chapter VIII, see Exercise 2.

410

41 1

VI

VALUATIONS

INDEPENDENT VALUATIONS

3 7.2

7. THE APPROXIMATION THEOREM

1 THE INTERSECTION OF A FINITE NUMBER OF VALUATION RINGS .
~ O P O S I T I O N1.

COROLLARY 1. Suppose that A, 4 A,for i # j . For every family of elements a, E A, (1 < i < n), there exists x E B such that x = a, (mod. tit(A,)) for 1 < i < n. Since the p, are maximal ideals of B, A,/m(A,) = B,,/p,Bp, = B/pi and it may therefore be assumed that a, E B for all i. The corollary then follows from the
n

Let K be ajield, (A,) ci

B = 1 = 1 A,. W e write p, = B n m(A,). Then A, ructions ofB is K.

ajinite family o f valuation rings ofK and

=

Bplfor all i and the jield of

fact that the canonical mapping from B to $ 1, no. 2, Proposition 5 ) .

I7(B/p,) is surjective (Chapter 11,

1=1

Clearly B,, c A,. To prove the converse inclusion we need the following lemma : LEMMA Let v, (1 < i < n) be ualuations on the jield K and x 1. exists a polynomialf (X) ofthe form (1)
E K*.

Then there

COROLLARY 2. Suppose that A, 4 A, for i # j . There exist elements xi (1 o f K such that u,(x,) = 0 and v,(x,) > 0f o r i # j .

< i < n)

f(x) 1 + nlX =

nk-,Xk-

+ xk

For each index i apply Corollary 1 to the family (a,) such that a, = 1 and a, = 0 for j # i.

(k 2 2, n , E Z f o r 1 < j

<k

- 1)

COROLLARY 3. Every valuation ring of K containing B contains one of the A,. We may confine our attention to the case where A, 4 A, for i # j . Let V be a valuation ring of K containing B. We write
p = m(V) n B.

such that f ( x ) # 0 and the element z =f ( x ) - l enjoys the following properties f o r l<i<n:
v,(z) = 0
V,(t)

+ v,(x) > 0

;f f i

Ui(.) VI(X)

z0
< 0.

Assuming this lemma for a moment, we show how it implies that A, c B,,. Let x be a non-zero element of A,. We apply the lemma to x and valuations u, associated with the A,. Then v,(z) 2 0 and v,(zx) 2 0 for all i, hence Z E B and zx E B. As vl(x) 2 0, u,(z) = 0 and hence z I$ pl. Hence x = x z / z E Bpl. The field of fractions of B then contains A, and hence is K. We now pass to the proof of the lemma. Let I be the set of indices i such that u&) > 0. For all i E I, let 2, denote the canonical image of x in K(A,). For all i E I we construct a polynomialf, as follows: if there exists a polynomial g(X) of the form (1) such that g(Z,) = 0 in K(A,),we takef, to be such a polynomial; otherwise we take f, = 1. Then we write f (X) = 1 + X2 g f , ( X ) . It is obviously a polynomial of the form (1). If i E I, thenf ( x ) E A, and alsof (2,) # 0 by construction; hencef ( x ) $ m(AJ, u , ( f ( x ) ) = 0 and u(z) = 0. If i $ I, then v,(x) < 0, whence u , ( f ( x ) ) = ku,(x) (3 3, no. 1 Proposition 1) and ,
u,(x)

There exists a maximal ideal pi of B containing p, whence

A, = B,, c B, c V.
2. INDEPENDENT VALUATIONS

DEFINITION 1. Let A and A be two valuation rings o the samefield K. A and A are f called independent ifK i the ring generated by A and A. Two ualuations on K are called s independent if their rings are independent and dependent otherwise.
An improper valuation on K is independent of every valuation on K. For two valuations ofheight 1 on K to be independent, it is necessary and sufficient that they be not equivalent (3 4,no. 5, Proposition 6 (c)).

+ v,(.)

(1 - k)Vj(X) > 0

THEOREM 1 (Approximation Theorem for Valuations). Let v, (1 < i < n) be valuations on a jield K which are independent in pairs and r, the order group o f u,. L e t u , E K a n d a , E I ? , ( l < i < n). ThenthereexistsxEKsuchthatu,(x - a,) 2 a, for all i.

(since k 2 2). Whence the lemma.

If v, is improper, then a,

0 and the relation v,(x - a,)

> a, is true for all

PROPOSITION 2. With the hypotheses of Proposition 1 supposefurther that A, Q A, for i # j . Then the pi are dktinct maximal ideals ofB and every maximal ideal ofB is equal to one of the p,.
If pi c p, for i # j , A, = BPII> B, = A,. It is then sufficient to apply Chapter 11, 3 3, no. 5, Corollary to Proposition 17.
412

x E K. We may therefore assume that the v, are not improper.

Let A, be the ring of u,, B = A, and p, = m(AJ n B. By Proposition 1 of no. 1, the a, may be written a, = b,/s (6, E B, s E B (0)) ; if we write x = y/s and a; = a, + u,(s), then ut(y - 6,) >, a;. This shows that we may assume that a, E B for all i; we may also assume that a, > 0 for all i Let Dt be the set of .

,Q

413

VI

VALUATIONS

THE CASE OF ABSOLUTE VALUES

5 7.3

E K such that v , ( z ) 2 a,; we write q, = pi n B. For x E B, v,(x - a,) 2 a,is equivalent to x = a, (q,). We therefore need to show that the canonical homo-

morphism B -+ 1 = 1 (B/qi) is surjective, that is that q, + q, = B for i # j (Chapter 11, 3 1, no. 2, Proposition 5 ) . As the maximal ideals of B are the p , (Proposition 2), it will suffice for this to show that q, p , for i # j . Suppose that there exists i , j such that q, c p, and i # j . We shall see shortly that the radical of q, is aprime ideal p of B. Then p c p, and also p c p , since a, > 0 and hence q, c p,. Therefore A, = B,, C Bp (no. 1, Proposition 1) and similarly A, c B,. Now, as D, # (0) and 0, = Bp,ql (Chapter 11, 3 2, no. 4, Proposition lo), q1 # (0), whence p # (0) and B, # K. This contradicts the hypothesis that A, and A, are independent. I t remains to show that p is prime. Now this follows from the following lemma :

no. 3). If a E I?", let a ~ - i ( a "; the condition u ( x ) 2 CL implies v"(x) 2 a". " ) Let p E r and P" = h(P); the condition ~ ( x < (3 implies v"(x) < p" and hence ) ) the condition v"(x) > p" implies ~ ( x > p. As v and v" are not improper, the inequalities in question define fundamental systems of neighbourhoods of 0 for Yv Tv-. and Hence Tv Yve, = which completes the proof.
Remarks (1) Proposition 3 shows that the relation " v and v' are dependent" is an equivalence relation. (2) Taking account of the relations between valuations of height 1 and ultrametric absolute values ($ 6, no. 2), Proposition 3 also follows, in the case of valuations of height 1, from the characterization of equivalent absolute values (General Topology, Chapter IX, $ 3, no. 2, Proposition 5 ) .

LEMMA 2. Let A be a valuation ring and b an ideal of A distinct from A. Then the radical c of b is a prime ideal. Suppose that xy E c. Then there exists n > 1 such that (xy)" E 6. Let v be a. valuation associated with A. If, for example, v ( x ) > v(y), then
V ( P )

PROPOSITION 4. Let v,, . . ., u, (n 2 2 ) be pairwise dependent valuations on the same jield K . Then the rings A,, . . . ,A, o v,, . . ., v, generate a subring o K distinct from f f

K.
For n = 2 Proposition 4 follows from Definition 1. Suppose it holds for n - 1 valuations. Then there exists a subring A of K distinct from K and containing A,, . . .,A, - ; there also exists a subring B # K containing A, - and A,. As A and B contain A, - , they are comparable with respect to inclusion (5 4, no. 1, , Corollary to Proposition 1). The greater of these two therefore contains all the

2 v(x,y"),

whence x2,

b and x

E c.
E

COROLLARY 1. For every family of elements y, such that ut(x) = y, (1 Q i Q n).

I?, (1

Q i

< n), there exists x E K

4 .
3. THE CASE OF ABSOLUTE VALUES

We may assume that A, # K for all i. Then, there exists for all i an a, E K such We that v,(a,) = y, and an a,E I?, such that y, < a,. apply Theorem 1 to these elements a,: there exists x E K such that v,(x - ai) > v,(a,); whence, as x = a, ( x - a,), vt(x) = ut(at) = y, (3 3, no. 1, Proposition 1).

COROLLARY 2. Let % be the topology deJined on K by v,; let Kn be given the topology theproduct ofthe %. Ifthe v1 are not improper, the diagonal ofKnis dense in K".

THEOREM 2 (Approximation Theorem for Absolute Values). Letff (1 < i < n) be absolute values on the samejeld K which are not improper and no two of which are equivalent. Let a, (1 < i < n) be elements of K and E a real number > 0. Then there exists x E K such thatff(x - a,) < E for all i.
Let K, denote the field K with the topology defined byff. The result to be proved is equivalent to the following: in the product P = I<, x * x K,, the closure of the diagonal D is equal to P. This is obvious for n = 1. Suppose that this point has been established in the case of k absolute values for k < n. We show first that there exists, for 2 < h < n, an element x h of K such that fl(Xh) < 1, f 2 ( x h ) > 1 andff(x,) # 1 for 3 Q i Q h. We argue by induction on h. If h = 2, this follows from the fact thatf, and f i are not equivalent. We therefore suppose that the existence of xh-, has been shown and prove that of xh. Iffh(xh-,) # 1, we may take xh = X h - 1 ; iffh(xh-1) = 1, we choose z EK* such that fh(z) # 1 and xh = z ( x h - , ) l solves the problem for s sufficiently large. We have thus proved the existence of xh.

PROPOSITION 3. Let v and v' be two non-improper valuations on the samejeld K . For v and v' to d@ne the same topology on K , it is necessary and sujicient that they be dependent.
Suppose that the topologies Fvand Fv,, defined by v and v', are identical. Since Fvis Hausdorff, the diagonal of K2 is closed and hence u and v' are dependent (Corollary 2 to Theorem 1). Conversely, suppose that v and v' are dependent. Then their rings A and A' are contained in the same ring A" distinct from K and A" is the ring of a valuation v" (5 4, no. 1, Proposition 1). It suffices to show that the topology Fvw is identical with 5,. I and I" be the order groups of v and v". There Let ' ' exists an increasing homomorphism A of I? onto I"' such that v" = A 0 v (3 4,
414

415

v l

VALUATIONS

RAMIFICATION INDEX. RESIDUE CLASS DEGREE

3 8.1

As the integer q tends to infinity, fi(x:) tends to 0, fi(x:) tends to +co and f i ( x z ) tends to 0 or +co for i 2 3. Writing y , = xz(1 + x:) -l,
1 - y , = (1

This is obvious.

+ xi)-I;

LEMMA 2. Let K be ajeld, L aJinite extension ofK o degree n, v' a valuation on L f and v its restriction to K. Then the inequality
(2)
e(v'/v)f (u'/u)

hence the sequence (y,) tends to 0 in K,, to 1 in K, and to 0 or 1 in K, for i 2 3. By changing the numbering of the K,, it may therefore be assumed that there exists an integer r (1 < r < n) such that contains the point (el,. . .,en) where e, = 1 for 1 < i < r and e, = 0 for r + 1 < i < n. Now, D is a vector Sub-K-space of P. Hence D contains the diagonals D' and D" of

<n

holds; in particular e(v'/v) and f (v'lv) arejinite.

Let us take natural numbers r and s respectively not greater than e(v'/v) and f ( v ' / v ) . It suffices to show that rs < n. In view of the definition of I , there exist elements x, of L (1 < i < r ) such that v' (x,) f: v ( x j ) (mod. I?,) for ' i # j . In view of the definition of s, there exist elements y k (1 < k < s) of the r h g A' of v' whose canonical images g k in K(A')are linearly independent over K(A);obviously v'(yk) = 0 for all k. We shall show that the rs elements are linearly independent over K, which will certainly establish the inequality rs Q n. Suppose then that there exists a non-trivial linear relation of the form (3) Let us choose the indicesj , m so that
v'(ajnxjYm) 6 v'(ai$iYk)

P'

K, x

. * *

x K,
=

and P" = K,,, x . . . x K,. By the induction hypothesis, P' P" = Hence D = P.

n".

n'

and

8. EXTENSIONS OF A VALUATION TO AN ALGEBRAIC EXTENSION

1. RAMIFICATION INDEX. RESIDUE CLASS DEGREE

Let K be a field, L an extension of K and A' a valuation ring of L. As has been seen in 3 1, no. 4, the ring A = K n A' is a valuation ring of K and

m(A') n K . If v' is a valuation associated with A', the restriction v of v to K is a valuation ' on K associated with A; the order group ruof v is a subgroup of the order group rut v ~ . of
m(A)
=

for every ordered pair (i,k ) ;then ajm# 0. If i # j , then v' (ai$,yk):= V'(ajmxjym) is impossible for this would imply
v'(xi) - v'(xj) = v'(ajm)

- v'(aik) E r v Y

DEFINITION 1. The index (I?, : I?,,,) is called the ramiJication index o f v' over v (or over K) and denoted by e(v'/v) (or e(A'/A), or sometimes e(L/K)).
This index is a natural number or +a.If vb is a valuation equivalent to v, ' e(v'/v) is also called the ramification index of vb over v. If e(v'/v) = 1, v' is called unrama$ed over v. On the other hand the residue field K(A)of v is identified with a subfield of the ' . residue field K(A') of v

contrary to the choice of the xi. Multiplying (3) by ( a j m x j ) - l , we obtain a relation of the form where
Z E N

and v'(bk) 2 0, v ' ( z ) > 0. Whence, in K(A'), relation of the form a -4s b, = 1,this contradicts the hypothesis made on yk.

&&= 0.

DEFINITION 2. The degree [K(A') :K(A)]is called the residue class degree of v over v ' (or over K) and denoted byf (v'/v) (orf (APIA), sometimesf (L/K)). or This degree is a natural number or + co. L E MMA1. Let K, K', K" be three Jields such that K c K' c K", v" a valuation on K" and v and v its restriction to K and K'. Then there are the relations: '
(1)
416

PROPOSITION 1. Let K be ahfield, L an algebraic extension of K , v a valuation on L, ' u its restriction to K and A and A' the rings o f v and v'. Then rur/ru torsiongroup is a and K(A')is an algebraic extension o f ~ ( A ) .
Let (La) be the family of finite sub-extensions of L; let us write ra = v'(L,*). The group I?". is the union of the right directed family consisting of the Fa;as the groups ra/rV finite (Lemma 2) , rV,/r, a torsion group. The argument are is is similar to prove that K(A') is an algebraic extension of K(A).
417

e(v"/u) = e(v"/u')e(v'/v),

f ( v " / u ) = f (v"/v')f(v'/v).

VI

VALUATIONS

EXTEXSION OF A VALUATION AND COBlI'LETION

5 8.2

COROLLARY 1. The height ofv' is equal to that ofv. This follows from Proposition 1 and the following lemma: LEMMA 3. Let G' be a totally ordered group, G a subgroup of G and 6' (resp. 6 ) the set of isolated subgroups o f G' (resp. G). The mapping H' t-+ H' n G maps 6' onto 6. This mapping is bijective ifG'/G is a torsion group. Clearly H' E 6' implies H' n G E 6. Now let H E 6; let H' denote the set of x' E G' such that there exists h E H satisfying -h < x' < h ; it is immediately verified that H' is an isolated subgroup of G'; then H' n G = H since H is isolated; hence the mapping H' H H' n G is surjective. Suppose finally that G'/G is a torsion group; let Hi and Hk be two isolated subgroups of G' such that Hi n G = HS, n G; then, for example, Hi 2 HS, (cf. 5 4, no. 4) ; then H;/HS, is a totally ordered group and is isomorphic to a quotient group of H;/(H; n G) which itself is identified with a subgroup of G'/G; hence H;/H; is a torsion group and therefore reduces to 0. COROLLARY2. For v to be improper (resp. ofheight l), it is necessary and su&cient that ' f v be improper (resp. o hight 1).

v such that every valuation on L extending v is dependent on one of the vi; let Li be the field L with the topology dejined by v; and ei its completion; we write ni = @,: R]. Then the canonical mapping

4: K B K L +

I
I
I

(extending by continuity the diagonal mapping L -+ Jacobson radical ofK & L and

ne, n
8
1=1

i=1

L,) is surjective, its kernel is the

COROLLARY 3. Suppose that L is afinite extension o K. For v to be discrete, it is f ' necessay and suflcient that v be discrete. If v' is discrete, r,,is isomorphic to a non-zero subgroup of Z (Corollary 2) and . hence to Z Conversely, if v is discrete, ruis isomorphic to Z and l?u,/r',,is a finite group (Lemma 2) ;hence ru. a finitely generated commutative group is
of rank 1 and torsion-free; consequently it is isomorphic to Z .
2. EXTENSION OF A VALUATION AND COMPLETION

n, < n. (7) i=l Let us first prove (a). Suppose that v is not improper. As v and 8 (resp. v' and 0') have the same order group and the same residue field (5 5, no. 3, Proposition 5 (b) and (f)), (4) holds. We deduce (6) from it by means of Lemma 2. Finally the vector sub-R-space of L,,, generated by L is closed (5 5, no. 2, Corollary to Proposition 4) and everywhere dense and hence equal to this shows (5). We now pass to (b). We may still assume that v is not improper. Let (vi, . . ., vi) be any finite family of pairwise independent valuations on L

e,;

extending v. The image of L in where dense

n
T

i=1

L, under the diagonal mapping is every-

(5 7, no. 2, Theorem 1) and

T

n
T

1=1

L, is dense in

nei.
I

i=1

Hence the

canonical image of K gK in L

DEFINITKON K be afield, v a valuation on K and L an extension OfK. A family 3. Let (v:),E I o valuations on L which extend v and such that every valuation on L extending v f is equivalent to a unique v: is called a complete system of extensions o f v to L.
PROPOS~~?ON K be a field, v a valuation on K, R the completion o f K with 2. Let respect to v, 8 the continuous extension o f v to and L afinite extension ofK ofdegree n. (a) Let v' be a valuation on L extending v; let denote the completion ofL with ,, respect to v' and 8' the continuous extension ofv' to L,; identa3ing R with the closure OfK in Lu,,

this image is a vector sub-a-space of i = 1 by ( 5 ) ,the image of k @K L is closed

nei ne,; nei (5

i=1
T

is everywhere dense. O n the other hand

r

as i = l is of finite dimension over 5, no. 2, Corollary to Proposition 4)

eUt

and hence equal to Li.As the dimension of R gKL over K is n, i = 1 n, < n. i=1 This shows in particular that the integer r is bounded above by n and shows the first assertion of (b). We now take (vi, . . ., v:) as in the statement. The fact that

f I

(4)

e(ol/t;) = e(v'/v),

f (8'/8) = f ( v ' / v ) ,

(5)

(6)

[t,,: Q n, K] e(v'/v)f(v'/v) Q [t,: R].

4: R @IK L - t

nei
8

i=1

is sujective and relation (7) have already been shown. It remains to verifjrthat the kernel n of is the Jacobson radical r ofl? QK As 1 = 1 ei is semi-simple, L. P c n. On the other hand, for every maximal ideal m of R BK the quotient L, field L(m) = (l? BEL)/m is a composite extension of R and L over K (Algebra,

(b) Every set o pairwise independent valuations on L extending a non-improper f valuation v isfinite. Let v;, . . .,v: denote pairwise independent valuations on L extending
418

1:

419

VI

VALUATIONS

THE RELATION

7eiA

E8.3 j

Chapter VIII, 8, Proposition 1). There exists a valuation w on L(m) extending 0 ( 3, no. 3, Proposition 5); the restriction v of w to L extends D. As [L(m) : K]is finite, L(m) is complete with respect to w (3 5, no. 2, Proposition 4). NOWthe closure of L in L(m) is a field containing K and L and hence is equal to L(m). Consequently L(m) is identified with the completion Lu, and m is the kernel of the canonical mapping of if L onto f& Now, by hypothesis, there exists an index i such that v and v; are dependent; whence L , = Lt (3 7, no. 2, Proposition 3). Thus n c m, which proves that n c 1: and completes the proof.

mK

COROLLARY 1. I f K is complete with respect to v and v is not improper, two valuations on L extending v are dependent. This follows since K COROLLARY 2.

BKL

= L.
s

IfR or L is separable over K, the canonical mapping

4: R BKL + rl = l Ll I
is an isomorphism.
The Jacobson radical of 3, Theorem 1).

two of which are equivalent. We shall first prove that e(v;/v) (v+) Q n. f This will prove (a) and (b). We argue by induction on s and suppose therefore that the inequality has been established for the case of 0, 1, . . .,s - 1 valuations. We distinguish two cases. (1) Suppose that there exist a t least two independent valuations v;. Then there exists (3 7, no. 2, Remark 1) a partition [l, s] = I, U. . - UI t of [l, s] such that: (i) for v; and v; to be dependent, it is necessary and sufficient that i and j belong to the same 1,; (ii) Card(1,) < s for all k. We choose in each 1, an index i ( k ) .Let Li(k) denote the completion of L with respect to V;(k) and n(k) = [f&): R]. For all i E I,, v; defines on L the same topology as v;(,, (5 7, no. 2, Proposition 3) and hence may be extended to a ; , valuation 8 on L, whose restriction to R is 0. Since no two of the v; for i E I, are equivalent, the same is true of the 8. The induction hypothesis applied to ; the ordered pair (a, , ( k ) ) shows, by virtue of Proposition 2 (a), formula (4), L that
1Elk

2
S

R & L is then zero (Algebra, Chapter VIII,

7 , no.

2 e(v;/v)f (v{/v) < n(k). As

zl
t

n(k)

<n

(Proposition 2 (b), formula

Remark. Proposition 2 (b) shows that every composite extension of R and L over K (Algebra, Chapter VIII, 3 8) is isomorphic to one of the completions and that these are composite extensions no two of which are isomorphic.

el

3 THE RELATION .

e l f ; <n

Let K be a field, v a valuation on K and L a finite extension of K of degree n. Let (vi, . . .,v:) be valuations on L extending v no two o f which are equivalent; if they are independent (which is always the case if v is of height I), then
1 = 1 e(v;/v)f(vi/v)6

(7)), certainly l = l e(v;/v)f(v;/v)Q n. (2) We now pass to the case where any two of the zi; are dependent. Let A; be the ring of vi (1 < i < s) ;writing A for the ring of v, A; n K = A for all i. Let B be the subring of L generated by At,. . ., A:; we write B = B n K ; then B 3 A. Then B is the ring of a valuation w on K and B the ring of a valuation w which is not improper and extends w (3 7, no. 2, Proposition 4) ; the field K(B) is an extension of ~ ( 3 )of degreef(w/w). Consider the canonical images A;,A of A; and A in K(B); then A is the ring of a valuation on K(B) and the A;are rings of valuations 4on K(B)extending a. As the A; generate B, the & generate K(B) and hence the fii are not all dependent (4 7, no. 2,
Proposition 4). From the first part of the proof,

by Proposition 2 (formulae (6) and (7)). We shall see that this result is true in the general case. T o be precise:

i=1

2e(a;/a)f (a$)

Q [K(B): K(B)] = f (w/w)

THEOREM 1. Let K be ajeld, v a valuation on K and L ajnite extension of K o f degree n. T e : hn (a) Every complete system (v;){ of extensions o f v to L isjnite. El.
(b) e(v;/v)f(v;/v) Q n and a fortiori Card(1) < n. (c) No two of the rings o f the vi are comparable with respect to inclusion. Since the theorem is trivial if v is improper, we shall assume that v is not improper. Let (vi, . . .,0:) be any finite family of valuations on L extending v, no

and hence
1=1

e(w/w)e(L7;/a)f(a;/fi> e(w/w)f(w/w) < n <

(no. 1, Lemma 1).

The proof of (a) and (b) will therefore be completed if we prove that
(8)

f ( f i ; / ~ f(fii/v), =) e(w/w)e(i$/fi) = e(v;/v). For this, we note that v and fi (resp. v; and ~7;). have the same residue field
42 1

420

'r
VI VALUATIONS
THE RELATION

7eiA

=n

$ 8.5

(5 4,no. 1, Corollary to Proposition 2) ; this proves the first equation. For the second there is, by virtue of the Remark in $4, 3, the following commutative no. diagram, where the rows are exact sequences and the vertical arrows represent canonical injections :

o+r: +r, +r, + o 4 . 1 . 1 o -+ri;+ r,; -+rw. .o +

We deduce that there is an exact sequence

In the second case, let x be the least element > 0 of G and let n be the least integer > 0 such that nx E H. Clearly n = ( G : ( G n H)). On the other hand, writing M(y) for the set of z E G such that y < z ( y E G ) , it is immediately seen that the major sets of Definition 4 are just M(x), M(2x), . . .,M(nx).
I

COROLLARY. The initial index E(G, H) divides the index (G:H) and is equal to it f i G is isomorphic to Z .
In particular, E(G,H)

< (G: H).

o +. rGp5 rupu rw,/rw o -+ . + -+

by Chapter I, 3 1, no. 4 Proposition 2, which proves the second formula (8). , To complete the proof of Theorem 1, it remains to prove (c). If the ring of vl contains that of v;, r,; is identified with a quotient group r,;/H, H being an isolated subgroup (5 4,no. 3). As the composite canonical mapping

DEFINITION 5. Let K be ajeld, L ajnite extension o K, w a valuation on L, v its f restriction to K and rw r, their order groups. The initial index o f I, in Fw is called and ? the initial ramiJiation index o f w with respect to v (or with respect to K) and denoted by
c( W / 4

r,,+. r,; + r , p

r,;

From the above corollary, discrete valuation.

E(W/U)

divides e(w/v) with equality in the case of a

is injective, H n I?,, = {0}, whence H = (0) (Lemma 3, no. 1). Then v: and vi are equivalent, whence i = j .

PROPOSITION 4 Under the hypotheses ofDejinition 5, let A and m (resp. A' and m') be . the ring and ideal ofthe valuation v (resp. w). Then
[A'/mA': A/m] = E ( w / u ) ~ ( w / u ) .
The ideals of A' containing mA' and distinct from A' correspond to the consisting of elements > 0 and containing the elements > 0 major subsets of rw of I?, (5 3, no. 5, Corollary to Proposition 7). They are therefore equal in ) number to ~ ( w / vand, as they form a totally ordered set under inclusion, this number is equal to the length of the quotient ring A'/mA'. Now a module of length 1 over A' is a 1-dimensionalvector space over A'/m' and hence a module of length f (w/v) over A; hence, as A'/mA' is of length E ( W / U ) over A', it is of length E ( w / u ) ~ ( w / over A, that is over A/m. u)
5. THE RELATION

Remark. The intersection C of the rings A; of the valuations v; (i E I) is the integral closure of A in L (5 1, no. 3, Corollary 3 to Theorem 3) ;it follows moreover from (c) and 3 7, no. l , Propositions l and 2 that C is a semi-local ring, that its maximal ideals are the intersections mi = C n m(A;) and that A: = C, for all i E I.
4. INITIAL RAMIFICATION INDEX

DEFINITION 4 Let G be a totally ordered commutative group and H a subgroup o G o f . f jnite index. The number o f major subsets of G consisting o f strictly positive elements and containing all the elements > 0 o f H is called the initial index o f H in G and denoted by
SPY

H).

F e,A

This initial index is a natural number by virtue of the following proposition:

PROPOSITION 3. Under the hypotheses o Dejinition 4, if the set o f strictly positive f elements o G has no least element, then E(G,H) = 1for all H. If there exists a least f element > 0 of G and G' denotes the subgroup it generates, then
s(G,H) = ( G : (G n H)). I n the first case, let x be an element > O in G. The set of y E G such that 0 < y < x is infinite and hence there exist two elements of this set which are distinct and congruent modulo H; their difference is an element z of H such that 0 < z < x. Hence every major subset which contains all the strictly positive elements of H contains x and hence all the elements > 0 of G. 422

PROPOSITION 5. Let K be ajeld, v a valuation on K, A its ring, m its ideal, L aJitz.de extension ofK of degree n, B the integral closure of A in L and (u;)lblGs a complete gstem of extensions o f v to L. Then

[B/mB: A/m] = 1 = 1 ~ ( v ~ / v ) J ( v ; / v ) . Let A, be the ring of v:; then A, = B,,, where m, runs through the family of maximal ideals of B (no. 3, Remark). Let ql be the saturation of mB with respect ) to rn, (Chapter 11,fj2, no. 4 .By Chapter V, Corollary 3 to Proposition 1,no. 1,
S

i
i
I

5 2, the canonical homomorphism B/mB -+

B/ql is an isomorphism and rn,

423

VI

VALUATIONS

THE RELATION

eiJ

5 8.5

is the only maximal ideal of B containing qi. Hence B/q, is canonically isomorphic to (B/qi),,,l(Chapter 11, 3 3, no. 3, Proposition 8), that is to Bm,/mBIIl1 A , / d t . = Therefore there is a canonical isomorphism B/mB -+ result by virtue of Proposition 4 of no. 4. COROLLARY. W i t h the same hypotheses and notation, [B/mB: A/mI =

COROLLARY 1. W i t h the same hypotheses and notation, suppose further that v is discrete and L separable. Then

n
,=1

A,/mA,, whence the

I

t=1

e(v;/v)f(v;/v) = n.

I
(VI/V)

The integral closure B of A is then a free A-module of rank n, since A is a principal ideal domain (Chapter V, fj 1, no. 6, Corollary 2 to Proposition 18). COROLLARY 2. Let K be ajeld, v a discrete valuation on K with respect to which K is complete and L ajnite extension ofK o degree n. Then v admits a unique (up to equivalence) f extension v' to L, the ring A' of v' is a jnitely generatedfree module over the ring A of v and e(v'/v)f (v'/v) = n.

,5 E(v;/v)f (v:/v) G ,5: e(v;/v)f

= =

G n*

We know that ~ ( v i / v < e(v;/v) (no. 4, Corollary to Proposition 3) and )

f:
=1

e(v;/v)f(v;/v) < n (no. 3, Theorem 1).

THEOREM 2. W i t h the hypotheses and notation o f Proposition 5 , thefollowing conditions are equivalent : (a) B is ajnitely generated A-module; (b) B is a free A-module; (c) [B/mB:A/m] = n;
(d)

Zl
n

e(v;/v)f(v;/v) = n and

E(u;/u) =

e(v;/v)f o r all i.

adic topology (where m = m(A)) ; the ring A is complete, for it is closed in K. We conclude that, since A'/mA' is a finite-dimensionalvector (A/m)-space (no. 4, Proposition 4), A' is a finitely generated A-module (Chapter 111, 3 2, no. 9, Corollary 3 to Proposition 12). I t is therefore free and e(v'/v)f(v'/v) = n by

The equivalence of (a) and (b) follows from Lemma 1, fj 3, no. 6. Clearly (b) implies (c) (Algebra, Chapter 11, fj 1, no. 5, formula (19)). The equivalence of (c) and (d) follows from the Corollary to Proposition 5. I t remains to show that (c) implies (b) I n general, if M is an A-module, we shall denote by V(M) the vector space M/mM over A/m. Hypothesis (c) means that dim(V(B)) = n. Let x l , . . ., xn be elements of B whose canonical images in V(B) form a basis of V(B) and let L c B be the sub-A-module which they generate. As L is torsion-free and finitely generated, it is free (3 3, no. 6, Lemma 1). We shall see that B = L. Let y E B; we write M = L Ay; this is also a free A-module. The canonical injections L -+ M --f B give canonical homomorphismsV(L) -+ V(M) -+ V(B) As the ranks of L and M are Gn, so are the dimensions of V(L) and V(M). NOW, by hypothesis, V(L) -+ V(B) is surjective and V(B) is n-dimensional hence V(L) and V(M) are n-dimensional and V(L) -+ V(M) is surjective. As M is finitely generated, L -+ M is surjective (Chapter 11, fj 3, no. 2, Corollary 1 to Proposition 4), whence L = M, y E L and B = L. Hence B is free.

(no. 2, Proposition 2). is bijective. For all x E L, the characteristic polynomial PcLIK(x; is equal to the product of the characteristic polynomials Pci,&; X) X) (1 < i < s) ; in particular,

(9)

Remark (1) If v is discrete,

to

E(U:/U)

e(v;/v) (no. 4) and condition (d) reduces

e(vl/v)f ( V I / V )

= n-

(The last relation in (9) is meaningful, for we may obviously assume that the are of height 1 by Corollary 2 to Proposition 1 of no. 1, take, as does v, their -;slues in a subgroup of R.)
Z: which J,

424

425

VI

VALUATIONS

VALUATION RINGS IN AN ALGEBRAIC EXTENSION

3 8.6

As no two of the vl are equivalent and they are of height 1,they are independent and Proposition 2 of no. 2 shows therefore that e(v;/v)f(v;/v)< n, for all

i and

sl
n,

< n. The first assertion therefore follows from these inequalities

and the relation f = l e(v;/v)f(v;/v) = n. Under the isomorphism the endomorphism z HZ( 1 @ x ) of R BKL (for x E L) is transformed into the endoJ morphism of 1 = 1 leaving invariant each of the factors and reducing on each factor to multiplication by x (L being canonically imbedded in its completion ;whence the assertion relating to the characteristic polynomial of x and the first two formulae of (9). Finally, let E be a finite quasi-Galois extension of ft, containing f , as R is complete and B of height 1, there exists only one valua,; tion (up to equivalence) w on E extending B (no. 2, Corollary 1 to Proposition 2) ; then, for every R-automorphism IS of E, W ( I S ( X ) )= v ; ( x ) . Therefore

f:

ne,
S

e,)

(Algebra, Chapter VIII, of ( ) 9.

3 12, no. 2, formula

d(Ni,,&)) = n,v;(4 (15)), which proves the formula

. COROLLARY 4 Under the hypotheses ofCorollay 3, ifL is a separable extension o f K, each ofthe is a separable extension o f R.Iffurther L is a Galois extension ofK with Galois group 9 and gtdenotes the decomposition group ofthe ideal ofv; in B (Chapter V, f 2, no. 2, Definition 2), then tlis a Galois extension of R whose Galois group is j isomorphic to gi.

e,

rings of the valuations v' and v ; then there is defined a ramification index e(v'/v) as in no. 1 ;on the other hand, K(A)is identified with a subfield of K ( A ) and the (left) residue rank of v' with respect to v is defined to be the number f ( v ' / v ) equal to the dimension of the left vector K(A)-space K(A),if this dimension is finite, and c in the opposite case. Then, if L is a left vector K-space of o Jinite dimension n, Lemma 2 of no. 1 and its proof go over unchanged. Moreover, if K is complete with respect to u, the assertions of Corollary 2 to Theorem 2 of no. 5 (other than the existence of u') are also valid ( n denoting the dimension of L as a left vector K-space) with the following proof: I n the first place the topology defined by v' on L is Hausdorff and compatible with its left vector K-space structure and hence two extensions of v to L give the same topology on L (3 5, no. 2, Proposition 4 ,which proves that these ) extensions are the same up to equivalence (3 6, no. 2). We show next that, if m = m(A), A'/mA' is a left vector (A/m)-space of dimension e(v'/v)f(v'/v). Writing e = e(v'/v), we may assume that v(K*) = Z and v'(L*) = e-'Z; let u' be an element of L such that v'(u') = e - l and u an element of K such that v(u) = 1 ;hence u = Z U ' ~ where z E L is such that v ' ( z ) = 0. As m is generated , by u (as a left or right ideal of A), mA' = deA' = A'ule and it suffices to prove that, for 0 < k < e - 1, A'u'~/A'u'~+ a left vector (A/m)-spaceof dimension is f ( v ' / v ) . But t Htufk is an isomorphism of the left A-module A onto the left Amodule A'dk mapping A'u' to A'dk+I and which therefore gives by taking ' whence our quotients an (A/m)-isomorphism of A'/A'u' onto A u ' ~ / A ' u',~ + assertion by definition o f f ( v ' / v ) , u' generating the maximal ideal of A'. The proof is completed as when K and L are commutative (the fact that a finitely generated torsion-free A-module is free being proved as in 4 3, no. 6, Lemma 1).

Clearly t,= R(L) ; hence, if L is separable over K, t,is separable over R (Algebra, Chapter V, 3 7, no. 6 , Proposition 10). Suppose now that L is Galois. Every automorphism IS E 9, continuous on L with the topology defined by vi, the is fact that no two of the ideals of the v; are comparable with respect to inclusion (3 7, no. 2, Corollary 1 to Theorem 1) necessarily implying that v; = v; IS by definition of 9,; hence IS may be extended by continuity to a ft-automorphism 6 of Lt. This proves that the number of R-automorphisms off,, is a t least equal to Card(%,). But as the valuations v; are painvise conjugate under 9 9 (Chapter V, 3 2, no. 3, Proposition 6), s = (9: whence g,),
0

6. VALUATION RINGS IN AN ALGEBRAIC EXTENSION

PROPOSITION 6. Let K be ajield, v a valuation on K, A its ring, L an algebraic extension of K and A' the integral closure o f A in L. Let 23 be the set o f valuation rings on L which extend v and m' the set o f maximal ideals o f A'. Then the mapping v H m(V) n A' is a bijection of23 onto m' and m' HA:,,. is the inverse bijection. Every maximal ideal m' of A' is such that m' n A is the maximal ideal of A is dominated by a valuation (Chapter V, 3 2, no. 1, Proposition 1) and ring V of L (which is therefore the ring of a valuation on L extending v) (3 1, no. 2, Corollary to Theorem 2). The field L is the union of a directed family of sub-extensions K, of L which are finite over K and it will suffice, in order to see . that V = &,,to prove that V n K, = Air n K, for all a Now, if we write = A' n K,, & is the integral closure of A in K, and hence is the intersection of the rings of the valuations on K, which extend v and these rings V,, ,, ; are finite in number and are the local rings (A@ of & (1 < i < n),where the mi, are the diqtinct maximal ideals of A& (no. 3, Remark) ;but m' n A& is one of

x.

Card(9,) = n/s

< n,

and on the other hand n = sn, by Corollary 3; this proves that f,, is a Galois extension of R and that the extensions by continuity of the automorphisms IS E 9, are the only R-automorphisms of

el.

Remark (2). Part of the above results extends to the case of valuations on a not necessarily commutative field K (cf. 3 3, no. 1). Let L be an extension field of K and let v' be a valuation on L, v its restriction to K and A' and A the respective

426

42 7

VI

VALUATIONS

THE EXTENSION OF ABSOLUTE VALUES

3 8.7

the mi, and V n K, is therefore equal to the corresponding local ring (),i &,,a c A&, which completes the proof that V = 4,. Conversely, if V E 27, then A c V ($3, no. 3, Proposition 6 ) and, if m = m(V) n A, then m n A = m, hence m is a maximal ideal of A (Chapter V, 3 2, no. 1, Proposition 1) and the above argument shows that V = 4.. PROPOSITION 7. Let K be ajeld, L a quasi-Galois extension of K and f and f places ofL with values in the samejeld F. Suppose that the restrictions off andf to K coincide. Then there exists a K-automorphism s of L such thatf = f 0 s. Let A be the ring of the place of K the common restriction off and f . The rings off andf contain the integral closure A of A in L (3 1, no. 3, Corollary 3 to Theorem 3) and hence (Chapter V, 3 2, no. 3, Corollary 1 to Proposition 6 ) there exists a K-automorphism s of L such that the restrictions o f f and f o s to A are equal; if m is the common kernel of these restrictions, m n A is the maximal ideal of A, hence m is a maximal ideal of A and the places f and f s coincide on the ring &,;but by Proposition 6 the only : valuation ring of L dominating A, is the ring A;, itself and hence the rings of the placesf f o s are the same. and
0

Suppose first that there exists a valuation v on K with real values such that f ( x ) = e-u(x). There exists a valuation v on L whose restriction to K is equivalent to v ($ 3, no. 3, Proposition 5). Then v is of height 0 or 1 (no. 1, Corollary 2 to Proposition 1) and therefore may be assumed to have real values. The restriction of the mapping x H e-u(x) to K is an absolute value equivalent to f and hence of the formfS with s > 0 (General Topology, Chapter IX, $ 3, no. 2, Proposition 5). We conclude that
x t+ - V ( X ) / S

is an absolute value on L extendingf. Suppose now thatfis not ultrametric. Then K is identified with a subfield of C such that f ( x ) = lxls where 0 < s 6 1 ($ 6 , no. 4, Theorem 2). As C is algebraically closed, L is identified with a subfield of C and the absolute value x t+ lxls extendsf. PROPOSITION 10. Let K be ajeld,f an absolute value on K such that K is complete and not discrete with respect to f and L an algebraic extension of K. Then f can be extended uniquely to an absolute value f on L and, ifL is ofjnite degree n, then

COROLLARY 1. Let K be ajeld, v a valuation on K, L a quasi-Galois extension ofK and u and u two extensions o f u to L. Then there exists a K-automorphism s 0fL such that u is equivalent to v s.
0

Let fand f be the places of K associated with v and v; replacing them if need be by equivalent places, it may be assumed that they both take their values in the algebraic closure of the residue field of v (no. 1, Proposition 1). Then there exists a K-automorphism s of L such that f = f s (Proposition 7) ; thus U is equivalent to v o s by virtue of the correspondence between places and valuations ($ 3, no. 3).
I

fb)= (f (NL/K(X))I1ln f o r all x E L. The existence off follows from Proposition 9 and its uniqueness (over every finite sub-extension of L and therefore over the whole of L) from Lemma 2 of 3 6, no. 4. Letf be the unique extension o f f to the algebraic closure of K and
n

COROLLARY Let K be a j e l d , f a place of K (resp. v a valuation on K) and L a 2. radicial extension ofK. Then all the extensions off (resp. v ) to L are equivalent. L is a quasi-Galois extension and its only automorphism is the identity. Corollary 2 therefore follows from Proposition 7 (resp. Corollary 1). PROPOSITION 8. Let K be ajeld, v a valuation on K, L a j n i t e quasi-Galois extension ofK ofdegree n and ( u : ) 6 L 4 g a completesystem ofextensions o f v to L. Then e(vi/v) and ~ f ( v ~ / vhave values e and f independent o f i . Then e f s < n. I f t h e integral closure in L ) o the ring A o v is ajnitely generated A-module, then e f s = n. f f This follows immediately from Theorems 1 (no. 3) and 2 (no. 5).
7. THE EXTENSION OF ABSOLUTE VALUES

xi, where each xi suppose L is of finite degree n. We know that N,/,(x) = is a conjugate of x over K (Algebra, Chapter VIII, $ 12, no. 2, Proposition 4). I n view of the uniqueness off, f ( x L ) = f ( x ) for all i, whence the stated formula. PROPOSITION 11. Let K be a jield, f a non-ultrametric absolute value on K, R the completion of K with respect to f,f the continuous extension o f f to R and L a finite extension o K of degree n. f (a) Letf be an absolute value on L extending f ; let Lf, denote the completion ofL with respect tof and let R be identiJied with the closure ofK in f&; then [f& : K] < n. (b) The absolute values on L extending f arejnite in number. Ifthey are denoted by f;, . .,fs and the completion of L with respect to ff by ti, canonical mapping . the

R C&
(10)

L -+ L = l fLi is an isomorphism and

L = l

n
n

2 [L,:R]

n.

PROPOSITION 9. Let K be ajeld, L an algebraic extension o K and f an absolute value f on K. Thenf can be extended to an absolute value on L. 428

The proof is the same as that for the analogous assertions in Proposition 2 (no. 2). The references 3 7, no. 2, Theorem 1; 3 5, no. 2, Corollary to Proposition 4 429

VI

VALUATIONS

THE MODULUS FUNCTION ON A LOCALLY COMPACT FIELD

3 9.1

should be replaced by the following 3 7, no. 3, Theorem 2; Topological Vector Spaces, Chapter I, 5 2, no. 3, Corollary 1 to Theorem 2. Observe that two extensions off to L which define the same topology are equal (General Topology, Chapter IX, 3 3, no. 2, Proposition 5 ) . Finally, as f is not ? , ultrametric, K is of characteristic 0 and hence the Jacobson radical of Ii @ L is zero.

Remark (3). If k is isomorphic to R,Proposition 12 shows that all the completions 2, of L (in the notation of Proposition 11) are isomorphic to one another. Thus, with the notation of Remark 2 above, either rl = n and r, = 0, or rl = 0 and 272 = n.

9. APPLICATION: LOCALLY COMPACT FIELDS

1. THE MODULUS FUNCTION ON A LOCALLY COMPACT FIELD

Remarks (1) Proposition 11 (b) shows that every com osite extension of R and L over and that these are composite K is isomorphic to one of the completions extensions no two of which are isomorphic. (2) We know that the completions and are isomorphic to R or C (3 6, no. 4, Theorem 2). If R is isomorphic to C, so is for all i and (10) shows that the number of extensionsf,' is equal to n. If R is isomorphic to R (for example if K = Q), let rl (resp. r,) denote the number of indices i such that is isomorphic to R (resp. C); then (10) may be written:

E,

e,

e,

Let K be a locally compact field (not necessarily commutative). Recall that the function mod (or mod,) has been defined (Integration, Chapter VII, 9 1, no. 10, Definition 6) on K as follows: mod,(O) = 0 and for x # 0 in K, the number mod,(x) is the modulus of the automorphism y t+ xy of the additive group of K.

e,

PROPOSITION 1. IfK is a locally compactfield, the function mod, belongs to V(K)

1). Moreover: (i) If s > 0 is such that (mod,)s = g is an absolute value, then g defines the topology on K. (ii) If K is not discrete and mod, is an ultrametric absolute value, there exists a normed discrete valuation v on K whose ring is compact and whose residue field isjnite with q elements, so that mod, = q-v. The topology on K is defined by v.

(5 6, no.

rl + 2ra = n. (11) PROPOSITION 12. Let K be afield, f an absolute value on K, L a quasi-Galois extension o f K and f ' and f w two extensions off to L. Then there exists a K-automorphism s ofL such that f " = f ' s.
0

Iff is ultrametric, Corollary 1 to Proposition 7 (no. 6) shows that there exists a K-automorphism s of L such thatf" andf' s are equivalent absolute values; then there exists a real number a > 0 such thatf"(x) = (f'(s(x)))a for all x E L. Iff is not improper, take x E K* such that f (x) # 1, which shows that a = 1. Iff is improper, so aref' andf" (Corollary 2 to Proposition 1, no. 1) and s may be taken to be the identity automorphism. Iff is not ultrametric, there exist Q-isomorphisms u', u" of L onto subfields of C and real exponents a' > 0, u" > 0 such thatf '(x) = Iu'(x) and
0

This follows from 5 6, no. 1, Proposition 1, 5 5, no. 1, Proposition 2 and Integration, Chapter VII, 5 1, no. 10, Propositions 12 and 13. PROPOSITION 2. Let K, K' be two (not necessarily commutative) locally compactfields such that K is a topological subfield o f K' and K is not discrete. Then: (i) K' is afinite dimensional l g t (resp. right) vector space over K. (ii) I f K is contained in the centre o f K', then, for all x E K'. (1) mod,,(x) = modK(NK',K(X)).

la'

f"(X)

= lu"(x)la"

for all x E L (5 6, no. 4, Theorem 2). Taking x = 2, it is seen that a' = a". The restrictions of u' and U" to K extend by continuity to isomorphisms u1 and u2 of I onto R (resp. C). Then u2 o i' is an automorphism of the valued field R ? , (resp. C) and is therefore the identity (resp. the identity or the automorphism c : 1: -+ 4). Replacing if need be u' by c o u', it is seen that the restrictions of U ' and u" to K may be assumed to coincide. Identifying K with a subfield of C by means of this common restriction, u' and u" are K-isomorphisms of L onto subfields of C. As L is a quasi-Galois extension of K, there exists a K-automorphism s of L such that un = u' s; since a' = a", we deduce immediately that
0

As K is a complete valued field which is not discrete, assertion (i) follows from Topological Vector Spaces, Chapter I, 5 2, no. 4, Theorem 3; assertion (ii) is just Integration, Chapter VII, 5 1, no. 11, Proposition 17.
COROLLARY 1. Every locally compactfield whose centre is not discrete is ofjnite rank over its centre. The centre Z of a locally compact field K is closed in K and therefore locally Compact. COROLLARY 2. Let K' be a locally compactjeld and K a closed subjield of K' (neither necessarily commutative). I f K ' is a lgt (resp. right) vector space ofjnite dimension n over K, then
(2)

f" = f ' o s .
430

mod,.(x) = (mod,(x))'

for all x E K.
43 1

vf

VALUATIONS

STRUCTURE OF LOCALLY COMPACT FIELDS

4 9.3

I n general it is known that in a (left or right) vector space of finite dimension n over K, the homothety with ratio x E K has modulus equal to (mod,(x))n; it suffices to apply this to K'.
2. EXISTENCE OF REPRESENTATIVES

Let us write
0-2

u = j = o s-fasjpr.

PROPOSITION 3. Let K be a (not necessarily commutative) locally compactjeld which is not discrete and whose topology is d&ed by a discrete valuation v; let A be the ring and m the ideal of v and let us write Card(A/m) = q = p f ( p prime). Then, there exists a system of representatives S o f A/m in A and a uniformizer u for v such that 0 E S, S* = S n K* i a cyclic subgroup o f K* and u - Su = S. Moreover, every element o f A s
may be written uniquely in theform
i=o

Then u e (q - l ) a = - a (mod. m2) since p . 1 ~ m we conclude that u is ; also a uniformizer for v ; moreover (3) s-1mP' = whence we deduce that u - l Su = S. Finally, for all xnE A there exists a unique sequence (si) (i E N)such that si
E

OD

spi, where si E S.

for all i and x = i = O siui (mod. mn+l) for all n 2 0: it is immediate by induction on n, every element t of m n + l satisfying a relation of the form t = t'un+l m (mod. mn z ) , where t ' is a uniquely determined element of S. Then x = siui and the family (si) satisfying this relation and such that si E S for all i is determined uniquely.
+

We shall use the following lemma :

LEMMA 1. Let x , y be two permutable elements o f A such that x - y E mj (j 2 1); then xp" - yp" E mj+"f o r every integer n 2 0. By induction on n, it is reduced to proving the lemma for n = 1. Then
x p

3. STRUCTURE OF LOCALLY COMPACT FIELDS

- y'

= (x

- y)(x"-l + xp-zy + . . . + yp-1);

the second factor is a sum ofp terms congruent to one another mod. m and, as A/m is of characteristic p , p . 1 E m in A and hence
xP-1

+~

+ ~ . . + yp-1 E m ; 2 .

whence xp - yp E mf+l. We know that the multiplicative group (A/m)* is a cyclic group with q - 1 elements (Algebra, Chapter V, 3 11, no. 1, Theorem 1) ;let x be a representative in A of a generator of this group; then XQ - x E m, whence, by Lemma 1, xq"+' - xq" E ml+,", since xq and x are permutable. This proves that (tp")n20 is a Cauchy sequence in A; as A is compact and hence complete, this sequence has a limits in A which obviously satisfies s = x (mod. m) and SQ = s. As s # 0, fl-l = 1, more precisely s is aprimitive (q - 1)-th root ofunity in A. Clearly the set S consisting of 0 and the powers sj (0 < j < q - 2) is a system ofrepresentatives of the classes of A mod. m and is invariant under multiplication in A. NOWlet a be a uniformizer for v and consider the inner automorphism Y t-+ a-lya of K; it maps A to itself, m to itself and therefore, taking quotients, it defines an automorphism of the field A/m; it is known (Algebra, Chapter V, 3 11, no. 4,Proposition 5 ) that such an automorphism is of the form z Hzpr, where 0 < r < f - 1. Then a-lsja = sjp' (mod. m) for 0 < j < q - 2; as a E m and s 6 m, this implies that s-fasfp' = a (mod. m2).
I

The completions R and Qp of the field Q with respect to the non-improper absolute values on Q ( p any prime) are locally compact. On the other hand, for every power q = p f of a prime number p , the field Fq( (T))of formal power series over the finite field F, with the valuation defined in 4 3, no. 4,Example 3 is locally compact: for the maximal ideal of the valuation ring F,[[T]] is generated by T ; we know that this ring is complete with the (T)-adic topology (Chapter 111, 9 2, no. 6, Proposition 6 ) and, as the residue field F, is finite, Proposition 2 of 5 5, no. 1 proves our assertion. Conversely:

THEOREM 1. Let K be a (not necessarily commutative) locally compactjeld which is not discrete. (i) IfK is ofcharacteristic 0 and mod, is not an ultrametric absolute value then K is isomorphic to one of thefields R,C or H. (ii) If K is of characteristic 0 and mod, is an ultrametric absolute value, K is an algebra ofjnite rank over a P-adicjeld Q,. (iii) I f K is of characteristic p # 0, it is isomorphic to afield with centre ajeld o f formal power series F( (T)) (where q is a power o f p ) and ofjnite rank over its centre. ,
(i) It follows from Ostrowski's Theorem (3 6 , no. 4,Theorem 2) that K is a topological field isomorphic to an everywhere dense subfield of R,C or H and, as K is complete, it is isomorphic to R, C or H. (ii) Let A be the ring of the absolute value mod, and m its maximal ideal. We know that A/m is a finite field (3 5 , no. 1 Proposition 2) and hence the , absolute valup induced by mod, on Q has a finite residue field, which is only

432

433

VI

VALUATIONS

THE CASE OF A MONOGENOUS TRANSCENDENTAL EXTENSION

3 10.1

possible if it is equivalent to a p-adic absolute value (5 6, no. 3, Proposition 4) ; the closure of Q in K is therefore isomorphic to Q, and is contained in the centre of K since the latter is closed in K ; we conclude using Proposition 2 of no. 1. (iii) The second assertion follows from the first and the Corollary to Proposition 2 of no. 2. TO show the first assertion, note that mod, is necessarily an ultrametric absolute value (5 6, no. 2, Corollary to Proposition 3) ;in the notation of the proof of Proposition 3 of no. 2, the centre Z of K consists of the elements which commute with both s and u ; but by virtue of (3),
U-QSUQ

group containing r and E an element o f such that,for P

=

c
f

r'. There exists a unique valuation w on K(X)

=

a,Xj

(a, E

K), w(P)

inf,(v(a,)

+ jE).

By Proposition 4 of 5 3, no. 2, it suffices to show that the formula

(1)

w(7
v(a,

a,x,) = inG(v(a,) + j ~ )

defines a valuation on the ring K[X]. As

= SqP' = $3

+ 6,)

+jE 2 inf(v(a,), v(b,)) +jE

inf(v(a,) +jE, v(b,) + j E ) ,

so that u p E Z and we conclude that Z is not discrete. As Z is locally compact, we may confine our attention to the case where K is commutative. The sub-F,algebra F,[s] in K is then a finite field since sq-l = 1 and obviously ya = y for every element of this field, which is therefore identical with S and isomorphic to F, since S c F,[s] has q elements. Since the sum of two elements of S is in S, the mapping which maps each formal power series
m

it follows that
I

2
m

I
I

w(P + Q) 2 inf(w(P), w(Q)) (2) for P, Q i n K[X], equality holding if w(P) # w(Q). We show that (3)

s,T' E F,[[T]] to the

s'u' is a bijective homomorphism of the ring F,[[T]] onto the ring element A, whence immediately the conclusion. COROLLARY Every locally compactjeld which is not discrete is ofjinite rank over its 1. centre.

for P = a,Xj and Q = b,Xj. Let i (resp. k) be the least of the integersj such that v(a,) + j [ (resp. v(b,) + j E ) attains its minimum; let a (resp. p) denote this minimum. Forj,j' in N,
w(a,brXj+') = v(a,) +jE whence w (PQ) 2 a in P Q ; then c
=

w P Q ) = w(P> + w(Q)

2 ,

COROLLARY Every locally compactjeld is connected or totally disconnected; ;f it is 2. connected, it i isomorphic to R,C or H. s If the topology on a field K is defined by an ultrametric absolute value, K is totally disconnected with this topology.
Remark. Let s be an integer > 0; the subfield F,( (Ts)) L of K = F4( = (T)) is closed in K and e(K/L) = s andJ(K/L) = 1. It is therefore seen that there are closed subfields L of K which are not discrete and such that e(K/L) (and afortiori the degree [K: L]) is arbitrarily large (contrary to what happens for locally compact fields of characteristic 0, where every locally compact subfield L of such a field K necessarily contains R or Q, and therefore [K : L] is bounded).

zz

2 a p, p by (2). Consider now the term cX1 of degree i

+

+ ~ ( 6 +j'E ~ )

+k

a,+nbk-n; the choice of i and k, the element by

W(at+nbk-nXL+k) U(at+,) =

+ (i + n ) t + V(bk-,,) f

(k - n)E
=

takes its minimum value a + p once and once only with n W(CX'+~) + p, whence, by (l), =a w(PQ) = a

0; hence

+ p = w(P) + w(Q).

PROPOSITION 1. Let K be ajeld, v a valuation on K, I? its order group, I" a totally ordered group containing I' and ( an element o I" such that the relations nE E F, n E Z f imply n = 0. Then there exists a unique valuation w on K(X) with values in I" and extending v such that w(X) = E. The residuejeld o w is equal to that o v and its order f f group is the subgroup I? + Z .f I". E We show first the uniqueness of w. Let P = a,Xf be an element of K[X]. f Then w(a,Xj) = v(a,) +jE, which shows that the monomials a,Xf such that a, # 0 have distinct values for W. It follows that w(P) = inf,(v(a,) +jE), which shows both the uniqueness of w on K[X] (hence also on K(X)) and the fact that the wder group o f w is F Z .It is further seen that, if P # 0, we E

10. EXTENSIONS OF A VALUATION TO A TRANSCENDENTAL EXTENSION

1 THE CASE OF A MONOGENOUS TRANSCENDENTAL EXTENSION .

LEMMA1. Let K be ahfield,v a valuation on K, I? its order group, J' a totally ordered ?
434

435

VI

VALUATIONS

THE RATIONAL RANK OF A COMMUTATIVE GROUP

8 10.2

may write P = aXn(l u ) , where aEK*, n E N , U E K ( X )and w(u) > 0; every element R # 0 of K(X) can therefore be written in the form

which proves our assertion.

R = bX"(1

+ u'),
+

where b E K*, n E Z, u' E K(X) and w(u') > 0; then w ( R ) = v(b) nE,, hence w ( R ) = 0 if and only if v(b) = 0 and n = 0; thus, when w(R) = 0, R and b are congruent modulo the ideal of w, which shows that the residue field of w is equal to that of v. Finally the existence of w follows from Lemma 1.

Remark. I t should not be thought that the two types of extensions of v to K(X) which we have just met are the only ones; there may exist a third type of extension, where r'/r is a torsion group and k' a (not necessarily finite) algebraic extension of k. This third type is not necessarily provided by the procedure described in Lemma 1 (cf. 8 3, Exercise 1).
2. THE RATIONAL RANK OF A COMMUTATIVE GROUP

PROPOSITION 2. Let K be afield, v a valuation on K, I' its order group and k its residue fild. There exists a unique valuation w on K(X) extending v such that w(X) = 0 and the image t $X in the residuefield k' o f w is transcendental over k. The order group of w is equal to that of v and its residuejeld is k ( t ) .
To show the uniqueness of w, it will suffice for us to show that, if P is a non-zero element of K[X], then w(P)
= =

DEFINITION 1. The rational rank vector Q-space G gZQ.

of a commutative group

G is the dimension of the

2 a,Xj
f

inf,(v(a,)).

We may divide P by an element of K* and suppose that v(a,) 2 0 for all j and that one of the v(a,) is zero. As w ( X ) = 0, P then belongs to the ring of w ; writing (z, for the canonical image of a, in k , the canonical image of P in the residue field k is G j t j ; as t is transcendental over k and one of the u, is non' zero, this image is non-zero, whence

This dimension may also be defined as the least upper bound (finite or infinite) of the cardinals r such that there exist r elements of G which are linearly independent over Z (Algebra, Chapter 11, 9 7, no. 10, Proposition 26). The rational rank of G is zero if and only if G is a torsion group. For a subgroup of an additive group R",the notion of rational rank coincides with that defined in General Topology, Chapter VII, fj 1. In the rest of this paragraph, we shall denote by r(G)the rational rank of the commutative group G. If G' is a subgroup of G, then (since Q i s a flat Zmodule) we have the additive equation
(4)

r(G) = r(G') + r(G/G').

w(P)

0 = inf,(v(aj)).

PROPOSITION 3. Let G be a totally ordered Commutative group and H a subgroup G. Ifh(G) and h ( H ) denote the heights ofG and H (9 4,no. 4),then the inequality
h(G) < h(H) r(G/H) (5) holdr. I n fact, let Go c GI c . . . c G, be a strictly increasing sequence of isolated subgroups of G. It is necessary to establish the inequality
= 0. Suppose n 2 1 and let us argue by induction on n. Applying the induction hypothesis to the group G,-l and its subgroup H n G, - we obtain

We now show the existence of w. The formula w(P) = inf,(v(a,)) (for

P = ajXj) defines a valuation w on K(X), by virtue of Lemma 1, and w obviously has the same order group as v. Then w ( X ) = 0. We show that the canonical image t of X in the residue field k' of w is transcendental over k :
if

E j t j = 0, where

c ,

Ek

for all j , then, denoting by

a,

a representative

(6) It is obvious for n

< h ( H ) + r(G/H).

of Zj in the ring of v, w ( T a,XJ) > 0; whence v(aj) > 0 for all j, hence
Cj = 0 for all j . We show finally that k' = k ( t ) : every element R of

K(X) may be written R

~(aj2 )

=c

(T / (T
ajXj)

bjX'), where c, a,, b, are in K,

0 and v(bj) 2 0 for allj, one of the v(a,) and one of the v(b,) being zero; then w ( R ) 2 0 if and only if v(c) 2 0; denoting byfthe canonical homomorphism of the ring of w onto k',

n - 1 < h(H n G,-l) r(Gn-l/(H n Gn-1)). Then we distinguish two cases: (a) H n G,-l = H, in other words H c G,-l. Inequality (7) may be written

(7)

436

(8) Now G/G,,-

< h(H)

+ r(Gn-JH) + 1.
437

is a totally ordered group not reduced to 0; it is therefore not a

VI

VALUATIONS

THE CASE OF ANY TRANSCENDENTAL EXTENSION

3 10.3

torsion group and r ( G / G n - l ) 2 1. Whence by (4),r(G/H) 2 r(G,,-l/H) 1. Substituting in (8), we certainly obtain the desired inequality (6). (b) H n G,,-l # H. As H n G,,-l is an isolated subgroup of H , we conclude that h ( H ) > h(H n Gn-l) 1. On the other hand, obviously r(G/H) > r(G,,-J(H n G,,-l)). Substituting in (7), we again obtain (6).

order group and residue field of v (resp. v). We shall write:

d (K/K) = dim. al, K = transcendence degree of K over K ;

s(v/v)
=

dim. al, k = transcendence degree of k over k ;

COROLLARY.For every totally ordered commutative group G, h(G) < r(G).

We set H = (0) in Proposition 3.

r(v/v) = r(r/r) rational rank of I/I, =

if the right-hand sides are finite; otherwise, we shall make the convention that d ( K / K ) = +co (resp. s(u/v) = +a, r(v/v) = +a).

PROPOSITION G be a totally ordered commutative group. Suppose that G is 4 Let . jnitely generated and that h ( G ) = r ( G ) . Then G is isomorphic to Zr(G) ordered lexicographically.
Let us write r = r(G) = h ( G ) . If r = 0, then G = (0). If r = 1, the structure of finitely generated commutative groups shows that there is an isomorphismj of G onto Z (Algebra, Chapter VII, Fj 4,no. 6, Theorem 3). Now Z has only two total orderings compatible with its group structure, namely the usual ordering and its opposite. Hence j or -j is an isomorphism of the ordered group G onto Z with the usual ordering. Suppose how that r > 2 and let us argue by induction on r. Let H be an isolated subgroup of G of height r - 1. Then r(H) + r(G/H) = r (formula (4)), r(H) > h ( H ) = r - 1 and r(G/H) 2 h ( G / H ) = 1 (Corollary to Proposition 3), whence r(H) = r - 1 and r(G/H) = 1. The induction hypothesis shows that H is isomorphic to Z-l ordered lexicographically and the case r = 1 shows that G/H is isomorphic to Z . As Z is a free Z-module, H is a direct factor of G (Algebra, Chapter 11, Fj 1, no. 11, Proposition 21). The following lemma then shows that G is isomorphic (not canonically) to the lexicographical product H x (G/H), which completes the proof.

THEOREM 1. Let xl, . . .,x, be elements ofthe ring ofv whose canonical images 2, in k are algebraically independent over k and y l , . . .,y, elements o f K such that the canonical images Ofthe v(y,) in r/rare linearly independent over Z. Then the r + s elements x l , . . ,,x,, y,, . . .,y, of K are algebraically independent over K ; the restriction o v to f K ( x l , . . . ,x,, y l , . . ., y,) admits k(El, . . ., Es) as residuejield and

r + z v y y l ) + . . . + zU(y,)
as order group.
Our assertion is obvious if r + s = 0. We argue by induction on r s If . r < r, s < s and r + s < r + s, the induction hypothesis shows that the hypotheses of Theorem 1 hold if K is replaced by K ( x l , . . ., x,, yl,. . .,yr.) and the families ( x l , . . .,xs), ( y l , . . .,yr) by (x,, 1, . . .,xS),(y,, 1, . . .,yr). The problem is therefore reduced to one of the two following cases: (a) There is an element x in the ring v such that 2 is transcendental over k ; then it is necessary to show that x is transcendental over K and that the restriction of v to K ( x ) admits k ( x ) as residue field and r as order group. (b) There is an element y in K such that the relations nv(y) E r and n E Z imply n = 0; it is necessary to show that y is transcendental over K and that the restriction of v to K ( y ) admits k as residue field and I? Zv(y) as order group. Now Proposition 1 of Fj 8, no. 1 shows that x (resp. y ) cannot be algebraic over K . The other assertions of (a) (resp. (b))follow immediately by Proposition 2 (resp. Proposition 1) of no. 1.

LEMMA 2. Let H be an isolated subgroup Of a totally ordered commutative group G.

I f H is a directfactor of G, the ordered group G is isomorphic to the group (G/H) x H ordered lexicographically.

Let j be an isomorphism of ( G / H ) x H onto G such that j (0, x ) = x for all x E H andj(y, x ) belongs to the coset y of H. As (G/H) x H is totally ordered, it amounts to showing t h a t j is increasing (Set Theory, Chapter 111, Fj 1, no. 12, Proposition 11). Let ( y , x ) be an element > O of (G/H) x H ordered lexicographically. If y > 0, the coset of H containing j ( y , x ) is an element > 0, whencej(y, x ) > 0, for, otherwise, y < 0 (Fj 4 no. 2, Proposition 3). Ify = 0 , and x > 0, thenj(y, x ) = x 2 0. Hencej is certainly increasing.
3 THE CASE OF ANY TRANSCENDENTAL EXTENSION .

COROLLARY 1. The inequality

s(u/u) + r(v/v) < d ( K / K ) (9) holds. Further, f K is a finitely generated extension Of K and equality holds in (9), then i r/ris ajinitely generated Z-module and k is afinitely generated extension of k.

I n this no. we shall use the following notation : K is a field, K an extension of K , v a valuation on K , v an extension of v to K , Iand k (resp. I and k) the
438

Let r and s be natural numbers such that r < r(v/v) and s < s(u/v) ;we show that r + s < d ( K / K ) and this will prove (9). By hypothesis there exist elements xl, . . .,x,, y l , . . .,y, of K which satisfy the hypotheses of Theorem 1.
439

VI

VALUATIONS

They are therefore algebraically independent over K , which shows the inequality r s < d(K/K). If K is a finitely generated extension of K , d (K/K)is finite, hence s(u/u) and r(v/u) are also finite; we denote them bys and r. There exist elementsx,, . . .,x,, y l , . . .,yr of K which satisfy the hypotheses of Theorem 1. If r + s = d ( K / K ) , these elements form a transcendence basis of K over K and K is therefore a finite algebraic extension of K = K(xl, . . ., yr). Let F and k be the order group and residue field of the restriction of u to K. By Theorem 1, r/r a is finitely generated Z-module and k is a finitely generated pure extension of k. On the other hand, as K is a finite algebraic extension of K , F/r is a finite group and k is a finite algebraic extension of k (3 8, no. 1, Lemma 2). This proves the corollary.

EXERCISES

COROLLARY 2. Let h and h be the heights o f v and u. Then (10) By Proposition 3, h

3
1. Let K be a field; for every subring A of K let L(A) denote the set of local rings A, of A where p runs through the prime ideals of A (these local rings being identified with subrings of K ) . (a) For a local subring M of K to dominate a ring A, E L(A), it is necessary and sufficient that A c M; the local ring A, dominated by M is then unique and corresponds to the prime ideal p = m(M) n A. (b) Let M, N be two local subrings of K and P the subring of K generated by M u N. Show that the following conditions are equivalent: ( a ) There exists a prime ideal p of P such that m(M) = p n M,

s(u/v) + h

< d ( K / K ) + h.

< r(v/v) + h.

COROLLARY 3. Suppose that K is ajnitely generated extension of K, that r is isomorphic to Zh (ordered lexicographically) and there is equality in formula (10). Then r is isomorphic to Zh (ordered lexicographically) and k is a jnitely generated extension o k. f

If there is equality in (lo), there is equality in (9), whence the fact that k is a finitely generated extension of k and that I is a finitely generated Z-module. whence Further, comparing (9) and (lo), it is seen that h - h = r(r/r), h = r(r) and Proposition 4 (no. 2) then shows that I? is isomorphic to Zh ordered lexicographically.

m(N)

=p

(p) The ideal a generated in P by m(M) u m(N) is distinct from P.

n N.

. COROLLARY 4 Suppose that v is improper (in which case k = K ) . Then

(11) h(r) + d(k/K)

< r ( r ) + D(k/K) < d(K/K).

y,in particular, v

is of height 1, then

d ( k / K ) < d ( K / K ) - 1; (12) further, ;fK is ajnitely generated extension OfK and there is equality in (12), then u is a discrete valuation and k is ajnitely generated extension o K . f
I t is a series of special cases of Corollaries 1, 2, 3.

(y) There exists a local subring Q o f K dominating both M and N. If these conditions are satisfied, M and N are called related. (c) Let A, B be two subrings of K and C the subring of K generated by A u B. Show that the following conditions are equivalent: ( a ) For every local ring Q C K containing A and B, A, = B,, where p = m(Q) n A, q = m ( Q ) n B. (P) For every prime ideal r of C, A, = B,, where p = r n A, q = r n B. (y) If M E L(A) and N E L(B) are related, they are identical. (6) L(A) n L(B) = L(C). (Use (a) and (b)).

2. For an integral domain A to be a valuation ring, it is necessary and sufficient that every ideal of A be irreducible (Algebra, Chapter 11,3 2, Exercise 16).

3. Show that every valuation ring is coherent (Chapter I, 3 2, Exercise 12).

4 Let K be a field and 5 a set of valuation rings of K totally ordered by . inclusion. Show that the intersection of the rings belonging to 5 is a valuation nng of K .
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5. Let K be a field, A a integrally closed subdomain of K with K as a field of fractions and (&) a family of valuation rings of K whose intersection is A. Then ifL is an extension of K, the integral closure of A in L is the intersection of the valuation rings of L which dominate one of the &.

16. Let R be a ring and A a subring of R such that S = R A is non-empty and the product of two elements of S belongs to S. (a) Let a, a' be two elements of A and s, s' two elements of S such that sa E A and S'U' E A. Show that one of the two elements sa', s'a belongs to A. Deduce that the set p1 of elements a E A for which there exists s E S such that sa E A is a prime ideal of A. (b) Show that the set po of a E A such that sa E A for all s E S is a prime ideal o f R and A; it is the greatest ideal of R contained in A and po c pl. (c) The set n of elements x E R such that there exists s E S for which sx = 0 is both an ideal of R and an ideal of A and n c po. (d) The ring A is integrally closed in R. (e) If R is a field, A is a valuation ring of R, po = (0) and p1 is the maximal ideal of A. 17. Let R be a ring. An ordered pair (A, p) consisting of a subring A of R and a prime ideal p of A is called maximal in R if there exists no ordered pair (A', p') consisting of a subring A' of R and a prime ideal p' of A' such that A c A', A' # A and p' n A = p. (a) For every subring B of R and every prime ideal q of B there exists an ordered pair (A, p), maximal in R, such that A 3 B and q = p n B. (b) For an ordered pair (A, p) to be maximal in R, it is necessary and A, there exist a finite family of elements ct E p sufficient that, for all s E R (1 < i < n) such that the element b = cls + c2s2 + . . . + c,s" belongs to A p (use Chapter 11, 5 2, no. 5, Corollary 3 to Proposition 11). (c) Show that, if the ordered pair (A, p) is maximal in R, the product of two elements of R A belongs to R A. (Ifs, s' are in R A and ss' = UEA, consider the least integers n, m such that there exists ct E p (1 < i < n) for

integral domain R and, for all non-zero a' E A', there exists s' E S' = R' A' such that s'a' E S'. (e) Let (A, p) be a maximal ordered pair in the integral domain R such that, A such that sa E S. We write for all non-zero a E A, there exists s E S = R So = S u (1) and denote by R, the ring of fractions SolR; the canonical homomorphism R + R, is injective and therefore identifies R with a subring of Ro. Show that R, is a field identified with the field of fractions of R. Let (B, q) be a maximal ordered pair in Ro such that B 3 A and q n A = p. Show that B n R = A; in other words, A is the intersection of R and a valuation ring of R, and p is the intersection of A and the maximal ideal of this valuation ring. (f) Let KObe a field, A, the polynomial ring K,[X], B the ring of formal power series A,[[Y]] and R the ring of fractions By consisting of the formal power series Y-hf(Y), wherefE B and h 2 0. Let P be the prime ideal YB of formal power series without constant term, A = KO+ p, which is a subring of B. Show that A is the intersection of R and a valuation ring C of the field of fractions K of R and p the intersection of A and the maximal ideal of C; moreover, the field of fractions of A is equal to that of R and every a # 0 in A is of the form s-ls', where s, s' are in S = R A. However, the ordered pair (A, p) is not maximal in R.

18. Given a ring A, a polynomial P(X1,.. ., X,) with coefficients in A is called dominated if it is of the form Xu + cDXo, where p < a in the product
ordered set N" for all p such that cB # 0. In a ring R, a subring A is called puravaluative if, for every dominated polynomial P E AIXl, . . .,X,] (any n), P(sl,. . ., s,) # 0 for all elements s, E R A (1 < i < n). (a) Show that, if A is paravaluative in R, the product of two elements of S = R A belongs to S. (b) Let A be a subring of a ring R such that the product of two elements of s = R A belongs to S ;let po be the prime ideal of A and R consisting of the u E A such that sa E A for all s E S (Exercise 6 (b)). For A to be paravaluative in R, it is necessary and sufficient that Alp, be paravaluative in R/p,. (c) Let R be a ring and h: R -+ R' a ring homomorphism. If A' is a para-

which b =

- p and c; E p (1 < j < m) for which 6' = c;s'f E A - p; supposing for example n >/ my consider the product bb' E A - p and obtain a contradiction from the definition of the integer n.) (d) Under the hypotheses of (c), we write S = R - A; show that the ideal
cist E A

p1 of A consisting of the a E A such that there exists s E S for which sa E A is contained in p (use (b)). Afortiori the ideals po of A consisting of the a E A such that sa E A for all s E S is contained in p (Exercise 6 (b)). We write A' = Alp,, p' = p/po and R' = R/p,; the ordered pair (A', p') is then maximal in the

valuative subring of R', A = h ( A ' ) is paravaluative in R. Deduce that, if (A, p) is a maximal ordered pair in R (Exercise 7), A is paravaluative in R (use (b) and Exercise 7 (d) and (e)). (d) Let R' be a ring and R a subring of R'. If A is a paravaluative subring of R, show that there exists a paravaluative subring A' of R' such that A' n R = A. (If S = R A and So = S u { l}, consider the ring T' = S lR' , and the canonical homomorphism h: R' + T'. Let B be the subring of T' generated by h ( A ) U ( h ( S ) ) - I and b the ideal of B generated by (h(S))-l. Show

-1

442

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EXERCISES

that b # B; consider a maximal ordered pair (A', p") in T' such that B c A" and b c p" and take A' = hiA).) Conclude from this that, if R is an integral domain, the paravaluative subrings of R are the intersections of R with the valuation rings of the field of fractions of R.
f 9. (a) Let R be a ring, A a subring of R, x an element of R and S the set of xk (k 2 0) in R. Show that, for x to be integral over A, it is necessary and sufficient that x/1 E A[ 11x3 in the ring S -lR. x is not integral over A, show that If there exists a maximal ideal m of A[l/x] containing 1/x and that the inverse image of m under the canonical homomorphism A -+ A[ 1/ x ] is a maximal ideal of A. (b) Show that the integral closure A' of A in R is the intersection of the paravaluative subrings of R (Exercise 8) which contain A. (To see that A' is contained in each of these rings. use Exercise 8 (a) and Exercise 6 (d) ; to see that, if x E R is not integral over A, there exists a subring B of R whichis paravaluative in R and such that x $ B, use (a), Exercise 7 (a) and Exercise 8 (c), arguing as in Theorem 3 of no. 3.)
" I

S-lB contains subfields K,, K; respectively isomorphic to K and K' and is the ring generated by K1u K;. Show that, if q is the kernel of h, there exists a prime ideal p in B such that p c q and p n S = 0 and show that F may be taken as the field of fractions of S-lB/S-lp.)
I

3. (a) Let K be a field and f a place of K with values in an orderable field L (Algebra, Chapter VI, tj 2, Exercise 8); show that K is orderable. (Note that,
for a finite family of elements (ai) f(a,/a,) # co for all i.) of K, there is always an indexj such that

2
1. Let SZ be an extension of a field K, E and F two extensions of K contained in Q and linearly disjoint over K and L an extension of K contained in E. Letf be a place of E with values in L which reduces to the identity automorphism on K. Show that there exists a unique place of K(E u F) with values in K(L u F), extending f and reducing to the identity automorphism on F. (If A is the ring off, note thatf can be extended uniquely to a homomorphism g from F[A] to K(L U F) reducing to the identity on F and that, if rn is the ideal off, every element ZEF[A] such that g(z) = 0 can be written as xu, where X E ~ u E F[A] and g(u) # 0. Conclude by noting that K(E u F) is the field of fractions of F[A].)

If ( x , ) 1 4 i C nis a sequence of elements of K such t h a t f ( 2 x:) # co, show that f ( x , ) # co for all i. (b) Let K be an ordered field and G a subgroup of K ; show that the ring F(G) of elements of K which are not infinitely great with respect to G (loc. cit., Exercise 11) is a valuation ring of K and the ideal I(G) of elements of F(G) infinitesimally small with respect to G is the maximal ideal of this ring; hence there is on K a place with values in k(G) = F(G)/I(G),which reduces to the identity on G ; this is called the canonical place of K with respect to G. (c) Show that, if there exists no extension of G contained in K, distinct from G and comparable with G, k(G) is algebraic over G (note that, if t E K does not belong to G, the field G(t) contains an element u # 0 infinitesimally small with respect to G and that G(t) is algebraic over G(u)).
f 4. An ordered field K is called Euclidean if, for all x 2 0 in K, there exists y E K such that x = y2.

2. Let K, K' be two extensions of a field k andf andf ' places respectively of K and K' with values in the same algebraically closed field L. Suppose that the restrictions off andf to k coincide. Show that there exist a composite extension (F, i, i') of K and K' (Algeebra, Chapter VIII, tj 8) and a place g of F with values in L such thatf(x) = g ( i ( x ) ) for x E K andf'(x) = g ( i ' ( x ' ) ) for x' E K . (Let ' V, V' be the rings off andf', A their common intersection with k and h : v @A V' -+L the homomorphism such that h(a @ a') = f ( a ) f ' ( a ' )for a E V,
a' E V'. Using the fact that V and V' are flat A-modules (3 3, no. 5, Lemma I), prove that, if a # 0, a' # 0,a @ Q' = ( a @ 1) (1 @ a') is not a divisor of zero; if S is the multiplicative subset of B = V @A V' consisting of these elements,

(a) Let K be a Euclidean ordered field and G a subfield of K such that there exists no extension of G contained in K, distinct from G and comparable with G . Show that, iff is a place of K with values in an ordered field L, which is an algebraic extension of G, and reducing to the identity on G, thenf is equivalent to the canonical place of K with respect to G. (fmay be considered to take its values in a maximal ordered field N which is an algebraic extension of L. Observe that G is Euclidean and that, if x E G, y E K and x < y, then f (y) = co orf (y) > x . If A and p are the ring and ideal of the placef, show successively that p c I(G), F(G) c A, I(G) c p and A c F(G), noting that N is comparable with G.) (b) Let K be a Euclidean ordered field, f a place of K with values in a maximal ordered field L and A and p the ring and ideal off. Let G be a maximal subfield among the subfields E of K such that E n p = 0. Show that G c A and that G is algebraically closed in K and therefore Euclidean. Prove that there exists no extension of G contained in K, distinct from G and comparable with G. Moreover, the subfield of L generated byf (A) is algebraic overf(G) and f is therefore equivalent to the canonical place of K with respect to G.
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(c) Let K be a maximal ordered field, L a maximal ordered subfield of K, distinct from K and such that K is comparable with L (Algebra, Chapter VI, 5 2, Exercise 15). Show that there exists no placefof K with values in L reducing to the identity automorphism on L.

series (no. 3, Example 3), v 0f is a discrete valuation on K; show that the residue field of u of is the subfield k(xl, x2, . . .,x,, . . .) of E and is therefore infinite over k. Let I? be a totally ordered group and k a field. (a) Let A, B be two subsets of r well ordered by the induced ordering; show B is well ordered and that, for all y E A B, the set of that the set A ordered pairs (a, p) E A x B such that a + /3 = y is finite. (To prove the first assertion, argue by reductio ad absurdum by showing that otherwise it would be possible to define a strictly decreasing sequence (y,) of elements of A + B such , that yn = a,, ,@ where a, E A, P,, E B, the sequence (a,) is strictly increasing and the sequence (@,) is strictly decreasing; conclude using Set Theory, Chapter 111, 9 4, Exercise 3.) (b) Let S(r, k ) be the set of families x = (xu), r such that x, E k for all a E r and the set of a for which x, # 0 is a well ordered subset of I?. Show that S(r, k ) is an additive subgroup of kr; moreover, if x = (x,), y = (y,) are two @ for the ordered pairs (a, p) such that elements of S(F, k ) , the set C of a x, # 0 and y , # 0 is well ordered by (a) and, for all y E C, the element

I
I

fi 5.
L.

Let K be a field and f a place of K with values in a maximal ordered field

7 2.

(a) For all a E K show that there exists an extension off, either to K(&) or to K( d/--tL), which is a place with values in L. (Consider two cases according to whether there exists a E K such thatf(a2a) is neither 0 nor co orf(x2a) is equal to 0 or 00 for all x E K.) (b) Deduce from (a) that there exist an extension E of K which is a maximal ordered field and an extension off to E which is a place of E with values in L. (Reduce it to the case where K is Euclidean and use Exercise 4 (a).)

6. Let A be an integrally closed domain, K its field of fractions, p a prime ideal of A and k the field of fractions of Alp. Show that, if A, is not a valuation ring, there exists a valuation ring V of K which dominates A, and whose residue field is a transcendental extension of k (use Chapter V, 5 2, Exercise 14 (b)). 3
(a) Let L be a field and T an indeterminate; in the field of formal power series L((T)), consider the series
s = CO

7 1.

+ c1T1! + c2T2'+ . . + c,,T"! + * . *

where the c, E L are all #O. Show that s is transcendental over the subfield L(T) of L((T)). (Argue by reductio ad absurdum by supposing that there exists a relation ao(T) a,(T)s . . . + a,(T)sq = 0 where a,(T) are polynomials in L(T) such that a, # 0; construct the equation satisfied by

is defined in k ; if we write z, = 0 for a 4 C, the element z = (2,) E kr belongs to S(F, k ) ; it is denoted by xy. Show that with this law of composition and addition on the product group kr the set S(F, k ) is a &field; moreover, for all x = ( x u ) # 0 of S(r, k ) , let A be the least of the a E r show that u is a such that x, # 0; if we write v(x) = (and u(0) = +a), valuation on S (I?, k ) with k as residue field and I as value group. u is called the ' canonical ualuation on the field S(r,k). The field k is canonically identified with a subfield of S(r, k). For all a E r, let u, denote the element ( X h ) h e r such that x, = 1, xh = 0 for A # a; for all non-zero z E S ( r , k ) , there is then a unique ordered pair (t, a) E k x I' such that U ( Z ) = c( and u ( z - tu,) > a. tu, is called the dominant term of z.
zy =
a+o=y

1 x,y,

s' = s

- co - c,T1! - . . . - C,-1 T("-1)!

and show that for n sufficiently large its constant term is a polynomial of degree < n ! , whence our contradiction.) (b) Let k be a field, X , Y , Z, T four indeterminates, K = k ( X , Y , Z) and E an algebraic closure of k ( X );in E, for all n, let x,, denote an element such that x: = X. I n the field of formal power series E((T)), consider the element
s = x1T

+ x2T2! +

. . + x,,Tn! +

* * *

The elements s and T are algebraically independent over E by (a). Consider the homomorphismf: K --f E((T)) such thatf(X) = X , f ( Y ) = T,f(Z) = s. If u is the discrete valuation on E((T)) defined by the order of formal power

7 3. Let K be a field, w a valuation on K, I the value group of w and k the ' residue field of w. We form the corresponding field S(r,k ) and preserve the notation of Exercise 2. For all t E k, let t o be an element of the class t in the valuation ring of w ;for all a E r, let ut be an element of K such that w ( u 3 = a. (a) Let M be a subset of S(r, k ) containing the elements tu, for every ordered pair (t, a) E k x I suppose that there exists a bijection x e x 0 of ' ; M onto a subset Mo of K and that the following conditions are fulfilled: (1) (tu,)O = tout for every ordered pair (t, a) E k x I?; ( 2 ) if x = (x,) belongs to M and C, is the well-ordered subset of I consisting of the a such that ' belongs to M; # 0, then for every segment D of C, the element (3) i f x , y are two elements of M and tu, is the dominant term of x - y, then w(x0 - yo - tot& > w(xo -yo). If t is an element of K not belonging to ' M , show that there exists an element z $ M in S(I?, k) such that the mapping O
447

VI

VALUATIONS

EXERCISES

which coincides with x t+ xo on M and maps z' to z also satisfies the above conditions. (Note that, if w ( z ' ) = u, there exists a t o such that
w(2'

- t"E) > a ;

write z, = tu,, then show by transfinite induction that the zDof index /3 > u may be determined so that z = ( z A ) A o r solves the problem.) (b) Deduce from (a) that Card(K) < Card S(r, k ) .
4. Let A be a local integral domain, K its field of fractions, m its maximal ideal and u a valuation on K whose ring B dominates A. Suppose that, either m is a finitely generated ideal, or u is a discrete valuation; then there exists in m an element x such that u(x) = inf v ( y ) . Let A' be the subring of K generated by

I
I

(b) Let K be a field, u a valuation on K, A the ring of u and the order group of u. Let U = (au)be a square matrix of order n with elements in A and of determinant 0; show that there exists A E I? such that, for every square matrix U = (u;,) of order n with elements in A and satisfying the conditions ' u(a& - CQ,) > A for every ordered pair ( i , j ) ,the invariant factors of U' are the same as those of U. (c) Under the hypotheses of (b), generalize the following results of Algebra, Chapter IX, 3 5 , no. 1, Theorem and Exercise 1 and 3 6 , Exercise 10 (for the last, suppose that K is not of characteristic 2 and that v(2) = 0). 7. Show that the integral domain B defined in Chapter 11, 3, Exercise 2 (b) is a local ring whose maximal ideal is principal but is not a valuation ring.
8. Show that, if a valuation ring A is strongly Laskerian (Chapter IV, 2, Exercise 28), A is a field or a discrete valuation ring (use Exercise 29 of Chapter IV, 2).

A and the elements y x - , , where y runs through m; let A, be the local ring of A' relative to the prime ideal p n A', where p is the ideal of the valuation u. Show that the ring A, does not depend on the choice of the element x satisfying the above conditions (A, is called "the prime quadratic transform of A in the direction of u") ; if A is Noetherian, so is A,.
5. Let k be a field and K = k ( X , Y) the field of rational functions in two indeterminates over k. We write x1 = X, y , = Y and for n 2 1 define induc, tively the elements x, + = y and y , + = x,y; of K. ] , (a) Write A,, = k[x,, y ;the sequence (A,) is increasing and, if

vom

I
M.
I

1. (a) Let G be a totally ordered group and M a major set in G, not containing 0. Show that there exists a greatest isolated subgroup H of G not meeting
(b) Let A be a valuation ring and u a valuation associated with A. For an ideal Q # 0 ofA to be prime, it is necessary and sufficient that p correspond to a major set M in the totally ordered value group G of u such that, if H is the greatest isolated subgroup of G not meeting M, M is the complement of H + in G,. (c) With the notation of (b), for an ideal q of A to be p-primary, it is necessary and sufficient that it satisfy one of the following conditions: either H = (0) (and p is then maximal) or q = Q . (d) For an ideal a of A which is distinct from 0 and A to satisfy a2 = a, it is necessary and sufficient that a correspond to a major set M such that, if H is the greatest isolated subgroup of G not meeting M, the image M' of M in the totally ordered group G' = G / H has no least element; a is then a prime ideal.

mn = Anxn

+ Any,,
A, n m,,,;
in the ring A = A,,

m is a maximal ideal of A, and m, , m = (I! m, is a maximal ideal.

monomial X'Yj (i,j positive or negative integers) to belong to A, it is necessary and sufficient that i

(b) Let u be the valuation on K defined by v(X) = p = (1 + d 5 ) / 2 , u(y)= 1;let B and p be the ring and ideal of v ; show that m = p n A (note that p2 - p - 1 = 0 and use this fact to calculate ~(y,)). Show that for a

(- + j > 0 ; for every monomial +*d5)

z =

x'Y~,

therefore, either z E A or l / z E A. (c) Show that B = Am (write an element t E B in the form of a quotient of two polynomials in X and Y and show in each of them the monomials at which u takes the least value). (d) Show that, for all n, (An+l)m,+lis the prime quadratic transform of ()n &m in the direction of u (Exercise 4 . )
6. (a) Let A be a valuation ring. Extend to finitely generated A-modules , the results of Algebra, Chapter VII, 5 4 nos. 1 to 4 (theory of invariant factors).

2. Let G be a totally ordered group. (a) For every element a > 0 of G, let H(a) be the smallest isolated subgroup
containing a, H- (a) the greatest isolated subgroup not containing a ; show that H(a)/H-(a) is isomorphic to a subgroup of R. (b) Conversely, if H is an isolated subgroup of G such that there exists a greatest element (with respect to inclusion) H' in the set of isolated subgroups of G contained in H and #H, then H = H(a) and H' = H-(a) for all a E H + n GH'+. Such an isolated subgroup H is called principal and H' is called its predecessor.
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EXERCISES

(c) If H,, Ha are two distinct isolated subgroups of G such that H, c H2, show that there exist two isolated subgroups H, H of G such that H, c H c H c Ha and H/H is isomorphic to a non-zero subgroup of R. (d) Let Z be the set (totally ordered with respect to inclusion) of isolated subgroups of G and let 0 c C be the set of principal isolated subgroups. Show that Z is isomorphic to the completion (Set Theory, Chapter 111, $ 1, Exercise 15) of 0.

valued functions, finite or otherwise, defined on S, continuous on S and such that the setsf( - 00) and f ( CO) are nowhere dense in S (Integration, Chapter 11, 3 1, Exercise 13 (g)). Show that, for every measure p > 0 on S, there exist functionsf in %,(S) whose upper integral is infinite (note that for every nowhere dense closed subset N of S there exists a function f in C&,(S) which is equal to +oo on N; show then that attention may be restricted to the case where the measure p is normal and define f suitably as the upper bound of a sequence of functions in go@)). (b) Let G be the ordered subgroup of C&,(S)consisting of the functions in %,(S) whose values in Z or & 00. Show that G is a complete lattice and is not isomorphic (as an ordered group) to any subgroup of a product group R. (c) Let K be a field and A, = K[[X,]],. the ring of formal power series with coefficients in K in a family of indeterminates (X,) with the space S as indexing set (Algebra, Chapter IV, 3 5, Exercise 1). Let b be the set of formal power series P E A, with the following property: there exists a nowhere dense set N c S such that every monomial of P whose coefficient is #O contains an X, for which s E N. Show that b is an ideal of A, and that the ring A = A,/b is an integral domain and completely integrally closed (to prove the latter point, apply Chapter V, 5 1, no. 4, Proposition 14, arguing as in Chapter V, 3 1, Exercise 10; use also the fact that in S every meagre set is nowhere densej. (d) Let f be an element 2 0 of the group G and let N be the nowhere dense set of points where f(s) = 5 CO. Let pr be the element of A the image of the (1 X,)@); mappingf-p, the is an isomorphism of formal power series s4N the additive monoid G, onto a multiplicative submonoid of A. Deduce that A cannot be the intersection of a family of valuation rings of height 1 of its field of fractions (show that this would imply that G is isomorphic to a subgroup of a product RI). (Cf. Exercises 8 and 9.)
-1 -1

3. (a) Let 0 be a totally ordered set and for each s E 0 let As be a subgroup of R not reduced to 0. Let

U@l(As)spe) = G
be the subgroup of the product A, consisting of the functionsf whose support is a well-ordered subset of @. We define on G an ordering compatible with its group structure taking the set G, of elements 2 0 to be the set consisting of the function 0 and the functionsf # 0 such that f (8) > 0 for the least element 8 of the support off. Show that G is a totally ordered group and that 0 is canonically isomorphic to the set of principal isolated subgroups of G ordered by the relation 3 ; moreover, if H ( u ) corresponds to s E 0 under this isomorphism, H(u)/H-(a) is isomorphic to A,. (b) Consider the subgroup G of the totally ordered group Q x Q (with the lexicographical ordering) generated by the elements (p; l, np; ), where (p,) is the strictly increasing sequence of prime numbers. Show that the only isolated subgroup H of G distinct from 0 and G is the group (0) x Z; but G is not isomorphic to a subgroup of the product H x (G/H) ordered by the lexicographical ordering.

4. Let A be a valuation ring which is not a field. (a) Show that for A to be a discrete valuation ring, it is necessary and sufficient that every prime ideal of A be principal, (b) Show that, if A is the ring of a valuation of height one, the field of fractions of A is a finitely generated A-algebra.

* 5. Let K be a field and 22l the set of subrings of K which are not fields. Show
isI that a maximal element of % a valuation ring of height 1 of its field of fractions L and that K is an algebraic extension of L. The following conditions are equivalent : (a) is not empty. (p) 22l admits a maximal element. (y) There exists a valuation of height 1 on K (8) K is not an algebraic extension of a finite prime field (cf. $ 8, no. 1). *

7 6. (a) Let S be a hyperstoniun compact space with no isolated point (Integration, Chapter V, $5, Exercise 14). Let ip,(S) be the vector space of real450

7 7. A local integral domain A is said to be of dimension 1 if A is not a field and there is no prime ideal of A distinct from (0) and the maximal ideal m of A. For every ideal a of A, let A: a denote the sub-A-module of the field of fractions of A which is the transporter of a in A (which always contains A). In the following A is assumed to be of dimension 1. (a) Show that, if A is strongly Laskerian (Chapter IV, 3 2, Exercise 28), then A: m # A. (In the opposite case, note that A: m = A for every integer r > 0; on the other hand, every ideal # 0 of A contained in m is m-primary and SO in particular is every principal ideal Ax c m (where x # 0) ; note finally that mh # mk for h # k (Chapter IV, 5 2, Exercise 29 (d)).) (b) Show that for a strongly Laskerian local integral domain A of dimension 1 the following properties are equivalent : (a) A is completely integrally closed. (p) The maximal ideal m is principal.
451

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(y) Every m-primary ideal is of the form mk. (6) The ideal m is invertible (Chapter 11, 5, no. 6 ) , which is equivalent to m.(A: m) = A. ( E ) A is a discrete valuation ring. (To show that (a)implies (a), use (a) and observe that if m. (A: m)k = m for all k > 0, A is not completely integrally closed (cf. Chapter VII, 1, Exercise 4). T o see that (6) implies (y), note that for every ideal a # 0 contained in m we may write a = ma,, where a, # 0 and use Chapter IV, 2, Exercise 29 (d). Finally, to see that (y) implies (p), observe that m # m2 and that (y) implies that m/m2 is a 1-dimensional vector (A/m)-space.) (c) Show, in the notation of Chapter 111, 3 3, Exercise 15 (b), that the local ring A, is a Noetherian integral domain of dimension 1 but is not integrally closed. (d) Let K be an algebraically closed field and A the subring of the field K(X, Y) of rational functions in two indeterminates over K consisting of the elementsf K(X, Y) such that 0 is substitutable for X infandf(0, Y) belongs to K. Show that A is a strongly Laskerian integrally closed local integral domain ofdimension 1 but that it is not completely integrally closed. (IfB is the polynomial ring K[X, Y], p the prime ideal BX of B, note that A is the subring of B equal to K d pB,.) (*)

weakly associated with A/Ax (Chapter IV, 4 1, Exercise 17) are all of height 1, that is to say that for all i, pi contains no prime ideal other than itself and 0 (cf. Chapter VII, fj 1, no. 6). Show that under these conditions A is an intersection of valuation rings of height 1. (Show first that A is the intersection of all the rings A,, where p runs the set of prime ideals of height 1, using Exercise 17 (i) of Chapter IV, 3 1. Then prove that these local rings A, are completely integrally closed, using condition (LA,) of Chapter IV, $ 2 , Exercise 23. Finally apply Exercise 8.) The above hypotheses are in particular satisfied when A is a Laskerian completely integrally closed domain in which every ideal admits a single primary decomposition (Chapter IV, 4 2, Exercise 26).

7 8. Let A be a local integral domain of dimension 1 (Exercise 7) and K its field of fractions. Show that for A to be the intersection of valuation rings (of K) of height 1, it is necessary and sufficient that A be completely integrally closed. Prove successively that: (a) A subring of K containing A and the inverse of an element # O of the maximal ideal m of A is equal to K (use the fact that every ideal of A distinct from 0 and A is m-primary). (b) If B 2 A is a subring of K distinct from K, there exists a valuation ring V of height 1 such that B c V (use (a)). A; show that t m c m is impossible arguing as in Exercise (c) Let z E K 7 (b). Deduce that there exists a valuation ring V of height 1 such that A c V and z # V. (If zm c A, use (a) ; otherwise, there is an zc E m such that XY=ZEK-A;

7 10. Let A be a ring in which the set of principal ideals is totally ordered by inclusion. (a) Show that A is a local ring, in which the nilradical % is a prime ideal. Show that, either a2= 3,or 3 is nilpotent; the ring A13 is a valuation ring. (b) If 9is the totally ordered set of principal ideals of A, show that the set of ideals of A is totally ordered by inclusion and is isomorphic to the completion of the set 9 (Set Theory, Chapter 111, 1, Exercise 15). (c) Suppose that 212 = 0; then % may be considered as a module over the valuation ring V = A/%; let K be the field of fractions of V and r the order group of a valuation v on K corresponding to V; show that there exists in I two major sets M c M such that % is a V-module isomorphic to a(M)/a(M) (notation of 3, no. 4). (d) Conversely, given a valuation ring V with field of fractions K and order group l? and two major sets M C M in l?, let Q = a(M)/a(M) and define on the product additive group A = V x Q a multiplication by setting
(2,t ) ( z , t )

= (zz, zt

+ zt);

observe that z $ A[z-l] and uae (b) to show the existence of V.)

7 9. Let A be a Laskerian completely integrally closed domain (Chapter IV, 3 2, Exercise 23). Suppose further, that, for all x # 0 in A, the prime ideals p,
(*) There exist examples of local integral domains of dimension 1 which are completely integrally closed but are not valuation rings (cf. P. RIBENBOIM, Sur une note de Nagata relative B un probltme de Krull, Math. Zeitsch., v. LXIV (1956),

show that in A the set of principal ideals is totally ordered by inclusion; the set % of ordered pairs (0, t ) where t E Q is the nilradical of A, m2 = 0 and A/% is isomorphic to V. (e) For every prime number p , the ring A = Z/fi2Z is such that the set of principal ideals of A is totally ordered by inclusion and the nilradical % of A is such that Cn2 = 0; but show that the ring A is not isomorphic to the ring constructed (starting with V = A/% and Q = 3)by the method in (d) (note that A contains no subring isomorphic to Z / p Z ) . (f) Show that for every prime number p, the algebra A of the group Up (Algebra, Chapter VII, 3 2, Exercise 3) with respect to the prime field F is a , ring in which the principal ideals form a set which is totally ordered by in&sion and the nilradical % satisfies 3 = %, but A is not isomorphic to the quotient of a valuation ring by an ideal.
11. Let K be a field with a valuation v of height 1. (a) Let P(X) = aOXn a,X- *. a, be a polynomial in K[X] of

pp. 159-168).

+. +

452

453

vl

VALUATIONS

EXERCISES

degree n > 1 and such that a, # 0; show that there exists a strictly increasing of sequence ( i k ) O s k Q r integers in the interval [0, n] such that: (1) i, = 0, i, = n; (2) v ( a i k ) is finite for 0 < k < r ; (3) for every indexjsuch that 0 < j < n distinct from the ik, such that u(aj) is finite, the point

( j ,44) E R2
lies above the line passing through the points (ik,u(aik)) and ( i k + l , ( u i k + J ) v and strictly above that line i f j < i o r j > &+I. The union of the segments , joining the points ( i k , v ( a i k ) ) and ( i k + l , v ( a i k + l ) ) is called the Newton polygon of p, the above segments are called the sides and the points (ik, v ( a i k ) ) the vertices of the polygon. (b) Suppose that all the zeros of P belong to K. Show that for the valuations of all the zeros of P to be the same, it is necessary and sufficient that r = 1 (in other words, that the Newton polygon reduce to a single side). (To show that the condition is sufficient, consider the Newton polygon of a product PIP2 where all the zeros of PI are invertible in the ring of v, whilst all those of P, belong to the ideal of v.) (c) Suppose that all the zeros of P belong to K; form the Newton polygon of P and write.
Pk = i k + l

7 2. Let K be a (commutative) ficld and , a non-discrete Hausdorff topology F on K compatible with the ring structure on K. For the topology F to be defined by a valuation on K or an absolute value on K, it is necessary and j sufficient that F be locally retrobounded (General Topology, Chapter 111, t 6, Exercise 22. If there exist in K topologically nilpotent elements, use Exercise 22 (d) of General Topology, Chapter I I I , 6 and Exercise 13 of General Topology, Chapter IX, 3 3. In the opposite case, use Exercise 22 (f) of General Topology, Chapter 111, 9 6).

- ik,

Ok

(u(aik+i)

- U(aik))/Pk*

Show that, for 0 < k < r - 1, P admits exactly pk zeros (counted with their orders of multiplicity) whose valuations are all equal to ck (use (b) and argue by induction on r ) . (d) Generalize to the case of any valuation v (embed the order group r of v in the vector Q-space which has a natural totally ordered group structure). 95

7 3. Let A be a Noetherian integral domain, K its field of fractions, 37" the F the topology Fu(A)and , K corresponding topology on K (Exercise 1). (a) If A is a Zariski ring with Jacobson radical r # 0 and A is complete with the r-adic topology, show that A is complete with the topology F u (General Topology, Chapter 111, 3 3, no. 5, Corollary 2 to Proposition 9). (b) Suppose that FK not discrete and is defined by a valuation u on K. is Show that u is a discrete valuation and that A is an open subring of the ring V of v ; obtain the converse. (Using the hypothesis, which implies A # K, and Proposition 1 of fj4, no. 1, we may assume that A c V. Using the fact that A show is open under FK, that V is a finitely generated A-module and conclude using 3 3, no. 5, Proposition 9. For the converse, observe that A is a local ring of which the maximal ideal m and (0) are the only prime ideals and in which every ideal a # 0 is therefore m-primary) . The integral closure of A is then V. Give an example where A # V (take V to be a ring of formal power series k[p]], k is a field). where (c) Deduce an example of a non-discrete complete topological field whose topology is not locally retrobounded (use (b) and Exercise 2).
4. Let v be a valuation on a field K, A the ring of u and m its maximal ideal. (a) For the topology defined by v on A to be identical with the m-adic topology, it is necessary and sufficient that A be a field or a discrete valuation ring. (b) For the topology defined by v to make A into a strictly linearly compact ring (Chapter 111, 3 2, Exercise 21), it is necessary and sufficient that A be a field or a discrete valuation ring (use (a) and Chapter 111, 3 2, Exercise 22 (a)1

T[ 1. Let A be an integral domain, K its field of fractions and Fa linear topology on A (Chapter 111, 3 2, Exercise 21). (a) For the neighbourhoods of 0 under F to constitute a fundamental compatible with the ring system of neighbourhoods of 0 for some topology FK structure on K, it is necessary and sufficient that F be the topology Fu(A) (Chapter 111,s2, Exercise 24) ;then A is a bounded subset with respect to F K and FK a locally bounded Hausdorff topology (General Topology, Chapter 111, is Q 6, Exercises 12 and 20 (e)). For K to be complete (resp. linearly compact. resp. strictly linearly compact (Chapter 111, Q 2, Exercise 21)) with . K is T it , necessary and sufficient that A be so with K (b) For the topology FK (where F = .Tu(A)) to be compatible with the field structure on K, it is necessary and sufficient that the Jacobson radical %(A)of A be #O.
454

5. (a) Let K be a field, v a valuation on K and r the order group of u. For K to be linearly compact (Chapter 111, 9 2, Exercise 15) with the topology Tv, is necessary and sufficient that, for every well-ordered subset B of r and it every family ( a J p E Bof elements of K such that, for A < p < V,
v(aA

- 'w) < v(aw

there exists an element U E Ksuch that v ( a - ah) = .(aA - a,) for every ordered pair of indices A, p such that p > A. (Use Exercise 4 of Set Theory,
455

v l

VALUATIONS

EXERCISES

Chapter 111,$ 2). If this is so, the ring A of the valuation v is also linearly compact with the discrete topology. (b) Show that the field S(r, k) = K defined in 5 3, Exercise 2 is linearly compact with Yu. Take to be the totally ordered group Q of rational numof bers and consider the subring KO K consisting of the x = (x,) such that the set of a E Qfor which x, # 0 is finite or is the set of points of a strictly increasing is sequence tending to + CO. Show that K O a field which is complete with respect to the valuation vo induced by the canonical valuation v on K and that uo has the same value group and residue field as v but that KO not linearly compact is (cf. 3 10, Exercise 2). (a) Let A be a valuation ring, M an A-module and M a submodule of M. Show that for M to be a pure submodule of M (Chapter I, $ 2, Exercise 24), it is necessary and sufficient that, for all a E A, M n (aM) = aM. (b) Let M be a pure submodule of M such that, if M is given the topology for which the EM (where a E A, a # 0) form a fundamental system of neighbourhoods of 0, M is linearly compact. Show that for every element x E M there exists y E M such that x = x y has the following property: for all a E A such that x + M E a(M/M), x E aM. (For each of the a E A such that x M E a(M/M), consider the subset S, of M consisting of the yh such that

1 6.

with Fu: A and p denote the ring and ideal of v and U = A let p the set of invertible elements of A. Let u be an isomorphism of K onto a subfield of K. (a) Show that u ( p ) c A and u(U) c U. (To prove the first point, observe that for all t E p the equation x = 1 + z admits a solution in A for all n > 0 prime to the characteristic of the residue field of v, using Hensels Lemma; if u(u(z)) < 0, deduce that the integer v ( u ( L ) ) would be divisible by every integer n > 0 prime to the characteristic of the residue field of v. Then deduce the second assertion from the first.) (b) Deduce from (a) that, either u(K*) c U, or u is continuous (consider the image under u of a uniformizer of v). (c) Give an example of an algebraically closed field C2 such that, taking K = Q ( ( X ) ) ,K is isomorphic to a subfield of K contained in U u (0) (cf. Algebra, Chapter V, $ 5, Exercise 13).

+ + yk E aM.)

1 (a) Let K be a field, v a valuation on K of height 1 and A its ring. Let H 8. be a compact subset of K (with the topology YJ and a # 0 a point of K. Show that there exists a polynomialfE K[X] without constant term and such that f ( ~= l , f ( H ) c A. (Prove that f may be taken to be a polynomial of the ) form 1 - ( 1 - a - l X ) ( I - c;X)(l).. . (1 - c lX)n(r) ;
where the ct are suitably chosen elements of H such that u ( c J < v(u) and the n(i) are sufficiently large integers > 0.) (b) Let X be a totally disconnected compact space; let the ring V ( X ;K) of continuous mappings from X to K be given the uniform convergence topology. Let B be a subring of V ( X ;K) containing the constants and separating the points of X ; show that B is dense in V ( X ;K) (Use (a) and General Topology, Chapter X, 3 4, Exercise 21 (b).)

(c) Suppose that A is a linearly compact valuation ring; let K be the field of fractions of A. Show that, if M is a torsion-free A-module such that M,,, admits a countable basis, M is the direct sum of a countable family of Amodules of rank 1. (Consider M as the union of an increasing sequence (Mi) of pure submodules such that MI is of rank i and for each i apply (b) to MI and its submodule Mi (d) With the same hypotheses on A and M as in (c), let N be a pure submodule of M of finite rank. Show that N is a direct factor of M (observe that every A-module which is the direct sum of a finite number of A-modules of rank 1 is linearly compact and use (b)). (e) With the same hypotheses on M and M as in (b), show that for all x E M there exists y E M such that the annihilator of x = x + y is equal to the annihilator of the element x + M E M/M. (Let a be the annihilator of x M; for all a E a, let T, be the subset of M consisting of they such that a(x y) = 0; show that the intersection of the T, is non-empty.) (f) Suppose that A is a valuation ring such that for every ideal a # 0 the A-module A/a is linearly compact (with the discrete topology). Show that every finitely generated torsion A-module M is the direct sum of a finite is a system of generators of number of monogenous A-modules. (If ( t i ) M, argue by induction on n, considering one of the t iwhose annihilator is the least and noting that the submodule of M which it generates is pure.)

f 7. Let K be a field and v a discrete valuation on K such that K is complete

456

7 9. Let A be a discrete valuation ring, x a uniformizer of A and K the field of fractions of A; suppose that A is complete with the x-adic topology. The injective A-modules (Algebra, Chapter 11, $ 2 , Exercise 11) are identical with the divisible A-modules (Algebra, Chapter VII, 5 2, Exercise 3) and are direct sums of A-modules isomorphic either to K or to K/A (Algebra, Chapter VII, $ 2 , Exercise 3). Moreover, every monogenous A-module is isomorphic to a submodule of K/A. The A-module Hom,(M, K/A) is called the (algebraic) toric dual of an A-module M and denoted by M*; the canonical mapping cY: M -+ M** is injective (Algebra, Chapter 11, $ 2, Exercise 13 (b)). For every submodule N of M the submodule No of M* consisting of the u such that u ( x ) = 0 is called the orthogonal of N in M* ; the dual of M/N is canonically identified with No and the dual of N with M*/No. The toric dual of a direct limit lim M a is canonically isomorphic to the inverse limit lim M,*. f(a)T$e know that the A-modules of rank one (Algebra, Chapter VII, 9 4,
457

VI

VALUATIONS

EXERCISES

Exercise 22) are isomorphic to a module of one of the form A, K, K/A or AlxhA. Show that the algebraic toric duals of K and A/xhA are respectively isomorphic to K and AlxhA, that the toric dual of A is isomorphic to K/A and that that of K/A is isomorphic to A (use the knowledge about the sub-Amodules of K and the fact that A is complete (with respect to the dual of K/A)). Deduce that, for every A-module M of finite rank, M* is a module of the same rank and that the canonical homomorphism cM is bijective. (b) Let M be an A-module and N a submodule of M of finite rank. Show that the orthogonal of No in M** is identified (by cM) with N (use (a)). (c) Show that an A-module M which is Noetherian (resp. Artinian) is of finite rank (embed M in its injective envelope (Algebra, Chapter 11, 5 2, Exercise 18)); then M* is Artinian (resp. Noetherian). (d) Let o(M*, M) denote the topology (on M*) of pointwise convergence on M (K/A being given the discrete topology). Show that, if N is a submodule of My a(No, M/N) is induced on No by o(M*, M) and that o(M*/No,N) is the quotient by No of the topology o(M*, M). (For the second point, note that, if P is a submodule of M such that N c P, the dual of P/N is identified with No/Po). If M = lim Ma, the topology o(M*, M) is the inverse limit of the ---f topologies o(M,*, Ma). (e) The topologies o(K, K) and a(A, K/A) are the x-adic topologies; the topologies u(A/xhA,A/xhA) and o(K/A, A) are the discrete topologies. Deduce that for every A-module M, the module M* with o(M*, M) is linearly compact (Chapter 111, 3 2, Exercise 15; consider M as a quotient module of a free A-module). (f) Let M, N be two A-modules; for every homomorphism u : M -+ N, from N* to M* such that let tu denote the homomorphism Hom(u, lK,A)
(u (4 (4 =

(u (XI

1
-1

from M to K/A (the latter being given the discrete topology). If the topology on M is linear (Chapter 11, 3 2, Exercise 14) and N is a closed submodule of M, show that the topological toric dual of M/N is identified with No n M and that of N with M/(No n M) (to determine the dual of N, note that, for every continuous homomorphism u from N to K/A, there exists an open submodule U of M such that u ( x ) = 0 in N n U, then use Exercise 9). (d) For a topological A-module M of finite rank, the topological toric dual M is equal to the algebraic toric dual M* (reduce it the case of modules of rank one). (e) Let M be a Hausdorff topological A-module whose topology is linear; show that for all x # 0 in M, there exists u E M such that u ( x ) # 0 (note that there exists an open submodule U of M such that x 6 U) ;in other words, the canonical mapping M --f (M)* is injective. Dedum that, if N is a closed submodule of M, No n M is dense in No with the topology o(M*, M) (use (d)), and consequently N = M n (NO n M)O in M**. Show that M is dense in (M)* with the topology o((M)*, M). (f) Let M be a linearly compact topological A-module; show that the canonical injection M -+ (M)* is a bijection and that the topology on M (identified with (M)*) is equal to o(M, M). (Observe that, if U is an open submodule of MyM/U is Artinian by (a) and therefore Uo is Noetherian (Exercise 9 (c)) and deduce the identities of the topologies considered on M ; complete with the aid of (e).) (g) Let M, N be two topological A-modules whose topologies are linear; for every continuous homomorphism u : M -+ N, %(N) c M and tu is also used (by an abuse ofnotation) to denote the linear mapping from N to M with the same graph as k. If M and N are Hausdorff, show that the restriction to M of (u) coincides with u (M and N being respectively considered as canonically embedded in (M)* and (N) ; moreover, for every submodule Q o f N,
( ~ ( Q ) ) o n M = t u ( ~ 0 ) (use (el). (h) Let M be a linearly compact A-module; deduce from (g) and Exercise 9 (f) that for M to be torsion-free, it is necessary and sufficient that M be divisible and that for M to be divisible, it is necessary and sufficient that M be torsion-free.

for all x E M and all w E N*; show that t~ is continuous for the topologies o(N*, N) and o(M*, M). If u is the endomorphism x H xx of M, t~ is the endomorphism w H xw of M*. For every submodule P of M, (u(P))O = tu (PO).

fi 10. The hypotheses and notation are the same as in Exercise 9.

(a) If M is a discrete topological A-module, show that M is a torsion module. If further M is linearly compact, show that M is Artinian (if N is the kernel of the endomorphism x H xx, observe that N is linearly compact and discrete and can be considered as a vector (A/xA)-space; then use Exercise 20 (d) of Chapter 11, 2). (b) Deduce from (a) that every linearly compact topological A-module is strictly linearly compact (Chapter 11, 5 2, Exercise 19). (c) The topological to& dual of a topological A-module M is the submodule M of the algebraic toric dual M* consisting of the continuous homomorphisms

6 T[ 1. Every element z of thep-adic field Q, (p a prime number) may be written

Uniquely as ph Ckpk,where h E z, co # 0,0 < ck < p for all k 2 0 (>-adic expansion of 2). (a) Show that, in order that z E Q, it is necessary and sufficient that there
459

z0

458

VI

VALUATIONS

I
m. (Observe

EXERCISES

exist two integers m 2 0, n 2 1 such that c k + , = ck for all k that, if z = a/b E Qwhere b is not divisible by#, then
U

show that, for all i, a, = A,a. Conversely, if b is an ideal # 0 of A and 6, = A,b, then b = 6, (use Theorem 1 of no. 2).

- b k=O c k f k

c
n

U,+lp"+'

where a,+, is an integer and the sequence lakl (ordinary absolute value) is bounded.) (b) Suppose that the increasing sequence (k,,) of integers k such that ck # 0 is such that lim. sup(k,+Jk,) = +CO. Show that z is transcendental over Q.
n- m

(For x E Q ,let 1x1 and 1x1, respectively denote the usual absolute value and a p-adic absolute value. Suppose that P E Z[X] an irreducible polynomial such is
00

that P(z) = 0; if z, = p" z o C k p k , show that IP(zn)/(t - z,)lp tends to a limit # 0 as n tends to co,using Taylor's formula; then obtain a contradiction from the hypothesis considering the usual absolute values lP(zn)I.)

* 1. Let K be a field and A = K[[X, Y, the ring of formal power series Z]] ' in three indeterminates over K ; let v (resp. u") be the valuation on A with = values in the group Z x Z ordered lexicographically, such that v'(X) (1,0), v'(Y) (0, l ) , v' is improper in K[[Z]] (resp. v"(X) (1, 0),U" is improper = = = in K[[Y]], v"(Z) (0, 1)). Let G be the automorphism ofA leaving invariant K and X and such that c(Y) = Z, ~ ( 2= Y ; B is the subring of A consisting ) if of the elements invariant under G and E (resp. F) the field of fractions of A (resp. B), the valuations v' and v" (extended canonically to E) have the same restriction v to F, F is complete with the topology defined by v and E is a quadratic extension of F; the two valuations v', vw on E are dependent but not equivalent.

2. Let D be a non-commutative field of characteristic #2 and Z its centre. Suppose that every commutative subfield K of D containing Z is of degree < 2 over Z. (a) Show without using Lemma 1 that [D: Z] = 4. (Let a E D Z be such that u2 E Z and let ~ ( x = uxa-l for all x E D ; note that D decomposes as a direct ) sum of two vector subspaces over Z, D + and D - such that G ( X ) = x on D +, a(#) = - x on D - ;note also that D + is a subfield of D and D - is a l-dimensional vector space over D + ; finally, show that D + cannot be distinct from

I
i
~

2. Let KObe the field obtained by adjoining to the 2-adic field Qzthe roots of all the polynomials X2" - 2 ; let v be the unique valuation on KOextending the 2-adic valuation and let K be the completion of KOwith respect to V. Show that the polynomial X2 - 3 is irreducible in K[X] ; let K' be the field of roots of this polynomial and let v' be the extension of v to K'; then
n = [K': K] = 2,

I
1

e(v'/v) =f(u'/v) 1. =

W).) (b) Show that D is a quaternion algebra over Z. (Form a basis of D over z with the aid of (a).)
7
1. Let ( + J I E I be a family of places of a field K taking their values in a finite number of fields; suppose further that for some x E K, the set of C + ~ ( X )is finite. Show that there exists a polynomialf(X) of the form (1) of no. 1 such that f ( x ) # 0 and that the element z = f ( x ) - l enjoys the following properties: (i) +,(x) = co implies C+~(XZ) = 0 and +&(z) 0; (ii) &(x) # 00 implies = + , ( x t ) # co and &(z) # 0. (Same proof as for Lemma 1).

3. Let k be the field of rational functions Fp(X,JnEN an infinity of indein terminates over the prime field F, and let K = k(U, V) be the field of rational functions in two indeterminates over k.
W

i
I

2. With the hypotheses and notation of Proposition 1 of no. 1, let q be a prime ideal of B; show that B, is a valuation ring.

(a) Show that the element P(U) = n = O XKUnp of the field of formal power series k((U)) is not algebraic over the field k(U) of rational functions. The mapping F(U, V) H F(U, P(U)) of k[U, V] to k((U)) can be extended to an isomorphism of K onto a subfield of k ( (U)); the restriction to this subfield of the valuation on k( (U)) equal to the order of the formal power series ($3, no. 3, Example 3 ) is a discrete valuation v on K, whose residue field is k. (b) Let K' be the algebraic extension K(V1'P) of K so that [K': K] = @; if 0' is the unique valuation on K' extending u, show that e(v'/v) =f(v'/v) 1. = The ring of the valuation v is therefore not a finitely generated module over the ' ring of the valuation v.

3. Let A, (1 and let A =

< i < n) be painvise independent valuation rings of a field K

4. For all i, let a, be an ideal
# O of A, and write a =

(a,; l

4 Let k be a field, K = k ( X , Y) the field of rational functions in two inde. terminates over k and v the valuation on K with values in the group Z x Z ordered lexicographically, such that v(X) (0, l ) , v(Y)= (1,O). Let K' be = ' the field K(<X) ;show that v has a single extension v to K and that e(v'/v) = 2
461

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f(v'/v) = 1, but the ring of the valuation u' is not a finitely generated module over the ring of the valuation u.

5. Let K be a field, A a valuation ring of K and L a finite algebraic extension of K. Let A 2 A be another valuation ring of K; let A: (1 < i 6 m) be the valuation rings of L such that A; n K = A' and let ki be their respective residue fields. Let k be the residue field of A' and A" the valuation ring of K the canonical image of A; finally let A;j (1 < j < ni) be the valuation rings of k; such that A, n k = A" and A,, the inverse images in A; of the A;, : (1 Q i < m, 1 < j < ni). (a) Show that the Aij are valuation rings of L which are distinct and such that bjn K = A and every valuation ring B of L such that B n K = A is equal to one of the Aij. (b) Show that
e(Aij/A) = e(A;/A')e(AY,/A") and J(Aij/A)
=

f( A W " ) .

Let K be a field, v a valuation on K and A the ring of v. (a) Suppose that A is Henselian (Chapter I I I , 4, Exercise 3) in which case we also say, by an abuse of language, that K is Henrelianf o r u. Then, for every algebraic extension L of K and every valuation v' on L extending v, the ring A' of v' is Henselian (Chapter 111, 3 4, Exercise 4). (b) If K is complete with u and v is of height 1, A is Henselian. Give an example where K is complete with u and v is of height 2, but A is not Henselian (cf. Exercise 1). (c) If K is linearly compact with v, show that K is Henselian. (In the notation condition (H) of Chapter 111, 5 4, Exercise 3, let 9denote the set of prime +), ideals ofA (totally) ordered by inclusion and 2 the set of ordered pairs (8, where B is a well ordered subset (with respect to the relation 2 ) of 9and +: p H (Q,, Q a mapping from 8 to the set A[X] x A[X], with the following ! , ) ! , properties: (1) Q, and Q are monic of respective degrees deg(Q) and deg(Q) ; (2) if p 2 q are two elements of 8,the coefficients of the polynomials Q, - Q, and QP Q belong to p; (3) the coefficientsof P - Q,Qpbelong ) to p; (4) f ( Q , ) = 8, f ( Q p= Q'. Define on 9 an ordering by setting (B,4) Q (8', when 8 c 8' and +' is an extension of to 8'.Prove that +') 9admits a maximal element (go, and that H0has a last element equal to b0) (0) : obtain a contradiction from the opposite by considering two cases, according to whether or not go a last element; in the former case, if p is this last has element, consider an element c E A such that u(c) is the least value taken by v on the set of coefficientsof P - QPQ!, and the least prime ideal p' of A containing c; if P = P, use Exercise 2 (a) of 3 4 and the fact that a quotient of a linearly ' compact module by a closed submodule is linearly compact and hence complete. If on the contrary go no last element, use directly the hypothesis that has A is linearly compact.)

7 6.

(d) In the notation of Exercise 5, show that for A to be Henselian, it is necessary and sufficient that A' and A be so. (Note that, if P E A[X], there exists a E A such that anP(X/a)E A[X] (where n is the degree of P) ; to verify axiom (H) of Chapter 111, fj 4, Exercise 3 for A', attention may be confined to ' the polynomials of A[X] ;use the fact that A = A,, where p is a prime ideal of A contained in the maximal ideal m, and note that, if two polynomials in (A/p) [XI are strongly relatively prime, so are their images in (A/m)[XI .) (e) Suppose that A is Henselian; then, for every algebraic extension L of K, there exists (up to equivalence) only one valuation on L extending v. (If P E A[X] is a monic irreducible polynomial, xi (1 < i < m) the distinct roots of P in its splitting field N, show that, for every valuation vr on N extending U, the v'(xi) are all equal for 1 < i < m.) Conversely, if the valuation ring A has this property, it is Henselian (observe that, in the integral closure A' of A in L, there can only exist one maximal ideal lying above m (Chapter V, 5 1, Exercise 13) and conclude that, if P E A[X] is a monic irreducible polynomial its image in (A/m)[XI cannot be a product of two relatively prime polynomials).

7. Let K be a field, v a valuation on K, A the ring of u and m the ideal of v. Suppose that A is Henselian; let L be a finite extension of K of degree n ; let V' be the unique valuation on L extending v (Exercise 6 (e)), A' its ring and m' its ideal. Let x be any element of A'; show that the degree over A/m of the class 3 of x in A'/m' is a divisor of n and that the order of the class of v'(x) in Fv,/rv is a divisor of n (consider the minimal polynomial of x over K).
T[ 8. Let K' be a field, B the ring of a valuation v on K', 9 a finite group of automorphisms of K', K the subfield of K' consisting of the elements invariant under 9 and A = K n B, which is a valuation ring of K, corresponding to the valuation w = vlK. (a) The valuations on K' which extend w are the v o o,where o E 9 (no. 6, ' Corollary 1 to Proposition 6) and the integral closure A of A in K' is the intersection of the o.B, where o runs through 9. If p(B) is the intersection of A' and the maximal ideal m(B), then o.p(B) = p(0.B). Show that the decomposition group gZ(p(B))(Chapter V, 3 2, no. 2) is the subgroup of 9 consisting ofthe o such that o.B = B; write Bz = gZ(p(B))and denote by Kz the subfield of K' consisting of the elements invariant under gZand by Bz the ring of the valuation induced on KZ by v, which is equal to B n KZ; recall that the residue fields of BZ and A are the same and that the maximal ideal m(BZ) is generated by m(A)BZ (Chapter V, 3 2, no. 2, Proposition 4). (b) Let vz denote the restriction of v to KZand r and rZthe order groups of w and vz. Show that I' = FZ. (Let gD 3 Yz be the subgroup of 9 consisting of the m E Y such that o.B is dependent on B (3 7, no. 2). Argue by induction on gD)> 1, let K" be the field of invariants of BD and the order of 9. If ( 9 : A" = K" n B; show that the order group of vlK" is equal to r : for this, use the Approximation Theorem (3 7, no. 2, Theorem 1) in order to prove that, for all
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x E K", there exists y E K" such that u(y) = V(X) and u(y,) = 0 for the conjugates y, of y with respect to K, distinctfrom y; then 9 may be replaced by YD and the induction hypothesis may be applied. If gD 9, let B, be the valua= tion ring of K' generated by the a.B, where Q E 9 : let K' = K(B,) be its residue field, x : B, -+ K'the canonical homomorphism, = x(B) a valuation ring of K' and V the corresponding valuation on l such that u = V 0 x in B,, ? ' so that the order group of 6 is a subgroup of the order group A of v; if A, = A/& and ~ 3 A -+ A, is the canonical homomorphism, u, = v o u is a : valuation on K' corresponding to B, and invariant under 9. By taking quotients, 9 defines a group of automorphisms of K'; Jf be the kernel of the let canonical homomorphism 9 -+ 3; show that Jy' c gZand deduce that, if Jf # {e}, 3 may be replaced by 91.N and the induction hypothesis may be N applied. Suppose finally that . = {e}; let A, = K n B, and w o be the restriction of u, to K ; show that the order group of w, is A, and that x(A,) = is the field of invariants of @ (cf. no. 1, Lemma 2) ; if z i is the restriction to of ~ and P its order group, A, is canonically isomorphic to r/P.On the other hand, the group gz(p(B)) is the canonical image of W(p(B)) in 3; observe that # 3 and that the induction hypothesis may therefore be applied to prove that is equal to the order group of the restriction of V to KZ.) (c) Let gT= ST(p(B)) be the inertia group of p(B) (Chapter V, 5 2, no. 2) and let KT denote the subfield of K' consisting of the invariants of gTand BT the ring of the valuation induced on KTby u, which is equal to B n KT; recall that, if k and k' are the residue fields of A and B, the residue field kT of BTis the greatest separable extension of k contained in the quasi-Galois extension k' of k and that $P/59Tis canonically isomorphic to the group of k-automorphisms of k (or kT) (Chapter V, 5 2, Theorem 2 and Proposition 5). Let uT be the res' triction of u to KT; show that the order group of uT is also equal to I (apply 7 Lemma 2 of no. 1 to the extension KT of Kz).

rational functions Q2(X) consider the discrete valuation u extending w and such that u(ao + a,X + . f . + anXn) = inf(w(a,))
f

(8 10, no. 1, Lemma 1) ;let K be the completion of Q2(X)with respect to this valuation and let its valuation also be denoted by u. Let L be the splitting field of the polynomial (Y2 - X)2 - 2 in K[Y] and let u' be the unique valuation on L extending u. Show that [L: K] = 8, e(v'/v) = 4,f(v'/v) = 2; if k (resp. k') is the residue field of u (resp. u'), k' is a radicial extension of k of degree 2; show that there exists no sub-extension E of L such that [E : K] = 2 for which the residue field of the restriction of u' to E is equal to k'. (Of necessity E = K(&), where cc E K would not be a square in K but such that cc = X (mod. 2) ; express &with the aid of a suitable basis of L over K(&) and observe that there exists in K(&) no element whose square is congruent to X mod. 2.)
T[ 11. Let K be a field, L a finite Galois extension of K and 9 its Galois group. Let u be a valuation on L with residue field k and order group r; suppose that u is invariant under 9 and that the restriction vlK has the same residue field k as u, so that 9 = gz = gT(notation of Exercise 8). (a) Let x E L*, Q E 9. Show that x-'o(x) is a unit for u, that its image E.,(x) in k* depends only on the valuation U(X) and the class of Q modulo the commutator group 9' of 9 and that there is thus defined a Z-bilinear mapping x v(K*). (also denoted by c) (9/9')x l? -+ k*, which is equal to 1 on (9/9') (b) For all Q E 9, let + a be the homomorphism r/v(K*) -+ k* mapping () c.,(x) to U ( X ) for all x E L*; thus there is defined a homomorphism
+: 9 -+ Hom,(r/v(K*), k*).

sD

rz

9. Let K be a field, L a finite algebraic extension of K, u' a valuation on L, A' its ring, u the restriction ofv' to K and A = A' A K its ring. (a) Suppose that A is Henselian (Exercise 6 ) ; show that the product e(v'/u)f(v'/u) divides n = [L: K] and that the quotient n/e(v'/v)f(v'/v) is a power of the characteristic exponent of the residue field k of v. (Reduce it to the case where L is a Galois extension of K ; use Exercises 6 (e) and 7 and Chapter V, 5 2, Theorem 2 and Proposition 5.) (b) Suppose further that n is not divisible by the characteristic exponent of the residue field k of u and that f (u'/u) = 1. Show that, for every integer m equal to the order of an element y of the group I'u,/l?u there exists x E L such that the class of u ' ( x ) mod. PVis equal to y and xm E K.

Show that, if$ is the characteristic exponent of k, the kernel N of has order a power of p. (In the contrary case, there would exist a cs # e in N and a prime number q # p such that 09 = e; for some integer x in L K, write G ( X ) = x + y, where u(y) > u ( x ) , and calculate &(x) to obtain a contradiction.) Deduce that 9 is a solvable group. (c) Suppose that n = [L: K] is prime to p ; show that is bijective, that e(L/K) = n and that, if v is the lcm of the orders of the elements of 9, k* contains the v-th roots of unity. (Use (b) and Lemma 2 of no. 1.)

7 12. Let K be a field, u a valuation on K, A the ring of the valuation u and r its order group. (a) Letf(X) = a,X" ulXn-l + . . . + a, be a polynomial in A[X] such that u(uo) = 0, all ofwhose roots belong to K ; let xi (1 < i < r ) be these distinct roots and let k, be the order of multiplicity of xi (1 < i < r ) . Let

7 10.
464

Let w be the 2-adic valuation on the 2-adic field Q 2 ; on the field of

g(X) = box"

+ b,X"-' +. . . + bn = bo(X -

~1).

. . (X - yn)
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another polynomial in A[X] such that u(b,) = 0 and the y h belong to K. Show that there exists A, E l? such that v(xt - x j ) < A, for every ordered pair of distinct indices i , j and, for all A 2 A,, there exists p 2 A such that the relations v(a, - 6,) 3 p for all i imply that, for 1 < i < r, there are exactly k, indices h such that v(xi - y,) 2 A. (First evaluate U(f(Yh)) in two ways to , ) show that necessarily u(x, - y 2 A for a t least one i ; then evaluate

a t suitable points z E K.) If further b, = a, except for i = n - 1, show that, so long as h, is sufficiently large, the y are all distinct (evaluate f'(Yh)lf(Yh) , assuming that y is not a simple root of 9). , (b) Suppose henceforth that K is the algebraic closure of a subfield K Osuch that A, = A n K O is Henselian. Suppose that the polynomial f belongs to A,[X] and is irreducible and separable over KO.Let z E K be such that
u(z

E Hxt has no cluster point with respect to Zl, the mapping 2 I-+ x t is bounded on a subset of U.) (b) Letf be a non-constant polynomial in K[X]. Show that, if 4 Hf (x,) converges to 0 in K with respect to U, 5 ~--f converges in R (decomposef xt .~ " into factors in an algebraic extension of K and use (a)). (c) Suppose that K is algebraically closed in R.Then the mapping x ~ f ( x ) of K to itself is closed (use (b)). Deduce that, if g is a rational function in K(X) and B is a bounded closed subset of K, then g(B P) (where Pis the set of poles of g in B) is closed in K. (d) Suppose that the algebraic closure of K is a radicial extension of K. Then show that R is algebraically closed. (Apply (b) to an algebraic closure -~ of R and a polynomialSE R[X] ; use also Exercise 12 (a).)

- v,) > v(2 - x,)

for a l l j # i; then show that K,(x,) c K,(z). (Show that z - xi is equal to all its conjugates with respect to K,(xJ.)

(c) Suppose thatfE Ao[X] is separable and letf = uo be the decom1=1 position off into monic irreducible polynomials in K,[X] (which belong in fact to &[XI, cf. Chapter V, tj 1, no. 3, Proposition 11). Show (in the notation of (a)) that, if p is taken sufficiently large, the decomposition of g into monic
irreducible factors in K,[X] can be written as b, g,, where, for all i, g, is of i=1 the same degree asA (a decomposition said to be "of the same type" as that of f)and further the splitting fields ofA and g, are the same for all i. (Show first that g is separable; consider then a finite Galois extension of K Ocontaining the roots off and g and consider the way in which the Galois group of this extension permutes these roots; finally use (b).) (d) Give a n example wherefis irreducible but not separable and where, for all p A,, there exists a polynomial g(X) = b o x "

n A

n
r

fi 14. (a) For a field K to be Henselian with a valuation v, it is necessary and sufficientthat K be the greatest separable algebraic extension of K contained in R and that I be Henselian. (To see that the condition is necessary, use Exercise ? 12 (b) ; to show that it is sufficient, observe that, to verify condition (H) of Chapter 111,tj 4, Exercise 3, we may confine our attention to the case where Pis separable over K, noting that, if Q i s an irreducible factor of P in R[X] such that Qpe belongs to K[X], then Q i s a g.6.d. of P and Qpe R[X] .) Consider the in case where v is of height 1 (cf. Exercise 6 (b)). (b) Deduce from (a) that there exists in the p-adic field Q, a countable subfield which is Henselian with the p-adic valuation. (c) Give an example of a field K which is Henselian with a discrete valuation which is not complete and such that R is a finite radicial extension of K (cf. Chapter V, tj 1, Exercise 20).
T[ 15. (a) Let K be a field, vl, v2 two independent valuations (3 7, no. 2) on K and K1, K, the completions of K with respect to v1 and v, respectively. Let L,, L, be two fields such that K c L, c K1, K c L, c K,, which are Henselian (with the extensions by continuity of u1 and v, respectively). Let g, E Ll[X], g, E L2[X] be two separable polynomials with the same degree n. Show that there exists a polynomial h E K[X] which, in L,[X], has the same type of decomposition (Exercise 12 (c)) as g, (i = 1,2). (Reduce it to the case where g1 and g, are in K[X] and are monic; consider the polynomial
angl(X/4

+ blXn-' +. . . + b, E Ao[X]

+ b"g,(X/a) - X",

where v(ai - b,) 2 p for all i, which is not irreducible (take KOsuch that K # KOand K is a radicial extension of KO).

fi 13. (a) Let K be a field and u a non-improper valuation on K. Let E be a set filtered by an ultrafilter U and 4 ~--f 4 Hy two mappings of E to K with xt, , the topology Yv. Show that, if the mapping 5 Hxty, converges to 0 in K with (Observe that, if respect to U, so does one of the mappings Hx,, E HY,.
466

where vl(a) < 0, v,(a) > 0 is arbitrarily large and vl(b) > 0 is arbitrarily large.) (b) Deduce from (a) that, if K is Henselian with vl, the algebraic closure of L, is radicial over L, and K2 is algebraically closed (take g, to be irreducible and g, E K[X] to be the product of n distinct factors of prime degree). (c) Deduce from (b) that, if K is Henselian with v1 and v,, the algebraic closure of K is radicial over K.

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(d) Show that, if K is Henselian with a discrete valuation u, the algebraic closure of K cannot be radicial over K and therefore K cannot be Henselian with any valuation independent of u (use Algebra, Chapter V, 3 11, Exercise 12). 16. Let K be a Henselian field with a valuation u of height 1. If L is an inznite separable algebraic extension of K, show that L cannot be complete with the valuation extending u (and also denoted by v). (Form a sequence (x,) of elements of L such that the degree np of x p with respect to K tends to co and v(xpfl - x,) is strictly greater than the valuations of the differences between x, and its conjugates with respect to K; show that the sequence (x,) is a Cauchy sequence which cannot converge in E, using Exercise 12 (b).)

be the associated bilinear form. Show that 2v(@(x, y)) 2 u(Q(x)) deduce that

+ v(Q(y));

~ ( Q ( x+ Y)) 2 i n f ( ~ ( Q ( ~ ) )(,Q ( Y ) ) ) ~

7 17. Let K be a Henselian field with a valuation u which is not algebraically closed, and L a subfield of K such that [K: L] is finite. Show that under these conditions L is Henselian with the restriction of u. (In the contrary case, there would exist two extensions u l , u2 of vlL to an algebraic closure R of K such that the restriction of u1 and u2 to a finite algebraic extension L of L would not be equivalent. Deduce that there would exist on a suitable finite quasi-Galois extension K of L containing K, two valuations v;, vh which are not equivalent and for which K would be Henselian; using Exercise 15 (c), show that, if E = LP-m (p being the characteristic exponent of R), E # R but Q would be a finite extension of E ; complete the argument with the aid ofalgebra, Chapter VI, 3 2, Exercise 3 1.) 7 18. Let K be a Henselian field with a valuation u, k the residue field of u and suppose that every finite algebraic extension of k is cyclic over k (which is for example the case when k is finite). Let A be the ring of u andf E A[X] a monic polynomial such that, iff (X) = (X - a l ) . . .( X - a,,), where the ai belong
to an algebraic closure of K, the element D = (ai - a,)z of A (discriminant off) issuch that v(D) = 0. LetA (1 < j < s) be the irreducible factors of the canonical image fof f in k[X] and let r, be the degree of&. Show that the Galois over K of the splitting field ofJ considered as a group of permutations of the a, is generated by a permutation c which decomposes into cycles of respective lengths rl, r,, . . . ,r, (observe that there exists only a single extension of k of given degree, up to a k-isomorphism). Deduce that, for D to be a square in A, it is necessary and sufficient that n - s be even (Stickelbergers Theorem; examine under what condition D is invariant under 0). 19. Let K be a Henselian field with a valuation u. Let E be a finite-dimensional vector space over K and Q a non-degenerate quadratic form on E such that the relation Q ( x ) = 0 implies x = 0. Let
@(x,Y) = Q(x

7 20. Let K be a field of characteristic f 2 which is Henselian with a valuation v ; let 5 H be an involutive automorphism of K such that u(<) = u ( t ) and let @ be a non-degenerate Hermitian form on a finite-dimensional vector space E over K. (a) Let U = (aU)be the matrix of @ with respect to a basis (e,) of E ; show that there exists an element A of the order group of u such that, if @ is another Hermitian form on E whose matrix U = ( a t ) with respect to (e,) satisfies the conditions u(ai, - a;,) > A for every ordered pair ( i , j ) , then @ and @ are equivalent. (Argue as in Algebra, Chapter IX, 3 6, Exercise 6, using Exercise 14 (a) above.) (b) Suppose that 5 -2 is the identity (hence 0 is a symmetric form) and that the valuation u is discrete, normed and such that v(2) = 0; let x be a uniformizer for u. Show that 0 is characterized, up to equivalence, by its index v and by two symmetric bilinear forms Yl, Y, o index 0 on vector spaces k and f P respectively, where k is the residue field of u and r + s = n - 2. (With the aid ofa Witt decomposition, reduce it to the case where @ is of index 0; with the aid of Exercise 19, show that, for all i 2 0, the set M, of x E E such that u ( @ ( x , x ) ) > i is a module over the ring A of the valuation u. Show that, if x E M,, y E then u ( @ ( x , y)) 2 i + 1 and, by taking quotients, symmetric bilinear forms can therefore be derived from @ on the vector k-spaces M,/M, and MJM,. Use Exercise 6 (c) of 0 3 and the fact that the equation E2 = c( has a solution in A for a = 1 (mod. x ) . ) Consider the case where k is finite (cf. Algebra, Chapter IX, 3 6, Exercise 4).
2 1. Let K be a field, u a discrete valuation on K, A the ring of u, x a uniformizer of u and k the residue field of u. (a) Let P, R be two polynomials in A[X], P being monic, and suppose that: (1) deg(R) < h.deg(P), where h 2 1 is an integer; (2) the canonical image P o f P in k[X] is irreducible. Show then that, if the polynomial Q = Ph xR is reducible in R[X], necessarily h > 1 and P divides the canonical image of R in k[X]. Deduce that, for a given monic irreducible polynomial r (X) E k[X] and a given integer h 2 1, there exists a separable irreducible polynomial QEA[X] such that its canonical image Q is equal to rh. (b) Let k = k(a) be a n algebraic extension of k of degree m and h an integer 2 1. Show that there exists an algebraic extension L of K of degree hm such that there is only a single valuation u (up to equivalence) on L extending u, that e(u/u) = h, f ( u / v ) = m and that the residue field of u is isomorphic to k (use (a)).

+ Y) - Q(x) - Q(Y)

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VALUATIONS

EXERCISES

22. (a) If there exists a discrete valuation on a field K, show that the algebraic closure of K is infinite over K. (b) Let K be a finitely generated extension of a field KO. Show that, if K is not algebraic over KO, there exists a discrete valuation u on K such that ~ ( x = 0 on KO. )
39 1. (a) Let K be a field (not necessarily commutative) and F a locally compact topology on K compatible with the ring structure on K ; show that 9is compatible with thejeld structure on K. (Use the Theorem of R. Ellis (General Topology, Chapter X, 3 3, Exercise 25) or argue directly reproducing the proofs of Integration, Chapter VII, 3 1, no. 10 and those of Proposition 1 of this paragraph.) (b) Give an example of a locally compact topology on a commutative field K, which is compatible with the additive group structure on K, but not with its ring structure. (Take K to be the field of fractions of a compact integral domain A (A being for example a ring of formal power series k [ [ X ,Y]], where k is finite) and take as fundamental system of neighbourhoods of 0 in K the neighbourhoods of 0 in A.)

(use Exercise 14 of Integration, Chapter VII, 3 2 and Commutative Algebra, Chapter 111, 3 4, no. 6, Corollary 1 to Theorem 2 to show that, if m is the maximal ideal of A, the image under x t+ x" of 1 mk is 1 n .mkfor k sufficiently large).

4. (a) Let K be a commutative field and u a valuation on K such that K is Henselian with u (3 8, Exercise 6). Suppose further that K and the residue field k of u are of characteristic 0. Show that there exists a subfield KOof the ring is A of u such that the canonical mapping A -+ k, restricted to KO, an isomorphism of KOonto k. (Let H be a subfield of A such that the image of H under the canonical mapping is an isomorphism onto a subfield E of k ; show that, if E # k, there exists Q H in A such that the subfield H(a) of K is contained in A and is canonically isomorphic to E@), where ii is the class of a in k; distinguish two cases according to whether E is algebraic or transcendental over E.) (b) Suppose further that u is a discrete valuation and that K is complete with respect to v ; deduce from (a) that K is isomorphic to the field of formal power series k( (T))

7 2. (a) I n a space R" ( n >/ 2), let U be a non-empty open set with non-empty complement; show that the frontier of U contains a non-empty perfect set (cf. General Topology, Chapter I, 3 9, Exercise 17). (b) Deduce from (a) that, if A is an everywhere dense subset of R" which meets every perfect set in R", A is convex. (c) Show that there exists in C an everywhere dense subfield K which is connected and locally connected and is a pure transcendental extension of Q (apply General Topology, Chapter IX, 3 5, Exercise 18 (b) and (c), constructing K by transfinite induction, using (b) and the method described in Set Theory, Chapter III, 6, Exercise 24). Deduce that there exists a subfield K' 2 K of C which is (algebraically) isomorphic to R, connected and locally connected. (d) Show, using (c), that there exists on C the topology of a connected and locally connected space, which is compatible with the field structure and for which the completion of C is an algebra over C which is the direct composition of two fields isomorphic to C.
3. Let K be a totally disconnected non-discrete locally compact commutative field; let A be the ring of the absolute value mod, on K and let U be the group of units of A. For every integer n > 0, let ,,U denote the group of n-th roots of unity in K and Un the subgroup of U consisting of the n-th powers of the elements of U. Show that, if n is prime to the characteristic of K, U" is an open subgroup of U and that Card(U/U") = mOdK(n).Card(,U)
470

5. (a) Suppose that K is a commutative field, u a valuation of height 1 on K such that K is complete with respect to u and A the ring of v ; suppose further that the residue field k of u is perfect and of characteristic p > 0. For every element 5 E k* and every integer n, let x, be an element of the class Ep-" in A; show that the sequence (x:") is a Cauchy sequence in A whose limit is independent of the choice of the x, in the classes EP-". If this limit is denoted by +({), show that 4 is the unique isomorphism u of the multiplicative group k* to the multiplicative group K* such that, for all E E k*, u(E) is an element ofA belonging to the class E. (b) If K is also of characteristic p, show that 4, extended to k by +(O) = 0, is an isomorphism of the field k onto a subfield of K. Deduce a new proof of Theorem 1 (iii) of no. 3. (c) Suppose that k isjnite. Show that, if r is prime top, the group (K*)' of r-th powers of elements of K* is of finite index in K* (use Hensel's Lemma). Show that, if further u is discrete and K of characteristic 0, the same result is valid without restriction on Y (observe that every element of 1 paA is a P-th power).

3 10
1. Let K be a field and P the prime subfield of K; the absolute dimension of K is the number dim. al, K if P is of characteristic @ > 0 and the number 1 if P is of characteristic 0. Let v be a valuation on K, hits height, dim. alp K Y its rational rank and k its residue field.

47 1

VI

VALUATIONS

EXERCISES

(a) Suppose that the absolute dimension n of K is finite. Then, if s is the absolute dimension k, r s < n. (b) Suppose further that K is a finitely generated extension of P. Then, if r + s = n, k is a finitely generated extension of its prime field and the order group of u is isomorphic to ZT;if h s = n, k is a finitely generated extension of its prime field and the order group of u is isomorphic to Z* ordered lexicographically; finally, if s = n - 1, v is a discrete valuation and k is a finitely generated extension of its prime field.

(2) O r Dn(P) = m ; then there is a valuation u on K(X) extending u such that D E B v(P(X)) = u(P(a,)) for p large enough and K(X), with u, is an
immediate extension of K (use the criterion in (a)). (e) Deduce from (c) and (d) that for K to be linearly compact, it is necessary and sufficient that K have no immediate extension other than itself.

7 2. Let K be a field, u a valuation on K, L an extension of K and u a valuation on L extending v ; L is called an immediate extension (with respect to u) if e(u/u) = f ( u / u ) = 1. The completion R of K is an immediate extension of K. (a) For L to be an immediate extension of K, it is necessary and sufficient K, there existy E K such that v(x - y) > u ( x ) . that, for all x E L (b) For every field K, show that there exists a maximal immediate extension L of K, that is, not admitting an immediate extension distinct from itself (use 3 3, Exercise 3 (b)). (c) Show that, if K is linearly compact with the topology defined by v, it admits no immediate extension other than itself (use (a), noting that, in the notation of (a), the set of v(x - y) for y E K has no greatest element in the value group of v). (d) Suppose that K is not linearly compact; let B be a well-ordered subset of the order group of v and a family of elements of K such that, for

A<p<v,
V(%

< v(aw

- uv),

but that there exists no X E K such that v ( x - ah) = V ( U ~- a,) for every ordered pair (A, p) such that h < p. For every extension E of K and every extension w of u to E, let D,(A) denote the set of z E E such that u(z - ah) 2 yh, where y h is the common value of the .(aA - a,) for A < p; the hypothesis is therefore that DflB = 0 (5 5, Exercise 5 (a)). Let a be an algebraic DK(P) closure of K and let uo be an extension of v to d ; show that, if P is a polynomial for in K[X], for there to exist A E B such that v(P(a,)) = u(P(aA)) all h < p, it is necessary and sufficient that no zero of P in Q belong to Df-B Dn(P). If P has this property and E and w have the same meaning as above, show that, for all ZE D,(P), w(p(z) - p(aw))> w ( ~ ( z ) = u ( ~ ( a , ) ) so long as p is large ) DEB enough (decomposeP(X) into factors in Q[X]). Deduce that one of the following situations holds :

(1) Either Dn(P) # 0 and, if 0 is an element of this intersection whose degree over K is the least possible, K(0) is an immediate extension of K distinct from K. 472

473

CHAPTER VII

Divisors

All the rings considered in this chapter are assumed to be commutative and to possess a unit element. All the ring homomorphimzs are assumed to map unit element to unit element. Every subring of a ring A is assumed to contain the unit element o f A.

1. KRULL DOMAINS
1. DMSORIAL IDEALS OF AN INTEGRAL DOMAIN

DEFINITION 1. Let A be an integral domain and K itsjield of fractions. Every sub-Amodule a ofK such that there exists an element d # 0 in Afor which da c A is called a fractional ideal o A (or of K, by an abuse o f language). f
Every finitely generated sub-A-module a of K is a fractional ideal: for if (aJl is a system of generators of a, we may write a, = 6,/d,, where 6, E A, di E A and d, # 0 ;if d = d, . . .d,,, clearly da c A. In particular the monogenous sub-A-modules of K are fractional ideals (recall that they have been called fractional principal ideals in Algebra, Chapter VI, 9 1, no. 5). If A is Noetherian, every fractional ideal is afinitely generated A-module. Every sub-A-module of a fractional ideal of A is a fractional ideal. Every ideal of A is a fractional ideal; to avoid confusion, these will also be called the integral ideals of A. We denote by I(A) the set of non-zero fractional ideals of A. Given two elements a, b of I(A), we shall write a < b (or b > a) for the relation every fractional principal ideal containing a also contains 6; clearly this relation is a #reordering on I(A). Let R denote the associated equivalence relation a < b and 6 < a (Set Theory, Chapter I I I , 1, no. 2) and D(A) the quotient set I(A)/R; we shall say that the elements of D(A) are the divisors of A and, for every fractional ideal a E I(A), we shall denote by div a (or div, a) the canonical f image of a in D(A) and we shall say that div a is the divisor o a; if a = A x is a
475

VII

DIVISORS

DMSORIAL IDEALS OF AN INTEGRAL DOMAIN

9 1.1

fractional principal ideal, we write div(x) instead of div(Ax) and div(x) is called the divisor of x ; the elements of D(A) of the form div(x) are called principal divisors. By taking the quotient, the preordering < on I (A) defines on D(A) an ordering which we shall denote by < For all a E I(A) there exists by hypothesis somed # 0 in Asuch that a c Ad-1; the intersection 5 of the fractional principal ideals containing a is therefore an element of I(A). Clearly the relation a < b is equivalent to the relation 5 2 6; the relation a 2 b therefore implies a < 6. For two elements a, b of I(A) to be equivalent modulo R, it is necessary and sufficient that 't = 6.

Finally, as a(A: a) c A, a c A: (A: a). Replacing a by A: a in this formula, it is seen that A: a c A: (A: (A: a)) ; on the other hand, the relation a c A: (A: a) implies A: a 3 A: (A: (A: a)). ThereforeA: a = A:(A: (A: a)) anditfollowsfrom (b) thatdiva = div(A: (A:a)) As A: (A: a) is divisorial by (a), certainly 6 = A : (A: a), which proves (c).

DEFINITION 2. Every element a ofI(A) such that a = 't is called a divisorial fractional ideal of A. I n other words a divisorial ideal is just a non-zero intersection of a non-empty family of fractional principal ideals. Every non-zero intersection of divisorial ideals is a divisorial ideal. If a is divisorial, so is ax for all x E K*, the mapping b H bx being a bijection of the set of fractional principal ideals onto itself, For all a E I(A), 6 is the least divisorial ideal containing a and is equivalent to a modulo R. Moreover, if b is a divisorial ideal equivalent to a modulo R, then c i = 6 = b. Hence 5 is the unique divisorial ideal b such that div a = div b (in other words, the restriction of the mapping a H div a to the set of divisorial ideals is injective). Let a and b be two fractional ideals of K. Recall (Chapter I, 3 2, no. 10) that b : a denotes the set of x E K such that xa c 6 ; this is obviously an A-module; if b E I(A) and a E I(A), then 6 : a E I(A) ; for if d is a non-zero element of A such that db c A and da c A and a is a non-zero element of A n a, then da(b: a) c A; on the other hand, if b # 0 belongs to 6, then bda c 6, hence bd E 6 : a and 6 : a # 0. The definition of b : a can also be written: b:a =
XSR,X#O

Remark. In the course of the above proof it has been proved that A: a = A: (A: (A: a)) for every ideal a E I(A), which is a special case of Set Theory, Chapter 111, 3 1, no. 5, Proposition 2.

PROPOSITION 2. (i) In D(A) every non-empty set bounded above admits a least upper bound. Moreprecisely, $(a,) is a non-emptyfamily ofelements of I(A) which is bounded above, then
sup(div a,) = d i v ( v 5,). L (ii) In D(A) every non-empty set bounded below admits a greatest lower bound. i f More precisely, f (a,) is a non-empty family o elements of I(A) which is bounded below, then inf(div a,) = div(T a,). (iii) The set D(A) i a lattice. s Let (a,) be a non-empty family of elements of I(A) which is bounded above. To say that a divisorial ideal b bounds this family above amounts to saying that it is contained in all the a,, that is that b is contained in 6,. Hence (;I 6 , # (0)
6 , is therefore a divisorial ideal, which shows (i). and Now let ( 6 , ) be a non-empty family of elements of I(A) which is bounded below. To say that a divisorial ideal b bounds this family below means that it contains all the ZL, that is (since b is divisorial) that it contains all the a,, or also

bx-1.

PROPOSITION 1. (a) If b is a divisorial ideal and a E I(A), 6 : a is divisorial. (b) Let a, b be in I(A). In order that div a = div 6, it is necessary and sujicient that A: a = A: 6. (c) For all a E I(A), 6 = A: (A: a). Assertion (a) follows immediately from equation (1) since, if b is divisorial, so is bx-l for all x # 0. To show (b), let P(a) denote the set of fractional principal ideals containing a; the relation Ax E P(a) is equivalent to x - l a c A and hence to x - l E A: a. As the relation div a = div b is by definition equivalent to P(a) = P(b), it is also equivalent to A: a = A: 6.
476

a,. This proves (ii). that b 2 Finally, to prove (iii) it is sufficient by (i) and (ii) to prove that, if a, b are in I(A), the set {a, b} is bounded both above and below in I(A); now it is bounded above by a n b (which is distinct from (0)). It is bounded below by a 6, for a b E I(A) : if d and d' are non-zero elements of A such that da c A and d'b c A, then dd'(a + 6 ) c A.

+ y are in K*, then div(x + y ) 2 inf(div(x), div(y)). A(x + y) c Ax + Ay and hence div(x + y ) 2 div(Ax + A y ) .
COROLLARY.

I f x , y and x

47 7

vn

DIVISORS

THE MONOID STRUCTURE ON

D(A)

8 1.2

2. THE MONOID STRUCTURE ON D(A)

PROPOSITION 3. Let a, a, 6, 6 be elements o I(A). The relations f b > b imply ab > ab.

> a

and

If div b = div a div(x) for some x E K*, then div b = div(xa) and, as b and xa are divisorial, b = xa, which proves the proposition. Let a be an invertible fractional ideal (Chapter 11, 5 5 , no. 6); then a = A: (A: a) (loc. cit., Proposition 10) and hence a is divisorial (no. 1, Proposition 1). The group J(A) of invertible fractional ideals is therefore identified with a subgroup of the monoid D(A) and the canonical image of J(A) in D(A)/S with the group of classes ofprojective A-modules ofrank 1 (Chapter 11,s 5 , no. 7, Corollary 2 to Proposition 12 and Remark 1).

We may restrict our attention to the case where b = 6. Then let Ax be a fractional principal ideal containing ab; for every non-zero element y of 6, & 3 ay and hence Axy-l 3 a, whence A x y - l 2 a and Ax 2 ay. Varying y , it is seen that Ax 2 ab, whence ab > ab.

It follows from Proposition 3 that multiplication on I(A) defines, by passing to the quotient, a law of composition on D(A) which is obviously associative and commutative. I t is written additively so that we may write:
(2)
div(ab) = div a

THEOREM 1. Let A be an integral domain. For the monoid D(A) of divisors ofA to be
a group, it is necessary and suficient that A be completely integrally closed.
Suppose that D(A) is a group. Let x E K ; suppose that A[x] is contained in a finitely generated sub-A-module of K. Then we have seen (no. 1) that a = A[x] is an element of I(A). Then xa c a and hence div(x) + div a 2 div a. Since D(A) is an ordered group, we conclude that div(x) 2 0, whence ~ E A . Thus A is completely integrally closed (Chapter V, 5 1, no. 4, Definition 5 ) . Conversely, suppose that A is completely integrally closed. Let a be a divisorial ideal. We shall show that div a + div(A: a) = 0, which will prove that D(A) is a group. As a(A: a) c A, it suffices (no. 1) to verify that every fractional principal ideal A x - l which contains a(A: a) also contains A. Now, for y E K*, the relation Ay 2 a implies y - l E A : a, whence y - l a c a(A: a) c Ax-l and hence xa c Ay. As a is divisorial, we deduce that xa c a, whence xa c a for all n E N . There exist elements x,, x1 of K* such that Ax, c a c Ax,; therefore xxo E Ax,, whence x E Ax,x; l. As A is completely integrally closed, x E A, that is Ax-l 3 A, which completes the proof. Note that, if A is completely integrally closed (and even Noetherian), a divisorial ideal of A is not necessarily invertible, in other words, in general J(A) # D(A) (Exercise 2 and 5 3, no. 2, Proposition 1). COROLLARY. Let A be a completely integrally closed domain and a a divisorial fractional ideal $A. Then,for every fractional ideal b # 0 ofA, div(a: 6) = div a - div b. By virtue of formula (1) of no. 1: div(a: b) = d i v ( Y E f + o Y - l a ) sup div(y-la) =
yEb.y#O

+ div 6,

for a, b in I(A). Clearly div(1) is an identity element for this addition; this element is denoted by 0. Proposition 3 proves further that the order structure on D(A) is compatible with this addition (Algebra, Chapter VI, 5 1, no. 1) and, more precisely (no. 1, Proposition 2 (ii)) : inf(div a

+ div b, div a + div c) = inf(div(ab), div(ac)) = div(ab + ac) = div(a(b + c)) = diva + div(b + c) = diva + inf(div b, div c).

For a fractional ideal a # 0 to be such that div a 2 0 in D(A), it is necessary and sufficient that a c A (in other words, that a be an integral ideal of A). For two elements x, y of K*, the relation div(x) = div(y) is equivalent to ku = Ay; the set of principal divisors of A with the order relation and the monoid law induced by that on D(A) is an ordered group canonically isomorphic to the multiplicative group of fractional principal ideals ordered by the opposite order relation to inclusion (Algebra, Chapter VI, 5 1, no. 5). The relation S between two elements P, Q o f D(A) :
there exists x E K* such that P = Q

+ div(x) +

is therefore a n equivalence relation since the relation P = Q div(x) is equivalent to Q = P div(x-) ;if P and Q a r e congruent modulo S, they are called equivalent divisors of A. Clearly moreover the relation S is compatible with the law of the monoid D(A) and the latter therefore defines, by taking quotients, a monoid structure on D(A)/S; this monoid is called the divisor lass monoid of A.

f PROPOSITION 4. Let a, b be two divisorial fractional ideals o A. The following proberties are equivalent : (a) div a and div b are equivalent divisors; (b) there exkts x E K* such that b = xa.
478

taking account of Proposition 2 and the fact that the fractional ideals y-la are divisorial. But since D(A) is an ordered group (Algebra, Chapter VI, 5 1, no. 8) : sup
vEb.y#O

div(y-la) =

sup
y e 6. Y # O

(diva - div(y))
=

diva -

inf
yeb. Y # 0

div(y) = diva - div b.

479

VII

DMSORS

KRULL DOMAINS

1.3

3 KRULL DOMAINS .

DEFINITION 3. A n integral domain A is called a Krull domain f there exists a family i of valuations on thejeld offractions K ofA with thefollowing properties: (u,), (AK,) the valuations v, are discrete; (AK,,) the intersection ofthe rings o the v, i A; f s (AK,,,) for all x E K*, the set of indices t E I such that v,(x) # 0 isjinite. I t obviously suffices to verify condition (AK,,) for the elements x of A

assumed to be normed (Chapter VI, 3 3, no. 6, Definition 3). For all a E I(A), we shall write:

(3)
then v,(a) E Z, for, if a is a non-zero element of a, the relation A 3 Aa implies x that v,(x) < v,(a) (by (AK,,)), which shows that the family of v,(x) (a c Ax) is bounded above. We establish the following properties :
(1) Let a be a divisorial fractional ideal; in order that y E a, it is necessary and suflcient that v,(y) 2 v,(a)for all L E I .

- (0).

Examples (1) Every discrete valuation ring is a Krull domain. (2) More generally, every principal ideal domain A is a Krull domain. For let (tt)reI representative system of extremal elements of A and let v, be be a the valuation on the field of fractions of A defined byp, (Chapter VI, 3 3, no. 3, Example 4). It is immediately seen that the family ( v , ) , ~ satisfies properties , (AKA (AK,) and (AKIII). < a Jinite family of subrings of F which are (3) Let F be a field and (R,)
Krull domains. Then their intersection S = j = lR, is a Krull domain. For 1 < j < n let (v,,), be a family of valuations on the field of fractions of R, , , satisfying (AK,), (AK,,), (AK,,,) (where A is replaced by R,). Let w,, denote the restriction of v,, to the field of fractions of S. Then the family ( v , , ) ~ obviously satisfies (AK,,) (where A is replaced by S) and also (AKIII) since the set of indicesj is finite. The valuations w,, are either discrete or improper. By retaining only those which are discrete, a family is obtained which obviously satisfies (AK,), (AK,) and (AK,,) (where A is replaced by S). Hence S is certainly a Krull domain.
(4) In particular, if A is a Krull domain and K a subfield of the field of fractions K of A, K n A is a Krull domain.

As a is divisorial, the relation y E a is equivalent to the relation a C Ax implies y Ax. Now, by (AK,,), the relation y E A is equivalent to ~ v,(y) 2 v,(x) for all t E I. Whence (1). (2) Let a and b be two divisorial fractional ideals o f A; in order that a C 6, it i s necessary and sujicient that v,(a) 2 v,(b) for all 1 E I. This follows immediately from property (1).

(3) I f x

K*, then v , ( A x ) = v,(x).

If Ay 3 Ax, then v , ( y ) < u , ( x ) by (AK,,) and the minimum value of v,(y) is taken at y = x.
(4) For all a E I(A), the indices t
E

I such that v,(a) # 0 arejnite in number.

There exist x , y in K* such that Ax c a c Ay. By properties (2) and (3), v,(x) 2 v,(a) 2 v , ( y ) for all t E I. It then sufficesto apply (AKIII). We have therefore shown the following lemma: LEMMA 1. If A is a Krull domain and (v,), is a family o f normed valuations on K satishing (AK,), (AK,,) and (AK,,,), the mapping a H ( ~ , ( a ) ) ,is a decreasing ~, injective mapping of the set of divisorial integer ideals ofA (ordered by C ) to the set of positive elements o the ordered group the direct sum Z). f This being so, every non-empty set of positive elements of Z(I)has a minimal element (Algebra, Chapter VI, 3 1, no. 13, Theorem 2). Hence A certainly satisfies property (b) of the statement. Conversely, let A be an integral domain satisfying properties (a) and (b) of the statement. Since A is completely integrally closed, D(A) is an ordered group (no. 2, Theorem 1). This group is a lattice (no. 1, Proposition 2). By condition (b) of the statement, every non-empty family of positive elements of D(A) has a minimal element. Let P(A) be the set of extremal elements of D(A). Then (Algebra, Chapter VI, 4 1, no. 13, Theorem 2) P(A) is a basis of the Z-module D(A) and the positive elements of D(A) are the linear combinations with positive integer coefficients of the elements of P(A).
481

THEOREM 2. Let A be an integral domain. For A to be a Krull domain, it is necessary and suficient that the twofollowing conditions be satisjied: (a) A is completely integrally closed; (b) every non-emptyfamily ofdivisorial integral ideals of A admits a maximal element (with respect to the relation c ) Moreover, ifP(A) is the set ofextremal elements ofD(A), P(A) is then a basis ofthe Z-module D(A) and the positive elements o f D(A) are the linear combinations o f the elements o f P(A) with coeficients 2 0.

Let A be a Krull domain. It is completely integrally closed (Chapter VI, 3 4, no. 5, Corollary to Proposition 9). Let (v,) , be a family of valuations on the field of fractions K of A satisfying (AK,), (AK,,) and (AK,,). The v, may be

480

VII

DIVISORS

ESSENTIAL VALUATIONS OF A KRULL DOMAIN

1.4

Thus, for X E K * , rational integers up(.) writing :

(4)

are defined (for PEP(A)) by

div(x) = P E P(A) up(.)

.P.

PROPOSITION 6. Let A be a Krull domain, K itsjeld o fractions, (vL),, a family f of valuations on K with the properties of Dejinition 3 and A, the ring of v,. Let S be a multiplicative subset o A not containing 0 and J the set of indices t E I such that u, i zero f s on S. Then S - lA = A, ; in particular S - lA is a Krull domain.

,G

We also write up(0) = +co. From the relations div(xy) = div(x) and div(x

+ div(y)

We write B = ,CJA,. Then S-l c B and A c B and hence S-lA c B. Conversely, let x E B. Let J' denote the finite set of indices 1 such that v,(x) < 0. If L EJ', then x r A, ,hence t 4 J and hence there exists s, E S such that u, (s,) > 0. Let $

+ y ) 2 inf(div(x), div(y)),

n ( ~ be an integer > O such that v,(s:(')x) 2 0; we write s = L E J ) Then v,(sx) 2 0 for all t E I and hence sx E A and x E S-lA. Thus B = S-lA.

ns:(,).

for x, y and x + y in K*, we deduce that the up are discrete valuations on K. In order that X E A , it is necessary and sufficient that div(x) 2 0, that is that up(x) 2 0 for all P E P(A). Thus the up satisfy conditions (AK,) and (AK,,) and obviously also (AKUI). COROLLARY. For a Noetherian ring to be a Krull domain, it is necessary and suficient that it be an integrally closed domain. An integrally closed Noetherian domain is completelyintegrally closed (Chapter V, Q 1, no. 4 . )
There are non-Noetherian Krull domains, for example the polynominal ring KIXnlnEN over a field K in an infinity of indeterminates (cf. Exercise 8).
4. ESSENTIAL VALUATIONS OF A KRULL DOMAIN

COROLLARY 1. Let P be an extremal divisor ofA and p the corresponding divisorial ideal. Then p is prime, the ring of up is A, and the residuejield of up is identzfid with the jeld of fractions of Alp. Let S = A p. By Proposition 5, up is zero on S and > 0 on p. Hence p is the intersection of A and the ideal of up and is therefore prime. On the other hand, for every extremal divisor Q # P, Q 3 P and hence the divisorial ideal q corresponding to Qis not contained in p; thus q n S # 0 and hence, by Proposition 5, v, is not zero on S. This being so, the corollary follows from Proposition 6 and Chapter 11, Q 3, no. 1, Proposition 3. COROLLARY 2. Let A be a Krull domain, K itsjeld o ffractions and (v,), E I afamily of valuations with the properties of Dejinition 3. Then every essential valuation of A is equivalent to one ofthe v,. Let P be an extremal divisor of A and p the corresponding divisorial ideal. By Corollary 1, Proposition 5, Lemma 1 and assertion (1) in the proof of Theorem 2, no. 3, there exists t E I such that the ring A, of u, contains the ring A, of up. As u, and up are of height 1, they are therefore equivalent (Chapter VI, 4 4, no. 5, Proposition 6). PROPOSITION 7. Let A be a Krull domain, (up)pEp(A) family of its essential the valuations and a E I(A). Then the coeficient of P in div a is inf ( v p ( y ) ) .If p is the
Yea

Let A be a Krull domain and K its field of fractions. The valuations defined by formula (4) of no. 3 (for x E K*) are called the essential valuations of K (or A). We have remarked in the course of the proof of Theorem 2 that the valuations up satisfy properties (AK,), (AK,) and (AKIu)of Definition 3. Moreover, these discrete valuations up are normed: for every extremal divisor P E '(A), P < 2P and hence, if a and b are the divisorial ideals corresponding to P and 2P, then a 3 b and a # 6;for x E a 6, div(x) 2 P and div(x) 3 2P, whence +(x) = 1, which proves our assertion.

divisorial prime ideal corresponding to the extremal divisor P, then aA, = iiA,.

PROPOSITION 5. Let A be a Krull domain, K itsfild offractions and ( U ~ ) ~ ~ (the) A family of its essential valuations. Let (nP)PeP(A)be afamily ofrational integers which are zero exceptfor ajnite number ofindices. Then the set ofx E K such that up(.) 2 npfor
all P E P(A) is the divisorial ideal a of A such that div a
=

zA)

As

a =

YEn

2 Ax, Proposition 2 (b) (no. 1) shows that div(a)

xen

inf (div(Ax)),

np .P.

whence our first assertion. The second follows immediately, since div ii = div a and A, is the ring of the discrete valuation up. P R O P O S ~8. N A be an integrally closed Noetherian domain. O Let (a) Let P be an extremal divisor OfA and p the corresponding diuisorial prime ideal;

Let x E K*. In order that x E a, it is necessary and sufficient that Ax c a, hence that div(x) 2 div a and hence, by (4), that u) p ( . 2 np for all P E P(A).
482

483

DIVISORS

PRIME IDEALS OF HEIGHT

1 IN A

KRULL DOMAIN

8 1.6

for n E N,let = pnA, n A; then p(") is the set o f x E A such that up(x) >, n and i a p-primary ideal. s (b) Let a be a diuisorial integral ideal, n,P, + . ' ' + n,Pr the divisor of a (the pt being distinct extremal divisors) and p t the diuisorial prime ideal corresponding to P,. Then a = immersed.
f = l

COROLLARY 1. Let A be a Krull domain, K itsjield o f fractions and a, b and c three divisorialfractional ideals of A such that a c b. There exists x E K such that a = b nxc. Let ( u J r s I be the family of essential valuations of A and let (m,) (resp. (n,), (p,)) be the family of rational integers (zero except for a finite number of indices) such that a (resp. 6, c) is the set of x E K for which u ( x , ) 2 m, (resp. n,, p,) for all 1 E I (Proposition 5, no. 4). The set J of t E I such that m, > n, is finite. As p , = m, = 0 except for a finite number of indices, Proposition 9 shows that there exists x E K* such that u , ( x - I ) + m, = p , for t E J and
U,(X-')

npin,) is the unique reduced primary decomposition o f a and the pi are not

By Corollary 1 to Proposition 6, the relation x E pnA, = (PA,)"is equivalent to up(.) 3 n ; on the other hand, as A, is a discrete valuation ring, (PA,)" is (pAJ-primary (Chapter IV, 3 2, no. 1, Example 4) and hence pen) is p-primary fj (Chapter IVY 2, no. 1, Proposition 3) ; this shows (a). Proposition 5 certainly shows that a = i = 1 p$). As pi 4: pj for i # j this primary decomposition is reduced: For if ppi) 2 pyj) 3 pp),pj, would contain one of the p, i#j f o r j # i (Chapter 11, 3 1, no. 1, Proposition 1). The uniqueness follows from Chapter IVY3 2, no. 3, Proposition 5.
5. APPROXIMATION FOR ESSENTIAL VALUATIONS

for t E I

-J. Then, for all

+ m, 2 p ,
=

t E

I, m,

sup(n,, u,(x)

+ p,). Whence a = b n xc.

,G

COROLLARY 2. Let A be a Krull domain. For a fractional ideal a of A to be diuisorial, it is necessary and suficient that it be the intersection of twofractional principal ideals. The sufficiency is obvious (no. 1, Definition 2). The necessity follows from Corollary 1 : take b and c to be principal and such that b 3 a.
6. PRIME IDEALS OF HEIGHT 1 IN A KRULL DOMAIN

As the essential valuations of a Krull domain are discrete and normed, no two
of them are equivalent and hence they are independent (Chapter VI, fj 7, no. 2). Corollary 2 to the approximation theorem (lac. cit., Theorem 1) may therefore be applied to them: given some n, E Z and some essential valuations u, finite in number and distinct, there exists x E K such that u t ( x ) = n, for all i. But here there is a more precise result: PROPOSITION 9. Let u,, . . .,u, be distinct essential valuations of a Krull domain A and n,, . . .,n, rational integers. There exists an element x ofthejeld offractions K ofA such v,(x) = n,for 1 < i < r and U ( X ) >, 0for every essential ualuation u ofA distinctfrom
v1,

DEFINITION 4. Let A be an integral domain. A prime ideal p of A i said to be ofheight s 1 ; f i t is minimal among the non-zero prime ideals o f A. We shall also say that the ideal (0) is ofheight 0; a prime ideal ofheight therefore by definition equal to (0) or of height 1.
We shall define below, in a general way, the height of a prime ideal.

< 1 is

THEOREM 3. Let A be a Krull domain and p an integral ideal of A. For p to be the

diuisorial ideal corresponding to an extremal divisor, it is necessary and sujicient that p be a prime ideal o f height 1.
If p is the divisorial ideal corresponding to an extremal divisor, we know (no. 4, Corollary 1 to Proposition 6) that p is prime and that A, is a discrete valuation ring; as A, has no prime ideals other than (0) and PA,, (0) and p are the only prime ideals of A contained in p (Chapter 11, 3 3, no. 1, Proposition 3) ;hence p is of height 1. Conversely, we shall show first that every prime ideal p # (0) of A contains a divisorial prime ideal q corresponding to an extremal divisor: for, as A,, # K, A, is the intersection of a non-empty family (A,) of essential valuation rings (no. 4, Proposition 6) ; each A, is of the form Aq,(no. 4, Corollary 1 to Proposition 6) and from A, c Aq,we deduce that q, c p. Thus, if p is of height 1, then p = q, which shows that p is the divisorial ideal corresponding to an extremal divisor.
485

. . ., u,.

. ., p, be the divisorial ideals of A corresponding to the valuations . . ., u,. There exists y E K such that ui(y) = n, for 1 < i < r (Chapter VI, 3 7, no. 2, Corollary 1 to Theorem 1). The essential valuations w l , . . .,w,
Let p l , .
v,,

of A distinct from the u, for which the integer w j ( y ) = - m, is < 0 are finite in number; let q,, . . .,q, be the corresponding ideals. There exists no inclusion relation between pl, . . .,p,, q,, . . .,qs since these ideals correspond to extremal divisors and these ideals are prime (Corollary 1 to Proposition 6). Hence the integral ideal a = qy1.. .q,". is contained in none of the pt (Chapter 11, fj 1, no. 1, Proposition 1) and is therefore not contained in their union (lac. cit., Proposition 2). Therefore there exists z E a such that z $pi for 1 < i < r ; then ul(z) =. = u,(z) = 0 and w j ( z ) 2 m,for 1 < j Q s; hence the element x = yz solves the problem.

484

VII

DIVISORS

THE INTEGRAL CLOSURE OF A KRULL DOMAIN

9 1.8

COROLLARY 1. In a Krull domain every non-zero prime ideal m contains a prime ideal of height 1. I f m is not ofheight 1, then div m = 0 and A: m = A. The first assertion has already been seen in the course of the proof of Theorem 3. I f m is not of height 1 and p is a prime ideal of height 1 contained in m, then p c ; and p # fi; as div p is extremal, necessarily divm = d i v 6 = 0 ; i ; hence div(A: m) = 0 and, as A: m is divisorial (no. 1, Proposition l), A: m = A. COROLLARY 2. Let A be a Krull domain, K itsjeld of fractions, u a valuation on K which i positive on A and p the set o f x E A such that U ( X ) > 0. I f the prime ideal p is of s height 1, v is equivalent to an essential valuation o f A. Let B be the ring of u and m its ideal. Then m n A = p and hence A, c B. Now A,, is a discrete valuation ring (Theorem 3 and Corollary 1 to Proposition 6). As p # (0), B # K and hence B = A, (Chapter VI, 3 4, no. 5 , Proposition 6) *

7. APPLICATION: NEW CHARACTERIZATIONS OF DISCRETE VALUATION RINGS

PROPOSITION 11. Let A be a local Krull domain (inparticular an integrally closed local Noetherian domain) and m its maximal ideal. Thefollowing conditions are equivalent: (a) A is discrete valuation ring; (b) m is invertible; (c) A: m # A; (d) m is divisorial; (e) m is the only non-zero prime ideal of A.
As every non-zero ideal of a discrete valuation ring is principal (Chapter VI, fj 3, no. 6, Proposition 9), it is invertible and hence (a) implies (b). If m is invertible, its inverse is A: nt (Chapter 11,s 5 , no. 6, Proposition 10) and hence A: m # A; hence (b) implies (c). If A: rn # A, then A: (A: m) # A; now m c A: (A: m); hence m = A: (A: m) since m is maximal, so that m is divisorial (no. 1, Proposition 1 (c)); thus (c) implies (d). The fact that (d) implies (e) follows from Theorem 3 of no. 6, Finally, if m is the only non-zero prime , , ideal of A, it is of height 1 and hence 4 is a discrete valuation ring (no. 6 Theorem 4); as A is local, A, = A, which shows that (e) implies (a).
8. THE INTEGRAL CLOSURE OF A KRULL DOMAIN IN A FINITE EXTENSION OF ITS FIELD OF FRACTIONS

THEOREM 4. Let A be an integral domain and M the set o f its prime ideals of height 1, For A to be a Krull domain, it i necessary and suflcient that the following Properties s are satisjed : (i) For all p E M, A, is a discrete valuation ring. (ii) A is the intersection ofthe A, f o r p E M. (iii) For all x # 0 in A, there exists only ajnite number of ideals p E M such that
x
E p.

of A.

Moreover, the valuations corresponding to the A,,for p E M are the essential valuations

The conditions are trivially sufficient. Their necessity follows immediately from Theorem 3 of no. 4, Corollary I to Proposition 6 and the fact that the essential valuations of A satisfy the conditions of Definition 3 of no. 3.

PRoPosImxi 12. Let A be a Krull domain, K itsjield $fractions, K' ajinite extension of K and A' the integral closure of A in K'. Then A is a Krull domain. The essential ' valuations of A' are the normed discrete valuations on K' which are equivalent to the extensions o f the essential valuations $A. Let ( u , ) , be the family of extensions to K' of the essential valuations of A. ~~ Since the degree n = [K': K] is finite, the u, are discrete valuations on K' (Chapter VI, 3 8, no. 1, Corollary 3 to Proposition 1). Let B, be the ring of q ; then A' c B, (Chapter VI, 3 1, no. 3, Theorem 3). Conversely, every

PROPOSITION 10. Let A be an integrally closed Noetherian domain and a an integral ideal of A. Thefollowing conditions are equivalent: (a) a is divisorial; (b) the prime ideals associated with A/. are of height 1.
Recall that, if a = i = 1 q, is a reduced primary decomposition of a and denotes the prime ideal corresponding to q,, the prime ideals associated with A/a are just the pi (Chapter IV, 3 2, no. 3, Proposition 4). The fact that (a) . implies (b) then follows from Proposition 8 of no. 4 Conversely, if, in the above notation, the pi are of height 1, Apris a discrete valuation ring (Theorem 4); now, q, = q,Ap,n A (Chapter IVYfj 2, no. 1, Proposition 3) ; denoting by 0, the essential valuation corresponding to pi, there therefore exists an integer nt such that q, is the set of x E A such that u,(x) 2 n,; this shows that the q, are divisorial (no. 4 Proposition 5 ) , hence also is a. , 486

B , is integral over each of the essential valuation rings of A element x of (Chapter VI, 3 1, no. 3, Corollary 3 to Theorem 3) ;hence the coefficients of the minimal polynomial of x over K belong to A (Chapter V, 3 1 no. 3, Corollary , B,. Now let x be a non-zero to Proposition 1l), so that x E A'; thus A' = element ofA'; it satisfies a n equation of the formExs + a,- lxs-l + . . . + a, = 0 L I

?,

LEI

where a, E A and a, # 0; i f u L ( x )> 0, then ul(ao) > 0; now the essential valuations u of A such that v(ao) > 0 are finite in number and the valuations on K' extending a given valuation on K are also finite in number (Chapter VI, 3 8, no. 3, Theorem 1) ;hence ul(x) = 0 except for a finite number of indices L E I. Thus it has been proved that A' is a Krull domain (no. 3, Definition 3). 487

VII

DIVISORS

DIVISOR CLASSES IN KRULL DOMAINS

5 1.10

I t remains to show that the U, are equivalent to essential valuations of A' (no. 4, Corollary 2 to Proposition 6), that is (no. 6, Corollary 2 to Theorem 3) that the prime ideal p,, consisting of the x E A' such that v,(x) > 0, is of height 1. Ifthis were not so, there would exist a prime ideal q of A' such that (0) c q c p, distinct from (0) and p , ; then (0) c q n A c p 1 n A and q n A would be distinct from (0) and pI n A (Chapter V, $2, no. 1, Corollary 1 to Proposition 1); the prime ideal p, n A would therefore not be of height 1,which contradicts the fact that it corresponds to an essential valuation of A. COROLLARY. p (resp. 9') be a prime ideal of A (resp. A') of height 1 and v Let (resp. u') the essential valuation o A (resp. A') corresponding to it. For p' to lie above p, f it is necessary and sujicient that the restriction ofv' to K be equivalent to v. The valuation u' is equivalent to the extension of an essential valuation w of A (Proposition 12). Let q = p' n A, which is a prime ideal of A of height 1. For the restriction of v' to K to be equivalent to v, it is necessary and sufficient that w = v and hence that q = p.
9. POLYNOMIAL RINGS OVER A KRULL DOMAIN

PROPOSITION 13. Let A be a Krull domain and XI, X,, ring A[X,, . . ,X,] is a Krull domain.

. . .,X,

indeterminates. The

Arguing by induction on n, it is sufficient to show that, if X is an indeterminate, A[X] is a Krull domain. Let K be the field of fractions of A. The field of fractions ofA[X] is K(X). Let I be the set of monic polynomials in K[X] which are irreducible over K ; for allfE I, let u, be the valuation on K(X) defined by f (Chapter VI, $ 3, no. 3, Example 4). On the other hand, for every essential valuation w of A, let w be the extension of w to K(X) defined by

Remark. The valuations v, and 3 introduced in the proof of Proposition 13 are the essential valuations of A[X]. It will be sufficient for us to show that, if V is the set of valuations v, (firreducible) and % (w essential), then, for all V' E v , there exists an element g E K(X) which is not in A[X] and such that v"(g) 2 0 for all the valuations u" E V distinct from v'; this will prove that V {v'} does not satisfy (AK,) and the conclusion will follow therefore from no. 4, Corollary 2 to Proposition 6. Suppose first that u' is of the form rZ, : then we may take g to be an element b E K such that w(b) < 0, w'(b) 2 0 for the essential valuations w' ofA distinct from w, for then v,(b) = 0 for every irreducible monic polynomialf in K[X]; the existence of an element b satisfying the above conditions follows from no. 5, Proposition 9. Suppose secondly that v' is of the form vf for an irreducible monic polynomial f E K[X] of degree m ; then we may take g = a / f where a E A. For vh(g) 2 0 for every irreducible monic polynomial h # f in K[X] ; it remains to choose a E A such that, for every essential valuation w of A, w(a) is at least equal to the greatest lower bound of the elements w(c,), where the c, are the coefficients off (1 < i 6 m ) ; now the existence of such an a E A follows from (AK,,,) and no. 5, Proposition 9. We may also say (no. 6, Theorem 4) that the prime ideals of A[X] ofheight 1 are : (1) theprime ideals o the form pA[X], where p is aprime ideal o A o height 1 ; f f f (2) the prime ideals of the form m n A[X] , where m is a (necessarily princz)al) prime ideal ofK[X]. The latter are characterized by the fact that their intersection with A is reduced to 0.

10. DIVISOR CLASSES IN

KRULL DOMAINS

for 5 a,X' E K[X] (Chapter VI, $ 10, no. 1, Lemma 1). Clearly the u, and the % are discrete and normed and, for all u E K[X], v,(u) = 0 (resp. W(u) = 0) except for a finite number of valuations v, (resp. 3). To show the proposition, it therefore suffices to show that A[X] is the intersection of the rings of the valuations u, and %. Now the intersection of the rings of the valuations v, is K[X]. On the other hand, for tion

Let A be a Krull domain. Recall that the group D(A) of divisors of A is the free commutative group generated by the set P(A) of its extremal elements (no. 3, Theorem 2) and that P(A) is identijed with the set of prime ideals of A of height 1 (no. 6) ;for p E P(A) we shall denote by vp the normed essential valuation corresponding to p (no. 4) ;recall that the ring of up is Ap (no. 4, Corollary 1 to Proposition 6). We shall denote by F(A) the subgroup of D(A) consisting of the principal divisors and by C(A) = D(A)/F(A) the divisor class group of A (no. 2).

arXjE K[X], the rela-

a ( ?

a5X) 2 0 is equivalent to "w(a,) 2 0 for all j " ; hence the relation

C C G a5xj) ( ~

o for every valuation 3'' is equivalent to ~'w(u,) 2 o for all j

PROPOSITION 14. Let A be a Krull domain and B a Krull domain containing A. Sugpose that the following condition holdr : 3 s f (PDE) For every prime ideul5f3ofB ofheight 1,the prime ideal ? n A i zero or o height 1. For p E P(A) the 5f3 E P(B) such that ' n A = p areJinite in number; we write $

and every essential valuation w of A." This proves our assertion.

488

489

VII

DIVISORS

DIVISOR CLASSES IN KRULL DOMAINS

F 1.10 j

where e('p/p) denotes the ramiJication index of vlp over up (Chapter VI, 4 8, no. 1). T e i deJies, by linearity, an increasing homomorphism o D (A) to D (B),which enjoys hn f the following properties: (a) f o r every non-zero element x Ofthejeld offractions $A, i(divA(x))= div,(x); (b) for all D, D' in D(A), i(sup(D, D')) = sup(i(D), i(D')). Let p E P(A) ; consider a non-zero element a of p; the 'p E P(B) which contain a are finite in number (no. 6, Theorem 4); afortiori the IS E P(B) such that (p n A = p are finite in number. We now show (a). By additivity, it may be assumed that x E A* = A (0). By definition, div,(x) = lpE P(B) ulp(x) .'p. For all 'p E P(B) such that vI(x) > 0, (p n A is non-zero (for x E 5J?) and is therefore of height 1 by (PDE) ; setting p = 'p n A, by definition of the ramification index, vlp(x) = e('p/p)v,(x) (since up and upl are normed). As divA(x) = p & v,(x) .p, and i(q) = 0 for all q E P(A) which is not of the form Q n A where Q E P(B), we deduce (a). T o prove (b) we write and the coefficient of p in sup(D, D') is sup(n(p), n ' ( p ) ) . Let 'p be an element of P(B). If (p n A = (0), the coefficientsof 'p in i(D) and i (D') and hence also in sup(i(D),i(D')) are zero; therefore the coefficient of 'p in i(sup(D, D')) is zero. If 'p n A # (0), it is a prime ideal p of height 1 (by (PDE)) ; writing e = e('p/p), the coefficients of 'p in i(D), i(D') and i(sup(D, D')) are respectivelyen(p), en'(p) ande.sup(n(p), n'(p)); that ofsup(i(D), i(D)) is sup(e.n(p), e.n'(p)) = e.sup(n(p), This proves (b). Under the hypotheses of Proposition 14, it follows from (a) that i defines, by taking quotients, a homomorphism : called canonical, of C(A) to C(B), which we , shall also sometimes write as i, by an abuse of notation. The condition (PDE) is fulfilled in the two following cases : (1) B is integral over A; in this case, f o r theprime ideal 'p ofB to be Ofheight 1, it necessary and suflcient -that p = $3 n A be of height 1. For (0) is the only ' prime ideal of B lying above the ideal (0) of A (Chapter V, fj 2, no. 1, Corollary 1 to Proposition 1) ; if is of height 1, then p # 0; if p were not of height 1, there would exist a prime ideal p' of A distinct from (0) and p and such that 490

0 t p' c Q ; but then, as B is an integral domain and A is an integrally closed domain, there would be a prime ideal 'p' of B such that 'p' n A = p' and 9 c 'p (Chapter V, 4 2, no. 4, Theorem 3), contrary to the hypothesis. Con' versely, if p is of height 1, there can exist no prime ideal 'p' of B distinct from 0 and 9 and such that 0 c 'p' c 'p, otherwise 0 c 'p' n A c p and 'p' n A would be distinct from 0 and p by virtue of Chapter V, fj 2, no. 1, Corollary 1 to Proposition 1. (2) B is aflat A-module. More precisely:

PROPOSITION 15. Let A and B be Krull domains such that B contains A and is aflat A-module. Then : (a) condition (PDE) o Proposition 14 isfuljlled; f (b) f o r every diuisorial ideal a o A, Ba is the divisorial ideal ofB which corresponh f to the divisor i(div,(a)). To show (a), suppose that there exists a prime ideal 9 of B of height 1 such that 'p n A is neither 0 nor of height 1. Take an element x # 0 in '4 n A. The ideals pi of A of height 1 which contain x are finite in number and none contains n A; there therefore exists an element y of IS n A such that y e p , for all i (Chapter 11, $ 2 , no. 1, Proposition 2). Thus divA(x) and diVA(y) are relatively prime elements of the ordered group P(A), so that SUp(diV,(x), diVA(2J))= diVA(X)+ div,(y) = diV,(Xy); as the ideals n Ay and Axy are divisorial, we deduce that Ax n Ay = Axy. Since B is a flat Amodule, Bx n By = Bxy (Chapter I, fj 2, no. 6, Proposition 6). This implies thatsup(v,(x), ulp(y)) = vlp(xy).= vlp(x) + vlp(y), whichcontradictstheinequalities ulp(x) > 0, vlp(y) > 0 (which hold since x and y are in 'p). Thus (a) has been proved by reductio ad absurdum. We now show (b). If a is a divisorial ideal of A, it is the intersection of two fractional principal ideals (no. 5, Corollary 2 to Proposition 9), say
a =

.? ') (I

d-l(Aa n Ab)

where a, b, dare in A* ;as B is flat over A, Ba = d-I(Ba n Bb) (Chapter I, 3 2, no. 6 , Proposition 6), which shows that Ba is divisorial. This shows also that div,(Ba) = sup(div,(a), div,(b)) - div,(d) ;using Proposition 14 (a) and (b), it is seen that div,(Ba) = sup(i(div,(a)), i(divA(b))) - i(div,(d)) = ;(sup(div,(a), div,(b))) - i(div,(d)) = i(div,(Aa n Ab)) - i(div,(d)) = i(div,(d-'(Aa n Ab))) = i(diVA(a)). COROLLARY. Let A be a local Krull domain and B a discrete valuation ring such that B dominates A and is aflat A-module. Then A is ajeld or a discrete valuation ring. 49 1

VII

DMSORS

DEFINITION OF DEDEKIND DOMAINS

g 2.1

As it is, by hypothesis the maximal ideal of A, our assertion follows from

Proposition 11 of no. 7.

Let

be the maximal ideal of B. By (PDE),

n A is zero or of height 1.

Remark. In the former of the two above cases, the mapping i : D(A) 3 D(B) is injective: as the elements of P(B) form a basis of D(B) and two distinct ideals of P(A) cannot be the traces on A of the same ideal of P(B), it amounts to verifying that i(p) # 0 for all p E P(A); now, this follows from Chapter V, Q 2, no. 1, Theorem 1. I t is similarly seen that, if B is a faithfullyjat A-module, i is injective (Chapter 11, Q 2, no. 5, Corollary 4 to Proposition 11).
In what follows, we propose to study the canonical homomorphism C(A) to C(B) for certain ordered pairs of Krull domains A, B. from

height 1 such that p n S J: a, p contains a product of powers of the p, and therefore one of thep,, sayp,; as Ap, is non-zero and prime and p is of height 1, it follows that p = Ap,. In the above notation, therefore G c F(A) and (5) shows that the kernel of T is zero. We have therefore shown the following result:

PROPOSITION 17. Let A be a Krull domain and S a multiplicative subset of A not containing 0. Then the canonical homomorphism ;from C(A) to C(S-lA) is surjective. If further S i generated by a family of elements p, such that the principal ideals Ap, are s all prime, then T is bijective.
As a second application of formula ( 5 ) , consider the following situation: let R be a Krull domain; take A to be the polynomial ring A = R[X] (no. 9, Proposition 13) and S to be the set R (0)of non-zero constant polynomials of A. The prime ideals p of A of height 1 such that p n S # o are those of the form poA, where po is a prime ideal of R of height 1 (no. 9, Remark). Hence, in the notation introduced above, G is identified with D(R) by identifying divA(p,A) with div,(p,). On the other hand G n F ( A ) is identified with F(R): for if an ideal a, of R generates a principal ideal a,A = f (X)A in A = R[X], then f (0) E a,A since a,A is a graded ideal of the ring A (graded by the usual degree of polynomials) and hence f (0)E a,; further, for a E a,, a =f(X)g(X) where g ( X ) E R, whence, comparing terms of degree 0, a = f (O)g(O) ; it follows that a, is the principal ideal of R generated by f (0). Finally, denoting by K the field of fractions of R, S-lA is identified with the polynomials ring K[X], which is a principal ideal domain; hence C(S-'A) = (0).Thus, by ( 5 ) , C(A) = Ker(S) is identified with C(R) and we have proved the following result:

PROPOSITION 16. Let A be a Zariski ring such that its completion A is a Krull domain. T e A is a Krull domain and the canonical homomorphism z7from C(A) to C(A) (which hn k defined since A is a j a t A-module; cf. Chapter 111, 3 3, no. 4, Theorem 3) is injective.

As A is an integral domain and A c A,A is an integral domain. Let L be the field of fractions of A and K c L that of A. As A = A n K (Chapter 111,
Q 3, no. 5, Corollary 4 to Proposition 9), A is a Krull domain (no. 3, Example 4). The fact that 5: C(A) -+ C(A) is injective follows from Proposition 15 (b) and the fact that, if bff is principal, b is principal (Chapter I11,Q 3, no. 5, Corollary 3 to Proposition 9).

NOW A be a Krull domain and S a multiplicative subset of A not containing 0. let The group D(A) (resp. D(S-'A) is the free commutative group with basis the set of div(p) (resp. div(S-lp)), where p runs through the set of prime ideals of A of height 1 (resp. the set of prime ideals of A of height 1 such that p n S = 0 ) (no. 4, Proposition 6) and, if p n S = 0 , then i(div(p)) = div(S-'p). Thus D(S-'A) is identified with the direct factor of D(A) generated by the elements div(p) such that p n S = 0 and admits as complement the free commutative subgroup of D(A) with basis the set of div(p) such that p n S # 0 ; we shall denote this complement by G. As i : D(A) -tD(S-lA) is surjective, so is i: C(A) -+ C(S-'A); and:

~OPOSMYON 18. Let R be a Krull domain and A the polynomial ring R[X]. The canonical homomorphism ofC(R) to C(R[X]) is bijective.

2. DEDEKIND DOMAINS
1. DEFINITION OF DEDEKIND DOMAINS

(5)

G/(Gn F ( A ) ) = (G

+ F(A))/F(A) = Kerc);

for if an element of D(S-lA) is equal to divs-iA(x/s), where x E A and s E s, it is the image under i of the principal divisor diVA(X) (Proposition 14). Suppose now that S is generated by a family of elements (pL),EI A such of that the principal ideals Ap, are all prime. Then, if p is a prime ideal of A of
492

Let A be an integral domain. Clearly the following conditions are equivalent: (a) no two of the non-zero prime ideals of A are comparable with respect to inclusion ; (b) the non-zero prime ideals of A are maximal; (c) the non-zero prime ideals of A are of height 1.
493

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DIYISORS

CHARACTERIZATIONS OF DEDEKIND DOMAINS

3 2.2

DEFINITION A Krull domain all o f whose non-zero prime ideals are maximal is 1. called a Dedekind domain.

Examples o f Dedekind domains (1) Every principal ideal domain is a Dedekind domain. (2) Let K be a finite extension of Q and A the integral closure of Z in K. The ring A is a Krull domain ($ 1, no. 8, Proposition 12). Let p be a non-zero prime ideal of A. Then p n Z is non-zero (Chapter V, 3 2, no. 1, Corollary to Proposition 1) and hence is a maximal ideal of Z; hence p is a maximal ideal of A (106. cit., Proposition 1). Therefore, A is a Dedekind domain. In general, A is not a principal ideal domain (Algebra, Chapter VII, 3 1, Exercise 12). (3) * Let V be an affine algebraic variety and A the ring of functions regular on V. Suppose that A is not a field (i.e. that V is not reduced to a point). For A to be a Dedekind domain, it is necessary and sufficientthat V be an irreducible curve with no singular point: for to say that A is an integral domain amounts to saying that V is irreducible; to say that every non-zero prime ideal of A is maximal amounts to saying that A is a curve; finally, as A is Noetherian, to say that it is a Krull domain amounts to saying that it is integrally closed, that is that V is a normal curve, or also that it has no singular point. * (4) A ring of fractions S-lA of a Dedekind domain A is a Dedekind domain if 0 4 S. For S-lA is a Krull domain ($ 1, no. 4,Proposition 6) and every nonzero prime ideal of S-lA is maximal by Chapter 11, 3 2, no. 5, Proposition 11.

since, for every prime ideal p of A, there exists a valuation ring of K which dominates Ap (Chapter VI, 5 1, no. 2, Corollary to Theorem 2). The remainder of the proof is carried out by proving the following implications : (el * (f) * (g) * ( 4 . (c) * ( 4 If A is a Dedekind domain and b is a non-zero fractional ideal, then bA, = 6A, for every maximal ideal p ($ 1, no. 4, Proposition 7) and hence b = 6 (Chapter 11, 5 3, no. 3, Corollary 3 to Theorem 1) ; thus (a) implies (c). We now show that (c) implies (d). If (c) holds, the mapping a Hdiv a is a bijection of I(A) onto D(A) (cf. $ 1, no. 1) ;as it is a homomorphism ($ 1, no. 2) and D(A) is a group, every element of I(A) is invertible. We show that (d) implies (e). If (d) holds, every integral ideal # (0) of A is finitely generated (Chapter 11, 3 5, no. 6, Theorem 4) and hence A is Noetherian; as I(A) is a group, D(A) is a group and A is therefore completely integrally closed (9 1, no. 2, Theorem 1). Finally, if p is a non-zero prime ideal ofA and m is a maximal ideal of A containing p, the ring A,,,is a principal ideal domain (Chapter 11, $ 5, no. 6, Theorem 4); as pA, is prime and non-zero, necessarily PA,,,= mA, (a principal ideal domain being a Dedekind domain) whence p = m (Chapter 11, 3 2, no. 5, Proposition 11) and p is maximal. We now show that (e) implies (f). If m is a maximal ideal of A and (e) holds, A,,, is an integrally closed Noetherian domain and its maximal ideal mA, is, either (0), or the only non-zero prime ideal of A,,,; hence A,, is a field or a discrete valuation ring by Proposition 11 of 9 1, no. 7. The fact that (f) implies (g) is obvious. We show finally that (g) implies (a). As A is the intersection of the A,,,, where m runs through the set of maximal ideals (Chapter 11, $ 3 , no. 3, Corollary 4 to Theorem l), (9) implies that A is integrally closed and Noetherian and hence that A is a Krull domain ($ 1, no. 3, Corollary to Theorem 2). On the other hand, it can be shown that every non-zero prime ideal of A is maximal as in the proof that (d) 3 (e).

(4

=$

2. CHARACTERIZATIONS OF DEDEKIND DOMAINS

THEOREM 1. Let A be an integral domain and K its field offractions. The following conditions are equivalent : (a) A i a Dedekind domain; s (b) A is a Krull domain and every non-improper valuation on K which is positive on A i equivalent to an essential valuation o f A; s (c) A is a Krull domain and everyfractional ideal 5 # (0) ofA is divisorial; (d) e v e y fractional ideal 3 # (0) ofA is invertible; (e) A is a Noetherian integrally closed domain and every non-zero prime ideal o f A is maximal; (f) A is Noetherian and,for evey maximal ideal m ofA, A,,, is either afield or a discrete valuation ring; (g) A is Noetherian and, f o r e v q maximal ideal m of& A,,, is a principal ideal domazn.
We show first the equivalence of (a) and (b). Corollary 2 to Theorem 3, 5 1, no. 6, shows immediately that (a) implies (b). Conversely, (b) implies (a),
494

PROPOSITION

1. A semi-local Dedekind domain is a principal ideal domain.

Let A be a semi-local Dedekind domain, K its field of fractions, pl, . . .,pn its maximal ideals and ul, . . ., v, the corresponding essential valuations; these are the only essential valuations of A. Let a be a non-zero integral ideal of A. Since it is divisorial, there exists ($ 1, no. 4,Proposition 5) integers ql, . . ., q, such that a is the set of x E K such that uI(x) 2 q, for 1 < i < n. Let x , be an element of K such that vi(xo) = q, for 1 < i < n (Chapter VI, $ 7, no. 2, Corollary 1 to Theorem 1). Then a is the set of x E K such that ui(xx; ') 2 0 for 1 < i < n. Thus a = Ax,. If A is a Dedekind domain, it has been seen, in the proof of Theorem 1, that the
495

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DIVISORS

THE APPROXIMATION THEOREM FOR DEDEKIND DOMAINS

3 2.4

group D(A) of divisors of A is identified with the group I(A) of fractional ideals a # (0) (as A is Noetherian, every non-zero fractional ideal is finitely generated). The diuisor class group C(A) of A ( 1, no. 2) is then identified with the group of classes ofideals #O of A (defined in Chapter 11,s 5, no. 7).
3. DECOMPOSITION OF IDEALS INTO PRODUCTS OF PRIME IDEALS

These results apply in particular to the integral closure of Z in a finite extension of Q. If A is a principal ideal domain, the above results again give those of Algebra, Chapter VII, $ 1, no. 3.
4. THE APPROXIMATION THEOREM FOR DEDEKIND DOMAINS

Let A be a Dedekind domain, I(A) the ordered multiplicative group of nonzero fractional ideals of A and D(A) the group of divisors of A. The isomorphism a ++div a of I(A) onto D(A) maps the extremal divisors to the non-zero prime ideals of A (3 1, no. 6, Theorem 3) and hence the multiplicative group I(A) admits as basis the set of non-zero prime ideals of A (9 1, no. 3, Theorem 2). In other words, euey non-zerofractional ideal a of A admits a unipe decomposition o t hform: f
(1)
a=

In Dedekind domains there is an approximation theorem which strengthens both Theorem 1 of Chapter VI, 7, no. 2 and Proposition 9 of 3 1, no. 5: PROPOSITION 2. Let A be a Dedekind domain, K itsjeld of fractions and P the set of non-zero prime ideals of A; for p E P let up denote the corresponding essential valuation of A. Let pl,. . ., p a be distinct elements of P and n,, . . ., n, rational integers and x,, . . ., xa elements of K. Then there exists x E K such that up,(. - x,) 2 n, for 1 < i < q and up(.) 2 0 for all p E P distinct from the p,. Replacing if need be the n, by greater integers, they may be assumed all to be positive. We examine first the case where the xi are in A; it obviously amounts to finding an x E A satisfying the congruences
x

pn(p)

where the product extends to the non-zero prime ideals of A, the exponents n(p) being zero except for a finite number of them. Further a is integral if and only if the n ( p ) are all positive. The relation (1) is called the decomposition of a into @*me factors. In particular, if a is a principal ideal Ax, then, for all p, n ( p ) = up(x), where up denotes the essential valuation corresponding to p; this follows from formula (4) of 1, no. 3. Let

= x,

(mod. $1)

and the existence of x then follows from Chapter 11,s 1, no. 2, Proposition 5. We pass now to the general case. We may write xi = s-ly, where s y , are in , A; writing x = s-ly, it amounts to finding a y E A such that, on the one hand, up,(y - y,) 2 n, up,(s)and, on the other, up(y) 2 up(s)for all p E P distinct from the pi; as up(s) = 0 except for a finite number of indices p, it is thus reduced to the above case; whence the proposition.

be two non-zero fractional ideals of A. Then

Proposition 2 may be interpreted as a density theorem. To be precise, for all p E P, let R, (resp. A,) be the completion of K (resp. A) with respect to the discrete valuation up and consider the product R,; an element x = (x,) of PEP this product is called a restricted adtYe of A if x p E A, for all p E P with the exception of a finite number of them. Clearly the set A of restricted adtles

(5)
Relation (2) is obvious; relation (3) follows from it, the equation a: b = a b - l following from the equation div(a: b) = diva - div b

R,,which contains the product ring A, = P E P A,. Consider is a subring of PEP on A, the product topology, with respect to which A, is complete; there is on A a unique topology 9- which is compatible with its additive group structure and for which the neighbourhoods of 0 in A, form a fundamental system 6 of neighbourhoods of 0. The topology 9- compatible with the ring structure is on A; for clearly axiom (AV,,) of General Topology, Chapter 111, 3 6, no. 3, holds, the topology induced by 9- on A, being compatible with the ring structure on A,. On the other hand, for all x E A there exists a finite subset J
of P such that, if we write J = P

(5 1, no. 2, Corollary to Theorem 1); formulae (4) and (5) follow from Proposition 2, 9 1, no. 1.
496

-J, KJ < nR,, AJ, = n, then A ,

PSJ
P ~ J

497

VII

DMSORS

THE KRULL-AKIZUKI THEOREM

2.5

x E KJ x AJt and, as A, is open in l?, for all p, 6 is a fundamental system of neighbourhoods of 0 for the product topology on KJ x AJ,; since the latter is compatible with the ring structure on this product, axiom (AV,) of General Topology, Chapter 111, loc. cit. is also seen to hold, which proves our assertion. Clearly A, is an open subring of A and hence A is also a complete ring (General Topology, Chapter 111, 5 3, no. 3, Proposition 4).
For all x E K, let A(.) be the element (x,) E
p E P; as x, E A, except for a finite number of values of p, A(x) E A; hence we
PE p

nR,

matrix U E S L ( n , A) let U, denote the canonical image of U in SL(n, a,); it is therefore seen that, for all p E P, G contains the matrices U E S L ( n , A) such that U, = I for all q # p. Since G is a group, it also contains all the matrices U E SL(n, A) such that Up = I except for a j n i t e number of p E P; now, the definition of the topology on A shows immediately that the set of these matrices is dense in SL(n, A).
5. THE KRULL-AKIZUKI THEOREM

such that x, = x for all

have thus defined a homomorphism A: K -+ A which is injective if P # 0 (that is if A is not a field) ; the elements of A(K) are called principal restricted aQles and clearly A ( A ) c A,.

LEMMA 1. Let A be a Noetherian domain in which every non-zero prime ideal is maximal

and M afinitely generated torsion A-module. Then the length longA(M)of M isfinite.

PROPOSITION 3. The ring A, (resp. A ) is identiJiedwith the completion o f A (resp. K) with respect to the ring topology for which a fundamental system ofneighbourhooh o 0 f consists o all the integral ideals # (0) of A. f
I t is immediate that the topology considered on A (or K) is Hausdorff. Taking account of no. 3, the assertion concerning A, follows from Chapter 111, 3 2, no. 13, Proposition 17. This shows therefore that A(A) is dense in A,; to see similarly that A(K) is dense in A, note that for all x = (x,) E A there is only a finite number of p E P such that v,(x,) < 0; by 3 1, no. 5, Proposition 9 there is therefore an s E K such that sxv E A, for all p E P, in other words A(s)x E A, and, as multiplication by A(s) is a homomorphism from A to itself, it suffices to apply the fact that A ( A ) is dense in A , to deduce that A(K) is dense in A. We could of course also prove that A(K) is dense in A by using Proposition 2. Consider now the multiplicative group SL(n, A) consisting of the matrices UE M,(A) such that det(U) = 1 ; if M,(A) = Anais given the product topology, it induces on SL(n, A) a topology compatible with the group structure on SL(n, A). I t suffices to verify that the mapping U H U - l is continuous on SL(n, A) ;but as U is unimodular, it is known (Algebra, Chapter 111, fj 6, no. 5, formula (17)) that the elements of U - l are minors of U and hence polynomials in the elements of U, which proves our assertion. If K is identified with a subring of A by means of A, the group SL(n, K) is a subgroup of SL(n, A).

As M is a torsion module, every prime ideal associated with M is # (0) and therefore maximal. The lemma then follows from Chapter IV, 5 2, no. 5, Proposition 7.

LEMMA 2 . Let A be

a ring, T an A-module and (T,) a right directed family modules ofT with union T. Then lOngA(T) = SUp(lOngA(T,)).
L

of sub-

long,(T,) < long,(T) for all t. The lemma is obvious if no integer exceeds the long,(T,), both sides then being infinite. Otherwise, let 1, be an index for which longA(T,)takes its greatest value; then T,, = T since the family (T,)is directed; whence our assertion in this case.
Remark. This proof does not assume that A is commutative.

LEMMA 3. Let A be a Noetherian domain such that every non-zero prime ideal o A is f
maximal, M a torsion-free A-module ofjinite rank r and a non-zero element $A. Then A / A a is an A-module offinite length and: (6)
long,(M/aM)

< I . longA(A/Aa).

PROPOSITIONThe group SL(n, K) i dense in SL(n, A). 4. s

Let G be the closure ofSL(n, K) in SL(n, A) ;as K is dense in A (Proposition 3), G contains all the matrices of the form I + a .E,, for i # j and a E A. For all P E P and all A E R let h(p) be the restricted adkle x = (xJqEP such that , xp = h and xq = 0 for q # p; the above shows that G contains the matrices I h(p)Et, for i # j . But we know that the matrices of the form I ? ? , J , for h E RPgenerate the group SL(n, l, (Algebra, Chapter 111). For every ?)

Lemma 1 shows that longA(A/Aa)is finite. We show (6) first in the case where M is finitely generated. A s M is torsion-free and of rank r, there exists a submodule L of M which is isomorphic to A' and such that Q = M/L is a finitely generated torsion A-module and hence of finite length (Lemma 1). For every integer n 2 1, the kernel of the canonical surjection M/anM-+ Q/anQ is equal to (L anM)/anMand isomorphic to L/(anM n L ) ; as

a"L c anM n L, therefore

(7) longA(M/anM)< 10ngA(L/anL)4-lOngA(Q/a"Q) < lOngA(L/a"L) lOngA(Q). Now, since M is torsion-free, multiplication by a defines an isomorphism of

498

499

VII

DIVISORS

THE KRULL-AKIZUKI THEOREM

5 2.5

M/aM onto aA/aaM;similarly for L; whence, by induction on n, the formulae: longA(M/anM)= n. longA(M/aM).
(8)

long,(L/a"L) = n . long,(L/aL).

Taking account of (7) we deduce: long,(M/aM) < lOngA(L/aL) -k n-'lOngA(Q) (9) for all n > 0; as L is isomorphic to A', longA(L/aL) = r longA(A/Aa) whence ; (6) by letting n tend to infinity in (9). We now pass to the general case. Let (M,) be the family of finitely generated submodules of M. The module T = M/aM is the union of the submodules T, = (M, + aM)/aM = M,/(M, n aM). Now, T, is isomorphic to a quotient of M,/aM, and hence longA(T,) lOngA(T)

Suppose first that p = ( 0 ) ; then the only prime ideal q of B such that q n A = (0) is (0);otherwise, writing S = A {0}, S-lq would be a non-zero prime ideal of S-lB (Chapter 11, 5 2, no. 5, Proposition 11) and S-'B is just the field of fractions of Byfor it is a subring of L containing K (Algebra, Chapter V , 3 3, no. 2, Proposition 3) ; whence an absurd conclusion. If now p # (0), it follows from Proposition 5 that B/pB is a finite-dimensional vector space over the field A/p, hence an Artinian ring and therefore has only a finite number of prime ideals (Chapter IV, 5 2, no. 5, Proposition 9 ,which proves that there ) is only a finite number of prime ideals of B containing p.

COROLLARY 2. The integral closure ofA in L is a Dedekind domain. This integral closure is an integrally closed Noetherian domain all of whose non-zero prime ideals are maximal; it suffices therefore to apply Theorem 1 of no. 2. In particular:
f COROLLARY 3. The integral closure o a Dedekind domain in a Jinite extension of its field offractions is a Dedekind domain.

< r longA(A/Aa)
< r long,(A/Aa)

by what we have just proved. Whence

by Lemma 2.
PROPOSITION 5 (Krull-Akizuki). Let A be a Noetherian domain each of whose nonzero prime ideals is m i m a l , K itsJield offractions, L ajnite extenrion ofK and B a subring of L containing A. Then B is Noetherian and evey non-zero prime ideal of B is maximal. Moreover, f o r evey ideal b # (0) of B, B/b is ajnitely generated A-module. Let b be a non-zero ideal of B. We shall show that B/b is an A-module of finite length (hence, a fortiori, a B-module of finite length) and that b is a finitely generated B-module. A non-zero element y of b satisfies an equation of the form:

PROPOSITION 6. Let A be a Dedekind domain, K itsJield o fractions, L ajnite extenf sion of K and B the integral closure o A in L. Let p be a non-zero prime ideal of A, u f the corresponding essential valuation of K and

a,y'

+ a r - l y r - l + - + a, = 0

(a: EA, a,

# 0).

This equation shows that a, E B c b. Applying Lemma 3 to M = B, it is seen y that B/aoBis an A-module of finite length; so is B/b which is a quotient module of it. Further the B-module b contains, as a submodule, aoB which is finitely generated; as b/a,B is of finite length (as a submodule of B/a,B) and hence finitely generated, b is certainly a finitely generated B-module. The above shows first that B is Noetherian. On the other hand, if p is a nonzero prime ideal of B, the ring B/p is an integral domain and of finite length ) and hence is a field (Algebra, Chapter VIII, 5 6, no. 4, Proposition 9 ,so that p is maximal. COROLLARY evey prime ideal p ofA, the set ofprime ideals ofB lying above p is 1. For

the decomposition of the ideal Bp as a product of prime ideals. Then : (a) the prime ideals ofB lying above p are the pi such that e ( i ) > 0 ; (b) the valuations v, on L corresponding to these ideals pi are, up to equivalence, the valuations on L extending v; ( 4 [Bhi : A/PI = f ( U i / V ) ; (d) e, = e(vi/u) (cf. Chapter VI, 5 8, no. 1, Definitions 1 and 2).
(a) To say that a prime ideal q of B lies above p amounts to saying that p, hence that q 3 Bp and that q contains one of the pi such that e ( i ) > 0 (Chapter 11, 3 1, no. 1, Proposition 1). (b) This follows, taking account of (a), from 5 1, no. 8, Corollary to Proposition 12. (c) The residue field of v is identified with A/p and that of vi with B/pi (4 1, no. 4, Corollary 1 to Proposition 6).
q
2

J;nite.
500

50 1

VII

DIVISORS

CHARACTERIZATIONS OF FACTORIAL DOMAINS

9 3.2

(d) Let a (resp. at) be a uniformizer for v (resp. vt). Then

We shall denote by K the field of fractions of A and by B* (or B*(A))the ordered group of non-zero fractional principal ideals of A. The proof will be carried out by proving the following implications :

since p,Bp,

B,, f o r j # i; whence (d), since e(v,/v) = vl(a).

3. FACTORIAL DOMAINS
1. DEFINITION OF FACTORIAL DOMAINS

DEFINITION 1. A Krull domain all o f whose divisorial ideals are principal is called a factorial (or uniquefactorization) domain. In other words, the group of divisor classes (9 1, no. 2) is reduced to 0.
Examples (1) Every principal ideal domain is factorial (and, recall, is a Dedekind domain). Conversely, every factorial Dedekind domain is a principal ideal domain by 5 2, no. 2, Theorem 1 (c). (2) In particular, if K is a field, the rings K[X] and K[[X]] are factorial domains (see Theorem 2 and Proposition 8 below for generalizations). (3) * The local ring of a simple point of an algebraic variety is a factorial domain. The ring of germs of functions analytic at the origin of C is a factorial domain. *
2. CHARACTERIZATIONS OF FACTORIAL DOMAINS

Given a ring A, we need to consider the following condition:

element.
f (M) Every non-empty family o integral principal ideals o f A has a maximal

We show that (a) implies (b); if A is factorial, B* is isomorphic to the group of divisors of A and hence to a direct sum of groups Z (5 1, no. 3, Theorem 2). Note now that the relation the intersection of two integral principal ideals of A is a principal ideal means that every ordered pair of elements of A admits a lcm, that is that B* is a lattice-ordered group (Algebra, Chapter VI, 3 1, no. 9, Proposition 8). The fact that (b) implies (c) (and even is equivalent to it) therefore follows from Algebra, Chapter VI, 5 1, no. 13, Theorem 2. The fact that (c) implies (d) follows from Algebra, Chapter VI, 5 1, no. 13, Proposition 14 (DIV). The fact that (d) implies (b) follows from Algebra, Chapter VI, 9 1, no. 13, Theorem 2 applied to the group 8*. We show that (b) implies (e). If (b) holds, there is an isomorphism of 8* onto Z); let ( V , ( X ) ) , ~ denote the element of Z(I)corresponding to the ideal ~ Ax (x E K*). I t is seen immediately that each v, is a discrete valuation on K, that A is the intersection of the rings of the v, and that, for x E K*, v,(x) = 0 except for a finite number of indices c; hence A is a Krull domain. On the other hand, let q be a prime ideal of A of height 1;it contains a non-zero element a which is necessarily not invertible and hence also (by definition of a prime ideal) one of the extremal elementsp of A; as Ap is prime and non zero, q = Ap, which proves that q is principal. Finally we show that (e) implies (a). Let a be a divisorial ideal of A. There exist prime ideals pi of A of height 1 such that diva = T n t d i v p , where

THEOREM 1. Let A be an integral domain. Thefollowing conditions are equivalent: (a) A isfactorial; (b) the ordered group of non-zero fractional principal ideals o f A is a direct sum of groups isomorphic to Z (ordered by the product order) ; (c) condition (M) is satisjied and the intersection o f two principal ideals o f A is a principal ideal; (d) condition (M) is satisJied and, for every extremal element p o f A, the ideal Ap is prime; (e) A is a Krull domain and every prime ideal o f height 1 is principal. 502

n, E Z If (e) holds, p t is of the form Apt, whence div a = d i v ( v Ap:,) and .

hence a =

nA&,
1

since a is divisorial.

PROPOSITION 1. Let A be a Krull domain. If every divisorial ideal o f A is invertible, f i then, f o r every maximal ideal m o A, A, is factorial. The converse is true f it is also assumed that every divisorial ideal o A isjinitely generated (in particular if A is f N o e t k a n ). 503

VII

DMSORS

POLYNOMIAL RINGS OVER A FACTORIAL DOMAIN

Q 3.5

Suppose that every divisorial ideal of A is invcrtible; as A,,, is a Krull domain (fj 1, no. 4, Proposition 6), every divisorial ideal a of A,,, is the intersection of two principal fractional ideals (fj 1, no. 5, Corollary 2 to Proposition 9); hence a = b, & where b is a divisorial ideal of A (Chapter 11, fj 2, no. 4) ; as b is invertible by hypothesis, we deduce from Chapter 11,f j 5, no. 6, Theorem 4 that a is principal and hence A,,,is a factorial domain (no. 1, Definition 1). Conversely, if all the A,,, are factorial and c is a finitely generated divisorial ideal of A, Ck, is a divisorial ideal of A,,,,as follows from fj 1, no. 5, Corollary 2 to Proposition 9 and Chapter 11, fj2, no. 4;by hypothesis cA,, is principal and hence it follows from Chapter 11, fj 5, no. 6 , Theorem 4 that c is invertible.
3. DECOMPOSITION INTO EXTREMAL ELEMENTS

where w, w are in U. We recover, in particular, the results of Algebra, Chapter VII, f j 1, no. 3. For all p E P, the mapping a H n ( p ) is a discrete valuation up on K whose ring is obviously AAp.It follows from Theorem l(e) that the v p are just the essential valuations of A and that the ideals Ap ( p E P) are just the prime ideals of A of height 1.
4. RINGS OF FRACTIONS OF A FACTORIAL DOMAIN

Let A be an integral domain, K its field of fractions and U the multiplicative group of invertible elements of A. Recall (Algebra, Chapter VI, fj 1, no. 5) that there is a canonical isomorphism of K*/U onto the group B* of non-zero fractional principal ideals of A. Condition (b) of Theorem 1 may then be translated as follows: PROPOSITION 2. Let A be an integral domain. For A to befactorial, it is necessay and suJkht that there exist a subset P o A such that every a E A (0)may be written f
uniquely in t h j h u = u pncp), u E U and the n ( p ) arepositive integers which where PEP are zero except for ajnite number ofthem.

PROPOSITION 3. Let A be a Krull domain and S a multiplicative subset o f A not containing 0. (i) I f A is factorial, S-lA is factorial. (ii) If S is generated by a family o elements p, such that the principal ideals Ap, are f prime and S-IA isfactorial, then A isfactorial. This follows immediately from Definition 1 of no. 1 and fj 1, no. 10, Proposition 17.
5. POLYNOMIAL RINGS OVER A FACTORIAL DOMAIN

Let A be a factorial domain, K its field of fractions and f a non-zero element of K[X] ;an element c of K* will be called a content off if it is a g.c.d. of the coefficients off. Let v be a valuation on K which is essential for A and fi its canonical extension to K[X] (defined by a Xi = inf v(ai); cf. Chapter VI, fj 10, no. 1, Proposition 2 ) ; then V ( f ) = v(c). LEMMA 1 (Gauss). L e t f , f be non-zero elements o f K[X] and c, c contents off,f Then cc is a content o f f f .

fi(7, )

If P satisfies this condition, clearly all its elements are extremal and every extremal element of A is associated with a unique element of P. Recall that P is then called a representative system ofextremal elements of A (Algebra, Chapter VII, 3 1, no. 3, Definition 2). Suppose always that A is factorial. It has been seen (no. 2, Theorem 1) that the group B* is a lattice. We may therefore apply the results of Algebra, Chapter VI, fj 1, nos. 9 and 13. In particular, every element of K* may be written in an essentially unique way in the form of an irreducible fraction. Any two elements a, b of K* have a g.c.d. and a 1.c.m; if a = u

Let d be a content off f . For every valuation v on K which is essential for A, let V denote its canonical extension to K[X]. Then
v ( d ) = U( f f ) = V ( f ) V ( f ) = V ( C ) Hence ccd-l is an invertible element of A.

~ ( 6 )=

u(cc).

npn@)
PEP

and

are decompositions of u and b as products of extremal elements, then:

(1)

THEOREM 2. Let A be afactorial domain, K itsfild o fractions, (p,) a representative f system o f extremal elements of A and (PA)a representative system o f irreducible polynomials of K[X], each PAhaving 1 as a content. Then: (i) A[X] is a factorial domain; (ii) the set o f @ , and PAis a representative system of extremal elements ofA[X].
Let f be a non-zero element of A[X]. In the ring K[X] f can be decomposed uniquely in the form:
f =a

g.c.d. (a, b) = w

npint(m(p).n(p))

Pep

P:(A)

( a E K*, n(h)

2 0).
505

504

VII

DIVISORS

THE PREPARATION THEOREM

9 3.8

Lemma 1 proves that a is a content off. Hence a E A. As A is factorial, a can be decomposed uniquely in the form:

=u

(u invertible in A, m(i) )

2 0).

Observe that the seriesf(XU,'l), . . .,XU,"- l), X k , . . .,X,) can be considered as a series in x k and x, with coefficients in E[[Xk+,, . . ., x,-,]].Thus we see that it suffices to establish the lemma for n = 2. Therefore let

Whence the existence and uniqueness of the decomposition:

C eljxfY' E E"X,
Lj

Y]]

f =u

np y n
h

Pn,c*).

Note that this theorem proves that every element of A admits the same decomposition into extremal elements in A and A[X]. The g.c.d. of a family of elements of A is therefore the same in A and in A[X]. We may also use Proposition 18 o f $ 1, no. 10 to show that A[X] is a factorial domain if and only if A is a factorial domain.

wheref # 0. Let G c N x N be the non-empty set of ordered pairs ( i , j ) such that e,j # 0. Let N x N be given the lexicographical ordering. Let (c, d ) be the least element of G. Choose an integer p > d. In the expansion of
c

we look for the terms of degree cp possible, for this would give

+ d. If ip + j

= cp

+ d, i 2 c + 1 is im-

COROLLARY. IfA is a factorial domain, the domain A[X,,

Argue by induction on n.

. . .,X,]

ip + j 2 (c + l)p + j
J '

> (c + 1 ) p > cp + d ;

isfactorial.

nor is i < c possible, for (c, d ) is the least element of G; therefore i = c and then = d. The term of degree cp + d in f ( T P , T) is therefore eCdTCP+d. Since ecd # 0, f (Tp, T) # 0 Whence the lemma. .

This corollary may be extended to the case of an infinite family of indeterminates (cf. Exercise 2).
6. FACTORIAL DOMAINS AND ZARISKI RINGS

PROPOSITION 4. Let A be a Zarzjki ring and domain, A is a factorial domain. This follows from no, 1, Definition 1 and

its completion. I f A is a factorial

10, Proposition 16.

3 1, no.

COROLLARY. I the completion 0 f a Noetherian local ring A is a factorial domain, A f is a factorial domain.
7. PRELIMINARIES ON AUTOMORPHISMS OF RINGS OF FORMAL POWER SERIES

In the ring E[[X,, . . .,X,]], let a be the ideal of formal power series without constant term. If a,,.., w, are elements of a, recall that the mapping . f (X,, . . ., X,) ++ (w,, . . ., w,) is the unique endomorphism s of the ring f E[[X,, . . ., X,]] such that s(X,) = w1 for 1 < i < n (Chapter 111, 3 4, no. 5, Proposition 6). We take w1 = X, X:"', . . ., w , - , = X,-, w , = X,, where the u ( i ) are integers > 1. Let s' be the endomorphism of E[[X,,. . ., X,]] which maps X, to X, - X~"),.. .,X,-, to X,-, - Xi'"-1' and X, to X,. Then s'(s(X,)) = X, for 1 < i < n and hence s' s is the identity automorphism; similarly for s 0 s'. Hence s is an automorphism.

+
0

LEMMA 3. Let f be a non-zero element of E[[X,, . . ., X,]]. There exist integers ~ ( i 2 1 (1 < i < n - 1) such that the automorphism s ofE dtjined by )
s(&) = Xi -t xi(') (1 < i < n - 1) and s(X,) = X, maps f to an element g such that g ( 0 , . . .,0, X,) # 0.

LEMMA 2. Let f (X,, X2,. .,X,) be a formal power series # 0 with coeficients in a . ring E. There exist integers u ( i ) 2 1 (1 < i < n - 1) such that

f (TU(l), .,TU(%-T) # 0. . l),

f(X('),. .,xi('-'),x k , . . .,x,) .

Suppose that integers u ( i ) 3 1 (1 < i < k - 1) are determined such that # 0 w e shall determine an integer . u(k) 2 1 such that

g ( 0 , . . .,0, X,) = f (X('),. .,XU,("-l), X,). Lemma 3 is therefore a conse. quence of Lemma 2.
8. THE PREPARATION THEOREM

The lemma will then be proved by induction. 506

In this no. A will denote a local ring, rn its maximal ideal and k = A/m its residue field. Suppose that A is Hausdorff and complete with the rn-adic topolology. Let B = A[[X]]; it is local ring whose maximal ideal 21 is generated

507

VII

DIVISORS

THE PREPARATION THEOREM

3 3.8

by m and X ; with the 92-adic topology, B is Hausdorff and complete (Chapter 111, 5 2, no. 6, Proposition 6 ) . For every formal power series

sequence (q("))of elements of B: we take q ( O ) to be the unique series satisfying:

(5)
m

= XsQ
00

(O)

(mod. M) ;

f
we write

f=O

c
m I

a,XfEB,

writing h = f = O hiXf and qcn) = i = O qp)Xi,the q:") are defined by:

f = i2 5,X' E k [ [ X ] ] , =o
where i, denotes the canonical image of a, in k. The seriesfwill be called the reduced series off; iff # 0, the order off (that is the least integer s such that as4 m) will be called the reduced order off. PROPOSITION 5. Let f E B be a series whose reduced series is non-zero. Let s denote its reduced order and M the sub-A-module of B with basis { 1, X , . . .,X s- l. Then B is the } f direct sum o M and f B and f is not a divisor of zero in B. (a) We show that f B n M = (0). Suppose that there is a relation:

It follows immediately from ( 6 ) that: (7)

XsQ("1

= hQ("-l)

(mod. M).

As h, E m for all j , it also follows from ( 6 ) ,by induction on n, that ql") E m" for all i and all n. As A is complete, it follows that the series q'0' + q'l' + . . . + q(n) + . . .
converges to an element q of B. By (5) and (7), (8) XS(q(O)+ q(l) + . . . + qC0) = r + h(q(O) + . . . + q ( " - l ) )
As M is closed, at the limit (8) gives r

(mod. M).

= (Xs - h)q (mod. M), that is

cf B

r~ f g - l q We show that the b, (and hence the r,) are all zero, which will prove in parcular that f is not a divisor of zero in B. Since A is Hausdorff, it suffices to show that 6, E m" for all i 2 0 and all n 2 0. It is obvious for n = 0. We shall argue by double induction: we shall assume that b, E m n - l for all i and b, E m" for

+M

+ M.

We may also use the results of Chapter 111, fj2 to show the relation B = f B + M (cf. Exercise 12). The method followed here has the advantage of being applicable to convergent series.

i < k and show that this implies that b, E mn.For this, we write f
and compare the coefficients of X s + in ( 3 ); then:
(4)

i=l

aiXt

bk-lUs+l) bka, (bk+las-i bk+sao) = 0. (boa8.k The terms in the first bracket belong to m" since the b, E mnfor i < k; similarly for those in the second, since the b, E m"- for all i and the a, E m for i < s - 1. Hence b,a, E mn and, as a, is an invertible element of A , b, E m". (b) We show that f B + M = B. We write
. = a, g

+'..+

COROLLARY. With the hypotheses and notation of Proposition 5 , suppose that s 2 1, + BX. Then the A-homomorphism h ofB' = A [ [ T ] ] to B = A [ [ X ] ] such that h ( T ) = f (Chapter 111, fj2, no. 9, Proposition 11 (a)) dtjines on B afree B'-module structure admitting { 1, X, . . .,Xs- as basis. In particular h is injective. '}
so that f E Bm

+ U,+lX + as+,X2
* *

+.**;

it is an invertible element of B. Then

- xsg

= a0

+ a,X + . + as-,XS-l;

if therefore we write fg-1 - Xs = ( f Xsg)g-l = - h, the coefficients of h belong to m. Then let r be an element of B. By induction on n we define a

Let the B'-module B be given the (T)-adic filtration, which consists of the f"B for n 2 0 (Chapter 111, 3 2, no. 1). Then BIfB is a free module over the ring A = B'/TB' and the images of the X i (0 < i < s - 1) in this A-module form a basis of it (Proposition 5) ; as moreover f is not a divisor of zero in B (Proposition 5 , Bfn/Bf"+ is also a free (B'/TB')-module of rank s, so that con) dition (GR) of Chapter 111, 2, no. 8 is satisfied (replacing A by B' and M by B ) . O n the other hand, since B' is HausdorfF and complete with respect to the (T)-adic filtration and gr(B) is a finitely generated gr(B')-module by the above, it is seen first (Chapter 111,s 2, no. 9, Corollary 1 to Proposition 12) that B is a finitely generated B' module. The first assertion of the corollary then follows from Chapter 111, 8 2, no. 9, Proposition 13. The second follows immediately from it.

508

509

VII

DNISORS

FACTORIALITY OF RINGS OF FORMAL POWER SERIES

3 3.9

DEFINITION 2. A polynomial F E A[X] is called distinguished ; f i t is ofthe form F = Xs

+ as-l

x s1

+ . . . + a,,

where a, E m f o r 0

< i < s - 1.

Conversely, if F is not extremal in A[[X]], then F = gh, where neither g nor his invertible inB; their reduced ordersare therefore >, 1;then the distinguished polynomials ug and u - l h of Proposition 7 are not constant, which shows that F is not extremal in A[X].
9. FACTORIALITY OF RINGS OF FORMAL POWER SERIES

Note that the product of two distinguished polynomials is a distinguished polynomial. PROPOSITION 6 (Preparation Theorem). Let f E B be a series whose reduced series is not zero and s its reduced order. Then there exists a unique orderedpair (u, F) such that u is an invertible element of B, F a distinguishedpolynomial of degree s and f = uF. We write F = Xs + G, where G = go + . -.gs-lXs-l, EA). The relation (g f = uF is equivalent to F = u - tf,that is to Xs = u - tf - G. Hence Proposition 5 shows the uniqueness of G and u - l and therefore of F and u. I t also shows that there exist v E B and a polynomial G = go + . * + gs- ,XS- ( g , E A) such f that Xs = v - G; it remains to show that v is invertible in B and that g, E m for all i. Now, writing j , for the canonical image ofg, in k and$V for the reduced series o f 5 g, x + .go + &X + * . . + .g*a-lxs-l ; s =JV sincefis of order s, & = 0 for all i and 5 is of order 0, hence v is invertible.

PROPOSITION 8. Let C be a ring which is either a j e l d or a discrete valuation ring. Then the domain of formal power series C[[Xl, . . .,X,]] isfactorial.
Let p be the maximal ideal of C and x a generator of P (if C is a field, then x = 0). Let C be given the p-adic topology, which is Hausdorff. As C is a Noetherian local ring, B = C[[X,, . . ., X,]] is a Noetherian local ring and its completion is c[[X,, . . .,X,]] (Chapter 111, 3 2, no. 6, Proposition 6). By the Corollary to Proposition 4 (no. 6), it suffices to prove that er[Xl, . . ., X,]] is factorial. Now, if C is a field, then = C ; if C is a discrete valuation ring, the same is true of 6 (Chapter VI, 3 5, no. 3, Proposition 5). We shall therefore assume in the remainder of the proof that C is complete. Arguing by induction starting with the trivial case n = 0, we shall assume that it has been proved that A = C[[Xl, . . ., X,-l]] is factorial. We shall identi@ B with A[[X,]] and denote by m the maximal ideal ofA (generated by x , XI, . . . , X, - ,). We shall prove that every non-zero element g of B is, in an essentially unique way, a product of extremal elements. Let K be the field C/Cx; as B/Bx is identified with K[[X,, . . ., X,]], the ideal Bx is prime and x is extremal. If x # 0, BBnis therefore the ring of a normed discrete valuation w (Chapter VI, 5 3, no. 6, Proposition 9) ;every nonzero element g of B may therefore be written as g = xwcgy, where f E B and f is not a multiple of x . It will therefore suffice to show that f is an essentially unique product of extremal elements. Now the canonical image off in K[[Xl, . . .,X,]] is not zero; Lemma 3 (no. 7) therefore shows that there exists an automorphism of B which maps f to an elementf such that the coefficients off(0,. . ., 0, X,) are not all in Cx; this means that the coefficients of the seriesf, considered as a formal power series in X,, are not all in m. I t will suffice to prove our assertion forf . I n what follows, all the elements of B will be considered as formal power series in X, with coefficients in A. By Proposition 6 of no. 8 (applicable since C and therefore A are separable and complete and the reduced seriesoff is # 0), f associated, in B, with aunique distinguished polynomial F. By Proposition 7 is of no. 8, every series which dividesf (or, what amounts to the same, which dividesF) is associated withadistinguishedpolynomialwhichdividesFandevery decomposition off is, to within invertible factors, of the form f = uF, . . .F,, where u is invertible and the F, are extremal distinguished polynomials (in B) such that F = Fl . . .Fa.By the Corollary to Proposition 7 of no. 8, the F, are also
51 1

PROPOSITION 7. Let F be a distinguished polynomial and g, h two formal power series ofB such that F = gh. Then there exists an invertible element u of B such that ug and u-lh are distinguishedpolynomials and F = (ug)( u - l h ) .
In fact, the reduced series of g and h are #O; hence, by Proposition 6 , there exist invertible elements u, v of B such that ug and vh are distinguished polynomials. Then uvF = (ug)(vh) is a distinguished polynomial and uv is invertible. Passing to the reduced series, it is seen immediately that F and uvF have the same reduced order, that is the same degree. The uniqueness assertion in Proposition 6 therefore shows that F = uvF, whence uv = 1. COROLLARY. Suppose further that A is an integral domain and F a distinguishedpolynomial of degree s. For F to be extremal in A[X], it is necessary and suficient that it be extremal in B = A[[X]]. Suppose that F is not extremal in A[X], so that F = f, , , where f l andf, are f non-invertible elements of A[X] ; the product of the dominant coefficients of f 1 and f a being equal to 1, these coefficientsare invertible in A and the hypothesis implies that fi and f , are of degrees > 0 and <s; as the reduced polynomialsf,,f, satis@Jf, = x , neitherf, norf, can be invertible in k[[X]], for, s iff1 were invertible, fa would be of order s, which is absurd. Afortwri, neither f 1 nor fzis invertible in B and F is not extremal in B.
510

vn

DIVISORS

LATTICES

8 4.1

extremal in A[X,,]. Now, as A is factorial by the induction hypothesis, so is A[&] (Theorem 2, no. 5) ; hence, since they are monic, the Fi are uniquely determined by F (up to a permutation). This shows the uniqueness of the decomposition f = uF,. . .F,; its existence follows from the fact that B is Noetherian, which completes the proof.
Remarks (1) There exist factorial rings A such that the ring A[[X]] is not factorial (Exercise 8). However, if A is a principal ideal domain, A[[X,, .. ., X,]] is factorial (Exercise 9). (2) * We shall see later, by homological methods, that every regular local ring is factorial (cf. 5 4, no. 7, Corollary 3 to Proposition 16). This will give another proof, conceptually simpler, of Proposition 8. *

(2) If rgK(V) = n, every free sub-A-module L of V has a basis containing at most n elements, every subset of V which is free over A being free over K ; for L to be a lattice of V, it is necessary and sufficient that L have a basis of n elements (in other words, that rg,(L) = n). (3) If A is a principal ideal domain, every lattice M of V is a finitely generated Amodule (since A is Noetherian) which is torsion-free and hence a free A-module (Algebra, Chapter VII, 3 4, no. 3, Corollary 2 to Theorem 2).
PROPOSITION 1. For a sub-A-module M o V to be a lattice of V, it is necessary and f sufficient that K M = V and that M be contained in a finitely generated sub-A-module o f V. The conditions are obviously necessary, for a free sub-A-module of V with the same rank as V generates V. Conversely, if K M = V, M contains a basis (a,) G I G,,of V over K and hence it contains the free sub-A-module L, generated by the a,; on the other hand, if M c M,, where M, is a sub-A-module of V generated by a finite number of elements b, and (el), is a basis of V over K, there exists an element s # 0 of A such that each of the b, is a linear combination of the s-le, with coefficients in A; if L, is the free sub-A-modules of V generated by the s-le,, then M c L,.

4. MODULES OVER INTEGRALLY CLOSED NOETHERIAN DOMAINS

Throughout this paragraph, A will be a commutative integral domain with field of fractions K. Starting with no. 2, A will be further assumed to be Noetherian and integrally closed (and hence a Krull domain (3 1, no. 3, Corollary to Theorem 2)); then P(A), D(A) and C(Aj will respectively denote the set of prime ideals ofA of height 1 (5 1, no. 6), the divisor group of A (5 1, no. 3) and the divisor class group of A (5 1, no. lo), these latter being written additively. The general method of studying finitely generated modules over an integrally closed Noetherian domain A consists of localizing the modules with respect to all the prime ideals p E P(A) of height 1 in A; as A, is then a discrete valuation ring (3 1, no. 6, Theorem 4), the structure of finitely generated Apmodules is well known (Algebra, Chapter VII, 5 4) and therefore gives information about the structure of finitely generated A-modules, In the particular case where A is a Dedekind domain, we can arrive at as complete a theory as when A is a principal ideal domain (no. 10).
1 LATTICES .

COROLLARY. Suppose that A is Noetherian; f o r a sub-A-module M o f V to be a lattice o V, it is necessary and sufficient that K M = V and M be finitely generated. f
Remark ( 1j. Recall that for every sub-A-module M of V the canonical mapping M @A K -+ is injective and has image K M (Algebra, Chapter 11, 3 7, no. 10, V Proposition 26) ; to say that K M = V means therefore that this mapping is bijective.

PROPOSITION 2. Let M be a lattice ofV and M, a sub-A-module ofV. If thereexist two elements x , y ofK* such that xM c M, c yM, M, is a lattice o V; conversely, f if M, is a lattice o f V, there exist two non-zero elements a, b o f A such that a M c M, c b-lM.

DEFINITION 1. Let V be a finite-dimensional vector space over the field K. A lattice of V with respect to A (or simply a lattice ofV) is defined to be any sub-A-module M of V satisfying the following condition :
There exist two free sub-A-modules L1, L 2 o f V such that L, c M c L, and rg*(L1) = rglt(V). Examples (1) If we take V = K, the lattices of K are just the fractiona1 ideals # (0) of K (3 1, no. 1, Definition 1). 512

If L,, L, are two free lattices of V such that L , c M c L,, the relations x M c MI c yM imply x L , c M, c y L , and x L , and yL, are free lattices; conversely, if M, is a lattice and (e,),,,,, a basis of L, over A, the relation KM, = V implies the existence of x = a/s E K* (where a and s are non-zero elements of A) such that xe, E M, for all i, whence xM c x L , c M, and a fortiori aM c M,; exchanging the roles of M and M, it can be similarly shown that there exists b # 0 in A such that b M , c M.
PROPOSITION 3. (i) IfM, and M, are lattices ofV, so are M1 n M, and M,

+ M,.
513

(ii) If W is a vector subspace of V and M is a lattice ofV, M n W is a lattice ofW.

VII

DIVISORS

LAlTICES

8 4.1

(iii) Let V, V,, . . .,V, be vector spaces of finite rank over K and let

f:v,

x . - - x v,-+v

be a multilinear mapping whose image generates V. If M, is a lattice ofV, f o r 1 < i < k , the sub-A-module ofV generated by f (M, x . . ' x M,) is a lattice o f V. (iv) Let V and W be two vector spaces of finite rank over K, M a lattice ofV and N a lattice o W. The sub-A-module N: M of Hom,(V, W), consisting o the K-linear f f mappings f such that f (M) c N, is a lattice of HOmK(V, w).

and it has been seen that M @A K and N @A K are respectively identified with V and W. In particular, if we take W = K, N = A, HOmK(V, w) is just the dual vector K-space V* of V and A: M is identified with the dual A-module M* of M; we shall henceforth make this identification and we shall say that M* is the dual lattice of M: it is therefore the set o x* E V* such that ( x , x*) E A for all f

XEM.
COROLLARY. Let U, V, W be three vector spaces of finite rank over K and f: U x V -+W a left non-degenerate K-bilinear mapping (Algebra, Chapter IX, 5 1, no. 1, Definition 3). IfM is a lattice ofV and N a lattice of W, the set N: ,M of x E U such that f ( x , y) E N f o r a l l y E M is a lattice of U.
Let s,: U -+HomK(V,w) be the K-linear mapping left associated with f (Algebra, Chapter IX, IOG. cit.) such that s,(x) is the linear mapping y t+ f ( x , y) ; recall that to say that f is left non-degenerate means that s is injective. By , on , ' W); as N: ,M = s,-l(N: M) Proposition 3 (iv), N: M is a lattice of H r & and s is injective, the corollary follows from Proposition 3 (ii). ,
Examples (4) Let S be a (not necessarily associative) K-algebra of finite rank with a unit element; then the bilinear mapping ( x , y) H x y of S x S to S is (left and right) non-degenerate. If M and N are lattices of S with respect to A, so are M. N (Proposition 3 (iii)) and the set of x E S such that x M c N (Corollary to Proposition 3). Note that there exists a sub-A-algebra of S containing the unit element of S which is a lattice of S; for consider a basis (et)lGi6nof S such

(i) By virtue of Proposition 2, there exist non-zero a and b in A such that aM1 c M, c b-lM,; we conclude that M, n M, and M, + M, lie between a M 1 and b-lM, and are therefore lattices by virtue of Proposition 2. (ii) Let S be a complement of W in V, L, a free lattice of W and L, a free lattice of S, so that L = Lw @ L, is a free lattice of V. Then there exist x , y in K* such that xL c M c yL. We deduce that xLw c M n W c yLw, which shows that M n W is a lattice of W (Proposition 2). (iii) As KM, = V,, clearly by linearity f (M, x . x M,) generates the vector K-space V; on the other hand, for all i, there exists a finitely generated sub-A-module N, of V, such that M, c N,; the sub-A-module N of V generated by f (N, x . . x N,) is finitely generated and contains M and hence M is a lattice of V (Proposition 1). (iv) Let P (resp. Q) be a free lattice ofV (resp. W) containing M (resp. contained in N); obviously N: M 2 Q: P. Now it is immediate that Q: P is isomorphic to HomA(P,Q), hence is a free A-module of rank (rgA P) (rgA Q) (Algebra, Chapter 11, fj 1, no. 6, Corollary 1 to Proposition 6) and therefore a lattice of Hom,(V, W). Similarly, if P' (resp. Q') is a free lattice ofV (resp. W) contained in M (resp. containing N), then Q': P' f3 N: M and Q: P' is a lattice of HomK(V,w) ; whence the conclusion.

that el is the unit element of s and let e,e, = tijkek be the multiplication table of S (1 < i d n, 1 < j < n), so that Cljk = 8jky C{,k = 8, (Kronecker sym1 bols). Let s E A be a non-zero and such that c;jk = s.cuk E A for all triplets of indices (i,j, k); ifwe write el = s-le, for i 2 2, then
eie;
=

Remark (2) Proposition 3 (i) shows that the set R(V) of lattices of V is lattice-ordered with respect to inclusion; moreover, if M is a fixed lattice of V, the xM, where x runs through K*, form a subset of R(V) which is both coinitial and cofinal (Set Theory, Chapter 111, fj 1, no. 7). (3) In the notation of Proposition 3 (iv), the canonical mapping

scijle1

2 ,

CIjke;

N: M -+ HomA(M,N),
which maps every K-linear mappingf E N : M to the A-linear mapping from M to N which has thc same graph asf 1 M, is bijective;for every A-linear mapping g : M --+ N can be imbedded in a K-linear mapping
g @ 1 : M @A .

for i 3 2 a n d j 2 2; the lattice of S with basis el and the el (2 < i < n ) is a sub-A-algebra of S with unit element el. (5) Let V be a finite-dimensional vector space over K and f a non-degenerate bilinear form on V. If M is a lattice of V, it follows from the Corollary to Proposition 3 that the set MF of x E V such thatf (x, y) E A for ally E M is also a lattice of V; if s V +V* is the linear mapping left associated with f (which , : is bijective), s,(MT) is just the dual lattice M* of M. PROPOSITION 4. Let B be an integral domain, A a subring of B and K and L the respectivejelds o fractions of A and B. Let V be a jinite-dimensional vector space over f K.
515

K-+ N

@ A

514

VII

DIVISORS

DUALITY ; REFLEXIVE MODULES

(i)Fnr everu lattice M of V with respect to A, the image BM of M,,, = M @A B . , 1-J in V,,, = V QK L is a lattice of V(L) with respect to B. (ii) Supposefurther that B is a j a t A-module. Then the canonical mapping Mo,-+BM is bijective. Iffurther B is faithfully Jlat, the mapping which maps every lattice M of V with respect to A to the lattice BM o f V,,, with respect to B is injective. (i) As KM = V, clearly L . (BM) = V,,,; on the other hand M is contained in a finitely generated sub-A-module M1 of V and hence BM is contained in BM1 which is a finitely generated B-module; whence assertion (i) (Proposition 1). (ii) V,,) = V & 1 = V QA (Chapter 11,s 2, no. 7, Proposition 18) and, , L as L is a flat B-module, it is also a flat A-module (Chapter I, $ 2 , no. 7, Corollary 3 to Proposition 8). As B is a flat A-module, the canonical mapping M @A B +V B is injective; on the other hand, since V is a free K-module and K a flat A-module, V is a flat A-module (Chapter I, $ 2 , no. 7, Corollary 3 to Proposition 8) and hence the canonical mapping V @A B -+ V @A L is injective, which establishes the first assertion. To see also that the relation BM, = BM2 implies M, = M, for two lattices M,, M, of V with respect to A when B is a faithfully flat A-module, note first that BM, n BM, = B(M, n M,) (Chapter I, 5 2, no. 6, Proposition 6 ) ;we may therefore confine our attention to the case where M, c M, and our assertion then follows from Chapter I, 3, no. 1, Proposition 3 applied to the canonical injection M1 + M,.
J

2 that there exist a, b in A {O} such that a f f L c M' c b A L , whence a L c M' n V c bL. Moreover M' is open in V and, as V is dense in 9, M' is the completion of M' n V = M; this proves that is surjective, whence the corollary.

3 4.2

Example ( 6 ) Let S be a multiplicative subset of A not containing 0; we apply Proposition 4 to B = S-lA; then L = K, BM = S-lM; hence S-lM is a lattice of V with respect to S-lA. Moreover:

PROPOSITION 5. Let V, W vector spaces ofjnite rank over K, M a lattice ofV and N a lattice o f W. If M isjnitely generated, then (in the notation of Proposition 3) :
(1)

S-l(N: M) = S-'N: S-IM

in HOmK(V, w).

Clearly the left hand side of (1) is contained in the right hand side. Conversely, ~ ~ ~ ~ ~ let f E S-": S-lM and let ( x ~ be )a system of generators of M. There ~ exists s E S such thatf(xt) E s-lN for all i and hence s f N: M, which proves the proposition.
2. DUALITY; REFLEXIVE MODULES

COROLLARY. Suppose that A is a discrete valuation ring. Let A be its completion and let R be thejeld of+actionr ofA (Chapter VI, $ 5 , no. 3). The mapping +, which maps every lattice M ofV to the lattice AM o f = V g KR with respect to A, is bijective and its inverse maps every lattice M' of9 with respect to to its intersection M' n V (V being canonically identified with a vector sub-K-space $9).

If L is a free lattice of V, the lattices a L (for a E A, a # 0 ) form a fundamental system of neighbourhoods of 0 for a topology F on V (compatiblewith its Amodule structure), which (when a basis of L over A is taken) is identified with the product topology on K"; by virtue of Proposition 2, a fundamental system of neighbourhoods of 0 for F also consists of all the lattices of V with respect to A; clearly 9 is the completion of V with respect to F.Moreover, if m is the maximal ideal ofA, the topology F induces on every lattice M ofV with respect to A the m-adic topology since M is a finitely generated A-module (Chapter 111, $ 3, no. 2, Theorem 2) and AM is the completion of M with respect to this topology (Chapter 111,s2, no. 12, Proposition 16); moreover, as M is open (and therefore closed) in V, AM n V = M, which proves again the fact that is injective (which follows directly from Proposition 4, (ii), since A is a faithfully flat Amodule). Finally, if M' is a lattice of 9 with respect to & M = M' n V is a lattice of V with respect to A, for every element of A is the product of an element of A and an invertible element of A and hence it follows from Proposition

Recall that from now on the domain A is assumed to be Noetherian and integrally closed and that P(A) (or simply P) denotes the set of prime ideals of A o f height 1. Every lattice with respect to A is a finitely generated A-module (no. 1, Corollary to Proposition 1). Let V be a vector space of finite rank over K, V* its dual and V** its bidual; we shall identify V and V** by means of the canonical mapping cv (Algebra, Chapter 11, $ 7, no. 5, Theorem 6). Let M be a lattice ofV; recall that the dual A-module M* of M is canonically identified with the dual lattice of M, the set of x* E V* such that ( x , x * ) E A for all x E M; the bidual A-module M** of M is therefore a lattice of V which contains M. Moreover M*** = M*, for the relation M c M** implies (M**)* c M* and on the other hand M* c (M*)** by the above (cf. Set Theory, Chapter 111,s 1, no. 5 , Proposition 2). If p is a prime ideal, Proposition 5 applied with N = A gives the relation (M*), = (Mp)*,which justifies the notation M,* for both terms.

THEOREM 1. If M is a lattice o f V, then M*

n Mp*.
PEP

X* E

Clearly M* is contained in each of the M,*. Conversely, suppose that MF; if x E M, then ( x , x * ) E A, and, as A = p9pAP($ 1, no. 6, PEP Theorem 4 ,x* E M*. Pep )

516

517

VII
COROLLARY.

DIVISORS

DUALITY; REFLEXIVE

MODULES

8 4.2

M**

,QM~.

Theorem 1 applied to M* shows that M** = Mp**.But as A, is a principal ideal domain (5 1, no. 6, Theorem 4), M, is a finitely generated free A,-module and hence M is canonically identified with M, (Algebra, Chapter 11,s 2, no. : * 7, Proposition 14), whence the corollary. For any lattice M with respect to A, the canonical mapping cM: M -+ M** (Algebra, Chapter 11, 5 2, no. 7) identifies an element x E M with itself, for x is the unique element y of V = V** such that ( x , x * ) = (y, x * ) for all x* E M*, since M* generates V*. We shall say that M is refexive if M** = M (loc. cit.). As we have above M* = (M*)**, it is seen that the dual of any lattice M is always refexive.
Remark (1) Let M be a finitely generated A-module; it is immediate that the dual M* of M, identified with a sub-A-module of Hom,(M, K) is a lattice of the vector K-space Hom,(M, K) ; in particular, every finitely generated reflexive A-module is isomorphic to a lattice of a suitable vector K-space.
THEOREM 2.

,Cp

no. 3, Corollary 1 to Proposition 7). We conclude that Ass(M**/M) = 0, whence M** = M (Chapter IV, 3 1, no. 1, Corollary 1 to Proposition 2). COROLLARY. Let M, N be two lattices ofV with respect to A such that N i refexive. s I n order that M c N, it is necessary and sujicient that, f o r all p E P, M, c N,. The condition is obviously necessary and, if it is fulfilled, then
PEP

M p C CPNp= N.

AS

= M** = Pn M,, EP

certainly M c N.

I f M is a lattice ofV, the following conditions are equivalent: (a) M is reflexive. (b) M = P E P M,. (c) Ass(V/M) c P.

Examples (1) Everyfree lattice is reflexive. (2) Take V = K. For a fractional ideal a of K to be a reflexive lattice, it is necessary and sufficient that it be a divisorial ideal by virtue of criterion (b) of Theorem 2 and 5 1, no. 4, Propositions 5 and 7. (3) Let M be a lattice with respect to A; if S is a multiplicative subset of A not containing 0, Proposition 5 of no. 1 shows that S-l(M*) = (S-lM)*; if M is reflexive, S-lM is therefore a reflexive lattice with respect to S-lA.

The equivalence of (a) and (b) follows from the Corollary to Theorem 1. If (b) holds, V/M is canonically identified with a sub-A-module of the product
PEP

(V/Mp); but in fact, it is contained in the direct sum P@ (V/M,): for if EP L c M is a free lattice and (el) , a basis of L, each of the coordinates xi of a , point x E V with respect to (el) belongs to A, except for a finite number of values of p E P. The relation V/M c (V/M,) then implies:

PROPOSITION 6. (i) If M, and M, are refexive lattices o V, so is M, n M,. f (ii) I f W is a vector subspace of V and M is a refexive lattice ofV, M n W is a refIexive lattice of W. (iii) Let V, W be two vector spaces ofjnite rank over K and M (resp. N) a lattice o f V (resp. W). IfN is refexive, the lattice N: M ofHom,(V, W) (no. 1, Proposition 3) is refexive. (i) (M, n M,), = (M1), n (M,), for all p E P (Chapter 11, tj 2, no. 4, Theorem 1). If M, = (M,), and M, = (M,),, then

FP

Ass(V/M) c
# O of V/M,, since the elements of A

,c

,Cp

,Cp

Ass(V/M,).

M, n M, =

As VIM, is an A,-module, an element ofA p cannot annihilate an element p are invertible in A,; the elements of Ass(V/M,) are therefore contained in p and are #O, since V/M, is a torsion A,-module; as p is of height 1, necessarily Ass(V/M,) = (p} if V/M, # (0) and Ass(V/M,) = if V/M, = (0); hence Ass(V/M) c P. Finally, if condition (c) holds, then

PEP

n (M, n M,),

whence the conclusion by virtue of Theorem 2. (ii) Similarly (M n W), = M, n W, = M, n W, whence

MnW=

PEP

n (MnW),,
n
PEP

Ass(M**/M) c Ass(V/M) c P.
On the other hand, if p E P, then it has been seen in the proof of the Corollary to Theorem 1 that M,** = M,, whence p Ass(M**/M) (Chapter IV, 5 1, 518

which proves (ii). (iii) As M is finitely generated, it follows from no. 1, Proposition 5 that (N: M), = N,M,; moreover, the relation N = N, implies:

519

LOCAL CONSTRUCTION OF REFLEXIVE MODULES

VII

DIVISORS

5 4.3

ForiffEvQp(NP:MP) a n d x E M , then f ( x ) E p c F N p =N , w h e n c e f ~ N : M ; this shows that N: M is reflexive. Remarks (2) If M, and M, are reflexive lattices of V, the lattice M, + M, is not necessarily reflexive (cf. 3 1, Exercise 2). (3) If M is a finitely generated A-module and T its torsion submodule, the dual M* of M is the same as the dual of M/T, since, for every linear formf on My the image f (T) is a torsion submodule of A and hence zero. As M / T is isomorphic to a lattice of a vector space over K, it is seen that the dual of every finitely generated A-module is rejlexive.

orx E Mya E M*. As M is a quotient of a finitely generated free R-module L, ? M* is isomorphic to a sub-R-module of the dual L* and L* is free and finitely generated; since R is Noetherian, M* is therefore also a finitely generated R-module, whence an isomorphism wM*: (M**)(,, + ((M*)(,))* such that
(x* @ 1, a , % * @ 1)) = p((x*y x * * ) ) ,(*

for x* E M and x** EM**. O n the other hand, there is an isomorphism wM:(M(,,)** -+ ( (M*)(,,)*, whence by composition a canonical isomorphism:

$
(1)

(tWh.ll)

(wM*) : (M**)(S)

--f

(M(S))**

such that, in the above notation:

(wM(x*

PROPOSITION 7 . Let 0 --f M -+ N -+ Q-+0 be an exact sequence o A-modules. f SuHose that N is finitely generated and torsion-free. (i) If M is rejlexive, then Ass(Q) c P u (0) (in other w o r h , every ideal () associated with Q, is, either (0), or o height 1). f (ii) Conversely, ifN is rejlexive and Ass(Q) c P u {{0}}, then M is rejlexive.

@ l), $(.**

@ l))

= p((x*, x**>)*

We consider now the canonical homomorphism cM: M -+ M** and show that the composite homomorphism :

As A is Noetherian, M is also finitely generated; if we write V

0 -+ V/M -+ W/M -+ WlV --t 0
0 -+ Q+ W/M + W/N -+ 0. (i) We deduce (Chapter IV,

= M(K), W = N(=,, M (resp. N) is canonically identified with a lattice of V (resp. W) (no. 1, Proposition 1). Consider the two exact sequences:

is just the canonical homomorphism which gives the relations :

<wM(x*

c ~ ( ~ ) .

This follows immediately from (1)

+(.

8 l))

3 1, no.

1, Proposition 3) that:

@ 9 wM(x* 8 I ) ) and from the fact that the elements wM(x* 8 1) generate (Mo,)*. This being so, the hypothesis that M is reflexive means that cM is bijective, hence so is tM 1 and therefore @ = c ~ (is~bijective, which shows the proposition. )

= P(<x*, c M . ( x ) ) ) = p ( ( x , x*>) = <x

h ( Q ) c ASS(W/M) c ASS(V/M) u ASS(W/V). If M is reflexive, then Ass(V/M) c P (Theorem 2); on the other hand, clearly Ass(W/V) is, either empty, or reduced to (0); whence (i). (ii) Similarly: Ass(V/M) c Ass(W/M) c Ass(Q)
3. LOCAL CONSTRUCTION OF REFLEXIVE MODULES

We keep the notation and hypotheses of no. 2. We shall say that a property holds for almost all p E P if the set of p E P for which it is not true is finite.

u Ass(W/N).

The hypotheses therefore imply that Ass(V/M) c P u {{O}}. But V/M is a torsion A-module and hence ( )# Ass(V/M) ;Theorem 2 then shows that M is 0 reflexive. PROPOSITION 8. Let R and S be two commutative rings, p: R -+ S a ring homomor# h i m and M ajnitely generated R-module. Suppose that R is Noetherian and that S is a Jut R-module. Then, i f M is reJlxive, so is the S-module M(,) = M BPR S. We know (Chapter I, 3 2, no. 10, Proposition 11) that there exists a canonical isomorphism wM: (M*),,, -+ (M(s,)*, such that
(x

THEOREM 3. Let V be a vector space of finite rank over K and M a lattice o V with f respect to A. (i) Let N be a lattice ofV with respect to A; then,for every prime ideal p ofA, N, is a lattice ofV with respect to A, and, for almost all p E P, N, = M,. (ii) Conversely, suppose given for all p E P a lattice N(p) o V with respect to A, f such that N(p) = M,for almost all p E P. Then N = _n-N(p) is a reflexive lattice ofA with respect to A and it is the only reflexive lattice N_ ofV with respect to A such p e r
that Ni
=

N(p) for all p E P.

(i) The first assertion follows from no. 1, Proposition 4. Moreover, there exist x , y in K* such that XN c M c yN (no. 1, Proposition 2) ;we know that,

@ 1, %Ax* @ 1))

= P,. < (

x*>)

520

52 1

VII

DIVISORS

PSEUDO-ISOMORPHISMS

fj4.4

for almost all p E P, vp(x) = u,(y) = 0 (3 1, no. 6, Theorem 4),which shows that x and y are invertible in A, and hence M, = N,. (ii) We may replace M byx-lM where x # 0 in A and assume thatN(p) c M, for all p E P. Let pl,. . ., ph be the elements of P such that N(p) = M, for p distinct from the pi (1 < i < h ) ; we write:

for almost all p E P. The families ( ~ ( p ) ) , , satisfying the latter property form a multiplicative group GL,(V) containing as subgroup the product GL(L,). PEP Theorem 3 then shows that the set 0freJIexive lattices of V is in canonical one-to-one

Q = M n N(p,) n...nN(Ph).
As each of the N(p,) contain a free lattice with respect to APr,it contains a fortiori a lattice of V with respect to A, hence Q contains a lattice of V with respect to A (no. 1, Proposition 3) and, as Q i s contained in M, Q i s a lattice with respect to A. To prove that Q, = N(p) for all p E P, we shall use the following lemma :

correspondence with the homogeneous space G L , ( V ) / g GL(L,). If a basis ( e J 1 st<,, of L over A is chosen, GL(V) (resp. GL(L,)) is identified with the group of invertible matrices GL(n, K) (resp. GL(n, A,)) and the group GL,(V) with the group ofsystems of matrices oforder n, ( U ( P ) )p, ~ , such that U(p) E GL(n, K) for all p E P and U(p) E GL(n, A,) for almost all p E P. If A is a Dedekind domain, the group GL,(V) is also identified with the group GL(n, A), where A is the ring of restricted adhles (3 2, no. 4 . )
4. PSEUDO-ISOMORPHISMS

LEMMA Let p and p be two prime ideals o f A such that (0) is the onlyprime ideal o f A 1. contained in p n p. Then,f o r every sub-A-module E ofV, (E,),, = K.E. Let S be the multiplicative subset ( A p) (A p) of A; by Chapter 11, 5 2, no. 3, Proposition 7, (E,),, = S - l E . Further, A c S - l A c K ; the prime ideals of S-IA correspond to the prime ideals q of A such that q n S = 0 (Chapter 11,s 2, no. 5, Proposition 11) and by hypothesis (0) is the only prime ideal of A not meeting S ; hence S-lA = K and S - l E = K.E. We now return to the proof of (ii). If p E P is distinct from the pi (1 < i < h ) , Lemma 1 applied to N(PJ gives (N(PJ), = ((N(PJ)~J, K.N(p,) = V, = since the pr and p are of height 1. Then
Qp

We preserve the notation and hypotheses of nos. 2 and 3. PROPOSITIONLet M be a finitely generated A-module. Thefollowing conditions are 9. equivalent : (a) M, = 0 for every prime ideal p ofheight < 1. (b) The annihilator a o M is an ideal # (0) and A : a = A (A: a denoting, as in f 3 1, no. 1, the set o f x E K such that xa EA). We know (Chapter 11, 5 2, no. 2, Corollary 2 to Proposition 4) that the condition M, = 0 is equivalent to a p and hence to aA, = A, (Chapter 11, 3 2, no. 5 , Remark) ; on the other hand, for every integral ideal b # 0 of A, the relation bA, = A, for all p E P is equivalent to div b = div A = 0 in D(A) (5 1, no. 4, Proposition 7), or also to div(A: b) = 0 and, as A : b is divisorial (9 1, no. 1, Proposition l), this relation is also equivalent to A: b = A. The proposition then follows by noting that to say that a p for p = (0) means that a # (0).

M p

n (N(P1))pn.* .n ( N ( P h ) ) p

M p

= N(P)

(Chapter 11, 3 2, no. 4). O n the other hand, if p is equal to pi (1 < i < h ) , then (N(pi)),, = V for i # j by the argument as above and (N(pJ),, = N(p,), whence
Qp,

= Mp, n N(pJ = N(PJ.

=

We have therefore proved that Q,

N(p) for all p E P. Then

Remark (1) The equivalent conditions of Proposition 9 mean also that Ass(M) contains no prime ideal of height < 1. * They may also be interpreted by saying that Supp(M) is of codimension > 2 in Spec(A). *
DEFINITION 2. An A-module M is called pseudo-zero f it is jinitely generated and it i satisjes the equivalent conditions of Proposition 9. This definition and Proposition 9 show that a pseudo-zero A-module is a torsion A-module; the converse is false.

is reflexive and satisfies the relations N, = Q, = N(p) for all p E P; the uniqueness property follows immediately from Theorem 2 of no. 2.

Remark. Let L be a free lattice of V with respect to A. Since A, is a principal ideal domain for p E P, N(p) is a free A,-module of the same rank as L and there exists u(p) E GL(V) such that u ( p ) (L,) = N,; this condition moreover determines u ( p ) to within right multiplication by an element of GL(L,). The condition N(p) = L, for almost all p E P means that necessarily u(p) E GL(L,)

Examples (1) If A is a Dedekind domain, every prime ideal of A is of height < 1 ;to say that M is pseudo-zero means then that Supp(M) = o and hence that M = 0 (Chapter 11, 3 4, no. 4).
523

522

PSEUDO-ISOMORPHISMS

vn:

3 4.4

DIVISORS

(2) Let k be field and A = k[X, Y ] the polynomial ring over k in two inde&&nates; if m is the maximal ideal AX + AY of A, the A-module A/m is pseudo-zero; for its annihilator m is not of height < 1 since it contains the principal prime ideals AX and AY and is distinct from them; therefore A: m = A ($ 1, no. 6, Corollary 1 to Theorem 3). DEFINITION 3. Let M and N be two A-modules a n d f . M -+ N a homomorphism. f is calledpseudo-in~ective(resp.pseudo-surjective,pseudo-zero) ifKer( f)(resp. Coker(f) , Im(f )) is pseudo-zero; f is called pseudo-bijective if it is both pseudo-injective and pseudo-surjective.

finite in number ($ I ,no. 6, Theorem 4));if this number is 0, T is pseudo-zero (Proposition 9(a)) and we may take g = 0. Otherwise, let S = (;I (A pi) ; by Lemma 2, S-lA is a principal ideal domain and hence S-lM, which is a torsion-free finitely generated S-lA-module, is free (Algebra, Chapter VII, $ 4 , no. 3, Corollary 2 to Theorem 2) and, as S-lM = (S-'E)/(S-lT), S-lT is a direct factor of S-lE (Algebra, Chapter 11, 5 1, no. 11, Proposition 21). Now,

A pseudo-bijective homomorphism is also called a pseudo-isomorphism. Suppose that M and N are finitely generated; then, for f. -+ N to be M pseudo-injective (resp. pseudo-surjective, pseudo-zero), it is necessary and sufficient that, for all p E P u {{0)), f,: -+ be injective (resp. surjective, M, N, zero) ;this follows from the flatness of the A-module A, (cf. Chapter I, $ 2, no. 3, Remark 2). Example ( 3 ) Let M be a torsion-free finitely generated A-module; then the canonical mapping cM: M --f M** of M to its bidual is a pseudo-isomorphism. For M is identified with a lattice of V = M @ K (no. 1, Proposition 1) ; , we have seen that M, = Mp**for all p E P (no. 2, Example 2) and, for p = 0, M, and Mp**are both equal to V.

(Chapter 11, $2, no. 7, Proposition 19); hence there exist so E S and go E Hom,(E, T) such that s;'g0 is a projector of S-lE onto S-lT. If h, E Hom,(T, T) denotes the restriction of go to T, there therefore exists s1 E S such that slho(x) = slsox for all x E T ; writing s = slso, g = slgo,h = slho, h is therefore the homothetyofratio son T andis the restrictionofg toT. I t remains ~ to v e r i that h is a pseudo-isomorphism.Now, if p = 0 or if p E Pis distinct from the pt (1 < i < k ) , T,, = 0 (Chapter 11,s4, no. 4,Proposition 17) and h,: T,-+T, is an isomorphism; if on the contrary p is equal to one of the pt (1 < i < k ) , s is invertible in A,, and h,,, the homothety of ratio s on T,,, is also an isomorphism, which completes the proof of Lemma 3. We now prove Theorem 4 Let g: E -+ T be a homomorphism satisfying the . properties of Lemma 3 ; let h be the restriction of g to T and let x be the canonical projection of E onto M. We show that the homomorphismf = (g, x ) : E --f T x M solves the problem. There is the commutative diagram: 0-T-

THEOREM E be ajinitely generated A-module, T the torsion submodule of E and 4. Let

M = E/T. There exists a pseudo-isomorphism f:E+Tx M.

-M-O

W shall first show two lemmas. e

LEMMA 2. Let (pi)'
let S = (A

be a non-emptyjinitefamily ofprime ideals ofA ofheight 1 and pi) ;then the ring S -'A is a principal ideal domain.
Gt tk

where the rows are exact. The snake diagram (Chapter I, $ 1,no. 4 Proposition , 2) gives the exact sequence:
0 +-Ker(h) -+ Ker(f) -+ 0 + Coker(h) +-Cokerdf) + 0

S - ' A is a semi-local ring whose maximal ideals are the mi = piS-'A for 1 Q i < k, thelocal ring @-'A),,,*being isomorphicto A,, (Chapter 11, 3, no. 5 , Proposition 17) and hence a discrete valuation ring. The ring S-lAis therefore a Dedekind domain (9 2, no. 2, Theorem 1 (f) and, as it is semi-local it is a principal ideal domain ($ 2, no. 2, Proposition 1).
LEMMA 3. There exists a homomorphism g: E -+ T whose restriction to T is both a homthety and a pseudo-isomorphism. Let a be the annihilator of T ; as T is a finitely generated torsion A-module, a # 0.Let pr (1 < i < k ) be the prime ideals of height 1 containing a (which are 524

and hence Ker(f)is isomorphic to Ker(h) and Coker(f) to Coker(h). As h is a pseudo-isomorphism, so is$ We can say that "to within a pseudo-isomorphism" Theorem 4 reduces the study of finitely generated A-modules to that of torsion-free modules on the one hand and to that of torsion modules on the other. Moreover, we have seen above (Example 3) that a torsion-free module is pseudo-isomorphic to its bidual and hence to a refIexiue module. As for torsion modules, there is the following result, which determines them to within a pseudo-isomorphism:

525

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DIVISORS

DIVISORS ATTACHED TO TORSION MODULES

3 4.5

THEOREM 5. Let T be ajnitely generated torsion A-module. There exist twojnite families (n,), I and (pi) I, where the n, are integers 1 and the pi are prime ideals o A f

Of height

1 such that, ;f we write T' = A/$<, there exists a pseudo-isomorphkm o f T to T'. Moreover, the families (ni) I and (pi)i I with this property are unique to within a bijection Ofthe indexing set and the pi contain the annihilator of T.

0,

Uniqueness: Iff: T -+ T' is a pseudo-isomorphism and p E P,f,: T, -+ Ti is an isomorphism. Now, T(,is the direct sum of the A,/pnrA,, the sum being over the indices i such that pi = p; the pnrApare therefore the elementary divisors of the torsion A,-module T, (Algebra, Chapter VII, $ 4, no. 7) ;their uniqueness has been proved in Algebra, Chapter VII, $ 4, no. 7, Proposition 7. Existence: We may confine our attention to the case where T # 0. Let a be the annihilator (non-zero and distinct from A) of T, pi (1 < i < k ) the prime ideals of A of height 1 containing a (which are finite in number ($ 1, no. 6, Theorem 4)) and S = ) (A f pi). The semi-local ring A' = S-lA is a principal ideal domain (Lemma 2) and has maximal ideals the m, = p,A'; as S-'T is a finitely generated torsion A-module, it is isomorphic to a finite direct sum @ A'/m&), where (b is a mapping of a finite set I to [I, k ] (Algebra, Chapter

of commutative groups HomA(E', F'), where E' (resp. F') runs through the set of submodules of E (resp. the set of quotient modules F/F" of F) such that E/E' (resp. F") is pseudo-zero. Of course, for every ordered pair of A-modules E, F, there is a canonical homomorphism Horn@, F) -+ Homwp,w(E, F). To say that a homomorphism u E Hom,(E, F) is pseudo-zero (resp. pseudoinjective, pseudo-surjective, pseudo-bijective) means that its canonical image in HomV/w(E,F) is zero (resp. a monomorphism, an epimorphism, an isomorphism). *
5. DIVISORS ATTACHED TO TORSION MODULES

We keep the same notation and hypotheses as in nos. 2, 3 and 4. Recall that D(A) (or simply D) denotes the divisor group of A, written additively : we know (3 1, no. 3, Theorem 2) that D is the free Z-module generated by the elements of P. Let T be a finitely generated torsion A-module. For all p E P, T, is a finitely generated torsion A,-module and hence a module o f j n i t e length (Chapter IV, $ 2, no. 5 , Corollary 2 to Proposition 7 ) ; we shall denote this length by l,(T). Now T, = 0 for all p not containing the annihilator of T and hence for almost all p ($ 1, no. 6, Theorem 4), which justifies the following definition: DEFINITION 4. IfT is ajnitely generated torsion A-module, the divisor: X(T)
is called the content ofT.
= ZplQ(T)

IEI

VII, $ 4, no. 7, Proposition 7) ;as A'lrn;,, is isomorphic to S - l(A/pZ,)) (Chapter 11, $ 2, no. 4), we have obtained a torsion A-module T' of the desired type and an isomorphism f o of S-lT onto S-lT'. As HomS-lA(S-lT, S-lT') is equal to S-l Hom,(T, T') (Chapter 11, $ 2, no. 7, Proposition 19), there exist s E S and a homomorphism$ T -+ T' such that f o = s-tf. It remains to show thatf is a pseudo-isomorphism: now, if p = 0 or if p E P is distinct from the p,, T, = Ti = 0 (Chapter 11,s 4, no. 4, Proposition 17) ;ifon the contrary p is one of the pi (1 < i < k ) , s is invertible in A,, and, as& = s ( f 0 ) , ,and (JJPl is an isomorphism of Tpr= (S-lT),,,, onto Ti, = (S-lT)),,,l, so isfpl.

'p'

PROPOSITION 10. (i) Let 0 -+T, -+ T, generated torsion A-modules. Then

-+ T3-+ 0

be an exact sequence of jnitely

X(T2) = X(TJ + X(T3)(ii) If there exists a pseudo-isomorphismf: T, -+ T,, then x(T,) = x(T,). (iii) In order that x(T) = 0, it is necessary and sujicient that T be pseudo-zero.

Remark (2) In the statement of Theorem 5, the modules A/p;r may be replaced by Alp?) ($ 1, no. 4, Proposition 8). For all p E P, the canonical mapping g : Alpn -+ A/p(") = A/(A n pnA,) is a pseudo-isomorphism, as, for all q E P distinct from p, Aq/pnAq Aq/p(")Aq 0 and Ap/pnA, = AQ/pcn)AQ. = =

In view of Definition 4, it suffices to consider for each p E P the values of 1, for the torsion modules considered. Property (i) then follows from Chapter 11, $ 2, no. 4, Theorem 1 and the additivity of lengths in an exact sequence (Algebra Chapter 11, $ 1, no. 10, Proposition 16) and properties (ii) and (iii) follow immediately from the definitions in no. 4.

* Given an exact sequence of A-modules, E -+ F

G, if E and G are pseudozero, SO is F, as follows from Definition 2 and Chapter 11, $2, no. 4, Theorem 1. In the language of categories, we may then say that, in the category V of Amodules, the sub-category V' of pseudo-zero modules is full and we may then the define the quotient category 'if/%?': objects in this category are also A-modules but the set of morphisms from E to F (for E, F in g/U')is the direct limit of the set
--f

COROLLARY. Let 0 -+ T,

-+ T,

- ,-+ . . .+ To-+ 0 be an exact sequence of

i=o

jinitely generated torsion A-modules. Then

( - l ) i ~ ( T , ) 0. =

In view of Chapter 11, $ 2 , no. 4, Theorem 1, this follows again from the analogous property of the 1, (Algebra, Chapter 11, $ 1, no. 10, Corollary 3 to Proposition 16). 527

526

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DIVISORS

RELATIVE INVARIANT OF TWO LATTICES

Q 4.6
=

Recall (Chapter 11, 3 5, no. 4) that we may speak of the set F(A) of classes of jinitely generated A-modules with respect to the relation of isomorphism; for every finitely generated A-module M, let cl(M) denote the corresponding element of F(A) ;we shall denote by T(A) the subset of F(A) consisting of the classes of finitely generated torsion A-modules. Clearly x defines a mapping of T(A) to D(A), also denoted by x, such that x(cl(T)) = x(T).

O n the other hand, (A: a), = A,: aA, and we conclude in the same way.

p-"pA,, hence l,((A: a)/A)

np

6. RELATIVE INVARIANT OF TWO LATTICES

PROPOSITION 1 1. Let G be a commutativegroup written additiuely and : T(A) -+G a mapping; f o r every finitely generated torsion A-module T, we also write, by an abuse of language, +(T) = +(cl(T)).Suppose that the following conditions are satisrd: (1) I f 0 +T, + T, -+T, + 0 is an exact sequence ofjnitely generated torsion Amodules, then +(T,) = +(T,) + +(T3). (2) IfT is pseudo-zero, then +(T) = 0. Then there exists a unique homomoqhism 0 : D (A) + G such that = 0 0 x.

+ +

We keep the notation and hypotheses of nos. 2 to 5. Let V be a vector space of finite rank n over K and M a lattice of V with respect to A. Let W be the exterior power AV, which is a vector space of rank 1 over K and let M, denote the lattice of W generated by the image of Mn under the canonical
n

A V (no. 1, Proposition 3 (iii) ;note that M, is not necessarily n j isomorphic to A M (Algebra, Chapter 111, t 5, Exercise 9)). If e is a basis of
mapping Vn + = W over K, we may write M, = a. e, where a is a fractional ideal # 0 of A. Let M' be another lattice of V and let us write Ma = a'.e, where a' is a fractional ideal #O of A; the divisor div(a) - div(a') does not depend on the choice f of basis e o W, a and a' being multiplied by the same element of K* when the basis is changed; we shall write x(M, M') = div(a) - div(a') and say that this divisor is the relative invariant of M' with respect to M. Clearly, if M, M', M" are three lattices of V, then :

= +(A/p) for all p E P, which proves the uniqueness of 0 , since the elements of P form a basis of D(A). Conversely, let 0 be the homomorphism from D(A) to G such that O(p) = +(A/p) for all p E P and let us show that it solves the problem. For this, we write

As x(A/p) = p for all p, necessarily 0(p)

+(T) = +(T) - 0(x(T)) for every finitely generated torsion A-module T ; clearly conditions (1) and (2) are also satisfied if is replaced by +.On the other hand, +(A/p) = 0 if p E P; if p is a prime ideal # 0 and not in P, the annihilator of A/p is contained in no ideal of P, hence (no. 4, Theorem 5) A/p is pseudo-zero and therefore +(A/p) = 0. This being so, every finitely generated torsion A-module T admits a decomposition series whose factors are isomorphic to Aaodules of the form A/p, where p E Supp(T) (Chapter IVY 1, no. 4, Theorems 1 and 2), and hence 4 P # 0 since T is a torsion module. By induction on the length of this decomposition series, we deduce (in view of property (1) for +) that +(T) = 0.

(3)
(4)

x(M, M')

+ x(M', M") + x(M", M) = 0 x(M, M') + x(M', M) = 0.

n

For all p E P, it follows immediately from the definitions that (M,), = (M,),; moreover, since M, is then afree A,-module since A, is a principal ideal domain,
a basis of M, over A, is a basis of V over K, hence (M,), .= A (M,) (Chapter 11,s 2, no. 8 ) and the fractional ideal a, = aA, is a principal ideal domain. If

we set a, = PA,, a'

p%A,, then:
=

* We may, as in no. 4, consider the quotient category .TIT of the category .T

of finitely generated torsion A-modules by the full sub-category 9 of pseudo' zero finitely generated torsion A-modules. In the language of Abelian categories, Proposition 11 then expresses the fact that the Grothendieck group of the Abelian category .T/T canonically isomorphic to D(A). * is

x(M, M') which may also be written as:

(5)

x(M, M') =

3 3

(n, - 4)*P,

x(M,, M 3

identifying D(A,) with the sub-Z-module of D(A) generated by p. PROPOSITION 13. Let M be a lattice OfV and u a K-automorphism of V. Then :

PROPOSITION 12. I f a is an ideal #O ofA,

x(A/a) = x((A: a)/A) = div a. Let p E P. Then aA,
=

pnpA, where n,

> 0, since A,

(6) is a discrete valuation

-x(M, u(M)) = div(det(u)). (u(M),)

=

ring. As @/a), = A,/aA,, l,(A/a) (4 1, no. 4, Proposition 7). 528

= n,,

whence x(A/a) =

Zp

n,p = div a

For all p E P, then then

(u(M,)); if (e,),,,,,
A e, A

is a basis of M,,

(M,)

A,.e,

. ..A

en,

529

VII

DIVISORS

DIVISOR CLASSES ATTACHED TO FINITELY GENERATED MODULES

8 4.7

and A (u(M,)) = A,.det(u)e, virtue of formula (5).

A e2 A

...A

en, whence the proposition by

7. D M S O R CLASSES ATTACHED TO FINITELY GENERATED MOL')ULES

PROPOSITION 14. If M, M' are two lattices ofV such that M' c M, M/M' is a jnitely generated torsion A-module and:

We keep the notation and hypotheses of nos. 2 to 6. Recall that C(A) (or simply C) denotes the divisor class group of A , the quotient of D ( A ) by the subgroup of principal divisors. For every divisor d E D, we shall denote by c ( d ) its class in C. PROPOSITION 15. Let M be ajinitely generated A-module. There exists a free submodule L ofM such that M/L is a torsion module and the element c(x(M/L)) ofC does not depend on the free submodule L chosen. We write S = A (0) and let V = S-lM = M @A K ; if n is the rank of V over K, there exist n elements el (1 < i < n) of M whose canonical images in V form a basis of V; these elements are obviously linearly independent in M and hence generate a free submodule L of M such that S-l(M/L) = S-lM/S-lL = 0, so that M/L is a torsion module. Now let L, be another free submodule of M of rank n. Since S- 'L = S-'L,, there exists 5 E S such that sL, c L; we may therefore limit ourselves to proving that, if L, c L, are two free submodules of M of rank n, then 4x(M/L1)) = c(x(M/L,)). Now, ?(M/L,) = x(M/L,) x(L,/L,) and it follows from no. 6, Corollary to Proposition 14 that x(L,/L,) is a principal divisor and therefore 4dL2ILl))
=

(7)

x(M,M') = -x(M/M').

Clearly M/M' c V/M' is a finitely generated torsion module; on the other hand, for all p E P, we know (Algebra, Chapter VII, 3 4, no. 2, Theorem 1) of Mi such that el = +"'el that there exist bases (el) G l of M, and ( e ; ) for 1 < i < n and integers vt 2 0, x being a uniformizer of A,. Therefore (in

the notation introduced above) ni - np = i= v,; and on the other hand,

n

2,

(M/M'), = M,/Mi is isomorphic to the torsion A,-module

@ Ap/pvfAp and i=1

hence its length is 1=1 vl, which proves the proposition, in view of (5) and Definition 4 of no. 5. COROLLARY. Let L,, L, be twofree A-modules o t h same rank n and l e t f . L, -+ L, f be a homomorphism. Let U be the matrix off with respect to bases of L, and L,. For Coker (f) to be a torsion A-module, it is necessay and suficient that det ( U ) # 0 and then: (8) x(Coker(f ) ) div(det(U)).

0.

L, and L, can be considered as lattices in V, = L, @A K and V, = L, respectively,f extending to a K-homomorphismfo,: V, -+ v,. Then
(Coker(f1) (K)
=

@A

The element c(x(M/L))will be denoted by -c(M) in what follows; we shall say that c(M) is the divisor class attached to M.
f PROPOSITION 16. (i) Let O-+ M, -+ M, jinitely generated A-modules. Then

4 M3 -+ 0

be an exact sequence

of

Coker (f,K))

and to say that Coker(f ) is a torsion A-module means that Coker(f,,,) = 0; now, it amounts to the same to say thatf,,, is surjective or that det(U) # 0, whence the first assertion. On the other hand, we may write f (L,) = u(L2), where u is an endomorphism of L, of determinant det(U ); as Coker(f) formula (8) follows from (7) and (6).
=

042)

c(M1)

+W3).
=

(ii) Ifthere exists apseudo-isomorphismfrom M, to M,, then c(M,) (iii) IfT is a torsion module, then c(T) = -c(x(T)). (iv) If a # 0 is a fractional ideal of K, then
c(a) =

c(M,).

L,/U(L,),

c(div(a)).

(v) I f L is a free A-module, then c(L) = 0.

Example. If A = Z , the divisor group of A is identified with the multiplicative s o u p Q*+ rational numbers >O. For every finite commutative group T, of x(T) is the order of T; the above corollary shows that the order of the group Coker(f) is equal to the absolute value of det(U) (cf. Algebra, Chapter VII, 6 4, no. 7, Corollary 3 to Theorem 3).
530

To prove (i), consider a free sub-module L, (resp. L3) of M, (resp. M3) such that M,/L, (resp. M3/L3)is a torsion module. Since L, is free and g is surjective, there exists in;'(L3) a free complement L23 of Ker(g) which is isomorphic to L3 (Algebra, Chapter 11, 3 1, no. 11, Proposition 21); but Ker(g) =f(M,)
531

VII

DIVISORS

DIVISOR CLASSES ATTACHED TO FINITELY GENERATED MODULES

8 4.7

containsf (L,) = L12which is free sincef is injective. The sum La = L,, L23 is direct and L, is therefore afree submodule of M,. There is moreover the commutative diagram : o+ L, --f L, ----j L3 -0 0 --f M, M,

M, = a.e (notationofno. 6); thenX(M, L) which generalizes Proposition 16 (v).

COROLLARY 1. Let 0 -+ M, -% M,finitely generated A-modules. Then
i=o

= div(a),whencec(M) = c(div(a),

,-+. . .-+ Mo-+ 0 be an exact sequence of

-----f

M3 ----j 0

(- l)k(M,) = 0.

where the rows are exact and the vertical arrows are injections. We therefore obtain from the snake diagram (Chapter I, 3 1, no. 4, Proposition 2) the exact sequence : 0 -+ M,/L,-+ M,/L, -+ M3/L3 -+ 0.

We argue by induction on n, the case n = 2 being Proposition 16 (i). If Mk-, = Coker(u), there are the two exact sequences: 0 -+M, --+ M,-, O-+Mk-,-+M,
-+ Ma-, -+ 0

-,-+... -tM,-tO.

As M,/L, and M3/L, are torsion modules, this exact sequence shows first that
so is M,/L, and then, by virtue of Proposition 10 of no. 5, that:

The first shows that Mk-, is finitely generated and the induction hypothesis gives
n- a

X(M,/L,) = X(Ml/Ll)

+ X(M3/L3)
and

which proves (i). Assertions (iii) and (v) are obvious from the definition. We prove (ii). Therefore let) M, -+ M, be a pseudo-isomorphism and let L, be a free submodule of MI such that M,/L, is a torsion module. We set L, = f (L,) ; as Ker(f ) is pseudo-zero, it is a torsion module, hence Ker(f ) n L, = 0 and therefore L, is free. Let $ M,/L, -+ M,/L, be the homomorphism derived fromf by taking quotients; Ker(f) is isomorphic to Ker(f ) and Coker(f) to Coker(f ) and hencefis a pseudo-isomorphism; moreover Coker(f) = M,/f(M,) is a torsion module and so isf (M1)/L2=f(M,/L,), hence M,/L, is a torsion module and it follows from no. 5, Proposition 10 (ii) that X(Ml/Ll)
=

(-l)"-lc(Mk-,)

+2

t=o

(-l)'c(M,) = 0

C(Mk-1) = c(M,-1) - C(M,)Y whence the corollary.

An exact sequence
O - t L,
-+ L,-1

-+.. .-+Lo -+ E -+0

where the L, (0 < i < n) arejnitely generatedfree A-modules, is called afinitefree resolution of the A-module E. COROLLARY 2. I f a divisorial fractional ideal a # 0 o A admits afinite free resolution, f it is principal. In fact we apply Corollary 1 to a finite free resolution of a: 0 -+ L,
-+ L,-,

X(M,/L,).

Finally it remains to prove (iv). Let x E K* be such that a c xA. By considering the exact sequence 0 -+ a -+ xA -+ xA/a -+ 0, we obtain
c(a) =

.-+ Lo -t a -+ 0.

c(xA) - c(xA/a)

-c(xA/a)

by (i) and (v). But xA/a is isomorphic to A/%-%, whence, by virtue of (iii),
c(xA/a) = -c(X(A/x-la)) = -c(div(x-'a)) = -c(div(a))

By virtue of Proposition 16 (v), c(a) = 0 and hence, by virtue of Proposition 16 (iv), div(a) is principal; as a is assumed to be divisorial, it is principal (0 1, no. 1). COROLLARY 3. factorial.

If evey divisorial ideal

# 0 of A admits a finite free resolution, A is

(no. 5, Proposition 12). This completes the proof. When M is a lattice of V with respect to A, x(M/L) = -x(M, L) (no. 6, Proposition 14); let ( e J I G t G , be a basis of L, e = el A e2 A . A e, and

This is an immediate consequence of Corollary 2 and 3 3, no. 1, Defini~on 1.

* We shall see later that a regular local ring satisfies the hypothesis of Corollary 3 and therefore is factorial. *
533

532

VII

DMSORS

PROPERTIES RELATIVE TO FINITE EXTENSIONS

fj 4.8

If M is a finitely generated A-module, we shall denote its rank by r(M) (recall thatitistherankoverKofM(K)= M@,K);ifO+M1+M2+M3--fO is an exact sequence of finitely generated A-modules, the sequence
0
--f

* In the language of Abelian categories, Proposition 17 shows that Z x C(A) is canonically isomorphic to the Grothendieck group of the quotient category F/F, where F is the category of finitely generated A-modules and 9 the '
full sub-category of 9consisting of the pseudo-zero modules. *
8. PROPERTIES RELATIVE TO FINITE EXTENSIONS OF THE RING OF SCALARS

(MI)(K)

- f -

(M2)(K)

-+

(M3)W)

- f -

is also exact and hence r(M,) = r(M,)

+ r(M3). We write

y(M) = (r(M), cW)) E Z x C(A); y therefore satisfies property (i) of Proposition 16 and, if M is pseudo-zero, y(M) = 0 (since M is a torsion module). There exists a unique mapping from F(A) to Z x C(A), also denoted by y, such that y(M) = y(cl(M)) for every finitely generated A-module M. We shall see that the above properties essentially characterize y : PROPOSITION 17. Let G be a commutativegroup written additively and a mappingfrom the set F(A) o classes ofjnitely generated A-modules to G; for everyjnitely generated f f A-module M we also write, by an abuse o language, +(M) = +(cl(M)). Suppose the following conditions are satisfied: (1) I f 0 -+ M, -+ Ma -+ M, -+ is an exact sequence ofjnitely generated A0 modules, then +(Ma) = +(MI) + +(M3). (2) IfT ispseudo-zero, then +(T) = 0. Then there exists a unique homomorphism 8: Z x C --f G such that = 8 0 y.

By virtue of Proposition 16 (iv), every element of Z x C is of the form (r(M), c(M)) for some suitable finitely generated A-module M ; whence the uniqueness of 8. We apply Proposition 11 of no. 5 to the restriction of - to T(A) : then there exists a homomorphism 8 D -+ G such that : ,

In this no., A and B denote two integrally closed Noetherian domains such that A c B and B is ajnitely generated A-module and K and L the fields of fractions of A and B respectively. We shall write div,, xA,c,, yA,rA instead of div, x, c, y, r respectively where A-modules are concerned and use analogous notation for B-modules. We know (5 1, no. 10) that for a prime ideal of B to be of height 1, it is necessary and sufficient that p = n A be of height 1 ; moreover (106. cit., Proposition 14) for p E P(A), there is only a finite number of prime ideals '$ E P(B) lying above p. To abbreviate, we shall denote by the relation "'$ lies above p" (that is p = Cp n A); we shall then denote by e9/, or e ( p / p ) the ramification index e(v,/vp) of the valuation v9 over the valuation up (Chapter VI, 8, no. 1) and by f&,or f(Cp/p) the residue class degree f ( v ~ / v , ) (106. cit.) ; recall that the discrete valuations vp and v9 are normed and that fQ/,the is degree of the field of fractions of B/g over the field of fractions of A/p. We set n = TA(B), where B is considered as an A-module; hence by definition n = [L: K] and, for all p E P(A), n is also the rank of the free A,-module B for all ' $ 1 ~ . Then it follows from Chapter VI, fj8, no. 5, Theorem 2 that for all p E P(A) :
(9)

-+m = 8o(x(T))
for every finitely generated torsion A-module T. Let x be a non-zero element of A; applying property (1) to the exact sequence :

This being so, as D(A) and D(B) are free Z-modules, we define an increasing homomorphism of ordered groups N: D(B) -+ D(A) (also denoted by N B / A ) , by the condition:

o -+ A

A -+

AI~A -+

where h, is multiplication by x, we obtain +(A/xA) = 0, whence O,(div(x)) = 0. Taking quotients, 8, therefore defines a homomorphism 8,: C --f G and +(T) = B,(c(T)) for every torsion A-module T. We show now that the homomorphism 8 defined by e(n, z) = n .+(A) + 8,(z) solves the problem. For this, we write +'(M) = +(M) - 8(y(M)) for every finitely generated A-module M; clearly condition (1) is still satisfied if is replaced by +'.Moreover, +'(M) = 0 when M is a torsion module or a free module; but as for every finitely generated A-module M, there exists a free sub-module L of M such that M/L is a torsion module (Proposition 15), property (1) shows that +'(M) = 0 for every finitely generated A-module M.

N(P) = f . p & for Cp E P(B), where p = '$ n A. (10) O n the other hand (5 1, no. 10, Proposition 14) we have defined an increasing homomorphism of ordered groups i: D(A) --f D(B) (also denoted by iBIA), by the condition :
(11)
;(p> =

e9,,.?s

for p E P(A).

Clearly for every family (d,) (resp. (d:)) of divisors of A (resp. B) :

534

VII

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PROPERTIES RELATIVE TO FINITE EXTENSIONS

8 48 .

Formula (9) shows that:

(14) For all a E A (15)

N i
0

= n. I,,,).

is integral over A, there is no ideal other than 0 lying above the ideal 0 of A (Chapter V, 3 2, no. 1, Corollary 1 to Proposition 1) and hence it amounts to the same to say that a # 0 or that b # 0. (i) By virtue of this last remark, we may confine our attention to the case where R is a torsion B-module. If b is contained in a prime ideal P E P(B), a is contained in Cp n A = p, which is of height 1. Conversely, if a is contained in a prime ideal p E P(A), there exists a prime ideal 'p of B which contains b and lies above p (Chapter V, 3 2, no. 1, Corollary 2 to Theorem 1). Assertion (i) follows from these remarks and no. 4,Definition 2. (ii) For every finitely generated torsion B-module R, we write

(3 1, no.

10, Proposition 14) :

i (divA(a)) = divB(a).

We deduce (by means of (13)) that, for every fractional ideal a of A, also: (16) i(diVA(a)) = divB(aB). For every element b E B, we know (Chapter V, 3 1, no. 3, Corollary to Proposition 11) that NL,,(b) E A; moreover (Chapter VI, 3 8, no. 5 , formula (9)) :
(17)

V,(NL,K(b))

&pw

whence : (18)

N(divB(b)) = diVA(NL/,(b)).

Formulae (15) and (18) show that, by taking quotients, the homomorphisms N and i define homomorphisms which will also be denoted, by an abuse of language, by : i: C(A) --f C(B). N: C(B) --f C(A), Note that the homomorphism i: C(A) -+C(B) is not in general injective (5 3, Exercise 7). Recall that for every B-module R, RIA] denotes the A-module obtained from R by restricting the scalars to A (Algebra, Chapter 11, 3 1, no. 13).

PROPOSITION 18. (i) For R to be apseudo-zero B-module, it is necessary and suficient

that the A-module RtA1 pseudo-zero. be (ii) For R to befinitely generated torsion B-module, it is necessary and suficient that R[AI be a finitely generated torsion A-module and then :
(19)
XA(RIAI)

clearly (for finitely generated torsion B-modules) (b satisfies conditions (1) and (2) of Proposition 11 of no. 5 (taking account of (i)). There therefore exists a homomorphism 8: D(B) +D(A) such that +(R) = 8(Xo(R)) for every finitely generated torsion B-module R. The homomorphism 8 is determined by p its value for every B-module of the form B/(P where 6 E P(B), since xo(B/Y)= ! . Now, for every prime ideal q # p = P n A in P(A), p @ q and hence (B/'p), = 0. On the other hand, ifwe set S = A p, 73.S - lB is a maximal ideal of S - l B and (B/P), = S-lB/P. S-'B is isomorphic to the field of fractions of B/'p (Chapter 11, 3 2, no. 5 , Proposition 1l ) , that is to the residue field of vrp; its length as an A,-module is thereforef,,,; which proves that 8 = N (no. 5, Definition 4). (iii) If T is the torsion submodule of R, TI,, is the torsion submodule of R,,, and (R/T),Al= RtAI/T,,]; to prove (21) we may therefore confine our attention to the case where R is torsion-free. Then R is identified with a subB-module of Ro, and contains a basis (e,) <, < ,, of R(L)over L. If ( , s ,< is a 6) basis of L over K consisting of elements of B, the b,e, form a basis of Ro, over K consisting of elements of R, whence (21). On the other hand let M be a free sub-B-module of R such that R / M is a torsion B-module; as MIA] is a direct sum of rB(R)A-modules isomorphic to B, by Proposition 16 (i)

= N(XB(R)).

CA(MIAI)

= rB(R)

.cA(B).

(iii) For R to befinitelygenerated B-module, it is necessary and suficient that RIA] a be jnitely generated A-module and then : (20) (21)
CA(RtA])

= N(cB(R))

+ rB(R)CA(B)

Moreover, c,((R/M),,]) = -cA(N(h(R/M))) by virtue of (19) ;but by definition of the homomorphism N: C(B) + C(A), c,(N(d)) = N(cB(d)) for all d E D(B) and, as cB(x(R/M)) = -cB(R) by definition, finally CA((R/M)[AI)= N(cB(R)); then it suffices to apply Proposition 16 (i) to obtain (20).

~A(&A]) n.rB(R) =

(recall that n = rA(B)).

As B is a finitely generated A-module, for R to be a finitely generated Bmodule, it is necessary and sufficient that RIA] a finitely generated A-module. be Moreover, if b is the annihilator of R, b n A = a is the annihilator of R,,, ;as B 536

PROPOSITION 19. Let R be afinitely generated B-module. For R to be reJexive, it is necessary and suficient that R[AIbe a reJexive A-module.
537

vn

DMSORS

PROPERTIES RELATIVE TO FINITE EXTENSIONS

8 4.8
=

We have remarked in the proof of Proposition 18 that for R to be a torsion-free B-module, it is necessary and sufficient that RIA1 be a torsion-free A-module. We may therefore assume that R is a lattice of W = R @ L with respect to B. , We shall use the following lemma: LEMMA Let W be a vector space ojjnite rank over L and let R be a lattice of W with 4. R. , respect to B. Then& all p E P ( A ) , (&Jp =

(i) Let '$ be a prime ideal of B, p = '$ n A ; then (M @A B), (Chapter 11, 3 2, no. 7, Proposition 18) and on the other hand M @A B, = (M @A A,)
@A,

M @A B,

B, = Mp 3 ~ ~

the relation M , = 0 is therefore equivalent to (M @A B), = 0 (Chapter 11, 3 4, no. 4, Lemma 4). It suffices to apply this remark to the ideal p = (0) and the ideals 13 E P(B) to prove (i), taking account of no. 4, Definition 2. To prove (ii), we shall use the following lemma: LEMMA Let M1, M, be two jinitely generated A-modules, and f: M, --+ M, an 5. injective homomorphism. Then the kernel o f @ 1,: M , @A B -+ M, @A B is f pseudo-zero. Let p be a prime ideal of A of height < 1. Then (Mi @A B), = (MJPgAp B, ( i = 1,2) (Chapter 11, 3 2, no. 7, Proposition 18) and ( f @ l,)p = f , @ lBp; the hypothesis thatf is injective implies that so is f , (Chapter 11, 4 2, no. 4, Theorem 1) ; on the other hand, in view of the choice of p, A, is a principal ideal domain and B, a finitely generated torsion-free A,-module and hence free; we conclude that f, @ lBpis itself injective. If I = Ker(f@ l), then I, = Ker((f @ l),) (Chapter 11, 3 2, no. 4, Theorem 1); therefore I, = 0, whence a fortiori I, = (I,), = 0 for pplp, which proves the lemma (no. 4, Definition 2). We return now to the proof of (ii). For every finitely generated torsion Amodule M, write +(M) = x,(M @A B) ; it follows from (i) that, if M is pseudozero, +(M) = 0. On the other hand, consider an exact sequence of finitely generated torsion A-modules :

If S = A p, the prime ideals of the ring S-lB are generated by the prime ideals of B not meeting S, in other words the ideals pi (1 < i < m) lying above p and the ideal (0) ;this shows that S-lB is a semi-local ring whose maximal ideals are the m, = Qi(S-lB) for 1 < i < m ; moreover the local ring (S-lB),, is isomorphic to B,, (Chapter 11, 3 2, no. 5, Proposition 11) and hence is a discrete valuation ring. The ring S-lB is therefore a Dedekind domain (3 2, no. 2, Theorem 1 (f)) and, as it is semi-local, it is a principal ideal domain (3 2, no. 2, Proposition 1). This being so, (RcA,), equal to S-lR considered as is an A,-module; by the above, S-lR is afree lattice of W with respect to S-lB and Theorem2 ofno. 2 may therefore be applied to it, giving S - l R = (;I (S-lR),,,,: but (S-lR),,,, = R , which proves the lemma. ,,
Returning to the proof of Proposition 19, by Lemma 4,

and the conclusion follows from no. 2, Theorem 2. COROLLARY. The ring B is a rejexive A-module.

, --+ 0. It follows from Lemma 4 that there is an exact sequence of B-modules:

0 --f M, -+ M,
@A

-+ M

PROPOSITION 20. (i) For a jinitely generated A-module M to be pseudo-zero, it is necessay and sufiient that M @A B be a pseudo-zero B-module. (ii) If M is a jinitely generated torsion A-module, M @AB i a jinitely generated s B-module and:
(22) (iii) and:

0 -+ I - + M i

B + M,

@A

B -+ M,

@A

B -+ 0

&(M @A B, = i(b(M)).

If M is ajnitely generated A-module, M @A

c3(M

B i ajinitely generated B-module s

where I is pseudo-zero. Using no. 5, Corollary to Proposition 10, we therefore obtain +(M,) = +(MI) + +(M3).We therefore conclude from Proposition 11 of no. 5 that there exists a homomorphism 0: D(A) + D(B) such that + ( M ) = e(XA(M))for every finitely generated torsion A-module M. TOprove that 0 = i, it suffices to show that +(A/p)= i(p) for all p EP(A); now (A/p)@A B = B/pB and, for all E P(B), (B/pB), = B,/pB,; the last module is 0 if Q does not lie above p; if on the contrary pip, B,/pB, is a B,-module of length e(CP/p) by definition of the ramification index (Chapter VI, 3 8, no. 1) ; therefore &(B/pB) = e,,, .13 = i (p), which completes the proof of (ii). Formula (24) is immediate, for (M@AB)@BL=M@AL= (M@AK)@3gL

(23)

@A

B, = i ( C A ( M ) )

538

539

vn

DIVISORS

A REDUCTION THEOREM

F 4.9 j

L over L is equal to the rank of M @ A K over and the rank of (M @ A K) K. To show (23), consider a free submodule H of M such that Q = M/H is a torsion A-module. Applying Lemma 4 as above, we obtain an exact sequence of B-modules :
0 - t I - t H @ A B +M
@AB+
Q @ A

B -t 0

where I is pseudo-zero. It therefore follows from no. 7, Proposition 16 (ii) and (v) and Corollary 1 to Proposition 16 that ~ M C ~ J A= cB(Q@AB) = - c B ( x B ( Q @ A B ) ) = B )
-cB(~(xA(Q)))

a, = b + xc2cB.. .c,; as c, E pi, obviously a, = b (mod p,) for 2 < i < n. It therefore suffices to prove that there exists X E R such that the canonical image of a, in R/pl does not belong to H1. Now, the set of canonical images of the a, in R/pl, where x runs through R, is just + c, where p is the canonical image of b and c the ideal of R/pl generated by the canonical image of c2c3. . .c,; by virtue of the choice of the c,, c # 0 since R/pl is an integral domain and the hypothesis on H, implies the existence of an x which solves the problem. (ii) As R/p, is an integral domain, every ideal #O of R/p, has cardinal equal to that of R/pi and the same is true of any translation of an ideal by an element of R/p,, whence the conclusion.

by virtue of (ii); but by definition of the homomorphism i : C(A) -+ C(B), CB(i ( x A ( Q ) ) ) = i(cA(xA(Q))) = - i (CA(M)), which COmpkteS the proof O f (23)Remarks (1) If M is a reflexive A-module, M @ A B is not necessarily reflexive (exercise 6 .However it is so when B is afrat A-module (no. 2, Proposition 8). ) (2) Let C be a third integrally closed Noetherian domain such that B c C and C is a finitely generated B-module (and hence also a finitely generated Amodule). Then we have the transitivity equations :

THEOREM 6. Let M be a torsion-freejinitely generated A-module. There exists a free submodule L of M such that M/L is isomorphic to an ideal of A.
We shall denote by n the rank of M (rank of V = M @ A K over K) and consider M as a lattice of V with respect to A. Then, for all p E P(A), M, is a lattice of V with respect to A, (no. 1, Example 6) and, as A, is a principal ideal domain, M, is a free A,-module of rank n. We shall write: M(P) = M,/PM,. We shall denote by k(p) the field of fractions of A/p (isomorphic to the residue field ofA,) ; M(p) = M @ A k(p) is therefore a vector space of rank n over k(p). For all x E M, we shall denote by x ( p ) the canonical image of x in M(p). LEMMA Let xt (1 < i < m) be linearly independent elements of M (over A or K, 7. which amounts to the same) and let L be the sub-A-module o M generated by the x,. f Then, for almost all p E P, the xl(p) E M(p) are linearly independent over k(p); for them to be linearly independent over k(p) for all p E P, it is necessary and suficient that M/L be torsion-fsee. Let x, + . . .,x, be elements of M which, with xl, . . .,x,, form a basis of V and let N be the free sub-A-module of M generated by the x, (1 < i < n). It follows from no. 3, Theorem 3 that N, = M, for almost all p E P; as x l ( p ) , . . ., x,(p) form a basis of N(p) over k(p), this establishes the first assertion. If M/L is torsion-free, so is (M/L), = M,/L, for all p E P (no. 1, Example 6 ) and, as A, is a principal ideal domain, MJL, is free. Therefore M, is the direct sum of L, and a free A,-module E of rank n - m ; hence M ( p ) is the direct sum of L(p) and the vector k(p)-space E/pE of rank n - m ; therefore L(p) is of rank m and, as it is generated by the xi(p) (1 < i < m ) , the latter are linearly independent. Conversely, suppose that the xt(p) (1 < i < m ) are linearly independent over k(p) for all p E P. Then L, is a direct factor of M, for all p (Chapter 11, $ 3 , no. 2, Corollary 1 to Proposition 5) and therefore M,/L, = (M/L), is
541

(25)
'

N C IA = N B I A N C I B ~ 0
CIA

C/B

&/A

which follow immediately from the transitivity equations for the ramification indices and the residue class degrees (Chapter VI, 5 8, no. 1, Lemma 1).
9. A REDUCTION THEOREM

We preserve the notation and hypotheses of nos. 2 to 7. LEMMA Let R be a commutative ring and p, (1 < i < n) distinct prime ideals of 6. R. (i) For 1 < i < n, let Hi be a subset of R/p, satisjijing the following condition: there exists no element a,E R/pi such that a, + H, contains an ideal # 0 ofR/p,. Then there exists a E R such that, f o r 1 Q i Q n, the canonical image o f a in R/pi does not belong to H,. (ii) IfCard(H,) < Card(R/p,), the H, satish the condition in (i). (i) We argue by induction on n, the case n = 0 being trivial. Therefore let n 2 1. We may make a permutation on the indices i and may assume that p1 is minimal among the p, and therefore, for 2 Q i < n, there exists c, E p1such that c,$ pl. By the induction hypothesis there exists b E R such that the canonical image of b in R/p, does not belong to H1for 2 < i < n. For all x E R we write
540

VII

DIVISORS

MODULES OVER DEDEKIND DOMAINS

4 4.10

torsion-free for all p E P. We conclude that P n Ass(M/L) = by Chapter IV, 9 1, no. 2, Corollary to Proposition 5 . But as L is reflexive, it follows from no. 2, Proposition 7 (i) that the only prime ideal which can belong to Ass(M/L) is the ideal (0) ;hence M/L is torsion-free.
f LEMMA 8. Suppose that the rank n o M is 2 2 ; then there exists an element x # 0 ofM such that M/Ax is torsion-free.

Let y # 0 be an element of M. By Lemma 7, the set Y of p E P such that y(p) = 0 is finite. If Y = 0 , it follows from Lemma 7, applied to the sequence (x,) consisting of the single element y , that M / A y is torsion-free. Suppose therefore that Y # @ and write S = ,Y ( A p) ;we know (no. 4, Lemma 2) that Q S - l A is a semi-local principal ideal domain whose maximal ideals are the p S - l A , where p E Y, the corresponding local rings being the A,. Therefore

Having established these lemmas, we pass to the proof of Theorem 6. We argue by induction on n, the case n < 1 being trivial since M itself is then isomorphic to an ideal of A. Suppose therefore that n > 2; by virtue of Lemma 8 there exists a free submodule Lo of M of rank 1 such that M/Lo is torsion-free; M/Lo is therefore of rank n - 1. By the induction hypothesis there exists a free submodule L, of M/Lo such that (M/L,)/L, is isomorphic to an ideal of A. Let L be the inverse image of L1 in M; L/Lo is isomorphic to L, and, since L, is free, L is isomorphic to Lo @ L, (Algebra, Chapter 11,s 1, no. 11, Proposition 21) and hence free; as M/L is isomorphic to (M/Lo)/Ll,the theorem has been shown.
Remark. If M is reflexive, the same is not necessarily true of M/L (Exercise 9).
10. MODULES OVER DEDEKIND DOMAINS

S - ' A / p S - l A = k(p),

whence S-lM/pS-lM
=

We now assume that A is a Dedekind domain; then we know that the ideals p E P are maximal and that they are the only prime ideals #O of A (3 2, no. 1); the group D ( A ) is identified with the group I (A)of fractional ideals # 0 of A.
=
@A

(M/pM) @A S - l A

M @A ((A/p) S - ' A ) @A

k ( p ) = M(p)

for all p E Y. By Chapter 11, 3 1, no. 2, Proposition 6, there exists an element z/s E S-'M ( z E M, s E S ) whose canonical images in the M(p) for p E Y are all #O. By definition of S therefore z ( p ) # 0 for all p E Y. We may further assume that y and t are linearly independent over K. For in the opposite case consider an element t E M which is linearly independent of y (such exists since n 2 2) ; on the other hand take an element a # 0 belonging to p (which is not reduced to 0 since A is an integral domain) and write z' = z + at: clearly y and z' are linearly independent over K and z'(p) = z ( p ) # 0 for all p E Y. Supposing therefore that y and z are linearly independent over K, let Z be the set of p E P Y such that y ( p ) and z ( p ) are linearly independent over k(p) ;it follows from Lemma 7 that this set isjnite. For all p E Z, we may therefore write z(p) = h ( p ) y ( p ) where h ( p ) ~ k ( p ) Now, Card(A/p) > 2 for all . p E P; it therefore follows from Lemma 6 that there exists b E A such that, for all P E Z, the canonical image of b in A/p is distinct from h ( p ) . We now show that the element x = z - by solves the problem; it suffices (by virtue of Lemma 7 applied with m = 1) to verify that x(p) # 0 for all p E P. Now:

PRoPosmoN 2 1. Let A be a Dedekind domain. Every pseudo-zero A-module is zero. Every pseudo-injective (resp. pseudo-surjective, pseudo-bijective, pseudo-zero) A-module homomorphism is injective (resp. surjective, bijective, zero). The first assertion has already been shown (no. 4, Example 1); the others follow from it immediately. PROPOSITION 22. Let A be a Dedekind domain and M ajnitely generated A-module. Thefollowing properties are equivalent: (a) M is torsion-free. (b) M is reJexive. (c) M isprojective. We already know (with no hypothesis on the integral domain A) that (b) implies (a) (no. 2, Remark 1) and that (c) implies (b) (Algebra, Chapter 11, 5 2, no. 7, Corollary 4 to Proposition 14). If M is torsion-free, it is identified with a lattice of V = M @A K with respect to A; M, is therefore a free A,module for every maximal ideal p E P, since A, is a principal ideal domain. The conclusion then follows from Chapter 11, 5 5, no. 2, Theorem 1 (b). COROLLARY. Let M be ajnitely generated A-module and let T be its torsion submodule. Then T is a direct factor o f M.
A s M/T is torsion-free and finitely generated, it is projective by Proposition 22 and the corollary therefore follows from Algebra, Chapter 11, 5 2, no. 2, Proposition 4.
543

, Q

-if p E Y, then x ( p ) # 0 by construction;

-if p E Z, then x ( p )
= p,y(p) where p # 0 by virtue of the choice of b , and hence x ( p ) # 0 since y ( p ) # 0; - if p E P (Y u Z), y(p) and z ( p ) are linearly independent and hence X ( Q ) # 0.

542

VII

DIVISORS

PROPOSITION 23. Let A be a Dedekind domain and T afinitely generated torsion Amodule. There exist twojnite families ( n J i E Iand (pJiEI, where the n, are integers 2 1 and the p, elements o P, such that T is isomorphic to the direct sum f (A/${). Further, thefamilies (nt) I and (P,) I are unique to within a bijection of the indexing set.

EXERCISES

This follows from no. 4, Theorem 5, taking account of the fact that a pseudoisomorphism is here an isomorphism.

PROPOSITION 24. Let A be a Dedekind domain and M aJinitely generated torsion-$ree A-module o rank n 2 1. Then there exists an ideal b # 0 of A such that M is isof morphic to the direct sum of th modules An- and b. Moreover, the class o the ideal b is f determined uniquely by this condition. Theorem 6 of no. 9 shows that there exists a free submodule L of M such that MIL is isomorphic to an ideal a of A. If a = 0, we take b = A. Otherwise, a is of rank 1, hence L = A"-' and a is a projective module (Proposition 22) ; M is therefore isomorphic to the direct sum of L and a (Algebra, Chapter 11, 3 2, no. 2, Proposition 4), which proves the first part of the proposition. Moreover, it follows from no. 7, Proposition 16 (i), (iv) and (v) that c(M) = c(b) whence the uniqueness of the class of b.
Remarks (1) Propositions 23 and 24 and the Corollary to Proposition 22 determine completely the structure of finitely generated A-modules. Proposition 24 shows that a torsion-free finitely generated A-module is determined up to isomorphism by its rank and the divisor class which is attached to it. (2) I t can be shown that over a Dedekind domain a projective module which is not finitely generated is necessarily free (Exercise 21) and that every submodule of a projective module is projective (Exercise 20).

31 1. Let K be a field and A the subring of the ring of formal power series K[[T]] consisting of the series in which the coefficient of T is 0; A is a NOetherian local integral domain which is not integrally closed. (a) Show that every principal ideal of A, which is non-zero and distinct from A, contains a unique element of the form T" + AT"+' where h E K, n 2 2; moreover, this ideal contains all the powers Tmwhere m 2 n 2. Deduce that the non-principal ideals of A are the ideals AT" + AT" where n 2 2. (b) Show that every fractional ideal of A is divisorial (prove that every non-principal ideal is the intersection of two principal ideals). Describe the structure of the monoid D(A). The only prime ideals of A are the maximal ideal m = AT2 + AT3 and (0).
+

'

2. (a) In the factorial polynomial domain K[X, y1 in two indeterminates over a field K, give an example of two principal ideals a, b such that a b is not divisorial. (b) Let K be the quadratic extension of the field Q(X) of rational functions in one indeterminate over Q, obtained by adjoining to Q(X) a root y of the polynomial Y2 - 2 X E Q(X)M.Let A be the subring of K generated by Z, X and y; A is an integrally closed Noetherian domain. Show that p = A X Ay is a prime ideal of height 1 but that p2 is not divisorial (show that X-'p2 is a prime ideal strictly containing p). Moreover p . (A: p) # A. (c) Let A be an integrally closed Noetherian local integral domain, whose maximal ideal m is not of height < 1; let p be a prime ideal of A of height 1; for every integer i > 0 let a, = p + mi; show that div(v a,) is distinct from sup(div(a,)).

3. Let A be a Noetherian integral domain and p a prime ideal of height 1.

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Show that A: p # A (in the field of fractions ofA). (Ifc # 0 is an element of p, note that p E Ass(A/Ac) and deduce that Ac: p # Ac by virtue of Chapter IVY Q 2, Exercise 30). Is the result still valid for a non-Noetherian integral domain (consider a non-discrete valuation ring of height 1) ?
4. Let A be a completely integrally closed domain and rn a maximal ideal of A. Show that, either rn is invertible, or m is not divisorial and A: m = A. (Note that, if rn is not invertible, necessarily rn. (A: rn)k = rn for every integer k > 0.)

v , ( x ) 2 0 for L distinct from the

th. Show that the intersection of the valuation rings of the u, is a Krull domain A whose field of fractions is K and that (u,), I is the family of essential valuations of A. (Show first that K is the field of fractions of A and hence that A is a Krull domain; then prove that for all t E I the prime ideal of A consisting of those x such that u , ( x ) > 0 is necessarily of height 1, arguing by reductio ad absurdum and using Corollary 2 to Proposition 6 of no. 4.)

5. Let A be an integral domain, K its field of fractions and U the subgroup of K* consisting of the invertible elements of A; consider the group K*/U = G as ordered by the relation derived by passing to the quotient from the relation x-ly E A in K* (Algebra, Chapter VI, Q 1, no. 5). (a) For a fractional ideal a # 0 of K to be divisorial, it is necessary and sufficient that the image of a {0} in G be a major set in G (Algebra, Chapter VI, Q 1,Exercise 30) ;for every fractional ideal a # 0 of K, the image of a (0) is the least major set containing the image of a (0). If A is a Krull domain, G is an ordered group isomorphic to a directed subgroup of an ordered group of the form Z"). (b) Show that for a homomorphism w of G to a totally ordered group r to be such that the restriction to A - (0) of the composite mapping K* -+K*/U 2- I is a valuation, it is necessary and sufficient that w be an ' increasing homomorphism. (c) Let H be the directed subgroup of the product ordered group Z x Z consisting of the ordered pairs (slys such that s1 + sp = 0 (mod. 2). Show ) , that there exists no integral domain A such that K*/U is an ordered group isomorphic to H (deduce from (b) that such a domain would necessarily be a Krull domain, but Proposition 9 of no. 5 would not hold for this ring (cf. Exercise 22)).

8. Let A be a Krull domain; show that, for every set I, the polynomial ring A[X,],., is a Krull domain. (Observe that, if B is a Krull domain, the valuations induced on B by the essential valuations of B[X,, . . ., X,] are the essential valuations of B.)

7 9. (a) Let B be a discrete valuation ring, A = B[[X]] the ring of formal power series in one indeterminate over B and C = A, the ring of fractions S-IA, where S is the multiplicative set of Xh (h 2 0). Let v be a normed valuation on B ; for every elementf = n d h bnX" # o of C with bh # o in B (h positive or negative), we write s ( f ) = u(bh). Show that s is a Euclidean stathm on C (Algebra, Chapter VII, Q 1, Exercise 7), such that s ( f g ) = s ( f ) + s ( g ) for non-zerof, g in C. (If s(f) = p 2 s ( g ) = q and h is the least of the degrees of the terms # O in f, show that there exists u E C such that f - ug = X h + y l where fl E C and, by arguing by redutio ad absurdum deduce the existence of a process of "Euclidean division" in C.) If s ( f ) = 0, f is invertible in C. * Show that A is not a Dedekind domain. * (b) Deduce from (a) that, if B is a Krull domain, A = B[[X]] is also a Krull domain. (If K is the field of fractions of B, note that A is the intersection of K[[X]] and a family (C,) of principal ideal domains with the same field of fractions as A and that every element of A is invertible in almost all the CL.) 10. Let A be a Krull domain, K its field of fractions, L a field containing K and (B,) a right directed family of Krull domains containing A and contained in L such that the field of fractions L, of B, is a finite algebraic extension of K and B, is the integral closure of A in La. For every essential valuation u of A and all a, let e,(v) be the sum of the ramification indices of the valuations on B, which extend u. Show that for the union of the B, to be a Krull domain, it is necessary and sufficient that for every essential valuation v of A, the set of e,(v) be bounded.

6. Let A be an integral domain. (a) For a divisorial ideal a of A to be such that div(a) is invertible in D(A), it is necessary and sufficient that a: a = A (cf. Exercise 5 and Algebra, Chapter VI, 5 1, Exercise 30). In particular, in order that a: a = A for every divisorial ideal a of A, it is necessary and sufficient that A be completely integrally closed. (b) In order that a: a = A for every finitely generated ideal a # 0 of A, it is necessary and sufficient that A be integrally closed.
7. Let K be a field and ( u , ) , ~ ,a family of discrete valuations on K satisfying conditions (AK,) and (AK,,) of no. 3 and such that, for every integer r, every family (nh) h of rational integers and every family (Lh) h of distinct elements of I, there exists x E K such that ulh(x) = nh for 1 < h < r and

7 11. A divisor d in an integral domain A is calledjnitely generated if it is of the form div(a), where a is a finitely generated fractional ideal (which is not necessarily divisorial; cf. (b)).
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(a) Show that, if A is a Krull domain, every divisor of D(A) is of the form div(a), where a = Ax + Ay, x, y being elements # O of the field of fractions of A (use Corollary 2 to Proposition 9 of no. 5). (b) Let K be a field, A = K[X,],,N the ring of polynomials over K in a denumerable set of indeterminates, which is a Krull ring (Exercise 8). Let A' be the subring of A generated by the unit element and the monomials &X, for all pairs ( i , j ) (equivalently, A' is the set of polynomials all whose terms have even degree). If L and L' are the fields of fractions of A and A', show that A' = A n L', hence A' is a Krull ring. Let p be the ideal in A' generated by the products X, Xi for all i 2 0; show that p is a prime ideal of height 1 (hence divkon'al) but that it k notjnitely generated. 12. (a) Let A be an integrally closed domain, f(X) = alXf and

rated by a family (p,) of elements such that each 4,is a prime ideal (note that every divisorial prime ideal which meets S is principal),

g(X) = b,Xf be two polynomials in A[X] ;show that, if c E A is such that all the coefficients off (X)g(X) belong to Ac, then all the products a,b, belong to Ac (reduce it to the case where A is a valuation ring). (b) If A is the ring defined in Exercise 1,give an example of two polynomials f, g of degree 1 in A[X] and an element c E A for which the conclusion of (a) does not hold (take c = T4 + T6). (c) Under the hypotheses of (a), let a, 6, c be the ideals of A generated respectively by the coefficientsoff, g and fg: show that div(c) = div(a) + div(b). Give an example where i- # (i6.Show that, if c is principal, c = ab and a and b are invertible; if further A is a local ring, a and b are principal. 13. Let A be an integral domain and (t,),a family of non-zero elements such that the principal ideals Ap, are prime; let S be the multiplicative subset, generated by the p,. (a) Show that A = S-lA n AAp,). (b) Suppose that every non-empty family of principal ideals of A has a maximal element. Show that each of the rings AAp,is a discrete valuation ring (cf. Chapter VI, Q 3, no. 5, Proposition 9). Deduce that, if S-'A is integrally closed (resp. completely integrally closed), A is integrally closed (resp. completely integrally closed). If S-'A is a Krull domain, show that A is a Krull domain.
14. Let A be a Krull domain and S a saturated multiplicative subset of A not containing 0 (Chapter 11, Q 2, Exercise 1). Show that, if the canonical homomorphism : C(A) +- C(S-'A) (no. 10, Proposition 17) is bijective, S is gene:

7 15. (a) Let A be an integral domain and a, b two elements #O of A such that Aa n Ab = Aab. Show that in the polynomial ring A[X] the principal ideal generated by a x + b is prime (prove that every polynomialf(X) E A[X] such thatf( -b/a) = 0 is a multiple of aX 6, arguing induction on the degree o f f 1. (b) Let A be a Krull domain and a, b two elements of A such that Aa and Aa + Ab are prime and distinct. Show that A[X]/(aX +- b) is a Krull domain and that C(A[X]/(aX b)) is isomorphic to C(A). (Note, with the aid of (a), that A[X]/(aX + 6) is isomorphic to A[b/a] = B; show that Ba is prime in B. Observe that A[u-l] = B[a-l] is a Krull domain and use Exercise 12.) (c) Let A be an integrally closed Noetherian domain and a, b two elements of the Jacobson radical r of A. Suppose that the ideal Aa + Ab is a non-divkorial prime ideal; show that Aa and Ab are prime ideals. (Prove first that Aa n A6 = Aab considering the ideals of Ass(A/Aa). Show secondly that the relations xy E Ab and y $ Aa Ab imply x E Ab + Aah for all h, by induction j on h; deduce that then x E Ab. Finally, deduce that, if xy E Ab, x 4 Ab, y f! Ab, then necessarily x E A6 Aah and y E Ab Aahfor all h, arguing by induction on h; deduce a contradiction.)

(Q

16. Let A = @ A, be a graded Krull domain. Let D,(A) (resp. F,(A)) ncZ denote the group generated by the divisors of the graded integral divisorial ideals (resp. by the divisors div(a), where a is homogeneous in A); write C,(A) = D,(A)/F,(A). Let S be the multiplicative subset of homogeneous elements #O of A. (a) Show that every prime ideal of A of height 1 which meets S is graded (use Chapter 111, Q 1, no. 4, Proposition 5). (b) Let B = S-lA, which is a graded ring (Chapter 11, Q 2, no. 9); write B,; show that B, is a field and that, if A # A,, B is isomorphic to the B= ring B,[X, X-l] of rational functions P(X)/XL,where P(X) E Bo[X]. (c) Show that CJA) and C(A) are canonically isomorphic (use (a), (b) and equation (5) ofno. 10).

,qZ

17. Let A = A,, be a graded Krull domain and&E A, be such that Ap is prime and # 0. (a) Show that, if B is the ring A(p)defined in Chapter 111, Q 1, Exercise 1 (a), B is a Krull domain and the groups C(A) and C(B) are canonically isomorphic. (Show first that C(B) is isomorphic to C(B[p,p-']) and observe that B[p,p-ll = "-'I-)
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(b) Under the hypotheses of Exercise 15 (b), show that the groups C(A) and C(A[X, Y]/(aX + b y ) ) are isomorphic.

7 18.

Let A =

,FZ be a graded Krull domain with positive degrees, such A,

that A is a field and let m = , A,, a maximal ideal of A. Let S be the multiplicative set of homogeneous elements #O of A, so that the ring S-lA is a principal ideal domain (Exercise 16 (b)). (a) Let p be a prime ideal of A of height 1 which meets A m; then p is not graded (otherwise p = A) and the ideal S-lp of S-lA is principal, generated by an element of the form x = 1 x , + . . x, where x, E (S-lA)p Writing an element of p of the form 1 + a, a,, (a, E A,) as a multiple of x in S-lA and using Chapter V, 3 1, no. 3, Proposition 11, show that x E p; writing finally every element of p as a multiple of x in S-lA, show that p = Ax.

,T1
+

the subring of an algebraic closure of K(X) generated by K and two sequences where x1 = X and x,- = xi. Show of elements (x,), (l/x,) (1 < n < +a), that A is Bezoutian (use (a)). If p is a prime ideal # O of A, show that p is generated by a sequence of elements of the form x, - a,, where a, E K, a, # 0 and a; = (consider for all n the intersection p n K[x,, l/x,]). Show that p is not finitely generated.

(b) Deduce from (a) that C(A) and C(&) are canonically isomorphic (use Proposition 17 of no. 10). 19. Let A be a local Krull domain and m its maximal ideal; if show that C(A) and C ( A ) are canonically isomorphic. A' = (A[X]),,,,,, (Apply the criterion of Proposition 17 of no. 10, using Exercise 12 (c).)

2 1. An integral domain A is called pseudo-Bezoutian (resp. pseudo-principal) if, in the notation of Exercise 5, the group K*/U is lattice-ordered (completely lattice ordered). Every Bezoutian * (resp. factorial) * domain is pseudo-Bezoutian * (resp. pseudo-principal) *. Every pseudo-principal domain is pseudoBezoutian. A valuation ring whose order group is R is pseudo-principal but not a principal ideal domain. Every pseudo-Bezoutian (resp. pseudo-principal) domain is integrally closed (resp. completely integrally closed) (use Exercise 6). * Every Noetherian pseudo-Bezoutian domain is factorial. * Give an example of an integrally closed Noetherian (and therefore Krull) domain which is not pseudo-Bezoutian (cf. Exercise 2). If A is pseudo-Bezoutian, so is S-lA for every multiplicative subset S of A such that 0 $ S (use Chapter 11, 5 2, Exercise 1).

7 22. (a) Let I' be a lattice-ordered additive group and A the algebra of I ' over a field k ; A is an integral domain (Algebra, Chapter 11, 3 11, no. 4, Proposition 8). Every element x # 0 in A may be written uniquely as
x =
,=1

An integral domain A is called Bezoutian (or a Bezout domain) if every Jinitely generated ideal of A is principal. Every Bezoutian Noetherian domain is a principal ideal domain. Every valuation ring is a Bezoutian domain (and therefore a Bezoutian domain is not therefore necessarily Noetherian nor completely integrally closed). (a) Show that every Bezoutian domain is integrally closed (cf Exercise 6). If an integral domain is the union of a right directed family of Bezoutian subdomains, it is Bezoutian. If A is a Bezoutian domain, so is S-lA for every multiplicative subset S of A such that 0 4 S. (b) Let v, (1 < i < n) be independent valuations on a field K and 4 the ring of the valuation v,. Show that the intersection A of the A, is a Bezoutian domain. (If an ideal a of A is finitely generated, the set of v,(x) for x E a admits , a least element a in the value group of v,; for all i, let x, E a be such that v ~ ( x , )= tcp Using the Approximation Theorem (Chapter VI, 3 7, no. 2,
Theorem l), show that there are elements ai E A such that x = aixf E a satisfies the relations v,(x) = a,for 1 < i < n) If the v, are discrete valuations, . A is a principal ideal domain. (c) Let K be an algebraically closed field of characteristic 2 2 and let A be 550

7 20.

5 ufev{,where the

vi are distinct elements of

I, the evl the corresponding '

elements of the canonical basis of A over k and the a, elements # 0 of k. Write + ( x ) = inf(vl, . . ., v,) in I'; show that + ( x y) 2 inf(+(x), +(y)) if x, y and x + y are # O in A and +(xy) = + ( x ) +(y) if xy # 0 in A. (To show the second assertion, establish first the following lemma: given a finite family ( , of elements of I, in order that inf(t,) = 0, it is necessary and sufficient 6) '

that for all q > 0 in I' there exist an indexj and an element t: E I? such that 0 < 1: 6 q and inf(Ej, 1:) = 0. Apply this lemma reducing it to the case where +(x) = = 0.) (b) Deduce from (a) that, if K is the field of fractions of A, can be extended to a homomorphism from K* to I? (also denoted by +) such that

+ k + Y)

2 inf(+(x), +(Y))

if x, y and x y are #O in K. Deduce that, if B is the set of x E K such that x = 0 or + ( x ) 2 0, B is a domain whose field of fractions is K and such that, if U is the group of invertible elements of B, K*/U is isomorphic to I (and in ' particular B is a pseudo-Bezoutian domain). Derive examples of a pseudoBezoutian domain which is not completely integrally closed, a completely integrally closed pseudo-Bezoutian domain which is not pseudo-principal (cf.

55 1

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Alzebra, Chapter VI, $ 1, Exercise 31) * and a pseudo-principal domain which is ;lot factorial. * * (c) Derive from (b) an example of an integral domain which is the union of a right directed family of factorial subdomains and is completely integrally closed but not pseudo-Bezoutian. (Let 0 be an irrational number in [0,1] and for every integerj let qj be the greatest integer such that qj/2 < 0. For a l l j define on the product group Q x Q a lattice-ordered group structure by taking the set (G,) of elements 2 0 of this group- to be the ordered pairs (6, q) such that 5 2 0 and 0 < q < (q,2-35). * 23. (a) Let A be a pseudo-Bezoutian domain (Exercise21) and K its field of fractions; for every polynomialf E A[X] a g.c.d. of the coefficients off (determined to within an invertible element of A) is called a content off. Let f, g be two polynomials of A[X]; show that for f to divide g in A[X], it is necessary and sufficient that f divide g in K[X] and that a content off divide a content ofg (use Exercise 12) (cf. Exercise 30 (c)). (b) Deduce from (a) that, ifA is a pseudo-Bezoutian (resp. pseudo-principal) domain, then so is A[X]. Moreover, if (a,) is a finite (resp. any) family of elements # O of A and d a g.c.d. of this family in A, d is also a g.c.d. of this family in A[X]. (c) Deduce from (b) that, if A is pseudo-Bezoutian (resp. pseudo-principal) then A[XJA is pseudoBezoutian (resp. pseudo-principal) for every family (Xh)hs of indeterminates. 24. Let K be an algebraically closed field and A = K[X, Y] the polynomial ring in two indeterminates over K, which is a Krull domain * (and even a hctorial domain). * For every ordered pair (a,(3) E Ka let w , , ~ the discrete be valuation on A such that, for every polynomialf # 0, w , , ~f)is the least degree ( of the monomials # O in f (X + a,Y + p). Show that A is the intersection of the rings of the valuations w , , ~ ,none of which is an essential valuation of A.
\ - , I T

fi 26. Let A be an integral domain and K its field of fractions. A valuation u on K is called essential for A if the ring of v is a local ring Apat a prime ideal p of A (the intersection of A and the ideal of v). (a) Let v be an essential valuation for A of height 1 and let p be the prime ideal A consisting of those x such that v ( x ) > 0. Show that p is of height 1. If x E K does not belong to Ap,then A n x-lA c p. If w is a valuation on K whose ring B contains A and whose ideal q satisfies q n A c p, show that w is equivalent to v. (b) An integrally closed domain A is said to be ofjnite character and real type if f there exists a family (uJ , I of valuations on K o height 1 satisfying properties (AKII) and (AKIII). Show that under these conditions, if z E K does not belong to A and p is a prime ideal of A such that A n z-IA c p, there exists c E I such that v , ( z ) < 0 and that the prime ideal q, of X E A such that v L ( x )> 0 is contained in p. (Argue by reductio ad absurdurn by considering the finite number of u,, such that v l r ( z ) < 0; prove the existence of an a E A such that a $ p and v l k ( a ) > 0 for all k; deduce that anz $ A for every integer n > 0 and show that this implies a contradiction.) Conclude from this that every essential valuation for A of height 1 is equivalent to one of the u, (use (a)). Every finite intersection of subdomains of K which are of finite character and real type is also a domain of finite character and real type.
(c) Suppose that the hypotheses of (b) are satisfied and moreover that all the v, are essential. Show that, for every prime ideal p of A of height 1, A, is the ring of one of the valuations v, (use (b) taking z - l E p). For all x E A, the principal ideal Ax then admits a unique reduced primary decomposition (Chapter IVY tj 2, Exercise 20), the prime ideals corresponding to this decomposition being the prime ideals of height 1 containing x. (d) Suppose that the hypotheses of (b) are satisfied. Let S be a multiplicative subset of A not containing 0 and J C I the set of 1 E I such that v,(x) = 0 on S. Show that the family (u,), satisfies properties (AKII) and (AKIII) for the ring S-IA; this family consists of essential valuations for S-IA if (vJlG1 consists of essential valuations for A. (e) Generalize Proposition 9 of no. 5 to the case where the hypotheses of (c) are satisfied. (f) Suppose the hypotheses of (b) are satisfied. Let K be a finite extension of K and A the integral closure of A in K. Show that the valuations (no two of which are equivalent) on K which extend the v, satisfjr properties (AKII) and (AKIII) for A and the latter is therefore a domain of finite character and real type; if the v, are all essential for A, so are their extensions for A (argue as in no. 8, Proposition 12 and use also Chapter VI, tj 8, no. 3, Remark). (g) If A is a domain of finite character and real type, so is A[X] ; if the
553

25. An integrally closed domain A is said to be ofjkite character if there exists a family (v,) ,E I of valuations on the field of fractions of A satisfying properties (AKII) and (AKIII). (a) Show that, if A is integrally closed and of finite character, for every element x # 0 in A, there can only be a finite number of extremal elements of the ordered group of principal divisors which are < div(x). (Let J c I be the finite set of indices such that v,(x) > 0. If m is the number of elements in J, show that there cannot be m + 1 elements yj (1 < j < m + 1) dividing x and such that the elements div(y,) are extremal, observing that, for all j, div(y,) must be
Prime to kt; div(y,).) * (b) Show that the ring of integral functions of one complex variable (Chapter v, $ 1, Exercise 12) is a pseudo-principal domain (Exercise 21) but not a domain of finite character (use (a)). * 552

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conditions of (c) are fulfilled, determine the essential valuations for A[X] (argue as in no. 9). Generalize Exercise 8 similarly.

,EI, 27. In Exercise 22 take I? to be a direct sum of a family (r,) where the I?, are subgroups of the additive group R. Show that the ring B defined in Exercise 22 (b) is a domain of finite character and real type and that it is the intersection of a family of essential valuation rings for B; moreover, every prime ideal # O of B is maximal.
28. An integrally closed domain A is said to be ofjnite character and rational , type if there exists a family ( u , ) , ~ of valuations on its field of fractions K satisfying properties (AK,,) and (AK,,) and whose value groups are subgroups ofthe additive group Q.Show that the family of essential valuations for A of height 1 satis+ (AK,,) and (AK,). (For all L E I, let p, be the prime ideal ofA consisting ofthe x such that u,(x) > 0 and let V, be the ring of the valuation v,. Show that, if there are two indices u, (3 such that po c pa, then A is the intersection of the V, ofindex L # u. For this, argue by reductio ad absurdurn by showing that otherwise there would be an element x E K*, an element y E po and two positive integers r, s such that vo(x'ys) > 0, ua(xrys) = 0 and v,(x'ys) 2 0 for all L E I, contrary to the hypothesis.) 29. Let A be an integrally closed domain and K its field of fractions. (a) Let L be an algebraic extension of K and B the integral closure of A in L. Show that for every fractional ideal a of A, if we write b = aB, 6 n A = a". (Reduce it to the case where A c 5, in other words A: a c A and prove that B: b c B; for this, let x E B: b and let ct ( I 6 i < n) be the coefficients of its minimal polynomial over K; note that for ally E a the elements ctyi (1 < i < n) belong to A and deduce that the ci belong to A.) (b) Let C be a polynomial ring A[X,],. in any family of indeterminates. Show that for every fractional ideal a of A, if we write c = aC, ? n A = a" (same method).

(c) Let A be a regularly integrally closed domain and K its field of fractions; the monoid D,(A) of finitely generated divisors of A generates in D(A) a lattice-ordered group Gf(A). For every polynomial$ E K[X], let d ( P ) denote the divisor of the fractional ideal of A generated by the coefficients of p ; for every rational function r = p / q of K(X), where p , q are in K[X] and q # 0, d ( p ) - d ( q ) is well defined on Gf(A) (independently of the expression of r as a quotient of two polynomials) ;it is denoted by d ( r ) (cf. Exercise 12 (c)). If we then write y ( r ) = ( ( r ) ,d ( r ) ) , where ( r ) is the fractional principal ideal of K[X] generated by r, y is an isomorphism of the ordered group P*(A[X]) (notation of fj3, no. 2) onto a subgroup of the product ordered group P*(K[X]) x G,(A) c P*(K[X]) x D(A). Deduce that A[X] is a regularly integrally closed domain and that D,(A[X]) is isomorphic to .P*(K[X]) x D,(A) (use (a) and (b) and Exercise 29 (b)). (d) Let B be an integrally closed domain, K its field of fractions and A the subring of the polynomial ring K[X, Y] consisting of the polynomials whose constant term belongs to B. Show that, if B # K, A is integrally closed but not regularly integrally closed (show that the divisor inf(div(X), div(Y)) corresponds to a divisorial ideal a such that a: a # A).

7 30. An integral domain is called regularly integrally closed if, in the monoid D(A), every finitely generated divisor (Exercise 11) is a regular element. Every completely integrally closed domain is regularly integrally closed ; every pseudo-Bezoutial domain (Exercise 2 I) is regularly integrally closed. (a) If A is regularly integrally closed and d, d', d" are three finitely generated divisors, the relation d + d" < d' + d" implies d < d'. (b) Deduce from (a) that, for an integral domain A to be regularly integrally closed, it is necessary and sufficient that, for every fractional ideal a of A such that div(a) is a finitely generated divisor, a: a = A; in particular A is integrally closed (Exercise6 (b)). (Use the fact that A: (bc) = (A: 6) : c for two fractional ideals 6, c of A, taking b = a, c = A: a.) Moreover, div(a) is then invertible in D(A).
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7 31. (a) Let A be a regularly integrally closed domain (Exercise 30) and K its field of fractions; for every polynomial P E K[X], let c(P) denote the divisor div(a), where a is the fractional ideal of K generated by the coefficients of P. Let B denote the subring of K(X) consisting of the rational functions P/Qsuch that c(P) 2 c ( Q ) (show that this condition depends only on the element P/Q, using Exercise 30 (a) and 12 (c)). Then B n K = A. (b) Show that B is a Bezoutian domain (Exercise 20) (observe that, if P, Q are two polynomials of A[X], P X"Qdivides P and Q i n B ifm is sufficiently large). (c) Show that, if A is a Krull domain, B is a principal ideal domain (consider an increasing sequence of finitely generated fractional principal ideals of B). Give an example where A is completely integrally closed but B is not a principal ideal domain (cf. Exercise 22). (d) Deduce from (c) an example of a Noetherian domain B for which there exists a subfield K of its field of fractions such that B n K is not Noetherian.

a finite family of elements of A, a the ideal T A a , and R the submodule of A" generated by the element ( a l , . . . , a,). Show that, for the torsion submodule of the A-module M = An/R to be a direct factor of M, it is necessary and sufficient that a(A: a) f (A: (A: a)) = A.
555

32. Let A be an integral domain

(at)

. -

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EXERCISES

32
1. (a) Show that, if a is an ideal # O in a Dedekind domain A, the ring A/a is a principal ideal ring (Algebra, Chapter VII, 3 1, Exercise 5 ) (note that A/a is semi-local and argue as in Proposition 1 of no. 2). Deduce again that every fractional ideal of A is generated by at most two elements (cf. Exercise 11 (a)). (b) In the polynomial ring A = k [ X , Y ] over a field k, let m be the ideal Ax + AY. Show that for every integer n the minimum number of generators of the ideal mn is n 1.

denote the multiplicative set of elements x E A such that u p l ( x ) = 0 for all i (resp. consisting of 1 and the x E A such that u,(x) = 0 for all the prime ideals q distinct from the Q{ and up,(.) 2 1 for all i; the hypothesis implies that T is not reduced to 1). Show that S-lA and T-lA are principal ideal domains and thatA = (S-lA) n (T-lA).

6. Show that in a Dedekind domain the notions of primary ideal, irreducible ideal, primal ideal (Chapter IV, 3 2, Exercise 33), quasi-prime ideal (Chapter IV, 3 2, Exercise 34) and power of a prime ideal are identical.

2. (a) Let a, b be two integral ideals of a Dedekind domain A; show that there exists an integral ideal c which is prime to b and such that ac is principal (use Proposition 9 of 3 1, no. 5 ) . (b) Let a, b be two integral ideals of A; show that there exists x # 0 in the field of fractions of A such that xa is an integral ideal of A which is prime to b (same method). Deduce that the module a/ab is isomorphic to Alb.
3. Let A be a Dedekind domain, K its field of fractions, P the set of prime ideals # 0 of A and for all Q E P let up be the corresponding essential valuation on K. For every sub-A-module M of K and all Q E P we write up(M) = inf up(.) (taken in k); M # 0, vp(M) < +co for all Q E P and vp(M) < 0 for almost if all Q E P. If M, N are two sub-A-modules of K, show that the relation M c N is equivalent to vp(N) < vp(M)for all Q E P (use Proposition 9 of 3 1, no. 5). Conversely, for every family ( v ~ EP ~ elements equal to an integer or -co and ) of such that vp < 0 for almost all Q E P, there exists a unique sub-A-module M of K such that vp(M) = vp for all Q E P.
4. Let A be a Dedekind domain and K its field of fractions. If L is a subfield of K such that A is integral over A n L, then A nL is a Dedekind domain (show first that A n L is a Krull domain and then that every prime ideal of A n L is maximal, using Chapter V, fj 2, no. 1, Theorem 1).

7. Let A be a Noetherian domain. Show that the following properties are equivalent : ( E ) A is a Dedekind domain. (p) For every maximal ideal m of A, there exists no ideal a distinct from m and m2 such that m2 c a c m. (y) For every maximal ideal m of A, the set of primary ideals for m is totally ordered by inclusion. ( 6 ) For every maximal ideal m of A, every primary ideal for m is a product of prime ideals. (Prove that each of the properties (y) and ( 6 ) implies (p); then show that (p) implies that A,,, is a field or a discrete valuation ring (cf. Chapter VI, 3 3, no. 5 , Proposition 9).) Give an example of a local integral domain satisfying properties (p), (y) and ( 6 ) , which is not a valuation ring (cf. Chapter VI, 3 3, Exercise 7).

5. (a) Let k be a field, K the field k ( X , Y )of rational functions in two indeterminates over k and A the polynomial ring K[Z] in one indeterminate, which is a principal ideal domain. Let L be the subfield k(Z, X YZ) of k ( X , y , Z) ;show that A n L is not a Dedekind domain (prove that there are prime ideals which are not maximal and # O in this ring). (b) Let A be a Dedekind domain which is not a principal ideal domain and for which the ideal class group C(A) is finite * (the ring of integers of a finite algebraic extension of Q has the latter property). * Let (a,),,,,, be a representative system of the group I(A) of fractional ideals # O modulo the subgroup of fractional principal ideals, consisting of integral ideals of A and let Pr (1 < i < S) be the prime ideals dividing at least one of the aj. Let S (resp. T)

7 8. Let A be an integral domain in which every prime ideal #O is invertible. Show that A is a Dedekind domain. (Prove first that every prime ideal Q # 0 of A is maximal, noting that, if Q is a prime ideal such that Q # Q and p 3 Q, then p: p = p (Chapter 11, 3 1, Exercises 8 (b)) and on the other hand that Q : p = pp-l, whence a contradiction is deduced. Deduce that A is Noetherian (Chapter 11, 3 1, Exercise 6 (b)) and finally apply Chapter 11, 3 5, no. 6, Theorem 4 to show that A, is a field or a discrete valuation ring for every maximal ideal m of A.)
Let A be an integral domain. , be (a) Let (pi) ,, ( Q ; ) , , two finite families of invertible prime ideals ,, such that p I p 2 . . .pm = p i p 2 . . .Q:. Show that m = n and that there exists a ~ permutation x of [I, n] such that Q; = Q ~ (for) all i such that 1 < i < n. (b) Let p be a prime ideal of A and a an element of A Q ;if p c Aa p2, show that p = p(Aa p) ; deduce that, if p is invertible, then Aa p = A. (c) Show that, if every ideal ofA is a product (not necessarily apriori unique) of prime ideals of A, A is a Dedekind domain. (Show first that every invertible prime ideal Q is maximal, considering an element a E A Q and decompositions of An p and Aa2 Q as products of prime ideals and applying (a)
Q f

7 9.

556

557

VII

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EXERCISES

in the ring A/p to show that Aa2 + p = (Aa + P ) ~ then use (b). Prove then ; that every prime ideal p # 0 is invertible, by decomposing as a product of prime ideals a principal ideal Ab where b E p, observing that the factors of this product are invertible and, by applying the above, show that p is necessarily equal to one of these factors. Conclude with the aid of Exercise 8.)

7 10. Let A be a ring in which every ideal is a product of prime ideals.

(a) Show that, for every prime ideal p of A, A/p is a Dedekind domain (Exercise 9). (b) Show that the set of minimal prime ideals pl of A is finite (decompose (0) as a product of prime ideals). (c) Suppose that A/pris not a field. Show that, ify E p i , then, for all x E A-pi, there exists z E pr such that y = zx. (Consider in A the decompositions as products of prime ideals of Ax and Ax + Ay and the corresponding decompositions in A/pl.) Deduce that, for all non-zero y E pl, Ay = p, (consider p,/Ay, decomposing Ay as a product of prime ideals) ; show finally that pi = pf and therefore that there exists in pi an idempotent el such that p, = Ae, (cf. Chapter 11,s4,Exercise 15). Then A is the direct composition of the ring Ae, and the ring A( 1 - el), isomorphic to the Dedekind domain A/p,. (d) Suppose now that all the p1 are maximal, so that A is a direct composition of rings of the form A/p:i (Chapter 11,s 1, no, 2, Proposition 5 ) and we may therefore confine our attention to the case where A is primary or where the unique prime ideal p of A is nilpotent. Show that in this case the hypothesis implies that A is a principal ideal ring (Algebra, Chapter VII, 4 1, Exercises 5 and 6 . ) (e) Conclude from (c) and (d) that A is the product of a finite number of Dedekind domains and a principal ideal ring. 11. Let K be a field and (u,) , I a family of discrete valuations on K satisfying conditions (AKI) and (AKIII) of 3 1, no. 3 and such that, for every integer r, every family (n,JlbhSr of integers 2 0 , every family ( t J I G h b r of distinct elements of 1 and every family (ah)l< h b r of elements of K, there exists x E K such that u,,(x - a h ) 2 nh for 1 < h < Y and v , ( x ) = 0 for L distinct from the Lh. Show that the intersection A of the valuation rings of the v , is a Dedekind domain whose field of fractions is K and that (uJLE1 the family of essential is valuations of A. (Use Exercise 7 of 3 1;then prove that two distinct prime ideals of height 1 are relatively prime and deduce that every prime ideal # 0 of A is maximal.)

(y) Every finitely generated ideal # O in A is invertible (and therefore the finitely generated fractional ideals # 0 form a group). (6) Every torsion-free finitely generated A-module is projective. (E) For all x E K, the fractional ideal A + Ax is invertible. (c) For all x # 0 in K, there exists y E K such that y = 0 (mod. l), y = 0 (mod. x ) and y = 1 (mod. 1 - x ) . (q) If (a,) is a finite family of ideals of A, for the system of congruences x = c, (mod. at) to have a solution it is necessary and sufficient that c1 5 c, (mod. (a, + a,)) for every pair of indices i, j (Chinese remainder theorem). (0) If a, b, c are three ideals of A, then a n (b + c) = a n b a n c. ( 1 ) If a, 6, c are three ideals ofA, then a (b n c) = (a 6) n (a c). ( x ) A is integrally closed and every finitely generated ideal of A is divisorial. (A) A is integrally closed and for z # 0 in K there exist x, y in A such that z = x yz2. (p) A is integrally closed and, if a, 6, c are three finitely generated fractional ideals #O, the relation a b = ac implies b = c. (v) For every finitely generated A-module M, the torsion submodule of M is a direct factor of M. ( 0 ) Every ring B such that A c B c K is an integrally closed domain. rfr Then A is called a Priiferian domain (or a P u e domain). (To prove the equivalence of (a),(p), (y) and (a), use Chapter 11,s 5 , no. 2, Theorem 1 and no. 6, Theorem 4. To prove that ( E ) implies (y), use the b)(b + c)(c + a) = (a + b + c)(ab + bc ca) betwecn three identity (a fractional ideals in an integral domain. To prove that (c) implies (q), argue by induction on the number of a,. The equivalence of (q), (0) and ( 1 ) has been shown in Algebra, Chapter VI, 3 1, Exercise 25. Prove that (A) implies ( E ) by noting that (A) implies the relation

x(A

+ Az) c z(A + Az),

using Exercise 6 (b) of 3 1 and noting that (A

+ Az)(Ay + Ax/z) = A.

To prove that (p) implies (A) noting that always z(A

+ Az) c (A + Az2)(A + Az).

7 12. Let A be an integral domain and K its field of fractions. Show that the following properties are equivalent: (a) For every prime ideal p of A, the local ring ADis a valuation ring. (p) For every maximal ideal rn of A, the local ring A,,, is a valuation ring.
558

Prove that ( x ) implies (A) noting that every fractional principal ideal At which contained A and Az2 also contains Az. To prove that (v) implies (y), consider, for a finitely generated integral ideal a # 0 of A, a non-zero element c E a(A: a) and apply Exercise 32 of 5 1 to the ideal b = ca. To prove that ( 5 ) implies (p), reduce it to the case where A is a local ring, consider an element z E K A and show that 2 - l E A, noting that the hypothesis implies that z E A[z2].)

559

VII

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7 13. (a) In a Priiferian domain A, let a, b be two finitely generated ideals; show that, if b c$ a, there exists a finitely generated ideal c such that a c c, a # c and bc c a (consider the ideal a + 6). (b) Deduce from (a) that, if a is a finitely generated ideal in a Priiferian domain A, then in the ring A/a every element which is not a divisor of zero is invertible. In particular, a prime ideal of A cannot be finitely generated if it is maximal. (c) Show that in a Priiferian domain A two prime ideals p, p' neither of which is contained in the other are relatively prime (consider,for every maximal ideal m of A, the ideal PA,,, + p'A,,,). (d) In a Priiferian domain A let a be a finitely generated ideal. For a to be 3 primal (Chapter IVY 2, Exercise 33), it is necessary and sufficient that a be contained only in a single maximal ideal of A (use (b)); a is then irreducible and quasi-prime (Chapter IV, $ 2, Exercise 34),so that, for finitely generated ideals, these three notions coincide. For a to be primary, it is necessary and sufficient that it be contained only in a single prime ideal (necessarily maximal) m; for a to be strongly primary (Chapter IV, 3 2, Exercise 27), it is necessary and sufficient also that mA,,, be principal.
14. Let A be a Priiferian domain. Show that for an A-module M to be flat, it is necessary and sufficient that it be torsion-free (use Exercise 12 ( 6 ) ) . Deduce that A is a coherent ring (Chapter I, $ 2, Exercise 12). 15. (a) If A is a Priiferian domain, A/p is Priiferian for every prime ideal
p ofA.

(a) For A to be Bezoutian (3 1, Exercise 20), it is necessary and sufficient that it be Priiferian and pseudo-Bezoutian (4 1, Exercise 21). (b) For A to be a Dedekind domain, it is necessary and sufficient that it be a Priiferian Krull domain (show that every divisorial ideal of A is finitely generated, using Exercise 12 ( x ) and 3 1, Exercise 11 (a) ;deduce that every prime ideal #O of A is maximal (Exercise 13 (b)), then that every prime ideal of A is finitely generated and conclude with the aid of Chapter 11,s 1, Exercise 6). (c) For A to be a Dedekind domain, it is necessary and sufficient that it be Priiferian and strongly Laskerian (Chapter IV, 5 2, Exercise 28). (Observe that, if A is Pruferian and strongly Laskerian, every maximal ideal m of A is such that A,,, is a discrete valuation ring (Chapter VI, $ 3, Exercise 8),then that for all non-zero x E A there is a product of a finite number of maximal ideals of A contained in the ideal Ax and conclude that A is a Krull domain.) 18. Let A be a ring, the union of a right directed family of subrings A, which are Dedekind domains. Suppose that, for every prime ideal p of A,, there exists p 2 a such that there are at least two distinct prime ideals of A, lying above p. (a) Show that the ring of all algebraic integers (the integral closure of Z in C ) satisfies the above conditions (cf. Chapter V, $ 2, Exercise 6). (b) Let v be a non-improper valuation on A, t E A such that u(z) > 0 and Show that let a be the ideal of A consisting of the x satisfying u ( x ) 2 ~(2). A: a = A and hence that a is not invertible, although for every maximal ideal m of A, aA,,, is a principal ideal in the valuation ring A,,, (cf. Chapter 11, 5 5, no. 6, Theorem 4). (c) Deduce from (a) and (b) an example of a Priiferian domain which is completely integrally closed but not a Krull domain (cf. Exercises 15 (c) and 17 (b) and Chapter V, $ 1, Exercise 14).

(b) If A is Priiferian, so is S-lA for every multiplicative subset S of A not containing 0. (c) Let K be a field and (Ah)a non-empty right directed family of subrings of K. Show that, if the A, are Priiferian domains, so is their union A (use Exercise 12 (c)). 16. Let A be a Priiferian domain, K its field of fractions and L a (finite or otherwise) algebraic extension of K; show that the integral closure A' of A in L a,, be a is a Priiferian domain. (Let x E L and let aOXn alXn-l +. polynomial in A[X] of which x is a root; if we write

aOXn a,Xn-l +

+ . . . + a,, = (X - x)(b,X"-l

- .+ b,,-l),

show that the b, and the b,x belong to A', using

8 1,

Exercise 12 (a).

If a = Aa,, b = Bb,, show then that the ideal b.Ba-l is the inverse i=O 1=0 ofB + Bx.)

n-1

7 17.
560

Let A be an integral domain.

7 19. An integral domain A is called pseudo-PruYerian if the set of finitely generated divisors of D(A) (3 1, Exercise 11) is a group. A pseudo-Prtiferian domain is regularly integrally closed (3 1, Exercise 29). A pseudo-Bezoutian domain ($ 1, Exercise 21) is pseudo-Priiferian; a Priiferian domain is pseudoPriiferian; a Krull domain is pseudo-Priiferian. (a) Show by examples that the converses of the last three assertions are not necessarily true. (b) Let 0 be an irrational number > 0 and I the group R2ordered by taking ' the set of ordered pairs (a,p) such that a 2 0 and p 2 Oa as the set of positive elements; the ordered group I is a complete lattice. Let B be the pseudo' principal domain derived from r by the procedure of $ 1, Exercise 22 and let A be the subring the intersection of B and the algebra over k of the subgroup Q 2 ofR2. Show that A is a completely integrally closed domain but is not pseudo-Priiferian (note that, if K is the field of fractions of A and U the group of invertible elements of A, the ordered group K*/U is isomorphic to the group I? n Q2, ordered by the ordering induced by that on I?).
56 1

VII

DIVISORS

EXERCISES

(c) If the domain A is pseudo-Pruferian, show that the polynomial domain A[X] is pseudo-Pruferian (cf. 1, Exercise 30 (c)). (d) Let A be a pseudo-Pruferian domain and K its field of fractions. Show that the integral closure B of A in an algebraic extension L of K is a pseudoPriiferian domain (method of Exercise 16, using 1, Exercise 29 (a)). * (e) Deduce from Exercise 30 (d) of 3 1 an example of an increasing sequence (A,) of factorial domains with the same field of fractions whose union is not a regularly integrally closed domain (nor a fortiori a pseudo-Pruferian domain) (in the example quoted, take B to be a discrete valuation ring). *

Let a be an invertible ideal in A and let b be any ideal # O in A; show that there exists an ideal c such that b + c = A and ac is principal (Observe that, if (pJlctcnis a finite family of distinct maximal ideals of A and we write
ari = ap,p,. . .pn; using Chapter 11, 3 1, no. 2, Proposition 6, deduce the existence of an element x E a such that x-la b = A.) Deduce that a is generated by two elements (cf. Exercise 1). (b) Let K be a field and A the subring of the ring of formal power series K[[T]] consisting of the series a, T"P(T), where a, E K, P(T) E K[[T]], for a given integer n. Show that A is a Noetherian local integral domain with a single prime ideal m # 0, but that the smallest cardinal of a system of generators of rn is n.
c -

n
j#i

pj, then a =

act and

20. Let A be a Dedekind domain, K its field of fractions, L a finite algebraic extension of K and B the integral closure of A in L, which is a Dedekind domain. Let f be an ideal of B. For there to exist a ring C such that A c C c B and such that f is the conductor of B in A (Chapter V, 1, no. 5 ) , it is necessary and sufficientthat, for every prime ideal p' of B containing f such that the field B/p' is isomorphic to A/(p' n A) (prime ideals of residue degree l), the intersections o f f and the transporter f: p' of p' in f with A be equal. (Note that, if there exists such a ring C, the conductor of B in the ring Co = A i . f is also equal to f ; the existence of C is therefore equivalent to the fact that A f contains no ideal of B distinct from f and containing f. T o prove that the latter condition is equivalent to that of the statement, reduce it to the case where A is a discrete valuation ring.)

3
1. For an integral domain to be factorial, it is necessary and sufficient that (0) to N such that s(xy) = s ( x ) + s(y), there exist a mapping x H s(x) of A the relation s ( x ) = 0 implies that x is invertible in A and finally, for any two {0}, neither of which divides the other, there exist eleelements x, y of A (0) such that ax + by = t t , ~ ( z < s ( x ) , t being prime ) ments a, b, t,t of A to x and toy. (If this condition is fulfilled, show first that every non-zero element of A is a product of extremal elements and then that, for every extremal element p, A@is a prime ideal; conclude with the aid of Theorem 1 (d)).

7 21. (a) Let A be a n integral domain, f, g two polynomials in A[X] and h = fg. Let a, 6, c denote the ideals of A generated respectively by the coefficients of f, g, h. Show that, if deg(g) = n, then a n + l b = anc. (Let
f(X) 1 = 1 a,X1,g(X) = j = 1 b,Xj; for every increasing sequence =
Q

c
n

= (4l*k<n+l

of integers

< m and all j , let

uu,, = aflata*
* *

atj + Ib,ai, + a

.atn+ 1 ;

, ~ take on the set of uu,j a total ordering such that, f o r j < j ' , u,,j < u ~for all Q, 7, and, for all j , u,,j < u7,, if and only if Q < 7 in the lexicographical ordering on [0, mIn+l. Then argue by induction on this totally ordered set.) (b) Deduce from (a) that, if A is Pruferian (Exercise 12), then c = ab. (c) Taking A to be the polynomial ring Z[Y], give an example of two polynomialsf, g of the first degree in A[X] such that c # ab.

2. (a) Let A be an integral domain, the union of a right directed family (Ah) of subrings. Suppose that each of the A, is factorial and that, if A < p, every extremal element of A, is extremal in A,,. Show that A is a factorial domain whose set of extremal elements is the union of the sets of extremal elements of each of the A, (cf. 9 2, Exercise 19 (e)). (b) Deduce from (a) that for every factorial domain A the polynomial domain A[XJh in any family of indeterminates is factorial. (c) Let A be a factorial domain such that every domain of formal power series A[[X,, . . ., X,]] in a finite number of indeterminates is factorial. Show that every domain of formal power series A[[X,]] in any family of indeterminates (Algebra, Chapter IV, 3 5 , Exercise 1) is factorial (same method).

7 22. (a) Let A be a Noetherian domain each of whose prime ideals # O is maximal, so that every ideal a # 0 may be written uniquely as a product
q, of primary ideals relative to the distinct prime ideals pi containing a.

3. (a) Let A = %F0An a graded algebra with positive degrees over a be field k ; suppose that A, = k and that A is a Krull domain. Show that for A to be factorial, it is necessary and sufficient that every graded prime ideal p of A of height 1 be of the form p = Aa, where a is a homogeneous element (use Exercise 16 of 1). Show that every homogeneous element # O of A is a product of homogeneous extremal elements.
563

562

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(b) Let A be a graded k-algebra satisfying the conditions of (a).Let k' be an extension of k and suppose that A @k k' is a factorial domain; show that A is factorial. (If a graded ideal a of A is such that a @ k' is principal in A Bk k k', show that a is principal; then use (a).) 4. (a) Show that the ring A = Q[X, w / p , where p is the principal ideal generated by X2 + Y2 1 in Q[X, is a non-factorial Krull domain (if x is the image of X in A, show that x is an extremal element of A but that Ax is not a maximal ideal of A). (b) Show that the ring A gQ Q(i) is factorial (prove that this ring is isomorphic to the quotient of Q ( i ) [X, Y] by the principal ideal (XY - 1) ; compare with Exercise 3 (b)).

(d) Show that the domain C = Q[X, Y]/(X2 + 2Y2 + 1) is factorial, but that the domain C mQ Q(i) (where i 2 = - 1) is not factorial.

v,

7 5. (a) Let k be a Noetherian factorial domain and B the polynomial ring k[X,, . . ., X,] where n 2 3; let g, (0 < i < r ) be elements of k[X3,. . ., X,]
where go is extremal. Writing g = X,X2 giX\, consider the quotient ring A = B/gB. Show that A is factorial. (Let S be the multiplicative subset of A generated by 1 and the image of X, in A; apply Proposition 3 of no. 4 to S-IA.) (b) Let k be a field of characteristic 2 2 and F a homogeneous polynomial of the second degree in k[X,, . . .,X,,] where n 2 5, such that the corresponding polynomial function on kn is a non-degenerate quadratic form. Show that the domain k[X,, . . ., X,,]/(F) is factorial. (Prove first that a homogeneous polynomial G of the second degree in k[X,, . . .,X,], such that the corresponding polynomial function is a non-degenerate quadratic form, is extremal for n 2 3. Then prove the proposition when k is algebraically closed, using (a) ; finally pass to the general case with the aid of Exercise 3 (b).) (c) If F = X,X2 - X3X4,show that the domain k[X,, Xz, X3, X4]/(F) is not factorial. (Show that the images of the X, in this ring are extremal elements.)

7 7. Let K be a Noetherian factorial domain and F an extremal element of the polynomial ring K[X,, . . ., X,,]; suppose that, when a weight q ( i ) > 0 (1 < i < n) is attributed to each X,, F is isobaric and of weight q > 0. Let A be the domain generated, in an algebraic closure C l of the field of fractions of K(X,, . . ., X,,), by K, the X, (1 < i < n) and a root z of the polynomial Z c - F, where c is an integer prime to q. Show that A is factorial in the two following cases : (1) c = 1 (m0d.q); (2) every finitely generated projective K-module is free (which holds for example when K is a field or a principal ideal domain or a local ring). (In the first case, consider the ring of fractions A[l/z]; show that it is a factorial . domain and apply Proposition 3 of no. 4 In the second case, consider an integer d such that cd = 1 (mod. q) and let z' E R such that z = the domain B = A[z'] is factorial by virtue of the first case and is a free A-module. Consider B as a graded ring taking z' to be of weight q, each of the X, of weight cdq(i) and reduce it to proving that for two homogeneous elements u, u of A the ideal Au n Av is principal, using Exercise 16 of 3 1 ; consider finally the ideal Bu n Bv in B and use Chapter I, 3 3, no. 6, Proposition 12.) In particular, if K is a field and a, 6, c are three integers > 0 which are relatively prime in pairs, the domain
t l d ;

A is factorial.

K[X,Y, Z ] / ( Z a - Xb - Yc)

7 6. (a) Let K be an algebraically closed field of characteristic #2. Determine the graded prime ideals of the ring
K[X,Y, Z]/(X2 + Y2 + Z2).
(b) Let k be an ordered field, a, b, c elements > O of k and A the ring k[X, Y, Z]/(aX2 + b y 2 cZ2). Show that A is a factorial domain. (Reduce it to the case where k is a maximal ordered field, using Exercise 3 (b)); then prove, using (a), that every graded prime ideal of A of height 1 is principal and apply Exercise 3 (a).) (c) Let k be an ordered field, a, b elements > 0 of k and B the ring k[X,Y]/(aX2 -+ b y 2 + 1).

7 8. Let A be an integral domain and x, y, z three non-zero elements of A, where x is extremal and Ax n Ay = Axy. Let S be the multidicative set of the._ - - .-- _ xn (n 2 0) and let B = S-lA;-consid& the domains of foimal power series A"TI1 _ and BIV11. __ _ -- -_ (a) Let i, j , k be three integers 2 0 such that ;jk - i - jk - ki 2 0 and j z j ~ k r . '+ Ayk. Consider in A[[T]] the element u = xy - zf-IT. Show that there exists an integer t > 0 and a series
u' = ytx-1

+ b,x-2T +. + b,-1x-"Tn-l +
* *

* *

in B[[T]] such that uu' E A[[T]] (determine the b, inductively, proceeding in N by intervals of length i ;in the interior of each interval, take j
b,,,
= b,z'-lx-l;

Show that B is a factorial domain (use (b) and Exercise 17 (a) of 9 1.) 564

at the end of each interval, use the inequality ijk + ij - jk - ki 2 0). (b) Suppose that zi-l 4 Ax + Ay. Show that there exists in the ring A[[T]] no formal power series of constant term yk (k an integer > 0) and which is an 565

VII

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EXERCISES

element associated with u in B[[T]] (calculate the coefficient o f T in the product ofu and an invertible element of B[[T]]). (c) Deduce from (a), (b) and Exercise 7 an example of a factorial domain A such that the domain of formal power series A[[T]] is not factorial. (In the above notation and assuming that the conditions of (a) and (b) on x, y, z, i,j, k are fulfilled, show that vu' cannot be a product of extremal factors uh (1 < h < r ) in A[[T]] ;observe that the uh are formal power series whose constant terms are powers ofy. Then consider the ring C = S'-lA[[T]], where S' consists of the series whose constant term is in S; B[[T]] is the completion of the Zariski ring c ; show that u' E C and that u and the uh are extremal in C; obtain finally a contradiction with (b).) (d) Deduce from (c) an example of a Noetherian factorial local integral domain A whose completion A is a non-factorial Krull domain.

G, = Zip%. Show that the intersection of the principal ideals (y,) is reduced to 0; deduce that A[[T]] is identified with the inverse limit lim A,. t

7 9. (a) Let A be a Noetherian domain such that, for every maximal ideal m of A, A,,, is a discrete valuation ring. If B is the ring of formal power series A[[X,, . . .,X,]], show that, for every maximal ideal n of B, the domain B, is factorial (consider its completion, using Proposition 8 of no. 9). Deduce that every divisorial ideal of B is a projective B-module. (b) Let C be a Noetherian ring such that every finitely generated projective C-module is free; show that the ring of formal power series C[[X]] has the same property (cf. Chapter 11, 3 3, no. 2, Proposition 5 ) . (c) Deduce from (a) and (b) that, if A is a principal ideal domain, the domain of formal power series A[[X,, . . .,X,]] is factorial.
10. (a) A Pruferian (5 2, Exercise 12) factorial domain is a principal ideal domain. (b) A pseudo-Bezoutian (3 1, Exercise 21) Krull domain is factorial.

7 15. Let K be a field which is complete with respect to the valuation u, A the ring of the valuation, k its residue field and P a polynomial in A[X,, . . .,X,] of total degree d with the following property : there exists an algebraic extension K' of K such that in K'[X,, . . ., X,] P is a product of polynomials of total degree 1. Suppose further that there exist two polynomials Q, R in A[X,, . . .,X,] such that Q is of total degree s and contains a monomial ax: where +(a) # 0 (4 denoting the canonical homomorphism A --f k ) , R is of ? degree < d - s and H = Q.i (notation of Chapter 111,s4). Show that there then exist in A[X,, . . .,X,] two polynomials Q,, R, of respective degrees s, d - s, such that P = QoR,, Q = Qo, = Ro and Q, contains a monomial a,XS, where + ( a ) = +(ao). (Consider P, Q, R as polynomials in X, with coefficients in the ring B, the completion of A[X,, . . .,X,] with respect to the valuation obtained by extending u by the method of Chapter VI, 5 10, no. 1, Proposition 2; then apply Hensel's Lemma; finally use the initial hypothesis on
p-1
16. Let B be a discrete valuation ring whose residue field k is finite and is not a prime field; let ko be the prime subfield of k and let A be the subring of B consisting of the elements whose classes in the residue field belong to k,. Let x be a uniformizer of B and (0,) ,, a system of invertible elements of B such that the classes 6, mod. x of the 8, form a system of representatives of k* mod. k t . Show that the elementsp, = 0,x and the element x are extremal in A and that every element in A is a product of an invertible element and powers of the pi and x, although A is not integrally closed.

,,

11. Let K be a field and A the polynomial domain K[X, Y], which is factorial; if L is the field K(X2,Y/X) c K(X, Y), show that the domain A n L is not factorial.

12. Show Proposition 5 of no. 8 using Chapter 111, 3 2, no. 8, Corollary 3 to Theorem 1.
13. Extend the Corollary to Proposition 7 of no. 8 to the case where the complete Hausdorff local ring A is not an integral domain (use Algebra, Chapter VIII, 3 6, Exercise 6 (b)).
14. Let A be a complete Noetherian local ring whose residue field is of characteristic p > 0. In the ring of formal power series A[[T]] consider the elements a = (1 - T)p" and y = 1 - w, for every integer n > 0. Show , , that y is, to within a sign, a distinguished polynomial (no. 8) ; deduce that , A, = A[[T]]/(y,) is identified with the algebra over A of the group

17. (a) Let A be an integral domain; show that in the ring A[X,,], where (X,,) is a family of n2 indeterminates (1 < i < n, 1 < j < n), the element det(Xtj)is extremal. (Reduce it to the case where A is a field; observe that the factors of det (Xi,) would necessarily be homogeneous polynomials and argue by induction on n.) (b) Let K be an infinite field and F a polynomial in K[Y,, . . ., Y,], which is also written as F(Y); for every square matrix s = (aij) of order m with
m

elements in K let F(s.Y) denote the polynomial F, where the element ?,E,,Y, has been substituted for each Y,. Show that, if F is extremal, so is F(s.Y) for every invertible matrix s. If there exists an integer k > 0 such that F(s.Y) = (det(s))kF(Y) for every invertible matrix s, F is necessarily homogeneous in each of the Yj;
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moreover, if F = GH where G and H are two polynomials in K[Y,, . . . ,Y,], there exist two integers p and q such that p + q = k and H(s.Y) = (det(s))QH(Y) G(s.Y) = (det(s))PG(Y), for every invertible matrix s (use (a)). (c) Let A be a ring which is not reduced to 0; consider the polynomial ring where the X,, are n(n + 1)/2 (resp. 2n(2n - 1)/2) indeterminates with 1 Q i Q j < n (resp. 1 < i < j < 2n); let U = (ti,) (resp. V = (qi,)) be the square matrix of order n (resp. 2n) over AIXl,] such that El, = X,, for 1 Q i Q j 6 n and El, = X,, for i > j (resp. = 0 for 1 < i < 2n, qu = Xi, for 1 < i < j < 2n, q,, = -X,i for i > j ) . Show that det(U) (resp. Pf( V ) )is an extremal element in A[X,,] (argue as in (b), considering det(s. U .%) and Pf(s. V.s)).

2 1. Show that in Z[X] the following polynomials are irreducible : Xn - a, where one of the prime factors of a has exponent 1 ; XZk 1, (replace X by X + 1); x + 3x3 + 3x2 - 5; 4 5X4 - 6X3 - a x 2 - 4X + 2. (Use Exercise 20.)

18. Let K be a field and f = g/h an element of the field of rational functions K(U, V) in two indeterminates, where g and h are two relatively prime polynomials of K[U, V]. Show that in the field of rational functions
K(X,, Y,, . * ., X,, Yn) in 2n indeterminates the determinant det(f(X,, Y,)) is equal to:

7 22. (a) Let k be an ordered field and A the quotient of the polynomial ring k[X, Y, Z] by the principal ideal (Xz Y2 Z2 - 1) ; let x, y, z denote the canonical images of X, Y, Z in A. Show that A is a factorial domain j (consider the ring of fractions A2-, (notation of Chapter 11, f 5, no. l), using no. 4, Proposition 3). (b) Let ( e , ) , , , , , be the canonical basis of A3 and let M be the quotient of A3 by the monogenous sub-A-module N generated by xe, + ye, + te,; show that M is a projective A-module (form a complementary submodule of N in A3). * (c) Show that, if k = R,the A-module M is not free (identify M with a submodule of the module of continuous sections of the fibre bundle of tangent vectors to the unit sphere and use the fact that there exists no continuous field of tangent vectors #O at every point of the sphere). *

where F is a polynomial in K[X,, Y,, . . ., X,, Y,] and V(X,, . . ., X,) is the Vandermonde determinant (Algebra, Chapter 111, 6, no. 4). Consider the particular case where f = 1/(U + V) (Cuuchys identity). 19. If U is a square matrix of order n, A its determinant and Ap the determinant of the p-th exterior power of U (Algebra, Chapter 111, 6, no. 3), show that:

Ap = A(p-1)
(use Exercise 11 of Algebra, Chapter 111, 6, and Exercise 17 (a) above). 20. Let A be a factorial domain and f = Ic= a,Xk a polynomial in A[X] : suppose that there exists an extremal element p in A such that: (1) there exists an index k < n such that a, is not divisible by p but a, is divisible b y p for i < k; (2) a, is divisible by p but not by p2. Show that under these conditions one of the irreducible factors off in A[X] is of degree 2 k (argue in (A/pA)[XI). Consider the particular case where k = (Eisensteins irreducibility criterion). 568

n-1

i:,

7 23. Let B be a Krull domain, E its field of fractions, A a derivation of E such that A(B) c B, K the subfield of E the kernel of A and A the Krull domain B n K ; suppose that K is of characteristic p > 0; then EP c K and BP c A, so that B is the integral closure of A in E and the canonical homomorphism ?: C(A) --f C(B) is defined (3 1, no. 10). Let U denote the group of invertible elements of B. (a) If b E E is such that div,(b) is the canonical image of a divisor in D(A), show that Ab/b E B (note that for every prime ideal of B of height 1 there exists b E K such that v,(b) = v,(b) and observe that B, is invariant under A). Let L be the additive subgroup of B consisting of the Ab/b (logarithmic derivatives) which belong to B (for b E E or b E B, which amounts to the same, and b # 0) and let L be the subgroup of L consisting of the Au/u, where u E U. Show that, for every divisor d E D(A) such that the image of d is a principal divisor in D(B), the class mod. L of Ab/b for all b such that i(d) = div,(b) depends only on the class of d in C(A) and derive a canonical injective homophism of Ker(i) to L/L. (b) Show that, if A(B) is contained in no prime ideal of B of height 1 and [E: K] = p, is bijective. (Reduce it to showing that, if b E E is such that Ab/b E B and is a prime ideal ofB of height 1 such that v,(b) is not a multiple ofp, then e(SP/p) = 1, where P = SP n A; for this, deduce from the hypothesis that, if t is a uniformizer of B,, then At/t E B,, so that PB, is invariant under A and that A therefore defines by taking quotients a derivation of the residue field k = B,/vB,; show that b # 0 and deduce that f (VIP) = p.)

+ v

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(c) Let k be a field of characteristic 2, B the polynomial ring k[X, Y, Z] and A the derivation of E = k(X, Y , Z) such that A(X) = Y4, A(Y) = X2, A(Z) = XYZ; the field K the kernel of A is such that [E: K] = 4. Then A(Z)/Z E B, but show that div,(Z) is not the canonical image of a divisor in D(A). (Argue by reductio ad absurdurn supposing that e(g/P) = 1 for = BZ, p = 1 n A; there would then be in A a uniformizer of B,, necessarily of the 3 form a ( X , Y, Z)Z where b = a(X, Y, 0) # 0; deduce that Ab/b = -XY and obtain a contradiction by calculating A( - X Y ) .)

to B, it is necessary and sufficient that there exist polynomials u, (1

< i < r ) in

KIXl, . . .,X,] such that i = 1v& = 1 and which satisfy further the following condition: if we write ui = w,/d, where d E A, the polynomials wi belong to A[X,, . . .,X,] and the g.c.d. of the set of coefficients of all the wi (1 < i < r ) is equal to 1, then, for every extremal element p of A dividing d, the ideal generated by the classes of theft in the ring (A/Ap) . . ., X,] is the whole [X,, of this ring.

24. (a) Let E be a field of characteristic 2, A a derivation of E and K the subfield of E the kernel of A; suppose that [E: K] = 2. Show that A2 = aA where a E K and that for an element t E E to be of the form Ax/x, it is necessary and sufficient that At = at t2. (b) Let B be a factorial local integral domain of characteristic 2, m its maximal ideal, E its field of fractions and A a derivation of E; suppose that the subfield K of E, the kernel of A, satisfies [E : K] = 2 ;moreover, suppose that there exist two elements x, y of m such that Ax and Ay generate the ideal q of B generated by A(B). Show then that, if t = Az/z belongs to q, there exists an invertible element u of B such that t = Au/u (write t = rAx + SAY, where r, s are in B, and use (a)).

7 27. (a) Let K be a field and B the ring generated, in an algebraic closure of the field of rational functions K(U, V , X , Y ) in 4 indeterminates, by the polynomial ring K[U, V, X , Y] and a root z of the polynomial
F = 2 7 - U5X2 - V4y3. Show that B is a factorial domain (cf. Exercise 7 ) . (b) Let p be the (prime) ideal generated by X, Y, U, V and z in A and write C = A,[[T]] ;show that C is a Noetherian local integral domain, which is not factorial, but whose associated graded domain gr(C) is factorial (use Exercise 8)

7 25. Let k be a field of characteristic 2, B the ring of formal power series k[[X,Y]], E its field of fractions and A the k-derivation of E defined by A(X) = Y2f, A(Y) = X2' (i, j integers 20); the subring A of B consisting of the x E B such that Ax = 0 is the ring of formal power series in k[[X, Y, Z]] where X a is substituted for X , Y2 for Y and X2{+I Y 2 j + l for Z. + (a) Show that the group C(A) contains a vector space over k of dimension N(i, j) equal to the number of ordered pairs of integers (a, b) such that 0 < a < i, 0 < b < j and (2j 1). (2i l ) b 2 2ij. (Use Exercise 23 (b) and Exercise 24 (a), note that the elements of L are the formal power series F E B such that AF = F2; attributing to X the weight 2j 1 and to Y the 1, decompose F as an infinite sum of isobaric polynomials; if L, is weight 2i the subgroup of L consisting of the F E L whose isobaric components are of weight 2 q, L/L' is isomorphic to the direct sum of the groups C,/C,+ , where , C, = L,/(L' n L,) ; calculate these groups for q 2 4ij, using Exercise 24 (b).) (b) Show that the ideal AX2 of A is prime; if A' = A[X-2], deduce that C(A') and C(A) are isomorphic (no. 4, Proposition 3). Show that A' is a Dedekind domain (consider the ring B' = B[X-2], which is integral over A' and a principal ideal domain, and use Chapter V, 3 2 , no. 4, Theorem 3 ) . Deduce an example of a Dedekind domain whose ideal class group is infinite.

4
1. Let A be an integrally closed Noetherian domain, and V a vector space of

finite rank over the field of fractions of A. Show that, if (MA)is any family of reflexive lattices of V all containing the same lattice N, the lattice M = f) MA is reflexive (consider the dual lattices M:).

* 2. Let A be an integrally closed Noetherian domain and E, F two finitely generated A-modules. Suppose that E is torsion-free, that Hom,(E, F) is reflexive and that Exti(E, F) = 0. Show then that F is reflexive. (Prove first that F is torsion-free; if T = F**/c,(F), calculate Ass(Hom,(E, T)) in two ways using the exact sequence :
0 -+Hom(E, F) -+ Hom(E, F**) + Hom(E, T) -+0
and Chapter IV,

3 1, no. 4, Proposition 10.) *

26. Let A be a factorial domain and K its field of fractions. For elements
1

(1

< i < r ) of B

A[X,,

. . .,X,] to be such that the ideal

3. Let A be an integrally closed Noetherian domain, K its field of fractions, M a reflexive lattice of a vector space of finite rank over K and L a free lattice of V containing M. Show that there exists a free lattice L, of V such that M = L n L,. (Consider the finite set I of prime ideals p of A of height 1 such (A p) ; that L, # M, and the principal ideal domain S-lA, where S = f-I ,I show that there exist a free lattice Lo of V such that M, = (Lo)p all p E I for and an s E S such that M c s-lL,, c L,.)

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4. Let k be a field and A the polynomial ring k [ X , Y]. (a) Let (el, e,) be the canonical basis of the A-module A2 and let E be the sub-A-module of A2 generated by (X - Y)el, el Xe, and el + Ye,; let F

be the monogenous submodule of E generated by (X - Y),e,. Show that the A-module M = E/F is not the direct sum of its torsion submodule and a torsionfree module. (b) Show that the torsion A-module A/AXY is not a direct sum of monogenous submodulesof the form A/P;i, where the are prime ideals of height 1.

(d) Show that for every ordered pair of finitely generated A-modules Ml, M, : c(M,@.,M,) - c(Tor?(Ml, Ma)) = r(M,)c(M,) + W Z ) ~ ( M I ) c(Hom,(M,, M,)) - c(Exti(M1, Mz))
= r(M,)c(M,)

- W2)C(MI)**

5. Let A be an integrally closed Noetherian domain and M a finitely generated A-module. Show that, if a, b are two ideals of A, the A-module
((OM) n (bM))/(an b)M is pseudo-zero; give an example where it is not zero. 6. Let k be a field, B the polynomial ring k[X,Y] and A the submodule k[X2, XY, Ya] of B. (a) Show that A is an integrally closed Noetherian domain and that B is a . finitely generated A-module. (b) Show that the ideal p = AX2 + AXY of A is a prime ideal of height 1 (and hence divisorial) but that the B-module p @A B is a torsion module # O and hence not reflexive; the ideal pB of B is not divisorial, the canonical mapping p @A B + pB is not injective and p is not a flat A-module.
\ I

9. Let k be a field and A the polynomial ring k [ X , Y]. On the A-module M = A2 consider the linear formf such that f (el) = X, f (e,) = Y((e,, e,) being the canonical basis). Show that the kernel L off is a monogenous free A-module, but that the quotient M/L (which is isomorphic to an ideal of A) is not reflexive.

7 10. Let A be a commutative ring. For every submodule R of a finitely generated free A-module L = A", let c,(R) denote the ideal generated by the ( x , x*), where x runs through R and x* runs through the dual L*; write
Ck(R) = cl(Im(A R)), Im(A R) being the canonical image of the k-th exterior power of R in A L. If R, c R, are two submodules of L, then ck(R1) c Ck(R2) for all k. (a) Let M be a finitely generated A-module; M is isomorphic to a quotient module L/R, where L = A" for a suitable n. Show that the sequence of ideals (a,),,, such that a, = c,-,(R) fork < nand a k = A fork > n is independent of the expression of M in the form L/R. (Consider first the case where L/R and L/R' are isomorphic; then note that An/R is isomorphic to A"+h/(Rx Ah) for all h > 0.) w e write bk(M) = a k for all k > 0 and say that these are the determinantal ideals associated with M. Then bk(M) C bk+,(M) for k > 0. (b) If A is a principal ideal domain and M = L/R where L is free and (R) finitely generated, show that the ideals C ~ + ~(ck(R)) l are the inuariant factors of R in L. (c) Let Y = y(M) be the least of the cardinals of the systems of generators of M and let ro be the least integer h such that bh(M) = A. Show that ro < r and give an example where ro < r (take A to be a Dedekind domain). (d) If a is the annihilator of M, show that bo(M) c a and arhk C bk(M)for k < r = y(M). (e) Suppose that M is a direct sum of submodules Mi (1 < i < h). Show that
bk(M)
k

7. Let A be an integrally closed Noetherian domain, E a finitely generated torsion-free A-module and E* its dual. (a) Show that the canonical homomorphism E* @A E + EndA(E) is a pseudo-isomorphism. (b) Deduce from (a) that for E to be a projective A-module, it is necessary and sufficient that E* @A E be a reflexive A-module. (Note that, if E* @A E is reflexive, the canonical homomorphism E* @A E + EndA@)is bijective.)

7 * 8. Let A be an integrally closed Noetherian domain and MI, M, two finitely generated A-modules. (a) Show that the A-modules Tor:(M,, M,), Exti(M,, M,) are pseudozero for i > 2 (reduce it to the case where A is a principal ideal domain). (b) If M, is torsion-free, show that Tort(Ml, M,) and Exti(M,, M,) are pseudo-zero (same method). (c) If M, is a torsion A-module, show that (in the notation of no. 5) :
X(Ml
@A

bkl(M1)*

'bkh(Mh)

M2) - X(Torf(Ml~ M2))

= r(M2)X(M1)

where the sum is over the finite sequences (k,),,iqh such that k, = k. f=1 (f) If N is a finitely generated submodule of M, then bk(M/N) C bk(M) for all k > 0. Show that:
k

X(HO~A(MIY - X(Exti(M1, M,)) = --7(M2)X(M1) Mz)) X(HO~A(M,, MI)) - X(Exti(M2, Mi))

572
= r(M,)X(Md.

f = 0 bj(N)bk

-j(M/N)

bk(M)

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(g) Let K be a field, A the polynomial ring K [ X , Y, Z], m the maximal ideal AX + AY + AZ and q the ideal generated by X, Y2, YZ and Z2. Consider the A-module M = A/q and its submodule N = m/q. Show that b,(M) = q, b,(M) = A, b,(N) = m2 and b,(N) = m.

13. Let k be a field and A the polynomial ring k [ X , Y]. (a) Let m be the maximal ideal AX AY of A; show that there exists a pseudo-isomorphism of m to A, but that there exists no pseudo-isomorphism of

11. Let A be a Krull domain and M, N two finitely generated lattices in a vector space v of finite rank n over the field of fractions of A. For all c # 0 in A such that CNc M, consider the determinantal ideals bk(M/cN) (Exercise 10) and write: dk(N,M) = div(b,(M/cN)) - (n - k ) div(c).
(a) Show that dk(N, M) does not depend on the choice of c such that CNc M; dk(N,M) is called the determinantal divisor of index k of N with respect to M. (b) dk(N, M) > dkfl(N, M) and d,,(N, M) = 0. Show that, if we write
ek(N,

A to m. (b) Let m' be the maximal ideal A(X - 1) AY of A; show that c(m) = c(m') = 0, but that there exists no pseudo-isomorphism of m to m' nor of m' to m. (c) Let p = AX, q = AY, which are prime ideals of height 1. In the Amodule L = A2, consider the submodules M = pe, @ qe2, N = Ae, @ pqe, (el, e2 being the vectors of the canonical basis of L). Show that M and N are isomorphic and that there exist a pseudo-isomorphism from L/M to L/N and a pseudo-isomorphism from L/N to L/M but that there exists no pseudo-isomorphism from L to itself mapping M to N or N to M (observe that a pseudo-isomorphism from L to itself is necessarily an automorphism of L, with the aid of Proposition 10).

M, = dn-k(N, M, - d n - k + l ( N ,
ek(N,

then

M, ek+l(N> for 1 < k f n; the divisors ek(N,M) are called the invariantfactors of N with respect to M (reduce it to the case where A is a principal ideal domain). (c) Show that d,(N, M) = x(M, N) (no. 5 ) . (d) If M is a lattice in V but N is a lattice in a subspace W of V of rank q < n, the invariant factors of N with respect to M n W are called the invariant factors of N with respect to M. Show how Exercises 8 to 10 and 14 to 16 of AZgebra, Chapter VII, 4 4 may be extended (assuming if need be in certain cases that A is an integrally closed Noetherian domain). 12. Let A be an integrally closed Noetherian domain and M, N two torsionfree finitely generated A-modules of the same rank r such that N c M; let j : N + M be the canonical injection.
(a) Show that, for all k,

T[ 14. Let A be a Pruferian domain (4 2, Exercise 12) and M, N two finitely generated lattices in a vector space V of finite rank n over the field of fractions of A. For all c # 0 in A such that cN c M, consider the determinantal ideals bk(M/cN) (Exercise 10) and write:

bk(N,M)

c"-"b,(M/cN).

A j : A N -+A M

is pseudo-injective, that

Coker( j ) is a torsion A-module and that: X(Coker(Aj)) =

k

(a) Show that b,(N, M) does not depend on the choice of c such that cN c M; these are called the determinantal ideals of N with respect to M. (b) b,(N, M) c bk+,(N,M) and b,(N, M) = A. Show that, if we write ek(N,M) = bn-,(N, M)(b,,..,k+l(N, M))-', the integral ideals ek(N,M) are such that ek(N, M) 2 ek+l(N,M ) for 1 < k < n; the finitely generated ideals ek(N,M) are called the invariant.factors of N with respect to M (consider the &-modules M, and N, for every maximal ideal m of A). (c) If M is a lattice of V but N is a lattice in a subspace W of V of rank q < n, the invariant factors of N with respect to M n W are called the invariant factors of N with respect to M. Show how Exercises 8 to 10 and 14 to 16 of Algebra, Chapter VII, 4 4 may be extended.

(L 1:)X(Cokerj).

(b) Using (a), show that, if M is a torsion-free finitely generated A-module, the torsion submodule of A M is pseudo-zero for all k and

15. Let A be the polynomial ring Z[X, Y, T, U, V, W], L the free A-module A,, (e,),,,,, its canonical basis and M the submodule of L generated by the four vectors Xe,, Ye,, Te, Ue,, Ve3 We,. Show that

bi

b3 (L/M)

(b2

(compare w t Exercise 14 (b)). ih

T[ 16. (a) Let A be a Pruferian domain and M a finitely generated lattice in
a vector space V of finite rank n over the field of fractions K of A. Show that there exists a basis (e,), , of V and n fractional ideals a, (1 < i < n) such ,

where M is of rank r; in particular, c(AM) = c(M).

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EXERCISES

that M is equal to the direct sum of the ale,. (Argue by induction on n: if ( u , ) ~ ~ ~ ~ , , of V, consider the finitely generated fractional ideal bl is a basis generated by the ul-coordinates of the elements of M ; by considering the A-module bilM, reduce it the case where bl = A.) Deduce that, if W is a subspace of V, M n W is a direct factor of M. (b) Suppose that M is a submodule of A" equal to the direct sum of the ate,, where the a, are finitely generated (integral) ideals of A and (e,) G i the canonical basis of A". Show that there exists a basis (uJ1 Q i 4 n of A" and ideals 6, of A such that M is the direct sum of the b,u, and 6, divides b i t l for 1 < i < n - 1. (Reduce it to the case where n = 2 and a, + a2 = A.)
17. Let k be a field, A the polynomial ring k [ X , Y], L the free A-module A, and (el, e2) the canonical basis of L. Let M be the submodule of L generated by the two vectors (X + l)e, + Y e 2 ,Ye, + Xe,. Show that there exists no pseudoisomorphism fromL to itself, whose restriction to M is a pseudo-isomorphismfrom M to the submodule N of the form au + bu where (u, u) is a basis of the A-module L and a, b two ideals of A, or whose restriction to N is a pseudo-isomorphism from N to M. (By considering the determinantal ideals (Exercise 10) and noting that M is reflexive, attention may be confined to the case where N would also be reflexive and then necessarily a = A, b = AP,where

proceed as in Exercise 16, using a transfinite induction argument based on that of Algebra, Chapter VII, 0 3, Theorem 1.)
21. Let P be a projective module over a Dedekind domain A. Show that, if P is not finitely generated, it is free. (By virtue of Exercise 20, we may write P as an infinite direct sum (b, @ c,), where, for each A, b, and cA are ideals of A. Using Exercise 19, P = L 0 Q, where L is isomorphic to A") (I infinite) a,, where the a, are ideals of A. Then apply Exercise 3 of Algebra, and Q = Chapter 11, 3 2.)

gI

fi 22. Let A be a local ring, m its maximal ideal and E a finitely generated Amodule. (a) If r = y(E) is the least of the cardinals of a system of generators of E, r is also the least integer h such that the determinantal ideal bh(E) is equal to A
and also the least of the integers k such that of E/mE over A/m).
k+l

AE
r

0 (note that r is the rank

P(X,Y) = X(X

+ 1) - Y2

is an extremal element of A; show finally that, for every basis (u, u ) of L, M n Au can neither contain Au nor be contained in APu.)
Let A be a Dedekind domain, K its field of fractions and M, N two lattices in a vector space V of finite rank n over K. Let ek = ek(N, M) be the invariant factors of N with respect to M (Exercise 14). Show that there exists a basis ( u , ) ~ ~ , $ , , such that M is equal to a direct sum of V apt, where the
a, are fractional ideals, and N is equal to the direct sum e.a.u . (Use the theory , of finitely generated modules over a principal ideal domain (Algebra, Chapter VII, 3 4, no. 2, Theorem 1) and the approximation theorem in the unimodular group SL(n, A) (9 2, no. 4).) Extend this result to the case where A is the union of a right directed family of subrings which are Dedekind domains (for example the integral closure of a Dedekind domain in the algebraic closure of its field of fractions).

(b) Ifwe write e(E) = br-l(E), show that AE is isomorphic to A/e(E). For an ideal a of A to contain e(E), it is necessary and sufficient that E/aE be a free (A/a)-module (reduce it to the case where a = 0). (c) If e(E) is a principal ideal Au, show that E contains a direct factor isomorphic to A/Aa (write E as a quotient of A* by a submodule R and note that there is in R an element of the form uy, where y is an element of a basis of Ar). (d) Let bL(E) be the annihilator of A E for 0 < h < r - 1. Show that the following conditions are equivalent : (a) The ideals bh(E) (0 < h < r - 1) are principal. (p) The ideals bL(E) (0 < h < r - 1) are principal. (y) E is the direct sum of r modules isomorphic to A/AAh, where h h + l divides Ah for 0 < h < r - 1. Moreover, if these conditions hold, then bA(E) = A h for 0 < h < r - 1 and A bh(E) = h h A h + l . . .bd1A for 0 < h < r - 1. (Proceed by induction on r, using (c).) (e) Suppose further that A is an integral domain. Show that, if p is a prime ideal of A such that E/pE is a free (A/p)-moduleand E, a free A,-module, then Eisafree A-module (using (b), show thaty(E,) = y(E) and that e(E,) = e(E)).
h + l

fi 18.

19. Let A be a Dedekind domain and a, b fractional ideals of A. Show that the A-modules A @ ab and a @ b are isomorphic.

23. Let A be a ring, E a finitely generated A-module, r the least of the

integers k such that A E = 0 and e(E) the annihilator of AE. Show that, for every ideal a 3 e(E) in A, the (A/a)-module E/aE is flat (reduce it to the case where A is a local ring and use Exercise 22 (b)). Deduce that, if c is the Jacobson radical of A and if, for every maximal ideal m of A, the rank of the vector (A/m)-space E/mE is the same, then E/cE is a flat (A/t)-module.
577
k+l

20. Let A be a Dedekind domain, P a projective A-module and N a submodule of P. Show that N is projective and a direct sum of modules isomorphic to ideals of A. (Attention may be confined to the case where P is free. Then
576

VII

DMSORS

24. Let A be an integrally closed Noetherian domain. For a lattice M (with respect to A) to be reflexive, it is necessary and sufficient that it satisfy the following condition: for every ordered pair (a, b) of elements of A such that a # 0 and the homothety of ratio b on A/aA is injective, the homothety of ratio b on M/aM is then injective. (To see that the condition is necessary, consider two elements x, y of M such that ax by = 0 and show that, for all p E P(A), y E aM,. To show that the condition is sufficient, use criterion (c) of Theorem 2 and observe (using Proposition 8 of $ 1, no. 4) that the hypothesis may be written as Ass(M/uM) = Ass(A/uA)

HISTORICAL NOTE

for all a # 0 in A and that for every module E such that M c E c V there exists a # 0 in A such that aM c aE c M.) 25. Let A = ,(, be a Noetherian graded ring with positive degrees. A, Show that, if A is a factorial domain, then A, is a factorial domain and the A,, are reflexive. (To show that A, is a factorial domain, use criterion (c) of 5 3, no. 2, Theorem 1 ; to show that the A, are reflexive, use Exercise 24.) (Numbers in brackets refer to the bibliography a t the end of this Note.) Abstract commutative algebra is a recent creation but its development can only be understood as a function of that of the theory of algebraic numbers and algebraic geometry, which gave birth to it. It has been conjectured without too much improbability that the famous proof Fermat claimed to possess of the impossibility of the equation x p + y p = z p for p an odd prime and x, y, z integers # O depended on the decomposition
( x + y ) ( x + r y ) ...(X+rp-ly) = zp in the ring Z[<] (where # 1 is a p-th root of unity) and on a divisibility argument in this ring, assuming it to be a princ$al ideal domain. In any case an analogous argument is found outlined by Lagrange ([2], vol. 11, p. 531); it is by arguments of this type, with certain variations (notably changes of variable aimed at lowering the degree of the equation) that Euler ([ 11, vol. I, p. 488) (*) and Gauss ([3], vol. 11, p. 387) show Fermats Theorem forp = 3, Gauss (loc. cit.) and Dirichlet ([4], vol. I, p. 42) for p = 5 and Dirichlet the impossibility of the equation x14 y14 = 214 ([4], vol. I, p. 190). Finally, in his first research on the theory of numbers, Kummer believed he had obtained in this way a general proof and it was no doubt this mistake (which Dirichlet pointed out to him) that led him to his study of the arithmetic of cyclotomic fields from which he was eventually to succeed in deducing a correct version of his proof for prime numbers p < 100 [7d]. On the other hand, the celebrated memoir of Gauss of 1831 on biquadratic

7 26. Let A be a Noetherian ring and M a finitely generated A-module. For the symmetric algebra S(M) to be a factorial domain, it is necessary and sufficient that A be a factorial domain and that the S*(M) be reflexive A-modules. (TO see that the condition is sufficient, observe first that, if T = A {0}, S(M) is identified with a subring of T-lS(M) ;then show that every extremal elementp of A is extremal in S(M), by reducing it to proving that, ifp divides a product xy of two homogeneous elements in S(M), it divides one of them; finally, apply Proposition 3 of (i 3, no. 4.)

<

(*) In the proof, Euler argues as if Z[ d-1 were a principal ideal domain, which is not the case; however, his argument can be rendered correct by considering the (cf. SOMMER, Introduction conductor of Z[p] (p a cube root of unity) on Z[d-3] d la thdorie des nombres algdbriques (trans. A. LCvy), Paris (Hermann), 1911, p. 190).

578

579

HISTORICAL NOTE

HISTORICAL NOTE

residues, whose results are derived from a detailed study of divisibility in the ring Z[i] of Gaussian integers ([3], vol. 11, p. log), showed clearly the interest that the extension of divisibility to algebraic numbers could hold out for the classical problems of the theory of numbers (*); therefore it is not surprising that between 1830 and 1850 this theory was the subject of numerous works by German mathematicians, first Jacobi, Dirichlet and Eisenstein, and then, a little later, Kummer and his pupil and friend Kronecker. We shall not speak here of the theory of units, which is too specialized a branch of the theory of numbers, where progress was very rapid, Eisensteinobtaining the structure of the group of units for cubic fields and Kronecker for cyclotomic fields, just before Dirichlet in 1846 ([4], vol. I, p. 640) proved the general theorem, at which Hermite had almost arrived independently ([8], vol. I, p. 159). The question (central to the whole theory) of decomposition into prime factors appeared much more difficult. Since Lagrange had given examples of numbers of the form x2 + Dy2 ( x , y, D integers) with divisors which are not of the form m2 Dn2 ([2], vol. 11, p. 465), it was effectively known that the ring Z[<D] could not in general be expected to be a principal ideal domain and Eulers temerity was followed by considerable circumspection;when Dirichlet, for example, proves that the relation p2 - 5q2 = rb (p, q, r integers) is equivalent to

+ qd5 = ( x + y d 3 ) 6

for integers x, y, he restricts himself to pointing out that there are analogous theorem for many othr prime numbers [than 51 ([4], vol. I, p. 31). In Gausss memoir of 1831 and the work of Eisenstein on cubic residues [Sa], it is certainly true that there are advanced studies on arithmetic in the principal ideal domains Z[i] and Z[p] (p = (- 1 + i%3)/2,a cube root of unity) in perfect analogy with the theory of rational integers and in these examples at least the close connection between arithmetic in quadratic fields and the theory of binary quadratic forms developed by Gauss was very apparent; but the general case lacked a dictionary which would have allowed quadratic fields to be treated by a . simple translation from Gausss theory (t) In fact, it is not for quadratic fields but for cyclotomic fields (and for reasons which will only appear clearly much later (cf. p. 585)) that the problem was
(*) The research of Gauss on division on the lemniscate and elliptic functions related to this curve, not published during his lifetime, but dating from about 1800, must have led him from this time to consider the arithmetical properties of the ring Z [ i ] , division by numbers in this ring playing an important role in the theory; see what Jacobi say on this subject ([5], vol. VI, p. 275) and also the calculations related to these questions found in Gausss papers (131, vol. 11, p. 41 1;see also [3], vol. X2, 33 ct seq.). p. (t)The reader will find an exact discription of this correspondence between quadratic forms and quadratic fields in SOMMER, cit., pp. 205-229. loc.

first solved. From 1837 onwards, Kummer, originally an analyst, turns to the arithmetic of cyclotomic fields which was to occupy him almost exclusivelyfor 25 years. Like his predecessors, he studies divisibility in the ring Z[C], where C is a j-th root of unity # 1 ( p an odd prime) ; he quickly sees that here also rings are encountered which are not principal ideal domains, blocking all progress in the extension of the laws of arithmetic [7a] and it is only in 1845, after 8 years efforts, that the light dawns, thanks to his definition of ideal numbers ([7c] and [7d]). What Kummer does amounts exactly, in modern language, to defining the valuations on the field Q(<):they are in one-to-one correspondence with his ideal prime numbers, the exponent with which such a factor appears in the decomposition of a number x E ZLC] is just the value at x of the corresponding valuation. As the conjugates of x also belong to Z[<] and their product N(x) (the norm of x (*)) is a rational integer, the ideal prime factors to be defined must also be factors of the rational prime numbers and in order to define them it was sufficientjust to say what were the ideal prime divisors of a prime number q E 2 For q = p Kummer had already effectively proved . [7a] that the principal ideal (1 - C) was prime and that its ( p - 1)-th power was the principal ideal ( p ); this case therefore raised no new problem. For q # 16 the idea which seems to have guided Kummer is to replace the cyclotomic equation (Dp(z)= 0 by the congruence @,(u) = 0 (mod. q), in other words to decompose the cyclotomic polynomial @,(X) over thejejield Fa and to associate with each irreducible factor of this polynomial an ideal prime factor A simple case (explicitlymentioned in the Note [7b] where Kummer announces his results without proof) is that where q = 1 (m0d.p); if q = mp + 1 and y E F, is a primitive (q - I)-th root of 1, then, in F4[X], OP(X) = P - 1 (X - y)

n
k=l

The notion of norm of an algebraic number goes back to Lagrange: if a; (1 < i < n) are the roots of a polynomial of degree n, he even considers the norm form N(xo, XI, ., %,,-I) = n (xg alxl . * a ; - ~ , , - ~ )in the variables xi
(*)

..

,111 +

+- +

which was no doubt suggested to him by his research on the solution of equations and Lagrange resolvents ([Z], vol. VII, p. 170). It is to be noted that it is the multiplicative property of the norm which leads Lagrange to his identity on binary quadratic forms, whence Gauss was able to obtain the composition of these forms ([Z], vol. 11, p. 522). On the other hand, when the theory of algebraic numbers comes into being about 1830, it is very often in the form of the solution of = A (in particular with h = 1 in research on units) or equations N(xo, . ., the study of norm forms (also called decomposable forms) that the problems are presented; and even in recent works, the properties of these particular Diophantine equations are used fruitfully, notably in the theory of p-adic numbers (Skolem, Chabauty).

580

581

HISTORICAL NOTE

HISTORICAL NOTE

since ypm = 1. Then associating with each factor X - ykman ideal prime factor qk of q, Kummer says that an element x E Z[<], of which P is the minimal polynomial over Q, is divisible by q k if in F, P(ykm) 0; to sum up, in = modern language, he write the quotient ring Z[<]/qZ[<]as a direct composition of fields isomorphic to F. For q $ 1 (mod.@), the irreducible factors of , DP(x)in F,[X] are no longer of first degree and it would therefore be necessary to substitute for X in P(X) Galois imaginary roots of the factors of D pin F,[X]. Kummer avoids this difficulty by passing, as we would say today, to the decompositionjeld K of q ; iff is the least integer such that qf = 1 (mod. p) and p - 1 = d, K is just the subfield of Q(1) consisting of the invariants of the subgroup of orderfof the Galois group (cyclic of orderp - 1) of Q(<) over Q; in other words it is the unique subfield of Q (<) which is of degree e over Q ; it had been well known since Gausss Disquisitiones, being generated by the periods
Tk

<k

(0 < k < e - 1, = where g is a primitive root of the congruence zp-1 1 (mod. p)), which form a normal basis for it. If R(X) is the minimal polynomial (monic and with rational integer coefficients) of any of these periods 7 , Kummer, starting from Gausss formulae, proves that, over the field F , R(X) also decomposes into distinct factors of the first degree X - u j , (1 6 j < e) and it is with each of the uj that he now associates a n ideal prime factor qp To define divisibility by q,, Kummer writes every x E Z[<] in the

<,

+ cgv

<k+f

<k+2$

+ ck+(e-l)f

We shall not pursue the history of Kummers later works on cyclotomic fields, concerning the determination of the class number and the application to the proof of Fermats theorem in certain cases. Let us just mention the way in which, in 1859, he extends his method to obtain (at least partially) the ideal prime numbers in a Kummerian field Q (1, p ) , where p is a root of the irreducible polynomial P(X) = X p - a,where tl E Z[<] [7e]. It is interesting that Kummer envisages the problem precisely by considering Q (<+) as a cyclic extension o thejeld f taken as base fieId (t): he starts with an ideal prime number q of Z[<] which he assumes divides neitherp nor tl and this time he examines (in modern terms) the polynomial p(X) = Xp - 2 in the residuejeld k of the valuation on Q(?J corresponding to q (a being the canonical image of a in k ) . As Q(<)is the field of the p-th roots of unity, jF) is, either irreducible over k , or the product of factors of the first degree. I n the first case, Kummer says that q remains prime in Z[c, p] ; in the second, he introduces elements wi (1 6 i 6 p) of Z[<] whose images in k are the roots of P and he associates with each index i an ideal prime factor ri of q; then

a(<)

(X - wl), he says that, for a polynomial f with cowriting W,(X) = efficientsin Z[<],f(p) contains the factor ti m times if
f(w,)WY(w,)= 0
but (mod. q m + l ) . To sum up, he obtains in this way the valuations on Q(1, p) which are unramijied over Q, which are sufficient for the applications he has in view. (mod. qm)

f (wl)W:+(wi) f 0

ckyk,where each yk E K may itself be written uniquely as a polynomial of degree < e - 1 in -q with rational integer coefficients; he says that x is divisible by q j if and only if, when uj is substituted for T in each of the y k , the elements of F, obtained are all zero. But it was also necessary to define the exponent of q, in x. For this, Kummer introduces what we would now call a unifomizer for q,, that is an element p E K such that N(p,) E 0 (mod. q), , N(pj) f 0 (mod. q2) and finally such that pj is divisible by q, (in the sense defined above) but by none other of the ideal factors # q, of q. The existence of , such a p had effectively been proved by Kronecker in his dissertation the previous year ([gal, p. 23); then writing p = N(p,)/p,, ; Kummer says that the exponent of q, in x is equal to h if xp;h = 0 (mod. qh) but xpih+l f 0 (mod. qh+l ) ;he begins of course by proving that the relation xpi E 0 (mod. q) is equivalent to the fact that x is divisible by q, (in the above sense). Once these definitions were made, the extension to Z[<] of the usual laws of divisibility for ideal numbers no longer offered serious difficulty; and from his first memoir [7c] Kummer could even, using Dirichlets box method, show that the classes and ideal factors werejnite in number (*).
6C

Kummer had had the chance to meet, in studying particular fields to which his research on Fermats Theorem had led at first, a number of fortuitous circumstances which made their study much more accessible. The extension to the
tation, relating to the classes of solutions of equations of the form

N(xo, X I ,

- - .,

~ ~ - = u 1 )

(*)

He does no more than reproduce an argument of Kronecker in his disser-

([gal, p. 25). On the other hand, Kummer makes several allusions to results obtained by Dirichlet on equations of this type (for any algebraic number field); but these results have neither been published nor found among Dirichlets papers. (7) In his memoir on quadratic forms with coefficients in the ring of Gaussian integers ([4], vol. I, pp. 533-618) Dirichlet had in various places been led to consider the relative norm of the field Q(d\/B, over its quadratic subfield Q ( d B ) . i) Similarly, Eisenstein, studying the 8-th roots of unity, considers the field they generate as a quadratic extension of Q ( i ) and uses the norm relative to this subfield ([&], p. 253). But the work of Kummer is the first example of profound arithmetical study of a relative field.

582

583

HISTORICAL NOTE

HISTORICAL NOTE

general case of Kummers results presented considerable difficulties and was to take years of effort. With Kronecker and Dedekind, who play the principal roles there, the history of the theory of algebraic numbers, during the 40 years following Kummers discovery, is not dissimilar (but happily without the same acrimony) to that of the rivalry of Newton and Leibniz 180 years earlier concerning the invention of Infinitesimal Calculus. Pupil and later colleague of Kummer in Berlin, Kronecker (whose thesis, as we have seen, had served as an essential point in Kummers theory) was greatly interested in ideal numbers with the aim of applying them to his own research; and we admire his astonishing penetration when we see him, as early as 1853 ([9b], p. 10) announce the general theorem on the structure of Abelian extensions of Q and, what is perhaps still more remarkable, create, in the years which follow, the theory of complex multiplication and discover the first germ of class field theory ([Sc] and [gd]). A letter from Kronecker to Dirichlet in 1857 ([9], vol. 5, pp. 418-421) shows that he already possessed at that time a generalization of Kummers theory, which moreover Kummer himself confirms in one of his own works ([7e], p. 57) and Kronecker will make many an allusion to this theory in his memoirs between 1860 and I880 (*). But although at that time none of the mathematicians of the German school of the Theory of Numbers was unaware of the existence of these works of Kronecker, the latter seems only to have communicated the principles of his methods to a restricted circle of friends and pupils and when he finally decided to publish them in his memoir of 1881 on the discriminant [gel and above all in his great Festschrift of 1882 [Sf], Dedekind could not refrain from expressing his surprise ([lo], vol. 111, p. 427), having imagined the processes were completely different, from the echoes he had heard ([lo], vol. 111,p. 287). Kronecker moreover was far from possessing to the same degree Dedekinds remarkable gifts of exposition and clarity and it is therefore not surprising that it is chiefly the methods of the latter, already published in 1871, which have formed the framework of the theory of algebraic numbers; however interesting it may be, Kroneckers method of the adjunction of indeterminates, where the Theory of Numbers is concerned, is scarcely more in our eyes than a variant of Dedekinds (cf. Chapter VII, 5 1, Exercise 31) and it is chiefly in another direction, oriented towards Algebraic Geometry, that Kroneckers ideas acquire all their importance for the history of Commutative Algebra, as we shall see later. For reasons which could only clearly be seen much later, a first preliminary to any attempt at a general theory was of course the clarification of the notion of algebraic integer. This is obtained about 1845-50, although it is difficult
(*) O n the evolution of his ideas on this subject, see the very interesting introduction to his memoir of 1881 on the discriminant ([gel, p. 195).

enough to date its appearance precisely; it seems probable that it is the idea of a system stable under addition and multiplication (or, more precisely, what we now call a Z-algebra of finite rank) which, more or less consciously, led to the general definition of algebraic integers: in fact this definition is inevitably hit upon when a Z-algebra of the form Z[0] is restricted to being of finite rank, by analogy with the ring Z[<] generated by a root of unity, which was always at the centre of arithmeticians preoccupations a t this time. At any rate, when, independently, Dirichlet ([4], vol. I, p. 640), Hermite ([8], vol. I, pp. 115 and 146) and Eisenstein ([6c], p. 236) introduce the notion of algebraic integer, they do not appear to consider that they are dealing with a new concept nor to judge that it will be useful to make a detailed study thereof; only Eisenstein shows effectively (loc. tit.) that the sum and product of two algebraic integers are algebraic integers, without moreover claiming that this result is original. A much more subtle point was the determination of the rings in which a generalization of Kummers theory could be expected. The latter, in his first note [7b], does not hesitate to affirm that he can regain by his method Gausss theory of binary quadratic forms by considering the rings Z [ d ] (D an integer) ;he never developed this idea, but it certainly seems that neither he nor any one else before Dedekind perceived that unique composition into ideal prime factors is impossible in the ring Z [ d ] when D = 1 (mod. 4) (although the example of the cube roots of unity showed that the ring Z[p] considered from the time of Gauss is distinct from Z [ G ] ) (*). Before Dedekind and Kronecker, the only rings studied are always of the type Z[0] or sometimes certain particular rings of the type Z[8, 01 ( 7 ) . As far as Kronecker is concerned, it is possible that the idea of considering all the integers of an algebraic extension was first suggested to him by the study of the field of algebraic functions, where this ring arises naturally as the set of functions which are finite at infinite distance; in any case he insists in his memoir of 1881 on the discriminant (written and announced a t the Academy of Berlin as early as 1862) on this characterization of the integers in these fields [gel. Dedekind gives no indication as to the origin of his own ideas on this point, but in his very first publication on number fields in 1871 the ring of all integers of such a field plays a capital role in his theory; it is also Dedekind who clarifies the relation between such a ring and its subrings with the same field of fractions, by the introduction of the notion of conductor [IOc].

*) ( - Although Kronecker must have been led to study the arithmetic of the rings Z[z/-D] (D > 0) by his work on complex multiplication, he published nothing on this subject and the characterization of the integers of any quadratic field Q(dE) is given explicitly for the first time by Dedekind in 1871 ([~OC], pp. 105-106). (t) We have seen earlier the example of the ring Z[<, p] introduced by Kummer [7e]. Earlier, Eisenstein had been led to envisage a subring generated by two elements of the ring of integers in the field of the 2 1st roots of unity [6b].
585

584

HISTORICAL NOTE

HISTORICAL NOTE

But here was not the only difficulty. T o generalize the ideas of Kummer, it was necessary first to get rid of passing via the decomposition field, which naturally could have no analogue in the case of a non-Abelian field. This detour seems moreover at first sight very surprising and artificial, for, starting with the irreducible polynomial @),(X) Z[X], one may wonder why Kumof mer does not push his ideas to their logical conclusion and what prevents him from using the theory of Galois imaginary numbers which were well known at the time. The obstacle comes more clearly to light in an unfortunate attempt a t generalization made as early as 1865 by Selling, a pupil of Dedekind: given an irreducible polynomial P E Z[X], Selling decomposes the corresponding polynomial fr(X)into irreducible factors in FJX] ;the roots of this polynomial therefore belong to a finite extension F, of F,; but Selling, in order to define in Kummers way the exponent of an ideal prime factor of q in an integer of the splitting field of P(X),does not hesitate to speak, in thejield F,,of congruences f modulo apuwer u q ([I I], p. 26); and a little later when he tries to approach the question of ramification, he adjoins to F, imaginary roots of an equation of the form xh = q ([ l l], p. 34). Clearly these bold steps (which would be justified were the finite field F, replaced by the q-adic field) could a t that time only end in nonsense. Fortunately, Dedekind in 1857 [lOa], under the name of theory of higher congruences, took up again in another form the theory of finite fields (*) : he interprets the elements of the latter as residues of the polynomials of Z[X] with respect to a double modulus consisting of the linear combinations with coefficients in Z[X] of a prime number p and an irreducible monic polynomial P E Z[X] (which is no doubt for him, as for Kronecker, the origin of the general idea of module at which they were to arrive independently a little later). According to his own testimony ([IOd], p. 218) it seems that Dedekind had begun by attacking the problem of the ideal factors off in a field Q(E), where P E Z[X] is the minimal polynomial of E, as follows (certainly a t least in the unramified case, that is when the polynomial p in FJX] corresponding to P has no multiple root): he writes, in

corresponding to Pi k times if

fw: 0 =
and

(modd.pk, P) (modd.pk+l,P).

fW:

ZCXI > P = PIP,. . .P,

+ P.G

where the Pi are irreducible and distinct in FJX] ; it may be assumed that G is not divisible (in Z[X]) by any of the Pi and for all i he writes W, = P,; then, iff E Z[X], it will be said thatf(<) contains the ideal factor p i of p

The relationship with the method followed by Kummer for Kummerian fields is here manifest and Kummers original definition for cyclotomic fields can, in this way, easily be recovered (see for example the work of Zolotareff [I41 who, at first independently of Dedekind, developed these ideas a little later). However, neither Dedekind nor Kronecker who appears also to have made analogous attempts, could progress further in this direction, both of them halted by the difficulties presented by ramification ([lOd], p. 218 and [9f], p. 325) (*). If the ring of integers A of the number field K under consideration , admits a basis (over Z) consisting of the powers of the same integer 8 it is not difficult to generalize the above method for ramified prime numbers in Z[O] (as Zolotareff indicates (loc. At.)). But there are fields K where no basis of this type exists in the ring A; and Dedekind even finished by discovering that there are cases where certain prime numbers p (the extraordinary factors of the discriminant of the field K) are such that& all 0 E A, applying the above method of the minimal polynomial of 0 over Q leads to attributing ; top multiple ideal factors when in factp is unramified in A (t) hc admits that he was held up for a long time by this unforeseen dificulty, before managing to surmount it by the creation from scratch of the theory of modules and ideals, in a masterly exposition (and already in a wholly modern style, in contrast with the discursive style of his contemporaries) in what is without doubt his masterpiece, the famous 1 1th supplement to Dirichlets book on the Theory of Numbers [1Of]. This work saw three successive versions, but already in the first (published as the 10th supplement to the second edition of Dirichlets book in 1871 [4 bis]) the essentials of the method are present and almost at one stroke the theory of algebraic numbers passes from sketches and earlier gropings to a fully mature discipline already possessing its essential tools : from the beginning, the ring of all integers of a number field is placed a t the centre of the theory; Dedekind proves the existence of a basis of this ring over Z and
(*) Zolotareff circumvents the difficulty by a refinement of his method which appears of little more than anecdotal interest [14]. (t) Kronecker claims to have come across the same phenomenon in a subfield of the field of the 13th roots of unity which he does not describe more precisely ([9f], p. 384). The example of an extraordinary factor of the discriminant given by Dedekind is treated in detail in HASSE, Zahlentheorie (Berlin, Akad. Verlag, 1949), p., 333; a little later, Hasse gives an example of a field K where there is no extraordinary factor of the discriminant, but where there exists no 0 E A such that A = z[e] (ioc. cit., p. 335).

(*) It is known that certain results of this theory, published first by Galois, had been obtained (in the language of congruences) by Gauss about 1800; after the death of Gauss, Dedekind was charged with the publication of part of his works and had rediscovered in particular in the papers left by Gauss the memoir on finite fields ([3], vol. 11, pp. 212-240).

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deduces from it the definition of the discriminant of the field as the square of the determinant formed by the elements of a basis of the ring of integers and their conjugates; however he only gives in the 1lth supplement the characterization of ramified prime numbers (as prime factors of the discriminant) for quadratic fields ([lof], p. 202), whereas he was in possession of the general theorem from 1871 onwards (*). The central result of the work is the existence and uniqueness theorem for the decomposition of ideals into prime factors, for which Dedekind starts by developing a n elementary theory of modules ; in fact, in the 11th supplement, he reserves this name for sub-Z-modules of a number field, but the conception he forms of them and the results he shows are already expounded in a way which is immediately applicable to general modules ( 7 ) ; amongst other things must be noted, as early as 1871, the introduction of the notion of transporter which plays an important role (as well as the ascending chain condition) in the first proof of the unique factorization theorem. In the two following editions, Dedekind was also to give two other proofs of this theorem which he justly considered as the cornerstone of his theory. It should be noted here that it is in the third proof that fractional ideals are made use of (already introduced as early as 1859 by Kummer for cyclotomic fields) and the fact that they form a group is established; we shall return later to the second proof (p. 594). All these results (except for the language) were no doubt already known to Kronecker about 1860 as particular cases of his more general conceptions of which we speak later (whereas Dedekind recognizes that he only surmounted the last difficulties of his theory in 1869-70 ([loel, p. 351)) (:); as far as number fields are concerned, it must in particular be underlined that, already a t this time, Kronecker knew that the whole theory is applicable without essential change starting with a base field k which is itself a number field (other than Q),a point of view to which the theory of complex multiplication led naturally; he had thus recognized, for certain fields k, the existence of algebraic extensions K # k unramijied over k ([gf], p. 269), a fact which cannot hold for k = Q (as follows from minorations of Hermite and Minkowski for the discriminant). Dedekind was never to develop this last point of view (although he indicates its possibility in his memoir of 1882 on the different) and the first systematic exposition of relative field theory is due to Hilbert [16d].
(*) He only gives the proof of this theorem in his memoir of 1882 on the different [lOe]. (t) In his memoir of 1882 on algebraic curves (jointly with H. Weber) [lo bis], he uses the theory of modules over the ring C[X] in the same way. ($1 Kronecker had however not succeeded in obtaining by his methods the complete characterization of ramified ideals in the case of number fields. On the other hand he does have this characterization for fields of algebraic functions of one variable and proves moreover that in this case there is no extraordinary factor of the discriminant [gel.

Finally, in 1882 [loe], Dedekind completes the theory by introducing the dzzerent,which gives him a new definition of the discriminant and allows him to define precisely the exponents of the ideal prime factors in the decomposition of the latter. I t is also about this time that he becomes interested in the particular features presented by Galois extensions, introducing the notions of decomposition group and inertia group (in his memoir [log] which was only published in 1894) and even (in papers not published during his lifetime ([lo], vol. 11, pp. 410-41 1)) a sketch of ramification groups, which Hilbert (independently of Dedekind) was to develop a little later ([16c] and [16d]). Thus, about 1895, the theory of algebraic numbers had completed the first stage of its development; the tools forged during this formation period will allow it almost immediately to enter the next stage, general class field theory (or, what amounts to the same, the theory of Abelian extensions of number fields) which carries on to our own day and which we shall not describe here. From the point of view of Commutative Algebra, it may be said that at the same time the history of Dedekind domains is practically completed, setting aside their axiomatic characterization, and also the structure of finitely generated modules over these domains (which, in the case of number fields, will only be substantially elucidated by Steinitz in 1912 [20b]) (*).

The later progress in Commutative Algebra arises chiefly from quite different problems, issuing from Algebraic Geometry (which will moreover influence the Theory of Numbers directly even before the abstract developments of the present period). We shall not concern ourselves here with the detailed history of Algebraic Geometry which, until the death of Riemann, scarcely touches our subject. Let it suffice to recall that it was mainly concerned with the study of algebraic curves in the complex projective plane, usually approached by projective geometric methods (with or without the use of coordinates). There was a parallel development, with Abel, Jacobi, Weierstrass and Riemann, of the theory of algebraic functions of one complex variable and their integrals ; mathematicians were obviously conscious of the connection between this theory and the geometry of plane algebraic curves and even on occasions were known to apply Analysis to Geometry; but the methods used for the study of algebraic functions were chiefly of a transcendental nature, even before Riemann (t);this character is still further accentuated in the work of the latter,
(*) A start to the study of modules over a ring of algebraic numbers had already been made by Dedekind [lOh]. (t) It must be noted however that Weierstrass, in his research on Abelian functions (which goes back to 1857 but was only expounded in his lectures about 1865 and only published in his complete Works ([17], vol. IV)), gives, in contrast

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with the introduction of Riemann surfaces and arbitrary analytic functions defined on such a surface. Almost immediately after the death of Riemann, Roch and above all Clebsch recognized the possibility of obtaining from the profound results obtained by Riemanns transcendental methods numerous striking applications to the projective geometry of curves, which was of course to incite contemporary geometers to give purely geometric proofs of these results ; this programme, incompletely followed by Clebsch and Gordan, was completed by Brill and M. Noether several years later [131, with the aid of the study of systems of variable points on a given curve and auxiliary curves (the adjoints) passing through such systems of points. But even for his contemporaries, Riemanns transcendental methods (and notably his use of topological notions and of Dirichlets principle) appeared to rest on uncertain foundations; and although Brill and Noether are rather more careful than most contemporary synthetic geometers (see below p. 593), their geometric-analytic methods are not safe from all reproach. It is essentially to give the theory of plane algebraic curves a solid basis that Dedekind and Weber published in 1882 their great memoir on this subject [lo bis] : T h e research published below, they say, is intended to lay the foundations Ofthe theory o algebraic functions Ofone f variable, one ofRiemannsprincipa1 creations, in a way which is at the same time simple, rigorous and entirely general. In earlier research on this subject, in general restrictive hypotheses have been made on the singularities ofthefunctions considered and the would-be exceptional cases are, either mentioned in passing as limiting cases, or entirely neglected. Similarly, certain fundamental theorem on continuity or analyticity are accepted, whose evidence depends on geometric intuitions of a varied nature ([lo bis], p. 181) (*).
to Riemann, a purely algebraic definition of the genus of a curve, as the least / integer I such that there are rational functions on the curve with poles at p f 1 given arbitrary points. I t is interesting to point out that, seeking to obtain elements which serve as functions with only one pole on the curve, Weierstrass, before finally using for this purpose transcendental functions, had, according to Kronecker ([gel, p. 197), urged the latter to extend to algebraic functions of one variable the results he had a t that time just obtained for number fields (ideal prime factors effectively playing the role desired by Weierstrass) . (*) It is well known that, in spite of the efforts of Dedekind, Weber and Kronecker, the laxness in the conception of what constituted a correct proof, already visible in the German school of Algebraic Geometry of the years 1870-1880, was only to be aggravated more and more in the work of French and above all Italian geometers of the next two generations, who, following the German geometers and developing their methods, attack the theory of algebraic surfaces: a scandal often denounced (chiefly since 1920) by algebraists, but to a certain extent justified by the brilliant successes achieved by these non-rigorous methods, contrasting with the fact that, until about 1940, the orthodox successors of Dedekind had shown themselves incapable of formulating with sufficient flexibility and power the algebraic notions which would have allowed correct proofs to be given of these results.

The essential idea of their work is to model the theory of algebraic functions of one variable on the theory of algebraic numbers as Dedekind had just developed it; to do this, they must first look a t it from an affine point of view (in contrast with their contemporaries, who invariably considered algebraic curves as imbedded in complex projective space) : they therefore start with a finite algebraic extension K of the field C(X) of rational functions and the ring A of integral algebraic functions in K, i.e. the elements of this field which are integral over the polynomial ring C[X] ; their fundamental result, which they obtain without using any topological consideration (*), is that A is a Dedekind domain, to which may be applied mutatis mutandis (and even, as Dedekind and Weber remark, without yet clearly seeing the reason ([lo], vol. I, p. 268), in a simpler way) all the results of the 11th supplement. Having done this, they prove that their theorems are in fact birationally invariant (in other words, depend only on the field K) and in particular do not depend on the choice of the line at infinity made at the beginning. What is no doubt still more interesting for us, is that, in order to define the points of the Riemann surface corresponding to K (and in particular the points at infinity, which cannot correspond to ideals ofA), they are led to introduce the notion of place of the field K: They find themselves in the same situation as Gelfand will find himself in 1940 when founding the theory of normed algebras, knowing a set K of elements which are not given to start with as functions and yet one wants to consider as such; and, to obtain the defining set of hypothetical functions, they have for the first time the idea (which Gelfand followed and which has become commonplace through being used a t every turn in modern mathematics) of associating with a point x a set E and with a set 9of mappings of E to a set G the mapping f H f ( x ) of 9to G, in other words of considering, in the expressionf ( x ) , f a variable and x asjxed, in contrast with the classical s tradition. Finally, they have no difficulty, starting from the notion of place, in defining positive divisors (Polygon in their terminology) which include the ideals of A as particular cases and correspond to the systems of points of Brill and Noether; but, although they write principal divisors and divisors of differentials as quotients of positive divisors, they do not give the general definition of divisors and it is only in 1902 that Hensel and Landsberg introduce, by analogy with fractional ideals, this notion which will always embarrass the champions of purely geometric methods (obliged in spite of themselves to define them with the name virtual systems, but uneasy at not being able to give them a concrete interpretation). The same year 1882 also sees appear Kroneckers great memoir awaited for more than 20 years [Sf]. Much more ambitious than the work of Dedekind(*) They underline that, thanks to this fact, all their results would remain valid if the field C were replaced by the field of all algebraic numbers ([lo], vol. I, p. 240).

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Weber, it is also unfortunately much more vague and obscure. Its central theme is (in modern language) the study of the ideals of a finite integral algebra over one of the polynomial rings CIXl, . . .,X,] or ZIX1, . . .,X,] ;Kronecker limits himself a priori to those ideals which are finitely generated (the fact that they all are was only to be proved (for the ideals of CIX1, . . .,XI)) some years later by Hilbert in the course of his work on invariants [16a]). As far as C[&, . . .,X,] or ZIXl, . . .,X,,] is concerned, this naturally led to associating with each ideal of one of these rings the algebraic variety consisting of the zeros common to all the elements of the ideal; and the study of geometry in 2 and 3 dimensions during the 19th century was to lead intuitively to the idea that every variety is a union of a finite number of irreducible varieties whose cdimensionsyy not necessarily all the same. I t seems that the proof of this are fact is the aim Kronecker sets himself, although he nowhere says so explicitly and no definition of irreducible variety can be found in his memoir, nor of dimension. I n fact, he limits himself to indicating summarily how a general elimination method (*) gives, starting with a system of generators of the ideal considered, a finite number of algebraic varieties for each of which, in a suitable coordinate system, a certain number of coordinates are arbitrary and the others are algebraic functions of them (t). if it is indeed the decomposition into But irreducible varieties at which Kronecker is aiming, it must be recognized that he only arrives there in the elementary case of aprincipal ideal, where he proves effectively, extending a classical lemma of Gauss on Z[X] ([3], vol. I, p 34), that the domains C[X,, . . .,X,] and ZIXl,. .,X,] are factorial; and, in the . general case, it is questionable whether Kronecker was in possession of the notion of prime ideal (what he calls Primmodulsystem is an ideal which is indecomposable a a product of two others ([9f], p. 336) ;this is all the more astonishing as s the definition already given by Dedekind in 1871 was perfectly general). It must however be said that Kroneckers elimination method, suitably applied, certainly leads to the decomposition of an algebraic variety into its irreducible components :this is clearly established by E. Lasker a t the beginning of his great memoir of 1905 on polynomial ideals [I91 ;he defines correctly the
(*) By a linear change of coordinates, it may be assumed that the generators F, (1 d i < r ) of the ideal are polynomials where the term of highest degree in Xl is of the form c,X;, where ci is a constant # 0. It may also be assumed that the Ff have no common factor. Consider then for 2t indeterminates u, u1 (1 < i < r )

notion of irreducible variety (in C) an aIgebraic variety V such that a as product of two polynomials can only be zero on the whole of the variety V if one of them is and he also gives a definition which is independent of the choice of axes. In the interesting historical considerations he inserts in this work, Lasker shows that he is interested, not only in the purely algebraic tendencies of Kronecker and Dedekind, but also in the problems raised by the geometric methods of the school of Clebsch and M. Noether and notably in the famous theorem proved by the latter in 1873 [12]. He is essentially concerned, as we would say today, with determining the ideal a of polynomials of C[X,, . . .,X,] which are zero a t the points of a given set M of 0; usually M was the algebraic variety of zeros common to polynomialsf, finite in number and for a long time it seems that it was accepted (of course without justification) that, at least for n = 2 or n = 3, the ideal a was simply generated by thef, (*). M. Noether had shown that even for n = 2 and for two polynomials fl,f2 this is generally false and he had given sufficient conditions for a to be generated by f and fa. l Ten years later, Netto proves that, with no hypothesis onfl and f2, a power of a is always contained in the ideal generated by f l and f2 [15], a theorem which Hilbert generalized in 1893 in his celebrated Nullstellensatz [16b]. No doubt inspired by this result, Lasker, in his memoir, introduces the general notion of primary ideal ( 7 ) in the rings CIXl, . . ., X,] and ZIXl, . . ., X,] (after having given for these rings the definition of prime ideal, by transcribing Dedekinds definition) and shows ($) the existence of a primary decomposition
(*) See the remarks of M. Noether at the beginning of his memoir [13]. It is interesting to note on this subject that, according to Lasker, Cayley, about 1860, had conjectured that for every twisted algebraic curve in C3 there were a finite number of polynomials generating the ideal of polynomials of C[X, Y , Z] which are zero on the curve (in other words, a particular case of Hilberts finiteness theorem [16a]). (7) Examples of primary ideals which are not powers of prime ideals had been encountered by Dedekind in orders, i.e. rings of algebraic numbers with a given number field as field of fractions ([lo], vol. 111, p. 306). Kronecker also gives as an example of an ideal indecomposable as a product of two other non-trivial ideals, the ideal of Z[X] generated by p2 and X2 p, where p is a prime number (an ideal which is primary for the prime ideal generated by X and p ([9f],

the polynomials utF1 and vtFt as polynomials in X1;form their Sylvester 1=1 i=1 resultant, which is a polynomial in the u1and u1 with coefficients in C[X2, ,X,] (resp. Z[Xp,. X,,]); by annihilating these coefficients, a system of equations is . ., obtained whose solutions (x2, .. .,x,) are precisely the projections of the solutions ( X I , . ., x,,) of the system of equations Ft(xl, x2, . . ., x,) = 0 (1 d i < Y). The application of the method may then be continued by induction on n. (t) It is this number of arbitrary coordinates that he calls the dimension ( Stufe).

. ..

p. 341)). ($) Lasker proceeds by induction on the maximal dimension h of the irreducible components of the variety V of zeros of the ideal a under consideration. In modern terms, he considers first the prime ideals pi (1 < i 6 r ) containing a, which correspond to the irreducible components of maximal dimension h of V. With each p i he associates the saturation qr of a with respect to p1 (cf. Chapter IV, 9 2, no. 3, Proposition 5) ; he then considers the transporter b1 = a: qr of q, in a, takes in b1 an element c belonging to none of the pi and shows on the one hand that a is the intersection of the q, and a + (c) = a and on the other that the variety V of 593

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for every ideal in these rings (*) . He does not seem to be concerned with questions of uniqueness in this decomposition; it is Macaulay who, a little later [21] introduces the distinction between immersed and non-immersed primary ideals and shows that the latter are determined uniquely, but not the former. I t should finally be noted that Lasker also extends his results to the ring of convergent power series in a neighbourhood of a point, by using Weierstrasss preparation theorem. This part of his memoir is no doubt the first place this ring had been considered from a purely algebraic point ofview and the methods which Lasker develops on this occasion were strongly to influence Krull when in 1938 he created the general theory of local rings (cf. [29d], p. 204 and passim).

with negative exponent). Hensels shows similarly that, if p is a prime ideal of k lying above a prime number@,a p-adic series may be associated with every
aipt (or cqptle when p is ramified over p ) , the at being taken in a given representative system of the field of residues of the ideal p ; but his great originality lies in having had the idea of considering such expansions even when they correspond to no element of k, by analogy with the expansions in integral series of transcendental functions on a Riemann surface [18a], Throughout the rest of his career, Hensel devotes himself to polishing and perfecting little by little his new calculus; and if his manner seems to us hesitant or ponderous, it must not be forgotten that a t the beginning at least he had a t his disposal none of the topological or algebraic tools of modern mathematics which would have facilitated his task. In his first publications he moreover scarcely speaks of topological notions and on the whole for him the ring of padic integers (p a prime ideal in the ring of integers A of a number field k ) is, in modern terms, the inverse limit of the rings Alpn for n increasing indefinitely, in a purely algebraic sense; and to establish the properties of this ring and its field of fractions, it is necessary at each step to use more or less painfully ad hoc arguments (for example to prove that the p-adic integers form an integral domain). The idea of introducing topological notions into a p-adic field does not appear in Hensels works before 1905 [18d]; and it is only in 1907, aftcr having published the book where he reexpounds the theory of algebraic numbers according to his ideas [lsf]), that he arrives at the definition and essential properties of p-adic absolute values [18e], starting with which he will be able to develop, modeling it on Cauchys theory, a new p-adic analysis which he will be able to apply fruitfully in the Theory of Numbers (notably by using the p-adic exponential and logarithm) and whose importance has been growing ever since. Hensel had well seen, from the beginning, the simplifications his theory brought to classical expositions, by allowing the problems to be localized and the work to be carried out in a field where not only are the divisibility properties trivial, but also, thanks to the fundamental lemma which he discovered as early as 1902 [ I ~ c ] , the study of polynomials whose reduced polynomials modp have no multiple roots is reduced to the study of polynomials over a finite field. He had given as early as 1897 [18b] striking examples of these simplifications, notably on questions related to the discriminant (in particular, a short proof of the criterion he had given a few years earlier for the existence of extraordinary divisors). But for a long time it seems that the p-adic numbers inspired considerable distrust in contemporary mathematicians; a current attitude no doubt towards ideas that are too abstract, but which was also justified in part by the rather excessive enthusiasm of their author (so frequent in mathematics among zealots of new theories). Not content to apply his theory fruitfully to algebraic numbers, Hensel, impressed
x E k, of the form

The movement of ideas which will give birth to modern Commutative Algebra begins to take shape about 1910. If the general notion of field was reached by the beginning of the 20th century, in contrast the first work where the general notion of ring is defined is probably that of Fraenkel in 1914 [23]. At this time, there were already as examples of rings, not only the integral domains of the Theory of Numbers and Algebraic Geometry, but also rings of power series (formal and convergent) and finally algebras (commutative or not) over a base field. However, for the theory of fields as well as that of rings, the catalyst role seems to have been played by Hensels theory of @-adic numbers, which Fraenkel and also Steinitz [2Oa] mention specially as the starting point of their research. Hensels first publication on this subject goes back to 1897; he there starts from the analogy shown by Dedekind and beber between the points of a Riemann surface of a n algebraic function field K and the prime ideals of a number field k; he proposes to carry over to the Theory of Numbers Puiseux expansions (classical from the middle of the 19th century) which, in a neighbourhood of any point of the Riemann surface of K, allow every element x E K to be expressed in the form of a convergent series of powers of the uniformizer a t the point considered (a series with only a finite number of terms
zeros of a has only irreducible components of dimension <h - 1, which allows him to conclude by induction. (*) I t is interesting to note that Dedekinds second proof of the unique decomposition theorem proceeds by first establishing the existence of a unique reduced Primary decomposition; and in a passage not published in the 1l t h supplement, Dedekind observes explicitly that this part of the proof is valid not only for the ring A of all integers of a number field K, but also for all the orders of K ([lo], vole 111, P. 303). I t is only then, after showing explicitly that A is completely integrally closed (to within terminology) that he proves, using this fact, that the primary ideals of the above decomposition are in fact powers of prime ideals ([lo], vol. 111, p. 307).

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as all his contemporaries were, by the proofs of the transcendence of e and x and perhaps misled by the adjective transcendental applied both to numbers and to functions, had come to think that there existed a connection between his p-adic numbers and transcendental real numbers and he had thought for a moment that he had obtained a simple proof of the transcendence of e and even of ee ([ 18d], p. 556) (*) Soon after 1910, the situation changes, with the rising of the next generation, influenced by the ideas of Frtchet and F. Riesz on topology and by those of Steinitz on algebra, and from the start devoted to abstraction; it will know how to assimilate and put in their true place Hensels works. As early as 1913, Kurschak [22] gives a general definition of the notion of absolute value, recognizes the importance of ultrametric absolute values (of which the p-adic absolute value was a n example), proves (by modelling the proof on the case of real numbers) the existence of the completion of a field with respect to an absolute value and above all shows generally the possibility of extending an absolute value to any algebraic extension of the given field. But he had not seen that the ultrametric character of an absolute value was already revealed in the prime field; this point was established by Ostrowski, to whom also is due the determination of all the absolute values on the field Q and the fundamental theorem characterizing fields with a non-ultrametric absolute value as subfields of C [24]. I n the years from 1920 to 1935, the theory will be completed by a more detailed study of absolute values which are not necessarily discrete, including amongst others the examination of various circumstances which arise in passing to an algebraic or transcendental extension (Ostrowski, Deuring, F. K. Schmidt); on the other hand, in 1931, Krull introduces and studies the general notion of valuation [29b] which will be greatly used in the years that follow by Zariski and his school of Algebraic Geometry (t).We must also mention here, although it lies outside our scope, the deeper studies on the structure of complete valued fields and complete local rings, which date from the same period (Hasse-Schmidt, Witt, Teichmuller, I. Cohen).

type of ring (Artinian with only a single prime ideal, which is moreover assumed to be principal). With the exception of Steinitzs work on fields [2Oa], the first important works on the study of general commutative rings are E. Noethers two great memoirs on ideal theory: that of 1921 [25a], devoted to primary decomposition, which takes up again in all generality and completes on many points the results of Lasker and Macaulay; and that of 1927 characterizing Dedekind domains axiomatically [25b]. Just as Steinitz had shown for fields, it is seen in these memoirs how a small number of abstract ideas, such as the notion of irreducible ideal, the chain conditions and the idea of an integrally closed domain (the last two, as we have seen, already brought to light by Dedekind) can by themselves lead to general results which seemed inextricably bound up with results of pure computation in the cases where they had previously been known. With these memoirs of E. Noether, joined to the slightly later works ofArtinvan der Waerden on divisorial ideals [31] and Krull relating these ideals to essential valuations [29b], the long study of the decomposition of ideals started a century earlier (*) is thus complete, at the same time as modern Commutative Algebra is being inaugurated. The innumerable later research works on Commutative Algebra are grouped most easily according to several important directions of development : (A) Local rings and topologies Although the germ was contained in all the earlier works on the Theory of Numbers and Algebraic Geometry, the general idea of localization came to light very slowly. The general notion of ring of fractions is only defined in 1926 by H. Grell, a pupil of E. Noether, and only for integral domains [28]; its extension to more general rings will only be given in 1944 by C. Chevalley for Noetherian rings and in 1948 by Uzkov in the general case. Until about 1940, Krull and his school are practically alone in using in general arguments the consideration of the local rings A, of an integral domain A; these rings will only begin to appear explicitly in Algebraic Geometry with the works of Chevalley and Zariski starting in 1940 (7). The general study of local rings themselves only begins in 1938 with Krulls
(*) Following the definition of divisorial ideals, a considerable number of research works (Priifer, Krull, Lorenzen, etc.) were undertaken on ideals which are invariant under other operations a H a satisfying axiomatic conditions analogous to the properties of the operation a HA: (A: a) which gives birth to divisorial ideals; the results obtained in this way have as yet found no application in Algebraic Geometry nor in the Theory of Numbers. (t) I n the works of Hensel and his pupils on the Theory of Numbers, the local rings A, are systematically neglected to the benefit of their completions, no doubt because of the possibility of applying Hensels lemma to the latter.

The work of Fraenkel mentioned above (p. 594) only treated a very special
(*) This research at all cost of a narrow parallelism between p-adic series and Taylor series also leads Hensel to pose himself strange problems: he proves for

example that every p-adic integer may be written in the form of a series k = O a k P k where the ak are rational numbers chosen so that the series converges not only in Q,, but also in R (perhaps by analogy with Taylor series which converge at several places at once ?) ([ 16e] and [16fl). (t) An example of a valuation of height 2 had already been introduced incidentally by H. Jung in 1925 [27]. 596

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great memoir [29d]. The most important results of this work concern dimension theory and regular rings, of which we shall not speak here; but here for the first time appears the completion of any arbitrary Noetherian local ring and also a still imperfect form of the graded ring associated with a local ring (*); the latter will only be defined about 1948by P. Samuel [36] and independently in research on Algebraic Topology by Leray and H. Cartan. Krull, in the above mentioned work, hardly uses topological language ; but already in 1928 [29a], he had proved that, in a Noetherian ring A, the intersection of the powers of an ideal a is the set of x E A such that x(1 - a ) = 0 for some a E a; it is easily deduced from this that, for every ideal m of A, the m-adic topology on A induces on an ideal a the m-adic topology on a; in his memoir of 1938, Krull completes this result by proving that in a Noetherian local ring every ideal is closed. These theorems were soon afterwards extended by Chevalley to Noetherian semi-local rings and then by Zariski to the rings which bear his name [33b] ; to Chevalley also goes back the introduction of linear compactness in topological rings, as also the determination of the structure of complete semi-local rings [32b].

(B) Passage from the local to the global Since Weierstrass, an analytic function of one variable (and in particular an algebraic function) has habitually been associated with the set of its expansions at all the points of the Riemann surface where it is defined. I n the introduction to his book on the Theory of Numbers ([ 18f], p. V), Hensel similarly associates with each element of an algebraic number field k the set of elements corresponding to it in the completions of k with respect to all the absolute values on k (t).It may be said that it is this point of view which, in modern Commutative Algebra, has replaced the decomposition formula of an ideal as a product of prime ideals (extending in a certain sense Kummers initial point of view). Hensels remark amounts implicitly to embedding k in the product of all its completions; this is what Chevalley does explicitly in 1936 with his theory of
(*) If m is the maximal ideal of the Noetherian local ring A under consideration and (a,) h l ,a minimal system of generators of m, Krull defines for x # 0 in A the initial forms of x as follows: i f j is the greatest integer such that x E m, the initial forms of x are all the homogeneous polynomials of degree j, P(X1, . , X,) wit11 coefficients in the residue field k = A/m, such that x = P(ml,. . ., a,) (mod. m+l). With each ideal a of A he associates the graded ideal of k[X1, ., X,] generated by the initial forms of all the elements of a (Leitideal) ; these two notions for him take the place of the associated graded ring. (t) Hensel takes, as non-ultrametric absolute values on a field K of degree n over Q, the functions x H 1x()( (where the for 1 < i < n are the conjugates of%) currently used since Dirichlet; Ostrowski was to show a little later that these functions are essentially the only non-ultrametric absolute values on K.

idhles [32a], which perfects earlier analogous ideas of Priifer and von Neumann (the latter confining themselves to embedding k in the product of its padic completions) (*). Although this is somewhat outside our scope, it is important to mention here that, thanks to an appropriate topology on the group of idkles, all the techniques of locally compact groups (including Haar measure) can thus be very effectivelyapplied to the Theory of Numbers. I n a more general context, Krulls theorem [29b] characterizing an integrally closed domain as an intersection of valuation rings (which amounts also to embedding the domain under consideration in a product of valuation rings) often facilitates the study of these rings, although the method is only really tractable for essential valuations of Krull domains. Moreover Krull frequently exhibits [29e] (quite elementary) examples of the passage from the local to the global method consistingofshowing a property of an integral domain A by verifying it for the localized rings A, of A at all its prime ideals ( 7 ) ; more recently, Serre perceived that this method works for arbitrary commutative rings A, that it is applicable also to A-modules and that it is even sufficient often to localize at the maximal ideals of A (Chapter 11, $ 3 , Theorem 1) : a point of view which is closely connected with ideas about spectra and sheaves defined over these spectra (see below, p. 602). (C) Integers and integral closure We have seen that the notion of algebraic integer, first introduced for number fields, had already been extended by Kronecker and Dedekind to algebraic function fields, although in this case it might appear rather artificial (not corresponding to a projective notion). E. Noethers memoir of 1927, followed by the work of Krull starting in 1931, showed the interest that these notions present for more general rings ($) Krull in particular is responsible for the

..

..

(*) Because of this remark by Hensel, the non-ultrametric absolute values on a number field K have habitually been called (by an abuse of language) the places a t infinity of K, by analogy with the process by which Dedekind and Weber define the points at infinity of the Riemann surface of an affine curve (cf. p. 591). (t) I n speaking of the passage from the local to the global, there is often an allusion to much more difficult questions, connected with class field theory, and the best known examples of which are those treated in Hasses memoirs ([26a] and [26b]) on quadratic forms over an algebraic number field k; he shows there ,x,,) = a to have a solution in among other things that for an equation f(x1, k n ( f a quadratic form, a E k), it is necessary and sufficient that it have a solution in each of the completions of k. According to Hasse, the idea of this type of theorem had been suggested to him by his master Hensel [26c]. The extension of this principle of Hasse to groups other than the orthogonal group is one of the objectives of the modern theory of adelizations of algebraic groups. ($) Krull and E. Noether limit themselves to integral domains, but the extension of their methods to the general case is not difficult; the most interesting memoir

...

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HISTORICAL NOTE

theorems on the lifting of prime ideals to integral algebras [29c], as also for extending the theory of decomposition and inertia groups of DedekindHilbert [29b]. As for E. Noether, we owe to her the general formulation of the normalization lemma (*) (from which follows amongst other things Hilberts Nullstellensatz) as also the first general criterion (transcribing the classical arguments of Kronecker and Dedekind) for the integral closure of an integral domain to bejnite over that domain. Finally, it should be pointed out here that one of the reasons for the present importance of the notion of integrally closed domain is due to Zariskis studies on algebraic varieties; he discovered that normal varieties (that is those whose local rings are integrally closed domains) are distinguished by particularly pleasant properties, notably the fact that they have no singularity ofcodimension 1; and it has then been seen that analogous phenomena are true for analytic spaces. Therefore normalization (that is the operation which, for the local rings of a variety, consists of taking their integral closures) has become a powerful weapon in the arsenal of modern Algebraic Geometry.

Conversely, it could be foreseen that the new classes of modules introduced naturally by Homological Algebra as universal annihilators of the Ext functors (projective modules and injective modules) and the Tor functors (flat modules) would throw new light on Commutative Algebra. It happens that chiefly projective modules and still more flat modules have shown themselves useful: the importance of the latter arises above all from the remark, made first by Serre [38b], that localization and completion introduce flat modules naturally, thus explaining in a much more satisfactory way the properties of these operations already known and rendering them much easier to use. I t should moreover be mentioned (as we shall see in later chapters) that the applications of Homological Algebra are far from being limited to this and that it is playing a more and more important role in Algebraic Geometry.

(D) The study o modules and the intuence o Homological Algebra f f

One of the striking characteristics of the work of E. Noether and W. Krull in Algebra is the tendency to linearization, extending the analogous development given to field theory by Dedekind and Steinitz; in other words, ideals are considered above all as modules and so all the constructions of Linear Algebra (quotient, product and more recently tensor product and formation of homomorphism modules) are brought to bear on them, producing in general modules which are no longer ideals. I t is thus quickly seen that in many questions (for commutative or non-commutative rings), interest should not be confined to the study of ideals of a ring A, but on the contrary the theorems should be stated in general for A-modules (sometimes subjected to certain finiteness conditions). The intervention of Homological Algebra has strongly reinforced the above tendency, since this branch of Algebra is essentially concerned with questions of a linear nature. We shall not retrace its history here; but it is interesting to point out that several fundamental notions of Homological Algebra (such as that of projective module and that of Tor functor) came into being on the occasion of a close study of the behaviour of modules over a Dedekind domain relative to the tensor product, a study undertaken by H. Cartan in 1948.
on this subject is that where I. Cohen and Seidenberg extend Krulls lifting theorems, indicating exactly the limits of their validity [35]. I t should be mentioned that E. Noether had explicitly mentioned the possibility of such generalizations in her memoir of 1927 ([25b], p. 30). (*) A particular case had already been asserted by Hilbert in 1893 ([16b], p. 316).

(E) The notion o spectrum f The most recent in date of the new notions of Commutative Algebra has a complex history. Hilberts spectral theorem introduced ordered sets of orthogonal projectors of a Hilbert space, forming a Boolean algebra (or rather a Boolean lattice) (*), in one-to-one correspondence with a Boolean lattice of classes of measurable subsets (for a suitable measure) of R.No doubt his earlier work on operators on Hilbert spaces, about 1935, led M. H. Stone to study Boolean lattices generally and notably to look for representations of them by subsets of a set (or classes of subsets with respect to a certain equivalence relation). He observes that a Boolean lattice becomes a commutative ring (moreover of a very special type), if multiplication is defined on it by xy = inf (x, y) and addition by x y = sup(inf(x, y), inf(x, y)). In the particular case where the Boolean lattice in question is the set g ( X ) of all subsets of afinite set X, it is immediately seen that the elements of X are in a natural one-to-one correspondence with the maximal ideals of the corresponding Boolean ring; and Stone obtains precisely his general representation theorem for a Boolean lattice by similarly considering the set of maximal ideals of the corresponding ring and associating with each element of the Boolean lattice the set of maximal ideals which contains it [3Oa]. On the other hand, the set of both open and closed subsets of a topological space was a well-known classical example of a Boolean lattice. I n a second paper [30b], Stone showed that in fact every Boolean lattice is also isomorphic to a Boolean lattice of this nature. For this it was of course necessary to define a topology on the set of maximal ideals of a Boolean ring; which was very

(*) A Boolean lattice is a lattice-ordered set E, with a least element a and a greatest element w, where each of the laws sup and inf is distributive with respect to the other and, for all a E E, there exists a unique a E E such that inf(a, a) = a and sup(a, a) = w (cf. Set Theory, Chapter 111, $ 1, Exercise 17).

600

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BIBLIOGRAPHY

simply accomplished by taking as closed sets for each ideal a the set of maximal ideals containing a. We shall not speak here of the influence of these ideas on Functional Analysis, where they played an important role in the birth of the theory of normed algebras developed by I. Gelfand and his school. But in 1945, Jacobson observes [34] that the process of defining a topology, invented by Stone, can in fact be applied to any ring A (commutative or not) provided the set of ideals taken is not the set of maximal ideals but the set of two-sided primitive ideals (i.e. the two-sided ideals b such that A/b is a primitive ring) ;for a commutative ring, these of course turn out to be the maximal ideals. On his part, Zariski, in 1944 [33a], uses an analogous method to define a topology on the set ofplaces of an algebraic function field. However, these topologies remained for the majority of algebraists mere curiosities, by reason of the fact that they are not usually Hausdorff and a quite understandable repugnance was felt about working on such unusual objects. This distrust was only overcome when A. Weil showed, in 1952, that every algebraic variety can be given a natural topology of the above type and that this topology allows the definition, in perfect analogy with the case of differentiable or analytic manifolds, of the notion offibre bundle [37] ;soon afterwards, Serre had the idea ofextending to these varieties thus topologized the theory of coherent sheaves, thanks to which the topology renders in the case of abstract varieties the same services as the usual topology when the base field is C,notably as far as applying the methods of Algebraic Topology is concerned ([38a] and [38b]). From then on it was natural to use this geometric language throughout Commutative Algebra. I t was quickly seen that considering maximal ideals is usually insufficient to obtain useful assertions (*) and that the adequate notion is that of the set ofprime ideals of the ring topologized in the same manner. With the introduction of the notion of spectrum, there now exists a dictionary allowing every theorem of Commutative Algebra to be expressed in a geometric language very close to that of the Algebraic Geometry of the Weil-Zariski period; which has moreover immediately brought about a considerable enlargement of the scope of the latter, so that Commutative Algebra is scarcely more than the most elementary part of it [39].
(*) The inconvenience of limiting attention to the maximal spectrum arises A + B is a ring homomorphism and n a maximal ideal from the fact that, if

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of B, +(n) is not necessarily a maximal ideal of A, whereas for every prime ideal p of B, +(p) is a prime ideal of A. Hence in general a mapping of the set of maximal ideals of B to the set of maximal ideals of A cannot naturally be associated with 4.
-1

-1

+:

3. C . F. GAUSS, Werke, 12 volumes, Gottingen, 1870-1927. 4. P. G. LEJEUNE-DIRICHLET, Werke, 2 volumes, Berlin (Reimer), 18891897. 4 (bis). P. G. LEJEUNE-DIRICHLET, Vorlesungen uber Zahlentheorie, 2te Aufl., Braunschweig (Vieweg), 1871. 5. C. G. J. JACOBI, Gesammelte Werke, 7 volumes, Berlin (Reimer), 18811891. 6. G. EISENSTEIN: Beweis der Reciprocitatsgesetzefur die cubischen Reste (a) in der Theorie der aus dritten Wurzeln der Einheit zusammengesetzen Zahlen, Crelles Journal, 27 (1844), pp. 289-310; (b) Zur Theorie der quadratischen Zerfallung der Primzahlen 8n + 3, 7n + 2 und 7n + 4, Crelles Journal, 37 (1848), pp. 97-126; (c) Uber einige allgemeine Eigenschaften der Gleichung von welcher die Teilung der ganzen Lemniscate abhangt, nebst Anwendungen derselben auf die Zahlentheorie, Crelles Journal, 39 (1850), pp. 160-179 and 224-287. 7. E. KUMMER: (a) Sur les nombres complexes qui sont form& avec les nombres entiers rCels et les racines de lunid, J . de Math., (l), 12 (1847), pp. 185-212; (b) Zur Theorie der complexen Zahlen, Crelles Journal, 35 (1847),pp. 319-326; (c) Ueber die Zerlegung der aus Wurzeln der Einheit gebildeten complexen Zahlen in Primfactoren, Crelles Journal, 35 (1847), pp. 327-367; (d) MCmoire sur les nombres complexes composCs de racines de lunitk et des nombres entiers, J. de Math., (l), 16 (1851), pp. 377498; (e) Uber die allgemeinen Reciprocitatsgesetze unter den Resten und Nichtresten der Potenzen deren Grad eine Primzahl ist (Abh. der Kon. Akad. der Wiss. LU Berlin (1859), Math. Abhandl., pp. 19-159). 8. C. HERMITE, Oeuvres, 4 Volumes, Paris (Gauthier-Villars), 1905-1917. 9. L. KRONECKER, Werke, 5 volumes, Leipzig (Teubner), 1895-1930: (a) De unitatibus complexis, vol. I, pp. 5-71 (=Inaug. Diss., Berolini, 1845); (b) Uber die algebraisch auflosbaren Gleichungen I, vol. IVY pp. 1-11 (=Monatsber. der Kon. Preuss. Akad. der Wiss., 1853, pp. 365-374) ; (c) Uber die elliptischenFunctionen fur welche complexe Multiplication stattfindet vol. IV, pp. 177-183 ( = Monatsber. der Kon. Preuss. Akad. der Wiss., 1857, pp. 455460) ; (d) Uber die complexe Multiplication der elliptischen Functionen, vol. IV, pp. 207-217 ( = Monatsber. der Kon. Preuss. Akad. der Wiss., 1862, pp. 363-372) ; (e) Uber die Discriminante algebraischer Functionen einer Variabeln, vol. 11, pp. 193-236 (=Crelles Journal, 91 (1881), pp. 301-334) ; (f) Grundzuge einer arithmetischen Theorie der 603

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algebraischen Grossen, vol. 11, pp. 237-387 (=Crelles Journal, 92 (1882), pp. 1-122). 10. R. DEDEKIND, Gesammelte mathematische Werke, 3 volumes, Braunschweig (Vieweg), 1932: (a) Abriss einer Theorie der hoheren Kongruenzen in bezug auf einen reellen Primzahl-Modulus, vol. I, pp. 40-66 (=Crelles Journal, ! 4 (1857), pp. 1-26; (b) Sur la Thtorie des Nombres entiers 5 algkbriques, vol. 111, pp. 262-296 (=Bull. S i Math., ( l ) , 11 (1876), pp. c. (c) Uber 278-288 and (2), 1 (1877), pp. 17-41,69-92,144-164,207-248); die Anzahl der Ideal-Klassen in den verschiedenen Ordnungen eines endlichen Korpers, vol. I, pp. 105-157 (=Festschrifi der Technischen Hoch-schule in Braunschweig zur Sakularfeier des Geburtstages von C. F. Gauss, Braunschweig, 1877, pp. 1-55) ; (d) u b e r den Zusammenhang zwischen der Theorie der Ideals und der Theorie der hoheren Kongruenzen, vol. I, pp. 202-230 (=Abh. Kon. Ges. Wiss. zu Gottingen, 23 (1878), pp. 1-23); (e) Uber die Discriminanten endlicher Korper, vol. I, pp: 351-396 (=Abh. Kon. Ges. Wiss. zu Gdttingen, 29 (1882), pp. 1-56); (f) u b e r die Theorie der ganzen algebraischen Zahlen, vol. 111, pp. 1-222 (=Supplement XI von Dirichlets Vorlesungen iiber Zahlentheorie, 4 Aufl. (1894), pp. 434-657); (g) Zur Theorie der Ideale, vol. 11, pp. 43-48 (=Nachr. Gottingen, 1894, pp. 272-277) ; (h) Uber eine Erweiterung des Symbols (a, 6) in der Theorie der Moduln, vol. 11, pp. 59-85 (=Nachr. Gdttingen, 1895, pp. 183-208). 10 (bis). R. DEDEKIND-H. WEBER, Theorie der algebraischen Funktionen einer Veranderlichen, Crelles Journal, 92 (1882), pp. 181-290 ( = R . Dedekind, Ges. Math. Werke, vol. I, pp. 238-349). 11. E. SELLING, Ueber die idealen Primfactoren der complexen Zahlen, welche aus den Wurzeln einer beliebigen irreductiblen Gleichung rational gebildet sind, Zeitschr. fur Math. und Phys., 10 (1865), pp. 17-47. 12. M. NOETHER, Uber einen Satz aus der Theorie der algebraischen Funktionen, Math. Ann., 6 (1873), pp. 351-359. 13. A. BRILL-M. NOETHER, Ueber algebraischen Funktionen, Math. Ann., 7 ( 1874), pp. 269-310. 14. G. ZOLOTAREFF, Sur la thtorie des nombres complexes, J. de Math. (3), 6 (1880), pp. 51-84 and 129-166. 15. E. NETTO, Theorie der Elimination, Acta Math., 7 (1885), pp. 101-104. Zur 16. D. HILBERT: (a) Uber die Theorie der algebraischen Formen, Math. Ann., 36 (1890), pp. 473-534; (b) Uber die vollen Invariantensysteme, Math. Ann., 42 (1893), pp. 313-373; (c) Grundzuge einer Theorie des Galoischen Zahlkorpers, Gott. Nachr., (1894), pp. 224-236; (d) Zahlbericht, Jahresber. der D. M. V., 4 (1897), pp. 175-546 (translated into French by A. Levy and Th. Got under the title Thkorie des corps de nombres algibnques, Paris (Hermann) , 1913). 17. K. WEIERSTRASS, Mathernatische Werke, 7 volumes, Berlin (Mayer und Muller), 1894-1927.
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18. K. HENSEL: (a) u b e r eine neue Begriindung der Theorie der algebraischen Zahlen, Jahresber. der D. M. V., 6 (1899), pp. 83-88; (b) Ueber die Fundamentalgleichung und die ausserwesentlichen Diskriminantentheiler eines algebraischen Korpers, Gott. Nachr., (1897), pp. 254-260; (c) Neue Grundlagen der Arithmetik, Crelles Journal, 127 (1902), pp. 51-84; (d) Uber die arithmetische Eigenschaften der algebraischen und transzendenten Zahlen, Jahresber. der D. M. V., 14 (1905), pp. 545-558; (e) Ueber die arithmetischen Eigenschaften der Zahlen, Jahresber. der D. M. V., 16 (1907), pp. 299-319, 388-393, 474-496; (f) Theorie der algebraischen ZaJzlen, Leipzig (Teubner), 1908. 19. E. LASKER, Zur Theorie der Moduln und Ideale, Math. Ann., 68 (1905), pp. 20-1 16. 20. E. STEINITZ: (a) Algebraische Theorie der Korper, Crelles Journal, 137 ( 19lo), pp. 167-308; (b) Rechteckige Systemeund Moduln in algebraischen Zahlkorpern, Math. Ann. 71 (1912), pp. 328-354 and 72 (1912), pp. 297-345. 2 1. F. S. MACAULAY, the resolution of a given modular system into primary On systems including some properties of Hilbert numbers, Math. Ann., 74 (1913), pp. 66-121. 22. J. KURSCHAK, e r Limesbildung und allgemeine Korpertheorie, Crelles ub Journal, 142 (1913), pp. 211-253. 23. A. FRAENKEL, Uber die Teiler der Null und die Zerlegung von Ringen, Crelles Journal, 145 ( 1914), p p 139-176. 24. A. OSTROWSKI, u b e r einige Losungen der Funktionalgleichung +(x)+(Y) = + ( x . Y ) , A C ~Math., 41 (1917), pp. 271-284. U (a) 25. E. NOETHER: Idealtheorie in Ringbereichen, Math. Ann., 83 (1921), pp. 24-66; (b) Abstrakter Aufbau der Idealtheorie in algebraischen Zahl- und Funktionenkorpern, Math. Ann., 96 (1927), pp. 26-61. 26. H. HASSE: Ueber die Darstellbarkeit von Zahlen durch quadratischen (a) Formen im Korper der rationalen Zahlen, Crelles Journal, 152 (1923), pp. 129-148; (b) Ueber die Aquivalenz quadratischer Formen im Korper der rationalen Zahlen, Crelles Journal, 152 (1923), pp. 205-224; (c) Kurt Hensels entscheidender Anstoss zur Entdeckung des Lokal-GlobalPrinzips, Crelles Journal, 209 ( 1960), pp. 3-4. 27. H. JUNG, Algebraischen Flachen, Hannover (Helwing), 1925. 28. H. GRELL, Beziehung zwischen den Idealen verschiedener Ringe, Math. Ann., 97 (1927), pp. 490-523. 29. W. KRULL (a) Primidealketten in allgemeine Ringbereichen, Sitt. Ber. : Heidelberg Akad. Wiss., 1928; (b) Allgemeine Bewertungstheorie, Crelles Journal, 167 (1931), pp. 160-196; (c) Beitrage zur Arithmetik kommutativer Integritatsbereiche, 111, Math. Zeitschr., 42 (1937), pp. 745-766; (d) Dimensionstheorie in Stellenringen, Crelles Journal, 179 (1938), pp. 204-226; (e) Idealtheorie, Berlin (Springer), 1935.

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30. M. H. STONE: (a) The theory of representations for Boolean algebras, Trans. A m y . Math. SOC.,4 (1936), pp. 37-111; (b) Applications of the 0 theorv of Boolean rings to general topology, Trans. Amer. Math. Soc., 41 (1936, pp. 375481. 31. B. L. van der WAERDEN, Moderne Algebra, vol. 11,Berlin (Springer), 1931. 32. C. CHEVALLEY: (a) Gntralisation de la thtorie du corps de classes pour les extensions infhies, J. de Math., (9), 15 (1936), pp. 359-371 ; (b) On the theory of local rings, Ann. 03 Math., 44 (1943), pp. 690-708. (a) 33. 0. ZARISKI: The compactness of the Riemann manifold of an abstract field of algebraic functions, Bull. Amer. Math. SOC., (1944-),pp. 683-691 ; 50 (b) Generalized semi-local rings, Summa Bras. Math., 1 (1946), pp. 169i95. 34. N. JACOBSON, A topology for the set of primitive ideals in an arbitrary ring, Proc. Nut. Acad. Sci. U.S.A., 31 (1945), pp. 333-338. 35. I. COHEN-ASEIDENBERO, ideals and integral independence, Bull. Prime Amer. Math. SOC., (1946), pp. 252-261. 52 36. P. SAMUEL, notion de multiplicitt en Algkbre et en Gtomttrie algibriLa que, J. de Math., (9), 30 (1951), pp. 159-274. 37. A. WEIL, Fibre-sjaces in Algebraic Geometry (Notes by A. Wallace), Chicago Univ., 1952. 38. J. P. SERRE: (a) Faisceaux algtbriques cohkrents, Ann. of Math., 61 (1955), pp. 197-278; (b) Gtomktrie algtbrique et gtomttrie analytique, i n n . Iki.-Fourier,6 (1956), pp. 142. 39. A. GROTHENDIECK, l?ltments de gometrie algibnque, Publ. math. Inst. Htes Et. Scient., 1960.

INDEX OF NOTATION

The reference numbers indicate the chapter, section and sub-section (or exercise) in that order.
1, (E a set), U .V, UV (U, V additive subgroups), a0 (a an ideal) : Preliminary conventions of Chapter I E:F: 1.2.10 A[S-l], a/s (A a ring, S a subset of A, a E A, s a product of elements of S) : 11.2.1 :i 11.2.1 S-lA, A, (S a multiplicative subset, p a prime ideal): 11.2.1 M[S-l], mls, (M an A-module, S a subset of A, m E M, s a product of elements of S) : 11.2.2 S-M, M, (Man A-module, S a multiplicative subset of A, p a prime ideal of A) :11.2.2 S-lu, uD ( u an A-module homomorphism): 11.2.2 r(a) (a an ideal) : 11.2.6 V(M), V(f) (Ma subset of the ring A, f E A) : 11.4.3 Spec(A): 11.4.3 X (f;A,X = Spec(A)): 11.4.3 , 3(Y) (Y a subset of Spec(A)): 11.4.3 (h a ring homomorphism): 11.4.3 Supp(M) (M an A-module) : 11.4.4 A,, M,, u, (A a ring, M an A-module, u an A-homomorphism,f E A) : 11.5.1 rg,(P) (P a projective module) : 11.5.3 rg(P) (P a projective module): 11.5.3 P(A), cl(M) (A a ring, M a projective A-module of rank 1) : 11.5.4 &, B(A) : 11.5.7 det(u), xu (u an endomorphism of a projective module of rank n) : 11.5. Ex. 9 A(d),M(d*k), (A a graded ring, M a graded A-module) : 111.1.3 Mcd) A(,,), M@) a graded ring, p a graded prime ideal of A, M a graded A-module) : (A 111.1.4

i i

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607

INDEX OF NOTATION

INDEX OF NOTATION

gr,(G), gr(G) (G a filtered group) : 111.2.3 gr(h) (h a homomorphism compatible with the filtrations) : 111.2.4 Z (n an integer > 1) : 111.2.12 , 8 :111.2.13 A{X,, . . .,X,] (A a linearly topologized ring) : 111.4.2 f ( b , , . . .,b,,) ( f a restricted formal power series) : 111.4.2 f g, Mi, Mf(X), Jf(X),X, 1 (f, g systems of formal power series, g withJt, , out constant term) : 111.4.4 f(x) (f a system of formal power series, x a system of topological nilpotent elements) : 111.4.5 (m an ideal) : 111.4.5 m AssA(M),Ass(M) (M an A-module) : IV. 1.1 Ass,(M): IV.l. Ex. 17 A9 (A an algebra, 9 a group operating on A) : V.1.9 gZ(p'), gz,AZ(p'), AZ (3 group operating on a ring A', p' a prime ideal of a A') : V.2.2 ST($), ,AT($), AT (9 group operating on a ring A', p' a prime ideal of 9 a A ) : v.2.2 KZ(p'),KZ,KT(p'),KT (K the field of fractions of an integrally closed domain A, p' a prime ideal of the integral closure of A in a quasi-Galois extension of K) : V.2.3 Y D (where p = (PI, . . . ,pm), the pi being integers 2 0) : V.3.1 m(A), K(A),U(A) (A a local ring) : VI R, a:VI.2.1 +a: VI.3.1 F A , vA: VI.3.2 a(M) (M a major set) : VI.3.5 h(G) (G a totally ordered group) : VI.4.4 Yv(v a valuation) : VI.5.2 e(v'/v), e(A/A), e(L/K) : VI.8.1 f ( u ' / v ),f(A/A),f(L/K) : VI.8.1 c(G, H) (G a totally ordered group, H a subgroup of G of finite index) : VI.8.4 E(u'/u) (v a valuation, v' an extension of v) : VI.8.4 mod@), mod,(x) (K a non-discrete locally compact field, x E K) : VI.9.1 r(G) (rational rank of a commutative group) : VI.10.2 d(K/K), s(v'/v), r(v'/v) (v a valuation on K, v an extension of v to a trans' cendental extension K of K) : VI.10.3 I(A), D(A) (A an integral domain): VII.l.l a < b, div(a), div(x) (a, b fractional ideals, x an element of the field of fractions): VII.l.l ii (a a fractional ideal): VII.l.l dl < d, (dl,d, divisors) : VII.l.l
0

6 : a ( 0 , b fractional ideals) : VII. 1.1 J(A) (A an integral domain) : VII. 1.2 P(A) (A a Krull domain) : VII.I.3 pen) (p a divisorial prime ideal): VII.1.4 up (p a prime ideal of height 1 in a Krull domain) : VII.l.10 F(A), C(A) (A a Krull domain): VII.1.10 e(V/p) (p E P(A), ? E P(B), A and B Krull domains, A c B, V n A = p ) : , VII. 1.10 i (homomorphism from D(A) to D(B), or of C(A) to C(B)): VII.1.10 z7 (homomorphism from C(A) to C(B)): VII.l.10 A , A,, A(K) (rings of restricted adkles) : VII.2.4 V*, V*(A) (A an integral domain) : VII.3.2 M* (dual lattice of a lattice M) : VII.4.2 lp(T), x(T) (T a torsion A-module, p a prime ideal of height 1) : VII.4.5 F(A), T(A), cl(M) : VII.4.5 x(M, M') (M, M' lattices) : VII.4.6 c(d) (d a divisor) : VII.4.7 c(M), r(M), y(M) (M a lattice): VII.4.7 VIP, eB)/p, v , p , f ( ? 3 / ~(A c B Krull domains such that B is a finite A-algebra f ) P E P(A), V E P(B), V n A = p) : VII.4.8 N B / A , N, &/A: VII.4.8

608

609

INDEX OF TERMINOLOGY

INDEX OF TERMINOLOGY

Canonical decomposition of a place: VI.2.3

- factorization of a valuation: VI.3.2

- homomorphism of the decomposition group of a prime ideal

The reference numbers indicate the chapter, section and sub-section (or exercise) in that order. Adtle, restricted, principal restricted adtle : VII.2.4 m-adic filtration: 111.2.1 -topology: 111.2.5 n-adic integers: 111.2.12 Algebra, Azumaya: 11.1.7 - finitely generated : 111.1.1 - integral, finite, over a ring: V. 1.1 Algebraic closure of a field in an algebra : V. 1.2 Algebraically closed field in an algebra: V. 1.2 - dependent, independent, elements: 111.1.1 -free, related, family: 111.1.1 Almost all p E P(A) (property valid for) : VII.4.3 -nilpotent endomorphism: IV. 1.4 Approximation theorem for absolute values : VI.7.3 -theorem for valuations: VI.7.2 Artin-Rees Lemma: 111.3.1 Associated (filtered module) with a graded module: 111.2.1 - (filtered ring) with a graded ring: 111.2.1 - (filtration) with a graduation: 111.2.1 .~ - (graded homomoGhism) with a homomorphism compatible with filtrations: 111.2.4 - (graded module) with a filtered module: 111.2.3 - (graded ring) with a filtered ring: 111.2.3 - (mapping) with a ring homomorphism: 11.4.3 - (prime ideal) with a module: IV. 1.1 -ring, place, valuation: VI.3.3 610

!)' of A' into the automorphism group of A'/!)': V.2.2 Class, divisor, attached to a finitely generated module : VII.4.7 Classes, divisor (monoid of) : VII.1.2 Closure, algebraic, of a field in an algebra : V. 1.2 - integral, of an integral domain : V. 1.2 - integral, of a ring in an algebra: V.1.2 Commutative diagram: I. 1.2 Compatible (filtration) with a ring structure, module structure: 111.2.1 - (homomorphism) with filtrations: 111.2.4 Complete system of extensions of a valuation: VI.8.2 Completely integrally closed domain : V. 1.4 Component, irreducible (of a topological space) : 11.4.1 Conditions, Hensel's: 111.4.5 Conductor of a submodule : V. 1.5 Content of a polynomial over a pseudo-Bezoutian domain: VII. 1.Ex.23 - of a torsion module: VII.4.5 Criterion, Eisenstein's irreducibility: VII.3.Ex.20

Decomposition, canonical, of a place : VI.2.3 - complete, of a prime ideal: V.2.2 - field of a prime ideal: V.2.2 - group, ring, of a prime ideal: V.2.2 - of an ideal in a Dedekind domain into prime factors: VII.2.3 - primary: IV.2.2 and Ex.20 -reduced primary: IV.2.3 and Ex.20 Decreasing filtration: 111.2.1 Dedekind domain: VII.2.1 Defined (topology) by a filtration: 111.2.5 Defining ideal: 111.3.2 Degree, residue class, of one valuation over another: VI.8.1 Dependence, integral (equation of) : V. 1.1 Derived (module filtration) from a ring filtration: 111.2.1 Diagram, commutative: I. 1.2 - snake : I. 1.4 Discrete filtration: 111.2.1 -valuation: VI.3.6 Distinguished polynomial : VII.3.8 Divisor, principal divisor: VII.l. 1 - determinantal: VII.4.Ex.11 -finitely generated: VII.l.Ex.11
Gl1

INDEX OF TERMINOLOGY INDEX OF TERMINOLOGY

Divisorial fractional ideal : VII. 1.1 Divisors, equivalent: VII. 1.2 Domain, Bezoutian (or Bezout) : VII.l.Ex.20 - completely integrally closed : V. 1.4 - Dedekind: VII.2.1 - factorial: VII.3.1 - integrally closed : V. 1.2 - integrally closed, of finite character: VII. 1 .Ex.25, 26 and 28 - integrally Noetherian: V.3.Ex.6 - Krull: VII.1.3 - local integral, of dimension 1 : VI.4.Ex.7 - Pruferian (or Prufer): VII.2.Ex.12 - pseudo-Bezoutian: VII. 1.Ex.21 - pseudo-principal: VII. 1.Ex.21 - pseudo-Pruferian: V11.2.E~. 19 - regularly integrally closed: VII. 1.Ex.30 Dominating (local ring) a local ring: VI. 1.1 Dual, algebraic toric, of a module: VI.5.Ex.9 -lattice: VII.4.2 - topological toric: VI.5.Ex.10 Element, topologically nilpotent: 111.4.3 Elements, algebraically dependent, independent: I I I. 1. I - strongly relatively prime: 111.4.1 Endomorphism, almost nilpotent: IV. 1.4 Equivalent divisors: VII. 1.2 -valuations: VI.3.2 Essential graded ideal: 111.1.4 -valuations: VII.1.4 Euclidean ordered field: VI.2.Ex.4 Exhaustive filtration: 111.2.1 Extension, quasi-Galois: V.2.2 Factor, invariant: V11.4.E~. 1 and 14 1 Factorial domain: VII.3.1 Factorization, canonical, of a valuation : VI.3.2 Faithfully flat module: 1.3.1 Family, algebraically free, related : 111.1.1 -formally free: 111.2.9 Field, algebraically closed in an algebra : V. 1.2 -decomposition: V.2.3 -projective: VI.2.1 - residue, of a local ring: 11.3.1

Field, residue, of a place: VI.2.3 - residue, of a valuation: VI.3.2 -value, of a place: VI.2.2 Filtered group, ring, module: 111.2.1 Filtration, m-adic: 111.2.1 - associated with a graduation: 111.2.1 - compatible with a ring structure, module structure: 111.2.1 -discrete: 111.2.5 - m-good: 111.3.1 - increasing, decreasing, separated, exhaustive : 111.2.1 - induced, product, quotient: 111.2.1 -module, derived from a ring filtration: 111.2.1 -trivial: 111.2 Finite algebra over a ring : V. 1.1 - (place) at an element: VI.2.2 Finitely generated algebra: 111.1.1 Finitely presented: 1.2.8 Flat for M, M-flat (module) : 1.2.2 -module: 1.2.3 Formally free family: 111.2.9 Fractional ideal: VII.I.1 Function, order: 111.2.2 Gaussian integer: V. 1.1 Gausss lemma: VII.3.5 Gelfand-Mazur Theorem : V1.6.4. Generated by a subset (multiplicative subset) : 11.2.1 Generators, formal system of: 111.2.9 m-good filtration: 111.3.1 Group, decomposition : V.2.2 -filtered: 111.2.1 -inertia: V.2.2 -of classes of invertible modules: 11.5.7 - of operators, locally finite : V. 1.9 - operating on a ring: V. 1.9 -order, of a valuation: VI.3.2 -ordered, of height n, of height + co : VI.4.4 Height < 1 (prime ideal of) : VII. 1.6 - of an ordered group, of a valuation : VI.4.4 Henselian ring : III.4.Ex.3 Hensels conditions: 111.4.5 - Theorem: 111.4.3

612

613

INDEX OF TERMINOLOGY

Homomorphism, canonical, of the decomposition group of a prime ideal p'

- from A' to the automorphism group of A'/$: V.2.2

-compatiblewith filtrations: 111.2.4

-graded, associated with a homomorphism compatible with filtrations :

111.2.4

- local: 11.3.1 -pseudo-injective,

VII.4.4

pseudo-surjective,

pseudo-zero,

pseudo-bijective : Invertible fractional ideal: 11.5.7 -submodule: 11.5.6 Irreducible component: 11.4.1 -set: 11.4.1 -space: 11.4.1 Isolated subgroup: VI.4.2 Jacobson ring: V.3.4

Ideal, determinantal: VII.4.Ex.10 and 14 - essential graded : 111.1.4 - immersed prime: IV.2.3 - integral, fractional ideal : VII. 1.1 -invertible fractional: 11.5.7 - lying above an ideal : V.2.1 -minimal prime: 11.2.6 - of a place: VI.2.3 - of a valuation: VI.3.2 -prime: 11.1.1 - prime, associated with a module : IV. I. 1 - prime, decomposing completely: V.2.2 - prime, of height 6 1 : VII. 1.6 -primary, p-primary: IV.2.1 and Ex.20 - unramified: V.2.Ex.18 and 19 Ideally Hausdorff module: 111.5.1 Ideals, relatively prime: 11.1.2 Identity, Cauchy's: VII.3.Ex.18 Immersed prime ideal: IV.2.3 Improper valuation: VI.3.1 Increasing filtration: 111.2.1 Independent valuation rings: VI.7.2 -valuations: VI.7.2 Index, initial, of a subgroup of an ordered group, initial ramification index ofa valuation: VI.8.4 -ramification: VI.8.1 Induced filtration: 111.2.1 Induction, Noetherian (principle of) : 11.4.2 Inertia field: V.2.3 -ring, group: V.2.2 Initial ramification index: VI.8.4 Integer, algebraic: V. 1.1 - Gaussian : V. 1.1 -over a ring: V.l.l
614

615

INDEX OF TERMINOLOGY

INDEX OF TERMINOLOGY

Module graded, associated with a filtered module: 111.2.3

- ideally Hausdorff 111.5.1 - of fractions defined by a subset of a ring: 11.2.2

-projective, of rank n: 11.5.3 - pseudo-coherent: 1.2.Ex.11 - pseudo-zero: VII.4.4 Monoid, divisor class : VII. 1.2 Morphism for laws of composition not everywhere defined: VI.2.1 Multiplicative subset: 11.2.1 Nilradical of a ring: 11.2.6 Noetherian space: 11.4.2 Non-degenerate submodule : 11.5.5 Normalization lemma: V.3.1 Normed discrete valuation: VI.3.6 Nullstellensatz: V.3.3 Order group of a valuation: VI.3.2

Pseudo-injective, pseudo-surjective, pseudo-zero, pseudo-bijective (homomorphism) : VII.4.4 Pseudo-isomorphism: VII.4.4 Pseudo-zero module: VII.4.4 Quasi-Galois extension: V.2.2 Quotient filtration: 111.2.1 Radical of an ideal: 11.2.6 Rank at p of a projective module: 11.5.3 -of a projective module: 11.5.3 - rational, of a commutative group : VI. 10.2 -residue: VI.8.5 Rational rank of a commutative group: VI.10.2 Reduced order: VII.3.8 - primary decomposition: IV.2.3 - ring: 11.2.6 -series: VII.3.8 Reflexive lattice: VII.4.2 Related local rings: VI.l.Ex.1 Relatively prime ideals: 11.1.2 Representative system of extremal elements: VII.3.3 Residue class degree of a valuation: VI.8.1 --field: 11.3.1 - rank of a valuation: VI.8.5 Resolution, finite free, of a module: VII.4.7 Restricted adkle: VII.2.4 - formal power series: 111.4.2 Ring, absolutely flat: 1.2.Ex.17 - coherent (left, right) : 1.2.Ex.17 - decomposition: V.2.2 -filtered: 111.2.1 - filtered, associated with a graded ring: 111.2.1 - graded, associated with a filtered ring: 111.2.3 - inertia: V.2.2 - integrally closed in an algebra : V. 1.2 -Jacobson: V.3.4 - linearly topologized: 111.4.2 - local: 11.3.1 - local, dominating a local ring: VI. 1.1 - local, of A at p, of p ( p a prime ideal) : 11.3.1 - of a place: VI.2.3 - of a valuation: VI.3.2
617

- of an element for a valuation: VI.3.2 - reduced, of a formal power series: VII.3.8

Ordered pair of rings with the linear extension property: 1.3.7 Ostrowskis theorem: VI.6.4 Place, finite at x : VI.2.2 -of a field: VI.2.2 -trivial: VI.2.2 Point, generic, of an irreducible space: II.4.Ex.2 Polygon, Newton: VI.4.Ex.11 Polynomial, distinguished: VII.3.8 -minimal : V. 1.3 Preparation theorem: VII.3.8 Presentation of a module, - finite: 1.2.8 n-presentation: 1.2.Ex.6 Presented, finitely (module) : 1.2.8 Primary decomposition: IV.2.2 and Ex.20 - p-primary, ideal, submodule: IV.2.1 and Ex.20 Prime ideal: 11.1.1 - spectrum: 11.4.3 Principal divisor: VII. 1.1 -restricted adde: VII.2.4 Principle of Noetherian induction: 11.4.2 Product filtration: 111.2.1 Projective field: VI.2.1
616

INDEX OF TERMINOLOGY

INDEX OF TERMINOLOGY

Ring of fractions defined by a subset of a ring: 11.2.1 -reduced: 11.2.6 - semi-local: 11.3.5 - total, of fractions: 11.2.1 - unramified: V.2.Ex.19 -valuation, valuation ring of a field : VI. 1.1 - Zariski: 111.3.3 Rings, independent valuation: VI.7.2 Saturation of a submodule with respect to a multiplicative subset (with respect to a prime ideal) : 11.2.4 Semi-local ring: 11.3.5 Series, reduced: VII.3.8 - restricted formal power: 111.4.2 Set, irreducible: 11.4.1 -major, in a totally ordered group: VI.3.5 Space, irreducible: 11.4.1 - Noetherian: 11.4.2 Special topology: 11.4.3 Spectrum, prime, of a ring: 11.4.3 Strongly Laskerian module: IV.2.Ex.28 - primary submodule: IV.2.Ex.27 - relatively prime elements: 111.4.1 Subgroup, isolated, of an ordered group: VI.4.2 Submodule, invertible : 11.5.6 - non-degenerate: 11.5.5 - primary, p-primary: IV.2.1 Subset, multiplicative, of a ring: 11.2.1 - multiplicative, generated by a subset: 11.2.1 -saturated multiplicative: 11.2.E~. 1 Support of a module: 11.4.4 System, complete, of extensions of a valuation: VI.8.2 - formal, of generators: 111.2.9 - representative, of extremal elements: VII.3.3 Theorem, approximation, for absolute values: VI.7.3 - approximation, for valuations: VI.7.2 - Gelfand-Mazur: VI.6.4 - Hensel's: 111.4.3 - Hilbert's zeros (Nullstellensatz): V.3.3 - Krull's: 111.3.1 - Krull-Akizuki: VII.3.5 - Ostrowski's: VI.6.3
618

Theorem, preparation: VII.3.8 - Stickelberger's : VI.8.Ex. 18 - Zariski's Principal: V.3.Ex.7 Topologically nilpotent element: 111.4.3 Topology defined by a filtration: 111.2.5 -spectral: 11.4.3 - Zariski: 11.4.3 Transporter: 1.2.10 Trivial filtration: 111.2.1 -place: VI.2.2 Ultrametric absolute value: VI.6.1 Uniformizer for a discrete valuation: VI.3.6 Unramified valuation: VI.8.1 Valuation, valuation of an element x : VI.3.1 and 2 -discrete, normed discrete valuation: VI.3.6 - essential: VII.1.4 and Ex.26 -improper: VI.3.1 - ring: VI.l.l - unramified: VI.8.1 L'aluations, equivalent: VI.3.2 - independent: VI.7.2 Value field of a place: VI.2.2 - ultrametric absolute: VI.6.1 Weakly associated (prime ideal) with a module: IV. 1.Ex. 17 Zariski, ring: 111.3.3 -topology: 11.4.3

619

TABLE OF IMPLICATIONS
semi-local ring

local ring

integrally closed domain

+=== valuation ring

valuation ring of height 1

completely integrally closed domain

+ -

Krull domain

integral Noetherian + ring

I n the case of Noetherian rings this table reduces to the following : integrally closed domain semi-local ring

Dedektnd domain

factorial domain

local ring

principal ideal domain +===

discrete valuation ring

62 1

TABLE OF INVARIANCES

-I

TABLE OF INVARIANCES - I
S-lA
A a factorial domain

A
YES VII, 9 3, Th. 2

,
,

NO 1, Ex. !

YES VII, 8 3, Prop. 3

NO VII, 3, Ex. 9

NO Alg. VII, 1, Ex. 12

? :YES if L is separable ; 7 , s 1, Cor. 1 :o Prop. 18)

A a Noetheriar
integrally closed domain

YES NO YES YES 1, Ex. ! J , 1, Cor. T , 3 1, Cor. 1 v, 1, to Prop. 16 :o Prop. 13 Prop. 14

I n this table and the following, each row corresponds to a property a ring may possess and each column to a ring derived from the ring A (p denoting a prime ideal of A, S a multiplicative subset of A not containing 0 and A the integral closure of A in a finite algebraic extension L of the field of fractions K of A). The ring A is assumed to possess the property indicated in the row; the word yes) (resp. no), ?) a t the intersection of this row and a column means that it is true (resp. false, still unknown) that every ring constructed from A by the process indicated by the column has the property indicated by the row. The references indicate the place in this Book or the Book Algebra where the result in question is proved, and similarly for the two following works where results not mentioned in the text or in the exercises are concerned:
(1) A. GROTHENDIECK, I?liments de gomitrie algibrique, Chapter I V (Publ. Inst. Htes etudes Scient., nos. 20 and 24, 1964). (2) M. NAGATA, Local rings, Interscience (New York), 1962.

A a field or a discrete valuation ring A a field or a valuation ring of height 1 A a valuation ring
A a complete valuation ring

YES VI, 3, no. 6

YES VE, 3 3, no. 6

NO Alg. VII, 8 I , Ex. 1

NO Alg. VII, 1, Ex. 1

NO VIL 3 1, Ex. 9
NO VII, 3 1, Ex. 9

NO

v, 2,
Ex. 6

YES VI, 4

YES VI, 4, Prop. 1

YES VI, 6 1, Th. 1 YES VI, 7, Prop. 3 YES VII, 1, Prop. 6

NO

v, 2,
Ex. 6

YES VI, 1, Th. 1 YES VI, 5 , Prop. 1

-__

NO Alg. VII, 1, Ex. 1

NO Alg. VII, 1, Ex. 1
YES VII, 8 1, Prop. 13

NO

v, 4 2,
Ex. 6

NO VII, 1, Ex. 9
YES VII, 1, Ex. 9

NO

v, 2,
Ex. 6 YES VII, 1, Prop. 12

A a Krull domain

NO v , 1, Ex. 9

Alp A a principal ideal domain A a Dedekind domain

YES

S-lA
YES

XI1
NO Alg. VII, 1, Ex. 1 NO Alg. VII, 1, Ex. 1
NO

A
NO Alg. VII, 1, Ex. 12
YES VII, 8 2, Cor. 2 to Prop. 9)

YES

YES

NO VII, 8 1, Ex. 9

622

623

TABLE OF INVARIANCES - I1

INVARIANCES UNDER COMPLETION

I n this table a denotcs an ideal of A distinct from A, S a multiplicative subset of A and A the integral closure of A which is assumed to be an integral domain.
A
NO

S-lA

~_____

XI1

A local
____-

YES

NO 11, 9 2, Prop. 11 NO 11, 2, Prop. 11

____-

3
NO

YES Alg. IV, 5, Prop. 4

_ _

v, 4 2,
Ex. 20
?
-

(a) Let A be a ring and rn an ideal of A distinct from A. Let A be given the madic topology and let A denote its Hausdorff completion.

A local and complete

YES if ,2 is . Noetherian (111, 3, Prop. 6) YES

YES 111, 4 2, Prop. 6

__

A
A Hausdorff A Noetherian A local A semi-local
YES YES (111, 9 3, Proposition 8 ) YES (111, 4 2, Proposition 19) YES (111, $ 2 , Corollary to Iroposition 19) YES (111, 9 3, Proposition 8)
in

YES if A is Noetherian ( 1)

A semi-local

NO IV, 4 2 , Ex. 23(c)

NO

1 YES YES if A is Alg. IV, 5, Prop. 4 Noethcrian v, 2, Ex. 7

A a Zariski ring

(13) Suppose now that A is local and Noetherian and that ideal.

is its maximal

A semi-local and completi

>

YES if A is Noctherian (111, 3, Prop. 6) YES Alg. VIII, $ 2 , Prop. t

NO IV, 4 2, Ex. 23(c)

NO

YES 111, 2, Prop. 6

~NO v, 1, Ex. 21 YES if A is locally complete (1) A is always a Krull domain (2)

A
A an integral domain A an integrally closed domain A a discrete valuation ring A rcduced
N O (111, 3 3, Exercise 15 (1))) NO (2) YES for excellent rings (1) YES (VI, 9 5 , Proposition 5) YES for excellent rings (1)

A Noetherian

YES 11, 9 2, Cor. 2 to Prop. 10

YES 111, 3 2, Cor. 1 to Th. 2

YES 111, 2, Cor. 6 to Th. 2

NO (2)

624

625