Bourbaki

§ 3. Depth and homological dimension

1. Projective dimension, injective dimension, homological dimension

Let A be a ring, M an A-module. Recall (A, X, p. 134, Def. 1) that the projective dimension of M, denoted by dp_A(M), is the greatest lower bound (in Z‾\overline{\mathbf{Z}}) of the set of lengths of projective resolutions of M. One has dp_A(0) = -∞ and dp_A(M) ≥ 0 if M is nonzero. In order that M be projective, it is necessary and sufficient that one have dp_A(M) ≤ 0.

Example

Let J be an ideal of A generated by an A-regular sequence x=(x1,…,xr)x = (x_1, \ldots, x_r). One has dp_A(A/J) ≤ r. In fact, this is clear if A is zero; in the contrary case, the Koszul complex K∙(x,A)K_\bullet(x, A) is a free resolution of A/J of length r (loc. cit., p. 159, Remark 3). Moreover, for every A-module N, the A-modules Ext_A^r(A/J, N) and N/JN are isomorphic (loc. cit.); consequently, in order that one have dp_A(A/J) = r, it is necessary and sufficient that J be distinct from A (loc. cit., p. 134, Prop. 1).

One defines analogously the injective dimension of M, denoted by di_A(M), as the greatest lower bound of the set of lengths of injective resolutions of M. One has di_A(0) = -∞, and di_A(M) ≥ 0 if M ≠ 0. In order that M be injective, it is necessary and sufficient that one have di_A(M) ≤ 0.

Proposition 1

Let A be a ring, M an A-module and n an integer ≥ 0. The following conditions are equivalent:

(i) one has di_A(M) ≤ n (in other words, M possesses an injective resolution of length ≤ n) ; (ii) for every A-module N and every integer i > n, one has Ext_A^i(N, M) = 0 ; (iii) for every ideal a of A, one has Ext_A^{n+1}(A/a, M) = 0 ; (iv) for every exact sequence of A-modules

0→M→I0→I1→…→In−1→Q→0, 0 \to M \to I^0 \to I^1 \to \ldots \to I^{n-1} \to Q \to 0,

where the IiI^i are injective, the A-module Q is injective.

(i) ⇒ (ii) : this follows from A, X, p. 100, Th. 1. (ii) ⇒ (iii) : this is clear. (iii) ⇒ (iv) : in the situation of (iv), for every A-module N one has an isomorphism of Ext_A^1(N, Q) onto Ext_A^{n+1}(N, M) (A, X, p. 128, Cor. 4) ; under assumption (iii), the A-module Ext_A^1(A/a, Q) is zero for every ideal a of A, and Q is injective (A, X, p. 93, Prop. 11). (iv) ⇒ (i) : consider the exact sequence (A, X, p. 52)

0→M→I0(M)→…→In−1(M)→Kn−1(M)→0; 0 \to M \to I^0(M) \to \ldots \to I^{n-1}(M) \to K^{n-1}(M) \to 0;

if condition (iv) is satisfied, the A-module Kn−1(M)K^{n-1}(M) is injective, whence (i).

Recall (A, X, p. 138, Def. 2) that the homological dimension of the ring AA, denoted by dh(A)\mathrm{dh}(A), is the least upper bound in Z‾\overline{\mathbf{Z}} of the set of integers nn for which there exist two AA-modules MM and NN such that ExtAn(M,N)\mathrm{Ext}^n_A(M, N) is nonzero. It is therefore also the least upper bound of the set of projective dimensions (or injective dimensions) of all the AA-modules; when AA is noetherian, it is enough to restrict oneself to finitely generated AA-modules (A, X, p. 139, Cor.).

2. Localization of homological dimension

Proposition 2

Let AA be a ring, MM and NN AA-modules, ii an integer and SS a multiplicative subset of AA. One has a canonical isomorphism of S−1AS^{-1}A-modules

S−1ToriA(M,N)⟶ToriS−1A(S−1M,S−1N). S^{-1} \mathrm{Tor}_i^A(M, N) \longrightarrow \mathrm{Tor}_i^{S^{-1}A}(S^{-1}M, S^{-1}N) .

If the ring AA is noetherian and the AA-module MM finitely generated, one has a canonical isomorphism of S−1AS^{-1}A-modules

S−1ExtAi(M,N)⟶ExtS−1Ai(S−1M,S−1N). S^{-1} \mathrm{Ext}_A^i(M, N) \longrightarrow \mathrm{Ext}_{S^{-1}A}^i(S^{-1}M, S^{-1}N) .

Since the AA-module S−1AS^{-1}A is flat, this follows from A, X, p. 110, Prop. 9 and p. 111, Prop. 10.

Corollary

Let AA be a ring, MM and NN AA-modules, ii an integer.

a) The support of ToriA(M,N)\mathrm{Tor}_i^A(M, N) is contained in Supp(M)∩Supp(N)\mathrm{Supp}(M) \cap \mathrm{Supp}(N), and the same is true of the support of ExtAi(M,N)\mathrm{Ext}_A^i(M, N) if AA is noetherian and MM finitely generated.

b) Suppose that AA is noetherian, and that the modules MM and NN are finitely generated; if the AA-module M⊗ANM \otimes_A N is of finite length, the same is true of ToriA(M,N)\mathrm{Tor}_i^A(M, N) and of ExtAi(M,N)\mathrm{Ext}_A^i(M, N).

If pp is a prime ideal of AA not belonging to Supp(M)∩Supp(N)\mathrm{Supp}(M) \cap \mathrm{Supp}(N), one of the modules MpM_p or NpN_p is zero, which implies a) in view of Prop. 2.

In order that a finitely generated module over a noetherian ring be of finite length, it is necessary and sufficient that its support consist of maximal ideals (IV, § 2, No. 5, Prop. 7). Under assumption b), the AA-modules ToriA(M,N)\mathrm{Tor}_i^A(M, N) and ExtAi(M,N)\mathrm{Ext}_A^i(M, N) are finitely generated (A, X, p. 108, Cor.) ; the assertion b) therefore follows from a).

Proposition 3

Let AA be a noetherian ring, MM a finitely generated AA-module, and NN an AA-module.

a) One has

dpA(M)=sup⁡pdpAp(Mp),diA(N)=sup⁡pdiAp(Np),dh(A)=sup⁡pdh(Ap), \mathrm{dp}_A(M) = \sup_p \mathrm{dp}_{A_p}(M_p) , \quad \mathrm{di}_A(N) = \sup_p \mathrm{di}_{A_p}(N_p) , \quad \mathrm{dh}(A) = \sup_p \mathrm{dh}(A_p) ,

where pp ranges over the set of prime ideals (resp. maximal ideals) of AA.

b) The mapping p↦dpAp(Mp)p \mapsto \mathrm{dp}_{A_p}(M_p) of Spec(A)\mathrm{Spec}(A) into Z‾\overline{\mathbf{Z}} is upper semi-continuous.

Let us prove a). Let nn be an integer ⩾0\geqslant 0. Suppose that one has dpA(M)<n\mathrm{dp}_A(M) < n. For every prime ideal pp of AA and every ApA_p-module QQ, the ApA_p-module ExtAn(Mp,Q)\mathrm{Ext}_A^n(M_p, Q) is isomorphic to (ExtAn(M,Q))p(\mathrm{Ext}_A^n(M, Q))_p (Prop. 2), hence is zero; one deduces the inequality

Let us prove b). Let p be a prime ideal of A and n = dp_{A_p}(M_p). Let us show that there exists a neighbourhood U of p in Spec(A) such that one has dp_{A_q}(M_q) \leq n for every q \in U. This is clear if n = +\infty ; if n = -\infty , this follows from the fact that the support of M is closed. Suppose now that n is finite and choose an exact sequence of A-modules

Pn−1→dn−1Pn−2⟶…⟶P0→d0M→0, P_{n-1} \xrightarrow{d_{n-1}} P_{n-2} \longrightarrow \ldots \longrightarrow P_0 \xrightarrow{d_0} M \to 0 ,
where the P_i are free of finite type (A, X, p. 53, Prop. 6). Put P = Ker d_{n-1} ; this is a module of finite presentation. The A_p-module P_p is projective (A, X, p. 134, Prop. 1), hence free (II, § 3, No. 2, Cor. 2 of Prop. 5). By II, § 5, No. 1, Cor. of Prop. 2, there exists an element f of A - p such that the A_f-module P_f is free; the A_q-module P_q is then free for every element q of the open set U of Spec(A) formed by the prime ideals not containing f . This proves b).

Corollary 1

For every multiplicative subset S of A , one has

dpS−1A(S−1M)≤dpA(M),diS−1A(S−1N)≤diA(N),dh(S−1A)≤dh(A). \mathrm{dp}_{S^{-1}A}(S^{-1}M) \leq \mathrm{dp}_A(M) \quad , \quad \mathrm{di}_{S^{-1}A}(S^{-1}N) \leq \mathrm{di}_A(N) \quad , \quad \mathrm{dh}(S^{-1}A) \leq \mathrm{dh}(A) .

Corollary 2

If one has dp_{A_m}(M_m) < +\infty for every maximal ideal m of Supp(M) , one has dp_A(M) < +\infty .

In fact, the subspace X of Supp(M) formed by the maximal ideals is quasi-compact (II, § 4, No. 2, Prop. 8 and 9 and No. 3, Cor. 7 of Prop. 11) ; the mapping m \mapsto dp_{A_m}(M_m) of X into \overline{\mathbf{R}} is upper semi-continuous (Prop. 3), hence bounded (TG, IV, p. 30, Cor. of Th. 3).

Remark

Let A be a regular noetherian ring of infinite dimension (VIII, § 5, Exerc. 6 c)). We shall see below (No. 7, Th. 2 and § 4, No. 1, Prop. 1) that one has di_{A_m}(A_m) = dh(A_m) < +\infty for every maximal ideal m of A ; Prop. 3 therefore implies di_A(A) = dh(A) = +\infty . Consequently, the mappings p \mapsto di_{A_p}(N_p) and p \mapsto dh(A_p) are not in general upper semi-continuous.

3. Homological dimension of noetherian rings

Let A be a noetherian local ring, M a finitely generated A-module. Recall (A, X, § 3, No. 6) that a resolution

…⟶Ln→dnLn−1⟶…⟶L0→d0M→0 \ldots \longrightarrow L_n \xrightarrow{d_n} L_{n-1} \longrightarrow \ldots \longrightarrow L_0 \xrightarrow{d_0} M \to 0
of M is a minimal projective resolution if each of the modules L_i is free of finite type, and if the complex κA⊗AL\kappa_A \otimes_A L has zero differential. For every integer i≥0i \geq 0, one then has

(1)

Ext⁡Ai(M,κA):κA]=[Tor⁡iA(M,κA):κA]=rg⁡A(Li) \operatorname{Ext}_A^i(M, \kappa_A) : \kappa_A ] = [\operatorname{Tor}_i^A(M, \kappa_A) : \kappa_A ] = \operatorname{rg}_A(L_i)

(A, X, p. 103, Example 3). Every finitely generated A-module admits such a resolution (A, X, p. 56, Prop. 10).

Proposition 4

Let A be a noetherian local ring, M a finitely generated A-module, and n an integer ≥0\geq 0. The following conditions are equivalent* :

(i) one has dp⁡A(M)<n\operatorname{dp}_A(M) < n ; (ii) one has Tor⁡nA(M,κA)=0\operatorname{Tor}_n^A(M, \kappa_A) = 0 ; (iii) one has Ext⁡An(M,κA)=0\operatorname{Ext}_A^n(M, \kappa_A) = 0 ; (iv) every minimal projective resolution of M has length <n< n.

Assertions (i) ⇒\Rightarrow (ii) and (i) ⇒\Rightarrow (iii) are immediate (A, X, p. 100, Th. 1). Let L be a minimal projective resolution of M ; if (ii) or (iii) is satisfied, one has Ln=0L_n = 0 by (1). Since every minimal projective resolution of M is isomorphic to L (A, X, p. 54, Prop. 8), one deduces (iv). Implication (iv) ⇒\Rightarrow (i) is trivial.

Corollary 1

Let A be a noetherian local ring and n an integer ≥0\geq 0. The following conditions are equivalent* :

(i) one has dh⁡(A)<n\operatorname{dh}(A) < n ; (ii) one has Ext⁡Ai(M,N)=0\operatorname{Ext}_A^i(M, N) = 0 and Tor⁡iA(M,N)=0\operatorname{Tor}_i^A(M, N) = 0 for every pair (M,N)(M, N) of A-modules and every integer i≥ni \geq n ; (iii) one has Tor⁡nA(κA,κA)=0\operatorname{Tor}_n^A(\kappa_A, \kappa_A) = 0 ; (iv) one has Ext⁡An(κA,κA)=0\operatorname{Ext}_A^n(\kappa_A, \kappa_A) = 0 ; (v) one has dp⁡A(κA)<n\operatorname{dp}_A(\kappa_A) < n.

It is clear that (i) implies (ii) and that (ii) implies (iii) and (iv). By Prop. 4 applied to the A-module κA\kappa_A, each of conditions (iii) and (iv) implies (v). Let us prove that (v) implies (i) : if dp⁡A(κA)<n\operatorname{dp}_A(\kappa_A) < n, one has Tor⁡nA(M,κA)=0\operatorname{Tor}_n^A(M, \kappa_A) = 0 for every A-module M ; hence every finitely generated A-module is of projective dimension <n< n (Prop. 4), which implies dh⁡(A)<n\operatorname{dh}(A) < n (A, X, p. 138, Prop. 4).

Corollary 2

One has* dh⁡(A)=dp⁡A(κA)\operatorname{dh}(A) = \operatorname{dp}_A(\kappa_A).

Remark 1

Let A be a local ring. The A-module Tor⁡1A(κA,κA)\operatorname{Tor}_1^A(\kappa_A, \kappa_A) is isomorphic to mA/mA2\mathfrak{m}_A / \mathfrak{m}_A^2 (A, X, p. 72, Example). Hence when A is noetherian, in order that Tor⁡1A(κA,κA)\operatorname{Tor}_1^A(\kappa_A, \kappa_A) be zero, it is necessary and sufficient that mA\mathfrak{m}_A be zero, that is to say, that A be a field. Cor. 1 therefore implies that a noetherian local ring of homological dimension 0 is a field.

Remark 2

Let A be a noetherian local ring, M a finitely generated A-module of finite projective dimension nn, N a nonzero finitely generated A-module. The A-module Ext⁡An(M,N)\operatorname{Ext}_A^n(M, N) is nonzero: let in fact L be a minimal projective resolution of M, and d its differential. We have an exact sequence

Hom⁡A(Ln−1,N)→Hom⁡(dn,1)Hom⁡A(Ln,N)⟶Ext⁡An(M,N)→0. \operatorname{Hom}_A(L_{n-1}, N) \xrightarrow{\operatorname{Hom}(d_n, 1)} \operatorname{Hom}_A(L_n, N) \longrightarrow \operatorname{Ext}_A^n(M, N) \to 0 .

Since dn⊗1κAd_n \otimes 1_{\kappa_A} is zero, one deduces from this, by tensor product with κA\kappa_A, an isomorphism κA⊗AHomA(Ln,N)⟶κA⊗AExtAn(M,N)\kappa_A \otimes_A \mathrm{Hom}_A(L_n, N) \longrightarrow \kappa_A \otimes_A \mathrm{Ext}_A^n(M, N), whence, taking account of formula (1) above,

[κA⊗AExtAn(M,N):κA]=[ExtAn(M,κA):κA][κA⊗AN:κA], [\kappa_A \otimes_A \mathrm{Ext}_A^n(M, N) : \kappa_A] = [\mathrm{Ext}_A^n(M, \kappa_A) : \kappa_A][\kappa_A \otimes_A N : \kappa_A],

which is nonzero by Prop. 4 and Nakayama's lemma. Consequently, the projective dimension of M is the largest integer ii such that ExtAi(M,N)\mathrm{Ext}_A^i(M, N) is nonzero.

Remark 3

Let AA be a noetherian ring, MM a finitely generated AA-module of finite projective dimension, NN a finitely generated AA-module whose support is equal to Spec(A)\mathrm{Spec}(A). According to the preceding remark and Props. 2 and 3 of No. 2, the projective dimension nn of MM is the largest integer ii such that ExtAi(M,N)\mathrm{Ext}_A^i(M, N) is nonzero; the support of the AA-module ExtAn(M,N)\mathrm{Ext}_A^n(M, N) is the set of elements pp of Spec(A)\mathrm{Spec}(A) such that dpAp(Mp)=n\mathrm{dp}_{A_p}(M_p) = n.

There may exist finitely generated AA-modules MM of projective dimension +∞+\infty, satisfying ExtAi(M,A)=0\mathrm{Ext}_A^i(M, A) = 0 for ii sufficiently large: this is the case for example of the AA-module κA\kappa_A when AA is a Gorenstein local ring which is not regular.

Proposition 5

Let AA be a noetherian ring, MM a finitely generated AA-module and nn an integer ⩾0\geqslant 0. The following conditions are equivalent :

(i) we have dpA(M)<n\mathrm{dp}_A(M) < n ; (ii) for every maximal ideal mm of AA, we have ExtAn(M,A/m)=0\mathrm{Ext}_A^n(M, A/m) = 0 (resp. we have TornA(M,A/m)=0\mathrm{Tor}_n^A(M, A/m) = 0) ; (iii) for every maximal ideal mm of AA, we have ExtAmn(Mm,A/m)=0\mathrm{Ext}_{A_m}^n(M_m, A/m) = 0 (resp. we have TornAm(Mm,A/m)=0\mathrm{Tor}_n^{A_m}(M_m, A/m) = 0).

(i) ⇒\Rightarrow (ii) : this is clear. (ii) ⇒\Rightarrow (iii) : this follows from Prop. 2 of No. 2. (iii) ⇒\Rightarrow (i) : by Prop. 4, condition (iii) implies the inequality dpAm(Mm)<n\mathrm{dp}_{A_m}(M_m) < n for every maximal ideal mm of AA, and one concludes by Prop. 3.

Remark 4

Let AA be a noetherian ring and nn an integer ⩾0\geqslant 0. If mm and m′m' are two distinct maximal ideals of AA, the AA-modules ExtAn(A/m,A/m′)\mathrm{Ext}_A^n(A/m, A/m') and TornA(A/m,A/m′)\mathrm{Tor}_n^A(A/m, A/m') are annihilated by m+m′m + m', hence are zero. By a proof analogous to that of Corollary 1 of Proposition 4, one deduces from Proposition 5 the equivalence of the following conditions:

(i) one has dh(A)<n\mathrm{dh}(A) < n ; (ii) one has ExtAi(M,N)=0\mathrm{Ext}_A^i(M, N) = 0 and ToriA(M,N)=0\mathrm{Tor}_i^A(M, N) = 0 for every pair (M,N)(M, N) of AA-*modules and every integer* i⩾ni \geqslant n ; (iii) one has TornA(A/m,A/m)=0\mathrm{Tor}_n^A(A/m, A/m) = 0 for every maximal ideal mm of AA ; (iv) one has ExtAn(A/m,A/m)=0\mathrm{Ext}_A^n(A/m, A/m) = 0 for every maximal ideal mm of AA ; (v) one has dpA(A/m)<n\mathrm{dp}_A(A/m) < n for every maximal ideal mm of AA.

In particular, one has dh(A)=sup⁡mdpA(A/m)\mathrm{dh}(A) = \sup_m \mathrm{dp}_A(A/m), where mm ranges over the set of maximal ideals of AA.

Proposition 6

Let AA be a noetherian ring, NN an AA-module, nn an integer ⩾0\geqslant 0. The following conditions are equivalent:

(i) one has di⁡A(N)<n\operatorname{di}_A(N) < n ; (ii) for every prime ideal pp of AA, one has Ext⁡An(A/p,N)=0\operatorname{Ext}_A^n(A/p, N) = 0 ; (iii) for every prime ideal pp of AA, one has Ext⁡Apn(κ(p),Np)=0\operatorname{Ext}_{A_p}^n(\kappa(p), N_p) = 0.

If moreover the AA-module NN is of finite type, these conditions are equivalent to:

(iv) for every maximal ideal mm of AA, one has Ext⁡Ai(A/m,N)=0\operatorname{Ext}_A^i(A/m, N) = 0 for n⩽i⩽n+ht⁡(m)n \leqslant i \leqslant n + \operatorname{ht}(m).

Observe that condition (iii) is equivalent to

(iii') for every prime ideal pp of AA, one has Ext⁡An(A/p,N)⊗Aκ(p)=0\operatorname{Ext}_A^n(A/p, N) \otimes_A \kappa(p) = 0.

In fact, since Ext⁡An(A/p,N)\operatorname{Ext}_A^n(A/p, N) is annihilated by pp, the AA-module Ext⁡An(A/p,N)⊗Aκ(p)\operatorname{Ext}_A^n(A/p, N) \otimes_A \kappa(p) is isomorphic to Ext⁡An(A/p,N)⊗AAp\operatorname{Ext}_A^n(A/p, N) \otimes_A A_p, hence to Ext⁡Apn(κ(p),Np)\operatorname{Ext}_{A_p}^n(\kappa(p), N_p) (No. 2, Proposition 2).

The implications (i) ⇒\Rightarrow (ii) and (i) ⇒\Rightarrow (iv) result from Proposition 1 of No. 1, and the implication (ii) ⇒\Rightarrow (iii') is clear.

(iii) ⇒\Rightarrow (i): for every AA-module MM, let us put T(M)=Ext⁡An(M,N)T(M) = \operatorname{Ext}_A^n(M, N). Suppose that (i) is not satisfied. Then there exists (No. 1, Proposition 1) an ideal aa of AA such that T(A/a)≠0T(A/a) \neq 0. Let pp be an ideal of AA maximal among the ideals having this property; let us prove that pp is prime. By IV, § 1, No. 4, Theorem 1 and Theorem 2, there exists a composition sequence (Mi)0⩽i⩽m(M_i)_{0 \leqslant i \leqslant m} of A/pA/p such that each quotient Mi/Mi+1M_i/M_{i+1} is isomorphic to a module A/piA/p_i, where pip_i (0⩽i⩽m−10 \leqslant i \leqslant m-1) is a prime ideal containing pp. If T(A/pi)T(A/p_i) were zero for every ii, one would deduce by induction on ii from the exact sequences

T(M0/Mi)⟶T(M0/Mi+1)⟶T(Mi/Mi+1) T(M_0/M_i) \longrightarrow T(M_0/M_{i+1}) \longrightarrow T(M_i/M_{i+1})

that T(M0/Mm)=T(A/p)T(M_0/M_m) = T(A/p) is zero, which is not so. There therefore exists an index ii such that T(A/pi)≠0T(A/p_i) \neq 0. In view of the maximal character of pp, one has p=pip = p_i, so that pp is prime.

Let xx be an element of A−pA - p; from the exact sequence

0→A/p→xA/pA/p→A/(p+xA)→0 0 \to A/p \xrightarrow{x_{A/p}} A/p \to A/(p + xA) \to 0

one deduces an exact sequence

T(A/(p+xA))⟶T(A/p)→uT(A/p), T(A/(p + xA)) \longrightarrow T(A/p) \xrightarrow{u} T(A/p),

where u=Ext⁡An(xA,1N)=xT(A/p)u = \operatorname{Ext}_A^n(x_A, 1_N) = x_{T(A/p)} (A, X, p. 89, Proposition 6). Because of the maximal character of pp, one has T(A/(p+xA))=0T(A/(p + xA)) = 0, so that the homomorphism uu is injective. The nonzero A/pA/p-module T(A/p)T(A/p) is therefore torsion-free. This implies that T(A/p)⊗Aκ(p)T(A/p) \otimes_A \kappa(p) is nonzero (A, II, p. 117, Corollary 1), which contradicts (iii').

Suppose that the AA-module NN is of finite type, and let us prove that (iv) implies (iii). Let pp be a prime ideal of AA and mm a maximal ideal of AA containing pp. There exists a saturated chain of prime ideals of AA with end terms p\mathfrak{p} and m\mathfrak{m}. The length rr of this chain is less than ht(m)\mathrm{ht}(\mathfrak{m}); under assumption (iv), one therefore has

ExtAmn+r(κ(m),Nm)=ExtAn+r(A/m,N)⊗AAm=0. \mathrm{Ext}_{A_{\mathfrak{m}}}^{n+r}(\kappa(\mathfrak{m}), N_{\mathfrak{m}}) = \mathrm{Ext}_{A}^{n+r}(A/\mathfrak{m}, N) \otimes_{A} A_{\mathfrak{m}} = 0 .
It then follows from Lemma 3 of § 1, No. 7 that one has ExtApn(κ(p),Np)=0\mathrm{Ext}_{A_{\mathfrak{p}}}^{n}(\kappa(\mathfrak{p}), N_{\mathfrak{p}}) = 0, which proves (iii).

Remark 5

Let NN be a finitely generated AA-module; the condition ExtAn(A/m,N)=0\mathrm{Ext}_{A}^{n}(A/\mathfrak{m}, N) = 0 for every maximal ideal m\mathfrak{m} of AA does not necessarily imply diA(N)<n\mathrm{di}_{A}(N) < n. If, for example, the ring AA is local and is not a Gorenstein ring (No. 7, Def. 1), one has ExtAn(A/m,A)=0\mathrm{Ext}_{A}^{n}(A/\mathfrak{m}, A) = 0 for n<prof(A)n < \mathrm{prof}(A) but diA(A)=+∞\mathrm{di}_{A}(A) = +\infty.

4. Quotient by a cancellable element

In this No., AA denotes a ring and xx an element of AA cancellable.

Let MM be an AA-module and p:P→Mp : P \to M a projective resolution of MM. By A, X, p. 101, cor. to th. 1, Hn(P/xP)H_{n}(P/xP) is identified with TornA(M,A/xA)\mathrm{Tor}_{n}^{A}(M, A/xA), and therefore is isomorphic to M/xMM/xM if n=0n = 0, to Ker(xM)\mathrm{Ker}(x_{M}) if n=1n = 1, and is zero otherwise (loc. cit., p. 102, Example 1). Consider the complexes of (A/xA)(A/xA)-modules RR and R′R' such that

Rn=Pn/xPnRn′=0for n⩾2,R1=Z1(P/xP)R1′=(P1/xP1)/R1,Rn=0Rn′=Pn/xPnfor n⩽0, \begin{aligned} R_{n} & = P_{n}/xP_{n} & R'_{n} & = 0 & \text{for } n \geqslant 2, \\ R_{1} & = Z_{1}(P/xP) & R'_{1} & = (P_{1}/xP_{1})/R_{1}, \\ R_{n} & = 0 & R'_{n} & = P_{n}/xP_{n} & \text{for } n \leqslant 0, \end{aligned}
and whose differentials are deduced from that of PP. The complexes R(1)R(1) and R′R' are left resolutions of Ker(xM)\mathrm{Ker}(x_{M}) and M/xMM/xM respectively, and one has an exact sequence of complexes
0→R→P/xP→R′→0. 0 \to R \to P/xP \to R' \to 0 .

Similarly, let e:M→Ee : M \to E be an injective resolution of MM; let KK denote the complex Ker(xE)\mathrm{Ker}(x_{E}). By A, X, p. 101, cor. to th. 1, Hn(K)H_{n}(K) is identified with ExtAn(A/xA,M)\mathrm{Ext}_{A}^{n}(A/xA, M), and therefore is isomorphic to Ker(xM)\mathrm{Ker}(x_{M}) if n=0n = 0, to M/xMM/xM if n=1n = 1, and is zero otherwise (loc. cit., p. 102, Example 1). From EE one deduces complexes of (A/xA)(A/xA)-modules SS and S′S' such that

Sn=KnS′n=0for n⩽0,S1=B1(K)S′1=K1/S1,Sn=0S′n=Knfor n⩾2. \begin{aligned} S^{n} & = K^{n} & {S'}^{n} & = 0 & \text{for } n \leqslant 0, \\ S^{1} & = B^{1}(K) & {S'}^{1} & = K^{1}/S^{1}, \\ S^{n} & = 0 & {S'}^{n} & = K^{n} & \text{for } n \geqslant 2. \end{aligned}
The complexes SS and S′(−1)S'(-1) are right resolutions of Ker(xM)\mathrm{Ker}(x_{M}) and M/xMM/xM respectively, and one has an exact sequence of complexes
0→S→Ker(xE)→S′→0. 0 \to S \to \mathrm{Ker}(x_{E}) \to S' \to 0 .

Let NN be an (A/xA)(A/xA)-module, and e′:N→E′e' : N \to E' an injective resolution of NN. From exact sequence (2) one deduces an exact sequence of complexes of (A/xA)(A/xA)-modules

0→HomgrA/xA(R′,E′)→HomgrA/xA(P/xP,E′)→HomgrA/xA(R,E′)→0. 0 \to \mathrm{Homgr}_{A/xA}(R', E') \to \mathrm{Homgr}_{A/xA}(P/xP, E') \to \mathrm{Homgr}_{A/xA}(R, E') \to 0 .

Consider the exact homology sequence associated with this exact sequence. By A, X, p. 100, th. 1, for every integer n⩾0n \geqslant 0 one has isomorphisms

Hn(HomgrA/xA(R′,E′))⟶ExtA/xAn(M/xM,N) H^n(\mathrm{Homgr}_{A/xA}(R', E')) \longrightarrow \mathrm{Ext}^n_{A/xA}(M/xM, N)
Hn(HomgrA/xA(P/xP,E′))⟶Hn(HomgrA(P,E′))⟶ExtAn(M,N) H^n(\mathrm{Homgr}_{A/xA}(P/xP, E')) \longrightarrow H^n(\mathrm{Homgr}_A(P, E')) \longrightarrow \mathrm{Ext}^n_A(M, N)
Hn(HomgrA/xA(R,E′))=Hn−1(HomgrA/xA(R(1),E′))⟶ExtA/xAn−1(Ker(xM),N) H^n(\mathrm{Homgr}_{A/xA}(R, E')) = H^{n-1}(\mathrm{Homgr}_{A/xA}(R(1), E')) \longrightarrow \mathrm{Ext}^{n-1}_{A/xA}(\mathrm{Ker}(x_M), N)

whence a long exact sequence of (A/xA)(A/xA)-modules

…⟶ExtA/xAn(M/xM,N)⟶ExtAn(M,N)⟶ExtA/xAn−1(Ker(xM),N) \ldots \longrightarrow \mathrm{Ext}^n_{A/xA}(M/xM, N) \longrightarrow \mathrm{Ext}^n_A(M, N) \longrightarrow \mathrm{Ext}^{n-1}_{A/xA}(\mathrm{Ker}(x_M), N)
⟶ExtA/xAn+1(M/xM,N)⟶ExtAn+1(M,N)⟶… \longrightarrow \mathrm{Ext}^{n+1}_{A/xA}(M/xM, N) \longrightarrow \mathrm{Ext}^{n+1}_A(M, N) \longrightarrow \ldots

(4)

Analogously, let p′:P′→Np' : P' \to N be a projective resolution of the (A/xA)(A/xA)-module NN. From the exact sequence (3) one deduces an exact sequence of complexes of (A/xA)(A/xA)-modules

0→HomgrA/xA(P′,S)⟶HomgrA/xA(P′,Ker(xE))⟶HomgrA/xA(P′,S′)→00 \to \mathrm{Homgr}_{A/xA}(P', S) \longrightarrow \mathrm{Homgr}_{A/xA}(P', \mathrm{Ker}(x_E)) \longrightarrow \mathrm{Homgr}_{A/xA}(P', S') \to 0.

In view of the isomorphism HomgrA/xA(P′,Ker(xE))⟶HomgrA(P′,E)\mathrm{Homgr}_{A/xA}(P', \mathrm{Ker}(x_E)) \longrightarrow \mathrm{Homgr}_A(P', E), the associated homology exact sequence may be written

…⟶ExtA/xAn(N,Ker(xM))⟶ExtAn(N,M)⟶ExtA/xAn−1(N,M/xM) \ldots \longrightarrow \mathrm{Ext}^n_{A/xA}(N, \mathrm{Ker}(x_M)) \longrightarrow \mathrm{Ext}^n_A(N, M) \longrightarrow \mathrm{Ext}^{n-1}_{A/xA}(N, M/xM)
⟶ExtA/xAn+1(N,Ker(xM))⟶ExtAn+1(N,M)⟶… \longrightarrow \mathrm{Ext}^{n+1}_{A/xA}(N, \mathrm{Ker}(x_M)) \longrightarrow \mathrm{Ext}^{n+1}_A(N, M) \longrightarrow \ldots

(5)

Finally, consider the exact sequence of complexes of (A/xA)(A/xA)-modules

0→R⊗A/xAP′⟶(P/xP)⊗A/xAP′⟶R′⊗A/xAP′→00 \to R \otimes_{A/xA} P' \longrightarrow (P/xP) \otimes_{A/xA} P' \longrightarrow R' \otimes_{A/xA} P' \to 0

deduced from the exact sequence (2); in view of the isomorphism P⊗AP′⟶(P/xP)⊗A/xAP′P \otimes_A P' \longrightarrow (P/xP) \otimes_{A/xA} P', the associated homology exact sequence may be written

…⟶TornA(M,N)⟶TornA/xA(M/xM,N)⟶Torn−2A/xA(Ker xM,N) \ldots \longrightarrow \mathrm{Tor}^A_n(M, N) \longrightarrow \mathrm{Tor}^{A/xA}_n(M/xM, N) \longrightarrow \mathrm{Tor}^{A/xA}_{n-2}(\mathrm{Ker}\ x_M, N)
⟶Torn−1A(M,N)⟶Torn−1A/xA(M/xM,N)⟶… \longrightarrow \mathrm{Tor}^A_{n-1}(M, N) \longrightarrow \mathrm{Tor}^{A/xA}_{n-1}(M/xM, N) \longrightarrow \ldots

(6)

Proposition 7

Let AA be a ring, xx a cancellable element of AA, MM an AA-module such that the homothety xMx_M is injective, NN an AA-module annihilated by xx, nn an integer. The canonical homomorphisms of (A/xA)(A/xA)-modules

ExtA/xAn(M/xM,N)⟶ExtAn(M,N), \mathrm{Ext}^n_{A/xA}(M/xM, N) \longrightarrow \mathrm{Ext}^n_A(M, N),
ExtAn(N,M)⟶ExtA/xAn−1(N,M/xM), \mathrm{Ext}^n_A(N, M) \longrightarrow \mathrm{Ext}^{n-1}_{A/xA}(N, M/xM),
TornA(M,N)⟶TornA/xA(M/xM,N) \mathrm{Tor}^A_n(M, N) \longrightarrow \mathrm{Tor}^{A/xA}_n(M/xM, N)

deduced from the exact sequences (4), (5) and (6) are isomorphisms.

Corollary

Let AA be a noetherian local ring, MM a finitely generated AA-module and JJ an ideal of AA generated by a sequence (x1,…,xr)(x_1, \ldots, x_r) of elements of mAm_A which is both AA-regular and MM-regular. Then dpA/J(M/JM)=dpA(M)\mathrm{dp}_{A/J}(M/JM) = \mathrm{dp}_A(M) and diA/J(M/JM)=diA(M)−r\mathrm{di}_{A/J}(M/JM) = \mathrm{di}_A(M) - r.

It is enough to treat the case r=1r = 1. Put x=x1x = x_1. The AA-modules ExtA/xAn(M/xM,κA)\mathrm{Ext}^n_{A/xA}(M/xM, \kappa_A) and ExtAn(M,κA)\mathrm{Ext}^n_A(M, \kappa_A) are isomorphic for every integer nn (prop. 7); the equality dpA/xA(M/xM)=dpA(M)\mathrm{dp}_{A/xA}(M/xM) = \mathrm{dp}_A(M) follows from prop. 4 of No. 3. Analogously, the AA-modules ExtA/xAn−1(κA,M/xM)\mathrm{Ext}^{n-1}_{A/xA}(\kappa_A, M/xM) and ExtAn(κA,M)\mathrm{Ext}^n_A(\kappa_A, M) are isomorphic for every integer nn, and the equality diA/xA(M/xM)=diA(M)−1\mathrm{di}_{A/xA}(M/xM) = \mathrm{di}_A(M) - 1 follows from prop. 6 of No. 3.

5. Depth and projective dimension

Theorem 1 (Auslander-Buchsbaum)

Let AA be a noetherian local ring and MM a finitely generated AA-module of finite projective dimension. Then one has the equality

dpA(M)+profA(M)=prof(A) \mathrm{dp}_A(M) + \mathrm{prof}_A(M) = \mathrm{prof}(A)

Let us reason by induction on dpA(M)\mathrm{dp}_A(M).

a) If dpA(M)\mathrm{dp}_A(M) is zero, MM is a nonzero finitely generated free AA-module; its depth is equal to prof(A)\mathrm{prof}(A) (§ 1, No. 1, remark 4).

b) Suppose dpA(M)=1\mathrm{dp}_A(M) = 1 and choose a minimal projective resolution

0→L1→d1L0→d0M→0 0 \to L_1 \xrightarrow{d_1} L_0 \xrightarrow{d_0} M \to 0

of MM (No. 3, prop. 4, (iv)). The AA-modules L0L_0 and L1L_1 are nonzero finitely generated free modules, hence of depth prof(A)\mathrm{prof}(A) (§ 1, No. 1, remark 4). The mapping 1κA⊗d1:κA⊗AL1→κA⊗AL01_{\kappa_A} \otimes d_1 : \kappa_A \otimes_A L_1 \to \kappa_A \otimes_A L_0 is zero, which implies that d1d_1 belongs to mAHomA(L1,L0)m_A \mathrm{Hom}_A(L_1, L_0). By remark 5 of § 1, No. 1, one has profA(M)=prof(A)−1\mathrm{prof}_A(M) = \mathrm{prof}(A) - 1.

c) Suppose dpA(M)>1\mathrm{dp}_A(M) > 1. Choose an exact sequence

0→N→L→M→0 0 \to N \to L \to M \to 0

where LL is a finitely generated free AA-module. One then has profA(L)=prof(A)\mathrm{prof}_A(L) = \mathrm{prof}(A) (§ 1, No. 1, remark 4), dpA(N)=dpA(M)−1\mathrm{dp}_A(N) = \mathrm{dp}_A(M) - 1 (A, X, p. 135, cor. 2 c)), whence profA(N)=prof(A)−dpA(N)\mathrm{prof}_A(N) = \mathrm{prof}(A) - \mathrm{dp}_A(N) (induction hypothesis), and in particular profA(N)<profA(L)\mathrm{prof}_A(N) < \mathrm{prof}_A(L). By prop. 1 of § 1, No. 1, one then has profA(M)=profA(N)−1\mathrm{prof}_A(M) = \mathrm{prof}_A(N) - 1, which completes the proof.

Remark

In view of cor. 2 of prop. 4 (No. 3), theorem 1 applied to the AA-module κA\kappa_A implies that one is in one or the other of the following cases:

(i) one has dpA(κA)=dh(A)=+∞\mathrm{dp}_A(\kappa_A) = \mathrm{dh}(A) = +\infty ; (ii) one has dpA(κA)=dh(A)=prof(A)<+∞\mathrm{dp}_A(\kappa_A) = \mathrm{dh}(A) = \mathrm{prof}(A) < +\infty.

We shall see later (§ 4, No. 2) that (ii) characterizes regular local rings.

Corollary 1

Retain the hypotheses of theorem 1.

a) One has dpA(M)≤prof⁡(A)dp_A(M) \leq \operatorname{prof}(A). For there to be equality, it is necessary and sufficient that the maximal ideal mAm_A be associated to MM.

b) One has prof⁡A(M)≤prof⁡(A)\operatorname{prof}_A(M) \leq \operatorname{prof}(A). For there to be equality, it is necessary and sufficient that MM be free.

a) In fact, “ prof⁡A(M)=0\operatorname{prof}_A(M) = 0 ” is equivalent to “ mA∈Ass⁡(A)m_A \in \operatorname{Ass}(A) ” (§1§ 1, No. 1, remark 2).

b) In fact, “ dpA(M)=0dp_A(M) = 0 ” is equivalent to “ MM is free ”.

COROLLARY 2.: Retain the hypotheses of theorem 1 and suppose moreover that AA is a Macaulay ring. Then dpA(M)dp_A(M) is the sum of the two positive integers dim⁡(A)−dim⁡A(M)\dim(A) - \dim_A(M) and dim⁡A(M)−prof⁡(M)\dim_A(M) - \operatorname{prof}(M).

In particular, dpA(M)dp_A(M) is then greater than dim⁡(A)−dim⁡A(M)\dim(A) - \dim_A(M), and there is equality if and only if MM is Cohen-Macaulay.

Corollary 3

Let AA be a noetherian ring, MM a finitely generated AA-module of finite projective dimension, ii an integer ≥0\geq 0, NN a finitely generated AA-module, and FF the support of the AA-module Ext⁡Ai(M,N)\operatorname{Ext}_A^i(M, N) (resp. Tor⁡iA(M,N)\operatorname{Tor}_i^A(M, N)). Then prof⁡F(A)≥i\operatorname{prof}_F(A) \geq i.

In fact, let p∈Fp \in F. We have Ext⁡Ai(Mp,Np)≠0\operatorname{Ext}_A^i(M_p, N_p) \neq 0 (resp. Tor⁡iA(Mp,Np)≠0\operatorname{Tor}_i^A(M_p, N_p) \neq 0) by prop. 2 of No. 2, hence i≤dpAp(Mp)≤dpA(M)<+∞i \leq dp_{A_p}(M_p) \leq dp_A(M) < +\infty (No. 2, prop. 3). Theorem 1 implies prof⁡(Ap)≥i\operatorname{prof}(A_p) \geq i. Consequently (§1§ 1, No. 5, prop. 8)

prof⁡F(A)=inf⁡p∈Fprof⁡(Ap)≥i. \operatorname{prof}_F(A) = \inf_{p \in F} \operatorname{prof}(A_p) \geq i .

With the terminology of §1§ 1, No. 5, remark 4, the conclusion of cor. 3 means that the modules Ext⁡Ai(M,N)\operatorname{Ext}_A^i(M, N) and Tor⁡iA(M,N)\operatorname{Tor}_i^A(M, N) are of grade ≥i\geq i. It implies that the codimension of their support in Spec⁡(A)\operatorname{Spec}(A) is ≥i\geq i (§1§ 1, No. 7, prop. 12).

Corollary 4

Let AA be a noetherian Macaulay ring and MM a finitely generated AA-module of finite projective dimension.

a) Let p∈Spec⁡(A)p \in \operatorname{Spec}(A); let us denote by C(p)\mathscr{C}(p) the set of irreducible components of Supp⁡(M)\operatorname{Supp}(M) containing pp. We have

dim⁡Ap(Mp)−prof⁡Ap(Mp)=dpAp(Mp)−inf⁡X∈C(p)codim⁡(X,Spec⁡(A)). \dim_{A_p}(M_p) - \operatorname{prof}_{A_p}(M_p) = dp_{A_p}(M_p) - \inf_{X \in \mathscr{C}(p)} \operatorname{codim}(X, \operatorname{Spec}(A)) .

b) The mapping p↦dim⁡Ap(Mp)−prof⁡Ap(Mp)p \mapsto \dim_{A_p}(M_p) - \operatorname{prof}_{A_p}(M_p) of Spec⁡(A)\operatorname{Spec}(A) into Z‾\overline{\mathbf{Z}} is upper semi-continuous.

c) The set of prime ideals pp of AA such that the ApA_p-module MpM_p is Macaulay is open and dense in Spec⁡(A)\operatorname{Spec}(A). Its intersection with Supp⁡(M)\operatorname{Supp}(M) is dense in Supp⁡(M)\operatorname{Supp}(M).

a) We may suppose that p∈Supp⁡(M)p \in \operatorname{Supp}(M). Put φ(p)=dim⁡(Ap)−dim⁡Ap(Mp)\varphi(p) = \dim(A_p) - \dim_{A_p}(M_p). By cor. 2 above, we have

dim⁡Ap(Mp)−prof⁡Ap(Mp)=dpAp(Mp)−φ(p). \dim_{A_p}(M_p) - \operatorname{prof}_{A_p}(M_p) = dp_{A_p}(M_p) - \varphi(p) .

Since AA is a Macaulay ring, we have

dim⁡(Ap)=codim⁡(V(p),Spec⁡(A))=codim⁡(V(p),X)+codim⁡(X,Spec⁡(A)) \dim(A_p) = \operatorname{codim}(V(p), \operatorname{Spec}(A)) = \operatorname{codim}(V(p), X) + \operatorname{codim}(X, \operatorname{Spec}(A))
dim⁡Ap(Mp)=codim⁡(V(p),Supp⁡(M))=sup⁡X∈C(p)codim⁡(V(p),X) \dim_{A_p}(M_p) = \operatorname{codim}(V(p), \operatorname{Supp}(M)) = \sup_{X \in \mathscr{C}(p)} \operatorname{codim}(V(p), X)

and consequently

φ(p)=inf⁡X∈C(p)codim⁡(X,Spec⁡(A)). \varphi(p) = \inf_{X \in \mathscr{C}(p)} \operatorname{codim}(X, \operatorname{Spec}(A)) .

b) Let p∈Spec⁡(A)p \in \operatorname{Spec}(A), and let FF be the union of the irreducible components of Supp⁡(M)\operatorname{Supp}(M) which do not contain pp. For every element qq of Spec⁡(A)−F\operatorname{Spec}(A) - F, we have C(q)⊂C(p)\mathscr{C}(q) \subset \mathscr{C}(p), whence φ(q)≥φ(p)\varphi(q) \geq \varphi(p) by the formula above. Consequently the function φ\varphi is lower semi-continuous; assertion b) then follows from prop. 3 of No. 2.

c) Let UU be the set of elements pp of Spec⁡(A)\operatorname{Spec}(A) such that MpM_p is Cohen-Macaulay. The condition p∈Up \in U is equivalent to dim⁡(Mp)−prof⁡(Mp)≤0\dim(M_p) - \operatorname{prof}(M_p) \leq 0, so that UU is open by b). Since UU contains Spec⁡(A)−Supp⁡(M)\operatorname{Spec}(A) - \operatorname{Supp}(M), it is enough to prove that U∩Supp⁡(M)U \cap \operatorname{Supp}(M) is dense in Supp⁡(M)\operatorname{Supp}(M). For every minimal prime ideal pp of Supp⁡(M)\operatorname{Supp}(M), the ApA_p-module MpM_p is of finite length (IV, § 2, No. 5, Corollary 2 of Proposition 7 and § 1, No. 3, Corollary 1 of Proposition 7), hence Cohen-Macaulay; consequently UU meets all the irreducible components of Supp⁡(M)\operatorname{Supp}(M). One concludes by means of Proposition 1 of II, § 4, No. 1.

6. Depth and injective dimension

Proposition 8

Let AA be a noetherian ring, MM a finitely generated AA-module. Then dim⁡A(M)≤di⁡A(M)\dim_A(M) \leq \operatorname{di}_A(M).

Let rr be a positive integer less than dim⁡A(M)\dim_A(M). There exists a saturated chain of prime ideals p⊂p1⊂…⊂pr−1⊂qp \subset p_1 \subset \ldots \subset p_{r-1} \subset q such that pp is a minimal element of the support of MM; then the ApA_p-module MpM_p is of finite length, so that Hom⁡Ap(κ(p),Mp)≠0\operatorname{Hom}_{A_p}(\kappa(p), M_p) \neq 0, hence Ext⁡Aqr(κ(q),Mq)≠0\operatorname{Ext}^r_{A_q}(\kappa(q), M_q) \neq 0 (§ 1, No. 7, Lemma 3), which implies di⁡A(M)≥r\operatorname{di}_A(M) \geq r (No. 3, Proposition 6).

Proposition 9

Let AA be a noetherian local ring and MM a nonzero finitely generated AA-module of finite injective dimension. Then di⁡A(M)=prof⁡(A)\operatorname{di}_A(M) = \operatorname{prof}(A).

Put r=di⁡A(M)r = \operatorname{di}_A(M). We have Ext⁡Ai(κA,M)=0\operatorname{Ext}^i_A(\kappa_A, M) = 0 for i>ri > r, hence Ext⁡Ar(κA,M)≠0\operatorname{Ext}^r_A(\kappa_A, M) \neq 0 by Proposition 6 of No. 3, (iv) ⇒\Rightarrow (i). Let ss be the depth of AA and let (x1,…,xs)(x_1, \ldots, x_s) be an AA-regular sequence of elements of mA\mathfrak{m}_A (§ 1, No. 4, Theorem 2); put N=A/(x1A+…+xsA)N = A/(x_1A + \ldots + x_sA). By the example of No. 1, we have dp⁡A(N)=s\operatorname{dp}_A(N) = s and Ext⁡As(N,M)≠0\operatorname{Ext}^s_A(N, M) \neq 0, hence s≤di⁡A(M)=rs \leq \operatorname{di}_A(M) = r. But NN is of depth 0 (§ 1, No. 4, Proposition 7), hence there exists an exact sequence of AA-modules

0→κA→N→N′→0. 0 \to \kappa_A \to N \to N' \to 0 .

From this one deduces an exact sequence of extension modules

Ext⁡Ar(N,M)→Ext⁡Ar(κA,M)→Ext⁡Ar+1(N′,M); \operatorname{Ext}^r_A(N, M) \to \operatorname{Ext}^r_A(\kappa_A, M) \to \operatorname{Ext}^{r+1}_A(N', M) ;

since Ext⁡Ar+1(N′,M)=0\operatorname{Ext}^{r+1}_A(N', M) = 0 and Ext⁡Ar(κA,M)≠0\operatorname{Ext}^r_A(\kappa_A, M) \neq 0, one obtains Ext⁡Ar(N,M)≠0\operatorname{Ext}^r_A(N, M) \neq 0, whence r≤dp⁡A(N)=sr \leq \operatorname{dp}_A(N) = s. In the end, we have r=sr = s, which completes the proof.

7. Gorenstein rings

Definition 1

A ring AA is said to be a Gorenstein ring if it is noetherian and if the AmA_m-module AmA_m is of finite injective dimension for every maximal ideal mm of AA.

For a noetherian local ring AA to be a Gorenstein ring, it is necessary and sufficient that diA(A)\mathrm{di}_A(A) be finite; for a noetherian ring AA to be a Gorenstein ring, it is necessary and sufficient that this be so for AmA_m for every maximal ideal mm of AA.

Proposition 10

Let AA be a Gorenstein ring; then AA is a Macaulay ring, and satisfies diA(A)=dim⁡(A)\mathrm{di}_A(A) = \dim(A).

For every maximal ideal mm of AA, one has

dim⁡(Am)≤diAm(Am)(No. 6,Prop. 8)diAm(Am)=prof(Am)(No. 6,Prop. 9)prof(Am)≤dim⁡(Am)(§1,No. 4,Cor. 2 of Th. 2); \begin{align*} \dim(A_m) &\leq \mathrm{di}_{A_m}(A_m) & (\text{No. } 6, \text{Prop. } 8) \\ \mathrm{di}_{A_m}(A_m) &= \mathrm{prof}(A_m) & (\text{No. } 6, \text{Prop. } 9) \\ \mathrm{prof}(A_m) &\leq \dim(A_m) & (§ 1, \text{No. } 4, \text{Cor. } 2 \text{ of Th. } 2) ; \end{align*}
it follows that AA is a Macaulay ring, and that diA(A)=dim⁡(A)\mathrm{di}_A(A) = \dim(A) by passing to the least upper bound (No. 2, Prop. 3).

Thus the noetherian rings AA such that diA(A)\mathrm{di}_A(A) is finite are the finite-dimensional Gorenstein rings (Prop. 3 of No. 2), and the noetherian rings such that the AA-module AA is injective are the artinian Gorenstein rings.

Example 1

For every multiplicative subset SS of a Gorenstein ring AA, the ring of fractions S−1AS^{-1}A is a Gorenstein ring: in fact, let qq be a maximal ideal of S−1AS^{-1}A; it is of the form S−1pS^{-1}p, where pp is a prime ideal of AA not meeting SS. Let mm be a maximal ideal of AA containing pp; then the ring B=(S−1A)qB = (S^{-1}A)_q is isomorphic to ApA_p (II, § 2, No. 5, Prop. 11), hence to a ring of fractions of AmA_m, and consequently satisfies diB(B)<+∞\mathrm{di}_B(B) < +\infty (No. 2, Cor. 1 of Prop. 3).

Example 2

Let AA be a Gorenstein ring and let JJ be an ideal of AA, generated by an AA-regular sequence xx. The quotient ring A/JA/J is a Gorenstein ring: in fact, for every maximal ideal mm of AA containing JJ, the image in AmA_m of the sequence xx is AmA_m-regular and generates the ideal JmJ_m, so that Am/JmA_m/J_m is a Gorenstein ring by Cor. of Prop. 7 (No. 4).

Example 3

Let AA be a noetherian local ring, JJ an ideal of AA generated by an AA-regular sequence of elements of mAm_A. If A/JA/J is a Gorenstein ring, then the same is true of AA (No. 4, Cor. of Prop. 7).

Example 4

Let AA be a regular local noetherian ring; then AA is a Gorenstein ring. In fact, let xx be a system of coordinates of AA (VIII, § 5, No. 1, Def. 1). The sequence xx is AA-regular (loc. cit., No. 2, Theorem 1) and generates the ideal mAm_A; one can therefore apply Example 3.

Example 5

Every quotient ring of a principal ideal domain is a Gorenstein ring (Example 2). In particular, every monogenic algebra over a field is a Gorenstein ring.

Lemma 1

Let AA be an artinian local ring. The following conditions are equivalent:

(i) AA is a Gorenstein ring; (ii) the AA-module AA is injective; (iii) the vector space HomA(κA,A)\mathrm{Hom}_A(\kappa_A, A) over κA\kappa_A is of dimension 1.

Let us recall (A, VIII, p. 3.5) that AA has a minimal nonzero ideal; such an ideal is a simple module, hence isomorphic to κA\kappa_A. The vector space HomA(κA,A)\mathrm{Hom}_A(\kappa_A, A) over κA\kappa_A is therefore nonzero; saying that it is of dimension 1 means that AA contains only one minimal nonzero ideal, which is therefore the socle of AA (A, VIII, § 4, No. 6).

The equivalence of (i) and (ii) was proved after Prop. 10. Suppose that the AA-module AA is injective. Let xx and yy be two nonzero elements of AA annihilated by mAm_A. There exists a unique AA-linear mapping φ:Ax→A\varphi : Ax \to A such that φ(x)=y\varphi(x) = y; since AA is injective, it extends to an endomorphism of AA, which implies that yy belongs to AxAx, whence (iii).

Conversely, suppose that HomA(κA,A)\mathrm{Hom}_A(\kappa_A, A) is of dimension 1. Let MM be a finitely generated AA-module; it is of finite length, hence has a composition series whose quotients are isomorphic to κA\kappa_A. One deduces by induction on the length of MM the inequality longA(HomA(M,A))⩽longA(M)\mathrm{long}_A(\mathrm{Hom}_A(M, A)) \leqslant \mathrm{long}_A(M). In the exact sequence of extension modules

0→HomA(κA,A)→HomA(A,A)→αHomA(mA,A)→ExtA1(κA,A)→0, 0 \to \mathrm{Hom}_A(\kappa_A, A) \to \mathrm{Hom}_A(A, A) \xrightarrow{\alpha} \mathrm{Hom}_A(m_A, A) \to \mathrm{Ext}_A^1(\kappa_A, A) \to 0 ,

one therefore has longA(HomA(mA,A))⩽longA(mA)=long(A)−1=longA(Im α)\mathrm{long}_A(\mathrm{Hom}_A(m_A, A)) \leqslant \mathrm{long}_A(m_A) = \mathrm{long}(A) - 1 = \mathrm{long}_A(\mathrm{Im}\, \alpha). Consequently α\alpha is surjective, ExtA1(κA,A)\mathrm{Ext}_A^1(\kappa_A, A) is zero and the AA-module AA is injective (No. 3, Prop. 4).

Lemma 2

Let AA be a local noetherian ring such that diA(A)=+∞\mathrm{di}_A(A) = +\infty. Then ExtAi(κA,A)≠0\mathrm{Ext}_A^i(\kappa_A, A) \neq 0 for every integer i⩾dim⁡(A)i \geqslant \dim(A).

Let us reason by induction on dim⁡(A)\dim(A). When dim⁡(A)=0\dim(A) = 0, mAm_A is the unique prime ideal of AA and the assertion follows from Prop. 6 of No. 3. Suppose therefore that dim⁡(A)>0\dim(A) > 0 and let pp be a prime ideal of AA distinct from mAm_A; then dim⁡(Ap)<dim⁡(A)\dim(A_p) < \dim(A). If diAp(Ap)=+∞\mathrm{di}_{A_p}(A_p) = +\infty, the induction hypothesis implies ExtApj(κ(p),Ap)≠0\mathrm{Ext}_{A_p}^j(\kappa(p), A_p) \neq 0 for every integer j⩾dim⁡(Ap)j \geqslant \dim(A_p); by Lemma 3 of § 1, No. 7, this implies ExtAi(κA,A)≠0\mathrm{Ext}_A^i(\kappa_A, A) \neq 0 for every integer i⩾dim⁡(Ap)+dim⁡(A/p)i \geqslant \dim(A_p) + \dim(A/p), and in particular for i⩾dim⁡(A)i \geqslant \dim(A) (VIII, § 1, No. 3, Prop. 8, b)).

It remains for us to treat the case where diA(A)\mathrm{di}_A(A) is infinite but where the injective dimension of ApA_p is finite for every prime ideal pp of AA distinct from mAm_A. For such an ideal, in this case, by Prop. 10, diAp(Ap)=dim⁡(Ap)<dim⁡(A)\mathrm{di}_{A_p}(A_p) = \dim(A_p) < \dim(A), hence ExtApi(κ(p),Ap)=0\mathrm{Ext}_{A_p}^i(\kappa(p), A_p) = 0 for i⩾dim⁡(A)i \geqslant \dim(A). Since diA(A)\mathrm{di}_A(A) is infinite, Prop. 6 of No. 3 then implies ExtAi(κA,A)≠0\mathrm{Ext}_A^i(\kappa_A, A) \neq 0 for every integer i⩾dim⁡(A)i \geqslant \dim(A).

Theorem 2 (Bass)

Let AA be a noetherian local ring; put d=dim⁡(A)d = \dim(A). Let x=(x1,…,xd)x = (x_1, \ldots, x_d) be a maximal secant sequence of elements of mAm_A, and xx the ideal which it generates. The following conditions are equivalent:

(i) AA is a Gorenstein ring; (ii) one has di⁡A(A)=d\operatorname{di}_A(A) = d; (iii) there exists an integer i>di > d such that Ext⁡Ai(κA,A)=0\operatorname{Ext}^i_A(\kappa_A, A) = 0; (iv) one has Ext⁡Ai(κA,A)=0\operatorname{Ext}^i_A(\kappa_A, A) = 0 for i<di < d and the κA\kappa_A-vector space Ext⁡Ad(κA,A)\operatorname{Ext}^d_A(\kappa_A, A) is of dimension 1; (v) the ring AA is Macaulay and the κA\kappa_A-vector space Hom⁡A(κA,A/x)\operatorname{Hom}_A(\kappa_A, A/x) is of dimension 1; (vi) the sequence xx is AA-regular and the κA\kappa_A-vector space Hom⁡A(κA,A/x)\operatorname{Hom}_A(\kappa_A, A/x) is of dimension 1.

The equivalence of (i), (ii) and (iii) follows from Lemma 2 and Prop. 10. If Ext⁡Ai(κA,A)\operatorname{Ext}^i_A(\kappa_A, A) is zero for every integer i<di < d, the ring AA is Macaulay (§ 2, No. 3, Prop. 3); if the ring AA is Macaulay, the sequence xx is AA-regular (loc. cit., Th. 1); if the sequence xx is AA-regular, one has Ext⁡Ai(κA,A)=0\operatorname{Ext}^i_A(\kappa_A, A) = 0 for i<di < d and the κA\kappa_A-vector spaces Ext⁡Ad(κA,A)\operatorname{Ext}^d_A(\kappa_A, A) and Hom⁡A(κA,A/x)\operatorname{Hom}_A(\kappa_A, A/x) are isomorphic (A, X, p. 166, Prop. 9). This proves the equivalence of conditions (iv), (v) and (vi).

Let us prove that (i) implies (v): if AA is a Gorenstein ring, it is a Macaulay ring (prop. 10). The sequence xx is then AA-regular (§ 2, No. 3, prop. 4), hence A/xA/x is an artinian Gorenstein ring (example 2), so that the κA\kappa_A-vector space Hom⁡A(κA,A/x)\operatorname{Hom}_A(\kappa_A, A/x) is of dimension 1.

Lastly let us prove that (vi) implies (i): under assumption (vi), the ring A/xA/x is a Gorenstein ring (lemma 1), hence AA is a Gorenstein ring (example 3).

Corollary

Let AA be a noetherian local ring of dimension d. The AA-module Ext⁡Ad(κA,A)\operatorname{Ext}^d_A(\kappa_A, A) is not zero.

This follows from th. 2 if AA is a Gorenstein ring and from lemma 2 otherwise.

Proposition 11

Let AA be a noetherian ring. The following conditions are equivalent:

(i) AA is a Gorenstein ring ; (ii) for every prime ideal pp of AA, the κ(p)\kappa(p)-vector space Ext⁡Api(κ(p),Ap)\operatorname{Ext}^i_{A_p}(\kappa(p), A_p) is zero for i≠ht⁡(p)i \neq \operatorname{ht}(p) and of dimension 1 for i=ht⁡(p)i = \operatorname{ht}(p). (iii) for every maximal ideal mm of AA, there exists an integer i>ht⁡(m)i > \operatorname{ht}(m) such that Ext⁡Ami(A/m,Am)=0\operatorname{Ext}^i_{A_m}(A/m, A_m) = 0.

(i) ⇒\Rightarrow (ii) : this follows from th. 2 applied to the local Gorenstein ring ApA_p (example 1). (ii) ⇒\Rightarrow (iii) : this is trivial. (iii) ⇒\Rightarrow (i) : under assumption (iii), AmA_m is a Gorenstein ring for every maximal ideal mm of AA (th. 2), and AA is Gorenstein.

8. Gorenstein Rings and Flat Algebras

Proposition 12

Let ρ:A→B\rho : A \to B be a local homomorphism of noetherian local rings, making BB into a flat AA-module. The following conditions are equivalent:

(i) BB is a Gorenstein ring ; (ii) AA and κA⊗AB\kappa_A \otimes_A B are Gorenstein rings.

Let us first treat the case where the rings AA and BB are artinian. Let CC denote the local ring κA⊗AB\kappa_A \otimes_A B; its residue field κC\kappa_C identifies with κB\kappa_B. Since BB is flat over AA, the BB-module HomB(C,B)\mathrm{Hom}_B(C, B) is isomorphic to HomA(κA,A)⊗AB\mathrm{Hom}_A(\kappa_A, A) \otimes_A B (I, § 2, No. 10, prop. 11), hence to HomA(κA,A)⊗κAC\mathrm{Hom}_A(\kappa_A, A) \otimes_{\kappa_A} C. We deduce a sequence of isomorphisms

HomB(κB,B)⟶HomC(κC,HomB(C,B))⟶HomC(κC,HomA(κA,A)⊗κAC) \mathrm{Hom}_B(\kappa_B, B) \longrightarrow \mathrm{Hom}_C(\kappa_C, \mathrm{Hom}_B(C, B)) \longrightarrow \mathrm{Hom}_C(\kappa_C, \mathrm{Hom}_A(\kappa_A, A) \otimes_{\kappa_A} C)
⟶HomA(κA,A)⊗κAHomC(κC,C). \longrightarrow \mathrm{Hom}_A(\kappa_A, A) \otimes_{\kappa_A} \mathrm{Hom}_C(\kappa_C, C) .

In particular, one has [HomB(κB,B):κB]=[HomA(κA,A):κA] [HomC(κC,C):κC][\mathrm{Hom}_B(\kappa_B, B) : \kappa_B] = [\mathrm{Hom}_A(\kappa_A, A) : \kappa_A] \ [\mathrm{Hom}_C(\kappa_C, C) : \kappa_C] and the proposition then follows from lemma 1 of No. 7.

Let us pass to the general case. If in the statement one replaces the word "Gorenstein" by the word "Macaulay", the proposition is a particular case of Prop. 10 of § 2, No. 7. We may therefore suppose that the rings AA, BB and C=κA⊗ABC = \kappa_A \otimes_A B are Macaulay. The BB-module CC is Macaulay (§ 2, No. 1, Example 4). Put r=dim⁡(A)r = \dim(A), s=dim⁡(C)s = \dim(C). There exists an AA-regular sequence (x1,…,xr)(x_1, \ldots, x_r) of elements of mAm_A and a sequence (y1,…,ys)(y_1, \ldots, y_s) of elements of mBm_B which is regular for the BB-module CC (§ 2, No. 3, Prop. 3); let xx denote the ideal of AA and y\mathfrak{y} the ideal of BB which they generate respectively. The sequence (y1,…,ys,ρ(x1),…,ρ(xr))(y_1, \ldots, y_s, \rho(x_1), \ldots, \rho(x_r)) is BB-regular (§ 1, No. 6, Prop. 11), and the AA-module B/yB/\mathfrak{y} is flat (loc. cit., Prop. 10). The homomorphism of A/xA/x into B/(xB+y)B/(xB + \mathfrak{y}) deduced from ρ\rho by passing to quotients therefore makes B/(xB+y)B/(xB + \mathfrak{y}) into a flat (A/x)(A/x)-module, and the ring κA/x⊗A/xB/(xB+y)\kappa_{A/x} \otimes_{A/x} B/(xB + \mathfrak{y}) is isomorphic to C/yCC/\mathfrak{y}C. The proposition thus follows from the first part of the proof, taking account of Example 3 of No. 7.

Corollary 1

Let ρ:A→B\rho : A \to B be a homomorphism of noetherian rings making BB into a flat AA-module. The following conditions are equivalent:

(i) BB is a Gorenstein ring; (ii) (resp. (iii)) for every prime ideal (resp. maximal ideal) qq of BB, the rings Aρ−1(q)A_{\rho^{-1}(q)} and κ(ρ−1(q))⊗AB\kappa(\rho^{-1}(q)) \otimes_A B are Gorenstein.

If moreover BB is a faithfully flat AA-module, these conditions imply that AA is a Gorenstein ring.

Let qq be a prime ideal of BB; put p=ρ−1(q)p = \rho^{-1}(q). The ring BqB_q, isomorphic to a ring of fractions of BpB_p, is flat over ApA_p. In order that BqB_q be a Gorenstein ring, it is necessary and sufficient that the rings ApA_p and κ(p)⊗ApBq\kappa(p) \otimes_{A_p} B_q should be so (Prop. 12).

(i) ⇒\Rightarrow (ii): let qq be a prime ideal of BB and p=ρ−1(q)p = \rho^{-1}(q). If BB is a Gorenstein ring, the same is true of BqB_q, hence of ApA_p and κ(p)⊗ApBq\kappa(p) \otimes_{A_p} B_q by what precedes. By the remark of § 2, No. 6, the local ring of κ(p)⊗AB\kappa(p) \otimes_A B at any prime ideal whatever is then a Gorenstein ring, which implies that κ(p)⊗AB\kappa(p) \otimes_A B is a Gorenstein ring, whence (ii).

(ii) ⇒\Rightarrow (iii): this is clear.

(iii) ⇒\Rightarrow (i): for every maximal ideal nn of BB, it follows from the beginning of the proof (applied with q=nq = n) that BnB_n is a Gorenstein ring, whence (i).

If BB is a faithfully flat AA-module, the mapping aρ:Spec(B)⟶Spec(A)^a\rho : \mathrm{Spec}(B) \longrightarrow \mathrm{Spec}(A) is surjective (II, § 2, No. 5, cor. 4 of prop. 11), whence the last assertion.

Corollary 2

Let AA be a noetherian ring, JJ an ideal of AA, A^\hat{A} the separated completion of AA for the JJ-adic topology. Consider the following conditions:

(i) AA is a Gorenstein ring; (ii) A^\hat{A} is a Gorenstein ring; (iii) for every maximal ideal mm of AA containing JJ, AmA_m is a Gorenstein ring; (iv) for every prime ideal pp of AA such that p+J≠Ap + J \neq A, ApA_p and κ(p)⊗AA^\kappa(p) \otimes_A \hat{A} are Gorenstein rings.

Conditions (ii) to (iv) are equivalent, and are implied by (i). When the ideal JJ is contained in the radical of AA, conditions (i) to (iv) are equivalent.

This corollary is deduced from cor. 1 in the same way as corollary 4 of prop. 9 of § 2, No. 7, was deduced: it is enough in the proof to replace the word "Macaulay" by the word "Gorenstein".

Corollary 3

Let AA be a Gorenstein ring and (Ti)i∈I(T_i)_{i \in I} a finite family of indeterminates. The rings A[(Ti)i∈I]A[(T_i)_{i \in I}] and A[[Ti]i∈I]A[[T_i]_{i \in I}] are Gorenstein rings.

For every field kk, the ring k[T]k[T] is Gorenstein (No. 7, example 5); moreover the ring A[T]A[T] is noetherian. It is therefore a Gorenstein ring (cor. 1). It follows by induction on Card(I)\mathrm{Card}(I) that A[(Ti)i∈I]A[(T_i)_{i \in I}] is a Gorenstein ring; then cor. 2 is applied.

Exercises

See the exercises for § 3.

Machine translation of the English, by gpt-5.4, against glossary version 34. Not checked by a person.