10. Extensions of a valuation to a transcendental extension
1. The case of a monogenous transcendental extension
Lemma 1
Let K be a field, v a valuation on K, Γ its order group, Γ′ a totally ordered group containing Γ and ξ an element of Γ′. There exists a unique valuation w on K(X) such that, for P=∑jajXj (aj∈K), w(P)=infj(v(aj)+jξ).
By Proposition 4 of § 3, no. 2, it suffices to show that the formula
w(j∑ajXj)=jinf(v(aj)+jξ)
defines a valuation on the ring K[X]. As
v(aj+bj)+jξ≥inf(v(aj),v(bj))+jξ=inf(v(aj)+jξ,v(bj)+jξ),
it follows that
w(P+Q)≥inf(w(P),w(Q))
for P,Q in K[X], equality holding if w(P)=w(Q). We show that
w(PQ)=w(P)+w(Q)
for P=∑ajXj and Q=∑bjXj. Let i (resp. k) be the least of the integers j such that v(aj)+jξ (resp. v(bj)+jξ) attains its minimum; let a (resp. β) denote this minimum. For j,j′ in N,
w(ajbj′Xj+j′)=v(aj)+jξ+v(bj′)+j′ξ≥a+β,
whence w(PQ)≥a+β by (2). Consider now the term cXi+k of degree i+k in PQ; then c=∑n∈Zai+nbk−n; by the choice of i and k, the element
w(ai+nbk−nXi+k)=v(ai+n)+(i+n)ξ+v(bk−n)+(k−n)ξ
takes its minimum value a+β once and once only with n=0; hence w(cXi+k)=a+β, whence, by (1),
w(PQ)=α+β=w(P)+w(Q).
Proposition 1
Let K be a field, v a valuation on K, Γ its order group, Γ′ a totally ordered group containing Γ and ξ an element of Γ′ such that the relations nξ∈Γ,n∈Z imply n=0. Then there exists a unique valuation w on K(X) with values in Γ′ and extending v such that w(X)=ξ. The residue field of w is equal to that of v and its order group is the subgroup Γ+Zξ of Γ′.
We show first the uniqueness of w. Let P=∑jajXj be an element of K[X]. Then w(ajXj)=v(aj)+jξ, which shows that the monomials ajXj such that aj=0 have distinct values for w. It follows that w(P)=infj(v(aj)+jξ), which shows both the uniqueness of w on K[X] (hence also on K(X)) and the fact that the order group of w is Γ+Zξ. It is further seen that, if P=0, we may write P=aXn(1+u), where a∈K∗,n∈N,u∈K(X) and w(u)>0; every element R=0 of K(X) can therefore be written in the form
R=bXn(1+u′), where
b∈K∗,n∈Z,u′∈K(X) and
w(u′)>0; then
w(R)=v(b)+nξ, hence
w(R)=0 if and only if
v(b)=0 and
n=0; thus, when
w(R)=0,
R and
b are congruent modulo the ideal of
w, which shows that the residue field of
w is equal to that of
v.
Finally the existence of w follows from Lemma 1.
Proposition 2
Let K be a field, v a valuation on K, Γ its order group and k its residue field. There exists a unique valuation w on K(X) extending v such that w(X)=0 and the image t of X in the residue field k′ of w is transcendental over k. The order group of w is equal to that of v and its residue field is k(t).
To show the uniqueness of w, it will suffice for us to show that, if P=∑jajXj is a non-zero element of K[X], then
w(P)=jinf(v(aj)). We may divide
P by an element of
K∗ and suppose that
v(aj)≥0 for all
j and that one of the
v(aj) is zero. As
w(X)=0,
P then belongs to the ring of
w; writing
aˉj for the canonical image of
aj in
k, the canonical image of
P in the residue field
k′ is
∑jaˉjtj; as
t is transcendental over
k and one of the
aˉj is non-zero, this image is non-zero, whence
w(P)=0=jinf(v(aj)). We now show the existence of
w. The formula
w(P)=infj(v(aj)) (for
P=∑jajXj) defines a valuation
w on
K(X), by virtue of Lemma 1, and
w obviously has the same order group as
v. Then
w(X)=0. We show that the canonical image
t of
X in the residue field
k′ of
w is transcendental over
k: if
∑jaˉjtj=0, where
aˉj∈k for all
j, then, denoting by
a, a representative of
aˉj in the ring of
v,
w(∑jajXj)>0; whence
v(aj)>0 for all
j, hence
aˉj=0 for all
j. We show finally that
k′=k(t): every element
R of
K(X) may be written
R=c(∑jajXj)/(∑jbjXj), where
c,aj,bj are in
K,
v(aj)≥0 and
v(bj)≥0 for all
j, one of the
v(aj) and one of the
v(bj) being zero; then
w(R)≥0 if and only if
v(c)≥0; denoting by
f the canonical homomorphism of the ring of
w onto
k′,
f(R)=f(c)(j∑f(aj)tj)/(j∑f(bj)tj),
which proves our assertion.
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⊗ZQ.
This dimension may also be defined as the least upper bound (finite or infinite) of the cardinals r such that there exist r elements of G which are linearly independent over Z (Algebra, Chapter 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, 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) the rational rank of the commutative group G. If G′ is a subgroup of G, then (since Q is a flat Z-module) we have the additive equation
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) and h(H) denote the heights of G and H* (§4, no. 4), *then the inequality
h(G)≤h(H)+r(G/H)
holds.
In fact, let G0⊂G1⊂…⊂Gn be a strictly increasing sequence of isolated subgroups of G. It is necessary to establish the inequality
n≤h(H)+r(G/H).
It is obvious for n=0. Suppose n≥1 and let us argue by induction on n. Applying the induction hypothesis to the group Gn−1 and its subgroup H∩Gn−1, we obtain
n−1≤h(H∩Gn−1)+r(Gn−1/(H∩Gn−1)).
Then we distinguish two cases:
(a) H∩Gn−1=H, in other words H⊂Gn−1. Inequality (7) may be written
n≤h(H)+r(Gn−1/H)+1.
Now G/Gn−1 is a totally ordered group not reduced to 0; it is therefore not a torsion group and r(G/Gn−1)≥1. Whence by (4), r(G/H)≥r(Gn−1/H)+1. Substituting in (8), we certainly obtain the desired inequality (6).
(b) H∩Gn−1=H. As H∩Gn−1 is an isolated subgroup of H, we conclude that h(H)>h(H∩Gn−1)+1. On the other hand, obviously r(G/H)≥r(Gn−1/(H∩Gn−1)). Substituting in (7), we again obtain (6).
Corollary
For every totally ordered commutative group G, h(G)≤r(G).* We set 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). Then G is isomorphic to Zr(G) ordered lexicographically.
Let us write r=r(G)=h(G). If r=0, then G=(0). If r=1, the structure of finitely generated commutative groups shows that there is an isomorphism j 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 j or −j is an isomorphism of the ordered group G onto Z with the usual ordering.
Suppose now that r≥2 and let us argue by induction on r. Let H be an isolated subgroup of G of height r−1. Then r(H)+r(G/H)=r (formula (4)), r(H)≥h(H)=r−1 and r(G/H)≥h(G/H)=1 (Corollary to Proposition 3), whence r(H)=r−1 and r(G/H)=1. The induction hypothesis shows that H is isomorphic to Zr−1 ordered lexicographically and the case r=1 shows that G/H is isomorphic to Z. As Z is a free Z-module, H is a direct factor of G (Algebra, Chapter 11, § 1, no. 11, Proposition 21). The following lemma then shows that G is isomorphic (not canonically) to the lexicographical product H×(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 ordered lexicographically.
Let j be an isomorphism of (G/H)×H onto G such that j(0,x)=x for all x∈H and j(y,x) belongs to the coset of H. As (G/H)×H is totally ordered, it amounts to showing that j is increasing (Set Theory, Chapter III, § 1, no. 12, Proposition 11). Let (y,x) be an element ≥0 of (G/H)×H ordered lexicographically. If y>0, the coset of H containing j(y,x) is an element >0, whence j(y,x)>0, for, otherwise, y≤0 (§ 4, no. 2, Proposition 3). If y=0 and x≥0, then j(y,x)=x≥0. Hence j is certainly increasing.
3. The case of any transcendental extension
In this no. we shall use the following notation : K is a field, K′ an extension of K, v a valuation on K, v′ an extension of v to K, Γ and k (resp. Γ′ and k′) the order group and residue field of v (resp. v′). We shall write:
d(K′/K)=dim.al, K′=transcendence degree of K′ over K;
s(v′/v)=dim.al, k′=transcendence degree of k′ over k;
r(v′/v)=r(Γ′/Γ)=rational rank of Γ′/Γ,
if the right-hand sides are finite; otherwise, we shall make the convention that d(K′/K)=+∞ (resp. s(v′/v)=+∞,r(v′/v)=+∞).
Theorem 1
Let x1,…,x, be elements of the ring of v′ whose canonical images xi in k′ are algebraically independent over k and y1,…,yr elements of K′ such that the canonical images of the v′(yj) in Γ′/Γ are linearly independent over Z. Then the r+s elements x1,…,x,y1,…,yr of K′ are algebraically independent over K; the restriction of v′ to K(x1,…,x,y1,…,yr) admits k(x1,…,xs) as residue field and
Γ+Zv′(y1)+…+Zv′(yr)
as order group.
Our assertion is obvious if r+s=0. We argue by induction on r+s. If r′≤r,s′≤s and r′+s′<r+s, the induction hypothesis shows that the hypotheses of Theorem 1 hold if K is replaced by K(x1,…,xs,y1,…,yr′) and the families (x1,…,xs),(y1,…,yr) by (xs′+1,…,xs),(yr′+1,…,yr). The problem is therefore reduced to one of the two following cases:
(a) There is an element x in the ring v′ such that x is transcendental over k; then it is necessary to show that x is transcendental over K and that the restriction of v′ to K(x) admits k(x) as residue field and Γ as order group.
(b) There is an element y in K′ such that the relations nv′(y)∈Γ and n∈Z imply n=0; it is necessary to show that y is transcendental over K and that the restriction of v′ to K(y) admits k as residue field and Γ+Zv′(y) as order group.
Now Proposition 1 of § 8, no. 1 shows that x (resp. y) cannot be algebraic over K. The other assertions of (a) (resp. (b)) follow immediately by Proposition 2 (resp. Proposition 1) of no. 1.
Corollary 1
The inequality
s(v′/v)+r(v′/v)≤d(K′/K)
holds.
Further, if K′ is a finitely generated extension of K and equality holds in (9), then Γ′/Γ is a finitely generated Z-module and k′ is a finitely generated extension of k.
Let r and s be natural numbers such that r≤r(v′/v) and s≤s(v′/v); we show that r+s≤d(K′/K) and this will prove (9). By hypothesis there exist elements x1,…,x,y1,…,y, of K′ which satisfy the hypotheses of Theorem 1.
They are therefore algebraically independent over K, which shows the inequality r+s<d(K′/K).
If K′ is a finitely generated extension of K, d(K′/K) is finite, hence s(v′/v) and r(v′/v) are also finite; we denote them by s and r. There exist elements x1,…,xs,y1,…,yr of K′ which satisfy the hypotheses of Theorem 1. If r+s=d(K′/K), these elements form a transcendence basis of K′ over K and K′ is therefore a finite algebraic extension of K′′=K(x1,…,yr). Let Γ′′ and k′′ be the order group and residue field of the restriction of v′ to K′′. By Theorem 1, Γ′′/Γ is a finitely generated Z-module and k′′ is a finitely generated pure extension of k. On the other hand, as K′ is a finite algebraic extension of K, Γ′/Γ is a finite group and k′ is a finite algebraic extension of 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. By Proposition 3,
h′≤r(v′/v)+h.
Corollary 3
Suppose that K′ is a finitely generated extension of K, that Γ is isomorphic to Zh′ (ordered lexicographically) and there is equality in formula (10). Then Γ′ is isomorphic to Zh′ (ordered lexicographically) and k′ is a finitely generated extension of k.
If there is equality in (10), there is equality in (9), whence the fact that k′ is a finitely generated extension of k and that Γ′′ is a finitely generated Z-module. Further, comparing (9) and (10), it is seen that h′−h=r(Γ′/Γ), whence h′=r(Γ′) and Proposition 4 (no. 2) then shows that Γ′ is isomorphic to Zh′ ordered lexicographically.
Corollary 4
Suppose that v is improper (in which case k=K). Then*
h(Γ′)+d(k′/K)≤r(Γ′)+D(k′/K)≤d(K′/K). If, in particular, v' is of height 1, then d(k′/K)≤d(K′/K)−1; *further, if
K′ is a finitely generated extension of
K and there is equality in (12), then
v′ is a discrete valuation and
k′ is a finitely generated extension of
K.
It is a series of special cases of Corollaries 1, 2, 3.
Exercises
See the exercises for § 10.