# 9. Integral Ring Extensions

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1 80 Andreas Gathmann 9. Integral ing Extensions In this chapter we want to discuss a concept in commutative algebra that has its original motivation in algebra, but turns out to have surprisingly many applications and consequences in geometry as well. To explain its background, recall from the Introduction to Algebra class that the most important objects in field theory are algebraic and finite field extensions. More precisely, if K K is an inclusion of fields an element a K is called algebraic over K if there is a non-zero polynomial f K[x] with coefficients in K such that f (a) = 0. The field extension K K is then called algebraic if every element of K is algebraic over K [G3, Definition 2.1]. Of course, for an algebraic element a K over K there is then also a monic polynomial relation a n + c n 1 a n c 0 = 0 for some n N >0 and c 0,...,c n 1 K, since we can just divide f by its leading coefficient. This trivial statement actually has far-reaching consequences: it means that we can use the equation a n = c n 1 a n 1 c 0 to reduce any monomial a k for k N (and in fact also the multiplicative inverses of non-zero polynomial expressions in a) to a K-linear combination of the first n powers 1,a,...,a n 1, and that consequently the extension field K(a) of K generated by a is a finite-dimensional vector space over K we say that K K(a) is a finite field extension [G3, Definition 2.12 and roposition 2.14 (b)]. This means that the field extension K K(a) is quite easy to deal with, since we can use the whole machinery of (finite-dimensional) linear algebra for its study. What happens now if instead of an extension K K of fields we consider an extension of rings? We can certainly still have a look at elements a satisfying a polynomial relation c n a n + c n 1 a n c 0 = 0 with c 0,...,c n (and not all of them being 0). But now it will in general not be possible to divide this equation by its leading coefficient c n to obtain a monic relation. Consequently, we can in general not use this relation to express higher powers of a in terms of lower ones, and hence the -algebra [a] generated by a over need not be a finite -module. A simple example for this can already be found in the ring extension Z Q: for example, the rational number a = 1 2 satisfies a (non-monic) polynomial relation 2a 1 = 0 with coefficients in Z, but certainly Z[a], which is the ring of all rational numbers with a finite binary expansion, is not a finitely generated Z-module. We learn from this that in the case of a ring extension we should often not consider elements of satisfying polynomial relations with coefficients in, but rather require monic relations in the first place. So let us start by giving the corresponding definitions. Definition 9.1 (Integral and finite ring extensions). (a) If are rings, we call an extension ring of. We will also say in this case that is a ring extension. Note: sometimes in the literature a ring extension is meant to be any ring homomorphism, even if it is not injective (so that is an arbitrary -algebra as in Definition 1.23 (a)). (b) Let be a ring. An element a of an extension ring of is called integral over if there is a monic polynomial f [x] with f (a) = 0, i. e. if there are n N >0 and c 0,...,c n 1 with a n + c n 1 a n c 0 = 0. We say that is integral over if every element of is integral over. (c) A ring extension is called finite if is finitely generated as an -module. emark 9.2. (a) Note that the usage of the word integral for the concept of Definition 9.1 (b) is completely unrelated to the appearance of the same word in the term integral domain.

2 9. Integral ing Extensions 81 (b) If and are fields, the notions of integral and finite ring extensions actually coincide with those of algebraic and finite field extensions [G3, Definitions 2.1 and 2.12]. In fact, for this case you might already know some of the next few results in this chapter from the Introduction to Algebra class, in particular roposition 9.5 and Lemma 9.6. Example 9.3. Let be a unique factorization domain, and let = Quot be its quotient field. We claim that a is integral over if and only if a. In fact, it is obvious that any element of is integral over, so let us prove the converse. Assume that a = p q is integral over with p and q coprime, i. e. there is a polynomial equation ( p ) n ( p ) n 1 + cn c0 = 0 q q with c 0,...,c n 1. We multiply with q n to get p n + c n 1 p n 1 q + + c 0 q n = 0, i. e. p n = q(c n 1 p n c 0 q n 1 ). in. So q p n, which is only possible if q is a unit since p and q are coprime. Hence a = p q. So in particular, if is not a field then, and hence the ring extension is not integral. Example 9.4 (Geometric examples of integral extensions). Let = C[x] and = [y]/( f ) = C[x, y]/( f ), where f [y] is a (non-constant) polynomial relation for the additional variable y. Geometrically, we then have = A(X) and = A(X ) for X = A 1 C and the curve X in A 2 C given by the equation f (x,y) = 0. The ring extension map corresponds to the morphism of varieties π : X X, (x,y) x in the sense of Construction In the following figure we show three examples of this setting, where we only draw the real points to keep the pictures inside A 2. X X X π π π X X X f = y 2 x 2 f = xy 1 f = xy (a) (b) (c) The subtle but important difference between these examples is that in case (a) the given relation f [y] is monic in y, whereas in (b) and (c) it is not (with the leading term being xy). This has geometric consequences for the inverse images π 1 (x) of points x X, the so-called fibers of π: (a) In this case, the generator y of over is integral since it satisfies the monic relation y 2 x 2 = 0. In fact, roposition 9.5 will show that this implies that the whole ring extension is integral. Geometrically, the monic relation means that plugging in an arbitrary value for x will always give a quadratic equation y 2 x 2 = 0 for y, leading to two points in any fiber π 1 (x) (counted with multiplicities). (b) In this example, y does not satisfy a monic relation over : considering the leading term in y it is obvious that there are no polynomials g,h [y] with g monic in y such that g = h(xy 1). Hence the extension is not integral. Geometrically, the consequence is now that after plugging in a value for x the relation xy 1 = 0 for y is linear for x 0 but constant for x = 0, leading to an empty fiber π 1 (0) = /0 whereas all other fibers contain a single point. (c) This case is similar to (c): again, the ring extension is not integral, and the relation xy = 0 does not remain linear in y when setting x = 0. This time however, this leads to an infinite fiber π 1 (0) instead of an empty one.

3 82 Andreas Gathmann Summarizing, we would expect that a morphism of varieties corresponding to an integral ring extension is surjective with finite fibers. In fact, we will see this in Example 9.19, and thinking of integral extensions geometrically as morphisms with this property is a good first approximation even if the precise geometric correspondence is somewhat more complicated (see e. g. Example 9.25). But let us now start our rigorous study of integral and finite extensions by proving their main algebraic properties. roposition 9.5 (Integral and finite ring extensions). An extension ring is finite over if and only if = [a 1,...,a n ] for integral elements a 1,...,a n over. Moreover, in this case the whole ring extension is integral. roof. : Let = a 1,...,a n be finitely generated as an -module. Of course, we then also have = [a 1,...,a n ], i. e. is generated by the same elements as an -algebra. We will prove that every element of is integral over, which then also shows the moreover statement. So let a. As is finite over, we can apply the Cayley-Hamilton theorem of roposition 3.25 to the -module homomorphism ϕ :, x ax to obtain a monic polynomial equation ϕ k + c k 1 ϕ k c 0 = 0 in Hom (, ) for some c 0,...,c k 1, and hence a k + c k 1 a k c 0 = 0 by plugging in the value 1. Thus a is integral over. : Let = [a 1,...,a n ] with a 1,...,a n integral over, i. e. every a i satisfies a monic polynomial relation of some degree r i over. Now by Lemma 1.28 every element of is a polynomial expression of the form k1,...,k n c k1,...,k n a k 1 1 ak n n for some c k1,...,k n, and we can use the above polynomial relations to reduce the exponents to k i < r i for all i = 1,...,n. Hence is finitely generated over by all monomial expressions a k 1 1 ak n n with k i < r i for all i. Lemma 9.6 (Transitivity of integral and finite extensions). Let be rings. roof. (a) If and are finite, then so is. (b) If and are integral, then so is. (a) Let a 1,...,a n generate as an -module, and b 1,...,b m generate as an -module. Then every element of is of the form m i=1 c ib i for some c i, i. e. m i=1 ( n j=1 c i, j a j ) bi for some c i, j. Hence the finitely many products a j b i generate as an -module. (b) Let a. As a is integral over, there are n N >0 and elements c 0,...,c n 1 of such that a n + c n 1 a n c 0 = 0. Then a is also integral over [c 0,...,c n 1 ]. In addition, we know that c 0,...,c n 1 are integral over. Hence roposition 9.5 tells us that [c 0,...,c n 1,a] is finite over [c 0,...,c n 1 ] and [c 0,...,c n 1 ] is finite over. Therefore [c 0,...,c n 1,a] is finite over by (a), and thus a is integral over by roposition 9.5 again. A nice property of integral extensions is that they are compatible with quotients, localizations, and polynomial rings in the following sense. Lemma 9.7. Let be an integral extension ring of. (a) If I is an ideal of then /I is an integral extension ring of /(I ). (b) If S is a multiplicatively closed subset of then S 1 is an integral extension ring of S 1. (c) [x] is an integral extension ring of [x].

4 9. Integral ing Extensions 83 roof. (a) Note that the map /(I ) /I, a a is well-defined and injective, hence we can regard /I as an extension ring of /(I ). Moreover, for all a there is a monic relation a n + c n 1 a n c 0 = 0 with c 0,...,c n 1, and hence by passing to the quotient also a n + c n 1 a n c 0 = 0. So a is integral over /(I ). (b) Again, the ring homomorphism S 1 S 1, a s a s is obviously well-defined and injective. Moreover, for a s S 1 we have a monic relation a n + c n 1 a n c 0 = 0 with c 0,...,c n 1, and thus also ( a ) n c ( n 1 a ) n 1 c s s s s n = 0. Hence a s is integral over S 1. (c) Let f = a n x n + + a 0 [x], i. e. a 0,...,a n. Then a 0,...,a n are integral over, so also over [x], and thus [x][a 0,...,a n ] = [a 0,...,a n ][x] is integral over [x] by roposition 9.5. In particular, this means that f is integral over [x]. Exercise 9.8. (a) Is integral over Z? (b) Let = [x], = [x 2 1], = (x 1), and =. Show that is an integral extension of, but the localization is not an integral extension of. Is this a contradiction to Lemma 9.7 (b)? (Hint: consider the element 1 x+1.) An important consequence of our results obtained so far is that the integral elements of a ring extension always form a ring themselves. This leads to the notion of integral closure. Corollary and Definition 9.9 (Integral closures). (a) Let be a ring extension. The set of all integral elements in over is a ring with. It is called the integral closure of in. We say that is integrally closed in if its integral closure in is. (b) An integral domain is called integrally closed or normal if it is integrally closed in its quotient field Quot. roof. It is clear that, so we only have to show that is a subring of. But this follows from roposition 9.5: if a,b are integral over then so is [a,b], and hence in particular a + b and a b. Example Every unique factorization domain is normal, since by Example 9.3 the only elements of Quot that are integral over are the ones in. In contrast to emark 9.2 (b), note that for a field Definition 9.9 (b) of an integrally closed domain does not specialize to that of an algebraically closed field: we do not require that admits no integral extensions at all, but only that it has no integral extensions within its quotient field Quot. The approximate geometric meaning of this concept can be seen in the following example. Example 9.11 (Geometric interpretation of normal domains). Let = A(X) be the coordinate ring of an irreducible variety X. The elements ϕ = f g Quot of the quotient field can then be interpreted as rational functions on X, i. e. as quotients of polynomial functions that are well-defined except at some isolated points of X (where the denominator g vanishes). Hence the condition of being normal means that every rational function ϕ satisfying a monic relation ϕ n +c n 1 ϕ n 1 + +c 0 = 0 with c 0,...,c n 1 is already an element of, so that its value is well-defined at every point of X. Now let us consider the following two concrete examples:

5 84 Andreas Gathmann 16 (a) Let = C[x], corresponding to the variety X = A 1 C. By Example 9.10 we know that is normal. In fact, this can also be understood geometrically: the only way a rational function ϕ on A 1 C can be ill-defined at a point a A1 C is that it has a pole, i. e. that it is of the form x f for some k N (x a) k >0 and f Quot that is well-defined and non-zero at a. But then ϕ cannot satisfy a monic relation of the form ϕ n + c n 1 ϕ n c 0 = 0 with c 0,...,c n 1 C[x] since ϕ n has a pole of order kn at a which cannot be canceled by the lower order poles of the other terms c n 1 ϕ n c 0 = 0. Hence any rational function satisfying such a monic relation is already a polynomial function, which means that is normal. (b) Let X = V (y 2 x 2 x 3 ) A 2 and = A(X) = [x,y]/(y2 x 2 x 3 ). The curve X is shown in the picture on the right: locally around the origin (i. e. for small x and y) the term x 3 is small compared to x 2 and y 2, and thus X is approximatively given by (y x)(y+x) = y 2 x 2 0, which means that it consists of two branches crossing the origin with slopes ±1. In this case the ring is not normal: the rational function ϕ = y x Quot()\ satisfies the monic equation ϕ 2 x 1 = y2 x 1 = x3 +x 2 x 1 = 0. Geometrically, the reason why x 2 x 2 ϕ is ill-defined at 0 is not that it has a pole (i. e. tends to there), but that it approaches two different values 1 and 1 on the two local branches of the curve. This means that ϕ 2 approaches a unique value 1 at the origin, and thus has a well-defined value at this point leading to the monic quadratic equation for ϕ. So the reason for not being normal is the singular point of X at the origin. In fact, one can think of the normality condition geometrically as some sort of non-singularity statement (see also Example and emark (b)). Exercise 9.12 (Integral closures can remove singularities). As in Example 9.11 (b) let us again consider the ring = [x,y]/(y 2 x 2 x 3 ), and let K = Quot be its quotient field. For the element t := y x K, show that the integral closure of in K is [t], and that this is equal to [t]. What is the geometric morphism of varieties corresponding to the ring extension? Exercise Let be an integral domain, and let S be a multiplicatively closed subset. rove: (a) Let be an extension ring of. If is the integral closure of in, then S 1 is the integral closure of S 1 in S 1. (b) If is normal, then S 1 is normal. (c) (Normality is a local property) If is normal for all maximal ideals, then is normal. Exercise Let be an extension of integral domains, and let be the integral closure of in. Show that for any two monic polynomials f,g [t] with f g [t] we have f,g [t]. (Hint: From the Introduction to Algebra class you may use the fact that any polynomial over a field K has a splitting field, so in particular an extension field L K over which it splits as a product of linear factors [G3, roposition 4.15].) Checking whether an element a of a ring extension is integral over can be difficult since we have to show that there is no monic polynomial over at all that vanishes at a. The following lemma simplifies this task if is a normal domain: it states that in this case it suffices to consider only the minimal polynomial of a over the quotient field K = Quot (i. e. the uniquely determined monic polynomial f K[x] of smallest degree having a as a zero [G3, Definition 2.4]), since this polynomial must already have coefficients in if a is integral. Lemma Let be an integral extension of integral domains, and assume that is normal. (a) For any a its minimal polynomial f over K = Quot actually has coefficients in. y X x

6 9. Integral ing Extensions 85 roof. (b) If moreover a for some prime ideal, then the non-leading coefficients of f are even contained in. (a) As a is integral over there is a monic polynomial g [x] with g(a) = 0. Then f g over K [G3, emark 2.5], i. e. we have g = f h for some h K[x]. Applying Exercise 9.14 to the extension K (and = since is normal) it follows that f [x] as required. (b) Let a = p 1 a p k a k for some p 1,..., p k and a 1,...,a k. eplacing by [a 1,...,a k ] we may assume by roposition 9.5 that is finite over. Then we can apply the Cayley-Hamilton theorem of roposition 3.25 to ϕ :, x ax: since the image of this -module homomorphism lies in, we obtain a polynomial relation ϕ n + c n 1 ϕ n c 0 = 0 Hom (, ) with c 0,...,c n 1. lugging in the value 1 this means that we have a monic polynomial g [x] with non-leading coefficients in such that g(a) = 0. By the proof of (a) we can now write g = f h, where f [x] is the minimal polynomial of a and h [x]. educing this equation modulo gives x n = f h in (/)[x]. But as / is an integral domain by Lemma 2.3 (a) this is only possible if f and h are powers of x themselves (otherwise the highest and lowest monomial in their product would have to differ). Hence the non-leading coefficients of f lie in. Example 9.16 (Integral elements in quadratic number fields). Let d Z\{0, 1} be a square-free integer. We want to compute the elements in Q( d) = {a + b d : a,b Q} C that are integral over Z, i. e. the integral closure of = Z in = Q( d). These subrings of C play an important role in number theory; you have probably seen them already in the Elementary Number Theory class [M, Chapter 8]. It is obvious that the minimal polynomial of a + b d Q( d)\q over Q is (x a b d)(x a + b d) = x 2 2ax + a 2 db 2. So as Z is normal by Example 9.10 we know by Lemma 9.15 (a) (applied to the integral extension ) that a + b d is integral over Z if and only if this polynomial has integer coefficients. Hence = {a + b d : a,b Q, 2a Z,a 2 db 2 Z}, which is the usual way how this ring is defined in the Elementary Number Theory class [M, Definition 8.12]. Note that this is in general not the same as the ring Z + Z d in fact, one can show that = Z + Z d only if d 1 mod 4, whereas for d = 1 mod 4 we have = Z + Z 1+ d 2 [M, roposition 8.16]. emark 9.17 (Geometric properties of integral ring extensions). After having discussed the algebraic properties of integral extensions, let us now turn to the geometric ones (some of which were already motivated in Example 9.4). So although we will continue to allow general (integral) ring extensions, our main examples will now be coordinate rings = A(X) and = A(X ) of varieties X and X, respectively. The inclusion map i : then corresponds to a morphism of varieties π : X X as in Construction 0.11 and Example 9.4. We are going to study the contraction and extension of prime ideals by the ring homomorphism i by emarks 1.18 and 2.7 this means that we consider images and inverse images of irreducible subvarieties under π. As i is injective, i. e. is a subring of, note that the contraction of a prime ideal is exactly ( ) c = ; and the extension of a prime ideal is exactly e =. Moreover, by Example 2.9 (b) we know that the contraction of a prime ideal is always prime again, which means geometrically that the image of an irreducible subvariety X under π is irreducible. The main geometric questions that we can ask are whether conversely any prime ideal

7 86 Andreas Gathmann is of the form for some prime ideal (maybe with some additional requirements about ), corresponding to studying whether there are irreducible subvarieties of X with given image under π (and what we can say about them). For the rest of this chapter, our pictures to illustrate such questions will always be of the form as shown on the right: we will draw the geometric varieties and subvarieties, but label them with their algebraic counterparts. The arrow from the top to the bottom represents the map π, or algebraically the contraction map on prime ideals (with the actual ring homomorphism i going in the opposite direction). For example, in the picture on the right the point V ( ) in X for a maximal ideal is mapped to the point V () in X for a maximal ideal, which means that =. There are four main geometric results on integral ring extensions in the above spirit; they are commonly named Lying Over, Incomparability, Going Up, and Going Down. We will treat them now in turn. The first one, Lying Over, is the simplest of them it just asserts that for an integral extension every prime ideal in is the contraction of a prime ideal in. In our pictures, we will always use gray color to indicate objects whose existence we are about to prove. roposition 9.18 (Lying Over). Let be a ring extension, and prime. (a) There is a prime ideal with = if and only if. (b) If is integral, then this is always the case. We say in this case that is lying over. : : roof. (a) If = then = ( ) = =. Consider the multiplicatively closed set S = \. As S = ( )\ = /0 by assumption, Exercise 6.14 (a) implies that there is a prime ideal with and S = /0. But the former inclusion implies and the latter =, so we get = as desired. (b) Let a. Since a it follows from the Cayley-Hamilton theorem as in the first half of the proof of Lemma 9.15 (b) that there is a monic relation a n +c n 1 a n 1 + +c 0 = 0 with c 0,...,c n 1. As moreover a, this means that a n = c n 1 a n 1 c 0, and thus a as is prime. Example Let us consider the three ring extensions of = C[x] from Example 9.4 again. = C[x,y]/(y 2 x 2 ) (a) = C[x,y]/(xy 1) (b) = C[x,y]/(xy) (c) ecall that the extension (a) is integral by roposition 9.5. Correspondingly, the picture above on the left shows a prime ideal lying over, i. e. such that =. In contrast, in case (b) there is no prime ideal lying over, which means by roposition 9.18 (b) that the ring extension cannot be integral (as we have already seen in Example 9.4). In short, over an algebraically closed field the restriction of the Lying Over property to maximal ideals (i. e. to points of the corresponding variety) means that morphisms of varieties corresponding to integral ring extensions are always surjective.

8 9. Integral ing Extensions 87 Of course, a prime ideal lying over a given prime ideal is in general not unique there are e. g. two choices for in example (a) above. The case (c) is different however: as the fiber over is one-dimensional, there are not only many choices for prime ideals lying over, but also such prime ideals and with as shown in the picture above. We will prove now that such a situation cannot occur for integral ring extensions, which essentially means that the fibers of the corresponding morphisms have to be finite. roposition 9.20 (Incomparability). Let be an integral ring extension. If and are distinct prime ideals in with = then and. : roof. Let = and. We will prove that as well, so that =. : Assume for a contradiction that there is an element a \. By Lemma 9.7 (a) we know that / is integral over /( ), so there is a monic relation a n + c n 1 a n c 0 = 0 in / with c 0,...,c n 1. ick such a relation of minimal degree n. Since a this relation implies c 0 /, but as c 0 too we conclude that c 0 ( )/( ) = ( )/( ) = 0. Hence ( ) has no constant term. But since a 0 in the integral domain / we can then divide the relation by a to get a monic relation of smaller degree in contradiction to the choice of n. In geometric terms, the following corollary is essentially a restatement of the finite fiber property: it says that in integral ring extensions only maximal ideals can contract to maximal ideals, i. e. that points are the only subvarieties that can map to a single point in the target space. Corollary Let be an integral ring extension. roof. (a) If and are integral domains then is a field if and only if is a field. (b) A prime ideal is maximal if and only if is maximal. (a) Assume that is a field, and let be a maximal ideal. Moreover, consider the zero ideal 0, which is prime since is an integral domain. Both ideals contract to a prime ideal in by Exercise 2.9, hence to 0 since is a field. Incomparability as in roposition 9.20 then implies that = 0. So 0 is a maximal ideal of, and thus is a field. Now assume that is not a field. Then there is a non-zero maximal ideal. By Lying Over as in roposition 9.18 (b) there is now a prime ideal with =, in particular with 0. So has a non-zero prime ideal, i. e. is not a field. (b) By Lemmas 2.3 (a) and 9.7 (a) we know that /( ) / is an integral extension of integral domains, so the result follows from (a) with Lemma 2.3 (b). Exercise Which of the following extension rings are integral over = C[x]? ( ) (a) = C[x,y,z]/(z 2 xy); (b) = C[x,y,z]/(z 2 xy,y 3 x 2 ); (c) = C[x,y,z]/(z 2 xy,x 3 yz). emark In practice, one also needs relative versions of the Lying Over property: let us assume that we have an (integral) ring extension and two prime ideals Q in. If we are now given a prime ideal lying over or a prime ideal lying over Q, can we fill in the other prime ideal so that and we get a diagram as shown on the right? : : Q 17

9 88 Andreas Gathmann Although these two questions look symmetric, their behavior is in fact rather different. Let us start with the easier case the so-called Going Up property in which we prescribe and are looking for the bigger prime ideal. It turns out that this always works for integral extensions. The proof is quite simple: we can reduce it to the standard Lying Over property by first taking the quotient by since this keeps only the prime ideals containing by Lemma roposition 9.24 (Going Up). Let be an integral ring extension. Moreover, let,q be prime ideals with Q, and let be prime with =. Then there is a prime ideal with and = Q. : : Q roof. As is integral over, we know that / is integral over /( ) = / by Lemma 9.7 (a). Now Q/ is prime by Corollary 2.4, and hence Lying Over as in roposition 9.18 (b) implies that there is a prime ideal in / contracting to Q/, which must be of the form / for a prime ideal with by Lemma 1.21 and Corollary 2.4 again. Now ( / ) / = Q/ means that = Q, and so the result follows. Example The ring extension (a) below, which is the same as in Example 9.4 (a), shows a typical case of the Going Up property (note that the correspondence between subvarieties and ideals reverses inclusions, so that the bigger prime ideal Q resp. corresponds to the smaller subvariety). (a) Q (b) Q In contrast, in the extension (b) the ring = C[x,y]/I with I = (xy 1) (x,y) is the coordinate ring of the variety as in Example 9.4 (b) together with the origin. In this case, it is easily seen geometrically that the extension with = C[x] satisfies the Lying Over and Incomparability properties as explained in Example 9.19, however not the Going Up property: as in the picture above, the maximal ideal (x,y) of the origin is the only prime ideal in lying over Q, but it does not contain the given prime ideal lying over. We see from this example that we can regard the Going Up property as a statement about the continuity of fibers : if we have a family of points in the base space specializing to a limit point (corresponding to Q in ) and a corresponding family of points in the fibers (corresponding to ), then these points in the fiber should converge to a limit point over Q. So by roposition 9.24 the extension (b) above is not integral (which of course could also be checked directly). Example Let us now consider the opposite Going Down direction in emark 9.23, i. e. the question whether we can always construct the smaller prime ideal from (for given Q of course). icture (a) below shows this for the extension of Example 9.4 (a). This time the idea to attack this question is to reduce it to Lying Over by localizing at instead of taking quotients, since this keeps exactly the prime ideals contained in by Example 6.8. Surprisingly however, in contrast to roposition 9.24 the Going Down property does not hold for general integral extensions. The pictures (b) and (c) below show typical examples of this (in both cases it can be checked that the extension is integral):

10 9. Integral ing Extensions 89 glue Q Q Q (a) (b) (c) In case (b) the space corresponding to has two components, of which one is only a single point lying over Q. The consequence is that Going Down obviously fails if we choose to be this single point. In order to avoid such a situation we can require to be an integral domain, i. e. to correspond to an irreducible space. The case (c) is more subtle: the space = C[x,y] corresponds to a (complex) plane, and geometrically is obtained from this by identifying the two dashed lines in the picture above. In fact, this is just a 2-dimensional version of the situation of Example 9.11 (b) and Exercise Although both spaces are irreducible in this case, the singular shape of the base space corresponding to makes the Going Down property fail for the choices of, Q, and shown above: note that the diagonal line and the two marked points in the top space are exactly the inverse image of the curve in the base. As one might expect from Example 9.11 (b), we can avoid this situation by requiring to be normal. The resulting proposition is then the following. roposition 9.27 (Going Down). Let be an integral ring extension. Assume that is a normal and an integral domain. Now let Q be prime ideals in, and let be a prime ideal with = Q. Then there is a prime ideal with and =. : : Q roof. The natural map is injective since is an integral domain. So we can compose it with the given extension to obtain a ring extension as in the picture below on the right. We will show that there is a prime ideal in lying over ; by Example 6.8 it must be of the form for some prime ideal. Since contracts to in, we then have = as required. To prove Lying Over for in the extension it suffices by roposition 9.18 (a) to show that. So let a, in particular a = p s for some p and s \. We may assume without loss of generality that a 0. As is normal we can apply Lemma 9.15 (b) to see that the minimal polynomial of p over K = Quot is of the form f = x n + c n 1 x n c 0 : for some c 0,...,c n 1. Note that as a minimal polynomial f is irreducible over K [G3, Lemma 2.6]. But we also know that a K, and hence the polynomial : Q 1 a n f (ax) = xn + c n 1 a xn c 0 a n =: xn + c n 1 x n c 0 obtained from f by a coordinate transformation is irreducible over K as well. As it is obviously monic and satisfies a 1 n f (as) = a 1 n f (p) = 0, it must be the minimal polynomial of s [G3, Lemma 2.6], and so its coefficients c 0,...,c n 1 lie in by roposition 9.15 (a). :

11 90 Andreas Gathmann Now assume for a contradiction that a /. The equations c n i ai = c n i of elements of then imply c n i for all i = 1,...,n since is prime. So as s we see that s n = c n 1 s n 1 c 0 =, which means that s since is prime. This contradicts s \, and thus a as required. Exercise Let be an arbitrary ring extension. Show: (a) The extension has the Going Up property if and only if for all prime ideals and = the natural map Spec( / ) Spec(/) is surjective. (b) The extension has the Going Down property if and only if for all prime ideals and = the natural map Spec( ) Spec( ) is surjective.

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