Bourbaki

10. Extensions of a valuation to a transcendental extension

1. The case of a monogenous transcendental extension

Lemma 1

Let KK be a field, vv a valuation on KK, Γ\Gamma its order group, Γ′\Gamma' a totally ordered group containing Γ\Gamma and ξ\xi an element of Γ′\Gamma'. There exists a unique valuation w on K(X)K(X) such that, for P=∑jajXjP = \sum_j a_j X^j (aj∈Ka_j \in K), w(P)=inf⁡j(v(aj)+jξ)w(P) = \inf_j (v(a_j) + j\xi).

By Proposition 4 of § 3, no. 2, it suffices to show that the formula

w(∑jajXj)=inf⁡j(v(aj)+jξ) w\left( \sum_j a_j X^j \right) = \inf_j (v(a_j) + j\xi)

defines a valuation on the ring K[X]K[X]. As

v(aj+bj)+jξ≥inf⁡(v(aj),v(bj))+jξ=inf⁡(v(aj)+jξ,v(bj)+jξ), v(a_j + b_j) + j\xi \geq \inf(v(a_j), v(b_j)) + j\xi = \inf(v(a_j) + j\xi, v(b_j) + j\xi),

it follows that

w(P+Q)≥inf⁡(w(P),w(Q)) w(P + Q) \geq \inf(w(P), w(Q))

for P,QP, Q in K[X]K[X], equality holding if w(P)≠w(Q)w(P) \neq w(Q). We show that

w(PQ)=w(P)+w(Q) w(PQ) = w(P) + w(Q)

for P=∑ajXjP = \sum a_j X^j and Q=∑bjXjQ = \sum b_j X^j. Let ii (resp. kk) be the least of the integers jj such that v(aj)+jξv(a_j) + j\xi (resp. v(bj)+jξv(b_j) + j\xi) attains its minimum; let aa (resp. β\beta) denote this minimum. For j,j′j, j' in N\mathbf{N},

w(ajbj′Xj+j′)=v(aj)+jξ+v(bj′)+j′ξ≥a+β, w(a_j b_{j'} X^{j+j'}) = v(a_j) + j\xi + v(b_{j'}) + j'\xi \geq a + \beta,

whence w(PQ)≥a+βw(PQ) \geq a + \beta by (2). Consider now the term cXi+kc X^{i+k} of degree i+ki + k in PQPQ; then c=∑n∈Zai+nbk−nc = \sum_{n \in \mathbf{Z}} a_{i+n} b_{k-n}; by the choice of ii and kk, the element

w(ai+nbk−nXi+k)=v(ai+n)+(i+n)ξ+v(bk−n)+(k−n)ξ w(a_{i+n} b_{k-n} X^{i+k}) = v(a_{i+n}) + (i+n)\xi + v(b_{k-n}) + (k-n)\xi

takes its minimum value a+βa + \beta once and once only with n=0n = 0; hence w(cXi+k)=a+βw(c X^{i+k}) = a + \beta, whence, by (1),

w(PQ)=α+β=w(P)+w(Q). w(PQ) = \alpha + \beta = w(P) + w(Q).

Proposition 1

Let KK be a field, vv a valuation on KK, Γ\Gamma its order group, Γ′\Gamma' a totally ordered group containing Γ\Gamma and ξ\xi an element of Γ′\Gamma' such that the relations nξ∈Γ,n∈Zn\xi \in \Gamma, n \in \mathbf{Z} imply n=0n = 0. Then there exists a unique valuation w on K(X)K(X) with values in Γ′\Gamma' and extending vv such that w(X)=ξw(X) = \xi. The residue field of w is equal to that of vv and its order group is the subgroup Γ+Zξ\Gamma + \mathbf{Z}\xi of Γ′\Gamma'.

We show first the uniqueness of w. Let P=∑jajXjP = \sum_j a_j X^j be an element of K[X]K[X]. Then w(ajXj)=v(aj)+jξw(a_j X^j) = v(a_j) + j\xi, which shows that the monomials ajXja_j X^j such that aj≠0a_j \neq 0 have distinct values for w. It follows that w(P)=inf⁡j(v(aj)+jξ)w(P) = \inf_j (v(a_j) + j\xi), which shows both the uniqueness of w on K[X]K[X] (hence also on K(X)K(X)) and the fact that the order group of w is Γ+Zξ\Gamma + \mathbf{Z}\xi. It is further seen that, if P≠0P \neq 0, we may write P=aXn(1+u)P = a X^n (1 + u), where a∈K∗,n∈N,u∈K(X)a \in K^*, n \in \mathbf{N}, u \in K(X) and w(u)>0w(u) > 0; every element R≠0R \neq 0 of K(X)K(X) can therefore be written in the form

R=bXn(1+u′), R = b X^n (1 + u'),
where b∈K∗,n∈Z,u′∈K(X)b \in K^*, n \in \mathbf{Z}, u' \in K(X) and w(u′)>0w(u') > 0; then w(R)=v(b)+nξw(R) = v(b) + n \xi, hence w(R)=0w(R) = 0 if and only if v(b)=0v(b) = 0 and n=0n = 0; thus, when w(R)=0w(R) = 0, RR and bb are congruent modulo the ideal of ww, which shows that the residue field of ww is equal to that of vv.

Finally the existence of ww follows from Lemma 1.

Proposition 2

Let KK be a field, vv a valuation on KK, Γ\Gamma its order group and kk its residue field. There exists a unique valuation ww on K(X)K(X) extending vv such that w(X)=0w(X) = 0 and the image tt of XX in the residue field k′k' of ww is transcendental over kk. The order group of ww is equal to that of vv and its residue field is k(t)k(t).

To show the uniqueness of ww, it will suffice for us to show that, if P=∑jajXjP = \sum_j a_j X^j is a non-zero element of K[X]K[X], then

w(P)=inf⁡j(v(aj)). w(P) = \inf_j (v(a_j)).
We may divide PP by an element of K∗K^* and suppose that v(aj)≥0v(a_j) \geq 0 for all jj and that one of the v(aj)v(a_j) is zero. As w(X)=0w(X) = 0, PP then belongs to the ring of ww; writing aˉj\bar{a}_j for the canonical image of aja_j in kk, the canonical image of PP in the residue field k′k' is ∑jaˉjtj\sum_j \bar{a}_j t^j; as tt is transcendental over kk and one of the aˉj\bar{a}_j is non-zero, this image is non-zero, whence
w(P)=0=inf⁡j(v(aj)). w(P) = 0 = \inf_j (v(a_j)).
We now show the existence of ww. The formula w(P)=inf⁡j(v(aj))w(P) = \inf_j (v(a_j)) (for P=∑jajXjP = \sum_j a_j X^j) defines a valuation ww on K(X)K(X), by virtue of Lemma 1, and ww obviously has the same order group as vv. Then w(X)=0w(X) = 0. We show that the canonical image tt of XX in the residue field k′k' of ww is transcendental over kk: if ∑jaˉjtj=0\sum_j \bar{a}_j t^j = 0, where aˉj∈k\bar{a}_j \in k for all jj, then, denoting by aa, a representative of aˉj\bar{a}_j in the ring of vv, w(∑jajXj)>0w \left( \sum_j a_j X^j \right) > 0; whence v(aj)>0v(a_j) > 0 for all jj, hence aˉj=0\bar{a}_j = 0 for all jj. We show finally that k′=k(t)k' = k(t): every element RR of K(X)K(X) may be written R=c(∑jajXj)/(∑jbjXj)R = c \left( \sum_j a_j X^j \right) / \left( \sum_j b_j X^j \right), where c,aj,bjc, a_j, b_j are in KK, v(aj)≥0v(a_j) \geq 0 and v(bj)≥0v(b_j) \geq 0 for all jj, one of the v(aj)v(a_j) and one of the v(bj)v(b_j) being zero; then w(R)≥0w(R) \geq 0 if and only if v(c)≥0v(c) \geq 0; denoting by ff the canonical homomorphism of the ring of ww onto k′k',
f(R)=f(c)(∑jf(aj)tj)/(∑jf(bj)tj), f(R) = f(c) \left( \sum_j f(a_j) t^j \right) / \left( \sum_j f(b_j) t^j \right),

which proves our assertion.

Remark

It 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 Γ′/Γ\Gamma'/\Gamma is a torsion group and k′k' a (not necessarily finite) algebraic extension of kk. This third type is not necessarily provided by the procedure described in Lemma 1 (cf. § 3, Exercise 1).

2. The rational rank of a commutative group

Definition 1

The rational rank of a commutative group G is the dimension of the vector Q-space* G⊗ZQG \otimes_{\mathbf{Z}} \mathbf{Q}.

This dimension may also be defined as the least upper bound (finite or infinite) of the cardinals rr such that there exist rr elements of G which are linearly independent over Z\mathbf{Z} (Algebra, Chapter II, § 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 Rn\mathbf{R}^n, the notion of rational rank coincides with that defined in General Topology, Chapter VII, § 1.

In the rest of this paragraph, we shall denote by r(G)r(G) the rational rank of the commutative group G. If G′G' is a subgroup of G, then (since Q\mathbf{Q} is a flat Z\mathbf{Z}-module) we have the additive equation

r(G)=r(G′)+r(G/G′). r(G) = r(G') + r(G/G').

Proposition 3

Let G be a totally ordered Commutative group and H a subgroup of G. If h(G)h(G) and h(H)h(H) denote the heights of G and H* (§4§ 4, no. 4), *then the inequality

h(G)≤h(H)+r(G/H) h(G) \leq h(H) + r(G/H)

holds.

In fact, let G0⊂G1⊂…⊂GnG_0 \subset G_1 \subset \ldots \subset G_n be a strictly increasing sequence of isolated subgroups of G. It is necessary to establish the inequality

n≤h(H)+r(G/H). n \leq h(H) + r(G/H).

It is obvious for n=0n = 0. Suppose n≥1n \geq 1 and let us argue by induction on nn. Applying the induction hypothesis to the group Gn−1G_{n-1} and its subgroup H∩Gn−1H \cap G_{n-1}, we obtain

n−1≤h(H∩Gn−1)+r(Gn−1/(H∩Gn−1)). n - 1 \leq h(H \cap G_{n-1}) + r(G_{n-1}/(H \cap G_{n-1})).

Then we distinguish two cases:

(a) H∩Gn−1=HH \cap G_{n-1} = H, in other words H⊂Gn−1H \subset G_{n-1}. Inequality (7) may be written

n≤h(H)+r(Gn−1/H)+1. n \leq h(H) + r(G_{n-1}/H) + 1.

Now G/Gn−1G/G_{n-1} is a totally ordered group not reduced to 0; it is therefore not a torsion group and r(G/Gn−1)≥1r(G/G_{n-1}) \geq 1. Whence by (4), r(G/H)≥r(Gn−1/H)+1r(G/H) \geq r(G_{n-1}/H) + 1. Substituting in (8), we certainly obtain the desired inequality (6).

(b) H∩Gn−1≠HH \cap G_{n-1} \neq H. As H∩Gn−1H \cap G_{n-1} is an isolated subgroup of HH, we conclude that h(H)>h(H∩Gn−1)+1h(H) > h(H \cap G_{n-1}) + 1. On the other hand, obviously r(G/H)≥r(Gn−1/(H∩Gn−1))r(G/H) \geq r(G_{n-1}/(H \cap G_{n-1})). Substituting in (7), we again obtain (6).

Corollary

For every totally ordered commutative group G, h(G)≤r(G)h(G) \leq r(G).* We set H=(0)H = (0) in Proposition 3.

Proposition 4

Let G be a totally ordered commutative group. Suppose that G is finitely generated and that h(G)=r(G)h(G) = r(G). Then G is isomorphic to Zr(G)\mathbf{Z}^{r(G)} ordered lexicographically.

Let us write r=r(G)=h(G)r = r(G) = h(G). If r=0r = 0, then G=(0)G = (0). If r=1r = 1, the structure of finitely generated commutative groups shows that there is an isomorphism jj of G onto Z (Algebra, Chapter VII, § 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 jj or −j-j is an isomorphism of the ordered group G onto Z with the usual ordering.

Suppose now that r≥2r \geq 2 and let us argue by induction on rr. Let H be an isolated subgroup of G of height r−1r - 1. Then r(H)+r(G/H)=rr(H) + r(G/H) = r (formula (4)), r(H)≥h(H)=r−1r(H) \geq h(H) = r - 1 and r(G/H)≥h(G/H)=1r(G/H) \geq h(G/H) = 1 (Corollary to Proposition 3), whence r(H)=r−1r(H) = r - 1 and r(G/H)=1r(G/H) = 1. The induction hypothesis shows that H is isomorphic to Zr−1\mathbf{Z}^{r-1} ordered lexicographically and the case r=1r = 1 shows that G/HG/H is isomorphic to Z. As Z is a free Z-module, H is a direct factor of G (Algebra, Chapter 11, § 1, no. 11, Proposition 21). The following lemma then shows that G is isomorphic (not canonically) to the lexicographical product H×(G/H)H \times (G/H), which completes the proof.

Lemma 2

Let H be an isolated subgroup of a totally ordered commutative group G. If H is a direct factor of G, the ordered group G is isomorphic to the group (G/H)×H(G/H) \times H ordered lexicographically.

Let jj be an isomorphism of (G/H)×H(G/H) \times H onto G such that j(0,x)=xj(0, x) = x for all x∈Hx \in H and j(y,x)j(y, x) belongs to the coset of H. As (G/H)×H(G/H) \times H is totally ordered, it amounts to showing that jj is increasing (Set Theory, Chapter III, § 1, no. 12, Proposition 11). Let (y,x)(y, x) be an element ≥0\geq 0 of (G/H)×H(G/H) \times H ordered lexicographically. If y>0y > 0, the coset of H containing j(y,x)j(y, x) is an element >0> 0, whence j(y,x)>0j(y, x) > 0, for, otherwise, y≤0y \leq 0 (§ 4, no. 2, Proposition 3). If y=0y = 0 and x≥0x \geq 0, then j(y,x)=x≥0j(y, x) = x \geq 0. Hence jj is certainly increasing.

3. The case of any transcendental extension

In this no. we shall use the following notation : KK is a field, K′K' an extension of KK, vv a valuation on KK, v′v' an extension of vv to KK, Γ\Gamma and kk (resp. Γ′\Gamma' and k′k') the order group and residue field of vv (resp. v′v'). We shall write:

d(K′/K)=dim⁡.al, K′=transcendence degree of K′ over K; d(K'/K) = \dim.\mathrm{al},\ K' = \text{transcendence degree of } K' \text{ over } K;
s(v′/v)=dim⁡.al, k′=transcendence degree of k′ over k; s(v'/v) = \dim.\mathrm{al},\ k' = \text{transcendence degree of } k' \text{ over } k;
r(v′/v)=r(Γ′/Γ)=rational rank of Γ′/Γ, r(v'/v) = r(\Gamma'/\Gamma) = \text{rational rank of } \Gamma'/\Gamma,

if the right-hand sides are finite; otherwise, we shall make the convention that d(K′/K)=+∞d(K'/K) = +\infty (resp. s(v′/v)=+∞,r(v′/v)=+∞s(v'/v) = +\infty, r(v'/v) = +\infty).

Theorem 1

Let x1,…,x,x_1, \ldots, x, be elements of the ring of v′v' whose canonical images x‾i\overline{x}_i in k′k' are algebraically independent over kk and y1,…,yry_1, \ldots, y_r elements of K′K' such that the canonical images of the v′(yj)v'(y_j) in Γ′/Γ\Gamma'/\Gamma are linearly independent over Z\mathbf{Z}. Then the r+sr+s elements x1,…,x,y1,…,yrx_1, \ldots, x, y_1, \ldots, y_r of K′K' are algebraically independent over KK; the restriction of v′v' to K(x1,…,x,y1,…,yr)K(x_1, \ldots, x, y_1, \ldots, y_r) admits k(x‾1,…,x‾s)k(\overline{x}_1, \ldots, \overline{x}_s) as residue field and

Γ+Zv′(y1)+…+Zv′(yr) \Gamma + \mathbf{Z}v'(y_1) + \ldots + \mathbf{Z}v'(y_r)

as order group.

Our assertion is obvious if r+s=0r+s = 0. We argue by induction on r+sr+s. If r′≤r,s′≤sr' \leq r, s' \leq s and r′+s′<r+sr'+s' < r+s, the induction hypothesis shows that the hypotheses of Theorem 1 hold if KK is replaced by K(x1,…,xs,y1,…,yr′)K(x_1, \ldots, x_s, y_1, \ldots, y_{r'}) and the families (x1,…,xs),(y1,…,yr)(x_1, \ldots, x_s), (y_1, \ldots, y_r) by (xs′+1,…,xs),(yr′+1,…,yr)(x_{s'+1}, \ldots, x_s), (y_{r'+1}, \ldots, y_r). The problem is therefore reduced to one of the two following cases:

(a) There is an element xx in the ring v′v' such that x‾\overline{x} is transcendental over kk; then it is necessary to show that xx is transcendental over KK and that the restriction of v′v' to K(x)K(x) admits k(x‾)k(\overline{x}) as residue field and Γ\Gamma as order group.

(b) There is an element yy in K′K' such that the relations nv′(y)∈Γnv'(y) \in \Gamma and n∈Zn \in \mathbf{Z} imply n=0n = 0; it is necessary to show that yy is transcendental over KK and that the restriction of v′v' to K(y)K(y) admits kk as residue field and Γ+Zv′(y)\Gamma + \mathbf{Z}v'(y) as order group.

Now Proposition 1 of § 8, no. 1 shows that xx (resp. yy) cannot be algebraic over KK. The other assertions of (a) (resp. (b)) follow immediately by Proposition 2 (resp. Proposition 1) of no. 1.

Corollary 1

The inequality

s(v′/v)+r(v′/v)≤d(K′/K) s(v'/v) + r(v'/v) \leq d(K'/K)

holds.

Further, if K′K' is a finitely generated extension of KK and equality holds in (9), then Γ′/Γ\Gamma'/\Gamma is a finitely generated Z\mathbf{Z}-module and k′k' is a finitely generated extension of kk.

Let rr and ss be natural numbers such that r≤r(v′/v)r \leq r(v'/v) and s≤s(v′/v)s \leq s(v'/v); we show that r+s≤d(K′/K)r+s \leq d(K'/K) and this will prove (9). By hypothesis there exist elements x1,…,x,y1,…,yx_1, \ldots, x, y_1, \ldots, y, of K′K' which satisfy the hypotheses of Theorem 1.

They are therefore algebraically independent over KK, which shows the inequality r+s<d(K′/K)r + s < d(K'/K).

If K′K' is a finitely generated extension of KK, d(K′/K)d(K'/K) is finite, hence s(v′/v)s(v'/v) and r(v′/v)r(v'/v) are also finite; we denote them by ss and rr. There exist elements x1,…,xs,y1,…,yrx_1, \ldots, x_s, y_1, \ldots, y_r of K′K' which satisfy the hypotheses of Theorem 1. If r+s=d(K′/K)r + s = d(K'/K), these elements form a transcendence basis of K′K' over KK and K′K' is therefore a finite algebraic extension of K′′=K(x1,…,yr)K'' = K(x_1, \ldots, y_r). Let Γ′′\Gamma'' and k′′k'' be the order group and residue field of the restriction of v′v' to K′′K''. By Theorem 1, Γ′′/Γ\Gamma''/\Gamma is a finitely generated Z\mathbf{Z}-module and k′′k'' is a finitely generated pure extension of kk. On the other hand, as K′K' is a finite algebraic extension of KK, Γ′/Γ\Gamma'/\Gamma is a finite group and k′k' is a finite algebraic extension of k′′k'' (§ 8, no. 1, Lemma 2). This proves the corollary.

Corollary 2

Let h and h' be the heights of v and v'. Then*

s(v′/v)+h′≤d(K′/K)+h. s(v'/v) + h' \leq d(K'/K) + h.
By Proposition 3, h′≤r(v′/v)+hh' \leq r(v'/v) + h.

Corollary 3

Suppose that K′K' is a finitely generated extension of KK, that Γ\Gamma is isomorphic to Zh′\mathbf{Z}^{h'} (ordered lexicographically) and there is equality in formula (10). Then Γ′\Gamma' is isomorphic to Zh′\mathbf{Z}^{h'} (ordered lexicographically) and k′k' is a finitely generated extension of kk.

If there is equality in (10), there is equality in (9), whence the fact that k′k' is a finitely generated extension of kk and that Γ′′\Gamma'' is a finitely generated Z\mathbf{Z}-module. Further, comparing (9) and (10), it is seen that h′−h=r(Γ′/Γ)h' - h = r(\Gamma'/\Gamma), whence h′=r(Γ′)h' = r(\Gamma') and Proposition 4 (no. 2) then shows that Γ′\Gamma' is isomorphic to Zh′\mathbf{Z}^{h'} ordered lexicographically.

Corollary 4

Suppose that v is improper (in which case k=Kk = K). Then*

h(Γ′)+d(k′/K)≤r(Γ′)+D(k′/K)≤d(K′/K). h(\Gamma') + d(k'/K) \leq r(\Gamma') + D(k'/K) \leq d(K'/K).
If, in particular, v' is of height 1, then
d(k′/K)≤d(K′/K)−1; d(k'/K) \leq d(K'/K) - 1;
*further, if K′K' is a finitely generated extension of KK and there is equality in (12), then v′v' is a discrete valuation and k′k' is a finitely generated extension of KK.

It is a series of special cases of Corollaries 1, 2, 3.

Exercises

See the exercises for § 10.

Transcribed from the printed volume. Not translated.