Bourbaki

§ 6. Dimension of graded rings

In this paragraph, H denotes a graded ring of type Z\mathbf{Z}, with positive degrees, and (Hn)n∈Z(H_n)_{n \in \mathbf{Z}} its graduation; thus one has Hn={0}H_n = \{0\} for n<0n < 0.

1. Filtered ring associated with a graded ring

For every n∈Zn \in \mathbf{Z}, put H≥n=∑i≥nHiH_{\geq n} = \sum_{i \geq n} H_i. One has H=H≥0H = H_{\geq 0}; the H≥nH_{\geq n} are graded ideals of H. Let S denote the multiplicative subset 1+H≥11 + H_{\geq 1} formed by the elements of H whose component of degree 0 is equal to 1, and consider the ring of fractions S−1HS^{-1}H. Let us identify H with a subring of its completion H^=∏nHn\hat{H} = \prod_{n} H_n (III, § 2, No. 12, Example 1); since the elements of S are invertible in H^\hat{H} (III, § 2, No. 13, Lemma 3), S−1HS^{-1}H is identified with a subring of H^\hat{H} containing H. For s∈Ss \in S and h∈H≥nh \in H_{\geq n}, the element s−1h−hs^{-1}h - h of H^\hat{H} belongs to ∏i≥nHi\prod_{i \geq n} H_i; consequently one has S−1H≥n=(S−1H)∩∏i≥nHiS^{-1}H_{\geq n} = (S^{-1}H) \cap \prod_{i \geq n} H_i.

From this one deduces:

Proposition 1

a) The ideals S−1H≥nS^{-1}H_{\geq n} form an exhaustive and separated filtration of the ring S−1HS^{-1}H.

b) The canonical homomorphism of HH into S−1HS^{-1}H induces for each nn an isomorphism unu_n of HnH_n onto S−1H≥n/S−1H≥n+1S^{-1}H_{\geq n}/S^{-1}H_{\geq n+1}; the unu_n are the homogeneous components of an isomorphism of graded rings of HH onto the graded ring associated with S−1HS^{-1}H, filtered by the S−1H≥nS^{-1}H_{\geq n}.

Remark 1

An element h/sh/s of S−1HS^{-1}H with h∈H,s∈Sh \in H, s \in S, is invertible if and only if the component of degree 0 of hh is invertible in H0H_0. Consequently, if the ring H0H_0 is local, the ring S−1HS^{-1}H is local and the canonical injection H0→S−1HH_0 \to S^{-1}H induces an isomorphism of the residue fields.

Remark 2

Suppose that HH is generated by H0H_0 and H1H_1; then for every nn, one has Hn+1=H1.HnH_{n+1} = H_1.H_n, hence H≥n+1=H1.H≥nH_{\geq n+1} = H_1.H_{\geq n} and S−1H≥n+1=H1.S−1H≥nS^{-1}H_{\geq n+1} = H_1.S^{-1}H_{\geq n}. It follows that the filtration (S−1H≥n)(S^{-1}H_{\geq n}) of S−1HS^{-1}H is the S−1H≥1S^{-1}H_{\geq 1}-adic filtration.

Example 1

\* Let pp be a graded prime ideal of C[X0,...,Xn]\mathbf{C}[X_0, ..., X_n] different from the ideal generated by the XiX_i; let VV be the algebraic subvariety of Pn(C)\mathbf{P}^n(\mathbf{C}) defined by pp and CC the algebraic subvariety of Cn+1\mathbf{C}^{n+1} defined by pp. Then CC is the cone with base VV, H=C[X0,...,Xn]/pH = \mathbf{C}[X_0, ..., X_n]/p is the affine algebra of CC and S−1HS^{-1}H the local ring of the cone CC at its vertex. \* 2) Let AA be a local ring and aa an ideal of AA distinct from AA. Then H=⨁nan/an+1H = \bigoplus_n a^n/a^{n+1} is a graded ring such that H0=A/aH_0 = A/a is local; it is generated by H0H_0 and H1H_1. The ring S−1HS^{-1}H is therefore local and the filtration (S−1H≥n)(S^{-1}H_{\geq n}) is the S−1H≥1S^{-1}H_{\geq 1}-adic filtration. It should be noted that in general the rings AA and S−1HS^{-1}H are not isomorphic. \* In particular an algebraic variety is not in general locally isomorphic in a neighbourhood of a point to its tangent cone at that point. \

2. Dimension and chains of graded ideals

In this number, we shall denote by dimgr(H) the least upper bound of the lengths of chains of graded prime ideals of HH; analogously, if pp is a graded prime ideal of HH, we shall denote by htgr(p) the least upper bound of the lengths of chains of graded prime ideals of HH of which pp is the greatest element. If pp is a graded prime ideal of HH, we have p∩S=∅p \cap S = \varnothing; for otherwise indeed pp would contain an element whose component of degree 0 would be equal to 1, hence would contain 1 since it is graded. The mapping p↦S−1pp \mapsto S^{-1}p from the set of graded prime ideals of HH into the set of prime ideals of S−1HS^{-1}H is therefore injective and increasing (II, § 2, no. 5, prop. 11); consequently, taking account of § 1, no. 3, prop. 6 and corollary to prop. 7, we have:

Proposition 2

a) We have dim⁡gr(H)≤dim⁡(S−1H)≤dim⁡(H)\dim_{\mathrm{gr}}(H) \leq \dim(S^{-1}H) \leq \dim(H). b) For every graded prime ideal pp of HH, we have ht⁡gr(p)≤ht⁡(S−1p)=ht⁡(p)\operatorname{ht}_{\mathrm{gr}}(p) \leq \operatorname{ht}(S^{-1}p) = \operatorname{ht}(p).

For every ideal aa of HH, let us denote by agra^{\mathrm{gr}} the greatest graded ideal contained in aa; we have agr=∑n(a∩Hn)a^{\mathrm{gr}} = \sum_n (a \cap H_n).

Lemma 1

a) If pp is a prime ideal of HH, pgrp^{gr} is a prime ideal.

b) Every maximal element of the set of graded ideals of HH distinct from HH is a maximal ideal of HH which contains H≥1H_{\geq 1}.

c) Every minimal prime ideal of HH is graded.

a) This follows from III, § 1, no. 4, prop. 4.

b) Let mm be a graded ideal of HH distinct from HH. Then one has

m⊂(m∩H0)+H≥1≠H. m \subset (m \cap H_0) + H_{\geq 1} \neq H.
If mm is maximal, then one has m=m0+H≥1m = m_0 + H_{\geq 1}, where m0m_0 is a maximal ideal of H0H_0, whence bb.

c) Let pp be a minimal prime ideal of HH. Since pgrp^{gr} is prime by aa and contained in pp, one has p=pgrp = p^{gr}, whence cc.

Lemma 2

Let pp and qq be prime ideals of HH such that q⊂pq \subset p and q≠pq \neq p. If qgr=pgrq^{gr} = p^{gr}, then qq is graded, pp is not, and ht(p/q)=1ht(p/q) = 1.

\* Remark 1. --- Let us take up again the notation of example 1 of No. 1. Lemma 2 implies that, if two irreducible subvarieties YY and ZZ of Cn+1\mathbf{C}^{n+1} have the same projecting cone and if Z⊂YZ \subset Y and Z≠YZ \neq Y, then YY is the projecting cone of ZZ, and ZZ is of codimension 1 in YY. \*

Replacing HH by H/qgrH/q^{gr}, one is reduced to the case where qgr={0}q^{gr} = \{0\}. Then HH is an integral domain (lemma 1, aa), pgr=0p^{gr} = 0, and it is a matter of proving that ht(p)≤1ht(p) \leq 1: this will indeed imply that ht(q)=0ht(q) = 0, hence that q={0}q = \{0\}. Since pgr={0}p^{gr} = \{0\}, one has p∩Hn={0}p \cap H_n = \{0\} for every nn, and pp is disjoint from the multiplicative subset T=⋃(Hn−{0})T = \bigcup (H_n - \{0\}). The ring HpH_p is therefore isomorphic to a ring of fractions of T−1HT^{-1}H, and one has therefore

ht(p)=dim⁡(Hp)≤dim⁡(T−1H) ht(p) = \dim(H_p) \leq \dim(T^{-1}H)
(§ 1, No. 3, prop. 6 and 7). But, by lemma 4 of V, § 1, No. 8, T−1HT^{-1}H is a field or is isomorphic to a ring K[X,X−1]K[X, X^{-1}], where KK is a field; hence one has dim⁡(T−1H)≤1\dim(T^{-1}H) \leq 1 and ht(p)≤1ht(p) \leq 1, which was to be proved.

Proposition 3

Let pp be a prime ideal of HH. If p≠pgrp \neq p^{gr}, one has ht(pgr)=ht(p)−1ht(p^{gr}) = ht(p) - 1.

By Lemma 1, aa, the ideal pgrp^{gr} is prime and contained in pp, hence ht(pgr)≤ht(p)−1ht(p^{gr}) \leq ht(p) - 1. Since the proposition is trivial when ht(pgr)=+∞ht(p^{gr}) = + \infty, one may suppose that ht(pgr)<+∞ht(p^{gr}) < + \infty. Let us prove the inequality ht(p)≤ht(pgr)+1ht(p) \leq ht(p^{gr}) + 1 by induction on ht(pgr)ht(p^{gr}). It is enough to prove that, for every prime ideal qq contained in pp and distinct from pp, one has ht(q)≤ht(pgr)ht(q) \leq ht(p^{gr}). Let us distinguish two cases according as qgr≠pgrq^{gr} \neq p^{gr} or qgr=pgrq^{gr} = p^{gr}. If qgr≠pgrq^{gr} \neq p^{gr}, then one has ht(qgr)<ht(pgr)ht(q^{gr}) < ht(p^{gr}); one has

ht(q)≤ht(qgr)+1, ht(q) \leq ht(q^{gr}) + 1,
by the induction hypothesis if q≠qgrq \neq q^{gr} and trivially if q=qgrq = q^{gr}; consequently, one has ht(q)≤ht(qgr)+1≤ht(pgr)ht(q) \leq ht(q^{gr}) + 1 \leq ht(p^{gr}), which was to be proved. If qgr=pgrq^{gr} = p^{gr}, then one has q=qgrq = q^{gr} by Lemma 2, hence ht(q)=ht(qgr)≤ht(pgr)ht(q) = ht(q^{gr}) \leq ht(p^{gr}), whence again the desired conclusion.

Theorem 1

Suppose that H is noetherian.

a) Every chain of graded prime ideals of H, saturated as a chain of graded prime ideals, is saturated as a chain of prime ideals.

b) For every graded prime ideal p of H, one has htgr(p) = ht(S^{-1}p) = ht(p).

c) One has dimgr(H) = dim(S^{-1}H) = dim(H).

To prove a), it is enough to prove that, if p and q are two distinct graded prime ideals of H such that q ⊂ p and every graded prime ideal contained between q and p is equal either to p or to q, then ht(p/q) = 1. Passing to the quotient by q, one is reduced to the case where q = {0}. It is therefore a matter of proving that, if H is an integral domain, and if p is an ideal of H, minimal among the graded prime ideals ≠ {0}, one has ht(p) = 1. Now let a be a nonzero homogeneous element of p, and let r be a prime ideal of H such that a ∈ r ⊂ p and minimal for these properties (II, § 2, No. 6, Lemma 2). Since r^{gr} is prime (Lemma 1, a)) and nonzero, one has r^{gr} = p, hence p = r. Since H is an integral domain and noetherian, p has height 1 (§ 3, No. 1, Prop. 1), whence a).

Let us prove b). Let p be a graded prime ideal of H. One has

htgr(p)≤ht(S−1p)≤ht(p) \text{htgr}(p) \leq \text{ht}(S^{-1}p) \leq \text{ht}(p)

(Prop. 2); let us prove the inequality ht(p) ≤ htgr(p) by induction on htgr(p). If htgr(p) = 0, p is minimal among the graded prime ideals, hence minimal (Lemma 1, c)), and one has ht(p) = 0. Suppose that one has htgr(p) > 0 and let us prove the inequality ht(q) ≤ htgr(p) − 1 for every prime ideal q contained in p and distinct from p. Let us distinguish two cases. If q is graded, one concludes by the induction hypothesis. If q is not graded, then one has q^{gr} ≠ p, hence ht(q^{gr}) ≤ htgr(q^{gr}) by the induction hypothesis, whence ht(q) ≤ htgr(q^{gr}) + 1 by Prop. 3; it remains to prove the inequality htgr(q^{gr}) ≤ htgr(p) − 2; but if one had htgr(q^{gr}) = htgr(p) − 1, the chain q^{gr} ⊂ p would be saturated by a), which it is not since q^{gr} ≠ q ≠ p.

Finally let us prove c). One has dimgr(H) ≤ dim(S^{-1}H) ≤ dim(H) (Prop. 2), and it remains to prove dim(H) ≤ dimgr(H), or again ht(p) ≤ dimgr(H) for every prime ideal p of H. Let therefore p be a prime ideal of H. If p is graded, one has ht(p) = htgr(p) ≤ dimgr(H). If p is not graded, one has ht(p) = htgr(p^{gr}) + 1 by Prop. 3; let m be a maximal graded ideal of H containing p^{gr}; by Lemma 1, b), m is maximal, hence distinct from p^{gr}, and one has htgr(p^{gr}) + 1 ≤ htgr(m) ≤ dimgr(H), whence again ht(p) ≤ dimgr(H). This completes the proof.

Remark 2

There exist non-noetherian graded rings H such that dimgr(H) < dim(H) (p. 99, Exercise 1).

3. Dimension of graded modules

In this number, M denotes a graded H-module (of type Z\mathbf{Z}). Then S^{-1}M is an S^{-1}H-module, and if one puts M≥n=⨁i≥nMiM_{\geq n} = \bigoplus_{i \geq n} M_i, one sees as in No. 1 that the sequence of sets S−1M≥nS^{-1}M_{\geq n} is an exhaustive and separated filtration on

S−1MS^{-1}M and that the canonical mapping M→S−1MM \to S^{-1}M induces an isomorphism of MM onto the graded module ⨁nS−1M≥n/S−1M≥n+1\bigoplus_n S^{-1}M_{\geq n}/S^{-1}M_{\geq n+1}.

Lemma 3

Suppose that HH is generated by H0∪H1H_0 \cup H_1 and MM generated by ⨁i≤n0Mi\bigoplus_{i \leq n_0} M_i for a suitable integer n0n_0. Then the filtration (S−1M≥n)(S^{-1}M_{\geq n}) on S−1MS^{-1}M is good for the ideal S−1H≥1S^{-1}H_{\geq 1} of S−1HS^{-1}H.

One has, for n≥n0n \geq n_0, M≥n+1=H1⋅M≥nM_{\geq n+1} = H_1 \cdot M_{\geq n}, hence S−1M≥n+1=H1⋅S−1M≥n=S−1H≥1⋅S−1M≥nS^{-1}M_{\geq n+1} = H_1 \cdot S^{-1}M_{\geq n} = S^{-1}H_{\geq 1} \cdot S^{-1}M_{\geq n}.

Proposition 4

Suppose that HH is noetherian and MM finitely generated. Then dim⁡H(M)=dim⁡S−1H(S−1M)\dim_H(M) = \dim_{S^{-1}H}(S^{-1}M).

Let a be the annihilator of the HH-module MM; it is a graded ideal of HH. Since MM is a finitely generated HH-module, the annihilator of the S−1HS^{-1}H-module S−1MS^{-1}M is the ideal S−1αS^{-1}\alpha of S−1HS^{-1}H. One has dim⁡H(M)=dim⁡(H/α)\dim_H(M) = \dim(H/\alpha) and dim⁡S−1H(S−1M)=dim⁡(S−1H/S−1α)\dim_{S^{-1}H}(S^{-1}M) = \dim(S^{-1}H/S^{-1}\alpha). Proposition 4 then follows from Theorem 1, c) of No. 2 applied to the graded ring H/αH/\alpha.

Proposition 5

Suppose H0H_0 local and artinian, HH generated by H0∪H1H_0 \cup H_1, H1H_1 a finitely generated H0H_0-module, MM nonzero and a finitely generated HH-module. Then MnM_n is an H0H_0-module of finite length for each nn, and there exists Q(T)∈Z[T,T−1]Q(T) \in \mathbf{Z}[T, T^{-1}] such that Q(1)>0Q(1) > 0 and that one has in the ring Z((T))\mathbf{Z}((T))

∑n∈Zlong⁡H0(Mn)⋅Tn=(1−T)−d⋅Q(T), \sum_{n \in \mathbf{Z}} \operatorname{long}_{H_0}(M_n) \cdot T^n = (1 - T)^{-d} \cdot Q(T),

where d=dim⁡H(M)d = \dim_H(M).

The ring S−1HS^{-1}H is local and noetherian (No. 1, remark 1), the S−1HS^{-1}H-module S−1MS^{-1}M is nonzero and finitely generated, and of dimension d=dim⁡H(M)d = \dim_H(M) (prop. 4). Moreover, S−1H≥1S^{-1}H_{\geq 1} is an ideal of definition of S−1HS^{-1}H (§ 3, No. 2, lemma 2), and S−1M≥nS^{-1}M_{\geq n} is an S−1H≥1S^{-1}H_{\geq 1}-good filtration on S−1MS^{-1}M (lemma 3). Finally, one has long⁡S−1HS−1M≥n/S−1M≥n+1=long⁡H0(Mn)\operatorname{long}_{S^{-1}H} S^{-1}M_{\geq n}/S^{-1}M_{\geq n+1} = \operatorname{long}_{H_0}(M_n) for all nn. It is enough therefore to apply Theorems 2 and 3 of § 4 (Nos. 3 and 4).

Remark

With the exception of the determination of the integer dd, proposition 5 follows directly from Theorem 1 of § 4, No. 2.

Corollary

Let AA be a local noetherian ring and qq an ideal of definition of AA. Then one has dim⁡(A)=dim⁡(gr⁡q(A))\dim(A) = \dim(\operatorname{gr}_q(A)).

Applying proposition 5 to the case M=H=gr⁡q(A)M = H = \operatorname{gr}_q(A), one obtains the relation

∑n≥0long⁡A/q(qn/qn+1)⋅Tn=(1−T)−dQ(T) \sum_{n \geq 0} \operatorname{long}_{A/q}(q^n/q^{n+1}) \cdot T^n = (1 - T)^{-d} Q(T)

with d=dim⁡(gr⁡q(A))d = \dim(\operatorname{gr}_q(A)) and Q(1)≠0Q(1) \neq 0. One has d=dim⁡(A)d = \dim(A) by Theorem 3 of § 4, No. 4, whence the corollary.

Proposition 6

Suppose H0H_0 local and artinian, HH finitely generated as an H0H_0-algebra and MM finitely generated as an HH-module.

a) Let a1,...,ana_1, ..., a_n be elements of HH, homogeneous of degrees >0> 0, and let φ\varphi be the homomorphism (of H0H_0-algebras) of H0[X1,...,Xn]H_0[X_1, ..., X_n] into HH which maps XiX_i to aia_i for 1≤i≤n1 \leq i \leq n. The S−1HS^{-1}H-module S−1M/∑i=1n(ai/1).S−1MS^{-1}M / \sum_{i=1}^n (a_i/1).S^{-1}M is of finite length if and only if φ∗(M)\varphi_*(M) is a finitely generated module over H0[X1,...,Xn]H_0[X_1, ..., X_n].

b) There exists a family (a1,...,ad)(a_1, ..., a_d) of elements of HH, all homogeneous of the same degree >0> 0, with d=dim⁡H(M)d = \dim_H(M), and such that (a1/1,...,ad/1)(a_1/1, ..., a_d/1) is a maximal secant sequence for the S−1HS^{-1}H-module S−1MS^{-1}M. If moreover HH is generated by H1H_1 as an H0H_0-algebra, and if the residue field of H0H_0 is infinite, one can take the aia_i of degree 1.

a) Put N=M/∑i=1naiMN = M / \sum_{i=1}^n a_i M. We have dim⁡H(N)=dim⁡S−1H(S−1N)\dim_H(N) = \dim_{S^{-1}H}(S^{-1}N) by prop. 4. Consequently, the S−1HS^{-1}H-module S−1NS^{-1}N is of finite length if and only if the HH-module NN is of finite length, that is to say if and only if NN is a finitely generated module over H0H_0. If φ∗(M)\varphi_*(M) is the module over H0[X1,...,Xn]H_0[X_1, ..., X_n] deduced from MM by the homomorphism φ:H0[X1,...,Xn]→M\varphi : H_0[X_1, ..., X_n] \to M, we have N=φ∗(M)/∑i=1nXi⋅φ∗(M)N = \varphi_*(M)/\sum_{i=1}^n X_i \cdot \varphi_*(M). Consequently (A, II, p. 171, cor. 3 and remark) φ∗(M)\varphi_*(M) is a finitely generated module over H0[X1,...,Xn]H_0[X_1, ..., X_n] if and only if NN is a finitely generated module over H0H_0. This proves a).

To prove b), we shall first establish a lemma.

Lemma 4

Let bb be an element of HH, homogeneous of degree >0> 0, and belonging to none of the minimal elements pp of Supp(M)\mathrm{Supp}(M) such that dim⁡(H/p)=dim⁡H(M)\dim(H/p) = \dim_H(M). Then dim⁡H(M/bM)=dim⁡H(M)−1\dim_H(M/bM) = \dim_H(M) - 1.

Put d=dim⁡H(M)d = \dim_H(M). By the definition of bb, we have dim⁡H(M/bM)<d\dim_H(M/bM) < d. By prop. 4, we have

dim⁡H(M/bM)=dim⁡S−1H(S−1M/(b/1).S−1M) \dim_H(M/bM) = \dim_{S^{-1}H}(S^{-1}M/(b/1).S^{-1}M)
and formula (8) of § 3, no. 2 yields the inequality
dim⁡S−1H(S−1M/(b/1).S−1M)≥dim⁡S−1H(S−1M)−1. \dim_{S^{-1}H}(S^{-1}M/(b/1).S^{-1}M) \geq \dim_{S^{-1}H}(S^{-1}M) - 1 .
Finally, we have
dim⁡S−1H(S−1M)=dim⁡H(M)=d \dim_{S^{-1}H}(S^{-1}M) = \dim_H(M) = d
by prop. 4. Hence dim⁡H(M/bM)≥d−1\dim_H(M/bM) \geq d - 1, whence lemma 4.

Let us take up again the proof of Prop. 6, b). We may suppose dim⁡H(M)>0\dim_H(M) > 0. Let us remark that every minimal element of Supp(M)\mathrm{Supp}(M) is graded (apply Lemma 1 of No. 2 to the quotient of HH by the annihilator of MM). By Prop. 8 of III, § 1, No. 4, there therefore exists a homogeneous element bb of HH, of degree >0> 0, not belonging to any of the minimal elements pp of Supp(M)\mathrm{Supp}(M) such that dim⁡(H/p)=dim⁡H(M)\dim(H/p) = \dim_H(M). By Lemma 4, one has dim⁡H(M/bM)=dim⁡H(M)−1\dim_H(M/bM) = \dim_H(M) - 1. Suppose further that HH is generated by H1H_1 as an H0H_0-algebra and that the residue field kk of H0H_0 is infinite. For every minimal element pp of Supp(M)\mathrm{Supp}(M) such that dim⁡(H/p)=dim⁡H(M)\dim(H/p) = \dim_H(M), consider the vector subspace Vp=(p∩H1)⊗H0kV_p = (p \cap H_1) \otimes_{H_0} k of the vector space V=H1⊗H0kV = H_1 \otimes_{H_0} k over kk. If one had Vp=VV_p = V, one would have p∩H1=H1\mathfrak{p} \cap H_1 = H_1 (II, § 3, No. 2, Prop. 4), whence H1⊂pH_1 \subset \mathfrak{p} and dim⁡H(M)=dim⁡(H/p)≤dim⁡(H/H≥1)=0\dim_H(M) = \dim(H/\mathfrak{p}) \leq \dim(H/H_{\geq 1}) = 0, which is not the case. Since kk is supposed infinite, the union of the VpV_p is distinct from VV; if b∈H1b \in H_1 is such that b⊗1b \otimes 1 does not belong to any of the VpV_p, one has dim⁡(M/bM)=dim⁡H(M)−1\dim(M/bM) = \dim_H(M) - 1.

Proceeding by induction on d=dim⁡H(M)d = \dim_H(M), one then constructs a sequence (b1,...,bd)(b_1, ..., b_d) of elements of HH, with bib_i homogeneous of degree ni>0n_i > 0 and such that M/∑i=1nbiMM / \sum_{i=1}^n b_i M is an HH-module of finite length. If one supposes that HH is generated by H1H_1 as an H0H_0-algebra and that the residue field of H0H_0 is infinite, one may suppose ni=1n_i = 1 for i=1,...,di = 1, ..., d. By Prop. 4, one has dim⁡S−1H(S−1M)=d\dim_{S^{-1}H}(S^{-1}M) = d and

dim⁡S−1H(S−1M/∑i=1d(bi/1).S−1M)=0. \dim_{S^{-1}H}(S^{-1}M / \sum_{i=1}^d (b_i/1).S^{-1}M) = 0 .
Then (b1/1,...,bd/1)(b_1/1, ..., b_d/1) is a maximal secant sequence for the S−1HS^{-1}H-module S−1MS^{-1}M. Put ai=bi(n1...nd)/nia_i = b_i^{(n_1 ... n_d)/n_i} for 1≤i≤d1 \leq i \leq d; then the aia_i are all of the same degree, and (a1/1,...,ad/1)(a_1/1, ..., a_d/1) is a maximal secant sequence for S−1MS^{-1}M (§ 3, No. 2, Remark 3).

Corollary 1

Suppose that H0H_0 is a field and that HH is a finitely generated H0H_0-algebra. Put n=dim⁡(H)n = \dim(H). There exist homogeneous elements a1,...,ana_1, ..., a_n of HH, all of the same degree >0> 0, such that the H0H_0-homomorphism φ:H0[X1,...,Xn]→H\varphi : H_0[X_1, ..., X_n] \to H defined by φ(Xi)=ai,i=1,...,n\varphi(X_i) = a_i, i = 1, ..., n, is injective and makes HH into a finite H0[X1,...,Xn]H_0[X_1, ..., X_n]-algebra. If HH is generated by H1H_1 as an H0H_0-algebra and if H0H_0 is infinite, the aia_i may be supposed to be of degree 1.

By Prop. 6 there exists an H0H_0-homomorphism φ\varphi of the indicated form which makes HH into a finite H0[X1,...,Xn]H_0[X_1, ..., X_n]-algebra. By Theorem 1 of § 2, No. 3, one then has

dim⁡(H0[X1,...,Xn]/(Ker φ))=dim⁡(H); \dim(H_0[X_1, ..., X_n]/(\mathrm{Ker}\ \varphi)) = \dim(H);
since one has
dim⁡(H)=n=dim⁡(H0[X1,...,Xn]), \dim(H) = n = \dim(H_0[X_1, ..., X_n]),
and since H0[X1,...,Xn]H_0[X_1, ..., X_n] is an integral domain, this implies Ker φ={0}\mathrm{Ker}\ \varphi = \{0\}.

Remark

Let (h1,...,hr)(h_1, ..., h_r) be a finite generating system of the vector space H1H_1 over H0H_0. For λ=(λ1,...,λr)∈H0r\lambda = (\lambda_1, ..., \lambda_r) \in H_0^r, put hλ=λ1h1+⋯+λrhrh_\lambda = \lambda_1 h_1 + \cdots + \lambda_r h_r. The proofs of Prop. 6 and Corollary 1 entail the following result: the set of elements (λ1,...,λn)(\lambda_1, ..., \lambda_n) of (H0r)n(H_0^r)^n such that the elements ai=hλi∈H1a_i = h_{\lambda_i} \in H_1 satisfy the conclusion of Corollary 1 contains the complement of the union of a finite number of vector subspaces of (H0r)n(H_0^r)^n distinct from the whole space.

Corollary 2

Let AA be a noetherian local ring and n∈Nn \in \mathbf{N}. In order that one may have dim⁡(A)≥n\dim(A) \geq n, it is necessary and sufficient that for every integer r≥0r \geq 0, one have*

[mAr/mAr+1:κA]≥(n+r−1n−1),(resp. longA(A/mAr+1)≥(n+rn)); [m_A^r/m_A^{r+1} : \kappa_A] \geq \binom{n+r-1}{n-1}, \quad \left( \text{resp. } \mathrm{long}_A(A/m_A^{r+1}) \geq \binom{n+r}{n} \right);
*one has equality for every rr if and only if AA is regular of dimension nn.

The condition is sufficient (§ 4, No. 4, Theorem 3 and § 5, No. 2, Theorem 1). Let us show that it is necessary. Consider the graded ring gr(A) = gr_{m_A}(A); let k be an infinite extension of the field κA\kappa_A, and put H=k⊗κAgr(A)H = k \otimes_{\kappa_A} \mathrm{gr}(A). The ring H is of dimension ≥n\geq n (Prop. 5 and its corollary); one therefore deduces from Corollary 1 the existence of an injective graded homomorphism of graded k-algebras φ:H0[X1,...,Xn]→H\varphi : H_0[X_1, ..., X_n] \to H. Consequently one has, for every integer r≥0r \geq 0,

[grr(A):κA]=[Hr:H0]≥(n+r−1n−1), [\mathrm{gr}_r(A) : \kappa_A] = [H_r : H_0] \geq \binom{n + r - 1}{n - 1},

and equality for every rr implies the bijectivity of φ\varphi, hence the regularity of A (§ 5, No. 2, Theorem 1).

The equalities

longA(A/mAr+1)=∑i=0r[gri(A):κA] \mathrm{long}_A(A/m_A^{r+1}) = \sum_{i=0}^r [\mathrm{gr}_i(A) : \kappa_A]

and

(n+rn)=∑i=0r(n+i−1n−1) \binom{n + r}{n} = \sum_{i=0}^r \binom{n + i - 1}{n - 1}

then imply the analogous assertions for the function r↦longA(A/mAr+1)r \mapsto \mathrm{long}_A(A/m_A^{r+1}).

4. Semi-continuity of dimension

Lemma 5

Let A be a ring, r its radical, R=⨁i∈ZRiR = \bigoplus_{i \in \mathbf{Z}} R_i a graded A-algebra, M=⨁i∈ZMiM = \bigoplus_{i \in \mathbf{Z}} M_i a graded R-module. Suppose that each MiM_i is a finitely generated A-module and that M/rMM/rM is a finitely generated R/rRR/rR-module. Then M is a finitely generated R-module.

Let m1,...,mnm_1, ..., m_n be homogeneous elements of M whose images in M/rMM/rM generate the R/rRR/rR-module M/rMM/rM. Let N be the (graded) sub-RR-module of M generated by {m1,...,mn}\{ m_1, ..., m_n \}. For every i∈Zi \in \mathbf{Z}, we have Mi=Ni+rMiM_i = N_i + rM_i, hence Mi=NiM_i = N_i (II, § 3, No. 2, Prop. 4); consequently we have M=NM = N.

Lemma 6

Let ρ:B→C\rho : B \to C be a ring homomorphism and S a multiplicative subset of B. Suppose that C is a B-algebra of finite type, and that S−1CS^{-1}C is a finite S−1BS^{-1}B-algebra. Then there exists f∈Sf \in S such that CfC_f is a finite BfB_f-algebra.

Let X be a finite generating set of the B-algebra C. For every x∈Xx \in X, the image of x in S−1CS^{-1}C is integral over S−1BS^{-1}B, and consequently there exist an integer n(x)≥0n(x) \geq 0, elements b1(x),...,bn(x)(x)∈Bb_1(x), ..., b_{n(x)}(x) \in B and an element f(x)∈Sf(x) \in S such that

f(x) xn(x)+b1(x) xn(x)−1+⋯+bn(x)=0. f(x)\ x^{n(x)} + b_1(x)\ x^{n(x)-1} + \cdots + b_{n(x)} = 0.

Let f=∏x∈Xf(x)f = \prod_{x \in X} f(x); the image of every element x of X in CfC_f is integral over BfB_f, hence CfC_f is a finite BfB_f-algebra (V, § 1, No. 1, Prop. 4).

Proposition 7

Suppose that H is an H0H_0-algebra of finite type. Then the function p↦dim⁡(H⊗H0κ(p))p \mapsto \dim(H \otimes_{H_0} \kappa(p)) is upper semicontinuous on Spec(H0)\mathrm{Spec}(H_0).

Since H is a finitely generated H0H_0-algebra, each HiH_i is a finitely generated H0H_0-module (III, § 1, No. 2, corollary to Prop. 1) and H is generated as an H0H_0-algebra by H0⊕H1⊕⋯⊕HrH_0 \oplus H_1 \oplus \cdots \oplus H_r for a suitable integer r≥0r \geq 0. Let p∈Spec(H0)p \in \mathrm{Spec}(H_0) and put dim⁡(H⊗H0κ(p))=n≥0\dim(H \otimes_{H_0} \kappa(p)) = n \geq 0. By Corollary 1 to Prop. 6, there exist elements a1,...,ana_1, ..., a_n of H, all homogeneous of the same degree d>0d > 0, such that the κ(p)\kappa(p)-homomorphism φ‾:κ(p)[X1,...,Xn]→H⊗H0κ(p)\overline{\varphi} : \kappa(p)[X_1, ..., X_n] \to H \otimes_{H_0} \kappa(p) which maps XiX_i to ai⊗1a_i \otimes 1 for 1≤i≤n1 \leq i \leq n, makes H⊗H0κ(p)H \otimes_{H_0} \kappa(p) into a finite κ(p)[X1,...,Xn]\kappa(p)[X_1, ..., X_n]-algebra. Let φ\varphi denote the H0H_0-homomorphism of H0[X1,...,Xn]=RH_0[X_1, ..., X_n] = R into H which maps XiX_i to aia_i for 1≤i≤n1 \leq i \leq n. If, for every m∈Zm \in \mathbf{Z}, we put Hm′=∑(m−1)d<i≤mdHiH'_m = \sum_{(m-1)d < i \leq md} H_i, we obtain a Z\mathbf{Z}-grading on H, compatible with the structure of R-module given by φ\varphi. Each Hm′H'_m is finitely generated over H0H_0. By Lemma 5, HpH_p is a finitely generated RpR_p-module. By Lemma 6, there therefore exists f∈H0−pf \in H_0 - p such that HfH_f is a finitely generated RfR_f-module. For every q∈Spec(H0)fq \in \mathrm{Spec}(H_0)_f, H⊗H0κ(q)H \otimes_{H_0} \kappa(q) is a finite κ(q)[X1,...,Xn]\kappa(q)[X_1, ..., X_n]-algebra, therefore dim⁡(H⊗H0κ(q))≤n\dim(H \otimes_{H_0} \kappa(q)) \leq n (§ 2, No. 3, Theorem 1), which completes the proof.

Remark 1

\* In algebraic geometry, Prop. 7 implies that the dimension of the fibres of a projective morphism of algebraic varieties is upper semi-continuous. \* 2) We shall see later that if ρ:A→B\rho : A \to B is a ring homomorphism which makes B into a finitely generated A-algebra, the function q↦dim⁡q(B⊗Aκ(ρ−1(q)))q \mapsto \dim_q(B \otimes_A \kappa(\rho^{-1}(q))) is upper semi-continuous on Spec(B)\mathrm{Spec}(B) (cf. p. 101, Exercise 10).

5. Regular graded algebras

In this number, it is assumed that H0H_0 is a field and that H is a finitely generated H0H_0-algebra.

We put H+=H≥1H_+ = H_{\geq 1}; it is a maximal ideal of H. The ring S−1HS^{-1}H is identified with the local ring HH+H_{H_+} of H at the ideal H+H_+; its maximal ideal is (H+)H+=S−1H+(H_+ )_{H_+} = S^{-1}H_+, its residue field is identified with H0H_0.

Proposition 8

a) One has dim⁡(H)≤[H+/H+2:H0]\dim(H) \leq [H_+/H_+^2 : H_0]. b) The following conditions are equivalent: (i) dim⁡(H)=[H+/H+2:H0]\dim(H) = [H_+/H_+^2 : H_0]; (ii) the noetherian local ring S−1HS^{-1}H is regular; (iii) HH is generated as an H0H_0-algebra by a family of homogeneous elements of degrees >0> 0, algebraically independent over H0H_0. c) Assume the conditions of b) satisfied, and let a1,...,an∈Ha_1, ..., a_n \in H be homogeneous elements of degrees >0> 0. The following conditions are equivalent: (i) the classes of the aia_i form a basis of the H0H_0-vector space H+/H+2H_+/H_+^2; (ii) the ai/1a_i/1 form a system of coordinates of the regular noetherian local ring S−1HS^{-1}H;

(iii) the aia_i are algebraically independent over H0H_0 and generate HH as an H0H_0-algebra.

One has dim⁡(H)=dim⁡(S−1H)\dim(H) = \dim(S^{-1}H) (No. 2, th. 1), and [H+/H+2:H0]=[(S−1H+)/(S−1H+)2:H0][H_+/H_+^2 : H_0] = [(S^{-1}H_+)/ (S^{-1}H_+)^2 : H_0] (II, § 3, No. 3, prop. 9); after § 5, No. 1, this implies aa and the equivalences (i) ⇔\Leftrightarrow (ii) in bb and cc. The two implications (iii) ⇒\Rightarrow (i) in bb and cc are trivial. Let us prove the implications (i) ⇒\Rightarrow (iii). Assume therefore that one has dim⁡(H)=[H+/H+2:H0]\dim(H) = [H_+/H_+^2 : H_0] and let a1,...,ana_1, ..., a_n be homogeneous elements of HH, of degrees >0> 0, whose classes form a basis of H+/H+2H_+/H_+^2; consider the homomorphism of graded algebras φ:H0[X1,...,Xn]→H\varphi : H_0[X_1, ..., X_n] \to H which sends XiX_i to aia_i. The ideal H+H_+ of HH is generated by the aia_i (A, II, p. 171, cor. 2 and remark); consequently the homomorphism φ\varphi is surjective (III, § 1, No. 2, prop. 1). But one has

dim⁡(H0[X1,...,Xn])=n=dim⁡(H)=dim⁡(H0[X1,...,Xn]/(Ker φ)) \dim(H_0[X_1, ..., X_n]) = n = \dim(H) = \dim(H_0[X_1, ..., X_n]/(\mathrm{Ker}\, \varphi))

(§ 2, No. 4, cor. 1 of th. 3), therefore Ker φ=0\mathrm{Ker}\, \varphi = 0 since H0[X1,...,Xn]H_0[X_1, ..., X_n] is an integral domain. This implies assertions (iii).

Under the hypotheses of bb, one says that HH is a regular graded H0H_0-algebra, or a polynomial graded H0H_0-algebra. Under the hypotheses of cc, one says that the aia_i form a graded system of coordinates of HH.

Remark 1

With the notation of cc, let did_i be the degree of aia_i (1≤i≤n1 \leq i \leq n). Then the Poincaré series PH=∑n∈Z[Hn:H0].TnP_H = \sum_{n \in \mathbf{Z}} [H_n : H_0]. T^n is equal to ∏i(1−Tdi)−1\prod_i (1 - T^{d_i})^{-1} (§ 4, No. 2, example 1). Consequently, if HH is a polynomial graded H0H_0-algebra, one has

PH=∏n(1−Tn)−δ(n),withδ(n)=[(H+/H+2)n:H0]. P_H = \prod_n (1 - T^n)^{-\delta(n)}, \quad \text{with} \quad \delta(n) = [(H_+/H_+^2)_n : H_0].

Remark 2

Conversely, the fact that there exist integers di>0d_i > 0 such that PH=∏i(1−Tdi)−1P_H = \prod_i (1 - T^{d_i})^{-1} does not imply that HH is a graded polynomial algebra; for example, if HH is generated by an element XX of degree 1 and an element YY of degree 2, subject only to the relation X2=0X^2 = 0, one has PH=(1−T)−1P_H = (1 - T)^{-1}.

Exercises

See the exercises for § 6.

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