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J.S. Milne
Version 3.03
May 29, 2011
An algebraic number ﬁeld is a ﬁnite extension of ¸; an algebraic number is an element
of an algebraic number ﬁeld. Algebraic number theory studies the arithmetic of algebraic
number ﬁelds — the ring of integers in the number ﬁeld, the ideals and units in the ring of
integers, the extent to which unique factorization holds, and so on.
An abelian extension of a ﬁeld is a Galois extension of the ﬁeld with abelian Galois
group. Class ﬁeld theory describes the abelian extensions of a number ﬁeld in terms of the
arithmetic of the ﬁeld.
These notes are concerned with algebraic number theory, and the sequel with class ﬁeld
theory.
BibTeX information
@misc{milneANT,
author={Milne, James S.},
title={Algebraic Number Theory (v3.03)},
year={2011},
note={Available at www.jmilne.org/math/},
pages={159+viii}
}
v2.01 (August 14, 1996). First version on the web.
v2.10 (August 31, 1998). Fixed many minor errors; added exercises and an index; 138
pages.
v3.00 (February 11, 2008). Corrected; revisions and additions; 163 pages.
v3.01 (September 28, 2008). Fixed problem with hyperlinks; 163 pages.
v3.02 (April 30, 2009). Fixed many minor errors; changed chapter and page styles; 164
pages.
v3.03 (May 29, 2011). Minor ﬁxes; 167 pages.
Available at www.jmilne.org/math/
Please send comments and corrections to me at the address on my web page.
The photograph is of the Fork Hut, Huxley Valley, New Zealand.
Copyright c _1996, 1998, 2008, 2009, 2011 J.S. Milne.
Single paper copies for noncommercial personal use may be made without explicit permis
sion from the copyright holder.
Contents
Notations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
Prerequisites . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
Acknowledgements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
1 Preliminaries from Commutative Algebra 7
Basic deﬁnitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
Ideals in products of rings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Noetherian rings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Noetherian modules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Local rings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Rings of fractions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
The Chinese remainder theorem . . . . . . . . . . . . . . . . . . . . . . . . . . 12
Review of tensor products . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
Exercise . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
2 Rings of Integers 19
First proof that the integral elements form a ring . . . . . . . . . . . . . . . . . . 19
Dedekind’s proof that the integral elements form a ring . . . . . . . . . . . . . . 20
Integral elements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
Review of bases of ·modules . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
Review of norms and traces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
Review of bilinear forms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
Discriminants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
Rings of integers are ﬁnitely generated . . . . . . . . . . . . . . . . . . . . . . . 29
Finding the ring of integers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
Algorithms for ﬁnding the ring of integers . . . . . . . . . . . . . . . . . . . . . 34
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
3 Dedekind Domains; Factorization 40
Discrete valuation rings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40
Dedekind domains . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42
Unique factorization of ideals . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43
The ideal class group . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
Discrete valuations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49
Integral closures of Dedekind domains . . . . . . . . . . . . . . . . . . . . . . . 51
Modules over Dedekind domains (sketch). . . . . . . . . . . . . . . . . . . . . . 52
2
Factorization in extensions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52
The primes that ramify . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54
Finding factorizations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56
Examples of factorizations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57
Eisenstein extensions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61
4 The Finiteness of the Class Number 63
Norms of ideals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63
Statement of the main theorem and its consequences . . . . . . . . . . . . . . . . 65
Lattices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68
Some calculus . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73
Finiteness of the class number . . . . . . . . . . . . . . . . . . . . . . . . . . . 75
Binary quadratic forms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78
5 The Unit Theorem 80
Statement of the theorem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 80
Proof that U
1
is ﬁnitely generated . . . . . . . . . . . . . . . . . . . . . . . . . 82
Computation of the rank . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83
Sunits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85
Example: CM ﬁelds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 86
Example: real quadratic ﬁelds . . . . . . . . . . . . . . . . . . . . . . . . . . . 86
Example: cubic ﬁelds with negative discriminant . . . . . . . . . . . . . . . . . 87
Finding j(1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89
Finding a system of fundamental units . . . . . . . . . . . . . . . . . . . . . . . 89
Regulators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90
6 Cyclotomic Extensions; Fermat’s Last Theorem. 91
The basic results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91
Class numbers of cyclotomic ﬁelds . . . . . . . . . . . . . . . . . . . . . . . . . 97
Units in cyclotomic ﬁelds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97
The ﬁrst case of Fermat’s last theorem for regular primes . . . . . . . . . . . . . 98
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100
7 Valuations; Local Fields 101
Valuations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101
Nonarchimedean valuations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102
Equivalent valuations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103
Properties of discrete valuations . . . . . . . . . . . . . . . . . . . . . . . . . . 105
Complete list of valuations for the rational numbers . . . . . . . . . . . . . . . . 105
The primes of a number ﬁeld . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107
The weak approximation theorem . . . . . . . . . . . . . . . . . . . . . . . . . 109
Completions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110
Completions in the nonarchimedean case . . . . . . . . . . . . . . . . . . . . . . 111
Newton’s lemma . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115
Extensions of nonarchimedean valuations . . . . . . . . . . . . . . . . . . . . . 118
Newton’s polygon . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 120
Locally compact ﬁelds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 122
Unramiﬁed extensions of a local ﬁeld . . . . . . . . . . . . . . . . . . . . . . . 123
Totally ramiﬁed extensions of 1 . . . . . . . . . . . . . . . . . . . . . . . . . . 125
Ramiﬁcation groups . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 126
Krasner’s lemma and applications . . . . . . . . . . . . . . . . . . . . . . . . . 127
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 129
8 Global Fields 131
Extending valuations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 131
The product formula . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 133
Decomposition groups . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135
The Frobenius element . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 137
Examples . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 139
Computing Galois groups (the hard way) . . . . . . . . . . . . . . . . . . . . . . 140
Computing Galois groups (the easy way) . . . . . . . . . . . . . . . . . . . . . . 141
Applications of the Chebotarev density theorem . . . . . . . . . . . . . . . . . . 146
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 147
A Solutions to the Exercises 149
B Twohour examination 155
Bibliography 156
Index 158
Notations.
We use the standard (Bourbaki) notations: N={0. 1. 2. . . .]; Z =ring of integers; 1=ﬁeld
of real numbers; C = ﬁeld of complex numbers; F
]
=Z,¸Z = ﬁeld with ¸ elements, ¸ a
prime number.
For integers m and n, m[n means that m divides n, i.e., n ÷ mZ. Throughout the notes,
¸ is a prime number, i.e., ¸ =2. 3. 5. . . ..
Given an equivalence relation, Œ+ denotes the equivalence class containing +. The
empty set is denoted by 0. The cardinality of a set S is denoted by [S[ (so [S[ is the number
of elements in S when S is ﬁnite). Let 1 and · be sets; a family of elements of · indexed
by 1, denoted (a
i
)
i÷J
, is a function i ÷a
i
: 1 ÷·.
X ÇY X is a subset of Y (not necessarily proper);
X
def
=Y X is deﬁned to be Y , or equals Y by deﬁnition;
X ~Y X is isomorphic to Y ;
X .Y X and Y are canonically isomorphic (or there is a given or unique isomorphism);
·÷ denotes an injective map;
denotes a surjective map.
It is standard to use Gothic (fraktur) letters for ideals:
a b c m n p q A B C M N P Q
a b c m n ¸ q · T C M N 1 Q
Prerequisites
The algebra usually covered in a ﬁrstyear graduate course, for example, Galois theory,
group theory, and multilinear algebra. An undergraduate number theory course will also be
helpful.
References
In addition to the references listed at the end and in footnotes, I shall refer to the following
of my course notes (available at www.jmilne.org/math/):
FT Fields and Galois Theory, v4.22, 2011.
GT Group Theory, v3.11, 2011.
CFT Class Field Theory, v4.01, 2011.
Acknowledgements
I thank the following for providing corrections and comments for earlier versions of these
notes: Vincenzo Acciaro; Michael Adler; Giedrius Alkauskas; Francesc Castell` a; Kwangho
Choiy; Dustin Clausen; Keith Conrad; Paul Federbush; Hauwen Huang; Roger Lipsett;
Loy Jiabao, Jasper; Lee M. Goswick; Samir Hasan; Lars Kindler; Franz Lemmermeyer;
Siddharth Mathur; Bijan Mohebi; Scott Mullane; Wai Yan Pong; Nicol´ as Sirolli; Thomas
Stoll; Vishne Uzi; and others.
PARI is an open source computer algebra system freely available from http://pari.math.u
bordeaux.fr/.
5
DRAMATIS PERSONÆ
FERMAT (1601–1665). Stated his last “theorem”, and proved it for m =4. He also posed
the problem of ﬁnding integer solutions to the equation,
X
2
÷·Y
2
=1. · ÷ Z. (1)
which is essentially the problem
1
of ﬁnding the units in ZŒ
_
·. The English mathemati
cians found an algorithm for solving the problem, but neglected to prove that the algorithm
always works.
EULER (1707–1783). He introduced analysis into the study of the prime numbers, and he
discovered an early version of the quadratic reciprocity law.
LAGRANGE (1736–1813). He found the complete form of the quadratic reciprocity law:
_
¸
q
__
q
¸
_
=(÷1)
(]1)(q1){4
. ¸. q odd primes,
and he proved that the algorithm for solving (1) always leads to a solution,
LEGENDRE (1752–1833). He introduced the “Legendre symbol”
_
n
]
_
, and gave an incom
plete proof of the quadratic reciprocity law. He proved the following localglobal principle
for quadratic forms in three variables over ¸: a quadratic form Q(X. Y. 7) has a nontrivial
zero in ¸ if and only if it has one in 1 and the congruence Q÷0 mod ¸
n
has a nontrivial
solution for all ¸ and n.
GAUSS (1777–1855). He found the ﬁrst complete proofs of the quadratic reciprocity law.
He studied the Gaussian integers ZŒi  in order to ﬁnd a quartic reciprocity law. He studied
the classiﬁcation of binary quadratic forms over Z, which is closely related to the problem
of ﬁnding the class numbers of quadratic ﬁelds.
DIRICHLET (1805–1859). He introduced 1series, and used them to prove an analytic for
mula for the class number and a density theorem for the primes in an arithmetic progression.
He proved the following “unit theorem”: let ˛ be a root of a monic irreducible polynomial
¡(X) with integer coefﬁcients; suppose that ¡(X) has r real roots and 2s complex roots;
then ZŒ˛
×
is a ﬁnitely generated group of rank r ÷s ÷1.
KUMMER (1810–1893). He made a deep study of the arithmetic of cyclotomic ﬁelds, mo
tivated by a search for higher reciprocity laws, and showed that unique factorization could
be recovered by the introduction of “ideal numbers”. He proved that Fermat’s last theorem
holds for regular primes.
HERMITE (1822–1901). He made important contributions to quadratic forms, and he showed
that the roots of a polynomial of degree 5 can be expressed in terms of elliptic functions.
EISENSTEIN (1823–1852). He published the ﬁrst complete proofs for the cubic and quartic
reciprocity laws.
KRONECKER (1823–1891). He developed an alternative to Dedekind’s ideals. He also had
one of the most beautiful ideas in mathematics for generating abelian extensions of number
ﬁelds (the Kronecker liebster Jugendtraum).
RIEMANN (1826–1866). Studied the Riemann zeta function, and made the Riemann hy
pothesis.
1
The Indian mathematician Bhaskara (12th century) knew general rules for ﬁnding solutions to the equa
tion.
DEDEKIND (1831–1916). He laid the modern foundations of algebraic number theory by
ﬁnding the correct deﬁnition of the ring of integers in a number ﬁeld, by proving that ideals
factor uniquely into products of prime ideals in such rings, and by showing that, modulo
principal ideals, they fall into ﬁnitely many classes. Deﬁned the zeta function of a number
ﬁeld.
WEBER (1842–1913). Made important progress in class ﬁeld theory and the Kronecker
Jugendtraum.
HENSEL (1861–1941). He gave the ﬁrst deﬁnition of the ﬁeld of ¸adic numbers (as the set
of inﬁnite sums
o
n=k
a
n
¸
n
, a
n
÷ {0. 1. . . . . ¸÷1]).
HILBERT (1862–1943). He wrote a very inﬂuential book on algebraic number theory in
1897, which gave the ﬁrst systematic account of the theory. Some of his famous problems
were on number theory, and have also been inﬂuential.
TAKAGI (1875–1960). He proved the fundamental theorems of abelian class ﬁeld theory,
as conjectured by Weber and Hilbert.
NOETHER (1882–1935). Together with Artin, she laid the foundations of modern algebra
in which axioms and conceptual arguments are emphasized, and she contributed to the
classiﬁcation of central simple algebras over number ﬁelds.
HECKE (1887–1947). Introduced Hecke 1series generalizing both Dirichlet’s 1series and
Dedekind’s zeta functions.
ARTIN (1898–1962). He found the “Artin reciprocity law”, which is the main theorem of
class ﬁeld theory (improvement of Takagi’s results). Introduced the Artin 1series.
HASSE (1898–1979). He gave the ﬁrst proof of local class ﬁeld theory, proved the Hasse
(localglobal) principle for all quadratic forms over number ﬁelds, and contributed to the
classiﬁcation of central simple algebras over number ﬁelds.
BRAUER (1901–1977). Deﬁned the Brauer group, and contributed to the classiﬁcation of
central simple algebras over number ﬁelds.
WEIL (1906–1998). Deﬁned the Weil group, which enabled him to give a common gener
alization of Artin 1series and Hecke 1series.
CHEVALLEY (1909–84). The main statements of class ﬁeld theory are purely algebraic,
but all the earlier proofs used analysis; Chevalley gave a purely algebraic proof. With his
introduction of id` eles he was able to give a natural formulation of class ﬁeld theory for
inﬁnite abelian extensions.
IWASAWA (1917–1998). He introduced an important new approach into algebraic number
theory which was suggested by the theory of curves over ﬁnite ﬁelds.
TATE (1925– ). He proved new results in group cohomology, which allowed him to give
an elegant reformulation of class ﬁeld theory. With Lubin he found an explicit way of
generating abelian extensions of local ﬁelds.
LANGLANDS (1936– ). The Langlands program
2
is a vast series of conjectures that, among
other things, contains a nonabelian class ﬁeld theory.
2
Not to be confused with its geometric analogue, sometimes referred to as the geometric Langlands pro
gram, which appears to lack arithmetic signiﬁcance.
7
Introduction
It is greatly to be lamented that this virtue of
the [rational integers], to be decomposable into
prime factors, always the same ones for a given
number, does not also belong to the [integers of
cyclotomic ﬁelds].
Kummer 1844 (as translated by Andr´ e Weil)
The fundamental theorem of arithmetic says that every nonzero integer m can be writ
ten in the form,
m=˙¸
1
¸
n
. ¸
i
a prime number,
and that this factorization is essentially unique.
Consider more generally an integral domain ·. An element a ÷ · is said to be a unit if
it has an inverse in · (element b such that ab =1 =ba). I write ·
×
for the multiplicative
group of units in ·. An element ¬ of · is said to prime if it is neither zero nor a unit, and if
¬[ab == ¬[a or ¬[b.
If · is a principal ideal domain, then every nonzero element a of · can be written in the
form,
a =u¬
1
¬
n
. u a unit. ¬
i
a prime element.
and this factorization is unique up to order and replacing each ¬
i
with an associate, i.e.,
with its product with a unit.
Our ﬁrst task will be to discover to what extent unique factorization holds, or fails to
hold, in number ﬁelds. Three problems present themselves. First, factorization in a ﬁeld
only makes sense with respect to a subring, and so we must deﬁne the “ring of integers”
O
1
in our number ﬁeld 1. Secondly, since unique factorization will fail in general, we
shall need to ﬁnd a way of measuring by how much it fails. Finally, since factorization is
only considered up to units, in order to fully understand the arithmetic of 1, we need to
understand the structure of the group of units U
1
in O
1
.
THE RING OF INTEGERS
Let 1 be an algebraic number ﬁeld. Each element ˛ of 1 satisﬁes an equation
˛
n
÷a
1
˛
n1
÷ ÷a
0
=0
with coefﬁcients a
1
. . . . . a
n
in ¸, and ˛ is an algebraic integer if it satisﬁes such an equation
with coefﬁcients a
1
. . . . . a
n
in Z. We shall see that the algebraic integers form a subring O
1
of 1.
The criterion as stated is difﬁcult to apply. We shall show (2.11) that ˛ is an algebraic
integer if and only if its minimum polynomial over ¸ has coefﬁcients in Z.
Consider for example the ﬁeld 1 = ¸Œ
_
J, where J is a squarefree integer. The
minimum polynomial of ˛ =a÷b
_
J, b =0, a. b ÷ ¸, is
(X ÷(a÷b
_
J))(X ÷(a÷b
_
J)) =X
2
÷2aX ÷(a
2
÷b
2
J).
and so ˛ is an algebraic integer if and only if
2a ÷ Z. a
2
÷b
2
J ÷ Z.
1
From this it follows easily that, when J ÷2. 3 mod 4, ˛ is an algebraic integer if and only
if a and b are integers, i.e.,
O
1
=ZŒ
_
J =
_
a÷b
_
J [ a. b ÷ Z
_
.
and, when J ÷ 1 mod 4, ˛ is an algebraic integer if and only if a and b are either both
integers or both halfintegers, i.e.,
O
1
=ZŒ
1÷
_
d
2
 =
_
a÷b
1÷
_
d
2
ˇ
ˇ
ˇ a. b ÷ Z
_
.
For example, the minimum polynomial of 1,2÷
_
5,2 is X
2
÷X ÷1, and so 1,2÷
_
5,2
is an algebraic integer in ¸Œ
_
5.
Let ¸
d
be a primitive Jth root of 1, for example, ¸
d
=exp(2¬i,J), and let 1 =¸Œ¸
d
.
Then we shall see (6.2) that
O
1
=ZŒ¸
d
 =
˚
m
i
¸
i
d
[ m
i
÷ Z
_
.
as one would hope.
FACTORIZATION
A nonzero element ¬ of an integral domain · is said to be irreducible if it is not a unit, and
can’t be written as a product of two nonunits. For example, a prime element is (obviously)
irreducible. A ring · is a unique factorization domain if every nonzero element of · can
be expressed as a product of irreducible elements in essentially one way. Is the ring of
integers O
1
a unique factorization domain? No, not in general!
We shall see that each element of O
1
can be written as a product of irreducible elements
(this is true for all Noetherian rings), and so it is the uniqueness that fails.
For example, in ZŒ
_
÷5 we have
6 =2 3 =(1÷
_
÷5)(1÷
_
÷5).
To see that 2, 3, 1÷
_
÷5, 1÷
_
÷5 are irreducible, and no two are associates, we use the
norm map
Nm: ¸Œ
_
÷5 ÷¸. a÷b
_
÷5 ÷a
2
÷5b
2
.
This is multiplicative, and it is easy to see that, for ˛ ÷ O
1
,
Nm(˛) =1 ” ˛ ¨ ˛ =1 ” ˛ is a unit. (*)
If 1÷
_
÷5 =˛ˇ, then Nm(˛ˇ) =Nm(1÷
_
÷5) =6. Thus Nm(˛) =1. 2. 3, or 6. In the
ﬁrst case, ˛ is a unit, the second and third cases don’t occur, and in the fourth case ˇ is a
unit. A similar argument shows that 2. 3, and 1 ÷
_
÷5 are irreducible. Next note that (*)
implies that associates have the same norm, and so it remains to show that 1 ÷
_
÷5 and
1÷
_
÷5 are not associates, but
1÷
_
÷5 =(a÷b
_
÷5)(1÷
_
÷5)
has no solution with a. b ÷ Z.
Why does unique factorization fail in O
1
? The problem is that irreducible elements in
O
1
need not be prime. In the above example, 1÷
_
÷5 divides 2 3 but it divides neither 2
2
nor 3. In fact, in an integral domain in which factorizations exist (e.g. a Noetherian ring),
factorization is unique if all irreducible elements are prime.
What can we recover? Consider
210 =6 35 =10 21.
If we were naive, we might say this shows factorization is not unique in Z; instead, we
recognize that there is a unique factorization underlying these two decompositions, namely,
210 =(2 3)(5 7) =(2 5)(3 7).
The idea of Kummer and Dedekind was to enlarge the set of “prime numbers” so that, for
example, in ZŒ
_
÷5 there is a unique factorization,
6 =(p
1
p
2
)(p
3
p
4
) =(p
1
p
3
)(p
2
p
4
).
underlying the above factorization; here the p
i
are “ideal prime factors”.
How do we deﬁne “ideal factors”? Clearly, an ideal factor should be characterized
by the algebraic integers it divides. Moreover divisibility by a should have the following
properties:
a[0: a[a. a[b =a[a˙b: a[a =a[ab for all b ÷ O
1
.
If in addition division by a has the property that
a[ab =a[a or a[b.
then we call a a “prime ideal factor”. Since all we know about an ideal factor is the set of
elements it divides, we may as well identify it with this set. Thus an ideal factor a is a set
of elements of O
1
such that
0 ÷ a: a. b ÷ a =a˙b ÷ a: a ÷ a =ab ÷ a for all b ÷ O
1
:
it is prime if an addition,
ab ÷ a =a ÷ a or b ÷ a.
Many of you will recognize that an ideal factor is what we now call an ideal, and a prime
ideal factor is a prime ideal.
There is an obvious notion of the product of two ideals:
ab[c ” c =
a
i
b
i
. a[a
i
. b[b
i
.
In other words,
ab =
_
a
i
b
i
[ a
i
÷ a. b
i
÷ b
_
.
One see easily that this is again an ideal, and that if
a =(a
1
. .... a
n
) and b =(b
1
. .... b
n
)
then
a b =(a
1
b
1
. .... a
i
b
}
. .... a
n
b
n
).
With these deﬁnitions, one recovers unique factorization: if a = 0, then there is an
essentially unique factorization:
(a) =p
1
p
n
with each p
i
a prime ideal.
3
In the above example,
(6) =(2. 1÷
_
÷5)(2. 1÷
_
÷5)(3. 1÷
_
÷5)(3. 1÷
_
÷5).
In fact, I claim
(2. 1÷
_
÷5)(2. 1÷
_
÷5) =(2)
(3. 1÷
_
÷5)(3. 1÷
_
÷5) =(3)
(2. 1÷
_
÷5)(3. 1÷
_
÷5) =(1÷
_
÷5)
(2. 1÷
_
÷5)(3. 1÷
_
÷5) =(1÷
_
÷5).
For example, (2. 1÷
_
÷5)(2. 1÷
_
÷5) =(4. 2÷2
_
÷5. 2÷2
_
÷5. 6). Since every gen
erator is divisible by 2, we see that
(2. 1÷
_
÷5)(2. 1÷
_
÷5) Ç(2).
Conversely,
2 =6÷4 ÷ (4. 2÷2
_
÷5. 2÷2
_
÷5. 6)
and so (2. 1 ÷
_
÷5)(2. 1 ÷
_
÷5) = (2), as claimed. I further claim that the four ideals
(2. 1 ÷
_
÷5), (2. 1 ÷
_
÷5), (3. 1 ÷
_
÷5), and (3. 1 ÷
_
÷5) are all prime. For example,
the obvious map Z ÷ZŒ
_
÷5,(3. 1÷
_
÷5) is surjective with kernel (3), and so
ZŒ
_
÷5,(3. 1÷
_
÷5) .Z,(3).
which is an integral domain.
How far is this from what we want, namely, unique factorization of elements? In other
words, how many “ideal” elements have we had to add to our “real” elements to get unique
factorization. In a certain sense, only a ﬁnite number: we shall see that there exists a ﬁnite
set S of ideals such that every ideal is of the form a (a) for some a ÷ S and some a ÷ O
1
.
Better, we shall construct a group 1 of “fractional” ideals in which the principal fractional
ideals (a), a ÷ 1
×
, form a subgroup 1 of ﬁnite index. The index is called the class number
h
1
of 1. We shall see that
h
1
=1 ” O
1
is a principal ideal domain
” O
1
is a unique factorization domain.
UNITS
Unlike Z, O
1
can have inﬁnitely many units. For example, (1 ÷
_
2) is a unit of inﬁnite
order in ZŒ
_
2 :
(1÷
_
2)(÷1÷
_
2) =1: (1÷
_
2)
n
=1 if m=0.
In fact ZŒ
_
2
×
={˙(1÷
_
2)
n
[ m÷ Z], and so
ZŒ
_
2
×
~{˙1] ×{free abelian group of rank 1].
In general, we shall show (unit theorem) that the roots of 1 in 1 form a ﬁnite group j(1),
and that
O
×
1
~j(1) ×Z
i
(as an abelian group);
moreover, we shall ﬁnd r.
4
APPLICATIONS
One motivation for the development of algebraic number theory was the attempt to prove
Fermat’s last “theorem”, i.e., when m _ 3, there are no integer solutions (.. ,. :) to the
equation
X
n
÷Y
n
=7
n
with all of .. ,. : nonzero.
When m=3, this can proved by the method of “inﬁnite descent”, i.e., fromone solution,
you show that you can construct a smaller solution, which leads to a contradiction
3
. The
proof makes use of the factorization
Y
3
=7
3
÷X
3
=(7÷X)(7
2
÷X7÷X
2
).
and it was recognized that a stumbling block to proving the theorem for larger m is that no
such factorization exists into polynomials with integer coefﬁcients of degree _ 2. This led
people to look at more general factorizations.
In a famous incident, the French mathematician Lam´ e gave a talk at the Paris Academy
in 1847 in which he claimed to prove Fermat’s last theorem using the following ideas. Let
¸ >2 be a prime, and suppose ., ,, : are nonzero integers such that
.
]
÷,
]
=:
]
.
Write
.
]
=:
]
÷,
]
=
(: ÷¸
i
,). 0 _i _¸÷1. ¸ =e
2ti{]
.
He then showed how to obtain a smaller solution to the equation, and hence a contradiction.
Liouville immediately questioned a step in Lam´ e’s proof in which he assumed that, in order
to show that each factor (: ÷¸
i
,) is a ¸th power, it sufﬁces to show that the factors are
relatively prime in pairs and their product is a ¸th power. In fact, Lam´ e couldn’t justify his
step (ZŒ¸ is not always a principal ideal domain), and Fermat’s last theorem was not proved
for almost 150 years. However, shortly after Lam´ e’s embarrassing lecture, Kummer used
his results on the arithmetic of the ﬁelds ¸Œ¸ to prove Fermat’s last theorem for all regular
primes, i.e., for all primes ¸ such that ¸ does not divide the class number of ¸Œ¸
]
.
Another application is to ﬁnding Galois groups. The splitting ﬁeld of a polynomial
¡(X) ÷ ¸ŒX is a Galois extension of ¸. In a basic Galois theory course, we learn how to
compute the Galois group only when the degree is very small. By using algebraic number
theory one can write down an algorithm to do it for any degree.
For applications of algebraic number theory to elliptic curves, see, for example, Milne
2006.
Some comments on the literature
COMPUTATIONAL NUMBER THEORY
Cohen 1993 and Pohst and Zassenhaus 1989 provide algorithms for most of the construc
tions we make in this course. The ﬁrst assumes the reader knows number theory, whereas
the second develops the whole subject algorithmically. Cohen’s book is the more useful as
a supplement to this course, but wasn’t available when these notes were ﬁrst written. While
the books are concerned with moreorless practical algorithms for ﬁelds of small degree
and small discriminant, Lenstra (1992) concentrates on ﬁnding “good” general algorithms.
3
The simplest proof by inﬁnite descent is that showing that
_
2 is irrational.
5
HISTORY OF ALGEBRAIC NUMBER THEORY
Dedekind 1996, with its introduction by Stillwell, gives an excellent idea of how algebraic
number theory developed. Edwards 1977 is a history of algebraic number theory, con
centrating on the efforts to prove Fermat’s last theorem. The notes in Narkiewicz 1990
document the origins of most signiﬁcant results in algebraic number theory. Lemmermeyer
2009, which explains the origins of “ideal numbers”, and other writings by the same author,
e.g., Lemmermeyer 2000, 2007.
Exercises
01 Let J be a squarefree integer. Complete the veriﬁcation that the ring of integers in
¸Œ
_
J is as described.
02 Complete the veriﬁcation that, in ZŒ
_
÷5,
(6) =(2. 1÷
_
÷5)(2. 1÷
_
÷5)(3. 1÷
_
÷5)(3. 1÷
_
÷5)
is a factorization of (6) into a product of prime ideals.
6
CHAPTER 1
Preliminaries from Commutative
Algebra
Many results that were ﬁrst proved for rings of integers in number ﬁelds are true for more
general commutative rings, and it is more natural to prove them in that context.
1
Basic deﬁnitions
All rings will be commutative, and have an identity element (i.e., an element 1 such that
1a =a for all a ÷ ·), and a homomorphism of rings will map the identity element to the
identity element.
A ring T together with a homomorphism of rings · ÷ T will be referred to as an
·algebra. We use this terminology mainly when · is a subring of T. In this case, for
elements ˇ
1
. .... ˇ
n
of T, ·Œˇ
1
. .... ˇ
n
 denotes the smallest subring of T containing · and
the ˇ
i
. It consists of all polynomials in the ˇ
i
with coefﬁcients in ·, i.e., elements of the
form
a
i
1
...i
m
ˇ
i
1
1
...ˇ
i
m
n
. a
i
1
...i
m
÷ ·.
We also refer to ·Œˇ
1
. .... ˇ
n
 as the ·subalgebra of T generated by the ˇ
i
, and when
T =·Œˇ
1
. .... ˇ
n
 we say that the ˇ
i
generate T as an ·algebra.
For elements a
1
. a
2
. . . . of ·, we let (a
1
. a
2
. . . .) denote the smallest ideal containing
the a
i
. It consists of ﬁnite sums
c
i
a
i
, c
i
÷ ·, and it is called the ideal generated by
a
1
. a
2
. . . .. When a and b are ideals in ·, we deﬁne
a÷b ={a÷b [ a ÷ a, b ÷ b].
It is again an ideal in · — in fact, it is the smallest ideal containing both a and b. If
a =(a
1
. .... a
n
) and b =(b
1
. .... b
n
), then a÷b =(a
1
. .... a
n
. b
1
. .... b
n
).
Given an ideal a in ·, we can form the quotient ring ·,a. Let ¡ : · ÷·,a be the
homomorphisma ÷a÷a; then b ÷¡
1
(b) deﬁnes a onetoone correspondence between
the ideals of ·,a and the ideals of · containing a, and
·,¡
1
(b)
:
÷(·,a),b.
1
See also the notes A Primer of Commutative Algebra available on my website.
7
1. PRELIMINARIES FROM COMMUTATIVE ALGEBRA
A proper ideal a of · is prime if ab ÷ a =a or b ÷ a. An ideal a is prime if and only if
the quotient ring ·,a is an integral domain. A nonzero element ¬ of · is said to be prime
if (¬) is a prime ideal; equivalently, if ¬[ab =¬[a or ¬[b.
An ideal min · is maximal if it is maximal among the proper ideals of ·, i.e., if m=·
and there does not exist an ideal a = · containing m but distinct from it. An ideal a is
maximal if and only if ·,a is a ﬁeld. Every proper ideal a of · is contained in a maximal
ideal — if · is Noetherian (see below) this is obvious; otherwise the proof requires Zorn’s
lemma. In particular, every nonunit in · is contained in a maximal ideal.
There are the implications: · is a Euclidean domain =· is a principal ideal domain
=· is a unique factorization domain (see any good graduate algebra course).
Ideals in products of rings
PROPOSITION 1.1 Consider a product of rings ·×T. If a and b are ideals in · and T
respectively, then a ×b is an ideal in ·×T, and every ideal in ·×T is of this form. The
prime ideals of ·×T are the ideals of the form
p×T (p a prime ideal of ·), ·×p (p a prime ideal of T).
PROOF. Let c be an ideal in ·×T, and let
a ={a ÷ · [ (a. 0) ÷ c]. b ={b ÷ T [ (0. b) ÷ c].
Clearly a ×b Ç c. Conversely, let (a. b) ÷ c. Then (a. 0) = (a. b) (1. 0) ÷ c and (0. b) =
(a. b) (0. 1) ÷ c, and so (a. b) ÷ a×b.
Recall that an ideal c ÇC is prime if and only if C,c is an integral domain. The map
·×T ÷·,a×T,b. (a. b) ÷(a÷a. b ÷b)
has kernel a×b, and hence induces an isomorphism
(·×T),(a×b) .·,a×T,b.
Now use that a product of rings is an integral domain if and only if one ring is zero and the
other is an integral domain.
2
REMARK 1.2 The lemma extends in an obvious way to a ﬁnite product of rings: the ideals
in ·
1
× ×·
n
are of the forma
1
× ×a
n
with a
i
an ideal in ·
i
; moreover, a
1
× ×a
n
is prime if and only if there is a ¸ such that a
}
is a prime ideal in ·
}
and a
i
=·
i
for i =¸.
Noetherian rings
A ring · is Noetherian if every ideal in · is ﬁnitely generated.
PROPOSITION 1.3 The following conditions on a ring · are equivalent:
(a) · is Noetherian.
(b) Every ascending chain of ideals
a
1
Ça
2
Ç Ça
n
Ç
eventually becomes constant, i.e., for some n, a
n
=a
n÷1
= .
8
Noetherian rings
(c) Every nonempty set S of ideals in · has a maximal element, i.e., there exists an ideal
in S not properly contained in any other ideal in S.
PROOF. (a)=(b): Let a =
_
a
i
; it is an ideal, and hence is ﬁnitely generated, say a =
(a
1
. . . . . a
i
). For some n, a
n
will contain all the a
i
, and so a
n
=a
n÷1
= =a.
(b)=(c): Let a
1
÷ S. If a
1
is not a maximal element of S, then there exists an a
2
÷ S such
that a
1
¸a
2
. If a
2
is not maximal, then there exists an a
3
etc.. From (b) we know that this
process will lead to a maximal element after only ﬁnitely many steps.
(c)=(a): Let a be an ideal in ·, and let S be the set of ﬁnitely generated ideals contained
in a. Then S is nonempty because it contains the zero ideal, and so it contains a maximal
element, say, a
t
= (a
1
. . . . . a
i
). If a
t
= a, then there exists an element a ÷ a a
t
, and
(a
1
. . . . . a
i
. a) will be a ﬁnitely generated ideal in a properly containing a
t
. This contradicts
the deﬁnition of a
t
.
2
A famous theorem of Hilbert states that kŒX
1
. .... X
n
 is Noetherian. In practice, al
most all the rings that arise naturally in algebraic number theory or algebraic geometry
are Noetherian, but not all rings are Noetherian. For example, the ring kŒX
1
. . . . . X
n
. . . .
of polynomials in an inﬁnite sequence of symbols is not Noetherian because the chain of
ideals
(X
1
) Ç(X
1
. X
2
) Ç(X
1
. X
2
. X
3
) Ç
never becomes constant.
PROPOSITION 1.4 Every nonzero nonunit element of a Noetherian integral domain can be
written as a product of irreducible elements.
PROOF. We shall need to use that, for elements a and b of an integral domain ·,
(a) Ç(b) ” b[a, with equality if and only if b =a×unit.
The ﬁrst assertion is obvious. For the second, note that if a = bc and b = aJ then a =
bc =aJc, and so Jc =1. Hence both c and J are units.
Suppose the statement of the proposition is false for a Noetherian integral domain ·.
Then there exists an element a ÷ · which contradicts the statement and is such that (a) is
maximal among the ideals generated by such elements (here we use that · is Noetherian).
Since a can not be written as a product of irreducible elements, it is not itself irreducible,
and so a =bc with b and c nonunits. Clearly (b) ¸ (a), and the ideals can’t be equal for
otherwise c would be a unit. From the maximality of (a), we deduce that b can be written
as a product of irreducible elements, and similarly for c. Thus a is a product of irreducible
elements, and we have a contradiction.
2
REMARK 1.5 Note that the proposition fails for the ring O of all algebraic integers in the
algebraic closure of ¸ in C, because, for example, we can keep in extracting square roots
— an algebraic integer ˛ can not be an irreducible element of O because
_
˛ will also be
an algebraic integer and ˛ =
_
˛
_
˛. Thus O is not Noetherian.
9
1. PRELIMINARIES FROM COMMUTATIVE ALGEBRA
Noetherian modules
Let · be a ring. An ·module M is said to be Noetherian if every submodule is ﬁnitely
generated.
PROPOSITION 1.6 The following conditions on an ·module M are equivalent:
(a) M is Noetherian;
(b) every ascending chain of submodules eventually becomes constant;
(c) every nonempty set of submodules in M has a maximal element.
PROOF. Similar to the proof of Proposition 1.3.
2
PROPOSITION 1.7 Let M be an ·module, and let N be a submodule of M. If N and
M,N are both Noetherian, then so also is M.
PROOF. I claim that if M
t
ÇM
tt
are submodules of M such that M
t
¨N =M
tt
¨N and
M
t
and M
tt
have the same image in M,N, then M
t
=M
tt
. To see this, let . ÷ M
tt
; the
second condition implies that there exists a , ÷ M
t
with the same image as . in M,N, i.e.,
such that . ÷, ÷ N. Then . ÷, ÷ M
tt
¨N ÇM
t
, and so . ÷ M
t
.
Now consider an ascending chain of submodules of M. If M,N is Noetherian, the
image of the chain in M,N becomes constant, and if N is Noetherian, the intersection of
the chain with N becomes constant. Now the claim shows that the chain itself becomes
constant.
2
PROPOSITION 1.8 Let · be a Noetherian ring. Then every ﬁnitely generated ·module is
Noetherian.
PROOF. If M is generated by a single element, then M ~·,a for some ideal a in ·, and
the statement is obvious. We argue by induction on the minimum number n of generators
of M. Since M contains a submodule N generated by n÷1 elements such that the quotient
M,N is generated by a single element, the statement follows from (1.7).
2
Local rings
A ring · is said to local if it has exactly one maximal ideal m. In this case, ·
×
=·m
(complement of m in ·).
LEMMA 1.9 (NAKAYAMA’S LEMMA) Let · be a local Noetherian ring, and let a be a
proper ideal in ·. Let M be a ﬁnitely generated ·module, and deﬁne
aM ={
a
i
m
i
[ a
i
÷ a. m
i
÷ M].
(a) If aM =M, then M =0.
(b) If N is a submodule of M such that N ÷aM =M, then N =M.
10
Rings of fractions
PROOF. (a) Suppose that aM = M but M = 0. Choose a minimal set of generators
{e
1
. . . . . e
n
] for M, n _1, and write
e
1
=a
1
e
1
÷ ÷a
n
e
n
, a
i
÷ a.
Then
(1÷a
1
)e
1
=a
2
e
2
÷ ÷a
n
e
n
.
As 1 ÷a
1
is not in m, it is a unit, and so {e
2
. .... e
n
] generates M, which contradicts our
choice of {e
1
. . . . . e
n
].
(b) It sufﬁces to show that a(M,N) =M,N for then (a) shows that M,N =0. Con
sider m÷N, m÷ M. From the assumption, we can write
m=n÷
a
i
m
i
, with a
i
÷ a, m
i
÷ M.
Then
m÷N =
(a
i
m
i
÷N) =
a
i
(m
i
÷N)
and so m÷N ÷ a(M,N).
2
The hypothesis that M be ﬁnitely generated in the lemma is essential. For example, if
· is a local integral domain with maximal ideal m = 0, then mM = M for any ﬁeld M
containing · but M =0.
Rings of fractions
Let · be an integral domain; there is a ﬁeld 1 ¸·, called the ﬁeld of fractions of ·, with
the property that every c ÷ 1 can be written in the form c =ab
1
with a. b ÷ · and b =0.
For example, ¸ is the ﬁeld of fractions of Z, and k(X) is the ﬁeld of fractions of kŒX.
Let · be an integral domain with ﬁeld of fractions 1. · subset S of · is said to be
multiplicative if 0 … S, 1 ÷ S, and S is closed under multiplication. If S is a multiplicative
subset, then we deﬁne
S
1
· ={a,b ÷ 1 [ b ÷ S].
It is obviously a subring of 1.
EXAMPLE 1.10 (a) Let t be a nonzero element of ·; then
S
t
def
={1,t ,t
2
,...]
is a multiplicative subset of ·, and we (sometimes) write ·
t
for S
1
t
·. For example, if J
is a nonzero integer, then
2
Z
d
consists of those elements of ¸ whose denominator divides
some power of J:
Z
d
={a,J
n
÷ ¸[ a ÷ Z, n _0].
(b) If p is a prime ideal, then S
p
=·p is a multiplicative set (if neither a nor b belongs
to p, then ab does not belong to p). We write ·
p
for S
1
p
·. For example,
Z
(])
={m,n ÷ ¸[ n is not divisible by ¸].
2
This notation conﬂicts with a later notation in which Z
]
denotes the ring of ¸adic integers.
11
1. PRELIMINARIES FROM COMMUTATIVE ALGEBRA
PROPOSITION 1.11 Consider an integral domain ·and a multiplicative subset S of ·. For
an ideal a of ·, write a
e
for the ideal it generates in S
1
·; for an ideal a of S
1
·, write
a
c
for a¨·. Then:
a
ce
=a for all ideals a of S
1
·
a
ec
=a if a is a prime ideal of · disjoint from S.
PROOF. Let a be an ideal in S
1
·. Clearly (a ¨·)
e
Ç a because a ¨· Ç a and a is an
ideal in S
1
·. For the reverse inclusion, let b ÷ a. We can write it b = a,s with a ÷ ·,
s ÷ S. Then a =s (a,s) ÷ a¨·, and so a,s =(s (a,s)),s ÷ (a¨·)
e
.
Let p be a prime ideal disjoint from S. Clearly (S
1
p) ¨· ¸p. For the reverse inclu
sion, let a,s ÷ (S
1
p) ¨·, a ÷ p, s ÷ S. Consider the equation
o
x
s = a ÷ p. Both a,s
and s are in ·, and so at least one of a,s or s is in p (because it is prime); but s … p (by
assumption), and so a,s ÷ p.
2
PROPOSITION 1.12 Let · be an integral domain, and let S be a multiplicative subset of
·. The map p ÷p
e
def
=p S
1
· is a bijection from the set of prime ideals in · such that
p¨S =∅ to the set of prime ideals in S
1
·; the inverse map is p ÷p¨·.
PROOF. It is easy to see that
p a prime ideal disjoint from S =p
e
is a prime ideal in S
1
·,
p a prime ideal in S
1
· =p¨· is a prime ideal in · disjoint from S.
and (1.11) shows that the two maps are inverse.
2
EXAMPLE 1.13 (a) If p is a prime ideal in ·, then ·
p
is a local ring (because p contains
every prime ideal disjoint from S
p
).
(b) We list the prime ideals in some rings:
Z: (2). (3). (5). (7). (11). . . . . (0):
Z
2
: (3). (5). (7). (11). . . . . (0):
Z
(2)
: (2). (0):
Z
42
: (5). (11). (13). . . . . (0):
Z,(42): (2). (3). (7).
Note that in general, for t a nonzero element of an integral domain,
{prime ideals of ·
t
]  {prime ideals of · not containing t ]
{prime ideals of ·,(t )]  {prime ideals of · containing t ].
The Chinese remainder theorem
Recall the classical form of the theorem: let J
1
. .... J
n
be integers, relatively prime in pairs;
then for any integers .
1
. .... .
n
, the congruences
. ÷.
i
mod J
i
12
The Chinese remainder theorem
have a simultaneous solution . ÷ Z; moreover, if . is one solution, then the other solutions
are the integers of the form . ÷mJ with m÷ Z and J =
J
i
.
We want to translate this in terms of ideals. Integers m and n are relatively prime if and
only if (m. n) =Z, i.e., if and only if (m) ÷(n) =Z. This suggests deﬁning ideals a and b
in a ring · to be relatively prime if a÷b =·.
If m
1
. .... m
k
are integers, then
_
(m
i
) = (m) where m is the least common multiple
of the m
i
. Thus
_
(m
i
) ¸ (
m
i
), which equals
(m
i
). If the m
i
are relatively prime in
pairs, then m=
m
i
, and so we have
_
(m
i
) =
(m
i
). Note that in general,
a
1
a
2
a
n
Ça
1
¨a
2
¨... ¨a
n
.
but the two ideals need not be equal.
These remarks suggest the following statement.
THEOREM 1.14 Let a
1
. .... a
n
be ideals in a ring ·, relatively prime in pairs. Then for any
elements .
1
. .... .
n
of ·, the congruences
. ÷.
i
mod a
i
have a simultaneous solution . ÷ ·; moreover, if . is one solution, then the other solutions
are the elements of the form . ÷a with a ÷
_
a
i
, and
_
a
i
=
a
i
. In other words, the
natural maps give an exact sequence
0 ÷a ÷· ÷
n
i=1
·,a
i
÷0
with a =
_
a
i
=
a
i
.
PROOF. Suppose ﬁrst that n = 2. As a
1
÷a
2
= ·, there are elements a
i
÷ a
i
such that
a
1
÷a
2
=1. The element . =a
1
.
2
÷a
2
.
1
has the required property.
For each i we can ﬁnd elements a
i
÷ a
1
and b
i
÷ a
i
such that
a
i
÷b
i
=1, all i _2.
The product
i_2
(a
i
÷b
i
) =1, and lies in a
1
÷
i_2
a
i
, and so
a
1
÷
i_2
a
i
=·.
We can now apply the theorem in the case n =2 to obtain an element ,
1
of · such that
,
1
÷1 mod a
1
. ,
1
÷0 mod
i_2
a
i
.
These conditions imply
,
1
÷1 mod a
1
. ,
1
÷0 mod a
}
, all ¸ >1.
Similarly, there exist elements ,
2
. .... ,
n
such that
,
i
÷1 mod a
i
. ,
i
÷0 mod a
}
for ¸ =i.
The element . =
.
i
,
i
now satisﬁes the requirements.
13
1. PRELIMINARIES FROM COMMUTATIVE ALGEBRA
It remains to prove that
_
a
i
=
a
i
. We have already noted that
_
a
i
¸
a
i
. First
suppose that n =2, and let a
1
÷a
2
=1, as before. For c ÷ a
1
¨a
2
, we have
c =a
1
c ÷a
2
c ÷ a
1
a
2
which proves that a
1
¨a
2
= a
1
a
2
. We complete the proof by induction. This allows us
to assume that
i_2
a
i
=
_
i_2
a
i
. We showed above that a
1
and
i_2
a
i
are relatively
prime, and so
a
1
(
i_2
a
i
) =a
1
¨(
i_2
a
i
) =
_
a
i
.
2
The theorem extends to ·modules.
THEOREM 1.15 Let a
1
. .... a
n
be ideals in ·, relatively prime in pairs, and let M be an
·module. There is an exact sequence:
0 ÷aM ÷M ÷
i
M,a
i
M ÷0
with a =
a
i
=
_
a
i
.
This can be proved in the same way as Theorem 1.14, but I prefer to use tensor products,
which I now review.
Review of tensor products
Let M, N, and 1 be ·modules. A mapping ¡ : M×N ÷1 is said to be ·bilinear if
¡(m÷m
t
. n) =¡(m. n) ÷¡(m
t
. n)
¡(m. n÷n
t
) =¡(m. n) ÷¡(m. n
t
)
¡(am. n) =a¡(m. n) =¡(m. an)
_
_
_
all a ÷ ·. m. m
t
÷ M. n. n
t
÷ N.
i.e., if it is linear in each variable. A pair (Q. ¡ ) consisting of an ·module Q and an
·bilinear map ¡ : M ×N ÷Q is called the tensor product of M and N if any other ·
bilinear map ¡
t
: M ×N ÷1 factors uniquely into ¡
t
= ˛ ı ¡ with ˛: Q ÷1 ·linear.
The tensor product exists, and is unique (up to a unique isomorphism making the obvious
diagram commute). We denote it by M ˝
¹
N, and we write (m. n) ÷m˝n for ¡ . The
pair (M˝
¹
N. (m. n) ÷m˝n) is characterized by each of the following two conditions:
(a) The map M×N ÷M˝
¹
N is ·bilinear, and any other ·bilinear map M×N ÷
1 is of the form (m. n) ÷˛(m˝n) for a unique ·linear map ˛: M˝
¹
N ÷1; thus
Bilin
¹
(M×N. 1) =Hom
¹
(M˝
¹
N. 1).
(b) The ·module M˝
¹
N has as generators the m˝n, m÷M, n ÷N, and as relations
(m÷m
t
) ˝n =m˝n÷m
t
˝n
m˝(n÷n
t
) =m˝n÷m˝n
t
am˝n =a(m˝n) =m˝an
_
_
_
all a ÷ ·. m. m
t
÷ M. n. n
t
÷ N.
Tensor products commute with direct sums: there is a canonical isomorphism
(
i
M
i
) ˝
¹
(
}
N
}
)
:
÷
i,}
M
i
˝
¹
N
}
.
(
m
i
) ˝(
n
}
) ÷
m
i
˝n
}
.
14
Review of tensor products
It follows that if M and N are free ·modules
3
with bases (e
i
) and (¡
}
) respectively, then
M ˝
¹
N is a free ·module with basis (e
i
˝¡
}
). In particular, if V and W are vector
spaces over a ﬁeld k of dimensions m and n respectively, then V ˝
k
W is a vector space
over k of dimension mn.
Let ˛: M ÷M
t
and ˇ: N ÷N
t
be ·linear maps. Then
(m. n) ÷˛(m) ˝ˇ(n): M×N ÷M
t
˝
¹
N
t
is ·bilinear, and therefore factors uniquely through M ×N ÷M ˝
¹
N. Thus there is a
unique ·linear map ˛ ˝ˇ: M˝
¹
N ÷M
t
˝
¹
N
t
such that
(˛ ˝ˇ)(m˝n) =˛(m) ˝ˇ(n).
REMARK 1.16 The tensor product of two matrices regarded as linear maps is called their
Kronecker product.
4
If · is m×n (so a linear map k
n
÷k
n
) and T is r ×s (so a linear
map k
x
÷k
i
), then ·˝T is the mr ×ns matrix (linear map k
nx
÷k
ni
) with
·˝T =
_
_
_
a
11
T a
1n
T
.
.
.
.
.
.
.
.
.
a
n1
T a
nn
T
_
_
_
.
LEMMA 1.17 If ˛: M ÷M
t
and ˇ: N ÷N
t
are surjective, then so also is
˛ ˝ˇ: M˝
¹
N ÷M
t
˝
¹
N
t
.
PROOF. Recall that M
t
˝N
t
is generated as an ·module by the elements m
t
˝n
t
, m
t
÷
M
t
, n
t
÷ N
t
. By assumption m
t
=˛(m) for some m÷ M and n
t
=ˇ(n) for some n ÷ N,
and so m
t
˝n
t
=˛(m) ˝ˇ(n) =(˛˝ˇ)(m˝n). Therefore the image of ˛˝ˇ contains a
set of generators for M
t
˝
¹
N
t
and so it is equal to it.
2
One can also show that if
M
t
÷M ÷M
tt
÷0
is exact, then so also is
M
t
˝
¹
1 ÷M˝
¹
1 ÷M
tt
˝
¹
1 ÷0.
For example, if we tensor the exact sequence
0 ÷a ÷· ÷·,a ÷0
with M, we obtain an exact sequence
a˝
¹
M ÷M ÷(·,a) ˝
¹
M ÷0 (2)
3
Let M be an ·module. Elements e
1
. . . . . e
n
form a basis for M if every element of M can be expressed
uniquely as a linear combination of the e
i
’s with coefﬁcients in ·. Then ·
n
÷M, (a
1
. . . . . a
n
) ÷
a
i
e
i
, is
an isomorphism of ·modules, and M is said to be a free ·module of rank m.
4
Kronecker products of matrices predate tensor products by about 70 years.
15
1. PRELIMINARIES FROM COMMUTATIVE ALGEBRA
The image of a˝
¹
M in M is
aM
def
={
a
i
m
i
[ a
i
÷ a, m
i
÷ M].
and so we obtain from the exact sequence (2) that
M,aM .(·,a) ˝
¹
M (3)
By way of contrast, if M ÷N is injective, then M˝
¹
1 ÷N ˝
¹
1 need not be injective.
For example, take · = Z, and note that (Z
n
÷Z) ˝
Z
(Z,mZ) equals Z,mZ
n
÷Z,mZ,
which is the zero map.
PROOF (OF THEOREM 1.15) Return to the situation of the theorem. When we tensor the
isomorphism
·,a
:
÷
·,a
i
with M, we get an isomorphism
M,aM .(·,a) ˝
¹
M
:
÷
(·,a
i
) ˝
¹
M .
M,a
i
M.
as required.
2
EXTENSION OF SCALARS
If · ÷T is an ·algebra and M is an ·module, then T ˝
¹
M has a natural structure of
a Tmodule for which
b(b
t
˝m) =bb
t
˝m. b. b
t
÷ T. m÷ M.
We say that T ˝
¹
M is the Tmodule obtained from M by extension of scalars. The map
m ÷1 ˝m: M ÷T ˝
¹
M has the following universal property: it is ·linear, and for
any ·linear map ˛: M ÷N from M into a Tmodule N, there is a unique Tlinear map
˛
t
: T ˝
¹
M ÷N such that ˛
t
(1˝m) =˛(m). Thus ˛ ÷˛
t
deﬁnes an isomorphism
Hom
¹
(M. N) ÷Hom
B
(T ˝
¹
M. N), N a Tmodule.
For example, ·˝
¹
M =M. If M is a free ·module with basis e
1
. . . . . e
n
, then T ˝
¹
M
is a free Tmodule with basis 1˝e
1
. . . . . 1˝e
n
.
TENSOR PRODUCTS OF ALGEBRAS
If ¡ : · ÷ T and g: · ÷ C are ·algebras, then T ˝
¹
C has a natural structure of an
·algebra: the product structure is determined by the rule
(b ˝c)(b
t
˝c
t
) =bb
t
˝cc
t
and the map · ÷T ˝
¹
C is a ÷¡(a) ˝1 =1˝g(a).
For example, there is a canonical isomorphism
a˝¡ ÷a¡ : 1˝
k
kŒX
1
. . . . . X
n
 ÷1ŒX
1
. . . . . X
n
 (4)
16
Review of tensor products
TENSOR PRODUCTS OF FIELDS
We are now able to compute 1˝
k
˝ if 1 is a ﬁnite separable ﬁeld extension of a ﬁeld k
and ˝ is an arbitrary ﬁeld extension of k. According to the primitive element theorem (FT
5.1), 1 =kŒ˛ for some ˛ ÷ 1. Let ¡(X) be the minimum polynomial of ˛. By deﬁnition
this means that the map g(X) ÷g(˛) determines an isomorphism
kŒX,(¡(X)) ÷1.
Hence
1˝
k
˝ .(kŒX,(¡(X))) ˝
k
˝ .˝ŒX,(¡(X))
by (3) and (4). Because 1 is separable over k, ¡(X) has distinct roots. Therefore ¡(X)
factors in ˝ŒX into monic irreducible polynomials
¡(X) =¡
1
(X) ¡
i
(X)
that are relatively prime in pairs. We can apply the Chinese Remainder Theorem to deduce
that
˝ŒX,(¡(X)) =
i
i=1
˝ŒX,(¡
i
(X)).
Finally, ˝ŒX,(¡
i
(X)) is a ﬁnite separable ﬁeld extension of ˝ of degree deg¡
i
. Thus we
have proved the following result:
THEOREM 1.18 Let 1 be a ﬁnite separable ﬁeld extension of k, and let ˝ be an arbitrary
ﬁeld extension. Then 1˝
k
˝ is a product of ﬁnite separable ﬁeld extensions of ˝,
1˝
k
˝ =
i
i=1
˝
i
.
If ˛ is a primitive element for 1,k, then the image ˛
i
of ˛ in ˝
i
is a primitive element
for ˝
i
,˝, and if ¡(X) and ¡
i
(X) are the minimum polynomials for ˛ and ˛
i
respectively,
then
¡(X) =
i
i=1
¡
i
(X).
EXAMPLE 1.19 Let 1 =¸Œ˛ with ˛ algebraic over ¸. Then
C˝
¸
1 .C˝
¸
(¸ŒX,(¡(X))) .CŒX,((¡(X)) .
i
i=1
CŒX,(X ÷˛
i
) ~C
i
.
Here ˛
1
. . . . . ˛
i
are the conjugates of ˛ in C. The composite of ˇ ÷1˝ˇ: 1 ÷C˝
¸
1
with projection onto the i th factor is
a
}
˛
}
÷
a
}
˛
}
i
.
We note that it is essential to assume in (1.18) that 1 is separable over k. If not, there
will be an ˛ ÷ 1 such that ˛
]
÷ k but ˛ … k, and the ring 1˝
k
1 will contain an element
ˇ =(˛ ˝1÷1˝˛) =0 such that
ˇ
]
=˛
]
˝1÷1˝˛
]
=˛
]
(1˝1) ÷˛
]
(1˝1) =0.
Hence 1˝
k
1 contains a nonzero nilpotent element, and so it can’t be a product of ﬁelds.
NOTES Ideals were introduced and studied by Dedekind for rings of algebraic integers, and later by
others in polynomial rings. It was not until the 1920s that the theory was placed in its most natural
setting, that of arbitrary commutative rings (by Emil Artin and Emmy Noether).
17
1. PRELIMINARIES FROM COMMUTATIVE ALGEBRA
Exercise
11 Let · be an integral domain. A multiplicative subset S of · is said to be saturated if
ab ÷ S =a and b ÷ S.
(a) Show that S is saturated ” its complement is a union of prime ideals.
(b) Show that given a multiplicative system S, there is a unique smallest saturated multi
plicative systemS
t
containing S, and that S
t
=·
_
p, where p runs over the prime
ideals disjoint from S. Show that S
t1
· =S
1
·. Deduce that S
1
· is character
ized by the set of prime ideals of · that remain prime in S
1
·.
18
CHAPTER 2
Rings of Integers
Let · be an integral domain, and let 1 be a ﬁeld containing ·. An element ˛ of 1 is said
to be integral over · if it is a root of a monic polynomial with coefﬁcients in ·, i.e., if it
satisﬁes an equation
˛
n
÷a
1
˛
n1
÷ ÷a
n
=0. a
i
÷ ·.
THEOREM 2.1 The elements of 1 integral over · form a ring.
I shall give two proofs of this theorem. The ﬁrst uses Newton’s theory of symmetric
polynomials and a result of Eisenstein, and the second is Dedekind’s surprisingly modern
proof, which avoids symmetric polynomials.
First proof that the integral elements form a ring
A polynomial 1(X
1
. .... X
i
) ÷ ·ŒX
1
. . . . . X
i
 is said to be symmetric if it is unchanged
when its variables are permuted, i.e., if
1(X
c(1)
. . . . . X
c(i)
) =1(X
1
. . . . . X
i
). all o ÷ Sym
i
.
For example
S
1
=
X
i
. S
2
=
i~}
X
i
X
}
. . . . . S
i
=X
1
X
i
.
are all symmetric. These particular polynomials are called the elementary symmetric poly
nomials.
THEOREM 2.2 (Symmetric function theorem) Let · be a ring. Every symmetric polyno
mial 1(X
1
. .... X
i
) in ·ŒX
1
. .... X
i
 is equal to a polynomial in the symmetric elementary
polynomials with coefﬁcients in ·, i.e., 1 ÷ ·ŒS
1
. .... S
i
.
PROOF. We deﬁne an ordering on the monomials in the X
i
by requiring that
X
i
1
1
X
i
2
2
X
i
r
i
>X
}
1
1
X
}
2
2
X
}
r
i
if either
i
1
÷i
2
÷ ÷i
i
>¸
1
÷¸
2
÷ ÷¸
i
19
2. RINGS OF INTEGERS
or equality holds and, for some s,
i
1
=¸
1
. . . . . i
x
=¸
x
. but i
x÷1
>¸
x÷1
.
Let X
k
1
1
X
k
r
i
be the highest monomial occurring in 1 with a coefﬁcient c =0. Because
1 is symmetric, it contains all monomials obtained fromX
k
1
1
X
k
r
i
by permuting the X’s.
Hence k
1
_k
2
_ _k
i
.
Clearly, the highest monomial in S
i
is X
1
X
i
, and it follows easily that the highest
monomial in S
d
1
1
S
d
r
i
is
X
d
1
÷d
2
÷···÷d
r
1
X
d
2
÷···÷d
r
2
X
d
r
i
.
Therefore
1(X
1
. . . . . X
i
) ÷cS
k
1
k
2
1
S
k
2
k
3
2
S
k
r
i
<1(X
1
. . . . . X
i
).
We can repeat this argument with the polynomial on the left, and after a ﬁnite number of
steps, we will arrive at a representation of 1 as a polynomial in S
1
. . . . . S
i
.
2
Let ¡(X) =X
n
÷a
1
X
n1
÷ ÷a
n
÷ ·ŒX, and let ˛
1
. . . . . ˛
n
be the roots of ¡(X)
in some ring containing ·, so that ¡(X) =
(X ÷˛
i
) in the larger ring. Then
a
1
=÷S
1
(˛
1
. . . . . ˛
n
). a
2
=S
2
(˛
1
. . . . . ˛
n
). . . . . a
n
=˙S
n
(˛
1
. . . . . ˛
n
).
Thus the elementary symmetric polynomials in the roots of ¡(X) lie in ·, and so the
theorem implies that every symmetric polynomial in the roots of ¡(X) lies in ·.
PROPOSITION 2.3 Let · be an integral domain, and let ˝ be an algebraically closed ﬁeld
containing ·. If ˛
1
. . . . . ˛
n
are the roots in ˝ of a monic polynomial in ·ŒX, then any
polynomial g(˛
1
. . . . . ˛
n
) in the ˛
i
with coefﬁcients in · is a root of a monic polynomial in
·ŒX.
PROOF. Clearly
h(X)
def
=
c÷Sym
n
(X ÷g(˛
c(1)
. . . . . ˛
c(n)
))
is a monic polynomial whose coefﬁcients are symmetric polynomials in the ˛
i
, and there
fore lie in ·. But g(˛
1
. . . . . ˛
n
) is one of its roots.
2
We now prove Theorem 2.1. Let ˛
1
and ˛
2
be elements of 1 integral over ·. There
exists a monic polynomial in ·ŒX having both ˛
1
and ˛
2
as roots. We can now apply (2.3)
with g(˛
1
. . . .) equal to ˛
1
˙˛
2
or ˛
1
˛
2
to deduce that these elements are integral over ·.
Dedekind’s proof that the integral elements form a ring
PROPOSITION 2.4 Let 1 be a ﬁeld containing ·. An element ˛ of 1 is integral over A if
and only if there exists a nonzero ﬁnitely generated ·submodule of 1 such that ˛M ÇM
(in fact, we can take M =·Œ˛, the ·subalgebra generated by ˛).
20
Dedekind’s proof that the integral elements form a ring
PROOF. =: Suppose
˛
n
÷a
1
˛
n1
÷ ÷a
n
=0. a
i
÷ ·.
Then the ·submodule M of 1 generated by 1, ˛, ..., ˛
n1
has the property that ˛M ÇM.
==: We shall need to apply Cramer’s rule. As usually stated (in linear algebra courses)
this says that, if
n
}=1
c
i}
.
}
=J
i
. i =1. . . . . m.
then
.
}
=det(C
}
),det(C)
where C =(c
i}
) and C
}
is obtained from C by replacing the elements of the ¸ th column
with the J
i
s. When one restates the equation as
det(C) .
}
=det(C
}
)
it becomes true over any ring (whether or not det(C) is invertible). The proof is elementary—
essentially it is what you wind up with when you eliminate the other variables (try it for
m=2). Alternatively, expand out
det C
}
=
ˇ
ˇ
ˇ
ˇ
ˇ
ˇ
ˇ
c
11
. . .
c
1}
.
}
. . . c
1n
.
.
.
.
.
.
.
.
.
c
n1
. . .
c
n}
.
}
. . . c
nn
ˇ
ˇ
ˇ
ˇ
ˇ
ˇ
ˇ
using standard properties of determinants.
Now let M be a nonzero ·module in 1 such that ˛M Ç M, and let ·
1
. . . . . ·
n
be a
ﬁnite set of generators for M. Then, for each i ,
˛·
i
=
a
i}
·
}
, some a
i}
÷ ·.
We can rewrite this system of equations as
(˛ ÷a
11
)·
1
÷a
12
·
2
÷a
13
·
3
÷ =0
÷a
21
·
1
÷(˛ ÷a
22
)·
2
÷a
23
·
3
÷ =0
=0.
Let C be the matrix of coefﬁcients on the lefthand side. Then Cramer’s rule tells us that
det(C) ·
i
=0 for all i . Since at least one ·
i
is nonzero and we are working inside the ﬁeld
1, this implies that det(C) =0. On expanding out the determinant, we obtain an equation
˛
n
÷c
1
˛
n1
÷c
2
˛
n2
÷ ÷c
n
=0. c
i
÷ ·.
2
We now prove Theorem 2.1. Let ˛ and ˇ be two elements of 1 integral over ·, and let
M and N be ﬁnitely generated ·modules in 1 such that ˛M ÇM and ˇN ÇN. Deﬁne
MN =
_
m
i
n
i
[ m
i
÷ M. n
i
÷ N
_
.
Then:
(a) MN is an ·submodule of 1 (easy);
(b) it is ﬁnitely generated because, if {e
1
. . . . . e
n
] generates M and {¡
1
. . . . . ¡
n
] gener
ates N, then {e
1
¡
1
. . . . . e
i
¡
}
. . . . . e
n
¡
n
] generates MN;
(c) it is stable under multiplication by ˛ˇ and by ˛ ˙ˇ.
We can now apply (2.4) to deduce that ˛ˇ and ˛ ˙ˇ are integral over ·.
21
2. RINGS OF INTEGERS
Integral elements
DEFINITION 2.5 The ring of elements of 1 integral over · is called the integral closure
of · in 1. The integral closure of Z in an algebraic number ﬁeld 1 is called the ring of
integers O
1
in 1.
Next we want to see that 1 is the ﬁeld of fractions of O
1
; in fact we can prove more.
PROPOSITION 2.6 Let 1 be the ﬁeld of fractions of ·, and let 1 be a ﬁeld containing 1.
If ˛ ÷ 1 is algebraic over 1, then there exists a J ÷ · such that J˛ is integral over ·.
PROOF. By assumption, ˛ satisﬁes an equation
˛
n
÷a
1
˛
n1
÷ ÷a
n
=0. a
i
÷ 1.
Let J be a common denominator for the a
i
, so that Ja
i
÷ · for all i , and multiply through
the equation by J
n
:
J
n
˛
n
÷a
1
J
n
˛
n1
÷... ÷a
n
J
n
=0.
We can rewrite this as
(J˛)
n
÷a
1
J(J˛)
n1
÷ ÷a
n
J
n
=0.
As a
1
J, ... , a
n
J
n
÷ ·, this shows that J˛ is integral over ·.
2
COROLLARY 2.7 Let · be an integral domain with ﬁeld of fractions 1, and let T be the
integral closure of · in a ﬁeld 1 containing 1. If 1 is algebraic over 1, then it is the ﬁeld
of fractions of T.
PROOF. The proposition shows that every ˛ ÷ 1 can be written ˛ = ˇ,J with ˇ ÷ T,
J ÷ ·.
2
DEFINITION 2.8 A ring · is integrally closed if it is its own integral closure in its ﬁeld of
fractions 1, i.e., if
˛ ÷ 1. ˛ integral over · =˛ ÷ ·.
PROPOSITION 2.9 A unique factorization domain, for example, a principal ideal domain,
is integrally closed.
PROOF. Let · be a unique factorization domain, and let a,b, with a. b ÷ ·, be an element
of the ﬁeld of fractions of · integral over ·. If b is a unit, then a,b ÷ ·. Otherwise we may
suppose that there is an irreducible element ¬ of · dividing b but not a. As a,b is integral
over ·, it satisﬁes an equation
(a,b)
n
÷a
1
(a,b)
n1
÷ ÷a
n
=0. a
i
÷ ·.
On multiplying through by b
n
, we obtain the equation
a
n
÷a
1
a
n1
b ÷... ÷a
n
b
n
=0.
The element ¬ then divides every term on the left except a
n
, and hence must divide a
n
.
Since it doesn’t divide a, this is a contradiction.
2
22
Integral elements
The proposition makes it easy to give examples of rings where unique factorization fails
— take any ring which is not integrally closed, for example, ZŒ
_
5.
EXAMPLE 2.10 (a) The rings Z and ZŒi  are integrally closed because both are principal
ideal domains.
(b) Unique factorization fails in ZŒ
_
÷3 because
4 =2×2 =(1÷
_
÷3)(1÷
_
÷3).
and the four factors are all irreducible because they have the minimum norm 4. However,
ZŒ
_
÷3 ÇZŒ
3
_
1 which is a principal ideal domain (and hence the integral closure of Z in
¸Œ
_
÷3 =¸Œ
3
_
1).
(c) For any ﬁeld k, I claim that the integral closure of kŒS
1
. .... S
n
 in k(X
1
. . . . . X
n
) is
kŒX
1
. . . . . X
n
 (here the S
i
are the elementary symmetric polynomials).
Let ¡ ÷k(X
1
. . . . . X
n
) be integral over kŒS
1
. . . . . S
n
. Then ¡ is integral over kŒX
1
. . . . . X
n
,
which is a unique factorization domain, and hence is integrally closed in its ﬁeld of frac
tions. Thus ¡ ÷ kŒX
1
. . . . . X
n
.
Conversely, let ¡ ÷ kŒX
1
. . . . . X
n
. Then ¡ is a root of the monic polynomial
c÷Sym
m
(T ÷¡(X
c(1)
. . . . . X
c(n)
)).
The coefﬁcients of this polynomial are symmetric polynomials in the X
i
, and therefore (see
2.2) lie in kŒS
1
. . . . . S
i
.
PROPOSITION 2.11 Let 1 be the ﬁeld of fractions of ·, and let 1 be an extension of 1 of
ﬁnite degree. Assume · is integrally closed. An element ˛ of 1 is integral over · if and
only if its minimum polynomial over 1 has coefﬁcients in ·.
PROOF. Let ˛ be an element of 1 integral over ·, so that
˛
n
÷a
1
˛
n1
÷... ÷a
n
=0. some a
i
÷ ·.
Let ¡(X) be the minimumpolynomial of ˛ over 1. For any root ˛
t
of ¡(X), the ﬁelds 1Œ˛
and 1Œ˛
t
 are both stem ﬁelds for ¡ (see FT p. 19), and so there exists a 1isomorphism
o: 1Œ˛ ÷1Œ˛
t
. o(˛) =˛
t
:
On applying o to the above equation we obtain the equation
˛
tn
÷a
1
˛
tn1
÷... ÷a
n
=0.
which shows that ˛
t
is integral over ·. Hence all the roots of ¡(X) are integral over ·, and
it follows that the coefﬁcients of ¡(X) are integral over · (by 2.1). They lie in 1, and · is
integrally closed, and so they lie in ·. This proves the “only if” part of the statement, and
the “if” part is obvious.
2
REMARK 2.12 As we noted in the introduction, this makes it easy to compute some rings
of integers. For example, an element ˛ ÷ ¸Œ
_
J is integral over Z if and only if its trace
and norm both lie in Z.
23
2. RINGS OF INTEGERS
PROPOSITION 2.13 If T is integral over · and ﬁnitely generated as an ·algebra, then it
is ﬁnitely generated as an ·module.
PROOF. First consider the case that T is generated as an ·algebra by a single element, say
T =·Œˇ. By assumption
ˇ
n
÷a
1
ˇ
n1
÷ ÷a
n
=0. some a
i
÷ ·.
Every element of T can be expressed as a ﬁnite sum
c
0
÷c
1
ˇ÷c
2
ˇ
2
÷ ÷c
1
ˇ
1
. c
i
÷ ·,
and we can exploit the preceding equality to replace ˇ
n
(successively) with a linear combi
nation of lower powers of ˇ. Thus every element of T can be expressed as a ﬁnite sum
c
0
÷c
1
ˇ÷c
2
ˇ
2
÷ ÷c
n1
ˇ
n1
, c
i
÷ ·.
and so 1. ˇ. ˇ
2
. . . . . ˇ
n1
generate T as an ·module. In order to pass to the general case,
we need a lemma.
2
LEMMA 2.14 Let · Ç T Ç C be rings. If T is ﬁnitely generated as an ·module, and C
is ﬁnitely generated as a Tmodule, then C is ﬁnitely generated as an ·module.
PROOF. If {ˇ
1
. .... ˇ
n
] is a set of generators for T as an ·module, and {;
1
. .... ;
n
] is a
set of generators for C as a Tmodule, then {ˇ
i
;
}
] is a set of generators for C as an ·
module.
2
We now complete the proof of (2.13). Let ˇ
1
. . . . . ˇ
n
generate T as an ·algebra, and
consider
· Ç·Œˇ
1
 Ç·Œˇ
1
. ˇ
2
 Ç Ç·Œˇ
1
. .... ˇ
n
 =T.
We sawabove that ·Œˇ
1
 is ﬁnitely generated as an ·module. Since ·Œˇ
1
. ˇ
2
 =·Œˇ
1
Œˇ
2
,
and ˇ
2
is integral over ·Œˇ
1
 (because it is over ·), the same observation shows that
·Œˇ
1
. ˇ
2
 is ﬁnitely generated as a ·Œˇ
1
module. Now the lemma shows that ·Œˇ
1
. ˇ
2

is ﬁnitely generated as an ·module. Continuing in this fashion, we ﬁnd that T is ﬁnitely
generated as an ·module.
PROPOSITION 2.15 Consider integral domains ·ÇT ÇC; if T is integral over ·, and C
is integral over T, then C is integral over ·.
PROOF. Let ; ÷ C; it satisﬁes an equation
;
n
÷b
1
;
n1
÷ ÷b
n
=0. b
i
÷ T.
Let T
t
=·Œb
1
. .... b
n
. Then T
t
is ﬁnitely generated as an ·module (by the last proposi
tion), and ; is integral over T
t
(by our choice of the b
i
), and so T
t
Œ; is ﬁnitely generated
as an ·module. Since ;T
t
Œ; ÇT
t
Œ;, Proposition 2.4 shows that ; is integral over ·.
2
COROLLARY 2.16 The integral closure of · in an algebraic extension 1 of its ﬁeld of
fractions is integrally closed.
24
Review of bases of ·modules
PROOF. Let T be the integral closure of · in 1, and let C be the integral closure of T in
1. Then C is integral over ·, and so C ÇT.
2
REMARK 2.17 In particular, the ring of integers in a number ﬁeld is integrally closed.
Clearly we want this, since we want our ring of integers to have the best chance of being a
unique factorization domain (see 2.9).
EXAMPLE 2.18 Let k be a ﬁnite ﬁeld, and let 1 be a ﬁnite extension of k(X). Let O
1
be
the integral closure of kŒX in 1. The arithmetic of O
1
is very similar to that of the ring
of integers in a number ﬁeld.
Review of bases of ·modules
Let M be an ·module. Recall that a set of elements e
1
. .... e
n
is a basis for M if
(a)
a
i
e
i
=0, a
i
÷ · =all a
i
=0, and
(b) every element . of M can be expressed in the form . =
a
i
e
i
, a
i
÷ ·.
Let {e
1
. .... e
n
] be a basis for M, and let {¡
1
. .... ¡
n
] be a second set of n elements in
M. Then we can write ¡
i
=
a
i}
e
}
, a
i}
÷ ·, and ¡
i
is also a basis if and only if the
matrix (a
i}
) is invertible in the ring M
n
(·) of n×n matrices with coefﬁcients in · (this is
obvious). Moreover (a
i}
) is invertible in M
n
(·) if and only if its determinant is a unit in
·, and in this case, the inverse is given by the usual formula:
(a
i}
)
1
=adj(a
i}
) det(a
i}
)
1
.
In the case that ·=Z, the index of N
def
=Z¡
1
÷Z¡
2
÷ ÷Z¡
n
in M is [ det(a
i}
)[ (assum
ing this is nonzero). To prove this, recall from basic graduate algebra that we can choose
bases {e
t
i
] for M and {¡
t
i
] for N such that ¡
t
i
=m
i
e
t
i
, m
i
÷ Z, m
i
> 0. If (e
t
i
) =U (e
i
)
and (¡
t
i
) =V (¡
i
), then (¡
i
) =V
1
DU(e
i
) where D =diag(m
1
. . . . . m
n
), and
det(V
1
DU) =det(V
1
) det(D) det(U) =
m
i
=(M : N).
Review of norms and traces
Let · Ç T be rings such that T is a free ·module of rank n. Then any ˇ ÷ T deﬁnes an
·linear map
. ÷ˇ.: T ÷T.
and the trace and determinant of this map are welldeﬁned. We call them the trace Tr
B{¹
ˇ
and norm Nm
B{¹
ˇ of ˇ in the extension T,·. Thus if {e
1
. .... e
n
] is a basis for T over ·,
and ˇe
i
=
a
i}
e
}
, then Tr
B{¹
(ˇ) =
a
i i
and Nm
B{¹
(ˇ) =det(a
i}
). When T ¸· is a
ﬁnite ﬁeld extension, this agrees with the usual deﬁnition. The following hold (for a ÷ ·,
ˇ. ˇ
t
÷ T):
Tr(ˇ÷ˇ
t
) =Tr(ˇ) ÷Tr(ˇ
t
) Nm(ˇˇ
t
) =Nm(ˇ) Nm(ˇ
t
)
Tr(aˇ) =aTr(ˇ) Nm(a) =a
n
Tr(a) =na
25
2. RINGS OF INTEGERS
PROPOSITION 2.19 Let 1,1 be an extension of ﬁelds of degree n, and let ˇ ÷ 1. Let
¡(X) be the minimum polynomial of ˇ over 1 and let ˇ
1
=ˇ, ˇ
2
, ... , ˇ
n
be the roots of
¡(X). Then
Tr
1{1
(ˇ) =r(ˇ
1
÷ ÷ˇ
n
). Nm
1{1
(ˇ) =(ˇ
1
ˇ
n
)
i
where r =Œ1 : 1Œˇ =n,m.
PROOF. Suppose ﬁrst that 1 = 1Œˇ, and compute the matrix of . ÷ˇ. relative to the
basis {1. ˇ. . . . . ˇ
n1
] — one sees easily that it has trace
ˇ
i
and determinant
ˇ
i
. For
the general case, use the transitivity of norms and traces (see FT 5.44).
2
COROLLARY 2.20 Assume 1 is separable of degree n over 1, and let {o
1
. .... o
n
] be the
set of distinct 1homomorphisms 1 ·÷˝ where ˝ is some big Galois extension of 1
(e.g., the Galois closure of 1 over 1). Then
Tr
1{1
(ˇ) =o
1
ˇ÷ ÷o
n
ˇ. Nm
1{1
(ˇ) =o
1
ˇ o
n
ˇ.
PROOF. Each ˇ
i
occurs exactly r times in the family {o
i
ˇ].
2
COROLLARY 2.21 Let · be an integrally closed integral domain, and let 1 be a ﬁnite
extension of the ﬁeld of fractions 1 of ·; if ˇ ÷ 1 is integral over ·, then Tr
1{1
(ˇ) and
Nm
1{1
(ˇ) are in ·.
PROOF. We know that if ˇ is integral, then so also is each of its conjugates. Alternatively,
apply 2.11.
2
ASIDE 2.22 Let 1 = 1Œ˛, and let ˛
1
= ˛. ˛
2
. . . . . ˛
n
be the conjugates of ˛ (in some Galois
extension of 1 containing 1). For any ˇ =g(˛) in 1.
Nm
1{1
(ˇ) =
n
i=1
g(˛
i
). Tr
1{1
(ˇ) =
n
i=1
g(˛
i
).
This is a restatement of (2.20), and is Dedekind’s original deﬁnition (Dedekind 1877, §17).
Review of bilinear forms
Let V be a ﬁnitedimensional vector space over a ﬁeld 1. Recall that a bilinear form on V
is a 1bilinear map
[: V ×V ÷1.
Such a form is symmetric if [(.. ,) = [(,. .) for all .. , ÷ V . The discriminant of a
bilinear form [ relative to a basis {e
1
. .... e
n
] of V is det([(e
i
. e
}
)). If {¡
1
. .... ¡
n
] is a set
of elements of V , and ¡
}
=
a
}i
e
i
, then
[(¡
k
. ¡
I
) =
i,}
[(a
ki
e
i
. a
I}
e
}
) =
i,}
a
ki
[(e
i
. e
}
) a
I}
.
and so
([(¡
k
. ¡
I
)) =· ([(e
i
. e
}
)) ·
tr
26
Discriminants
(equality of m×m matrices) where · is the invertible matrix (a
i}
). Hence
det([(¡
i
. ¡
}
)) =det(·)
2
det([(e
i
. e
}
)) (5)
The form [ is said to be nondegenerate if it satisﬁes each of the following equivalent
conditions:
(a) [ has a nonzero discriminant relative to one (hence every) basis of V :
(b) the left kernel {· ÷ V [ [(·. .) =0 for all . ÷ V ] is zero;
(c) the right kernel of [ is zero.
Thus if [ is nondegenerate, the map · ÷(. ÷[(·. .)) from V onto the dual vector space
V
·
def
=Hom(V. 1) is an isomorphism. Let {e
1
. .... e
n
] be a basis for V , and let ¡
1
. .... ¡
n
be the dual basis in V
·
, i.e., ¡
i
(e
}
) =ı
i}
(Kronecker delta). We can use the isomorphism
V ÷V
·
given by a nondegenerate form [ to transfer {¡
1
. .... ¡
n
] to a basis {e
t
1
. .... e
t
n
] of
V ; it has the property that
[(e
t
i
. e
}
) =ı
i}
.
For example, suppose {e
1
. .... e
n
] is a basis such that ([(e
i
. e
}
)) is a diagonal matrix — the
GramSchmidt process always allows us to ﬁnd such a basis when the form is symmetric
— then e
t
i
=e
i
,[(e
i
. e
i
).
Discriminants
If 1 is a ﬁnite extension of 1 (1 and 1 ﬁelds), then
(˛. ˇ) ÷Tr
1{1
(˛ˇ): 1×1 ÷1
is a symmetric bilinear form on 1 regarded as a vector space over 1, and the discriminant
of this form is called the discriminant of 1,1.
More generally, let T ¸ · be rings, and assume T is free of rank m as an ·module.
Let ˇ
1
. .... ˇ
n
be elements of T. We deﬁne their discriminant to be
D(ˇ
1
. .... ˇ
n
) =det(Tr
B{¹
(ˇ
i
ˇ
}
)).
LEMMA 2.23 If ;
}
=
a
}i
ˇ
i
, a
i}
÷ ·, then
D(;
1
. .... ;
n
) =det(a
i}
)
2
D(ˇ
1
. .... ˇ
n
).
PROOF. See the proof of (5).
2
If the ˇs and ;s each form a basis for T over ·, then det(a
i}
) is a unit (see p25). Thus
the discriminant D(ˇ
1
. .... ˇ
n
) of a basis {ˇ
1
. .... ˇ
n
] of T is welldeﬁned up to multiplica
tion by the square of a unit in ·. In particular, the ideal in · that it generates is independent
of the choice of the basis. This ideal, or D(ˇ
1
. .... ˇ
n
) itself regarded as an element of
·,·
×2
, is called the discriminant disc(T,·) of T over ·.
For example, when we have a ﬁnite extension of ﬁelds 1,1, disc(1,1) is an element
of 1, welldeﬁned up to multiplication by a nonzero square in 1.
When ·=Z, disc(T,·) is a welldeﬁned integer, because 1 is the only square of a unit
in Z.
27
2. RINGS OF INTEGERS
Warning: We shall see shortly that, when 1 is a number ﬁeld of degree m over ¸,
the ring of integers O
1
in 1 is free of rank m over Z, and so disc(O
1
,Z) is a well
deﬁned integer. Sometimes this is loosely referred to as the discriminant of 1,¸— strictly
speaking, disc(1,¸) is the element of ¸
×
,¸
×2
represented by the integer disc(O
1
,Z).
PROPOSITION 2.24 Let · ÇT be integral domains and assume that T is a free ·module
of rank m and that disc(T,·) =0. Elements ;
1
. .... ;
n
form a basis for T as an ·module
if and only if
(D(;
1
. .... ;
n
)) =(disc(T,·)) (as ideals in ·).
PROOF. Let {ˇ
1
. .... ˇ
n
] be a basis for T as an ·module, and let ;
1
. .... ;
n
be any elements
of T. Write ;
}
=
a
}i
ˇ
i
, a
}i
÷ ·. Then
D(;
1
. .... ;
n
)
(2.23)
= det(a
i}
)
2
D(ˇ
1
. .... ˇ
n
).
and, as we noted earlier, {;
1
. . . . . ;
n
] is a basis if and only if det(a
i}
) is a unit.
2
REMARK 2.25 Take · =Z in (2.24). Elements ;
1
. ;
2
. . . . . ;
n
generate a submodule N of
ﬁnite index in T if and only if D(;
1
. . . . . ;
n
) =0, in which case
D(;
1
. . . . . ;
n
) =(T: N)
2
disc(T,Z).
To prove this, choose a basis ˇ
1
. . . . . ˇ
n
for T as a Zmodule, and write ;
}
=
a
}i
ˇ
i
.
Then both sides equal det(a
i}
)
2
D(ˇ
1
. . . . . ˇ
n
).
PROPOSITION 2.26 Let 1 be a ﬁnite separable extension of the ﬁeld 1 of degree m, and
let o
1
. .... o
n
be the distinct 1homomorphisms of 1 into some large Galois extension ˝
of 1. Then, for any basis ˇ
1
. .... ˇ
n
of 1 over 1.
D(ˇ
1
. .... ˇ
n
) =det(o
i
ˇ
}
)
2
=0.
PROOF. By direct calculation, we have
D(ˇ
1
. . . . . ˇ
n
)
def
=det(Tr(ˇ
i
ˇ
}
))
=det(
k
o
k
(ˇ
i
ˇ
}
)) (by 2.20)
=det(
k
o
k
(ˇ
i
) o
k
(ˇ
}
))
=det(o
k
(ˇ
i
)) det(o
k
(ˇ
}
))
=det(o
k
(ˇ
i
))
2
.
Suppose that det(o
i
ˇ
}
) =0. Then there exist c
1
. .... c
n
÷ ˝ such that
i
c
i
o
i
(ˇ
}
) =0 all ¸.
2
By linearity, it follows that
i
c
i
o
i
(ˇ) =0 for all ˇ ÷ 1, but this contradicts Dedekind’s
theorem on the independence of characters (apply it with G =1
×
):
Let G be a group and ˝ a ﬁeld, and let o
1
. .... o
n
be distinct homomorphisms
G ÷˝
×
; then o
1
. .... o
n
are linearly independent over ˝, i.e., there do not
exist c
i
÷ ˝ such that . ÷
i
c
i
o
i
(.): G ÷˝ is the zero map (FT 5.14).
28
Rings of integers are ﬁnitely generated
COROLLARY 2.27 Let 1 be the ﬁeld of fractions of ·, and let 1 be a ﬁnite separable
extension of 1 of degree m. If the integral closure T of · in 1 is free of rank m over ·,
then disc(T,·) =0.
PROOF. If {ˇ
1
. .... ˇ
n
] is a basis for T as an ·module, then it follows easily from (2.6)
that it is also a basis for 1 as a 1vector space. Hence disc(T,·) represents disc(1,1).
2
REMARK 2.28 (a) The proposition shows that the 1bilinear pairing
(ˇ. ˇ
t
) ÷Tr(ˇ ˇ
t
): 1×1 ÷1
is nondegenerate (its discriminant is disc(1,1)).
(b) The assumption that 1,1 is separable is essential; in fact, if 1,1 is not separable,
then disc(1,1) =0 (see Exercise 23).
Rings of integers are ﬁnitely generated
We now show that O
1
is ﬁnitely generated as a Zmodule.
PROPOSITION 2.29 Let · be an integrally closed integral domain with ﬁeld of fractions
1, and let T the integral closure of · in a separable extension 1 of 1 of degree m. There
exists free ·submodules M and M
t
of 1 such that
M ÇT ÇM
t
. (6)
Therefore T is a ﬁnitely generated ·module if · is Noetherian, and it is free of rank m if
· is a principal ideal domain.
PROOF. Let {ˇ
1
. .... ˇ
n
] be a basis for 1 over 1. According to (2.6), there exists a J ÷ ·
such that J ˇ
i
÷T for all i . Clearly {J ˇ
1
. . . . . J ˇ
n
] is still a basis for 1as a vector space
over 1, and so we may assume to begin with that each ˇ
i
÷ T. Because the trace pairing is
nondegenerate, there is a “dual” basis {ˇ
t
1
. .... ˇ
t
n
] of 1 over 1 such that Tr(ˇ
i
ˇ
t
}
) =ı
i}
(see the discussion following (5), p27). We shall show that
·ˇ
1
÷·ˇ
2
÷ ÷·ˇ
n
ÇT Ç·ˇ
t
1
÷·ˇ
t
2
÷ ÷·ˇ
t
n
.
Only the second inclusion requires proof. Let ˇ ÷ T. Then ˇ can be written uniquely as a
linear combination ˇ =
b
}
ˇ
t
}
of the ˇ
t
}
with coefﬁcients b
}
÷ 1, and we have to show
that each b
}
÷ ·. As ˇ
i
and ˇ are in T, so also is ˇ ˇ
i
, and so Tr(ˇ ˇ
i
) ÷ · (see 2.21).
But
Tr(ˇ ˇ
i
) =Tr(
}
b
}
ˇ
t
}
ˇ
i
) =
}
b
}
Tr(ˇ
t
}
ˇ
i
) =
}
b
}
ı
i}
=b
i
.
Hence b
i
÷ ·.
If · Noetherian, then M
t
is a Noetherian ·module (see 1.8), and so T is ﬁnitely
generated as an ·module. If · is a principal ideal domain, then T is free of rank _ m
because it is contained in a free ·module of rank m, and it has rank _mbecause it contains
a free ·module of rank m (see any basic graduate algebra course).
2
29
2. RINGS OF INTEGERS
COROLLARY 2.30 The ring of integers in a number ﬁeld 1 is the largest subring that is
ﬁnitely generated as a Zmodule.
PROOF. We have just seen that O
1
is a ﬁnitely generated Zmodule. Let T be another
subring of 1 that is ﬁnitely generated as a Zmodule; then every element of T is integral
over Z (by 2.4), and so T ÇO
1
.
2
REMARK 2.31 (a) The hypothesis that 1,1 be separable is necessary to conclude that
T is a ﬁnitely generated ·module (we used that the trace pairing was nondegenerate).
However it is still true that the integral closure of kŒX in any ﬁnite extension of k(X) (not
necessarily separable) is a ﬁnitely generated kŒXmodule.
(b) The hypothesis that · be a principal ideal domain is necessary to conclude from (6)
that T is a free ·module — there do exist examples of number ﬁelds 1,1 such that O
1
is not a free O
1
module.
(c) Here is an example of a ﬁnitely generated module that is not free. Let ·=ZŒ
_
÷5,
and consider the ·modules
(2) Ç(2. 1÷
_
÷5) ÇZŒ
_
÷5.
Both (2) and ZŒ
_
÷5 are free ZŒ
_
÷5modules of rank 1, but (2. 1 ÷
_
÷5) is not a free
ZŒ
_
÷5module of rank 1, because it is not a principal ideal (see the Introduction). In fact,
it is not a free module of any rank.
DEFINITION 2.32 When 1 is a number ﬁeld, a basis ˛
1
. .... ˛
n
for O
1
as a Zmodule is
called an integral basis for 1.
REMARK 2.33 We retain the notations of the proposition and its proof.
(a) Let C =
·ˇ
i
ÇT, with ˇ
i
a basis for 1 over 1. Deﬁne
C
+
={ˇ ÷ 1 [ Tr(ˇ;) ÷ · for all ; ÷ C].
By linearity,
ˇ ÷ C
+
” Tr(ˇˇ
i
) ÷ · for i =1. .... m.
and it follows that
C
+
=
·ˇ
t
i
.
Thus we have:
C =
·ˇ
i
ÇT Ç
·ˇ
t
i
=C
+
.
(b) Write 1 =¸Œˇ with ˇ ÷ T, and let ¡(X) be the minimum polynomial of ˇ. Let
C =ZŒˇ =Z1÷Zˇ÷ ÷Zˇ
n1
. We want to ﬁnd C
+
.
One can show (Artin 1959, Chapter 7) that
Tr(ˇ
i
,¡
t
(ˇ)) =
_
0 if 0 _i _m÷2
1 if i =m÷1
(these formulas go back to Euler). It follows from this that
det(Tr(ˇ
i
ˇ
}
,¡
t
(ˇ)) =(÷1)
n
30
Finding the ring of integers
(the only term contributing to the determinant is the product of the elements on the other
diagonal). If ˇ
t
1
. .... ˇ
t
n
is the dual basis to 1. ˇ. . . . . ˇ
n1
, so that Tr(ˇ
i
ˇ
t
}
) =ı
i}
, then
det(Tr(ˇ
i
ˇ
t
}
)) =1.
On comparing these formulas, one sees that the matrix relating the family
{1,¡
t
(ˇ). .... ˇ
n1
,¡
t
(ˇ)]
to the basis
{ˇ
t
1
. .... ˇ
t
n
]
has determinant ˙1, and so it is invertible in M
n
(·). Thus we see that C
+
is a free ·
module with basis {1,¡
t
(ˇ). . . . . ˇ
n1
,¡
t
(ˇ)]:
C =·Œˇ ÇT Ç¡
t
(ˇ)
1
·Œˇ =C
+
.
Finding the ring of integers
We now assume 1 to be a ﬁeld of characteristic zero.
PROPOSITION 2.34 Let 1 =1Œˇ some ˇ, and let ¡(X) be the minimum polynomial of
ˇ over 1. Suppose that ¡(X) factors into
(X ÷ˇ
i
) over the Galois closure of 1. Then
D(1. ˇ. ˇ
2
. . . . . ˇ
n1
) =
1_i~}_n
(ˇ
i
÷ˇ
}
)
2
=(÷1)
n(n1){2
Nm
1{1
(¡
t
(ˇ)).
PROOF. We have
D(1. ˇ. ˇ
2
. . . . . ˇ
n1
) =det(o
i
(ˇ
}
))
2
(2.26)
=det(ˇ
}
i
)
2
=(
i~}
(ˇ
i
÷ˇ
}
))
2
(Vandermonde)
=(÷1)
n(n1){2
i
(
}yi
(ˇ
i
÷ˇ
}
))
=(÷1)
n(n1){2
}
¡
t
(ˇ
}
)
=(÷1)
n(n1){2
Nm(¡
t
(ˇ)).
2
The number in (2.34) is called the discriminant of ¡(X). It can also be deﬁned as the
resultant of ¡(X) and ¡
t
(X). The discriminant of ¡ lies in 1, and it is zero if and only if
¡ has a repeated root. It is a symmetric polynomial in the ˇ
i
with coefﬁcients in 1, and so
(by 2.2) it can be expressed in terms of the coefﬁcients of ¡(X), but the formulas are quite
complicated.
EXAMPLE 2.35 We compute the discriminant of
¡(X) =X
n
÷aX ÷b, a. b ÷ 1.
assumed to be irreducible and separable. Let ˇ be a root of ¡(X), and let
; =¡
t
(ˇ) =nˇ
n1
÷a.
31
2. RINGS OF INTEGERS
We compute Nm
1Œˇj{1
(;). On multiplying the equation
ˇ
n
÷aˇ÷b =0
by nˇ
1
and rearranging, we obtain the equation
nˇ
n1
=÷na÷nbˇ
1
.
Hence
; =nˇ
n1
÷a =÷(n÷1)a÷nbˇ
1
.
Solving for ˇ gives
ˇ =
÷nb
; ÷(n÷1)a
.
from which it is clear that 1Œˇ =1Œ;, and so the minimum polynomial of ; over 1 also
has degree n. If we write
¡
_
÷nb
X ÷(n÷1)a
_
=1(X),Q(X).
then 1(;),Q(;) =¡(ˇ) =0 and so 1(;) =0. Since
1(X) =(X ÷(n÷1)a)
n
÷na(X ÷(n÷1)a)
n1
÷(÷1)
n
n
n
b
n1
is monic of degree n, it must be the minimum polynomial of ;. Therefore Nm(;) is (÷1)
n
times the constant term of this polynomial, and so we ﬁnd that
Nm(;) =n
n
b
n1
÷(÷1)
n1
(n÷1)
n1
a
n
.
Finally we obtain the formula:
disc(X
n
÷aX ÷b) =(÷1)
n(n1){2
(n
n
b
n1
÷(÷1)
n1
(n÷1)
n1
a
n
)
For example:
disc(X
2
÷aX ÷b) =÷4b ÷a
2
.
disc(X
3
÷aX ÷b) =÷27b
2
÷4a
3
.
disc(X
4
÷aX ÷b) =256b
3
÷27a
4
,
disc(X
5
÷aX ÷b) =5
5
b
4
÷4
4
a
5
.
For any polynomials more complicated than the above, use a computer program. For
example, typing
poldisc(X^3+a*X^2+b*X+c)
in PARI returns
4*c*a^3 + b^2*a^2 + 18*c*b*a + (4*b^3  27*c^2)
i.e., ÷4ca
3
÷b
2
a
2
÷18cba÷(÷4b
3
÷27c
2
).
The general strategy for ﬁnding the ring of integers of 1 is to write 1 =¸Œ˛ with ˛
an integer in 1, and compute D(1. ˛. .... ˛
n1
). It is an integer, and if it is squarefree, then
{1. ˛. .... ˛
n1
] is automatically an integral basis, because (see 2.25)
D(1. ˛. . . . . ˛
n1
) =disc(O
1
,Z) (O
1
: ZŒ˛)
2
. (7)
If it is not squarefree, {1. ˛. .... ˛
n1
] may still be an integral basis, and sometimes one
can tell this by using Stickelberger’s theorem (see 2.40 below) or by looking at how primes
ramify (see later). If {1. ˛. .... ˛
n1
] is not an integral basis, one has to look for algebraic
integers not in
Z ˛
i
(we describe an algorithm below).
32
Finding the ring of integers
EXAMPLE 2.36 The polynomial X
3
÷X÷1 is irreducible
1
in ¸ŒX, because, if it factored,
it would have a root in ¸, which would be an integer dividing 1. Let ˛ be a root of X
3
÷
X ÷1. We have
D(1. ˛. ˛
2
) =disc(¡(X)) =÷23.
which contains no square factor, and so {1. ˛. ˛
2
] is an integral basis for ¸Œ˛ (and ZŒ˛ is
the ring of integers in ¸Œ˛).
EXAMPLE 2.37 The polynomial X
3
÷X ÷1 is irreducible in ¸ŒX, and, for any root
˛ of it, D(1. ˛. ˛
2
) = disc(¡(X)) = ÷31, which contains no square factor, and so again
{1. ˛. ˛
2
] is an integral basis for ¸Œ˛.
EXAMPLE 2.38 This example goes back to Dedekind. Let 1 =¸Œ˛, where ˛ is a root of
¡(X) =X
3
÷X
2
÷2X ÷8.
The discriminant of ¡ is ÷2012 =÷4 503, but Dedekind showed that O
1
=ZŒˇ, and so
disc(O,Z) =÷503. In fact Dedekind showed that there is no integral basis of the form 1,
ˇ, ˇ
2
(see Weiss 1963, p170; for another example of this type, see Exercise 26.)
EXAMPLE 2.39 Consider the ﬁeld ¸Œ˛ where ˛ is a root of ¡(X) = X
5
÷X ÷1. This
polynomial is irreducible, because it is irreducible in F
3
ŒX. The discriminant of ¡(X) is
2869 =19 151, and so the ring of integers in ¸Œ˛ is ZŒ˛.
PROPOSITION 2.40 Let 1 be an algebraic number ﬁeld.
(a) The sign of disc(1,¸) is (÷1)
x
, where 2s is the number of homomorphisms 1 ·÷C
whose image is not contained in 1.
(b) (Stickelberger’s theorem) disc(O
1
,Z) ÷0 or 1 mod 4.
PROOF. (a) Let 1 =¸Œ˛, and let ˛
1
=˛, ˛
2
, ..., ˛
i
be the real conjugates of ˛ and ˛
i÷1
,
¨ ˛
i÷1
. .... ˛
i÷x
. ¨ ˛
i÷x
the complex conjugates. Then
sign(D(1. .... ˛
n1
)) =sign
_
1_i_x
(˛
i÷i
÷ ¨ ˛
i÷i
)
_
2
because the other terms are either squares of real numbers or occur in conjugate pairs, and
this equals (÷1)
x
.
(b) Recall that disc(O
1
,Z) =det(o
i
˛
}
)
2
, where ˛
1
. .... ˛
n
is an integral basis. Let 1
be the sum of the terms in the expansion of det(o
i
˛
}
) corresponding to even permutations,
and ÷N the sum of the terms corresponding to odd permutations. Then
disc(O
1
,Z) =(1 ÷N)
2
=(1 ÷N)
2
÷41N.
If t is an element of the Galois group of the Galois closure of 1 over ¸, then either t1 =1
and tN =N, or t1 =N and tN =1. In either case, t ﬁxes 1 ÷N and 1N, and so they
are rational numbers. As they are integral over Z, they must in fact be integers, from which
it follows that
disc(O
1
,Z) ÷(1 ÷N)
2
÷0 or 1 mod 4.
2
1
In fact, this is the monic irreducible cubic polynomial in ZŒX with the smallest discriminant.
33
2. RINGS OF INTEGERS
EXAMPLE 2.41 Consider the ﬁeld ¸Œ
_
m, where m is a squarefree integer.
Case m ÷2. 3 mod 4. Here D(1.
_
m) =disc(X
2
÷m) =4m, and so Stickelberger’s
theorem shows that disc(O
1
,Z) =4m, and hence {1.
_
m] is an integral basis.
Case m ÷1 mod 4. The element (1 ÷
_
m),2 is integral because it is a root of X
2
÷
X ÷(1 ÷m),4. As D(1. (1 ÷
_
m),2) = m, we see that {1. (1 ÷
_
m),2] is an integral
basis.
REMARK 2.42 Let 1 and 1
t
be number ﬁelds. If 1 and 1
t
are isomorphic, then they
have the same degree and the same discriminant, but the converse statement is false. For
example, there are four nonisomorphic cubic number ﬁelds with discriminant ÷4027 (4027
is prime). See (3.48) and (3.49) for two of them.
The curious may wonder why we didn’t give an example of a ﬁeld generated over ¸ by
an integral element whose minimum polynomial has discriminant ˙1. The reason is that
there is no such polynomial of degree > 1 — see the discussion following Theorem 4.9
below.
2
Algorithms for ﬁnding the ring of integers
By an algorithm I mean a procedure that could (in principle) be put on a computer and is
guaranteed to lead to the answer in a ﬁnite number of steps. Suppose the input requires
N digits to express it. A good algorithm is one whose running time is < N
c
for some
c. For example, there is no known good algorithm for factoring an integer. By a practical
algorithm I mean one that has been (or should have been) put on a computer, and is actually
useful.
The following variant of (2.29) is useful. Let · be a principal ideal domain with ﬁeld
of fractions 1, and let T be the integral closure of · in a ﬁnite separable extension 1 of 1
of degree m.
PROPOSITION 2.43 Let ˇ
1
. .... ˇ
n
be a basis for 1 over 1 consisting of elements of T,
and let J =disc(ˇ
1
. .... ˇ
n
). Then
· ˇ
1
÷... ÷· ˇ
n
ÇT Ç· (ˇ
1
,J) ÷... ÷· (ˇ
n
,J).
PROOF. Let ˇ ÷ T, and write
ˇ =.
1
ˇ
1
÷ ÷.
n
ˇ
n
. .
i
÷ 1.
Let o
1
. . . . . o
n
be the distinct 1embeddings of 1 into some large Galois extension ˝ of
1. On applying the o’s to this equation, we obtain a system of linear equations:
o
i
ˇ =.
1
o
i
ˇ
1
÷.
2
o
i
ˇ
2
÷ ÷.
n
o
i
ˇ
n
. i =1. . . . . m.
Hence by Cramer’s rule
.
i
=;
i
,ı
where ı =det(o
i
ˇ
}
) and ;
i
is the determinant of the same matrix, but with the i th column
replaced with (o
i
ˇ). From (2.34), we know that ı
2
= J. Thus .
i
= ;
i
ı,J, and ;
i
ı is
an element of 1 (because it equals J.
i
) and is integral over ·. Therefore ;
i
ı ÷ ·, which
completes the proof.
2
2
In fact, the smallest discriminant is 3, which occurs for ¸Œ
_
÷3.
34
Algorithms for ﬁnding the ring of integers
Thus there is the following algorithm for ﬁnding the ring of integers in a number ﬁeld
1. Write 1 =¸Œ˛ where ˛ is integral over ¸. Compute J =disc(1. ˛. .... ˛
n1
). Then
ZŒ˛ ÇO
1
ÇJ
1
ZŒ˛.
Note that (J
1
ZŒ˛: ZŒ˛) = J
n
, which is huge but ﬁnite. Each coset ˇ ÷ZŒ˛, ˇ ÷
J
1
ZŒ˛, consists entirely of algebraic integers or contains no algebraic integer. Find a
set of representatives ˇ
1
. .... ˇ
n
for ZŒ˛ in J
1
ZŒ˛, and test each to see whether it is in
tegral over Z (the coefﬁcients of its minimum polynomial will have denominators bounded
by a power of J, and so it is possible to tell whether or not they are integers by computing
them with sufﬁcient accuracy).
Unfortunately this method is not practical. For example,
¡(X) =X
5
÷17X
4
÷3X
3
÷2X
2
÷X ÷1
is irreducible, and has discriminant 285401001. Hence, if ˛ is a root of ¡(X) and 1 =
¸Œ˛, then the index of ZŒ˛ in Z
1
d
÷Z
˛
d
÷ ÷Z
˛
4
d
is (285401001)
5
. Actually, as luck
would have it, 285401001 =3 179 233 2281 is squarefree, and so O
1
=ZŒ˛.
Note that PARI can compute the minimum polynomial of an algebraic number. For
example, let a =
3
_
1÷
_
7. We ﬁrst type “a=sqrtn(1+sqrt(7),3)” in PARI, which
reports that a=1.539084083333266359084139071. Now “algdep(a,6)” asks PARI for a
minimum polynomial for a of degree at most 6, which (correctly) reports it to be
X
6
÷2X
3
÷6 =(X
3
÷1)
2
÷7.
Unfortunately, of course, PARI will ﬁnd a “minimum polynomial” for a even when a is
transcendental.
I now discuss a practical algorithm for ﬁnding O
1
for small degrees and small dis
criminants from Pohst and Zassenhaus 1989 (see the additional references at the end of this
section). The next result will help us get an idea of what should be possible.
LEMMA 2.44 Let (·. ı) be Euclidean domain, and let M be an m×m matrix with coef
ﬁcients in ·. Then it is possible to put M into upper triangular form by elementary row
operations of the following type:
(r1) add a multiple of one row to a second;
(r2) swap two rows.
PROOF. By deﬁnition ı: · ÷ Z is a function with the following property: for any two
elements a. b of · with a =0, there exist elements q and r such that
b =qa÷r, with r =0 or ı(r) <ı(a).
Apply an operation of type (r2) so that the element of the ﬁrst column with the minimumı is
in the (1. 1)position. If a
11
divides all elements in the ﬁrst column, we can use operations
of type (r1) to make all the remaining elements of the ﬁrst column zero. If not, we can use
(r1) to get an element in the ﬁrst column that has smaller ıvalue than a
11
, and put that
in the (1. 1) position. Repeat — eventually, we will have the gcd of the original elements
in the ﬁrst column in the (1. 1) position and zeros elsewhere. Then move onto the next
column. . . .
2
35
2. RINGS OF INTEGERS
REMARK 2.45 (a) The operations (r1) and (r2) are invertible in matrices with coefﬁcients
in ·, and they correspond to multiplying on the left with an invertible matrix in M
n
(·).
Hence we have shown that there exists an invertible matrix U in M
n
(·) such that UM is
upper triangular. On taking transposes, we ﬁnd that for any matrix M ÷ M
n
(·), there is an
invertible matrix U in M
n
(·) such that MU is lower triangular.
(b) Take · =Z (for simplicity), and add the (invertible) operation:
(r3) multiply a row by ÷1.
Using (r1,r2,r3), it is possible to make the triangular matrix T = UM satisfy the fol
lowing conditions (assuming det(M) =0):
a
i i
>0 for all i :
the elements a
i}
of the ¸ th column satisfy 0 _a
i}
<a
}}
.
Then T is unique. It is called the Hermite normal form of ·.
Consider the ﬁeld 1 =¸Œ˛ generated over ¸by the algebraic integer ˛ with minimum
polynomial ¡(X). Let {o
1
. .... o
n
] be a basis for O
1
as a Zmodule, and write
· =M ˝
where · =(1. ˛. .... ˛
n1
)
tr
and ˝ =(o
1
. .... o
n
)
tr
. Choose U so that MU is lower trian
gular (and in Hermite normal form), and write
· =MU U
1
˝ =T ˝
t
.
Here ˝
t
def
= U
1
˝ is again a Zbasis for O
1
, and ˝
t
= T
1
· with T
1
also lower
triangular (but not necessarily with integer coefﬁcients). Thus
o
t
1
=a
11
1:
o
t
2
=a
21
1÷a
22
˛:
etc.,
where J a
i}
÷ Z, J =[ det(M)[ =[ det(T )[.
EXAMPLE 2.46 Let 1 =¸Œ
_
m, m squarefree, m÷1 (mod 4). The integral basis
1.
1÷
_
m
2
is of the above form.
In Pohst and Zassenhaus 1989, 4.6, there is an algorithm that, starting from a monic
irreducible polynomial
¡(X) =X
n
÷a
1
X
n1
÷ ÷a
n
. a
n
÷ Z.
constructs an integral basis o
1
. .... o
n
, such that
o
i
=
_
i
k=1
a
ik
˛
i
_
,N
i
where
˛ is a root of ¡(X). a
ik
÷ Z. N
i
÷ Z. gcd(a
i1
. .... a
i i
) =1.
36
Algorithms for ﬁnding the ring of integers
In an Appendix, they use it to show that ¸Œ˛, where ˛ is a root of
¡(X) =X
11
÷101X
10
÷4151X
9
÷ ÷332150625.
has an integral basis
o
1
=1.
o
2
=(1,2)˛ ÷1,2
o
3
=(1,4)˛
2
÷1,4
o
4
=(1,8)˛
3
÷(1,8)˛
2
÷(1,8)˛ ÷1,8
...........
o
11
=(1,9103145472000)˛
10
÷ ÷4064571,49948672.
The discriminant of ¡ is 2
130
×3
12
×5
12
×29
1S
×82231
6
, and the index of ZŒ˛ in O
1
is 2
56
×3
6
×5
3
×29
9
.
The ﬁrst step is to compute D(1. ˛. ˛
2
. . . .) =disc(¡(X)) and to ﬁnd its square factors.
Finding the square factors of disc(¡(X)) is the most timeconsuming part of the algorithm.
The time taken to factor an Ndigit number is exponential in the number of digits of N.
Every computer can factor a 50 digit number easily, but after that it becomes rapidly more
difﬁcult. Hundred digit numbers are already difﬁcult. Thus this is not a good algorithm in
the above sense. Once one has found the square factors of disc(¡(X)) the algorithm for
computing an integral basis of the above form is good.
USING PARI
To determine whether a polynomial ¡ is irreducible, use polisirreducible(f). For
example, polisirreducible(X^5+17*X^4+3*X^3+2*X^2+X+1) returns 1, which means
that X
5
÷17X
4
÷3X
3
÷2X
2
÷X ÷1 is irreducible, and polisirreducible(X^21)
returns 0, which means that X
2
÷1 is reducible.
To ﬁnd the discriminant of a polynomial ¡ , use poldisc(f). For example,
poldisc(X^5+17*X^4+3*X^3+2*X^2+X+1) returns 285401001, and poldisc(X^2+3)
returns 12.
To study the stem ﬁeld of a polynomial ¡ , use nfinit(f). For example,
nfinit(X^55*X^3+4*X1) returns
[X^5  5*X^3 + 4*X  1, [5, 0], 38569, ...]
which means that X
5
÷5X
3
÷4X÷1 has 5 real roots and no nonreal roots and that its stem
ﬁeld ¸Œ˛ has discriminant 38569. Moreover, typing
nfbasis(X^55*X^3+4*X1) returns
[1, X, X^2, X^3, X^4],
which means that
˚
1. ˛. ˛
2
. ˛
3
. ˛
4
_
is an integral basis for ¸Œ˛ (cf. p35).
On the other hand, typing
nfinit(X^2+3) returns
[X^2 + 3, [0, 1], 3, ...]
which means that, X
2
÷3 has no real roots and one conjugate pair of complex roots, and
that the ﬁeld ¸Œ
_
÷3 has discriminant ÷3. Moreover, typing
nfbasis(X^2+3) returns
[1, 1/2*X + 1/2],
which means that
_
1.
1
2
_
÷3÷
1
2
_
is an integral basis for ¸Œ
_
÷3.
For Dedekind’s polynomial in (2.38), PARI says that it has one real root and one conju
gate pair of nonreal roots, and that its stem ﬁeld has discriminant ÷503. It ﬁnds the integral
37
2. RINGS OF INTEGERS
basis {1. ˛.
1
2
˛
2
÷
1
2
˛]. Note that
ZŒ˛ =ZŒ1. ˛. ˛
2
÷˛.
and that
(O
1
: ZŒ˛) =2 =
_
÷2012
÷503
,
as predicted by Equation 7, p32.
NOTES As noted earlier, it was Dedekind who found the correct deﬁnition of the ring of integers
in a number ﬁelds. Earlier authors either luckily chose the correct ring, e.g., Kummer chose ZŒ¸,
¸
n
=1, which is the ring of integers in ¸Œ¸, or unluckily chose the wrong ring, e.g., Euler gave a
proof of Fermat’s last theorem for the exponent 3, which becomes correct when the ring ZŒ
_
÷3 is
replaced in the proof by its integral closure ZŒ¸, ¸
3
=1.
Exercises
21 Since ZŒ
_
5 is not integrally closed, it can not be a unique factorization domain.
Give an example of an element of ZŒ
_
5 that has two distinct factorizations into irreducible
elements.
22 Let ·be an integrally closed ring, and let 1 be its ﬁeld of fractions. Let ¡(X) ÷ ·ŒX
be a monic polynomial. If ¡(X) is reducible in 1ŒX, show that it is reducible in ·ŒX.
23 Show that if 1,1 is not separable, then disc(1,1) =0.
24 Let a =(2. 1 ÷
_
÷3) in ZŒ
_
÷3. Show that a =(2), but a
2
=(2)a. Conclude that
ideals in ZŒ
_
÷3 do not factor uniquely into prime ideals. (Hence ZŒ
_
÷3 is the wrong
choice for the ring of integers in ¸Œ
_
÷3.)
25 Let · be a subring of a ring T, and let ˇ be a unit in T. Show that every ˛ ÷
·Œˇ ¨·Œˇ
1
 is integral over ·. [This has a short solution, but it’s not obvious.]
26 Let 1 =¸Œ
_
7.
_
10, and let ˛ be an algebraic integer in 1. The following argument
will show that O
1
=ZŒ˛.
(a) Consider the four algebraic integers:
˛
1
=(1÷
_
7)(1÷
_
10):
˛
2
=(1÷
_
7)(1÷
_
10):
˛
3
=(1÷
_
7)(1÷
_
10):
˛
4
=(1÷
_
7)(1÷
_
10).
Show that all the products ˛
i
˛
}
, i =¸ , are divisible by 3 in O
1
, but that 3 does not divide
any power of any ˛
i
. [Hint: Show that ˛
n
i
,3 is not an algebraic integer by considering its
trace: show that Tr(˛
n
i
) ÷(
˛
n
}
) ÷4
n
(mod 3) in ZŒ˛; deduce Tr(˛
n
i
) ÷1 (mod 3) in Z.]
(b) Assume now that O
1
=ZŒ˛ — we shall derive a contradiction. Let ¡(X) be the
minimum polynomial of ˛ over ¸. For g(X) ÷ ZŒX, let ¨ g(X) denote the image of g in
38
Exercises
F
3
ŒX, F
3
=Z,(3). Show that g(˛) is divisible by 3 in ZŒ˛ if and only if ¨ g is divisible by
¨
¡ in F
3
ŒX.
(c) For each i , 1 _ i _ 4, let ¡
i
be a polynomial in ZŒX such that ˛
i
=¡
i
(˛). Show
that
¨
¡ [
¨
¡
i
¨
¡
}
(i =¸ ) in F
3
ŒX, but that
¨
¡ does not divide
¨
¡
n
i
for any n. Conclude that for
each i ,
¨
¡ has an irreducible factor which does not divide
¨
¡
i
but does divide all
¨
¡
}
, ¸ =i .
(d) This shows that
¨
¡ has at least four distinct irreducible factors over F
3
. On the other
hand, ¡ has degree at most 4. Why is this a contradiction?
39
CHAPTER 3
Dedekind Domains; Factorization
Es steht schon bei Dedekind.
(It’s already in Dedekind.)
Emmy Noether
In this Chapter, we deﬁne the notion of a Dedekind domain, and prove that
˘ ideals in Dedekind domains factor uniquely into products of prime ideals, and
˘ rings of integers in number ﬁelds are Dedekind domains,
but ﬁrst we consider a local version of a Dedekind domain.
Discrete valuation rings
The following conditions on a principal ideal domain are equivalent:
(a) · has exactly one nonzero prime ideal;
(b) up to associates, · has exactly one prime element;
(c) · is local and is not a ﬁeld.
A ring satisfying these conditions is called a discrete valuation ring. Later we shall deﬁne
discrete valuations, and so justify the name.
EXAMPLE 3.1 The ring Z
(])
def
={
n
n
÷ ¸[ n not divisible by ¸] is a discrete valuation ring
with (¸) as its unique nonzero prime ideal. The units in Z
(])
are the nonzero elements m,n
with neither m nor n divisible by ¸, and the prime elements are those of the form unit×¸.
In a discrete valuation ring · with prime element ¬, nonzero elements of · can be
expressed uniquely as u¬
n
with u a unit and m _ 0 (and m > 0 unless the element is a
unit). Every nonzero ideal in · is of the form (¬
n
) for a unique m ÷ N. Thus, if a is an
ideal in · and p denotes the (unique) maximal ideal of ·, then a =p
n
for a welldeﬁned
integer m_0.
Recall that, for an ·module M and an m÷ M, the annihilator of m
Ann(m) ={a ÷ · [ am=0].
It is an ideal in ·, which is proper if m = 0. Suppose that · is a discrete valuation ring,
and let c be a nonzero element of ·. Let M =·,(c). What is the annihilator of a nonzero
40
Discrete valuation rings
element b ÷(c) of M? Fix a prime element ¬ of ·, and let c =u¬
n
, b =·¬
n
with u and
· units. Then n <m (else b ÷(c) =0 in M), and
Ann(b ÷(c)) =(¬
nn
).
Thus, a b for which Ann(b ÷(c)) is maximal, is of the form ·¬
n1
, and for this choice
Ann(b ÷(c)) is a prime ideal generated by
c
b
. We shall exploit these observations in the
proof of the next proposition, which gives a criterion for a ring to be a discrete valuation
ring.
PROPOSITION 3.2 An integral domain · is a discrete valuation ring if and only if
(a) · is Noetherian,
(b) · is integrally closed, and
(c) · has exactly one nonzero prime ideal.
PROOF. The necessity of the three conditions is obvious, and so let ·be an integral domain
satisfying (a), (b), and (c). We have to show that every ideal in · is principal. As a ﬁrst
step, we prove that the nonzero prime ideal is principal. Note that (c) implies that · is a
local ring.
Choose an element c ÷ ·, c =0, c =unit, and consider the ·module M
def
=·,(c). For
each nonzero element m of M,
Ann(m) ={a ÷ · [ am=0]
is a proper ideal in ·. Because · is Noetherian, we can choose an m so that Ann(m) is
maximal among these ideals. Write m =b ÷(c) and p =Ann(b ÷(c)). Note that c ÷ p,
and so p =0, and that
p ={a ÷ · [ c[ab].
I claim that p is prime. If not there exist elements ., , ÷ · such that ., ÷ p but neither
. nor , ÷ p. Then ,b ÷(c) is a nonzero element of M because , … p. Consider Ann(,b ÷
(c)). Obviously it contains p and it contains ., but this contradicts the maximality of p
among ideals of the form Ann(m). Hence p is prime.
I claim that
b
c
… ·. Otherwise b =c
b
c
÷ (c), and m=0 (in M).
I claim that
c
b
÷ ·, and p =(
c
b
). By deﬁnition, pb Ç(c), and so p
b
c
Ç·, and it is an
ideal in ·. If p
b
c
Çp, then
b
c
is integral over · (by 2.4, since p is ﬁnitely generated), and
so
b
c
÷ · (because of condition (b)), but we know
b
c
… ·. Thus p
b
c
=· (by (c)), and this
implies that p =(
c
b
).
Let ¬ =
c
b
, so that p =(¬). Let a be a proper ideal of ·, and consider the sequence
a Ça¬
1
Ça¬
2
Ç .
If a¬
i
=a¬
i1
for some r, then ¬
1
(a¬
i
) =a¬
i
, and ¬
1
is integral over · (by
2.4), and so lies in · — this is impossible (¬ is not a unit in ·). Therefore the sequence
is strictly increasing, and (again because · is Noetherian) it can’t be contained in ·. Let
m be the smallest integer such that a¬
n
Ç · but a¬
n1
_ ·. Then a¬
n
_ p, and so
a¬
n
=·. Hence a =(¬
n
).
2
41
3. DEDEKIND DOMAINS; FACTORIZATION
Dedekind domains
DEFINITION 3.3 A Dedekind domain is an integral domain ·, not equal to a ﬁeld, such
that
(a) · is Noetherian,
(b) · is integrally closed, and
(c) every nonzero prime ideal is maximal.
Thus Proposition 3.2 says that a local integral domain is a Dedekind domain if and only
if it is a discrete valuation ring.
PROPOSITION 3.4 Let · be a Dedekind domain, and let S be a multiplicative subset of ·.
Then S
1
· is either a Dedekind domain or a ﬁeld.
PROOF. Condition (c) says that there is no containment relation between nonzero prime
ideals of ·. If this condition holds for ·, then (1.12) shows that it holds for S
1
·. Condi
tions (a) and (b) follow from the next lemma.
2
PROPOSITION 3.5 Let · be an integral domain, and let S be a multiplicative subset of ·.
(a) If · is Noetherian, then so also is S
1
·.
(b) If · is integrally closed, then so also is S
1
·.
PROOF. (a) Let a be an ideal in S
1
·. Then a = S
1
(a ¨·) (see 1.11), and so a is
generated by any (ﬁnite) set of generators for a¨·.
(b) Let ˛ be an element of the ﬁeld of fractions of · (=ﬁeld of fractions of S
1
·) that
is integral over S
1
·. Then
˛
n
÷a
1
˛
n1
÷ ÷a
n
=0, some a
i
÷ S
1
·.
For each i , there exists an s
i
÷ S such that s
i
a
i
÷ ·. Set s = s
1
s
n
÷ S, and multiply
through the equation by s
n
:
(s˛)
n
÷sa
1
(s˛)
n1
÷ ÷s
n
a
n
=0.
This equation shows that s˛ is integral over ·, and so lies in ·. Hence ˛ = (s˛),s ÷
S
1
·.
2
COROLLARY 3.6 For any nonzero prime ideal p in a Dedekind domain ·, the localization
·
p
is a discrete valuation ring.
PROOF. We saw in (1.13a) that ·
p
is local, and the proposition implies that it is Dedekind.
2
42
Unique factorization of ideals
Unique factorization of ideals
The main result concerning Dedekind domains is the following.
THEOREM 3.7 Let · be a Dedekind domain. Every proper nonzero ideal a of · can be
written in the form
a =p
i
1
1
p
i
n
n
with the p
i
distinct prime ideals and the r
i
>0; the p
i
and the r
i
are uniquely determined.
The proof will require several lemmas.
LEMMA 3.8 Let · be a Noetherian ring; then every ideal a in · contains a product of
nonzero prime ideals.
PROOF. (Note the similarity to the proof of 1.4.) Suppose not, and choose a maximal
counterexample a. Then a itself can not be prime, and so there exist elements . and , of ·
such that ., ÷ a but neither . nor , ÷ a. The ideals a÷(.) and a÷(,) strictly contain a,
but their product is contained in a. Because a is a maximal counterexample to the statement
of the lemma, each of a÷(.) and a÷(,) contains a product of prime ideals, and it follows
that a contains a product of prime ideals.
2
LEMMA 3.9 Let · be a ring, and let a and b be relatively prime ideals in ·; for any m,
n ÷ N, a
n
and b
n
are relatively prime.
PROOF. If a
n
and b
n
are not relatively prime, then they are both contained in some prime
(even maximal) ideal p. But if a prime ideal contains a power of an element, then it contains
the element, and so p ¸a
n
=p ¸a and p ¸b
n
=p ¸b. Thus a and b are both contained
in p, which contradicts the hypothesis.
Alternative proof: We are given that there exist elements a ÷ · and b ÷ T such that
a÷b =1. Consider
1 =(a÷b)
i
=a
i
÷
_
i
1
_
a
i1
b ÷ ÷b
i
.
If r _ m÷n, then the term on the right is the sum of an element of a
n
with an element of
b
n
.
2
If p and p
t
are distinct prime ideals of a Dedekind domain, then condition (c) of the
deﬁnition implies that p and p
t
are relatively prime, and the lemma shows that p
n
and p
tn
are also relatively prime for all m. n _1.
LEMMA 3.10 Let p be a maximal ideal of a ring ·, and let q be the ideal it generates in
·
p
, q =p·
p
. The map
a÷p
n
÷a÷q
n
: ·,p
n
÷·
p
,q
n
is an isomorphism.
43
3. DEDEKIND DOMAINS; FACTORIZATION
PROOF. We ﬁrst show that the map is onetoone. For this we have to show that q
n
¨· =
p
n
. But q
n
=S
1
p
n
, S =·÷p, and so we have to show that p
n
=(S
1
p
n
) ¨·. An
element of (S
1
p
n
) ¨· can be written a = b,s with b ÷ p
n
, s ÷ S, and a ÷ ·. Then
sa ÷ p
n
, and so sa = 0 in ·,p
n
. The only maximal ideal containing p
n
is p (because
m¸p
n
=m¸p), and so the only maximal ideal in ·,p
n
is p,p
n
; in particular, ·,p
n
is
a local ring. As s ÷p
n
is not in p,p
n
, it is a unit in ·,p
n
, and so sa =0 in ·,p
n
=a =0
in ·,p
n
, i.e., a ÷ p
n
.
We now prove that the map is surjective. Let
o
x
÷ ·
p
. Because s … p and p is maximal,
we have that (s) ÷p = ·, i.e., (s) and p are relatively prime. Therefore (s) and p
n
are
relatively prime, and so there exist b ÷ · and q ÷ p
n
such that bs ÷q =1. Then b maps to
s
1
in ·
p
,q
n
and so ba maps to
o
x
. More precisely: because s is invertible in ·
p
,q
n
,
o
x
is
the unique element of this ring such that s
o
x
=a; since s(ba) =a(1÷q), the image of ba
in ·
p
also has this property and therefore equals
o
x
.
2
REMARK 3.11 With the notations of Proposition 1.11, we have shown in the above proof
that a
ec
=a if a is a power of a maximal ideal p and S =S p.
We now prove that a nonzero ideal a of · can be factored into a product of prime ideals.
According to 3.8 applied to ·, the ideal a contains a product of nonzero prime ideals,
b =p
i
1
1
p
i
m
n
.
We may suppose that the p
i
are distinct. Then
·,b .·,p
i
1
1
× ×·,p
i
m
n
.·
p
1
,q
i
1
1
× ×·
p
m
,q
i
m
n
where q
i
= p
i
·
p
i
is the maximal ideal of ·
p
i
. The ﬁrst isomorphism is given by the
Chinese Remainder Theorem (and 3.9), and the second is given by (3.10). Under this
isomorphism, a,b corresponds to q
x
1
1
,q
i
1
1
× ×q
x
m
n
,q
i
m
n
for some s
i
_ r
i
(recall that the
rings ·
p
i
are all discrete valuation rings). Since this ideal is also the image of p
x
1
1
p
x
m
n
under the isomorphism, we see that
a =p
x
1
1
p
x
m
n
in ·,b.
Both of these ideals contain b, and so this implies that
a =p
x
1
1
p
x
m
n
in ·(because there is a onetoone correspondence between the ideals of ·,b and the ideals
of · containing b).
To complete the proof of Theorem 3.7, we have to prove that the above factorization is
unique. Suppose that we have two factorizations of the ideal a. After adding factors with
zero exponent, we may suppose that the same primes occur in each factorization, so that
p
x
1
1
p
x
m
n
=a =p
t
1
1
p
t
m
n
say. In the course of the above proof, we showed that
q
x
i
i
=a·
p
i
=q
t
i
i
where q
i
the maximal ideal in ·
p
i
. Therefore s
i
=t
i
for all i .
44
Unique factorization of ideals
REMARK 3.12 Note that
s
i
>0 ” a·
p
i
=·
p
i
” a Çp
i
.
COROLLARY 3.13 Let a and b be ideals in ·; then
a Çb ” a·
p
Çb·
p
for all ideals nonzero prime ideals p of ·. In particular, a =b if and only if a·
p
=b·
p
for
all p.
PROOF. The necessity is obvious. For the sufﬁciency, factor a and b
a =p
i
1
1
p
i
m
n
. b =p
x
1
1
p
x
m
n
. r
i
. s
i
_0.
Then
a·
p
i
Çb·
p
i
” r
i
_s
i
.
(recall that ·
p
i
is a discrete valuation ring) and r
i
_s
i
all i implies a Çb.
2
COROLLARY 3.14 Let · be an integral domain with only ﬁnitely many prime ideals; then
· is a Dedekind domain if and only if it is a principal ideal domain.
PROOF. Assume ·is a Dedekind domain. After (3.7), to showthat ·is principal, it sufﬁces
to show that the prime ideals are principal. Let p
1
. . . . . p
n
be these ideals. Choose an
element .
1
÷ p
1
÷p
2
1
. According to the Chinese Remainder Theorem (1.14), there is an
element . ÷ · such that
. ÷.
1
mod p
2
1
. . ÷1 mod p
i
. i =1.
Now the ideals p
1
and (.) generate the same ideals in ·
p
i
for all i , and so they are equal in
· (by 3.13).
2
COROLLARY 3.15 Let a ¸ b = 0 be two ideals in a Dedekind domain; then a = b ÷(a)
for some a ÷ ·.
PROOF. Let b =p
i
1
1
p
i
m
n
and a =p
x
1
1
p
x
m
n
with r
i
. s
}
_ 0. Because b Ç a, s
i
_ r
i
for
all i . For 1 _ i _ m, choose an .
i
÷ · such that .
i
÷ p
x
i
i
, .
i
… p
x
i
÷1
i
. By the Chinese
Remainder Theorem, there is an a ÷ · such that
a ÷.
i
mod p
i
i
i
, for all i.
Now one sees that b÷(a) =a by looking at the ideals they generate in ·
p
for all p.
2
COROLLARY 3.16 Let a be an ideal in a Dedekind domain, and let a be any nonzero
element of a; then there exists a b ÷ a such that a =(a. b).
PROOF. Apply (3.15) to a ¸(a).
2
45
3. DEDEKIND DOMAINS; FACTORIZATION
COROLLARY 3.17 Let a be a nonzero ideal in a Dedekind domain; then there exists a
nonzero ideal a
+
in ·such that aa
+
is principal. Moreover, a
+
can be chosen to be relatively
prime to any particular ideal c, and it can be chosen so that aa
+
=(a) with a any particular
element of a (but not both).
PROOF. Let a ÷ a, a =0; then a ¸(a), and so we have
(a) =p
i
1
1
p
i
m
n
and a =p
x
1
1
p
x
m
n
. s
i
_r
i
.
If a
+
=p
i
1
x
1
1
p
i
m
x
m
n
, then aa
+
=(a).
We now show that a
+
can be chosen to be prime to c. We have a ¸ac, and so (by 3.15)
there exists an a ÷ a such that a =ac ÷(a). As a ¸(a), we have (a) =a a
+
for some ideal
a
+
(by the above argument); now, ac ÷aa
+
=a, and so c ÷a
+
=·. (Otherwise c ÷a
+
Çp
some prime ideal, and ac ÷aa
+
=a(c ÷a
+
) Çap =a.)
2
In basic graduate algebra courses, it is shown that
· a principal ideal domain =· is a unique factorization domain.
The converse is false because, for example, kŒX. Y  is a unique factorization domain in
which the ideal (X. Y ) is not principal, but it is true for Dedekind domains.
PROPOSITION 3.18 ADedekind domain that is a unique factorization domain is a principal
ideal domain.
PROOF. In a unique factorization domain, an irreducible element ¬ can divide a product
bc only if ¬ divides b or c (write bc =¬q and express each of b, c, and q as a product of
irreducible elements). This means that (¬) is a prime ideal.
Now let ·be a Dedekind domain with unique factorization. It sufﬁces to show that each
nonzero prime ideal p of · is principal. Let a be a nonzero element of p. Then a factors
into a product of irreducible elements (see 1.4) and, because p is prime, it will contain one
of these irreducible factors ¬. Now p ¸ (¬) ¸ (0), and, because (¬) is a nonzero prime
ideal, it is maximal, and so equals p.
2
The ideal class group
Let · be a Dedekind domain. A fractional ideal of · is a nonzero ·submodule a of 1
such that
Ja
def
={Ja [ a ÷ a]
is contained in · for some nonzero J ÷ · (or 1), i.e., it is a nonzero ·submodule of 1
whose elements have a common denominator. Note that a fractional ideal is not an ideal
unless it is contained in · — when necessary to avoid confusion, we refer to the ideals in
· as integral ideals.
A fractional ideal a is a ﬁnitely generated ·module, because Ja is an integral ideal,
hence ﬁnitely generated, for some J =0, and the map . ÷J.: a ÷Ja is an isomorphism
of ·modules. Conversely, a nonzero ﬁnitely generated ·submodule of 1 is a fractional
ideal, because a common denominator for the generators will be a common denominator
for all the elements of the module.
46
The ideal class group
Every nonzero element b of 1 deﬁnes a fractional ideal
(b)
def
=b·
def
={ba [ a ÷ ·].
A fractional ideal of this type is said to be principal.
The product of two fractional ideals is deﬁned in the same way as for (integral) ideals
a b ={
a
i
b
i
[ a
i
÷ a. b
i
÷ b].
This is again a fractional ideal: it is obviously an ·module, and if Ja Ç · and eb Ç ·,
then Jeab Ç·. For principal fractional ideals, (a)(b) =(ab).
EXAMPLE 3.19 Let · be a discrete valuation ring with maximal ideal p and ﬁeld of frac
tions 1. Write ¬ for a generator of p. Every nonzero element of 1 can be written uniquely
in the form a =u¬
n
with u a unit in · and m÷ Z. Let a be a fractional ideal of ·. Then
Ja Ç· for some J ÷ ·, and we can suppose J =¬
n
. Thus ¬
n
a is an ideal in ·, and so it
is of the form (¬
n
) for some m_ 0. Clearly, a =(¬
nn
). Thus the fractional ideals of ·
are of the form (¬
n
), m÷ Z. They form a free abelian group Id(·) of rank 1, and the map
m÷(¬
n
): Z ÷Id(·)
is an isomorphism.
THEOREM 3.20 Let ·be a Dedekind domain. The set Id(·) of fractional ideals is a group;
in fact, it is the free abelian group on the set of prime ideals.
PROOF. We have noted that the law of composition is welldeﬁned. It is obviously com
mutative. For associativity, one checks that
(ab)c =
_
a
i
b
i
c
i
[ a
i
÷ a. b
i
÷ b. c
i
÷ c
_
=a(bc).
The ring · plays the role of an identity element: a· =a. In order to show that Id(·) is a
group, it remains to show that inverses exist.
Let a be a nonzero integral ideal. According to (3.17), there is an ideal a
+
and an a ÷ ·
such that aa
+
= (a). Clearly a (a
1
a
+
) = ·, and so a
1
a
+
is an inverse of a. If a is a
fractional ideal, then Ja is an integral ideal for some J, and J (Ja)
1
will be an inverse
for a.
It remains to show that the group Id(·) is freely generated by the prime ideals, i.e.,
that each fractional ideal can be expressed in a unique way as a product of powers of prime
ideals. Let a be a fractional ideal. Then Ja is an integral ideal for some J ÷ ·, and we can
write
Ja =p
i
1
1
p
i
m
n
. (J) =p
x
1
1
p
x
m
n
.
Thus a =p
i
1
x
1
1
p
i
m
x
m
n
. The uniqueness follows from the uniqueness of the factoriza
tion for integral ideals.
2
REMARK 3.21 (a) Conversely, E. Noether showed that an integral domain whose frac
tional ideals form a group under ideal multiplication is a Dedekind domain (see Cohn 1991,
Theorem 4.6).
47
3. DEDEKIND DOMAINS; FACTORIZATION
(b) Let S be a multiplicative subset in a Dedekind domain ·, and let ·
S
=S
1
·. It is
an integral domain with the same ﬁeld of fractions as ·:
· Ç·
S
Ç1.
For any fractional ideal a of ·, S
1
a
def
={
o
x
[ a ÷ a, s ÷ S] is a fractional ideal of ·
S
. It is
the ·
S
module generated by a. The following hold for any fractional ideals a and b,
S
1
(ab) =(S
1
a)(S
1
b). S
1
a
1
=(a·
S
)
1
.
For any fractional ideal a, deﬁne
a
t
={a ÷ 1 [ aa Ç·].
This is an ·module, and if J ÷ a, J = 0, then Ja
t
Ç ·, and so a
t
is a fractional ideal.
From the deﬁnition of a
t
, we see that aa
t
is an ideal in ·. If it is not equal to ·, then it
is contained in some prime ideal p. When we pass to ·
p
, the inclusion aa
t
Ç p becomes
bb
t
Çq, where b, b
t
, and q are the ideals in ·
p
generated by a, a
t
, and p. Moreover,
b
t
={a ÷ 1 [ ab Ç·
p
].
But q = (¬), and b = (¬
n
) = ¬
n
·
p
for some m ÷ Z. Clearly b
t
= ¬
n
·
p
, and so
bb
t
=·
p
— we have a contradiction.
We deﬁne the ideal class group Cl(·) of · to be the quotient Cl(·) =Id(·),P(·) of
Id(·) by the subgroup of principal ideals. The class number of · is the order of Cl(·)
(when ﬁnite). In the case that · is the ring of integers O
1
in a number ﬁeld 1, we often
refer to Cl(O
1
) as the ideal class group of 1, and its order as the class number of 1.
One of the main theorems of these notes will be that the class number h
1
of a number
ﬁeld 1 is ﬁnite. Understanding how the class numbers of number ﬁelds vary remains an
interesting problem. For example, the class number of ¸Œ
_
÷m for m positive and square
free is 1 if and only if m = 1. 2. 3. 7. 11. 19. 43. 67. 163. It not difﬁcult to show that these
ﬁelds have class number 1, but it was not until 1954 that it was shown (by Heegner) that
there were no more (and for more than 15 years, no one believed Heegner’s proof to be
correct). We have seen that ZŒ
_
÷5 is not a principal ideal domain, and so can’t have class
number 1— in fact it has class number 2. The method we use to prove that the class number
is ﬁnite is effective: it provides an algorithm for computing it. There are expected to be an
inﬁnite number of real quadratic ﬁelds with class number one, but this has not been proved.
Using the equivalent language of binary quadratic forms (see Chapter 4), Gauss showed
that the class group of a quadratic ﬁeld ¸Œ
_
J can have arbitrarily many cyclic factors of
even order.
It is known that every abelian group can be realized as the class group of a Dedekind
domain (not necessarily the ring of integers in a number ﬁeld).
1
EXAMPLE 3.22 Consider the afﬁne elliptic curve
Y
2
=X
3
÷aX ÷b. z=÷4a
3
÷27b
2
=0.
1
Claborn, Luther. Every abelian group is a class group. Paciﬁc J. Math. 18 1966 219–222.
48
Discrete valuations
The associated ring · = CŒX. Y ,(Y
2
÷X
3
÷aX ÷b) of regular functions on · is a
Dedekind domain, and its class group is uncountable. In fact, it is isomorphic in a nat
ural way to C,¹ for some lattice ¹ in C.
2
PROPOSITION 3.23 Let · be a Dedekind domain, and let S be a multiplicative set in ·.
Then a ÷S
1
a deﬁnes an isomorphism from the subgroup of Id(·) generated by prime
ideals not meeting S to the group Id(S
1
·).
PROOF. Immediate consequence of 1.12 and 3.20.
2
REMARK 3.24 Let · be a Dedekind domain with ﬁnite ideal class group. There is then a
ﬁnite set of ideals a
1
. .... a
n
which is a set of representatives for the ideal classes. Clearly we
may take the a
i
to be integral. Let b be any element in
_
a
i
, and let S be the multiplicative
set generated by b, S ={1. b. b
2
. . . .]. I claim that S
1
· is a principal ideal domain.
By assumption, any ideal a Ç · can be written a = (a) a
i
for some a ÷ 1
×
and i ,
1 _ i _ m. Because the map b ÷S
1
b is a homomorphism we have S
1
a =(a) S
1
a
i
where (a) now denotes the ideal generated by a in S
1
·. Since S
1
a
i
contains a unit, it is
the whole ring. Thus S
1
a =(a), and we see that every ideal in S
1
· of the form S
1
a
is principal. According to (1.11), all ideals of S
1
· are of this form.
REMARK 3.25 The following conditions on an integral domain · are equivalent:
(a) · is a Dedekind domain;
(b) for every prime ideal p of ·, ·
p
is a discrete valuation ring;
(c) the fractional ideals of · form a group;
(d) for every fractional ideal a of ·, there is an ideal b such that ab =·.
We have seen that (a) implies (b) , (c), and (d), and the same arguments show that
(b) implies (c) and (d). The conditions (c) and (d) are obviously equivalent, and we have
already noted in (3.21) that (c) implies (a).
Discrete valuations
Let 1 be a ﬁeld. A discrete valuation on 1 is a nonzero homomorphism ·: 1
×
÷Z such
that ·(a÷b) _min(·(a). ·(b)). As · is not the zero homomorphism, its image is a nonzero
subgroup of Z, and is therefore of the form mZ for some m÷ Z. If m=1, then ·: 1
×
÷Z
is surjective, and · is said to be normalized; otherwise, . ÷m
1
·(.) will be a normalized
discrete valuation.
Note that, for a discrete valuation ord,
ord(a
1
÷ ÷a
n
) _min(ord(a
1
). ord(a
2
÷ ÷a
n
)) _ _ min
1_i_n
(ord(a
i
)). (8)
2
Let 1 be the associated complete curve, and let Div
0
(1) be the group of divisors of degree zero on 1.
There is an obvious isomorphism Div
0
(1) . Id(·) under which principal divisors correspond to principal
ideals, and so
Cl(·) .Pic
0
(1) .1(C) .C,¹
(Milne 2006, I 4.10, III 3.10).
49
3. DEDEKIND DOMAINS; FACTORIZATION
EXAMPLE 3.26 (a) Let M be the ﬁeld of meromorphic functions on a connected open
subset U of the complex plane (or, better, a compact Riemann surface), and let ¡ ÷ M
×
.
For each 1 ÷ U, deﬁne ord
1
(¡ ) to be ÷m, m, or 0 according as ¡ has a pole of order m
at 1, a zero of order m at 1, or neither a pole nor a zero at 1. Then ord
1
is a normalized
discrete valuation on M.
(b) Let · be a principal ideal domain with ﬁeld of fractions 1, and let ¬ be a prime
element of ·. Then each element c of 1
×
can be expressed uniquely in the form c =¬
no
b
with m÷ Z and a and b elements of · relatively prime to ¬. Deﬁne ·(c) =m. Then · is a
normalized discrete valuation on 1.
(c) Let · be a Dedekind domain and let p be a prime ideal in ·. For any c ÷ 1
×
, let
p
¡(c)
be the power of p in the factorization of (c). Then · is a normalized discrete valuation
on 1.
In all these examples, we have that ·(a ÷b) = ·(b) if ·(a) > ·(b). This is in fact a
general property of discrete valuations. First note that ·(¸) =0 for any element of 1
×
of
ﬁnite order because · is a homomorphism and Z has no elements of ﬁnite order); hence
·(÷a) =·(÷1) ÷·(a) =·(a). Therefore, if ·(a) >·(b), we have
·(b) =·(a÷b ÷a)) _min(·(a÷b). ·(a)) _min(·(a). ·(b)) =·(b).
and so equality must hold throughout, and this implies ·(a÷b) =·(b).
We often use “ord” rather than “·” to denote a discrete valuation; for example, we often
use ord
p
to denote the normalized discrete valuation deﬁned by p in (c).
Example (b) shows that every discrete valuation ring gives rise to a discrete valuation
on its ﬁeld of fractions. There is a converse to this statement.
PROPOSITION 3.27 Let · be a discrete valuation on 1, then
·
def
={a ÷ 1 [ ·(a) _0]
is a principal ideal domain with maximal ideal
m
def
={a ÷ 1 [ ·(a) >0].
If ·(1
×
) =mZ, then the ideal m is generated by any element ¬ such that ·(¬) =m.
PROOF. Routine.
2
Later we shall see that a discrete valuation ord deﬁnes a topology on 1 for which two
elements . and , are close if ord(. ÷,) is large. The Chinese Remainder Theorem can be
restated as an approximation theorem.
PROPOSITION 3.28 Let .
1
. .... .
n
be elements of a Dedekind domain ·, and let p
1
. .... p
n
be distinct prime ideals of ·. For any integer n, there is an . ÷ · such that
ord
p
i
(. ÷.
i
) >n. i =1. 2. .... m.
50
Integral closures of Dedekind domains
PROOF. From (3.9) we know that the ideals p
n÷1
i
are relatively prime in pairs, and so (1.14)
provides us with an element . ÷ · such that
. ÷.
i
mod p
n÷1
i
. i =1. 2. . . . . m.
i.e., such that
ord
p
i
(. ÷.
i
) >n. i =1. 2. .... m.
2
Integral closures of Dedekind domains
We now prove a result that implies that rings of integers in number ﬁelds are Dedekind
domains, and hence that their ideals factor uniquely into products of prime ideals.
THEOREM 3.29 Let · be a Dedekind domain with ﬁeld of fractions 1, and let T be the
integral closure of · in a ﬁnite separable extension 1 of 1. Then T is a Dedekind domain.
PROOF. We have to check the three conditions in the deﬁnition of a Dedekind domain
(p3.3). We ﬁrst show that T is Noetherian. In (2.29) we showed that T is contained in
a ﬁnitely generated ·module. It follows that every ideal in T is ﬁnitely generated when
regarded as an ·module (being a submodule of a Noetherian ·module) and a fortiori as
an ideal (=Tmodule). Next, T is integrally closed because of (2.16). It remains to prove
that every nonzero prime ideal q of T is maximal. Let ˇ ÷ q, ˇ =0. Then ˇ is integral over
·, and so there is an equation
ˇ
n
÷a
1
ˇ
n1
÷ ÷a
n
=0. a
i
÷ ·.
which we may suppose to have the minimum possible degree. Then a
n
= 0. As a
n
÷
ˇT ¨·, we have that q ¨· = (0). But q ¨· is a prime ideal (obviously), and so it is a
maximal ideal p of ·, and ·,p is a ﬁeld. We know T,q is an integral domain, and the map
a÷p ÷a÷q
identiﬁes ·,p with a subﬁeld of T,q. ·s T is integral over ·, T,q is algebraic over ·,p.
The next lemma shows that T,q is a ﬁeld, and hence that q is maximal.
2
LEMMA 3.30 Any integral domain T containing a ﬁeld k and algebraic over k is itself a
ﬁeld.
PROOF. Let ˇ be a nonzero element of T — we have to prove that it has an inverse in T.
Because ˇ is algebraic over k, the ring kŒˇ is ﬁnitedimensional as a kvector space, and
the map . ÷ˇ.: kŒˇ ÷kŒˇ is injective (because T is an integral domain). From linear
algebra we deduce that the map is surjective, and so there is an element ˇ
t
÷ kŒˇ such that
ˇˇ
t
=1.
2
In fact, Theorem 3.29 is true without the assumption that 1 be separable over 1 —
see Janusz 1996, I 6.1 for a proof of the more general result. The added difﬁculty is that,
without the separability condition, T may fail to be ﬁnitely generated as an ·module, and
so the proof that it is Noetherian is more difﬁcult.
51
3. DEDEKIND DOMAINS; FACTORIZATION
Modules over Dedekind domains (sketch).
The structure theorem for ﬁnitely generated modules over principal ideal domains has an
interesting extension to modules over Dedekind domains. Throughout this subsection, · is
a Dedekind domain.
First, note that a ﬁnitely generated torsionfree ·module M need not be free. For
example, every fractional ideal is ﬁnitely generated and torsionfree but it is free if and only
if it is principal. Thus the best we can hope for is the following.
THEOREM 3.31 Let · be a Dedekind domain.
(a) Every ﬁnitely generated torsionfree ·module M is isomorphic to a direct sum of
fractional ideals,
M ~a
1
˚ ˚a
n
.
(b) Two ﬁnitely generated torsionfree ·modules M ~a
1
˚ ˚a
n
and N ~b
1
˚ ˚
b
n
are isomorphic if and only if m=n and
a
i
÷
b
i
modulo principal ideals.
Hence,
M ~a
1
˚ ˚a
n
~·˚ ˚·˚a
1
a
n
.
Moreover, two fractional ideals a and b of · are isomorphic as ·modules if and only if
they deﬁne the same element of the class group of ·.
The rank of a module M over an integral domain 1 is the dimension of 1 ˝
T
M
as a 1vector space, where 1 is the ﬁeld of fractions of 1. Clearly the rank of M ~
a
1
˚ ˚a
n
is m.
These remarks show that the set of isomorphism classes of ﬁnitely generated torsion
free ·modules of rank 1 can be identiﬁed with the class group of ·. Multiplication
of elements in Cl(·) corresponds to the formation of tensor product of modules. The
Grothendieck group of the category of ﬁnitely generated ·modules is Cl(·) ˚Z.
THEOREM 3.32 (INVARIANT FACTOR THEOREM) Let M ¸N be ﬁnitely generated torsion
free ·modules of the same rank m. Then there exist elements e
1
. .... e
n
of M, fractional
ideals a
1
. .... a
n
, and integral ideals b
1
¸b
2
¸... ¸b
n
such that
M =a
1
e
1
˚ ˚a
n
e
n
. N =a
1
b
1
e
1
˚ ˚a
n
b
n
e
n
.
The ideals b
1
, b
2
, ..., b
n
are uniquely determined by the pair M ¸ N, and are called
the invariant factors of N in M.
The last theorem also yields a description of ﬁnitely generated torsion ·modules.
For proofs of the above results, see Curtis and Reiner 1962, III, 22, Fr¨ ohlich and Taylor
1991, II 4, or Narkiewicz 1990, I 3.
Factorization in extensions
Let · be a Dedekind domain with ﬁeld of fractions 1, and let T be the integral closure of
· in a ﬁnite separable extension 1 of 1.
A prime ideal p of · will factor in T,
pT =P
e
1
1
P
e
g
¿
. e
i
_1.
52
Factorization in extensions
If any of the numbers is > 1, then we say that p is ramiﬁed in T (or 1). The number
e
i
is called the ramiﬁcation index. We say P divides p (written P[p) if P occurs in the
factorization of p in T. We then write e(P,p) for the ramiﬁcation index and ¡(P,p) for
the degree of the ﬁeld extension ŒT,P: ·,p (called the residue class degree). A prime p
is said to split (or split completely) in 1 if e
i
=¡
i
=1 for all i , and it said to be inert in 1
if pT is a prime ideal (so g =1 =e).
For example, (2) =(1÷i )
2
in ZŒi , and so (2) ramiﬁes with ramiﬁcation index 2. On
the other hand, (3) is inert in ¸Œi  with residue ﬁeld ZŒi ,(3) = F
9
, and (5) splits as the
product of two prime ideals (5) =(2÷i )(2÷i ).
LEMMA 3.33 A prime ideal P of T divides p if and only if p =P¨1.
PROOF. =: Clearly p Ç P¨1 and P¨1 = ·. As p is maximal, this implies that p =
P¨1.
=: If p ÇP, then pT ÇP, and we have seen (3.12) that this implies that P occurs in
the factorization of pT.
2
THEOREM 3.34 Let m be the degree of 1 over 1, and let P
1
. .... P
¿
be the prime ideals
dividing p; then
¿
i=1
e
i
¡
i
=m. (9)
If 1 is Galois over 1, then all the ramiﬁcation numbers are equal, and all the residue class
degrees are equal, and so
e¡g =m. (10)
PROOF. To prove (9), we shall show that both sides equal ŒT,pT: ·,p.
For the equality
¿
i=1
e
i
¡
i
=ŒT,pT: ·,p, note that T,pT =T,
P
e
i
i
.
T,P
e
i
i
(Chinese Remainder Theorem), and so it sufﬁces to show that ŒT,P
e
i
i
: ·,p =e
i
¡
i
. From
the deﬁnition of ¡
i
, we know that T,P
i
is a ﬁeld of degree ¡
i
over ·,p. For each r
i
,
P
i
i
i
,P
i
i
÷1
i
is a T,P
i
module, and because there is no ideal between P
i
i
i
and P
i
i
÷1
i
, it
must have dimension one as a T,P
i
vector space, and hence dimension ¡
i
as an ·,p
vector space. Therefore each quotient in the chain
T ¸P
i
¸P
2
i
¸ ¸P
e
i
i
has dimension ¡
i
over ·,p, and so the dimension of T,P
e
i
i
is e
i
¡
i
.
The proof of the equality ŒT,pT: ·,p = m is easy when T is a free ·module, for
example, if · is a principal ideal domain, because an isomorphism ·
n
÷T of ·modules,
when tensored with 1, gives an isomorphism 1
n
÷1, which shows that n = m, and,
when tensored ·,p, gives an isomorphism (·,p)
n
÷T,pT (see (3), p16), which shows
that n =ŒT,pT: ·,p.
Nowlet S be a multiplicative subset of ·disjoint fromp and such that S
1
·is principal
(e.g., S =·÷p). Write T
t
=S
1
T and ·
t
=S
1
·. Then pT
t
=
(P
i
T
t
)
e
i
(see 3.23),
and so
e
i
¡
i
=ŒT
t
,pT
t
: ·
t
,p·
t
; but ·
t
is principal, and so ŒT
t
,pT
t
: ·
t
,p·
t
 =m. This
completes the proof (9).
53
3. DEDEKIND DOMAINS; FACTORIZATION
Now assume 1 is Galois over 1. An element o of Gal(1,1) maps T isomorphically
onto itself. In particular, if Pis a prime ideal of T, then oPis also a prime ideal. Moreover,
if P divides p, then it follows from (3.33) that oP divides p. Clearly e(oP,p) =e(P,p)
and ¡(oP,p) =¡(P,p), and so it remains to show that Gal(1,1) acts transitively on the
prime ideals of T dividing p.
Suppose P and Q both divide p, and suppose Q is not conjugate to P, i.e., that for all
o ÷ Gal(1,1), oP =Q. According to the Chinese Remainder Theorem, we can ﬁnd an
element ˇ lies in Q but not in any of the ideals oP. Consider b =Nm(ˇ)
def
=
oˇ. Then
b ÷ ·, and as ˇ ÷ Q, it also lies in Q; hence b ÷ Q¨· = p. On the other hand, for all
o ÷ Gal(1,1), ˇ … o
1
P, and so oˇ … P. The fact that
oˇ ÷ p Ç P contradicts the
primality of P.
2
The primes that ramify
In this subsection, we obtain a description of the primes that ramify in an extension.
THEOREM 3.35 Let 1 be a ﬁnite extension of a number ﬁeld 1, let · be a Dedekind
domain in 1 with ﬁeld of fractions 1 (e.g., · = O
1
), and let T be the integral closure
of · in 1. Assume that T is a free ·module (this is true for example if · is principal
ideal domain). Then a prime p ramiﬁes in 1 if and only if p[ disc(T,·). In particular, only
ﬁnitely many prime ideals ramify.
We obtain this as the consequence of a series of lemmas.
LEMMA 3.36 Let · be a ring and let T be a ring containing · and admitting a ﬁnite basis
{e
1
. .... e
n
] as an ·module. For any ideal a of ·, {¨ e
1
. .... ¨ e
n
] is a basis for the ·,amodule
T,aT, and
D( ¨ e
1
. .... ¨ e
n
) ÷D(e
1
. .... e
n
) mod a.
PROOF. As in the proof of (3.34), the isomorphism
(a
1
. . . . . a
n
) ÷
a
i
e
i
: ·
n
÷T
gives, when tensored with ·,a, an isomorphism
(a
1
. . . . . a
n
) ÷
a
i
¨ e
i
: (·,a)
n
÷T,a
which shows that ¨ e
1
. .... ¨ e
n
is a basis for T,aT. The second assertion is obvious from the
deﬁnitions.
2
LEMMA 3.37 Let · be a ring and let T
1
. .... T
¿
be rings containing · and free of ﬁnite
rank as ·modules. Then
disc((
T
i
),·) =
disc(T
i
,·).
PROOF. Choose bases c
i
for each of the T
i
(as ·modules), and compute the discriminant
of T,· using the basis
_
i
c
i
.
2
54
The primes that ramify
An element ˛ of a ring is said to be nilpotent if ˛
n
=0 for some m > 1. A ring is said
to be reduced if it has no nonzero nilpotent elements.
LEMMA 3.38 Let k be a perfect ﬁeld, and let T be a kalgebra of ﬁnite dimension. Then
T is reduced if and only if disc(T,k) =0.
PROOF. Let ˇ =0 be a nilpotent element of T, and choose a basis e
1
. . . . . e
n
for T with
e
1
=ˇ. Then ˇe
i
is nilpotent for all i , and so the klinear map
. ÷ˇe
i
.: T ÷T
is nilpotent. Its matrix is also nilpotent, but a nilpotent matrix has trace zero—its minimum
polynomial (and hence its characteristic polynomial) is of the form X
i
—and so the ﬁrst
row of the matrix (Tr(e
i
e
}
)) is zero. Therefore its determinant is zero.
Conversely, suppose T is reduced. We ﬁrst show that the intersection N of the prime
ideals of T is zero (this, in fact, is true for any reduced Noetherian ring). Let b ÷ T, b =0.
Let ˙ be the set of ideals of T containing no power of b. Because b is not nilpotent, ˙
contains the zero ideal, and hence is nonempty. Because T is Noetherian, ˙ has a maximal
element p. We shall show that p is prime. Since b … p, this will show that b … N.
Let .. , be elements of T not in p. Then p÷(.) and p÷(,) strictly contain p, and so
b
n
÷ p÷(.). b
n
÷ p÷(,)
for some m. n, say,
b
n
=¸÷c.. b
n
=¸
t
÷c
t
,. ¸. ¸
t
÷ p. c. c
t
÷ T.
Then b
n÷n
= ¸¸
t
÷¸c
t
, ÷¸
t
c. ÷cc
t
., ÷ p ÷(.,), and so p ÷(.,) is not in ˙; in
particular, p÷(.,) =p, and ., … p. Therefore p is prime ideal, which completes the proof
that N=0.
Let p be a prime ideal of T. Then T,p is an integral domain, algebraic over k, and
hence is a ﬁeld (by 3.30). Therefore p is maximal. Let p
1
. p
2
. . . . . p
i
be prime ideals of
T. Since they are all maximal, they are relatively prime in pairs. Therefore the Chinese
remainder theorem shows that
T,
_
p
i
=
T,p
i
(*).
Note that
ŒT : k _ŒT,
_
p
i
: k =
ŒT,p
i
: k _r.
Therefore T has only ﬁnitely many prime ideals, say p
1
. . . . . p
¿
where g _ ŒT: k, and
_
p
i
=0. When we take r =g in (*) we ﬁnd that
T =
¿
i=1
T,p
i
.
For each i , T,p
i
is a ﬁeld, and it is a ﬁnite extension of k. Because k is perfect, it is even
a separable extension of k. Now we can apply (2.26) to deduce that disc((T,p
i
),k) =0,
and we can apply the preceding lemma to deduce that disc(T,k) =0.
2
55
3. DEDEKIND DOMAINS; FACTORIZATION
We now prove the theorem. From the ﬁrst lemma, we see that
disc(T,·) mod p =disc((T,pT),(·,p)).
and from the last lemma that disc((T,pT),(·,p)) =0 if and only T,pT is not reduced.
Let pT =
P
e
i
i
. Then T,pT .
T,P
e
i
, and
T,P
e
i
is reduced ” each T,P
e
i
is reduced ” each e
i
=1.
REMARK 3.39 (a) In fact there is a precise, but complicated, relation between the power
of p dividing disc(T,·) and the extent to which p ramiﬁes in T. It implies for example
that ord
p
(disc(T,·)) _
¡
i
(e
i
÷1), and that equality holds if no e
i
is divisible by the
characteristic of ·,p. See Serre 1962, III 6.
(b) Let · be the ring of integers in a number ﬁeld 1, and let T be the integral closure
of · in a ﬁnite extension 1 of 1. It is possible to deﬁne disc(T,·) as an ideal without
assuming T to be a free ·module. Let p be an ideal in ·, and let S = ·÷p. Then
S
1
· =·
p
is principal, and so we can deﬁne disc(S
1
T,S
1
·). It is a power (p·
p
)
n(p)
of p·
p
. Deﬁne
disc(T,·) =
p
n(p)
.
The index m(p) is nonzero for only ﬁnitely many p, and so this formula does deﬁne an ideal
in ·. Clearly this deﬁnition agrees with the usual one when T is a free ·module, and the
above proof shows that a prime ideal p ramiﬁes in T if and only if it divides disc(T,·).
EXAMPLE 3.40 (For experts on Riemann surfaces.) Let X and Y be compact connected
Riemann surfaces, and let ˛: Y ÷X be a nonconstant holomorphic mapping. Write M(X)
and M(Y ) for the ﬁelds of meromorphic functions on X and Y . The map ¡ ÷¡ ı˛ is an
inclusion M(X) ·÷M(Y ) which makes M(Y ) into a ﬁeld of ﬁnite degree over M(X);
let m be this degree. Geometrically, the map is m: 1 except at a ﬁnite number of branch
points.
Let 1 ÷ X and let O
1
be the set of meromorphic functions on X that are holomorphic
at 1 — it is the discrete valuation ring attached to the discrete valuation ord
1
, and its
maximal ideal is the set of meromorphic functions on X that are zero at 1. Let T be the
integral closure of O
1
in M(Y ). Let ˛
1
(1) = {Q
1
. .... Q
¿
] and let e
i
be the number
of sheets of Y over X that coincide at Q
i
. Then pT =
q
e
i
i
where q
i
is the prime ideal
{¡ ÷ T [ ¡(Q
i
) =0].
Finding factorizations
The following result often makes it very easy to factor an ideal in an extension ﬁeld. Again
· is a Dedekind domain with ﬁeld of fractions 1, and T is the integral closure of · in a
ﬁnite separable extension 1 of 1.
THEOREM 3.41 Suppose that T =·Œ˛, and let ¡(X) be the minimum polynomial of ˛
over 1. Let p be a prime ideal in ·. Choose monic polynomials g
1
(X). . . . . g
i
(X) in ·ŒX
that are distinct and irreducible modulo p, and such that ¡(X) ÷
g
i
(X)
e
i
modulo p.
Then
pT =
(p. g
i
(˛))
e
i
56
Examples of factorizations
is the factorization of pT into a product of powers of distinct prime ideals. Moreover, the
residue ﬁeld T,(p. g
i
(˛)) .(·,p)ŒX,( ¨ g
i
), and so the residue class degree ¡
i
is equal to
the degree of g
i
.
PROOF. Our assumption is that the map X ÷˛ deﬁnes an isomorphism
·ŒX,(¡(X)) ÷T.
When we divide out by p (better, tensor with ·,p), this becomes an isomorphism
kŒX,(
¨
¡ (X)) ÷T,pT. X ÷˛.
where k = ·,p. The ring kŒX,(
¨
¡ ) has maximal ideals ( ¨ g
1
). .... ( ¨ g
i
), and
( ¨ g
i
)
e
i
= 0
(but no product with smaller exponents is zero). The ideal ( ¨ g
i
) in kŒX,(
¨
¡ ) corresponds
to the ideal (g
i
(˛)) ÷pT in T,pT, and this corresponds to the ideal P
i
def
= (p. g
i
(˛)) in
T. Thus P
1
. .... P
i
is the complete set of prime ideals containing pT, and hence is the
complete set of prime divisors of p (see 3.12). When we write pT =
P
e
i
i
, then the e
i
are characterized by the fact that pT contains
P
e
i
i
but it does not contain the product
when any e
i
is replaced with a smaller value. Thus it follows from the above (parenthetical)
statement that e
i
is the exponent of ¨ g
i
occurring in the factorization of
¨
¡ .
2
REMARK 3.42 When it applies the last theorem can be used to prove (3.34) and (3.35). For
example, m =deg(¡ ), and so the equation m =
e
i
¡
i
is simply the equation deg(¡ ) =
e
i
deg(g
i
). Also, disc(T,·) = disc(¡(X)), and this is divisible by p if and only if
¨
¡ (X) has multiple factors (when regarded as an element of (·,p)ŒX), i.e., if and only if
some e
i
>0.
REMARK 3.43 The conclusion of the theorem holds for a particular prime p of · under
the following weaker hypothesis: disc(1. ˛. .... ˛
n1
) =a disc(T,·) with a an ideal of ·
not divisible by p. To prove this, invert any element of a not in p, and apply the theorem to
the new ring and its integral closure.
Examples of factorizations
We use Theorem 3.41 to obtain some factorizations.
EXAMPLE 3.44 Let m = 1 be a squarefree integer. We consider the factorization of
prime integers in 1 = ¸Œ
_
m. Recall that disc(1.
_
m) = 4m, and that disc(O
1
,Z) =
disc(1.
_
m) if m÷2. 3 mod 4, and that disc(O
1
,Z) =disc(1.
_
m),4 if m÷1 mod 4. In
both cases, we can use the set {1.
_
m] to compute the factorization of an odd prime ¸ (see
3.43). Note that (3.34) allows only three possible factorizations of (¸) in O
1
, namely,
(¸) =p
2
: (¸) ramiﬁes, e =2, ¡ =1, g =1:
(¸) =p: (¸) stays prime, e =1, ¡ =2, g =1:
(¸) =p
1
p
2
: (¸) splits, e =1, ¡ =1, g =2.
One obtains the following result.
(i) If ¸[ disc(O
1
,Z), then (¸) ramiﬁes in O
1
.
(ii) For an odd prime ¸ not dividing the m, we have
(¸) is the product of two distinct ideals ” m is a square mod ¸, i.e., (
n
]
) =1:
57
3. DEDEKIND DOMAINS; FACTORIZATION
(¸) is a prime ideal in ¸Œ
_
m ” m is not a square mod ¸, i.e., (
n
]
) =÷1.
(iii) For the prime 2 when m÷1 mod 4, we have
(¸) is the product of two distinct ideals ” m÷1 mod 8;
(¸) is a prime ideal in ¸Œ
_
m ” m÷5 mod 8.
To prove (iii), we must use the integral basis {1. ˛], ˛ = (1 ÷
_
m),2. The minimum
polynomial of ˛ is X
2
÷X÷(1÷m),4. If m÷1 mod 8, this factors as X
2
÷X =X(X÷1)
mod 2, and so (2) =(2. ˛)(2. 1÷˛). If m÷5 mod 8, then X
2
÷X ÷(1÷m),4 ÷X
2
÷
X ÷1 mod 2, which is irreducible, and so (2) =(2. 1÷˛ ÷˛
2
) =(2).
EXAMPLE 3.45 It is proved in basic graduate algebra courses that ZŒi , the Gaussian inte
gers, is a principal ideal domain. I claim that the following conditions on an odd prime ¸
are equivalent:
(a) ¸ ÷1 mod 4;
(b) (¸) splits in ZŒi ;
(c) there exist integers a and b such that ¸ =a
2
÷b
2
.
We know that (¸) splits in ZŒi  if and only if X
2
÷1 splits modulo ¸, but this is so if
and only if F
]
contains a 4th root of 1, i.e., if and only if the group F
×
]
contains an element
of order 4. As F
×
]
is a cyclic group (FT Exercise 13) of order ¸÷1, this is so if and only if
4[¸÷1. Thus we have shown that (a) and (b) are equivalent.
Suppose (¸) splits in ZŒi , say (¸) =p
1
p
2
. Then p
1
and p
2
are principal, and if p
1
=
(a ÷i b) then p
2
= (a ÷i b). Therefore a
2
÷b
2
= ¸ up to multiplication by a unit in
ZŒi . But the only units in ZŒi  are ˙1, ˙i , and so obviously a
2
÷b
2
=¸. Conversely, if
¸ =a
2
÷b
2
with a. b ÷ Z, then (¸) =(a÷i b)(a÷i b) in ZŒi .
ASIDE 3.46 The fact that every prime of the form 4n÷1 is a sum of two squares was stated as a
theorem by Fermat in a letter in 1654. Euler, who was almost certainly unaware of Fermat’s letter,
found a proof. For some history, and a discussion of algorithms for ﬁnding a and b, see Edwards
1977, p. 55.
REMARK 3.47 (a) From(3.41) and (3.43) we see that, for almost all ¸, factoring (¸) in O
1
amounts to factoring a polynomial ¡(X) modulo ¸ into a product of powers of irreducible
polynomials. Clearly, this can always be done, but it may require a lot of hard work but not
much intelligence. Hence it can safely be left to the computer. In PARI, factormod(f,p)
factors the polynomial ¡ modulo ¸. For example,
factormod(X^3+10*X+1,2) returns (X ÷1)(X
2
÷X ÷1).
factormod(X^3+10*X+1,17) returns X
3
÷10X ÷1.
factormod(X^3+10*X+1,4027) returns (X÷2215)
2
(X÷3624), etc., as in the following
table.
(b) In the next section, we shall show, not only that the class group of a number ﬁeld
is ﬁnite, but that it is generated by the prime ideals dividing a certain small set of prime
numbers. Finding the class number therefore involves ﬁnding the prime ideal factors of
these prime numbers, and the relations among them.
EXAMPLE 3.48 Let ˛ be a root of X
3
÷10X ÷1. Recall that the discriminant of the
polynomial is ÷4027, and so the ring of integers in ¸Œ˛ is Z÷Z˛ ÷Z˛
2
. There are the
following factorizations:
58
Examples of factorizations
2 (1÷X)(1÷X ÷X
2
) (2) = (2. 1÷˛)(2. 1÷˛ ÷˛
2
)
3 (2÷X)(2÷X ÷X
2
) (3) = (3. 2÷˛)(3. 2÷˛ ÷˛
2
)
5 (1÷X)(1÷4X ÷X
2
) (5) = (5. 1÷˛)(5. 1÷4˛ ÷˛
2
)
7 (3÷X)(5÷4X ÷X
2
) (7) = (7. 3÷˛)(7. 5÷4˛ ÷˛
2
)
11 (6÷X)(2÷5X ÷X
2
) (11) = (11. 6÷˛)(11. 2÷5˛ ÷˛
2
)
13 1÷10X ÷X
3
(13) = (13. 1÷10˛ ÷˛
3
) =(13)
17 1÷10X ÷X
3
(17) = prime ideal.
4027 (2215÷X)
2
(3624÷X) (4027) = (4027. 2215÷˛)
2
(4027. 3624÷˛).
EXAMPLE 3.49 Let ˛ be a root of X
3
÷8X ÷15. Here again, the discriminant of the
polynomial is ÷4027, and so the ring of integers in ¸Œ˛ is Z÷Z˛ ÷Z˛
2
. There are the
following factorizations:
2 (1÷X)(1÷X ÷X
2
) (2) = (2. 1÷˛)(2. 1÷˛ ÷˛
2
)
3 X(1÷X
2
) (3) = (3. ˛)(3. 1÷˛
2
)
5 X(2÷X
2
) (5) = (5. ˛)(5. 2÷˛
2
)
7 (5÷X)(3÷2X ÷X
2
) (7) = (7. ˛)(7. 3÷2˛ ÷˛
2
)
11 (1÷X)(4÷10X ÷X
2
) (11) = (11. ˛)(11. 4÷10˛ ÷˛
2
)
13 2÷5X ÷X
3
(13) = (13)
17 (4÷X)(6÷X)(7÷X) (17) = (17. 4÷˛)(17. 6÷˛)(17. 7÷˛)
4027 (509÷X)(1759÷X)
2
. (4027) = (4027. 509÷˛)(4027. 1759÷˛)
2
On comparing the factorizations of (17) in the ﬁelds in the last two examples, we see that
the ﬁelds are not isomorphic.
REMARK 3.50 When 1 is a number ﬁeld, it is interesting to have a description of the set
Spl(1) of prime numbers that split in 1. For 1 =¸Œ
_
m with m square free, this is the
set of odd ¸ not dividing m for which (
n
]
) = 1 together possibly with 2 (see 3.44). We
shall see later that the quadratic reciprocity law gives a good description of the set. For
any abelian Galois extension 1 of ¸, class ﬁeld theory gives a similarly good description,
but for an arbitrary extension very little is known about what sets can occur. There is a
theorem that says that two Galois extensions 1 and 1
t
of ¸ are isomorphic if and only if
Spl(1) =Spl(1
t
). Moreover, this can be made into an effective procedure for determining
when ﬁelds are isomorphic. See Theorem 8.38 below.
EXAMPLE 3.51 In (2.39), we saw that ¡(X) =X
5
÷X÷1 is irreducible in ¸ŒX, and that
its discriminant is 19 151, which is squarefree, and so, if ˛ is a root of ¡(X), then ZŒ˛ is
the ring of integers in ¸Œ˛. We have the following factorizations:
19
_
¡ ÷(6÷X)
2
(10÷13X ÷17X
2
÷X
3
)
(19) =(19. 6÷˛)
2
(19. 10÷13˛ ÷17˛
2
÷˛
3
)
151
_
¡ ÷(9÷X)(39÷X)
2
(61÷64X ÷X
2
)
(151) =(151. 9÷˛)(151. 39÷˛)
2
(151. 61÷64˛ ÷˛
2
)
4027
_
¡ ÷(1261÷X)(2592÷X)(790÷3499X ÷174X
2
÷X
3
)
(4027) =(4027. 1261÷˛)(4027. 2592÷˛)(4027. 790÷3499˛ ÷174˛
2
÷˛
3
.
Thus (19) and (151) are ramiﬁed in ¸Œ˛, and 4027 is not, which is what Theorem 3.35
predicts.
59
3. DEDEKIND DOMAINS; FACTORIZATION
EXAMPLE 3.52 According to PARI,
X
4
÷X
3
÷X
2
÷X ÷1 ÷(X ÷4)
4
mod 5
Why is this obvious?
Eisenstein extensions
Recall that Eisenstein’s Criterion says that a polynomial
X
n
÷a
1
X
n1
÷ ÷a
n
.
such that a
i
÷ Z, ¸[a
i
all i , and ¸
2
does not divide a
n
, is irreducible in ¸ŒX. We will
improve this result, but ﬁrst we need to make two observations about discrete valuations.
Let · be a Dedekind domain, and let T be its integral closure in a ﬁnite extension 1 of
its ﬁeld of fractions 1. Let p be a prime ideal of · and let P be an ideal of T dividing p,
say pT =P
e
. Write ord
p
and ord
P
for the normalized valuations on 1 and 1 deﬁned
by p and P. Then
ord
P
[1 =e ord
p
(11)
because, if (a) =p
n
in ·, then (a) =P
ne
in T.
Next I claim that if
a
1
÷ ÷a
n
=0.
then the minimum value of ord(a
i
) must be attained for at least two i s. Suppose not, say
ord(a
1
) < ord(a
i
) for all i >1. Then ÷a
1
=
i_2
a
i
implies that
ord(a
1
) =ord(
i_2
a
i
)
(8)
_ min
2_i_n
ord(a
i
).
which is a contradiction.
Let · be a Dedekind domain and let p be a prime ideal in ·. A polynomial
X
n
÷a
1
X
n1
÷ ÷a
n
. a
i
÷ ·.
is said to be Eisenstein relative to p if
ord
p
(a
1
) >0, . . . , ord
p
(a
n1
) >0, ord
p
(a
n
) =1.
PROPOSITION 3.53 Let ¡(X) ÷ ·ŒX be an Eisenstein polynomial with respect to p. Then
¡(X) is irreducible, and if ˛ is a root of ¡(X), then p is totally ramiﬁed in 1Œ˛; in fact
pT =P
n
with P=(p. ˛) and m=deg(¡ ).
PROOF. Let 1 be the ﬁeld generated by a root ˛ of ¡(X); then Œ1: 1 _m
def
=deg(¡ ). Let
P be a prime ideal dividing p, with ramiﬁcation index e say. Consider the equation
˛
n
÷a
1
˛
n1
÷ ÷a
n
=0.
60
Exercises
Because ¡(X) is Eisenstein,
ord
P
(˛
n
) =m ord
P
(˛):
ord
P
(a
i
˛
ni
) _(m÷i ) ord
P
(˛) ÷e:
ord
P
(a
n
) =e.
If ord
P
(˛) =0, then the minimum value of ord
P
is taken for a single term, namely ˛
n
. This
is impossible, and so ord
P
(˛) _ 1, and ord
P
(a
i
˛
ni
) > ord
P
(a
n
) = e for i = 1. .... m.
From the remark preceding the proposition, we see that m ord
P
(˛) =e. Then
m ord
P
(˛) =e _Œ1Œ˛ : 1 _m.
and we must have equalities throughout: ord
P
(˛) =1, Œ1(˛): 1 =m=e.
2
NOTES Gauss proved the quadratic reciprocity law, and studied the arithmetic of ¸Œi  in order
to discover the quartic reciprocity law. Kummer made an intense study of the arithmetic of the
ﬁelds ¸Œ¸
n
, where ¸
n
is a primitive nth root of 1, in order to prove higher reciprocity laws. A
major problem for him was that unique factorization fails already for n = 23. To restore unique
factorization, he developed his theory of “ideal numbers”. One of Dedekind’s great achievements
was to realize that, by replacing Kummer’s “ideal numbers” with his new notion of “ideals”, it was
possible to simplify Kummer’s theory and extend it to the rings of integers in all number ﬁelds. A
difﬁcult step for him was showing that if a[b, then there exists an ideal c such that a =bc. Emmy
Noether reexamined Kummer’s work more abstractly, and named the integral domains for which
his methods applied “Dedekind domains”.
Exercises
31 Let k be a ﬁeld. Is kŒX. Y  a Dedekind domain? (Explain).
32 Show that ZŒ
_
3 is the ring of integers in ¸Œ
_
3 and ZŒ
_
7 is the ring of integers
in ¸Œ
_
7, but that ZŒ
_
3.
_
7 is not the ring of integers in ¸Œ
_
3.
_
7. (Hint: look at
(
_
3÷
_
7),2.)
33 Complete the proofs of the following statements (cf. 3.45):
(a) .
2
÷,
2
=¸ has a solution in Z ” ¸ ÷1 mod 4;
(b) .
2
÷2,
2
=¸ has a solution in Z ” ¸ ÷1 or 3 mod 8;
(c) .
2
÷3,
2
=¸ has a solution in Z ” ¸ ÷1 mod 3.
3
You may assume that ¸Œ
_
÷¸ has class number 1 for ¸ <5.
34 Let k be a ﬁeld, and let · be the subring kŒX
2
. X
3
 of kŒX.
(a) Show that kŒX is a ﬁnitely generated kŒX
2
module, and hence is a Noetherian
kŒX
2
module. Deduce that · is Noetherian.
(b) Show that every nonzero prime ideal of · is maximal, but that · is not a Dedekind
domain.
3
Kwangho Choiy notes that .
2
÷3,
2
=¸ can be replaced by .
2
÷., ÷,
2
=¸, because the norm is of
the form .
2
÷., ÷,
2
. However, both are true, because (
3
]
) =(
]
3
). Moreover, we can remark that the prime
ideal lying over ¸ with (
]
3
) =1 can be generated by an element in ZŒ
_
÷3.
61
3. DEDEKIND DOMAINS; FACTORIZATION
Hence · satisﬁes conditions (a) and (c) to be a Dedekind domain, but not (b). There are
also rings that satisfy (b) and (c) but fail (a), and rings that satisfy (a) and (b) but not (c) (for
example, kŒX. Y ).
62
CHAPTER 4
The Finiteness of the Class Number
In this section we prove the ﬁrst main theorem of the course: the class number of a number
ﬁeld is ﬁnite. The method of proof is effective: it gives an algorithm for computing the
class group.
Norms of ideals
Let ·be a Dedekind domain with ﬁeld of fractions 1, and let T be the integral closure of ·
in a ﬁnite separable extension 1. We want to deﬁne a homomorphism Nm: Id(T) ÷Id(·)
which is compatible with taking norms of elements, i.e., such that the following diagram
commutes:
1
×
b(b)
÷÷÷÷÷ Id(T)
¸
¸
_Nm
¸
¸
_Nm
1
×
o(o)
÷÷÷÷÷ Id(·)
(12)
Because Id(T) is the free abelian group on the set of prime ideals, we only have to deﬁne
Nm(p) for p prime.
Let p be a prime ideal ·, and factor pT =
P
e
i
i
. If p is principal, say p =(¬), then
we should have
Nm(pT) =Nm(¬ T) =Nm(¬) · =(¬
n
) =p
n
. m=Œ1: 1.
Also, because Nm is to be a homomorphism, we should have
Nm(pT) =Nm(
P
e
i
i
) =
Nm(P
i
)
e
i
.
On comparing these two formulas, and recalling (3.34) that m =
e
i
¡
i
, we see that we
should deﬁne Nm(P
i
) =p
(
i
. We take this as our deﬁnition:
Nm(P) =p
((P{p)
where p =P¨· and ¡(P,p) =ŒT,P: ·,p.
To avoid confusion, I sometimes use N to denote norms of ideals.
If we have a tower of ﬁelds M ¸1 ¸1, then
N
1{1
(N
Æ{1
a) =N
Æ{1
a
because ¡(Q,P) ¡(P,p) = ¡(Q,p), i.e., ŒC,Q : T,P ŒT,P : ·,p = ŒC,Q : ·,p
where C ¸T ¸· are the integral closures of · in M, 1, and 1 respectively.
63
4. THE FINITENESS OF THE CLASS NUMBER
PROPOSITION 4.1 Let · ÇT and 1 Ç1 be as above.
(a) For any nonzero ideal a Ç·, N
1{1
(aT) =a
n
, where m=Œ1 : 1.
(b) Suppose 1 is Galois over 1. Let Pbe a nonzero prime ideal of T and let p =P¨·.
Write p T =(P
1
P
¿
)
e
(cf. 3.34). Then
NP T =(P
1
P
¿
)
e(
=
c÷Gal(1{1)
oP.
(c) For any nonzero element ˇ ÷ T, Nm(ˇ) · =Nm(ˇ T) (i.e., (12) commutes).
PROOF. (a) It sufﬁces to prove this for a prime ideal p, and for such an ideal we have that
N(pT) =N(
P
e
i
i
)
def
=p
e
i
(
i
=p
n
(by 3.34).
(b) Since NP
i
=p
(
for each i , the ﬁrst equality is obvious. In the course of the proof
of (3.34), we showed that Gal(1,1) acts transitively on the set {P
1
. .... P
¿
], and it follows
that each P
i
occurs
n
¿
=e¡ times in the family {oP[ o ÷ Gal(1,1)].
(c) Suppose ﬁrst that 1is Galois over 1, and let ˇ T =b. The map a ÷a T: Id(·) ÷
Id(T) is injective (remember they are the free abelian groups on the sets of nonzero prime
ideals), and so it sufﬁces to show that Nm(ˇ) T =Nm(b) T. But
Nm(b) T
(b)
=
ob =
(oˇ T) =(
oˇ) T =Nm(ˇ) T
as required.
In the general case, let 1 be a ﬁnite Galois extension of 1 containing 1, and let
J = Œ1: 1. Let C be the integral closure of T in 1. From (a), the Galois case, and
the transitivity of N we have that
N
1{1
(ˇ T)
d
=N
T{1
(ˇ C) =Nm
T{1
(ˇ) · =Nm
1{1
(ˇ)
d
·.
As the group of ideals Id(·) is torsionfree, this implies that N
1{1
(ˇ T) =Nm
1{1
(ˇ)
·.
2
Let a be a nonzero ideal in the ring of integers O
1
of a number ﬁeld 1. Then a is of
ﬁnite index in O
1
, and we let Na, the numerical norm of a, be this index:
Na =(O
1
: a).
PROPOSITION 4.2 Let O
1
be the ring of integers in a number ﬁeld 1.
(a) For any ideal a in O
1
, N
1{¸
(a) =(N(a)); therefore N(ab) =N(a)N(b).
(b) Let b Ça be fractional ideals in 1; then
(a : b) =N(a
1
b).
PROOF. (a) Write a =
p
i
i
i
, and let ¡
i
=¡(p
i
,¸
i
) where (¸
i
) =Z¨p
i
; then Nm(p
i
) =
(¸
i
)
(
i
. From the Chinese remainder theorem, O
1
,a .
O
1
,p
i
i
i
, and so (O
1
: a) =
(O
1
: p
i
i
i
). In the course of the proof of (3.34), we showed that O
1
,p
i
i
i
has a ﬁltration of
length r
i
whose quotients are vector spaces of dimension ¡
i
over F
]
i
, and so (O
1
: p
i
i
i
) =
64
Statement of the main theorem and its consequences
¸
(
i
i
i
i
. On taking the product over i , we ﬁnd that (O
1
: a) =
(¸
(
i
i
i
i
) =N
1{¸
a. When
we identify the set of nonzero ideals in Z with the set of positive integers, then N becomes
identiﬁed with N, and so the multiplicativity of N follows from that of N.
(b) For any nonzero J ÷ 1, the map . ÷J.: 1 ÷1 is an additive isomorphism, and
so (Ja : Jb) =(a : b). Since (Ja)(Jb)
1
=ab
1
, we may suppose that a and b are integral
ideals. The required formula then follows from (a) and the formulas
(O
1
: a)(a : b) =(O
1
: b)
and
N(a) N(a
1
b) =N(b).
2
Statement of the main theorem and its consequences
We now state the main theorem of this section and discuss some of its consequences.
THEOREM 4.3 Let 1 be an extension of degree n of ¸, and let z
1
be the discriminant of
1,¸. Let 2s be the number of nonreal complex embeddings of 1. Then there exists a set
of representatives for the ideal class group of 1 consisting of integral ideals a with
N(a) _
nŠ
n
n
_
4
¬
_
x
[z
1
[
1
2
.
The number on the right is called the Minkowski bound — we sometimes denote it
by T
1
. The term C
1
=
nŠ
n
n
_
4
t
_
x
is called the Minkowski constant. It takes the following
values:
n r s C
2 0 1 0.637
2 2 0 0.500
3 1 1 0.283
3 3 0 0.222
4 0 2 0.152
4 2 1 0.119
4 4 0 0.094
5 1 2 0.062
5 3 1 0.049
5 5 0 0.038
. . . . . . . . . . . .
100 100 0 0.93×10
42
Here r is the number of real embeddings of 1. We have
1˝
¸
1 ~1
i
×C
x
.
and, if 1 =¸Œ˛ and ¡(X) is the minimum polynomial of ˛, then r is the number of real
roots of ¡(X) and 2s is the number of its nonreal roots. To see that these descriptions of r
and s agree, apply (1.18).
Before proving (4.3), we give some applications and examples.
65
4. THE FINITENESS OF THE CLASS NUMBER
THEOREM 4.4 The class number of 1 is ﬁnite.
PROOF. It sufﬁces to show that there are only ﬁnitely many integral ideals a in O
1
such
that N(a) is less than the Minkowski bound — in fact, we shall show that, for any integer
M, there are only ﬁnitely many integral ideals a with N(a) <M. If a =
p
i
i
i
, then N(a) =
¸
i
i
(
i
i
where (¸
i
) =p
i
¨Z. As N(a) <M, this allows only ﬁnitely many possibilities for
the ¸
i
(and hence for the p
i
), and only ﬁnitely many possibilities for the exponents r
i
.
2
Let S be the set of integral ideals in 1 with norm < T
1
. Then S is a ﬁnite set, and
Cl(O
1
) =S, ~. where a ~b if one ideal is the product of the other with a principal (frac
tional) ideal. There is an algorithm for ﬁnding S, and an algorithm for deciding whether
a ~b, and so there is an algorithm for ﬁnding Cl(O
1
) (the group, not just its order). To ﬁnd
S, ﬁnd the prime ideal factors of enough prime numbers, and form some of their products.
To decide whether a ~b, one has to decide whether c =ab
1
is principal. From (4.2b) we
know that, for ; ÷ c,
c =(;) ” Nc =[ Nm;[
and so we have to solve the equation:
Nm; =constant.
When we express ; in terms of an integral basis, this becomes a (very special) type of
diophantine equation. For a descriptions of algorithms for ﬁnding Cl(O
1
), see Cohen
1993, 6.5, and Pohst and Zassenhaus 1989, p424.
EXAMPLE 4.5 Let 1 =¸Œi . The condition in Theorem 4.3 is that N(a) _
2
4
4
t
2 < 1.27.
There are no such ideals other than ZŒi , and so ZŒi  is a principal ideal domain. (Of course,
the elementary proof of this shows more, namely, that ZŒi  is a Euclidean domain. Even
for rings of integers in number ﬁelds, it is not true that all principal ideal domains are
Euclidean domains. For example, ¸Œ
_
÷19 has class number 1, but its ring of integers
is not a Euclidean domain. For more on such things, see the survey article Lemmermeyer
1995
1
.)
EXAMPLE 4.6 Let 1 =¸Œ
_
÷5. Here N(a) _ 0.63×
_
20< 3. Any ideal satisfying this
must divide (2). In fact, (2) =p
2
where p =(2. 1 ÷
_
÷5), and Np
2
=N(2) =4, and so
Np = 2. The ideals O
1
and p form a set of representatives for Cl(ZŒ
_
÷5). The ideal
p can’t be principal because there does not exist an element ˛ = m÷n
_
÷5 such that
Nm(˛) =m
2
÷5n
2
=2, and so Cl(ZŒ
_
÷5) has order 2.
EXAMPLE 4.7 Let 1 be a cubic ﬁeld with discriminant <0. Since the sign of z
1
is (÷1)
x
,
and Œ1 : ¸ =r ÷2s, we have s =1, r =1. The Minkowski bound is
T
1
<0.283[z
1
[
1
2
.
For [z
1
[ _49, T
1
<2, and so for cubic ﬁelds with ÷49 _z
1
<0, the class number h =1.
For example, this is true for the number ﬁelds with discriminants ÷23 and ÷31 discussed
earlier (see 2.36, 2.37).
1
Lemmermeyer, Franz. The Euclidean algorithm in algebraic number ﬁelds. Exposition. Math. 13 (1995),
no. 5, 385–416.
66
Statement of the main theorem and its consequences
For the stem ﬁeld of X
3
÷10X ÷1, the discriminant is ÷4027, and the Minkowski
bound is <18. Recall from (3.48) that
(2) =(2. 1÷˛)(2. 1÷˛ ÷˛
2
).
Let p =(2. 1 ÷˛); its norm is 2. One can show that it generates the class group, and that
it has order 6 in the class group, i.e., p
6
but no smaller power is principal. Hence the class
group is cyclic of order 6. (The proof takes quite a bit of hard work if you do it by hand —
see Artin 1959, 12.6, 13.3. Using PARI, you can type “bnfclgp(X^3+10*X+1)”)
EXAMPLE 4.8 Let ˛ be a root of ¡(X) = X
5
÷X ÷1. We saw in (2.39) that ¡(X) is
irreducible and its discriminant is 19×151, and so the ring of integers of ¸Œ˛ is ZŒ˛.
According to Theorem 4.3, every class of ideals for ¸Œ˛ contains an integral ideal a
with
N(a) <0.062×
_
19×151 =3.3 <4.
If p is a prime ideal with N(p) =2, then the residue ﬁeld at p must be F
2
, and ¡(X) must
have a root mod 2; however, both ¡(0) and ¡(1) are odd, and so ¡(X) doesn’t have a root
in F
2
, which shows that p doesn’t exist. Similarly, there is no prime ideal p with N(p) =3,
and so O
1
is a principal ideal domain!
The Galois group of the splitting ﬁeld M of ¡(X) is S
5
(later we shall see how to
ﬁnd Galois groups; for the moment type “polgalois(X^5X1)” in PARI), and hence
ŒM: ¸ =120. It is possible to show that M is unramiﬁed over ¸Œ
_
19×151.
An extension 1 of a number ﬁeld 1 is said to be unramiﬁed over 1 if no prime ideal
of O
1
ramiﬁes in O
1
.
THEOREM 4.9 There does not exist an unramiﬁed extension of ¸.
PROOF. Let 1 be a ﬁnite extension of ¸. Since a set of representatives for the class group
must have at least one element, and that element will have numerical norm _ 1, Theorem
4.3 shows that
[z[
1
2
_
n
n
nŠ
_
¬
4
_
x
_
n
n
nŠ
_
¬
4
_
n{2
.
Let a
n
= rhs. Then a
2
> 1, and
o
nC1
o
n
=
_
t
4
_1
2
(1 ÷
1
n
)
n
> 1, and so the sequence a
n
is
monotonically increasing. Hence the discriminant of 1 has absolute value > 1, and we
know from (3.35) that any prime dividing the discriminant ramiﬁes.
2
COROLLARY 4.10 There does not exist an irreducible monic polynomial ¡(X) ÷ ZŒX of
degree >1 with discriminant ˙1.
PROOF. Let ¡(X) be such a polynomial, and let ˛ be a root of ¡(X). Then disc(ZŒ˛,Z) =
˙1, and so ZŒ˛ is the ring of integers in 1
def
=¸Œ˛ and disc(O
1
,Z) =˙1, which contra
dicts the theorem.
2
67
4. THE FINITENESS OF THE CLASS NUMBER
REMARK 4.11 There may exist unramiﬁed extensions of number ﬁelds other than ¸. In
fact, class ﬁeld theory says that the maximal abelian unramiﬁed
2
extension of 1 (called
the Hilbert class ﬁeld of 1) has Galois group canonically isomorphic to Cl(O
1
). For
example, the theory says that ¸Œ
_
÷5 has an unramiﬁed extension of degree 2, and one
veriﬁes that ¸Œ
_
÷1.
_
÷5 is unramiﬁed over ¸Œ
_
÷5. In particular, the discriminant of
¸Œ
_
÷1.
_
÷5 over ¸Œ
_
÷5 is a unit.
REMARK 4.12 Let 1
1
be a number ﬁeld with class number h
1
1
>1. Its Hilbert class ﬁeld
is an abelian unramiﬁed extension 1
2
of 1
1
with Gal(1
2
,1
1
) .Cl(1
1
). Let 1
3
be the
Hilbert class ﬁeld of 1
2
, and so on. In this way, we obtain a tower of ﬁelds,
1
1
Ç1
2
Ç1
3
Ç
It was a famous question (class ﬁeld tower problem) to decide whether this tower can be
inﬁnite, or must always terminate with a ﬁeld of class number 1 after a ﬁnite number of
steps. It was shown by Golod and Shafarevich in the early 60s that the tower is frequently
inﬁnite. See Roquette 1967.
If 1 has class number 1, then it has no abelian unramiﬁed extensions, but it may have
nonabelian unramiﬁed extensions, even inﬁnite (see, for example, D. Brink, Remark on
inﬁnite unramiﬁed extensions of number ﬁelds with class number one, J. Number Theory
130 (2010), 304306; mo53530).
Lattices
Let V be a vector space of dimension n over 1. A lattice ¹ in V is a subgroup of the form
¹=Ze
1
÷ ÷Ze
i
with e
1
. .... e
i
linearly independent elements of V . Thus a lattice is the free abelian subgroup
of V generated by elements of V that are linearly independent over 1. When r = n, the
lattice is said to be full. At the opposite extreme, ¹ = {0] is a lattice (generated by the
empty set of elements). In terms of tensor products, one can say that a full lattice in V is a
subgroup ¹ of V such that the map
r
i
˝.
i
÷
r
i
.
i
: 1˝
Z
¹÷V.
is an isomorphism.
NONEXAMPLE 4.13 The subgroup Z÷Z
_
2 of 1 is a free abelian group of rank 2 (be
cause
_
2 is not rational), but it is not a lattice in 1.
We shall need another criterion for a subgroup ¹ of V to be a lattice. The choice of
a basis for V determines an isomorphism of V with 1
n
, and hence a topology on V ; the
topology is independent of the basis, because any linear automorphism of 1
n
is a homeo
morphism. A subgroup ¹ of V is said to be discrete if it is discrete in the induced topology.
A topological space is discrete if its points (hence all subsets) are open, and so to say
that ¹ is discrete means that every point ˛ of ¹ has a neighbourhood U in V such that
U ¨¹={˛].
2
The Hilbert class ﬁeld 1 of 1 is required to be unramiﬁed even at the inﬁnite primes — this means that
every real embedding of 1 extends to a real embedding of 1.
68
Lattices
LEMMA 4.14 The following conditions on a subgroup ¹of a ﬁnitedimensional real vector
space V are equivalent:
(a) ¹ is a discrete subgroup;
(b) there is an open subset U of V such that U ¨¹={0];
(c) each compact subset of V intersects ¹ in a ﬁnite set;
(d) each bounded subset of V intersects ¹ in a ﬁnite set.
PROOF. (a) ”(b). Obviously (a) implies (b). For the converse, note that the translation
map . ÷˛ ÷.: V ÷V is a homeomorphism, and so, if U is a neighbourhood of 0 such
that U ¨¹={0], then ˛ ÷U is a neighbourhood of ˛ such that (˛ ÷U) ¨¹={˛].
(a)=(c). Condition (a) says that ¹ is a discrete space for the induced topology. Hence,
if C is compact, then C ¨¹ is both discrete and compact,
3
and therefore must be ﬁnite.
(c)=(d). The closure of a bounded set in 1
n
(hence in V ) is compact, and so this is
obvious.
(d)=(b). Let U be a bounded open neighbourhood of 0. Then S =U ¨¹{0] is ﬁnite
and hence closed, and so U S is an open neighbourhood of {0] such that (U S) ¨¹=
{0].
2
PROPOSITION 4.15 A subgroup ¹ of V is a lattice if and only if it is discrete.
PROOF. Clearly, a lattice is discrete. For the converse, let ¹ be a discrete subgroup of V ,
and choose a maximal 1linearly independent subset {e
1
. . . . . e
i
] of ¹. We shall argue by
induction on r.
If r =0, ¹=0, and there is nothing to prove.
If r =1, then ¹Ç1e
1
. Because ¹ is discrete, for each M >0,
{ae
1
[ [a[ <M] ¨¹
is ﬁnite, and so there is an ¡ ÷ ¹ such that, when we write ¡ =ae
1
, a attains its minimum
value > 0. I claim ¹=Z¡ . Any ˛ ÷ ¹Z¡ will equal (m÷b)¡ for some m÷ Z and b
with 0 < b < 1; but then (˛ ÷m¡ ) =b¡ =abe
1
, and 0 < ab < a, which contradicts our
choice of ¡.
If r > 1, we let ¹
t
= ¹¨(1e
1
÷ ÷1e
i1
). Clearly this is a discrete subgroup of
the vector space V
t
def
=1e
1
÷ ÷1e
i1
and so, by induction, ¹
t
=Z¡
1
÷ ÷Z¡
i1
for
some ¡
i
that are linearly independent over 1 (and hence also form a basis for V
t
). Every
˛ ÷ ¹ can be written uniquely
˛ =a
1
¡
1
÷ ÷a
i1
¡
i1
÷ae
i
. a
i
. a ÷ 1.
Let ç: ¹÷1 be the map ˛ ÷a, and let ¹
tt
=Im(ç). Note that a is also the image of
(a
1
÷Œa
1
)¡
1
÷ ÷(a
i1
÷Œa
i1
)¡
i1
÷ae
i
. Œ+ =integer part,
3
I am implicitly using that a discrete subgroup of a Hausdorff group is closed (note that a discrete subset
need not be closed, e.g., {1,n [ n an integer > 0] is not closed in the real numbers). Here is the proof. Let H
be a discrete subgroup of a Hausdorff group G. There exists a neighbourhood U of 1 such that U ¨H = 1;
choose a neighbourhood V of 1 such that V
1
V is contained in U. For distinct elements a and b of H, Va
and Vb are disjoint. Let g lie in the closure of H, so that H ¨V
1
g is nonempty. If a lies in H ¨V
1
g,
say a =·
1
g, then g ÷ Va. This shows that H ¨V
1
g ={a]. As g is in the closure of H, this implies that
g =a, and so g lies in H.
69
4. THE FINITENESS OF THE CLASS NUMBER
and so each element a ÷ ¹
tt
in a bounded set, say with 0 _ [a[ < M, is the image of an
element of ¹ in a bounded set,
0 _a
i
<1. i =1. . . . . r ÷1. [a[ <M.
Thus there are only ﬁnitely many such as, and so ¹
tt
is a lattice in 1, say ¹
tt
=Z ç(¡
i
),
¡
i
÷ ¹.
Let ˛ ÷ ¹. Then ç(˛) = aç(¡
i
) for some a ÷ Z, and ç(˛ ÷a¡
i
) = 0. Therefore
˛ ÷a¡
i
÷ ¹
t
, and so it can be written
˛ ÷a¡
i
=a
1
¡
1
÷ ÷a
i1
¡
i1
. a
i
÷ Z.
Hence
˛ =a
1
¡
1
÷ ÷a
i1
¡
i1
÷a¡
i
. a
i
. a ÷ Z.
which proves that ¹=
Z¡
i
.
2
Let V be a real vector space of dimension n, and let ¹ be a full lattice in V , say
¹=
Ze
i
. For any z
0
÷ ¹, let
D ={z
0
÷
a
i
e
i
[ 0 _a
i
<1].
Such a set is called a fundamental parallelopiped for ¹. The shape of the parallelopiped
depends on the choice of the basis (e
i
), but if we ﬁx the basis and vary z
0
÷ ¹, then the
parallelopipeds cover 1
n
without overlaps.
REMARK 4.16 (a) For a fundamental parallelopiped D of a full lattice
¹=Z¡
1
÷ ÷Z¡
n
in 1
n
, the volume of D
j(D) =[ det(¡
1
. . ¡
n
)[.
(See any good book on calculus.) If also
¹=Z¡
t
1
÷Z¡
t
2
÷ ÷Z¡
t
n
.
then the determinant of the matrix relating {¡
i
] and {¡
t
i
] has determinant ˙1, and so the
volume of the fundamental parallelopiped doesn’t depend on the choice of the basis for ¹.
(b) When ¹¸¹
t
are two full lattices 1
n
, we can choose bases {e
i
] and {¡
i
] for ¹ and
¹
t
such that ¡
i
=m
i
e
i
with m
i
a positive integer. With this choice of bases, the fundamen
tal parallelopiped D of ¹ is a disjoint union of (¹: ¹
t
) fundamental parallelopipeds D
t
of
¹
t
. Hence
j(D
t
)
j(D)
=(¹: ¹
t
) (*).
As we noted above, the choice of a basis for V determines an isomorphism V ~ 1
n
,
and hence a measure j on V . This measure is translation invariant (because the Lebesgue
measure on 1
n
is translation invariant), and welldeﬁned up to multiplication by a nonzero
constant (depending on the choice of the basis)
4
. Thus the ratio of the measures of two sets
is welldeﬁned, and the equation (*) holds for two full lattices ¹¸¹
t
in V .
4
The experts will recognize j as being a Haar measure on V .
70
Lattices
THEOREM 4.17 Let D
0
be a fundamental parallelopiped for a full lattice in V , and let S
be a measurable subset in V . If j(S) > j(D
0
), then S contains distinct points ˛ and ˇ
such that ˇ÷˛ ÷ ¹.
PROOF. The set S ¨D is measurable for all fundamental parallelopipeds D, and
j(S) =
j(S ¨D)
(sum over translates of D by elements of ¹). For each D, a (unique) translate of S ¨D by
an element of ¹ will be a subset of D
0
. Since j(S) >j(D
0
), at least two of these sets will
overlap, i.e., there exist elements ˛. ˇ ÷ S such that
˛ ÷z =ˇ÷z
t
. some z. z
t
÷ ¹.
Then ˇ÷˛ ÷ ¹.
2
REMARK 4.18 In the language of differential geometry, the theorem can be given a more
geometric statement. Let M = V,¹; it is an ndimensional torus. The measure j on V
deﬁnes a measure on M for which M has measure j(M) =j(D). The theorem says that
if j(S) >j(M), then the restriction of the quotient map V ÷M to S can’t be injective.
Let T be a set such that
˛,ˇ ÷ T =
1
2
(˛ ÷ˇ) ÷ T. (**)
and let S =
1
2
T . Then T contains the difference of any two points of S, and so T will
contain a point of ¹ other than the origin whenever
j(D) <j(
1
2
T ) =2
n
j(T ).
i.e., whenever
j(T ) >2
n
j(D).
We say that a set T is convex if, with any two points, it contains the line joining the
two points, and that T is symmetric in the origin if ˛ ÷ T implies ÷˛ ÷ T . A convex set,
symmetric in the origin, obviously satisﬁes (**), and so it will contain a point of ¹\{0] if
its volume is greater than 2
n
j(D).
THEOREM 4.19 (MINKOWSKI’S) Let T be a subset of V that is compact, convex, and
symmetric in the origin. If
j(T ) _2
n
j(D)
then T contains a point of the lattice other than the origin.
PROOF. Replace T with (1÷c)T , c >0. Then
j((1÷c)T ) =(1÷c)
n
j(T ) >2
n
j(D).
71
4. THE FINITENESS OF THE CLASS NUMBER
and so (1 ÷c)T contains a point of ¹ other than the origin (see the preceding remark). It
will contain only ﬁnitely many such points because ¹ is discrete and (1÷c)T is compact.
Because T is closed
T =
_
t>0
(1÷c)T.
If none of the (ﬁnitely many) points of ¹¨(1÷c)T other than the origin is in T , we will
be able to shrink (1 ÷c)T (keeping c > 0) so that it contains no point of ¹ other than the
origin—which is a contradiction.
2
REMARK 4.20 Theorem 4.19 was discovered by Minkowski in 1896. Although it is al
most trivial to prove, it has lots of nontrivial consequences, and was the starting point for
the branch of number theory called the “geometry of numbers”. We give one immediate
application of it to prove that every positive integer is a sum of four squares of integers.
From the identity
(a
2
÷b
2
÷c
2
÷J
2
)(·
2
÷T
2
÷C
2
÷D
2
) =
(a·÷bT ÷cC ÷JD)
2
÷(aT ÷b·÷cD÷JC)
2
÷
(aC ÷bD÷c·÷JT)
2
÷(aD÷bC ÷cT ÷J·)
2
.
we see that it sufﬁces to prove that a prime ¸ is a sum of four squares.
Since
2 =1
2
÷1
2
÷0
2
÷0
2
.
we can suppose that ¸ is odd. I claim that the congruence
m
2
÷n
2
÷1 ÷0 mod ¸
has a solution in Z. As m runs through 0. 1. . . . . ¸÷1, m
2
takes exactly (¸÷1),2 distinct
values modulo ¸, and similarly for ÷1 ÷n
2
. For the congruence to have no solution, all
these values, ¸÷1 in total, must be distinct, but this is impossible.
Fix a solution m. n to the congruence, and consider the lattice ¹ Ç Z
4
consisting of
(a. b. c. J) such that
c ÷ma÷nb. J ÷mb ÷na mod ¸.
Then Z
4
¸ ¹ ¸ ¸Z
4
and ¹,¸Z
4
is a 2dimensional subspace of F
4
]
(the a and b can be
arbitrary mod ¸, but then c and J are determined). Hence ¹ has index ¸
2
in Z
4
, and so the
volume of a fundamental parallelopiped is ¸
2
. Let T be a closed ball of radius r centered
at the origin. Then T has volume ¬
2
r
4
,2, and so if we choose r so that 2¸ > r
2
> 1.9¸
say, then
j(T ) >16j(D).
According to Minkowski’s theorem, there is a point (a. b. c. J) ÷ (¹\ {0]) ¨T . Because
(a. b. c. J) ÷ ¹,
a
2
÷b
2
÷c
2
÷J
2
÷a
2
(1÷m
2
÷n
2
) ÷b
2
(1÷m
2
÷n
2
) ÷0 mod ¸.
and because (a. b. c. J) ÷ T ,
a
2
÷b
2
÷c
2
÷J
2
<2¸.
As a
2
÷b
2
÷c
2
÷J
2
is a positive integer, these conditions imply that it equals ¸.
This result was stated by Fermat. Euler tried to prove it over a period of 40 years, and
Lagrange succeeded in 1770.
72
Some calculus
Some calculus
4.21 Let V be a ﬁnitedimensional real vector space. A norm on V is a function [ [: V ÷
1 such that
(a) for all x ÷ V , [x[ _0, and [x[ =0 ” x =0;
(b) for r ÷ 1 and x ÷ V , [rx[ =[r[[x[;
(c) (triangle law) for x. y ÷ V , [x÷y[ _[x[÷[y[.
Let V =1
i
×C
x
— it is a real vector space of dimension n =r ÷2s. Deﬁne a norm
on V by
[x[ =
i
i=1
[.
i
[ ÷2
i÷x
i=i÷1
[:
i
[
if x =(.
1
. .... .
i
. :
i÷1
. .... :
i÷x
).
LEMMA 4.22 For any real number t >0, let
X(t ) ={x ÷ V [ [x[ _t ].
Then
j(X(t )) =2
i
(¬,2)
x
t
n
,nŠ.
PROOF. Since X(t ) is symmetric with respect to the r real axes, we have
j(X(t )) =2
i
j(Y(t ))
where Y(t ) ={x [ [x[ _t , .
1
. .... .
i
_0]. For the complex variables, we make the change
of variable
:
}
=.
}
÷i,
}
=
1
2
j
}
(cos0
}
÷i sin0
}
).
The Jacobian of this change of variables is j
}
,4. After integrating over the 0
}
, for 0 _0
}
_
2¬, we ﬁnd that
j(X(t )) =2
i
4
x
(2¬)
x
_
7
j
i÷1
j
i÷x
J.
1
J.
i
Jj
i÷1
Jj
i÷x
where
7 ={(x. j) ÷ 1
i÷x
[ .
i
. j
i
_0.
.
i
÷
j
i
_t ].
The result now follows from the next lemma by taking: m = r ÷s; a
i
= 0, 1 _ i _ r;
a
i
=1, r ÷1 _i _m; for then
j(X(t )) =2
i
4
x
(2¬)
x
t
n
,nŠ
as required.
2
LEMMA 4.23 For a
i
>0 ÷ 1, let
1(a
1
. .... a
n
. t ) =
_
7(t)
.
o
1
1
.
o
m
n
J.
1
J.
n
.
where 7(t ) ={. ÷ 1
n
[ .
i
_0,
.
i
_t ]. Then
1(a
1
. . . . . a
n
: t ) =t
o
i
÷n
1(a
1
÷1) 1(a
n
÷1)
1(a
1
÷ ÷a
n
÷m÷1)
.
73
4. THE FINITENESS OF THE CLASS NUMBER
PROOF. Recall that, by deﬁnition, (e.g., Widder, D., Advanced Calculus, 1961, Chapter
11),
1(.) =
_
o
0÷
e
t
t
x1
Jt.
It takes the value 1(n) =(n÷1)Š for n a nonnegative integer.
By making the change of variables .
t
i
=t.
i
in 1, we see that
1(a
1
. . . . . a
n
: t ) =t
o
i
÷n
1(a
1
. . . . . a
n
: 1).
Therefore it sufﬁces to prove the formula for t =1. We prove this case by induction on m.
First, we have
1(a
1
: 1) =
_
1
0
.
o
1
1
J.
1
=
1
a
1
÷1
=
1(a
1
÷1)
1(a
1
÷2)
.
Let
7(.
n
)
t
={x ÷ 1
n1
[ .
i
_0.
.
i
_1÷.
n
].
Then
1(a
1
. .... a
n
: 1) =
_
1
0
.
o
m
n
__
7(x
m
)
0
.
o
1
1
.
o
m1
n1
J.
1
J.
n1
_
J.
n
.
=
_
1
0
.
o
m
n
1(a
1
. .... a
n1
: 1÷.
n
)J.
n
=1(a
1
. .... a
n1
: 1)
_
1
0
.
o
m
n
(1÷.
n
)
o
i
÷n1
J.
n
=1(a
1
. .... a
n1
: 1)
1(a
n
÷1)1(a
1
÷ ÷a
n1
÷m)
1(a
1
÷ ÷a
n
÷m÷1)
.
In the last step, we used the standard formula
_
1
0
.
n1
(1÷.)
n1
J. =T(m. n) =
1(m)1(n)
1(m÷n)
.
2
EXAMPLE 4.24 (a) Case r =2, s =0. Then X(t ) is deﬁned by [.[ ÷[,[ _t . It is a square
of side
_
2t , and so j(X(t )) =2t
2
.
(b) Case r =0, s =1. Then X(t ) is the circle of radius t ,2, which has area ¬t
2
,4.
LEMMA 4.25 Let a
1
. . . . . a
n
be positive real numbers. Then
(
a
i
)
1{n
_(
a
i
),n:
equivalently,
a
i
_(
a
i
)
n
,n
n
.
(The geometric mean is less than or equal to the arithmetic mean.)
PROOF. See any good course on advanced calculus.
2
74
Finiteness of the class number
Finiteness of the class number
Let 1 be a number ﬁeld of degree n over ¸. Suppose that 1 has r real embeddings
{o
1
. . . . . o
i
] and 2s complex embedding {o
i÷1
. ¨ o
i÷1
. . . . . o
i÷x
. ¨ o
i÷x
]. Thus n = r ÷2s.
We have an embedding
o: 1 ·÷1
i
×C
x
. ˛ ÷(o
1
˛. . . . . o
i÷x
˛).
We identify V
def
=1
i
×C
x
with 1
n
using the basis {1. i ] for C.
PROPOSITION 4.26 Let a be an ideal in O
1
; then o(a) is a full lattice in V , and the volume
of a fundamental parallelopiped of o(a) is 2
x
Na [z
1
[
1
2
.
PROOF. Let ˛
1
. . . . . ˛
n
be a basis for a as a Zmodule. To prove that o(a) is a lattice
we show that the vectors o(˛
1
). . . . . o(˛
n
) are linearly independent, and we prove this by
showing that the matrix ·, whose i th row is
(o
1
(˛
i
). . . . . o
i
(˛
i
). m(o
i÷1
˛
i
). `(o
i÷1
˛
i
). . . .)
has nonzero determinant.
First consider the matrix T whose i th row is
(o
1
(˛
i
). . . . . o
i
(˛
i
). o
i÷1
(˛
i
). o
i÷1
(˛
i
). . . . . o
i÷x
(˛
i
)).
We saw in (2.26) that det(T)
2
=disc(˛
1
. . . . . ˛
n
) =0.
What is the relation between the determinants of · and T? Add column r ÷2 in T
to column r ÷1, and then subtract 1,2 column r ÷1 from column r ÷2. This gives us
2m(o
i÷1
(˛
i
)) in column r ÷1 and ÷i `(o
i÷1
(˛
i
)) in column r ÷2. Repeat for the other
pairs of columns. These column operations don’t change the determinant of T, and so
det(T) =(÷2i )
x
det(·).
or
det(·) =(÷2i )
x
det(T) =˙(÷2i )
x
disc(˛
1
. . . . . ˛
n
)
1{2
=0.
Thus o(a) is a lattice in V.
Since o(a) =
n
i=1
Zo(˛
i
), the volume of a fundamental parallelopiped D for o(a) is
[ det(·)[, and from (2.25) we know that
[ disc(˛
1
. . . . . ˛
n
)[ =(O
1
: a)
2
[ disc(O
1
,Z)[.
Hence
j(D) =2
x
[ disc(˛
1
. . . . . ˛
n
)[
1
2
=2
x
Na [z
1
[
1
2
.
2
PROPOSITION 4.27 Let a be an ideal in O
1
. Then a contains a nonzero element ˛ of 1
with
[ Nm(˛)[ _T
1
Na =
_
4
¬
_
x
nŠ
n
n
Na[z
1
[
1
2
.
75
4. THE FINITENESS OF THE CLASS NUMBER
PROOF. Let X(t ) be as in (4.22), and let D be a fundamental domain for the lattice o(a).
The set X(t ) is compact convex and symmetric in the origin, and so, when we choose t
so large that j(X(t )) _2
n
j(D), Minkowski’s Theorem shows that X(t ) contains a point
o(˛) =0 of o(a). For this ˛ ÷ a,
[ Nm(˛)[ =[o
1
(˛)[ [o
i
(˛)[[o
i÷1
(˛)[
2
[o
i÷x
(˛)[
2
_(
[o
i
˛[ ÷
2[o
i
˛[)
n
,n
n
(by 4.25)
_t
n
,n
n
.
In order to have j(X(t )) _2
n
j(D), we need
2
i
(¬,2)
x
t
n
,nŠ _2
n
2
x
Na [z
1
[
1
2
.
i.e.,
t
n
_nŠ
2
ni
¬
x
Na [z
1
[
1
2
.
When we take t
n
to equal the expression on the right, we ﬁnd that
[ Nm(˛)[ _
nŠ
n
n
2
ni
¬
x
Na [z
1
[
1
2
.
As n÷r =2s, this is the required formula.
2
PROOF (OF THEOREM 4.3) Let c be a fractional ideal in 1 — we have to show that the
class of c in the ideal class group is represented by an integral ideal a with
Na _T
1
def
=
nŠ
n
n
_
4
¬
_
x
[z
1
[
1
2
.
For some J ÷ 1
×
, Jc
1
is an integral ideal, say (J) c
1
=b. According to the result just
proved, there is a ˇ ÷ b, ˇ =0, with
[ Nm(ˇ)[ _T
1
Nb.
Now ˇO
1
Çb =ˇO
1
=ab with a integral, and a ~b
1
~c. Moreover,
Na Nb =[ Nm
1{¸
ˇ[ _T
1
Nb.
On cancelling Nb, we ﬁnd that Na _T
1
.
2
REMARK 4.28 Proposition 4.27 can be useful in deciding whether an integral ideal is prin
cipal.
Binary quadratic forms
Gauss studied binary quadratic forms, and even deﬁned a product for them. This work
was greatly clariﬁed when Kummer and Dedekind deﬁned ideals, and it was realized that
Gauss’s results were related to the ideal class groups of quadratic number ﬁelds. Here I
brieﬂy explain the connection.
76
Binary quadratic forms
By a binary quadratic form we mean an expression of the form
Q(X. Y ) =aX
2
÷bXY ÷cY
2
.
We call the form integral if Q(m. n) is an integer whenever m and n are integers, or, equiv
alently, if a. b. c ÷ Z. The discriminant of Q is
J
Q
=b
2
÷4ac.
A form is said to be nondegenerate if its discriminant is nonzero. Two integral binary
quadratic forms Q and Q
t
are said to be equivalent if there exists a matrix ·=
_
˛ ˇ
; ı
_
÷
SL
2
(Z) such that
Q
t
(X. Y ) =Q(˛X ÷ˇY. ;X ÷ıY ).
Clearly, equivalent forms have the same discriminant, but there exist inequivalent forms
with the same discriminant. The question considered by Gauss was to try to describe the
set of equivalence classes of forms with a ﬁxed discriminant.
Let J =1 be a squarefree integer, let 1 =¸Œ
_
J, and let J
1
=disc(O
1
,Z). Deﬁne
the norm form q
1
by
q
1
(X. Y ) =Nm
1{¸
(X ÷Y
_
J) =X
2
÷JY
2
. if J ÷2. 3 mod 4
or
q
1
(X. Y ) =Nm
1{¸
(X ÷Y
1÷
_
d
2
) =X
2
÷XY ÷
1d
4
Y
2
. if J ÷1 mod 4.
In both cases q
1
has discriminant J
1
(=4J or J).
In general, if Q is an integral binary quadratic form, then J
Q
= J
1
¡
2
, some integer
¡ , where 1 =¸Œ
_
J
Q
. Moreover, if J
Q
=J
1
, then Q is primitive, i.e., gcd(a. b. c) =1.
Fix a ﬁeld 1 = ¸Œ
_
J and an embedding 1 ·÷C. We choose
_
J to be positive if
J >0, and to have positive imaginary part if J is negative. Set
_
J
1
=2
_
J or
_
J. Write
Gal(1,¸) = {1. o]. If J < 0, deﬁne Cl
÷
(1) = Cl(1) (usual class group of 1) and if
J >0, deﬁne
Cl
÷
(1) =Id(1),P
÷
(1)
where 1
÷
(1) is the group of principal ideals of the form (˛) with ˛ > 0 under every
embedding of 1 into 1.
Let a be a fractional ideal in 1, and let a
1
. a
2
be a basis for a as a Zmodule. From
(2.25) we know that
ˇ
ˇ
ˇ
ˇ
a
1
a
2
oa
1
oa
2
ˇ
ˇ
ˇ
ˇ
2
=J
1
Na
2
.
After possibly reordering the pair a
1
. a
2
we will have
ˇ
ˇ
ˇ
ˇ
a
1
a
2
oa
1
oa
2
ˇ
ˇ
ˇ
ˇ
=
_
J
1
Na.
For such a pair, deﬁne
Q
o
1
,o
2
(X. Y ) =Na
1
Nm
1{¸
(a
1
X ÷a
2
Y ).
This is an integral binary quadratic form with discriminant J
1
.
77
4. THE FINITENESS OF THE CLASS NUMBER
THEOREM 4.29 The equivalence class of Q
o
1
,o
2
(X. Y ) depends only on the image of a in
Cl
÷
(1); moreover, the map sending a to the equivalence class of Q
o
1
,o
2
deﬁnes a bijec
tion from Cl
÷
(1) to the set of equivalence classes of integral binary quadratic forms with
discriminant J
1
.
PROOF. See Fr¨ ohlich and Taylor 1991, VII.2 (and elsewhere).
2
In particular, the set of equivalence classes is ﬁnite, and has the structure of an abelian
group. This was known to Gauss, even though groups had not yet been deﬁned. (Gauss
even knew it was a direct sum of cyclic groups.)
ASIDE 4.30 Write h
d
for the class number of ¸Œ
_
J, J a squarefree integer = 1. In modern
terminology, Gauss conjectured that, for a ﬁxed h, there are only ﬁnitely many negative J such that
h
d
=h. (Actually, because of a difference of terminology, this is not quite what Gauss conjectured.)
In 1935, Siegel showed that, for every c >0, there exists a constant c >0 such that
h
d
>c[J[
1
2
t
. J < 0.
This proves Gauss’s conjecture. Unfortunately, the c in Siegel’s theorem is not effectively com
putable, and so Siegel’s theorem gives no way of computing the Js for a given h.
In 1951, Tatuzawa showed that Siegel’s theorem is true with an effectively computable c except
for at most one exceptional J.
It is easy to show that h
d
= 1 for ÷J = 1. 2. 3. 7. 11. 19. 43. 67. 163 (exercise!). Thus in 1951
it was known that there exist these 9 quadratic imaginary number ﬁelds with class number 1, and
possibly 1 more.
In 1952 Heegner proved that there was no 10th such ﬁeld, but his proof was not recognized to
be correct until 1969 (by Deuring and Stark). In the interim, Baker (1966), Stark (1966), and Siegel
(1968) had found proofs.
More recently (1983), Goldfeld, Gross, and Zagier showed, using completely different methods
from Siegel, that there is an effective procedure for ﬁnding all J <0 with h
d
equal to a given h. For
an expository article on this, see Goldfeld, Bull. Amer. Math. Soc. 13 (1985), 23–37.
By way of contrast, it is conjectured that there are inﬁnitely many real quadratic ﬁelds with class
number 1, but this has not been proved.
NOTES Fermat stated, and probably proved, the three statements in Exercise 33. However, for 5
he could only state the following conjecture:
If two primes are of the form 20k ÷3 or 20k ÷7, then their product is of the form
.
2
÷5,
2
.
The fact that this statement is more complicated than it is for 1, 2, or 3 was the ﬁrst indication that
the arithmetic of the ring of integers in ¸Œ
_
÷5 is more complicated than it is in the ﬁelds with
smaller discriminant. Lagrange found an explanation for Fermat’s statements by showing that all
binary quadratic forms of discriminant ÷4 are equivalent, and similarly for discriminants ÷8 and
÷12, but that the forms of discriminant ÷20 fall into two equivalence classes. Dedekind was able to
interprete this as showing that ¸Œ
_
÷5 has class number 2.
Exercises
41 Give an example of an integral domain T, a nonzero prime ideal p in T, and a subring
· of T such that p¨· =0. (Note that this can’t happen if T is integral over · — see the
paragraph preceding 3.30.)
78
Exercises
42 Let J Ç1 Ç1 be a sequence of number ﬁelds, and let · ÇT ÇC be their rings of
integers. If Q[P and P[p (prime ideals in C, T, and · respectively), show that
e(Q,P) e(P,p) =e(Q,p). ¡(Q,P) ¡(P,p) =¡(Q,p).
43 Let 1 =¸Œ˛ where ˛ is a root of X
3
÷X ÷1 (see 2.37). According to (3.34), what
are the possible ways that (¸) can factor in O
1
as a product of prime ideals. Which of these
possibilities actually occur? (Illustrate by examples.)
44 Show that ¸Œ
_
÷23 has class number 3, and that ¸Œ
_
÷47 has class number 5.
45 Let 1 be an algebraic number ﬁeld. Prove that there is a ﬁnite extension 1 of 1
such that every ideal in O
1
becomes principal in O
1
. [Hint: Use the ﬁniteness of the class
number.]
46 Let 1 = ¸Œ˛ where ˛ is a root of X
3
÷X ÷2. Show that O
1
= ZŒ˛ and that 1
has class number 1. [One approach is to consider the square factors of the discriminant of
X
3
÷X ÷2, and show that
1
2
(a÷b˛ ÷c˛
2
) is an algebraic integer if and only if a, b, and
c are all even, but you may be able to ﬁnd a better one.]
47 Let 1 =¸Œ
_
÷1.
_
5. Show that O
1
=ZŒ
_
÷1.
1÷
_
5
2
. Show that the only primes
(in Z) that ramify in 1 are 2 and 5, and that their ramiﬁcation indexes are both 2. Deduce
that 1 is unramiﬁed over ¸Œ
_
÷5. Prove that ¸Œ
_
÷5 has class number 2, and deduce
that 1 is the Hilbert class ﬁeld of ¸Œ
_
÷5. (Cf. 4.11.)
79
CHAPTER 5
The Unit Theorem
In this section we prove the second main theorem of the course.
Statement of the theorem
Recall that a ﬁnitely generated abelian group ·is isomorphic to ·
tors
˚Z
t
for some t where
·
tors
is the (ﬁnite) subgroup of torsion elements of · (i.e., of elements of ﬁnite order). The
number t is uniquely determined by ·, and is called the rank of ·.
As before, we write r for the number of real embeddings of a number ﬁeld 1 and 2s
for the number of nonreal complex embeddings. Thus
1˝
¸
1 ~1
i
×C
x
and r ÷2s =Œ1: ¸. Moreover, if 1 =¸Œ˛, then r is the number of real conjugates of ˛
and 2s is the number of nonreal complex conjugates.
THEOREM 5.1 The group of units in a number ﬁeld 1 is ﬁnitely generated with rank equal
to r ÷s ÷1.
For example, for a real quadratic ﬁeld, the rank is 2÷0÷1 =1, and for an imaginary
quadratic ﬁeld it is 0÷1÷1 =0.
The theorem is usually referred to as the “Dirichlet Unit Theorem” although Dirichlet
proved it for rings of the form ZŒ˛ rather than O
1
.
Write U
1
(=O
×
1
) for the group of units in 1. The torsion subgroup of U
1
is the group
j(1) of roots of 1 in 1.
A set of units u
1
. . . . . u
i÷x1
is called a fundamental system of units if it forms a basis
for U
1
modulo torsion, i.e., if every unit u can be written uniquely in the form
u =¸u
n
1
1
u
n
rCs1
i÷x1
. ¸ ÷ j(1). m
i
÷ Z.
The theorem implies that j(1) is ﬁnite (and hence cyclic). As we now explain, this
can be proved directly. In Chapter 7, we shall see that, if ¸
n
is a primitive mth root of
1, then ¸Œ¸ is a Galois extension of ¸ with Galois group isomorphic to (Z,mZ)
×
. If
m=
¸
i
i
i
is the factorization of minto powers of distinct primes, then Z,mZ.
Z,¸
i
i
i
Z
by the Chinese remainder theorem, and so (Z,mZ)
×
.
_
Z,¸
i
i
i
Z
_
×
. As the nonunits of
80
Statement of the theorem
Z,¸
i
i
i
Z are exactly the elements divisible by ¸, and there are ¸
i
i
1
i
of these, we see that
ˇ
ˇ
(Z,¸
i
i
i
Z)
×
ˇ
ˇ
=¸
i
i
1
i
(¸
i
÷1), and so
ˇ
ˇ
(Z,mZ)
×
ˇ
ˇ
=
¸
i
i
1
i
(¸
i
÷1)
def
=ç(m).
Since
¸
n
÷ 1 =¸Œ¸
n
 Ç1 =ç(m)[Œ1 : ¸.
the ﬁeld 1 can contain only ﬁnitely many ¸
n
.
LEMMA 5.2 An element ˛ ÷ 1 is a unit if and only if ˛ ÷ O
1
and Nm
1{¸
˛ =˙1.
PROOF. If ˛ is a unit, then there is a ˇ ÷O
1
such that ˛ˇ =1, and then Nm(˛) and Nm(ˇ)
lie in Z and 1 =Nm(˛ˇ) =Nm(˛) Nm(ˇ). Hence Nm˛ ÷ Z
×
={˙1].
For the converse, ﬁx an embedding o
0
of 1 into C, and use it to identify 1 with a
subﬁeld of C. Recall (2.20) that
Nm(˛) =
c:1·C
o˛ =˛
cyc
0
o˛.
Let ˇ =
cyc
0
o˛. If ˛ ÷ O
1
, then ˇ is an algebraic integer. If Nm(˛) = ˙1, then
ˇ =˙˛
1
and so belongs to 1. Therefore, if ˛ satisﬁes both conditions, it has an inverse
˙ˇ in O
1
, and so is a unit.
2
For all real ﬁelds, i.e., ﬁelds with an embedding into 1, j(1) = {˙1]; for “most”
nonreal ﬁelds, this is also true.
EXAMPLE 5.3 Let 1 be a quadratic ﬁeld ¸Œ
_
J. Then O
1
={m÷n
_
J [ m. n ÷ Z] or
{m÷n(1 ÷
_
J),2 [ m. n ÷ Z]. In the two cases, the units in O
1
are the solutions to the
equations
m
2
÷n
2
J =˙1, or
(2m÷n)
2
÷Jn
2
=˙4.
When J < 0, these equations (obviously) have only ﬁnitely many solutions, and so U
1
=
j(1). Note that ¸
n
lies in a quadratic ﬁeld if and only if ç(m) _2. This happens only for
m dividing 4 or 6. Thus j(1) ={˙1] except for the following ﬁelds:
¸Œi , j(1) ={˙1. ˙i ];
¸Œ
_
÷3, j(1) ={˙1. ˙j. ˙j
2
], with j =(1÷
_
÷3),2).
When J >0, the theoremshows that there are inﬁnitely many solutions, and that U
1
=˙u
Z
for some element u (called the fundamental unit). As Cohn (1978
1
) puts it, “the actual
computation of quadratic units lies in the realm of popularized elementary number theory,
including devices such as continued fractions.” The method is surprisingly effective, and
yields some remarkably large numbers — see later.
1
Cohn, Harvey. A classical invitation to algebraic numbers and class ﬁelds. With two appendices by Olga
Taussky: ”Artin’s 1932 G¨ ottingen lectures on class ﬁeld theory” and ”Connections between algebraic number
theory and integral matrices”. Universitext. SpringerVerlag, New YorkHeidelberg, 1978. xiii+328 pp.
81
5. THE UNIT THEOREM
EXAMPLE 5.4 Let 1 = ¸Œ˛, where ˛ is a root of X
3
÷10X ÷1. We know that the
discriminant z
1
= ÷4027. Since sign(z
1
) = (÷1)
x
and r ÷2s = 3, we must have r =
1 =s. From its minimum equation, we see that Nm(˛) =÷1, and so ˛ is a unit. Clearly
˛ is of inﬁnite order, and later we shall show that it is a fundamental unit, and so U
1
=
{˙˛
n
[ m÷ Z].
Proof that U
1
is ﬁnitely generated
We ﬁrst need an elementary result.
PROPOSITION 5.5 For any integers m and M, the set of all algebraic integers ˛ such that
˘ the degree of ˛ is _m, and
˘ [˛
t
[ <M for all conjugates ˛
t
of ˛
is ﬁnite.
PROOF. The ﬁrst condition says that ˛ is a root of a monic irreducible polynomial of degree
_ m, and the second condition implies that the coefﬁcients of the polynomial are bounded
in terms of M. Since the coefﬁcients are integers, there are only ﬁnitely many such poly
nomials, and hence only ﬁnitely many ˛s.
2
COROLLARY 5.6 An algebraic integer ˛, all of whose conjugates in C have absolute value
1, is a root of 1.
PROOF. According to the proposition, the set {1. ˛. ˛
2
. . . .] is ﬁnite.
2
REMARK 5.7 It is essential to require ˛ to be an algebraic integer. For example, ˛ =
(3 ÷4i ),5 and its conjugate both have absolute value 1, as do their powers, but the set
{1. ˛. ˛
2
. . . .] is not ﬁnite.
Recall that we previously considered the map
o: 1 ÷1
i
×C
x
. ˛ ÷(o
1
˛. . . . . o
i
˛. o
i÷1
˛. . . . . o
i÷x
˛)
where {o
1
. . . . . o
i
. o
i÷1
. ¨ o
i÷1
. . . . . o
i÷x
. ¨ o
i÷x
] is the complete set of embeddings of 1 into
C. It takes sums to sums. Now we want a map that takes products to sums, and so we take
logarithms. Thus we consider the map:
1 : 1
×
÷1
i÷x
. ˛ ÷(log[o
1
˛[. . . . . log[o
i
˛[. 2log[o
i÷1
˛[. . . . . 2log[o
i÷x
˛[).
It is a homomorphism. If u is a unit in O
1
, then Nm
1{¸
u =˙1, and so
[o
1
u[ [o
i
u[[o
i÷1
u[
2
[o
i÷x
u[
2
=1.
On taking logs, we see that 1(u) is contained in the hyperplane
H : .
1
÷ ÷.
i
÷2.
i÷1
÷ ÷2.
i÷x
=0.
Dropping the last coordinate deﬁnes an isomorphism H ~1
i÷x1
.
82
Computation of the rank
PROPOSITION 5.8 The image of 1: U ÷H is a lattice in H, and the kernel of 1 is a ﬁnite
group (hence is j(1)).
PROOF. Let C be a bounded subset of H containing 0, say
C Ç{x ÷ H [ [.
i
[ _M].
If 1(u) ÷ C, then [o
}
u[ _ e
Æ
for all ¸ , and Proposition 5.5 implies that there are only
ﬁnitely many such us. Thus 1(U) ¨C is ﬁnite, and this implies that 1(U) is a lattice in H
(by 4.15). If ˛ is in the kernel of 1, then [o
i
˛[ =1 for all i , and so the kernel is ﬁnite by
Proposition 5.5.
2
Since the kernel of 1 is ﬁnite, we have
rank(U) =rank(1(U)) _dimH =r ÷s ÷1.
Computation of the rank
We now prove the unit theorem.
THEOREM 5.9 The image 1(U) of U in H is a full lattice; thus U has rank r ÷s ÷1.
PROOF. To prove the theorem, we have to ﬁnd a way to construct units. We work again
with the embedding
o: 1 ·÷1
i
×C
x
~1
i÷2x
.
For x =(.
1
. .... .
i
. .
i÷1
. ...) ÷ 1
i
×C
x
, deﬁne
Nm(x) =.
1
.
i
.
i÷1
¨ .
i÷1
.
i÷x
¨ .
i÷x
.
Then Nm(o(˛)) =Nm(˛). Note that [ Nm(x)[ =[.
1
[ [.
i
[[.
i÷1
[
2
[.
i÷x
[
2
.
Recall from (4.26), that o(O
1
) is a full lattice in 1
i
×C
x
, and the volume of its funda
mental parallelopiped is 2
x
[z[
1
2
; in more detail, if ˛
1
. . . . . ˛
n
is a Zbasis for O
1
, then
we showed that the absolute value of the determinant of the matrix whose i th row is
o(˛
i
) =(o
1
(˛
i
). . . . . m(o
i÷1
(˛
i
)). `(o
i÷1
(˛
i
)). . . .)
is 2
x
[z[
1
2
. In fact, we showed that we could get this matrix from the matrix whose i th
row is
(o
1
(˛
i
). . . . . o
i÷1
(˛
i
). ¨ o
i÷1
(˛
i
). . . .)
by some elementary column operations that multiplied the absolute value of the determinant
by 2
x
, and we know that the determinant of the second matrix is ˙[z[
1
2
.
In the rest of the proof, x will be a point of 1
i
×C
x
with
1,2 _[ Nm(x)[ _1.
Deﬁne
x o(O
1
) ={x o(˛) [ ˛ ÷ O
1
].
83
5. THE UNIT THEOREM
Since 1
i
×C
x
is a ring, this product makes sense. This is again a lattice in 1
i
×C
x
, and the
volume of its fundamental parallelopiped is the determinant of the matrix whose i th row is
(.
1
o
1
(˛
i
). . . . . m(.
i÷1
o
i÷1
(˛
i
)). `(.
i÷1
o
i÷1
(˛
i
)). . . .).
As before, the absolute value of the determinant of this matrix is 2
x
times the absolute
value of the determinant of the matrix whose i th row is
(.
1
o
1
(˛
i
). . . . . .
i÷1
o
i÷1
(˛
i
). ¨ .
i÷1
¨ o
i÷1
(˛
i
). . . .).
which is
[z[
1
2
[ Nm(x)[.
Therefore x o(O
1
) is a lattice with 2
x
[z[
1
2
[ Nm(x)[ as the volume of its fundamental
domain. Note that as x ranges over our set these volumes remain bounded.
Let T be a compact convex subset of 1
i
×C
x
, which is symmetric in the origin, and
whose volume is so large that, for every x in the above set, Minkowski’s theorem (4.19)
implies there is a point ; of O
1
, ; = 0, such that x o(;) ÷ T . The points of T have
bounded coordinates, and hence bounded norms, and so
x o(;) ÷ T =[ Nm(x o(;))[ _M.
for some M (depending on T ); thus
[ Nm(;)[ _M,Nm(x) _2M.
Consider the set of ideals ; O
1
, where ; runs through the ;’s in O
1
for which x o(;) ÷T
for some x in our set. The normNof such an ideal is _2M, and so there can only be ﬁnitely
many such ideals, say ;
1
O
1
. . . . . ;
t
O
1
. Now if ; is any element of O
1
with x o(;) ÷T ,
some x, then ; O
1
=;
i
O
1
for some i , and so there exists a unit c such that ; =;
i
c.
Then x o(c) ÷ o(;
1
i
) T . The set T
t
=o(;
1
1
) T L... Lo(;
1
t
) T is bounded, and so
we have shown that, for each x in our set there exists a unit c such that the coordinates of
x o(c) are bounded uniformly in x (the set T
t
doesn’t depend on x).
We are now ready to prove that 1(U) is a full lattice in H. If r ÷s ÷1 = 0, there is
nothing to prove, and so we assume r ÷s ÷1 _1.
For each i , 1 _ i _ r ÷s, we choose an x in our set such that all the coordinates of x
except .
i
are very large (compared with T
t
), and .
i
is sufﬁciently small that [ Nmx[ =1.
We know that there exists a unit c
i
such that x o(c
i
) has bounded coordinates, and we
deduce that [o
}
c
i
[ <1 for ¸ =i , and hence that log[o
}
c
i
[ <0.
I claim that 1(c
1
). .... 1(c
i÷x1
) are linearly independent vectors in the lattice 1(U).
For this we have to prove that the matrix whose i th row is
(l
1
(c
i
). .... l
i÷x1
(c
i
)). l
i
(c) =log[o
i
c[.
is invertible. The elements of the matrix except those on the diagonal are negative, but the
sum
l
1
(c
i
) ÷ ÷l
i÷x1
(c
i
) ÷l
i÷x
(c
i
) =0.
and so the sum of the terms in the i th row
l
1
(c
i
) ÷ ÷l
i÷x1
(c
i
) =÷l
i÷x
(c
i
) >0.
The next lemma implies that the matrix is invertible, and so completes the proof of Theorem
5.9.
2
84
Sunits
LEMMA 5.10 Let (a
i}
) be a real m×m matrix such that
˘ a
i}
<0 for i =¸ :
˘
}
a
i}
>0 for i =1. 2. .... m.
Then (a
i}
) is invertible.
PROOF. If it isn’t, then the system of equations
a
i}
.
}
=0 i =1. . . . . m
has a nontrivial solution. Write .
1
. .... .
n
for such a solution, and suppose i
0
is such that
[.
i
0
[ =max{[.
}
[]. We can scale the solution so that .
i
0
=1. Then [.
}
[ _1 for ¸ =i
0
, and
the i
0
th equation gives a contradiction:
0 =
}
a
i
0
}
.
}
=a
i
0
i
0
÷
}yi
0
a
i
0
}
.
}
_a
i
0
i
0
÷
}yi
0
a
i
0
}
>0.
2
Sunits
Let S be a ﬁnite set of prime ideals of 1, and deﬁne the ring of Sintegers to be
O
1
(S) =
_
p…S
O
p
={˛ ÷ 1 [ ord
p
(˛) _0, all p … S].
For example, if S =0, then O
1
(S) =O
1
.
Deﬁne the group of Sunits, to be
U(S) =O
1
(S)
×
={˛ ÷ 1 [ ord
p
(˛) =0, all p … S].
Clearly, the torsion subgroup of U(S) is again j(1).
THEOREM 5.11 The group of Sunits is ﬁnitely generated with rank r ÷s ÷#S ÷1.
PROOF. Let p
1
. p
2
. . . . . p
t
be the elements of S. The homomorphism
u ÷(. . . . ord
p
i
(u). . . .): U(S) ÷Z
t
has kernel U. To complete the proof, it sufﬁces to show that the image of U(S) in Z
t
has
rank t . Let h be the class number of 1. Then p
h
i
is principal, say p
h
i
=(¬
i
), and ¬
i
is an
Sunit with image
(0. . . . . h. . . . . 0) (h in the i t h position).
Clearly these elements generate a subgroup of rank t .
2
For example, if 1 =¸ and S ={(2), (3), (5)] then
U(S) ={˙2
k
3
n
5
n
[ k. m. n ÷ Z].
and the statement is obvious in this case.
85
5. THE UNIT THEOREM
Example: CM ﬁelds
Anumber ﬁeld is totally real if all of its embeddings in Clie in 1, and it is totally imaginary
if none of its embeddings in C lie in 1. For example, 1 =¸Œ˛ .¸ŒX,(¡ ) is totally real
if all the roots of ¡ are real, and it is totally imaginary if none of the roots of ¡ are real.
A CM ﬁeld is a totally imaginary quadratic extension of a totally real ﬁeld. Every such
ﬁeld can be obtained from a totally real ﬁeld by adjoining the square root of an element all
of whose real conjugates are negative.
Let 1 be a CM ﬁeld, which is a quadratic extension of the totally real ﬁeld 1
÷
, and let
2n =Œ1 : ¸. Then 1 has 2n complex embeddings and 1
÷
has n real embeddings, and so
rank(U
1
) =n÷1 =rank(U
1
C).
Therefore, U
1
C has ﬁnite index in U
1
. In fact, it is possible to prove more.
PROPOSITION 5.12 The index of j(1) U
1
C in U
1
is either 1 or 2.
PROOF. Let a ÷ ¨ a be the nontrivial automorphism of 1 ﬁxing 1
÷
. Then j( ¨ a) = j(a)
for all homomorphisms j: 1 ÷C. In particular, for any a ÷ U
1
, all conjugates of a,¨ a
in C have absolute value 1, and so a,¨ a ÷ j(1) (by 5.6). Consider the map ç: U
1
÷
j(1),j(1)
2
determined by a ÷a,¨ a. Clearly ç is a homomorphism. Suppose u lies in its
kernel, so that u, ¨ u =¸
2
for some ¸ ÷ j(1). Then u
¨
¸, ¨ u¸ =1, and so u
¨
¸ ÷ 1
÷
. It follows
that u ÷ j(1) U
1
C. Conversely, if u = ¸ u
÷
÷ j(1) U
1
C, then u, ¨ u = ¸
2
÷ Ker(ç).
We have shown that Ker(ç) =j(1) U
1
C. As j(1),j(1)
2
has order 2, this completes
the proof.
2
Example: real quadratic ﬁelds
An expression
a
0
÷
1
a
1
÷
1
a
2
÷
1
a
3
÷
is called a continued fraction. We abbreviate the expression on the right as
Œa
0
. a
1
. a
2
. . . ..
We shall always assume that the a
i
are integers with a
1
>0, a
2
>0. . . .. The integers a
i
are
called the quotients, and Œa
0
. a
1
. .... a
n
 is called the nth convergent. Every irrational num
ber ˛ can be expressed in just one way as an inﬁnite continued fraction, and the continued
fraction is periodic if and only if ˛ has degree 2 over ¸. (See any book on elementary num
ber theory, for example, Hardy, G. H., and Wright, E. M., An Introduction to the Theory of
Numbers, Oxford Univ. Press, 1960 (4th edition), Chapter X.)
Now let J be a squarefree positive integer, and let c be the (unique) fundamental unit
for ¸Œ
_
J with c > 1. Let s be the period of the continued fraction for
_
J and let ¸,q be
the (s ÷1)th convergent of it; then
c =¸÷q
_
J if J ÷2. 3 mod 4, or J ÷1 mod 8.
86
Example: cubic ﬁelds with negative discriminant
and
c =¸÷q
_
J or c
3
=¸÷q
_
J otherwise.
Using a computer algebra program, it is very easy to carry this out, and one obtains some
spectacularly large numbers.
For example, to ﬁnd the fundamental unit in ¸Œ
_
94, ﬁrst compute
_
94 =9. 6954. . ..
Then compute the continued fraction of
_
94. One gets
{9. 1. 2. 3. 1. 1. 5. 1. 8. 1. 5. 1. 1. 3. 2. 1. 18. 1. 2. 3. . . .].
This suggests the period is 16. Now evaluate the 15th convergent. One gets
2143295
221064
.
Hence the fundamental unit >1 is
c =2143295÷221064
_
94.
Compute that
(2143295)
2
÷(221064)
2
94 =1.
which veriﬁes that c is a unit.
When one carries out this procedure for ¸Œ
_
9199, the ﬁrst coefﬁcient of the funda
mental unit has 88 digits! The computer has no problem ﬁnding the fundamental unit —
the only problem is counting the length of the period, which is about 180.
Example: cubic ﬁelds with negative discriminant
Since the sign of the discriminant is (÷1)
x
(see 2.40), a cubic ﬁeld 1 will have negative
discriminant if and only if r =1 =s. We identify 1 with a subﬁeld of 1 using its unique
real embedding. We have z < 0, and the group of units is {˙c
n
] for some c (fundamental
unit). We want to ﬁnd c. Since ÷c, ÷c
1
, and c
1
are also fundamental units, we may
suppose that c >1.
LEMMA 5.13 Let 1 be a cubic extension of ¸ with negative discriminant, and let c be the
fundamental unit with c >1. Then
[z
1
[ <4c
3
÷24.
PROOF. Since c … ¸, it must generate 1. The two conjugates of c (other than c itself) must
be complex conjugates, and so the product of c with its conjugates must be ÷1 (rather than
÷1). Write c =u
2
, u ÷ 1, u >1. Then the remaining conjugates of c can be written
u
1
e
i0
. u
1
e
i0
(0 _0 _¬).
Let z
t
=D(1. c. c
2
) be the discriminant of the minimum equation of c. Then
z
t
1
2
=(u
2
÷u
1
e
i0
)(u
2
÷u
1
e
i0
)(u
1
e
i0
÷u
1
e
i0
) =2i(u
3
÷u
3
÷2cos0)sin0.
If we set 2¸ =u
3
÷u
3
, then
[z
t
[
1
2
=4(¸ ÷cos0)sin0.
87
5. THE UNIT THEOREM
which, for a given u, has a maximum where
¸ cos0 ÷cos
2
0 ÷sin
2
0 =0.
or
÷g(.)
def
=¸. ÷2.
2
÷1 =0. [.[ _1. . =cos0.
We seek a root of g(.) with [.[ < 1. But g(1) = 1 ÷¸ < 0 (because u > 1 implies ¸ =
u
3
u
3
2
>1), and g(÷
1
2u
3
) =
3
4
(u
6
÷1) <0. Since g(.) =2.
2
÷ , it follows g(.) has
one root >1, and that the desired root .
0
, with [.
0
[ _1, is <÷
1
2u
3
. But then
.
2
0
>
1
4u
6
=u
6
÷4.
2
0
<0 =u
6
÷4.
2
0
÷4.
4
0
<0. (13)
This maximum yields
[z
t
[ _16(¸
2
÷2¸.
0
÷.
2
0
)(1÷.
2
0
).
and, on applying the conditions ¸.
0
=2.
2
0
÷1, ¸
2
.
2
0
=4.
4
0
÷4.
2
0
÷1, and the inequality
(13) we ﬁnd that
[z
t
[ _16(¸
2
÷1÷.
2
0
÷.
4
0
) =4u
6
÷24÷4(u
6
÷4.
2
0
÷4.
4
0
) <4u
6
÷24.
Hence
[z
t
[ <4c
3
÷24.
Since z
t
=z
1
(square of an integer), this completes the proof.
2
EXAMPLE 5.14 Let 1 =¸Œ˛ where ˛ is a real root of X
3
÷10X ÷1. Here the discrim
inant is ÷4027, and so c >
3
_
402T24
4
> 10 for c the fundamental unit with c > 1. Note
that Nm(˛) =÷1, and so ˛ is a unit. Moreover, ˛ =÷0.0999003... and so ˇ =÷˛
1
=
10.00998.... Since ˇ is a power of c, we must have ˇ = c; i.e., ÷˛
1
is the fundamental
unit >1. Thus
U
1
={˙˛
n
[ m÷ Z].
Once one knows c, it becomes easier to compute the class group. We know (see 3.48)
that there is a prime ideal p =(2. 1 ÷˛) such that N(p) =2. One shows that p generates
the class group, and it then remains to ﬁnd the order of p. One veriﬁes that p
6
is the ideal
generated by
(˛1)
3
˛÷2
, and so it remains to show that p
2
and p
3
are nonprincipal.
Suppose p
3
=(;). Then ;
2
=˙˛
n
(˛1)
3
˛÷2
for some m and choice of signs. But this
says that at least one of the numbers
˛1
˛÷2
, ÷
˛1
˛÷2
, ˛
˛1
˛÷2
, ÷˛
˛1
˛÷2
is a square. Let ˇ be that
number. If q is a prime ideal such that ˇ ÷ O
q
(i.e., such that ord
q
(ˇ) _ 0), then we can
look at ˇ mod q and ask if it is a square.
We ﬁrst work modulo 29. We have
X
3
÷10X ÷1 ÷(X ÷5)(X ÷3)(X ÷2) mod 29.
Take q to be the ideal (29. ˛ ÷2). The residue ﬁeld O
1
,q is F
29
=Z,(29), and the map
ZŒ˛ ÷F
29
is ˛ ÷2 (mod 29). Thus
˛ ÷1 ÷1. ˛ ÷2 ÷4. (˛ ÷2)
1
÷22. ÷1 ÷÷1.
88
Finding j(1)
The numbers 1, 4, and ÷1 ÷12
2
are squares modulo 29, but 2 is not; hence m must be 0.
Since
˛1
˛÷2
<0 it can’t be a square in 1 (since it isn’t even in 1), and so the only possibility
for ˇ is ÷
˛1
˛÷2
. We eliminate this by looking mod 7.
Take q =(7. ˛ ÷3) (see 3.48). Then in the map ZŒ˛ ÷ZŒ˛,q =F
T
.
˛ ÷÷3 =4. ÷
˛ ÷1
˛ ÷2
÷
÷3
6
÷÷
1
2
÷÷4 ÷3 mod 7.
and 3 is not a square modulo 7. Thus ÷
˛1
˛÷2
is not a square in ¸Œ˛.
Similarly, p
2
=(;) can be shown to be impossible. Thus Cl(O
1
) is a cyclic group of
order 6.
Finding j(1)
As we noted eariler, if ¸Œ¸
n
 Ç1, where ¸
n
is a primitive mth root of 1, then ç(m)[Œ1: ¸.
Thus there are only ﬁnitely many possibilities for m. For each of them, use the test in the
later section on algorithms to determine whether the minimum polynomial ˚
n
for ¸
n
has
a root in 1.
Finding a system of fundamental units
One strategy for ﬁnding units in the general case seems to be to ﬁnd lots of solutions to
equations Nm(˛) = m for m a ﬁxed small number, and then take quotients of solutions.
Note that there can be only ﬁnitely many ideals a with N(a) =m; thus if we have lots of
elements ˛
i
with Nm(˛
i
) =m, then frequently ˛
i
O
1
=˛
}
O
1
, and this implies that ˛
i
and ˛
}
differ by a unit — note that this was the strategy used to prove the unit theorem. See
Pohst and Zassenhaus 1989, Chapter 5.
Regulators
There is one other important invariant that we should deﬁne. Let t = r ÷s ÷1, and let
u
1
. .... u
t
be a system of fundamental units. Then the vectors
1(u
i
)
df
=(log[o
1
u
i
[. .... log[o
i
u
i
[. 2 log[o
i÷1
u
i
[. . . . . 2log[o
t
u
i
[) ÷ 1
t
generate the lattice 1(U) in 1
t
. The regulator is deﬁned to be determinant of the matrix
whose i th row is 1(u
i
). Thus, up to sign, the regulator is the volume of a fundamental
domain for 1(U) (regarded as a full lattice in 1
t
).
2
The regulator plays the same role for the group of units (mod torsion) that the dis
criminant plays for O
1
. One can similarly deﬁne the regulator of any set {c
1
. .... c
t
] of
independent units, and the index of the group generated by the c
i
and j(1) in the full
group of units is measured by ratio
[Reg(c
1
. . . . . c
t
)[,[Reg(U)[.
2
Kwangho Choiy writes: in the deﬁnition of regulators, I think that 1(u
i
) may have to be more precise,
i.e., we can make sure about the index of o. But the deﬁnition in the notes is still correct.
89
5. THE UNIT THEOREM
There are lower bounds for the regulator (see Pohst and Zassenhaus 1989, p 365) similar
to the one we proved for a cubic ﬁeld with one real embedding.
For an algorithm that computes the class group, regulator, and fundamental units of a
general number ﬁeld, but which requires the generalized Riemann hypothesis to prove its
correctness, see Cohen 1993, Algorithm 6.5.9.
NOTES To ﬁnd the units in ¸Œ
_
J, J >0, one has to solve certain diophantine equations (see 5.3),
whose study has a long history. Theorem 5.1 was proved by Dirichlet (1840, 1846)
3
only for rings
of the form ZŒ˛ because, at the time, a deﬁnition of O
1
was lacking. However, his proof extends
easily to O
1
(and to O
1
(S)).
Exercises
51 Fix an m and and M. Is it necessarily true that the set of algebraic integers ˛ in C of
degree <m and with [˛[ <M is ﬁnite? [Either prove, or give a counterexample.]
52 Find a fundamental unit for the ﬁeld ¸Œ
_
67.
53 Let ˛ be an element of a number ﬁeld 1. Does Nm
1{¸
(˛) =˙1 imply that ˛ is unit
in O
1
. [Either prove, or give a counterexample.]
3
Dirichlet, P. G. Lejeune, Sur la th´ eorie des nombres, C. R. Acad. Sci. Paris 10 (1840), 285–288. Dirichlet,
P. G. Lejeune, Zur Theorie der complexen Einheiten. Verhandl. Preuss. Akad. Wiss. (1846), 103–107.
90
CHAPTER 6
Cyclotomic Extensions; Fermat’s
Last Theorem.
The cyclotomic
1
extensions of ¸ are those generated by a root of 1. They provide interest
ing examples of the theory we have developed, but, more signiﬁcantly, they have important
applications, for example, to Fermat’s last theorem and to the existence of reciprocity laws
(more generally, to class ﬁeld theory itself).
The basic results
An element ¸ of a ﬁeld 1 is said to be a primitive nth root of 1 if ¸
n
=1 but ¸
d
=1 for any
J <n, i.e., if ¸ is an element of order n in 1
×
. For example, the nth roots of 1 in C are the
numbers e
2tin{n
, 0 _ m _ n÷1, and the next lemma shows that e
2tin{n
is a primitive
nth root of 1 if and only if m is relatively prime to n.
LEMMA 6.1 Let ¸ be a primitive nth root of 1. Then ¸
n
is again a primitive nth root of 1
if and only if m is relatively prime to n.
PROOF. This is a consequence of a more general fact: if ˛ is an element of order n in a
group, then ˛
n
is also of order n if and only if m is relatively prime to n. Here is the proof.
If J[m. n, then (˛
n
)
n
d
=˛
n
m
d
=1. Conversely, if m and n are relatively prime, then there
are integers a and b such that
am÷bn =1.
Now ˛
on
=˛ and so (˛
n
)
d
=1 =˛
d
=(˛
on
)
d
=1 =n[J.
2
Let 1 = ¸Œ¸, where ¸ is a primitive nth root of 1. Then 1 is the splitting ﬁeld of
X
n
÷1, and so it is Galois over ¸. Let G =Gal(¸Œ¸,¸). It permutes the set of primitive
nth roots of 1 in 1, and so, for any o ÷ G, o¸ =¸
n
for some integer m relatively prime to
n; moreover, m is welldeﬁned modulo n. The map o ÷Œm is an injective homomorphism
G ÷ (Z,nZ)
×
. In FT, 5.9, 5.10, it is proved that this map is an isomorphism, and so
Œ1 : ¸ = ç(n)
def
= #(Z,nZ)
×
. We shall give another proof, and at the same time obtain
many results concerning the arithmetic of ¸Œ¸.
1
The name cyclotomic (circledividing) derives from the fact that the nth roots of 1 are space evenly around
the unit circle.
91
6. CYCLOTOMIC EXTENSIONS; FERMAT’S LAST THEOREM.
The cyclotomic polynomial ˚
n
is deﬁned to be,
˚
n
(X) =
(X ÷¸
n
)
where the product runs over a set of representatives m for the elements of (Z,nZ)
×
, for
example, over the integers m, 0 _m_n÷1, relatively prime to n. Equivalently,
˚
n
(X) =
(X ÷¸
t
)
where ¸
t
runs over the primitive nth roots of 1. Because G permutes the ¸
t
, ˚
n
(X) ÷ ¸ŒX,
and clearly ˚
n
(¸) =0. Therefore, ˚
n
(X) is the minimum polynomial of ¸ if and only if it
is irreducible, in which case Œ1 : ¸ =ç(n) and the map G ÷(Z,nZ)
×
is an isomorphism.
Hence the following statements are equivalent:
(a) the map Gal(¸Œ¸,¸) ÷(Z,nZ)
×
is an isomorphism;
(b) Œ¸Œ¸ : ¸ =ç(n):
(c) Gal(¸Œ¸,¸) acts transitively on the set of primitive nth roots of 1 (i.e., they are
conjugates);
(d) ˚
n
(X) is irreducible (and so ˚
n
(X) is the minimum polynomial of ¸).
We shall see that all these statements are true.
Note that each nth root of 1 is a primitive Jth root of 1 for exactly one J[n, and so
X
n
÷1 =
d[n
˚
d
(X) =(X ÷1) ˚
n
(X).
To ﬁnd the nth cyclotomic polynomial, type “polcyclo(n,X)” in PARI. For example,
˚
3
(X) =X
2
÷X ÷1
˚
4
(X) =X
2
÷1
˚
6
(X) =X
2
÷X ÷1
˚
12
(X) =X
4
÷X
2
÷1
and
X
12
÷1 =(X ÷1)(X ÷1)(X
2
÷X ÷1)(X
2
÷1)(X
2
÷X ÷1)(X
4
÷X
2
÷1).
We ﬁrst examine a cyclotomic extension in the case that n is a power ¸
i
of a prime.
PROPOSITION 6.2 Let ¸ be a primitive ¸
i
th root of 1, and let 1 =¸Œ¸.
(a) The ﬁeld ¸Œ¸ is of degree ç(¸
i
) =¸
i1
(¸÷1) over ¸.
(b) The ring of integers in ¸Œ¸ is ZŒ¸.
(c) The element ¬
def
=1÷¸ is a prime element of O
1
, and (¸) =(¬)
e
with e =ç(¸
i
).
(d) The discriminant of O
1
over Z is ˙¸
c
, some c (in fact, c = ¸
i1
(¸r ÷r ÷1));
therefore, ¸ is the only prime to ramify in ¸Œ¸.
PROOF. Because ¸ is integral over Z, the ring ZŒ¸ is contained in O
1
.
If ¸
t
is another primitive ¸
i
th root of 1, then ¸
t
= ¸
x
and ¸ = ¸
tt
for some integers s
and t not divisible by ¸, and so ZŒ¸
t
 =ZŒ¸ and ¸Œ¸
t
 =¸Œ¸. Moreover,
1÷¸
t
1÷¸
=1÷¸ ÷ ÷¸
x1
÷ ZŒ¸.
92
The basic results
Similarly, (1 ÷¸),(1 ÷¸
t
) ÷ ZŒ¸, and so (1 ÷¸
t
),(1 ÷¸) is a unit in ZŒ¸ (hence also in
O
1
). Note that
˚
]
r (X) =
X
]
r
÷1
X
]
r1
÷1
=
t
]
÷1
t ÷1
=1÷t ÷ ÷t
]1
. t =X
]
r1
.
and so
˚
]
r (1) =¸.
For its deﬁnition, we see that
˚
]
r (1) =
(1÷¸
t
) =
1÷¸
t
1÷¸
(1÷¸) =u (1÷¸)
ç(]
r
)
.
with u a unit in ZŒ¸. Therefore we have an equality of ideals in O
1
,
(¸) =(¬)
e
. ¬
def
=1÷¸. e =ç(¸
i
). (14)
and so (¸) has at least ç(¸
i
) prime factors in O
1
. Now (3.34) implies that Œ¸Œ¸ : ¸ _
ç(¸
i
). This proves (a) of the Proposition since we know Œ¸Œ¸ : ¸ _ç(¸
i
).
Moreover we see that ¬ must generate a prime ideal in O
1
, otherwise, again, (¸) would
have too many primeideal factors. This completes the proof of (c).
For future reference, we note that, in O
1
,
(¸) =p
ç(]
r
)
. p =(¬). ¡(p,¸) =1.
The last equality means that the map Z,(¸) ÷O
1
,(¬) is an isomorphism.
We next show that (up to sign) disc(ZŒ¸,Z) is a power of ¸. Since
disc(O
1
,Z) (O
1
: ZŒ¸)
2
=disc(ZŒ¸,Z).
this will imply:
(i) disc(O
1
,Z) is a power of ¸;
(ii) (O
1
: ZŒ¸) is a power of ¸, and therefore ¸
Æ
O
1
ÇZŒ¸ for some M.
To compute disc(ZŒ¸,Z), we shall use the formula in (2.34), which in our case reads:
disc(ZŒ¸,Z) =˙Nm
1{¸
(˚
t
]
r (¸)).
On differentiating the equation
(X
]
r1
÷1) ˚
]
r (X) =X
]
r
÷1
and substituting ¸ for X, we ﬁnd that ˚
t
]
r
(¸) =¸
i
¸
]
r
1
,(¸
]
r1
÷1). Clearly
Nm
1{¸
¸ =˙1. Nm
1{¸
¸
i
=(¸
i
)
ç(]
r
)
=¸
iç(]
r
)
.
We shall show that
Nm
1{¸
(1÷¸
]
s
) =˙¸
]
s
. 0 _s <r.
and so
Nm
1{¸
˚
t
]
r (¸) =˙¸
c
. c =r(¸÷1)¸
i1
÷¸
i1
=¸
i1
(¸r ÷r ÷1).
93
6. CYCLOTOMIC EXTENSIONS; FERMAT’S LAST THEOREM.
First we compute Nm
1{¸
(1 ÷¸). The minimum polynomial of 1 ÷¸ is ˚
]
r (1 ÷X),
which has constant term ˚
]
r (1) =¸, and so Nm
1{¸
(1÷¸) =˙¸.
We next compute Nm
1{¸
(1÷¸
]
s
) some s <r. Because ¸
]
s
is a primitive ¸
ix
th root
of 1, the computation just made (with r replaced by r ÷s) shows that
Nm
¸Œ(
p
s
j{¸
(1÷¸
]
s
) =˙¸.
Using that
Nm
Æ{1
=Nm
1{1
ıNm
Æ{1
and Nm
Æ{1
˛ =˛
ŒÆ:1j
if ˛ ÷ 1.
we see that
Nm
1{¸
(1÷¸
]
s
) =˙¸
o
where a =Œ¸Œ¸ : ¸Œ¸
]
s
 =ç(¸
i
),ç(¸
ix
) =¸
x
.
This completes the proof of (d).
We are now ready to prove (b). As we observed above the inclusion Z ·÷O
1
induces
an isomorphism Z,(¸) ÷O
1
,(¬). In other words,
O
1
=Z÷¬O
1
.
and so, certainly,
O
1
=ZŒ¸ ÷¬O
1
.
On multiplying through by ¬, we obtain the equality
¬O
1
=¬ZŒ¸ ÷¬
2
O
1
.
Therefore,
O
1
=ZŒ¸ ÷¬ZŒ¸ ÷¬
2
O
1
=ZŒ¸ ÷¬
2
O
1
.
On repeating this argument, we ﬁnd that
O
1
=ZŒ¸ ÷¬
n
O
1
for all m_1. Since ¬
ç(]
r
)
=¸×(unit), this implies that
O
1
=ZŒ¸ ÷¸
n
O
1
for all m _ 1. But for m large enough, we know that ¸
n
O
1
Ç ZŒ¸, and so ZŒ¸ = O
1
.
This completes the proof of (b).
2
REMARK 6.3 (a) The sign of the disc(¸Œ¸,¸), ¸ any root of 1, can be computed most
easily by using (2.40a). Clearly ¸Œ¸ has no real embeddings unless ¸ =˙1 (and ¸Œ¸ =¸),
and so, except for this case,
sign(disc(¸Œ¸,¸)) =(÷1)
x
. s =Œ¸Œ¸ : ¸,2.
If ¸ is a primitive ¸
i
th root of 1, ¸
i
>2, then
Œ¸Œ¸ : ¸,2 =(¸÷1)¸
i1
,2
94
The basic results
which is odd if and only if ¸
i
=4 or ¸ ÷3 mod 4.
(b) Let ¸ and ¸
t
be primitive ¸
i
th and q
x
th roots of 1. If ¸ and q are distinct primes,
then
¸Œ¸ ¨¸Œ¸
t
 =¸.
because if 1 Ç¸Œ¸, then ¸ ramiﬁes totally in 1 and q does not, and if 1 Ç¸Œ¸
t
, then q
ramiﬁes totally in 1 and ¸ does not, and these are contradictory unless 1 =¸.
THEOREM 6.4 Let ¸ be a primitive nth root of 1.
(a) The ﬁeld ¸Œ¸ is of degree ç(n) over ¸.
(b) The ring of integers in ¸Œ¸ is ZŒ¸, and so 1. ¸. . . . . ¸
ç(n)1
is an integral basis for
O
¸Œ(j
over Z.
(c) If ¸ ramiﬁes in ¸Œ¸ then ¸[n; more precisely, if n =¸
i
m with m relatively prime
to ¸, then
(¸) =(P
1
P
x
)
ç(]
r
)
in ¸Œ¸ with the P
i
distinct primes in ¸Œ¸.
PROOF. We use induction on the number of primes dividing n. Write n =¸
i
mwith mnot
divisible by ¸. We may assume the theorem for m. Note that ¸
]
r
def
=¸
n
is a primitive ¸
i
th
root of 1, ¸
n
=¸
]
r
is a primitive mth root of 1, and that ¸Œ¸ =¸Œ¸
]
r  ¸Œ¸
n
. Consider
the ﬁelds:
¸Œ¸
n

¸Œ¸
¸Œ¸
]
r 
¸
p
i
(pO)
ç(]
r
)
=
p
i
O
p
ç(]
r
)
(¸)
According to Proposition 6.2, (¸) ramiﬁes totally in ¸Œ¸
]
r , say (¸) = p
ç(]
r
)
, but is un
ramiﬁed in ¸Œ¸
n
, say (¸) =p
1
p
x
with the p
i
distinct primes. Because ¸Œ¸ is obtained
from ¸Œ¸
n
 by adjoining ¸
]
r , its degree over ¸Œ¸
n
 is at most ç(¸
i
). It follows from
Theorem 3.34 that p
1
p
x
can become a ç(¸
i
)th power in ¸Œ¸ only if Œ¸Œ¸: ¸Œ¸
n
 =
ç(¸
i
) and each prime p
i
ramiﬁes totally in ¸Œ¸, say p
i
O
¸Œ(j
= P
ç(]
r
)
i
. Therefore,
Œ¸Œ¸ : ¸ = ç(¸
i
) ç(m) = ç(n), and to complete the proof, it remains to show that
O
¸Œ(j
= ZŒ¸
]
r . ¸
n
 = ZŒ¸. This is accomplished by the next lemma, because the only
primes that can divide the discriminant of O
¸Œ(
m
j
,Z are the divisors of m (induction hy
pothesis and 3.35).
2
LEMMA 6.5 Let 1 and 1 be ﬁnite extensions of ¸ such that
Œ11: ¸ =Œ1: ¸ Œ1: ¸.
and let J be the greatest common divisor of disc(O
1
,Z) and disc(O
1
,Z)). Then
O
1·1
ÇJ
1
O
1
O
1
.
95
6. CYCLOTOMIC EXTENSIONS; FERMAT’S LAST THEOREM.
PROOF. Let {˛
1
. .... ˛
n
] and {ˇ
1
. .... ˇ
n
] be integral bases for 1 and 1 respectively. Then
˛
i
ˇ
}
is a basis for 1 1 over ¸. Thus every ; ÷ O
1·1
can be written in the form
; =
i}
a
i}
r
˛
i
ˇ
}
. a
i}
. r ÷ Z.
with
o
ij
i
uniquely determined. After dividing out any common factors from top and bottom,
no prime factor of r will divide all the a
i}
, and we then have to show that r[J.
When we identify 1 with a subﬁeld of C, every embedding o of 1 into C will extend
uniquely to an embedding of 1 1 into C ﬁxing the elements of 1. To see this, write
1 =¸Œ˛; then 1 1=1Œ˛, and the hypothesis on the degrees implies that the minimum
polynomial of ˛ doesn’t change when we pass from ¸ to 1; there is therefore a unique
1homomorphism 1Œ˛ ÷C sending ˛ to o˛.
On applying such a o to the above equation, we obtain an equation
o(;) =
i}
a
i}
r
o(˛
i
)ˇ
}
.
Write .
i
=
}
(a
i}
,r)ˇ
}
, and let o
1
. o
2
. .... o
n
be the distinct embeddings of 1 into C. We
obtain a system of m linear equations
i
o
k
(˛
i
).
i
=o
k
(;). k =1. 2. .... m.
and Cramer’s rule tells us that
D.
i
=D
i
where D =det(o
}
(˛
i
)) and D
i
is a similar determinant. According to (2.26), D
2
=z
def
=
disc(O
1
,Z), and so
z .
i
=DD
i
.
By construction, both D and D
i
are algebraic integers, and so z .
i
is an algebraic integer.
But z.
i
=
zo
ij
i
ˇ
}
, and the ˇ
}
s form an integral basis for O
1
, and so
zo
ij
i
÷ Z. Hence
r[za
i}
all i. ¸ , and, because of our assumption on r and the a
i}
s, this implies that r[z.
Similarly, r[ disc(O
1
,Z), and so r divides the greatest common divisor of disc(O
1
,Z)
and disc(O
1
,Z).
2
REMARK 6.6 (a) Statement (c) of the theorem shows that if ¸ divides n, then ¸ ramiﬁes
unless ç(¸
i
) = 1. Since ç(¸
i
) = ¸
i1
(¸ ÷1), this happens only if ¸
i
= 2. Thus, if ¸
divides n, then ¸ ramiﬁes in ¸Œ¸
n
 except when ¸ =2 and n =2 (odd number).
(b) Let m be an integer > 1; then ç(mn) > ç(n) except when n is odd and m = 2.
Therefore j(¸Œ¸
n
) is cyclic of order n (generated by ¸
n
) except when n is odd, in which
case it is cyclic of order 2n (generated by ÷¸
n
).
(c) In the situation of the lemma,
disc(11,¸) =disc(1,¸)
Œ1:¸j
disc(1,¸)
Œ1:¸j
. (15)
provided O
11
=O
1
O
1
. This can be proved by an elementary determinant calculation.
Using this, one can show that, for ¸
n
a primitive nth root of 1,
disc(¸Œ¸
n
,¸) =(÷1)
ç(n){2
n
ç(n)
,
][n
¸
ç(n){(]1)
.
96
Class numbers of cyclotomic ﬁelds
The example
¸Œi.
_
5 =¸Œi  ¸Œ
_
÷5
shows that the condition on the rings of integers is necessary for (15) to hold, because the
extensions ¸Œi  and ¸Œ
_
÷5 have discriminants 4 and 20 respectively, but ¸Œi.
_
5 has
discriminant 4
2
5
2
=4
2
20
2
,4
2
.
Class numbers of cyclotomic ﬁelds
Let ¸ be a primitive ¸th root of 1, ¸ an odd prime. It is known that the class number of ¸Œ¸
grows quite rapidly with ¸, and that in fact the class number is 1 if and only if ¸ _19.
Here is how to prove that ¸Œ¸ has class number > 1 when ¸ =23. The Galois group
of ¸Œ¸ over ¸is cyclic of order 22, and therefore has a unique subgroup of index 2. Hence
¸Œ¸ contains a unique quadratic extension 1 of ¸. Since 23 is the only prime ramifying in
¸Œ¸, it must also be the only prime ramifying in 1, and this implies that 1 =¸Œ
_
÷23.
One checks that (2) splits in ¸Œ
_
÷23, say (2) =pq, that p is not principal, and that p
3
is
principal. Let P be a prime ideal of ZŒ¸ lying over p. Then NP = p
(
, where ¡ is the
residue class degree. Since ¡ divides Œ¸Œ¸ : ¸Œ
_
÷23 =11, we see that ¡ =1 or 11 (in
fact, ¡ =11). In either case, p
(
is not principal, and this implies that P is not principal,
because the norm of a principal ideal is principal.
Because of the connection to Fermat’s last theorem, primes ¸ such that ¸ does not
divide the class number of ¸Œ¸ are of particular interest. They are called regular. Kummer
found a simple test for when a prime is regular: deﬁne the Bernoulli numbers T
n
by the
formula
t
e
t
÷1
=
o
n=0
T
n
t
n
nŠ
. T
n
÷ ¸:
then ¸ is not regular if and only if ¸ divides the numerator of some T
k
with k =2. 4. . . . . ¸÷
3. It has long been known that there are inﬁnitely many irregular primes, but it is still not
proved that there are inﬁnitely many regular primes. It is expected that 61% of primes are
regular and 39% are irregular.
Units in cyclotomic ﬁelds
Let ¸ be a primitive nth root of 1, n >2. Deﬁne
¸Œ¸
÷
=¸Œ¸ ÷¸
1
.
For example, if ¸ =e
2ti{n
, then ¸Œ¸
÷
=¸Œcos
2t
n
. Under any embedding of ¸Œ¸ into
C, ¸
1
maps to the complex conjugate of ¸, and therefore the image of ¸Œ¸
÷
is ﬁxed under
complex conjugation and hence lies in 1. Thus, we see that ¸Œ¸ is a CMﬁeld with maximal
totally real subﬁeld ¸Œ¸
÷
. According to Proposition 5.12, the index of j(¸Œ¸) U
¸Œ(j
C in
U
¸Œ(j
is 1 or 2. In fact, when n is a prime power, it must be 1.
PROPOSITION 6.7 Assume that n is a prime power; then every unit u ÷ ¸Œ¸ can be written
u =¸ ·
with ¸ a root of unity and · a unit in ¸Œ¸
÷
.
97
6. CYCLOTOMIC EXTENSIONS; FERMAT’S LAST THEOREM.
PROOF. We prove this only for powers of odd primes (which is all we shall need in the next
section). If the statement is false, then the homomorphism
u ÷u, ¨ u: U
¸Œ(j
÷j,j
2
. j =j(¸Œ¸).
in the proof of Proposition (5.12) is surjective, and so there exists a unit u of ¸Œ¸ such that
¨ u = ¸
t
u where ¸
t
is a root of 1 that is not a square. Recall (6.6b) that, because n is odd,
j ={˙1] (¸), and so j
2
=(¸). Therefore ¸
t
=÷¸
n
for some integer m. Let
u =a
0
÷ ÷a
ç(n)1
¸
ç(n)1
, a
i
÷ Z.
Then ¨ u =a
0
÷ ÷a
ç(n)1
¨
¸
ç(n)1
, and modulo the prime ideal p =(1÷¸) =(1÷
¨
¸) of
O
¸Œ(j
.
u ÷a
0
÷ ÷a
ç(n)1
÷ ¨ u.
Thus
u ÷÷¸
n
u ÷÷u mod p.
and so 2u ÷ p. This is a contradiction because p is prime, 2 … p, and u … p.
2
The ﬁrst case of Fermat’s last theorem for regular primes
Kummer proved Fermat’s last theorem for regular primes. Here we prove a weaker result,
known as the ﬁrst case of Fermat’s last theorem.
THEOREM 6.8 Let ¸ be an odd prime. If the class number of ¸Œ¸ is not divisible by ¸,
then there does not exist an integer solution (.. ,. :) to
X
]
÷Y
]
=7
]
with ¸ relatively prime to .,:.
We show that existence of integers .. ,. : with .
]
÷,
]
= :
]
and ¸ [ .,: leads to a
contradiction. After removing any common factor, we may suppose that gcd(.. ,. :) =1.
We ﬁrst treat the case ¸ =3. The only cubes modulo 9 are ÷1, 0, 1, and so
.
3
÷,
3
÷÷2. 0, or 2 mod 9.
:
3
÷÷1 or 1 mod 9.
which are contradictory. Similarly we may eliminate the case ¸ =5 by looking modulo 25.
Henceforth we assume ¸ >5.
If . ÷, ÷÷: mod ¸, then ÷2:
]
÷:
]
and ¸[3:, contradicting our hypotheses. Hence
one of the congruences can’t hold, and after rewriting the equation .
]
÷(÷:)
]
=(÷,)
]
if
necessary, we may assume that ¸ [ . ÷,.
The roots of X
]
÷1 are ÷1. ÷¸. . . . . ÷¸
]1
, and so
X
]
÷1 =
]1
i=0
(X ÷¸
i
).
Hence
]1
i=0
(. ÷¸
i
,) =:
]
.
98
The ﬁrst case of Fermat’s last theorem for regular primes
The idea of the proof is to exploit this factorization and what we know of the arithmetic of
¸Œ¸ to obtain a contradiction.
Let p be the unique prime ideal of ZŒ¸ dividing (¸); thus p =(1÷¸
i
) where i can be
any integer such that 1 _i _¸÷1 (see 6.2).
LEMMA 6.9 The elements . ÷¸
i
, of ZŒ¸ are relatively prime in pairs.
PROOF. We have to show that there does not exist a prime ideal q dividing . ÷¸
i
, and
.÷¸
}
, for i =¸ . Suppose there does. Then q[((¸
i
÷¸
}
),) =p,, and q[((¸
}
÷¸
i
).) =p..
By assumption, . and , are relatively prime, and therefore q =p. Thus .÷, ÷.÷¸
i
, ÷0
mod p. Hence . ÷, ÷ p¨Z =(¸). But :
]
=.
]
÷,
]
÷. ÷, ÷0 mod ¸, and so ¸[:,
which contradicts our hypotheses.
2
LEMMA 6.10 For every ˛ ÷ ZŒ¸, ˛
]
÷ Z÷¸ZŒ¸.
PROOF. Write
˛ =a
0
÷a
1
¸ ÷ ÷a
]2
¸
]2
. a
i
÷ Z.
Then
˛
]
÷a
]
0
÷a
]
1
÷ ÷a
]
]1
mod ¸.
which lies in Z.
2
LEMMA 6.11 Let ˛ =a
0
÷a
1
¸ ÷ ÷a
]1
¸
]1
with a
i
÷ Z and at least one a
i
=0. If
˛ is divisible by an integer n, i.e., if ˛ ÷ nZŒ¸, then each a
i
is divisible by n.
PROOF. Since 1 ÷¸ ÷ ÷¸
]1
= 0, any subset of {1. ¸. . . . . ¸
]1
] with ¸ ÷1 elements
will be a Zbasis for ZŒ¸. The result is now obvious.
2
We can now complete the proof of Theorem 6.8. Regard the equation
]1
i=0
(. ÷¸
i
,) =(:)
]
as an equality of ideals in ZŒ¸. Since the factors on the left are relatively prime in pairs,
each one must be the ¸th power of an ideal, say
(. ÷¸
i
,) =a
]
i
for some ideal a
i
in ZŒ¸. This equation implies that a
i
has order dividing ¸ in the class
group, but we are assuming that the class group of ZŒ¸ is of order prime to ¸, and so a
i
itself is principal, say a
i
=(˛
i
).
Take i =1, and omit the subscript on ˛
1
. Then we have that . ÷¸, =u˛
]
for some
unit u in ZŒ¸. We apply (6.7) to write u =¸
i
· where ¨ · =·. According to (6.10), there is
an a ÷ Z such that ˛
]
÷a mod ¸. Therefore
. ÷¸, =¸
i
·˛
]
÷¸
i
·a mod ¸.
Also
. ÷
¨
¸, =¸
i
· ¨ ˛
]
÷¸
i
·a mod ¸.
99
6. CYCLOTOMIC EXTENSIONS; FERMAT’S LAST THEOREM.
On combining these statements, we ﬁnd that
¸
i
(. ÷¸,) ÷¸
i
(. ÷¸
1
,) mod ¸.
or
. ÷¸, ÷¸
2i
. ÷¸
2i1
, ÷0 mod ¸. (16)
If 1. ¸. ¸
2i1
. ¸
2i
are distinct, then, because ¸ _ 5, Lemma 6.11 implies that ¸ divides .
and ,, which is contrary to our original assumption. The only remaining possibilities are:
(a) 1 =¸
2i
; but then (*) says
¸, ÷¸
1
, ÷0 mod ¸.
and Lemma 6.11 implies ¸[,, which contradicts our original assumption.
(b) 1 =¸
2i1
; then ¸ =¸
2i
, and (*) says
(. ÷,) ÷(. ÷,)¸ ÷0 mod ¸.
and Lemma 6.11 implies that ¸[. ÷,, which contradicts the choice of . and , made
at the start of the proof.
(c) ¸ =¸
2i1
; but then (*) says
. ÷¸
2
. ÷0 mod ¸.
and Lemma 6.11 implies that ¸[., which contradicts our original assumption.
This completes the proof.
NOTES Everything in this section was known to Kummer, but in terms of “ideal numbers” rather
than ideals. The methods of this section have not (so far) sufﬁced to prove Fermat’s last theorem
but, as the reader may already be aware, other methods have.
Exercises
61 Show that X
3
÷3X ÷1 is an irreducible polynomial in ¸ŒX with three real roots.
Let ˛ be one of them, and let 1 =¸Œ˛. Compute disc(ZŒ˛,Z), and deduce that
O
1
¸ZŒ˛ ¸3
n
O
1
for some m. Showthat ˛ and ˛÷2 are units in ZŒ˛ and O
1
, and that (˛÷1)
3
=3˛(˛÷2).
Deduce that (˛ ÷1) is a prime ideal in O
1
, and show that O
1
=ZŒ˛ ÷(˛ ÷1)O
1
. Use
this to show that O
1
=ZŒ˛. Show that (2) is a prime ideal in O
1
, and deduce that O
1
is
a principal ideal domain.
62 Show that the ring of integers in ¸Œcos
2t
n
 is ZŒ2cos
2t
n
.
100
CHAPTER 7
Valuations; Local Fields
In this section, we deﬁne the notion of a valuation and study the completions of number
ﬁelds with respect to valuations.
Valuations
A (multiplicative) valuation on a ﬁeld 1 is a function . ÷[.[: 1 ÷1 such that
(a) [.[ >0 except that [0[ =0:
(b) [.,[ =[.[[,[
(c) [. ÷,[ _[.[ ÷[,[ (triangle inequality).
If the stronger condition
(c
t
) [. ÷,[ _max{[.[. [,[]
holds, then [ [ is called a nonarchimedean valuation.
Note that (a) and (b) imply that [ [ is a homomorphism1
×
÷1
>0
(multiplicative group
of positive real numbers). Since 1
>0
is torsionfree, [ [ maps all roots of unity in 1
×
to 1.
In particular, [ ÷1[ =1, and [ ÷.[ =[.[ for all ..
EXAMPLE 7.1 (a) For any number ﬁeld 1, and embedding o: 1 ·÷C, we get a valuation
on 1 by putting [a[ =[oa[.
(b) Let ord: 1
×
÷Z be an (additive) discrete valuation, and let e be a real number with
e >1; then
[a[ =(1,e)
ord(o)
. a =0. [0[ =0
is a nonarchimedean valuation on 1. For example, for any prime number ¸, we have the
¸adic valuation [ [
]
on ¸:
[a[
]
=(1,e)
ord
p
(o)
.
Usually we normalize this by taking e =¸; thus
[a[
]
=(1,¸)
ord
p
(o)
=1,¸
i
if a =a
0
¸
i
with ord
]
(a
0
) =0.
Similarly, for any prime ideal p in a number ﬁeld 1, we have a normalized padic valuation
[a[
p
=(1,Np)
ord
p
(o)
.
(c) On any ﬁeld we can deﬁne the trivial valuation: [a[ =1 for all a =0. When 1 is
ﬁnite, there is no other (because all nonzero elements of a ﬁnite ﬁeld are roots of 1).
101
7. VALUATIONS; LOCAL FIELDS
Nonarchimedean valuations
Recall that this means that, instead of the triangle inequality, we have
[. ÷,[ _max{[.[. [,[].
By induction, this condition implies that
[
.
i
[ _max{[.
i
[]. (17)
PROPOSITION 7.2 A valuation [ [ is nonarchimedean if and only if it takes bounded values
on {m1 [ m÷ Z].
PROOF. If [ [ is nonarchimedean, then, for m>0.
[m1[ =[1÷1÷ ÷1[ _[1[ =1.
As we noted above, [ ÷1[ =[1[, and so [ ÷m1[ =[m1[ _1.
Conversely, suppose [m1[ _N for all m. Then
[. ÷,[
n
=[
_
n
i
_
.
i
,
ni
[ _
i
[
_
n
i
_
[ [.[
i
[,[
ni
.
Clearly [.[
i
[,[
ni
_max{[.[
n
. [,[
n
] =max{[.[. [,[]
n
and
_
n
i
_
is an integer, and so
[. ÷,[
n
_N(n÷1)max{[.[. [,[]
n
.
On taking nth roots we ﬁnd that
[. ÷,[ _N
1{n
(n÷1)
1{n
max{[.[. [,[].
When we let n ÷o, the terms involving n tend to 1 (to see this, take logs).
2
COROLLARY 7.3 If char 1 =0, then 1 has only nonarchimedean valuations.
PROOF. In this case, the set {m 1 [ m÷ Z] is ﬁnite.
2
ASIDE 7.4 Archimedes stated that for any two line segments, laying the shorter segment endtoend
a sufﬁcient ﬁnite number of times will create a segment longer than the other. In other words, for
any two nonzero real numbers a and b, there is an n ÷ N such that [b[ <[na[. The proposition shows
that the nonarchimedean valuations are exactly those that don’t have this “archimedean property”.
As we noted above, a discrete (additive) valuation ord on 1 determines a valuation by
[.[ =e
ord(x)
.
any e >1. Taking logs gives log
e
[.[ =÷ord(.), or ord(.) =÷log
e
[.[. This suggests how
we might pass from multiplicative valuations to additive valuations.
PROPOSITION 7.5 Let [ [ be a nontrivial nonarchimedean valuation, and put ·(.) =÷log[.[,
. =0 (log to base e for any real e >1). Then ·: 1
×
÷1 satisﬁes the following conditions:
102
Equivalent valuations
(a) ·(.,) =·(.) ÷·(,):
(b) ·(. ÷,) _min{·(.). ·(,)].
If ·(1
×
) is discrete in 1, then it is a multiple of a discrete valuation ord: 1
×
Z Ç1.
PROOF. That · satisﬁes (a) and (b) is obvious. For the last statement, note that ·(1
×
)
is a subgroup of 1 (under addition). If it is a discrete subgroup, then it is a lattice (by
4.15), which means that ·(1
×
) =Zc for some c. Now ord
def
=c
1
· is an additive discrete
valuation 1
×
Z.
2
We shall say [ [ is discrete when [1
×
[ is a discrete subgroup of 1
>0
. Note that, even
when [1
×
[ is discrete in 1, [1[ usually won’t be, because 0 will be a limit point for the set
[1
×
[. For example, [¸
n
[
]
=¸
n
, which converges to 0 as n ÷o.
PROPOSITION 7.6 Let [ [ be a nonarchimedean valuation. Then
·
def
={a ÷ 1 [ [a[ _1] is a subring of 1, with
U
def
={a ÷ 1 [ [a[ =1] as its group of units, and
m
def
={a ÷ 1 [ [a[ <1] as its unique maximal ideal.
The valuation [ [ is discrete if and only if m is principal, in which case · is a discrete
valuation ring.
PROOF. The ﬁrst assertion is obvious. If [ [ is discrete, then · and mare the pair associated
(as in 3.27) with the additive valuation ÷log[ [, and so · is a discrete valuation ring and m
is generated by any element ¬ ÷ 1
×
such that [¬[ is the largest element of [1
×
[ less than
one. Conversely, if m=(¬), then [1
×
[ is the subgroup of 1
>0
generated by [¬[.
2
REMARK 7.7 There do exist nondiscrete nonarchimedean valuations. For example, let ¸
al
be an algebraic closure of ¸. We shall see later that the ¸adic valuation [ [
]
: ¸÷1extends
to ¸
al
(in many different ways). Since ¸
al
contains an element ¸
1{n
for all n, we see that
[¸
al×
[ ÷ (¸
1
)
1{n
= 1,
n
_
¸ for all n, and 1,
n
_
¸ ÷1 as n ÷o. In fact, one can show
that [¸
al×
[ ={¸
i
[ r ÷ ¸], which is not discrete in 1
>0
.
Equivalent valuations
Note that a valuation [ [ deﬁnes a metric on 1, with distance function
J(a. b) =[a÷b[.
and hence a topology on 1: for a ÷ 1, the sets
U(a. c) ={. ÷ 1 [ [. ÷a[ <c]. c > 0.
form a fundamental system of open neighbourhoods of a. A set is open if and only if it is a
union of sets of the form U(a. c).
For example, for the topology on ¸ deﬁned by [ [
]
, a and b are close if their difference
is divisible by a high power of ¸. In particular, the sequence
1. ¸. ¸
2
. . . . . ¸
n
. . . .
converges to 0.
The topology deﬁned by the padic valuation [ [
p
is called the padic topology on 1.
103
7. VALUATIONS; LOCAL FIELDS
PROPOSITION 7.8 Let [ [
1
, [ [
2
be valuations on 1, with [ [
1
nontrivial. The following
conditions are equivalent:
(a) [ [
1
, [ [
2
deﬁne the same topology on 1:
(b) [˛[
1
<1 =[˛[
2
<1:
(c) [ [
2
=[ [
o
1
for some a >0.
PROOF. (a) =(b): Since [˛
n
[ =[˛[
n
, clearly ˛
n
÷0 if and only if [˛[ < 1. Therefore (a)
implies that
[˛[
1
<1 ” [˛[
2
<1.
(b) =(c): Because [ [
1
is nontrivial, there exists a , ÷ 1 such that [,[ >1. Let
a =log[,[
2
,log[,[
1
.
so that
log[,[
2
=a log[,[
1
.
or
[,[
2
=[,[
o
1
.
Now let . be any nonzero element of 1. There is a real number b such that
[.[
1
=[,[
b
1
.
To prove (c), it sufﬁces to prove that
[.[
2
=[,[
b
2
.
because then
[.[
2
=[,[
b
2
=[,[
ob
1
=[.[
o
1
.
Let m,n, n >0, be a rational number >b. Then
[.[
1
=[,[
b
1
<[,[
m
n
1
and so
[.
n
,,
n
[
1
<1.
From our assumption (b), this implies that
[.
n
,,
n
[
2
<1
and so
[.[
2
<[,[
m
n
2
.
This is true for all rational numbers
n
n
>b, and so
[.[
2
_[,[
b
2
.
A similar argument with rational numbers
n
n
<b shows that
[.[
2
_[,[
b
2
.
and so we have equality, which completes the proof of (a).
2
Two valuations are said to be equivalent if they satisfy the conditions of the proposition.
104
Properties of discrete valuations
Properties of discrete valuations
We make some easy, but important, observations about discrete valuations.
7.9 For an additive valuation, we are given that
ord(a÷b) _min{ord(a). ord(b)]
and we checked (3.26 et seq.) that this implies that equality holds if ord(a) =ord(b). For
multiplicative valuations, we are given that
[a÷b[ _max{[a[. [b[].
and a similar argument shows that equality holds if [a[ =[b[. This has the following con
sequences.
7.10 Recall that we deﬁne a metric on 1 by setting J(a. b) =[a ÷b[. I claim that if . is
closer to b than it is to a, then J(a. .) =J(a. b). For we are given that
[. ÷b[ <[. ÷a[.
and this implies that
[b ÷a[ =[b ÷. ÷. ÷a[ =[. ÷a[.
7.11 Suppose
a
1
÷a
2
÷ ÷a
n
=0.
Then an argument as on p60 shows that the maximum value of the summands must be
attained for at least two values of the subscript.
Complete list of valuations for the rational numbers
We now give a complete list of the valuations on ¸ (up to equivalence). We write [ [
o
for the valuation on ¸ deﬁned by the usual absolute value on 1, and we say that [ [
o
is
normalized.
THEOREM 7.12 (OSTROWSKI) Let [ [ be a nontrivial valuation on ¸.
(a) If [ [ is archimedean, then [ [ is equivalent to [ [
o
.
(b) If [ [ is nonarchimedean, then it is equivalent to [ [
]
for exactly one prime ¸.
PROOF. Let m. n be integers >1. Then we can write
m=a
0
÷a
1
n÷ ÷a
i
n
i
with the a
i
integers, 0 _a
i
<n, n
i
_m. Let N =max{1. [n[]. By the triangle inequality,
[m[ _
[a
i
[[n[
i
_
[a
i
[N
i
.
We know
r _log(m),log(n).
105
7. VALUATIONS; LOCAL FIELDS
(log relative to some e >1) and the triangle inequality shows that
[a
i
[ _[1÷ ÷1[ =a
i
[1[ =a
i
_n.
On putting these into the ﬁrst inequality, we ﬁnd that
[m[ _(1÷r)nN
i
_
_
1÷
logm
logn
_
nN
logm
logn
.
In this inequality, replace m with m
t
(t an integer), and take t th roots:
[m[ _
_
1÷
t logm
logn
_1
t
n
1
t
N
logm
logn
.
Now let t ÷o. The terms involving t tend to 1, and so
[m[ _N
logm
logn
. (*)
CASE (i): For all integers n >1, [n[ >1.
In this case N =[n[, and (*) yields:
[m[
1{logn
_[n[
1{logn
.
By symmetry, we must have equality, and so there is an c >1 such that
c =[m[
1{logn
=[n[
1{logn
for all integers m. n > 1. Hence
[n[ =c
logn
=e
logc logn
=n
logc
, all integers n >1.
Let a =logc, and rewrite this
[n[ =[n[
o
o
, all integers n >1.
where [ [
o
is the usual absolute value on ¸. Since both [ [ and [ [
o
o
are homomorphisms
¸
×
÷1
>0
, the fact that they agree on a set of generators for the group ¸
×
(the primes and
÷1) implies that they agree on all of ¸
×
.
CASE (ii): For some n >1, [n[ _1.
In this case, N =1, and (*) implies [m[ _ 1 for all integers m. Therefore the valuation
is nonarchimedean. Let · be the associated local ring and m its maximal ideal. From the
deﬁnition of ·, we know that ZÇ·. Then m¨Z is a prime ideal in Z (because mis a prime
ideal), and it is nonzero for otherwise the valuation would be trivial. Hence m¨Z=(¸) for
some ¸. This implies that [m[ =1 if m is an integer not divisible by ¸, and so [n¸
i
[ =[¸[
i
if n is a rational number whose numerator and denominator are not divisible by ¸. If a is
such that [¸[ =(1,¸)
o
; then [.[ =[.[
o
]
for all . ÷ ¸.
2
THEOREM 7.13 (PRODUCT FORMULA) For ¸ =2. 3. 5. 7. .... o, let [ [
]
be the correspond
ing normalized valuation on ¸. For any nonzero rational number a
[a[
]
=1 (product over all ¸ including o).
106
The primes of a number ﬁeld
PROOF. Let ˛ =a,b, a. b ÷ Z. Then [˛[
]
=1 unless ¸[a or ¸[b. Therefore [˛[
¡
=1 for
all but ﬁnite many ·s, and so the product is really ﬁnite.
Let ¬(a) =
[a[
¡
. Then ¬ is a homomorphism ¸
×
÷1
×
, and so it sufﬁces to show
that ¬(÷1) = 1 and ¬(¸) = 1 for each prime number ¸. The ﬁrst is obvious, because
[ ÷1[ =1 for all valuations [ [. For the second, note that
[¸[
]
=1,¸. [¸[
q
=1. q a prime =¸. [¸[
o
=¸.
The product of these numbers is 1.
2
The primes of a number ﬁeld
Let 1 be an algebraic number ﬁeld. An equivalence class of valuations on 1 is called a
prime or place of 1.
THEOREM 7.14 Let 1 be an algebraic number ﬁeld. There exists exactly one prime of 1
(a) for each prime ideal p;
(b) for each real embedding;
(c) for each conjugate pair of complex embeddings.
PROOF. See Chapter 8.
2
In each equivalence class of valuations of 1 we select a normalized valuation
1
as fol
lows:
for a prime ideal p of O
1
, [a[
p
=(1,Np)
ord
p
(o)
=(O
p
: (a))
1
;
for a real embedding o: 1 ·÷1, [a[ =[oa[:
for a nonreal complex embedding o: 1 ·÷C, [a[ =[oa[
2
.
Note that this last is not actually a valuation, because it doesn’t satisfy the triangle law.
There are various ways of getting around this problem the best of which is simply to ignore
it.
Notations
We generally write · for a prime. If it corresponds to a prime ideal p of O
1
, then we call it a
ﬁnite prime, and we write p
¡
for the ideal. If it corresponds to a (real or nonreal) embedding
of 1, then we call it an inﬁnite (real or complex) prime. We write [ [
¡
for a valuation in the
equivalence class. If 1 ¸ 1 and n and · are primes of 1 and 1 such that [ [
u
restricted
to 1 is equivalent to [ [
¡
, then we say that n divides ·, or n lies over ·, and we write n[·.
For a ﬁnite prime, this means P
u
¨O
1
=p
¡
or, equivalently, that P
u
divides p
¡
O
1
. For
an inﬁnite prime, it means that n corresponds to an embedding o: 1 ·÷C that extends the
embedding corresponding to · (or its complex conjugate).
1
These are the most natural deﬁnitions for which the product formula hold. Alternatively, let 1
¡
be the
completion of 1 with respect to the valuation ·, and let j be a Haar measure on (1
¡
. ÷) — it is uniquely
determined up to a nonzero constant. For any nonzero a ÷ 1
¡
, j
o
(U)
df
= j(aU) is also a Haar measure on
(1
¡
. ÷), and so j
o
=c(a)j for some constant c(a). In fact, c(a) =[a[, the normalized valuation of a.
107
7. VALUATIONS; LOCAL FIELDS
THEOREM 7.15 (PRODUCT FORMULA) For each prime ·, let [ [
¡
be the normalized valu
ation. For any nonzero ˛ ÷ 1.
[˛[
¡
=1 (product over all primes of 1).
PROOF. The product formula for a general number ﬁeld follows from the product formula
for ¸ and the next result.
2
LEMMA 7.16 Let 1 be a ﬁnite extension of a number ﬁeld 1.
(a) Each prime on 1 extends to a ﬁnite number of primes of 1.
(b) For any prime · of 1 and ˛ ÷ 1
×
,
u[¡
[˛[
u
=[ Nm
1{1
˛[
¡
.
PROOF. See Chapter 8.
2
REMARK 7.17 The product formula is true in two other important situations.
(a) Let 1 be a ﬁnite extension of k(T ) where k is a ﬁnite ﬁeld. According to (7.3),
the valuations of 1 are all discrete, and hence correspond to discrete valuation rings in 1.
As in the number ﬁeld case, we can normalize a valuation by setting [a[
¡
=(1,N·)
ord
v
(o)
where N· is the number of elements in the residue ﬁeld of the discrete valuation ring and
ord
¡
: 1
×
Z. Then
¡
[a[
¡
= 1. The proof of this is easy when 1 = k(T ), and the
general case is obtained by means of a result like (7.16).
(b) Let 1 be a ﬁnite extension of k(T ) where k is an algebraically closed ﬁeld. In
this case we look only at primes that are trivial when restricted to k. All such primes are
nonarchimedean, and hence correspond to discrete valuations ord
¡
: 1
×
Z. Fix an e >1,
and deﬁne [a[
¡
=(1,e)
ord
v
(o)
for every ·. Then
[a[
¡
=1 for all a ÷ 1
×
. This of course
is equivalent to the statement
ord
¡
(a) =0.
For example, let X be a compact Riemann surface, and let 1 be the ﬁeld of meromorphic
functions on X. For each point 1 of X we have a discrete valuation, deﬁned by ord
1
(¡ ) =
m or ÷m according as ¡ has a zero or pole of order m at 1. The valuations ord
1
are
precisely the valuations on 1 trivial on CÇ1, and so the product formula for 1 is simply
the statement that ¡ has as many zeros as poles.
The proof of this runs as follows: the Cauchy integral formula implies that if ¡ is a
nonconstant meromorphic function on an open set U in C, and 1 is the oriented boundary
of a compact set C contained in U, then
_
T
¡
t
(:)
¡(:)
J: =2¬i(7÷1)
where 7 is the number of zeros of ¡ in C and 1 is the number of poles of ¡ , both counted
with multiplicities. This formula also holds for compact subsets of manifolds. If the man
ifold M is itself compact, then we can take C = M, which has no boundary, and so the
formula becomes
7÷1 =0.
i.e.,
ord
1
(¡ ) =0. 1 ÷ M.
108
The weak approximation theorem
The weak approximation theorem
Recall that a valuation on a ﬁeld 1 is homomorphism a ÷ [a[ : 1
×
÷ 1
>0
such that
[a ÷b[ _ [a[ ÷[b[ for all a. b ÷ 1
×
. We extend it to 1 by setting [0[ = 0. A valuation
is trivial if [a[ = 1 for all a = 0. Two nontrivial valuations [ [
1
and [ [
2
are equivalent
if [a[
1
< 1 implies [a[
2
< 1, in which case [ [
2
= [ [
i
1
for some r ÷ 1
>0
(see 7.8). The
statements in this section continue to hold if we replace “valuation” with “positive power
of a valuation” (which, in the archimedean case, may fail to satisfy the triangle rule).
LEMMA 7.18 If [ [
1
, [ [
2
, . . . , [ [
n
are nontrivial inequivalent valuations of 1, then there
is an element a ÷ 1 such that
_
[a[
1
> 1
[a[
i
< 1. i =1.
PROOF. First let n =2. Because [ [
1
and [ [
2
are inequivalent, there are elements b and c
such that
_
[b[
1
< 1. [b[
2
_1
[c[
1
_ 1. [c[
2
<1.
Now a =
c
b
has the required properties.
We proceed by induction assuming that the lemma is true for n÷1 valuations. There
exist elements b. c such that
_
[b[
1
> 1. [b[
i
<1. i =2. 3. . . . . n÷1
[c[
1
< 1. [c[
n
>1
If [b[
n
_1, then a =cb
i
works for sufﬁciently large r. If [b[
n
> 1, then a
i
=
cb
r
1÷b
r
works
for sufﬁciently large r, because
b
r
1÷b
r
converges to 0 or 1 according as [b[ <1 or [b[ >1.
2
LEMMA 7.19 In the situation of the last lemma, there exists an element of 1 that is close
to 1 for [ [
1
and close to 0 for [ [
i
, i =2. . . . n.
PROOF. Choose a as in (7.18), and consider a
i
=
o
r
1÷o
r
. Then
[a
i
÷1[
1
=
1
[1÷a
i
[
1
_
1
[a[
i
1
÷1
÷0
as r ÷o. For i _2,
[a
i
[
i
=
[a[
i
i
[1÷a[
i
i
_
[a[
i
i
1÷[a[
i
i
÷0
as r ÷0.
2
THEOREM 7.20 Let [ [
1
, [ [
2
, . . . , [ [
n
be nontrivial inequivalent valuations of a ﬁeld
1, and let a
1
. . . . . a
n
be elements of 1. For any c > 0, there is an element a ÷ 1 such that
[a÷a
i
[
i
<c for all i .
PROOF. Choose b
i
, i =1. . . . . n, close to 1 for [ [
i
and close to 0 for [ [
}
, ¸ =i . Then
a =a
1
b
1
÷ ÷a
n
b
n
works.
2
109
7. VALUATIONS; LOCAL FIELDS
Let 1
i
be the completion of 1 for [ [
i
. The statement of the theorem also holds with
a
i
in 1
i
(rather than 1)—choose a
t
i
÷ 1 very close to a
i
and a ÷ 1 very close to each a
t
i
.
Thus 1 (embedded diagonally) is dense in
1
i
.
The theorem shows that there can be no ﬁnite product formula. More precisely:
COROLLARY 7.21 Let [ [
1
, [ [
2
, . . . , [ [
n
be nontrivial inequivalent valuations on a ﬁeld
1. If
[a[
i
1
1
[a[
i
n
n
=1. r
i
÷ 1.
for all a ÷ 1
×
, then r
i
=0 for all i .
PROOF. If any r
i
= 0, an a for which [a[
i
is sufﬁciently large and the [a[
}
, ¸ = i , are
sufﬁciently small provides a contradiction.
2
The reader should compare the Weak Approximation Theorem with what the Chinese
Remainder Theorem gives (see Exercise 71).
NOTES The Weak Approximation Theorem ﬁrst occurs in Artin and Whaples 1945.
2
See also Artin
1959, Our account follows the original.
Completions
Let 1 be a ﬁeld with a nontrivial valuation. A sequence (a
n
) of elements in 1 is called a
Cauchy sequence if, for every c >0, there is an N such that
[a
n
÷a
n
[ <c, all m. n > N.
The ﬁeld 1 is said to be complete if every Cauchy sequence has a limit in 1. (The limit is
necessarily unique.)
EXAMPLE 7.22 Consider the sequence in Z
4. 34. 334. 3334. . . . .
As
[a
n
÷a
n
[
5
=5
n
(m>n).
this is a Cauchy sequence for the 5adic topology on ¸. Note that
3 4 =12. 3 34 =102. 3 334 =1002. 3 3334 =10002. . . .
and so 3 a
n
÷2 ÷0 as n ÷o. Thus lim
no
a
n
=2,3 ÷ ¸.
There is a similar notion of Cauchy series. For example, any series of the form
a
n
¸
n
÷ ÷a
0
÷a
1
¸÷ ÷a
n
¸
n
÷ . 0 _a
i
<¸.
is a Cauchy series in ¸ for the ¸adic topology.
2
Axiomatic characterization of ﬁelds by the product formula for valuations, Bull. AMS, 51, 1945, pp.
469–492.
110
Completions in the nonarchimedean case
THEOREM 7.23 Let 1 be a ﬁeld with a valuation [ [. Then there exists a complete valued
ﬁeld (
´
1. [ [) and a homomorphism 1 ÷
´
1 preserving the valuation that is universal in the
following sense: any homomorphism 1 ÷1 from 1 into a complete valued ﬁeld (1. [ [)
preserving the valuation, extends uniquely to a homomorphism
´
1 ÷1.
PROOF (SKETCH) Every point of
´
1 will be the limit of a sequence of points in 1, and the
sequence will be Cauchy. Two Cauchy sequences will converge to the same point in
´
1 if
and only if they are equivalent in the sense that
lim
no
[a
n
÷b
n
[ =0.
This suggests deﬁning
´
1 to be the set of equivalence classes of Cauchy sequences in 1.
Deﬁne addition and multiplication of Cauchy sequences in the obvious way, and verify
that
´
1 is a ﬁeld. There is a canonical map 1 ÷
´
1 sending a to the constant Cauchy
sequence a. a. a. . . ., which we use to identify 1 with a subﬁeld of
´
1. We can extend a
homomorphism from 1 into a second complete valued ﬁeld 1 to
´
1 by mapping the limit
of a Cauchy sequence in
´
1 to its limit in 1.
2
REMARK 7.24 (a) As usual, the pair (1 ÷
´
1. [ [) is uniquely determined up to a unique
isomorphism by the universal property (cf. GT 2.4).
(b) The image of 1 in
´
1 is dense because the closure
¨
1 of 1 in
´
1 is complete, and
(1 ÷
¨
1. [ [) has the same universal property as (1 ÷
´
1. [ [).
For a prime · of 1, we write 1
¡
for the completion of 1 with respect to ·. When
· corresponds to a prime ideal p, we write 1
p
for the completion, and
´
O
p
for the ring of
integers in 1
p
. For example, ¸
]
is the completion of ¸with respect to the ¸adic valuation
[ [
]
. We write Z
]
(not
´
Z
]
) for the ring of integers in ¸
]
(the ring of ¸adic integers).
Completions in the nonarchimedean case
Let [ [ be a discrete nonarchimedean valuation on 1, and let ¬ be an element of 1 with
largest value <1 (therefore ¬ generates the maximal ideal m in the valuation ring ·). Such
a ¬ is called a local uniformizing parameter.
The set of values is
[1[ ={c
n
[ m÷ Z] L{0]. c =[¬[.
Let a ÷
´
1
×
, and let a
n
be a sequence in 1 converging to a. Then [a
n
[ ÷[a[ (because [ [
is a continuous map), and so [a[ is a limit point for the set [1
×
[. But [1
×
[ is closed (being
discrete), and so [a[ ÷ [1
×
[. Thus [
´
1[ =[1[, and so [ [ is a discrete valuation on
´
1 also.
Let ord: 1
×
Z be a normalized discrete additive valuation corresponding to [ [; then ord
extends to a normalized discrete valuation on
´
1.
Note that if a
n
÷a =0, then [a
n
[ ÷[a[ =0, and (because [1
×
[ is discrete), [a
n
[ =[a[
for all n large enough.
The ring associated with [ [ in
´
1 is
´
· ={a ÷
´
1 [ [a[ _1].
111
7. VALUATIONS; LOCAL FIELDS
Clearly
´
· is the set of limits of Cauchy sequences in ·, and it is therefore the closure of ·
in
´
1. The maximal ideal in
´
· is
´ m={a ÷
´
1 [ [a[ <1].
Again it is the set of limits of Cauchy sequences in m, and so it is the closure of m. Similarly,
´ m
n
is the closure of m
n
. Let ¬ be an element with ord(¬) = 1; then ¬ generates m in ·
and ´ m in
´
·.
LEMMA 7.25 For any n, the map ·,m
n
÷
´
·, ´ m
n
is an isomorphism.
PROOF. Note that
m
n
={a ÷ · [ [a[ _[¬[
n
] ={a ÷ · [ [a[ <[¬[
n1
]
is both open and closed in ·. Because it is closed, the map is injective; because ´ m
n
is open,
the map is surjective.
2
PROPOSITION 7.26 Choose a set S of representatives for ·,m, and let ¬ generate m. The
series
a
n
¬
n
÷ ÷a
0
÷a
1
¬ ÷ ÷a
n
¬
n
÷ . a
i
÷ S
is a Cauchy series, and every Cauchy series is equivalent to exactly one of this form. Thus
each element of
´
1 has a unique representative of this form.
PROOF. Let s
Æ
=
Æ
i=n
a
i
¬
i
. Then
[s
Æ
÷s
1
[ _[¬[
Æ÷1
, if M <N.
which shows that the sequence s
Æ
is Cauchy. Let ˛ ÷
´
1. Because [
´
1[ = [1[, we can
write ˛ =¬
n
˛
0
with ˛
0
a unit in
´
·. From the deﬁnition of S, we see that there exists an
a
0
÷ S such that ˛
0
÷a
0
÷ ´ m. Now
˛
0
o
0
t
÷
´
·, and so there exists an a
1
÷ S such that
˛
0
o
0
t
÷a
1
÷ ´ m. Now there exists an a
2
such that
˛
0
o
0
o
1
t
t
2
÷a
2
÷ ´ m, etc. In the limit,
˛
0
=a
0
÷a
1
¬ ÷ . ˛ =¬
n
˛
0
.
Note that
[
a
i
¬
i
[ =[¬
n
[
if a
n
is the ﬁrst nonzero coefﬁcient. Therefore
a
i
¬
i
=0 (if and) only if a
i
=0 for all i .
This proves the uniqueness.
2
Thus, for example, every equivalence class of Cauchy sequences in ¸ for [ [
]
has a
unique representative of the form
a
n
¸
n
÷ ÷a
0
÷a
1
¸÷a
2
¸
2
÷ . 0 _a
i
<¸.
Note that the partial sums of such a series are rational numbers. It is as easy to work with
such series as with decimal expansions of real numbers — just remember high powers of ¸
are small, and hence the ﬁrst to be ignored.
112
Completions in the nonarchimedean case
We explain this in more detail. The maps
Z,(¸
n
) ÷Z
(])
,(¸
n
) ÷Z
]
,(¸
n
)
are both bijective (see 3.10 for the ﬁrst map). Let ˛ ÷ Z
]
. Because the map is bijective, for
all n, there is an a
n
÷ Z such that ˛ ÷a
n
mod ¸
n
. Note that, if n <m, a
n
÷a
n
mod ¸
n
,
which implies that (a
n
) is a Cauchy sequence. Let
a
n
÷c
0
÷c
1
¸÷ ÷c
n1
¸
n1
mod ¸
n
. 0 _c
i
_¸÷1:
then
˛ =
i_0
c
i
¸
i
.
Conversely, if ˛ =
c
i
¸
i
, 0 _c
i
_¸÷1, then c
0
. c
1
. . . . is the unique sequence of integers,
0 _c
i
_¸÷1, such that
˛ ÷
n1
i=0
c
i
¸
i
mod ¸
n
.
If ˛ ÷ ¸
]
but not Z
]
, then ¸
n
˛ ÷ Z
]
for a sufﬁciently large m, and the above arguments
can be applied to it.
The following examples illustrate how to work with ¸adic numbers.
EXAMPLE 7.27 In ¸
2
.
1÷2÷ ÷2
n
÷
converges to ÷1, because the sum of the ﬁrst n terms is
2
n
÷1
2÷1
=2
n
÷1
which converges to ÷1.
EXAMPLE 7.28 I claim that ÷1 is a square in ¸
5
. We have to ﬁnd a series
a
0
÷a
1
5÷a
2
5
2
÷ . a
i
=0. 1. 2. 3, or 4
such that
(a
0
÷a
1
5÷a
2
5
2
÷...)
2
÷1 =0.
We ﬁrst need that
a
2
0
÷1 ÷0 mod 5.
Thus we must take a
0
= 2 or 3; we choose 2 (choosing 3 would lead to the other root).
Next we need
(2÷a
1
5)
2
÷1 ÷0 mod 5
2
.
and so we want
5÷20a
1
÷0 (mod 5
2
).
We must take a
1
=1. Suppose we have found
c
n
=a
0
÷a
1
5÷a
2
5
2
÷ ÷a
n
5
n
113
7. VALUATIONS; LOCAL FIELDS
such that
c
2
n
÷1 ÷0 (mod 5
n÷1
).
and consider c
n
÷a
n÷1
5
n÷1
. We want
(c
n
÷a
n÷1
5
n÷1
)
2
÷1 ÷0 (mod 5
n÷2
),
for which we need that
c
2
n
÷1÷2c
n
a
n÷1
5
n÷1
÷0 (mod 5
n÷2
).
or that
2c
n
a
n÷1
5
n÷1
÷(÷1÷c
2
n
) (mod 5
n÷2
).
or that
2c
n
a
n÷1
÷(÷1÷c
2
n
),5
n÷1
(mod 5).
or that
4a
n÷1
=(÷1÷c
2
n
),5
n÷1
(mod 5).
Since 4 is invertible modulo 5, we can always achieve this. Hence we obtain a series
converging to ÷1. In fact,
_
÷1 =
1
2
_
1÷5 =
1
2
o
n=0
(÷1)
n
_
1
2
n
_
5
n
.
EXAMPLE 7.29 We study the convergence of the power series
exp(.) =1÷. ÷
.
2
2Š
÷ ÷
.
n
nŠ
÷
in ¸
]
. Write
n =a
0
÷a
1
¸÷ ÷a
i
¸
i
. 0 _a
i
_¸÷1.
Then
ord
]
(nŠ) =
_
n
¸
_
÷
_
n
¸
2
_
÷ ÷
_
n
¸
i
_
.
where here Œa denotes the ﬂoor of a (largest integer less than a), and
_
n
¸
_
= a
1
÷ a
2
¸÷a
3
¸
2
÷ ÷a
i
¸
i1
_
n
¸
2
_
= a
2
÷a
3
¸ ÷ ÷a
i
¸
i2
_
n
¸
i
_
= a
i
On summing these equalities, we ﬁnd that
ord
]
(nŠ) =a
0
¸
0
÷1
¸÷1
÷a
1
¸
1
÷1
¸÷1
÷a
2
¸
2
÷1
¸÷1
÷ ÷a
i
¸
i
÷1
¸÷1
=
n÷
a
i
¸÷1
.
114
Newton’s lemma
Therefore
ord
]
_
.
n
nŠ
_
=n
_
ord
]
(.) ÷
1
]1
_
÷
o
i
]1
.
As
o
i
]1
_
log(n)
log(])
, we see that
x
n
nŠ
÷0 if and only if ord(.) >
1
]1
. Therefore (see Exercise
72), the series exp(.) converges for ord(.) >
1
]1
.
There is a leisurely, and very detailed, discussion of ¸
]
in the ﬁrst chapter of Koblitz
1977
3
.
ASIDE 7.30 Those who have taken a course in commutative algebra will know another method of
completing a local ring 1, namely
1
t
=lim

1,m
n
={(a
n
) [ a
n
÷ 1,m
n
. a
n÷1
÷a
n
mod m
n
].
In the case that 1 is a discrete valuation ring, this deﬁnition agrees with the above. There is an
injective homomorphism
1 ÷1
t
. a ÷(a
n
). a
n
=a mod ¬
n
.
We can deﬁne a homomorphism 1
t
÷
´
1 as follows: let (a
n
) ÷ 1
t
, and choose a representative a
t
n
for a
n
in 1; then (a
t
n
) is an Cauchy sequence whose equivalence class is independent of the choices
of the a
t
n
, and we can map (a
n
) to (a
t
n
). It is easy to see that the map 1
t
÷
´
1 is surjective, and it
follows that it is an isomorphism.
Newton’s lemma
The argument in the above example works much more generally. Let ¡(X) =X
2
÷1. Then
all we in fact used was that ¡(X) has a simple root modulo 5.
In the rest of this subsection, · is a complete discrete valuation ring and ¬ generates its
maximal ideal (unless we say otherwise).
PROPOSITION 7.31 Let ¡(X) ÷ ·ŒX, and let a
0
be a simple root of ¡(X) mod ¬. Then
there is a unique root a of ¡(X) with a ÷a
0
mod ¬.
PROOF. Suppose we have found a
n
÷a
0
mod ¬ such that
¡(a
n
) ÷0 mod ¬
n÷1
.
Let a
n÷1
=a
n
÷h¬
n÷1
, h ÷ ·. We want
¡(a
n
÷h¬
n÷1
) ÷0 mod ¬
n÷2
.
Recall (trivial Taylor’s expansion) that, for any polynomial ¡.
¡(c ÷t ) =¡(c) ÷t ¡
t
(c) ÷
where ¡
t
(X) is the formal derivative of ¡(X). Then
¡(a
n
÷h¬
n÷1
) =¡(a
n
) ÷h¬
n÷1
¡
t
(a
n
) ÷ .
3
Koblitz, Neal. ¸adic numbers, ¸adic analysis, and zetafunctions. Graduate Texts in Mathematics, Vol.
58. SpringerVerlag, New YorkHeidelberg, 1977.
115
7. VALUATIONS; LOCAL FIELDS
which we want ÷0 mod ¬
n÷2
. Hence we must take h so that
h =÷
¡(a
n
)
¬
n÷1
¡
t
(a
n
)
1
mod ¬.
This is possible because ¬
n÷1
[¡(a
n
) and
¡
t
(a
n
) ÷¡
t
(a
0
) mod ¬.
which is nonzero, and hence invertible, mod ¬.
2
There is a stronger form of the proposition. Recall Newton’s approximation
4
method
for ﬁnding a solution to ¡(.) =0, where ¡ is a function of a real variable. Starting from
an a
0
such that ¡(a
0
) is small, deﬁne a sequence a
1
. a
2
. ... by putting
a
n÷1
=a
n
÷¡(a
n
),¡
t
(a
n
).
Often a
n
converges to a root of ¡(.). In the above proof, this is what we did, but the same
argument can be made to work more generally.
THEOREM 7.32 (NEWTON’S LEMMA) Let ¡(X) ÷ ·ŒX. Let a
0
÷ · satisfy
[¡(a
0
)[ <[¡
t
(a
0
)[
2
.
Then there is a unique root a of ¡(X) such that
[a÷a
0
[ _
ˇ
ˇ
ˇ
ˇ
¡(a
0
)
¡
t
(a
0
)
2
ˇ
ˇ
ˇ
ˇ
.
PROOF. Deﬁne a sequence a
0
. a
1
. . . . by setting
a
n÷1
=a
n
÷
¡(a
n
)
¡
t
(a
n
)
and prove that it is a Cauchy sequence converging to a root of ¡(X). See, for example,
Milne 2006, 2.12.
2
Proposition 7.31 shows that a simple factor of degree 1 of ¡(X) mod ¬ lifts to a factor
of ¡(X). This generalizes.
THEOREM 7.33 (HENSEL’S LEMMA) Let k be the residue ﬁeld of ·; for ¡(X) ÷ ·ŒX,
write
¨
¡ (X) for the image of ¡ in kŒX. Consider a monic polynomial ¡(X) ÷ ·ŒX. If
¨
¡ (X) factors as
¨
¡ = g
0
h
0
with g
0
and h
0
monic and relatively prime (in kŒX), then ¡
itself factors as ¡ =gh with g and h monic and such that ¨ g =g
0
and
¨
h =h
0
. Moreover,
g and h are uniquely determined, and (g. h) =·ŒX.
We ﬁrst prove that (g. h) = ·ŒX (such a pair is said to be strictly coprime; in kŒX
strictly coprime just means coprime, i.e., relatively prime).
4
When Newton found his interpolation formula in 1670, ancient Chinese mathematicians had been using
the formula in more sophisticated forms for more than one millennium. He, JiHuan, Appl. Math. Comput.
152 (2004), no. 2, 367–371.
116
Newton’s lemma
LEMMA 7.34 Let · be a local ring with residue ﬁeld k. If ¡. g ÷ ·ŒX are such that
¨
¡
and ¨ g are relatively prime and ¡ is monic, then (¡. g) =·ŒX. More precisely, there exist
u. · ÷ ·ŒX with degu <degg and deg· < deg¡ such that
u¡ ÷·g =1. (18)
PROOF. Let M =·ŒX,(¡. g). As ¡ is monic, this is a ﬁnitely generated ·module. As
(
¨
¡ . ¨ g) =kŒX, we have that (¡. g) ÷m·ŒX =·ŒX and so mM =M. Now Nakayama’s
Lemma (1.9) implies that M =0.
This shows that there exist u. · ÷ ·ŒX such that (18) holds. If deg· _ deg¡ , write
· =¡q ÷r with degr < deg¡ . Then
(u÷qg)¡ ÷rg =1.
and u÷qg automatically has degree <degg.
2
We next prove uniqueness of g and h.
LEMMA 7.35 Let · be a local ring with residue ﬁeld k. Suppose ¡ = gh = g
t
h
t
with
g. h. g
t
. h
t
all monic, and ¨ g = ¨ g
t
,
¨
h =
¨
h
t
with ¨ g and
¨
h relatively prime. Then g =g
t
and
h =h
t
.
PROOF. From the preceding lemma we know that (g. h
t
) =·ŒX, and so there exist r. s ÷
·ŒX such that gr ÷h
t
s =1. Now
g
t
=g
t
gr ÷g
t
h
t
s =g
t
gr ÷ghs.
and so g divides g
t
. As both are monic and have the same degree, they must be equal.
2
Finally, we prove the existence of g and h. We are given that there exist monic polyno
mials g
0
, h
0
÷ ·ŒX such that
¡ ÷g
0
h
0
÷ ¬ ·ŒX.
Suppose we have constructed monic polynomials g
n
, h
n
such that
¡ ÷g
n
h
n
÷0 mod ¬
n÷1
·ŒX
and g
n
÷g
0
, h
n
÷h
0
mod ¬·ŒX. We want to ﬁnd u, · ÷ ·ŒX with degu < degg
0
and
deg· < degh
0
such that
¡ ÷(g
n
÷¬
n÷1
u)(h
n
÷¬
n÷1
·) ÷0 mod ¬
n÷2
·ŒX.
i.e., such that
(¡ ÷g
n
h
n
) ÷¬
n÷1
(uh
n
÷g
n
·) ÷0 mod ¬
n÷2
·ŒX.
Thus we are looking for polynomials u, · in ·ŒX with degu < degg
0
and deg· < degh
0
such that
uh
n
÷g
n
· ÷(¡ ÷g
n
h
n
),¬
n÷1
mod ¬·ŒX.
Because g
0
and h
0
are monic and relatively prime, Lemma 7.34 shows that such polyno
mials exist.
117
7. VALUATIONS; LOCAL FIELDS
REMARK 7.36 An induction argument extends the theorem to show that a factorization of
¡ into a product of relatively prime polynomials in kŒX lifts to a factorization in ·ŒX.
For example, in F
]
ŒX, X
]
÷X splits into ¸ distinct factors, and so it also splits in Z
]
ŒX.
Hence Z
]
contains the (¸÷1)st roots of 1. More generally, if 1 has a residue ﬁeld k with
q elements, then 1 contains q roots of the polynomial X
q
÷X. Let S be the set of these
roots. Then
a ÷ ¨ a: S ÷k.
is a bijection preserving multiplication (but not, of course, addition) – the elements of S are
called the Teichm¨ uller representatives for the elements of the residue ﬁeld.
REMARK 7.37 Theorems 7.32 and 7.33 are both stronger versions of 7.31. There is in fact
a stronger version of 7.32. For a polynomial h =
c
i
X
i
, deﬁne
[h[ =max[c
i
[.
Let
¡(X) =a
n
X
n
÷a
n1
X
n1
÷ ÷a
0
÷ ·ŒX
have [a
n
[ =1 (i.e., a
n
is a unit). Let g
0
(X) and h
0
(X) be polynomials in ·ŒX with degrees
r and s respectively, and suppose that
[¡(X) ÷g
0
(X)h
0
(X)[ <[ Res(g
0
(X). h
0
(X))[
2
where Res denotes the resultant. Then ¡(X) factors in ·ŒX as the product of a polynomial
of degree r and a polynomial of degree s. The proof follows the same general lines as the
above proofs. In fact, the hypothesis can be replaced by
[¡(X) ÷g
0
(X)h
0
(X)[ <[disc(¡ )[.
(For this, see Cassels 1986, p107.)
Note that, this gives an algorithm for factoring polynomials in ¸
]
ŒX (for example).
Given ¡(X), compute disc(¡ ). If this is zero, then ¡ and ¡
t
have a common factor,
which we can ﬁnd by the Euclidean algorithm. Otherwise ord(disc(¡ )) =m for some m,
and it is enough to consider factorizations of ¡ into polynomials with coefﬁcients in the
ﬁnite ring Z,¸
n
Z. Apparently the fastest algorithms for factoring polynomials in ZŒX
begin by factoring in Z
]
ŒX for an appropriate prime ¸ — computers seem to have no
problem handling polynomials of degree 200. (But Exercise 76 shows that there exist
irreducible polynomials in ZŒX of arbitrarily large degree that factor in all the rings Z
]
ŒX
into polynomials of low degree.)
Extensions of nonarchimedean valuations
We explain how to extend a valuation to a larger ﬁeld.
THEOREM 7.38 Let 1 be complete with respect to a discrete valuation [ [
1
, and let 1 be a
ﬁnite separable extension of 1 of degree n. Then [ [ extends uniquely to a discrete valuation
[ [
1
on 1, and 1 is complete for the extended valuation. For all ˇ ÷ 1.
[ˇ[
1
=[ Nm
1{1
ˇ[
1{n
1
.
118
Extensions of nonarchimedean valuations
PROOF. Let A be the discrete valuation ring in 1, and let T be its integral closure in 1.
Let p be the maximal ideal of ·. We know from (3.29) that T is a Dedekind domain, and
the valuations of 1 extending [ [
p
correspond to the ideals of T lying over p.
Suppose that there are distinct prime ideals P
1
and P
2
in T dividing p. There will be
a ˇ ÷ T such that P
1
¨·Œˇ =P
2
¨·Œˇ; for example, choose ˇ ÷ T such that ˇ ÷ P
1
,
ˇ … P
2
. Let ¡(X) be the minimum polynomial of ˇ over 1, so that ·Œˇ .·ŒX,(¡(X)).
Because ¡(X) is irreducible in ·ŒX and · is complete, Hensel’s lemma shows that
¨
¡ (X)
(image of ¡(X) in kŒX, k =·,p) must be a power of an irreducible polynomial. Then
·Œˇ,p·Œˇ ~kŒX,(
¨
¡ (X))
is a local ring, which contradicts the fact that ·Œˇ has two prime ideals containing p.
Hence [ [
p
extends uniquely to a valuation [ [ on 1.
Clearly, [ [
p
also extends uniquely to the Galois closure 1
t
of 1. For each o ÷Gal(1,1),
consider the map 1 ·÷C, ˇ ÷[oˇ[. This is again a valuation of 1, and so the uniqueness
implies that [ˇ[ =[oˇ[. Now
[ Nm(ˇ)[ =[
oˇ[ =[ˇ[
n
which implies the formula.
Finally, we have to show that 1 is complete. Let e
1
. . . . . e
n
be a basis for T as an
·module, and let (˛(m)) be a Cauchy sequence in 1. Write ˛(m) = a
1
(m)e
1
÷ ÷
a
n
(m)e
n
, with a
i
(m) ÷ 1. For each i , a
i
(m) is a Cauchy sequence, and if a
i
denotes its
limit, then ˛
df
=a
1
e
1
÷ ÷a
n
e
n
is the limit of the sequence ˛(m).
2
REMARK 7.39 It is obvious from the criterion (7.2) that a nonarchimedean valuation can
only extend to a nonarchimedean valuation. It is possible to prove (7.38) without assuming
that the valuation [ [ on 1 is discrete or even nonarchimedean, but the proof is then com
pletely different, and much longer — we shall in fact need this in the Chapter 8, and so I
should have included it. The formula [ˇ[
1
= [ Nm
1{1
ˇ[
1{n
1
shows that [ [
1
is discrete if
and only if [ [
1
is discrete.
COROLLARY 7.40 Let 1 be as in the theorem, and let ˝ be a (possibly inﬁnite) separable
algebraic extension of 1. Then [ [ extends in a unique way to a valuation [ [ on ˝.
PROOF. The theorem shows that [ [ extends in a unique way to any ﬁnite subextension of
˝, and hence it extends uniquely to ˝.
2
REMARK 7.41 In the last corollary, the extended valuation is still nonarchimedean, but it
need not be discrete, and ˝ need not be complete. However, the completion of ˝ is again
algebraically closed.
For example as we noted in (7.6), the valuation on the algebraic closure ¸
al
]
of ¸
]
is not
discrete, and Exercise 77 shows that ¸
al
]
is not complete. The completion of ¸
al
]
is often
denoted C
]
because it plays the same role for the ¸adic valuation on ¸that C plays for the
real valuation. (In fact C
]
~C as abstract ﬁelds because they are both algebraically closed,
and they both have a transcendence basis with cardinality equal to that of 1. The isomor
phism is as far from being canonical as it is possible to get — its construction requires the
axiom of choice.)
119
7. VALUATIONS; LOCAL FIELDS
COROLLARY 7.42 Let 1 and 1 be as in the theorem; then n =e¡ where n =Œ1 : 1, e
is the ramiﬁcation index, and ¡ is the degree of the residue ﬁeld extension.
PROOF. We know from (3.34) that n =
e
i
¡
i
. In this case, there is only one prime divid
ing p and so the formula becomes n =e¡.
2
When e =n, so that pT =P
n
, we say that 1 is totally ramiﬁed over 1; when ¡ =n,
we say that 1 is unramiﬁed over 1.
Note that the valuation ring T of 1 is the integral closure of the valuation ring · of 1.
Many of the results proved above for complete discrete valuation rings hold also for
Henselian local rings (see §4 of my notes Lectures on Etale Cohomology).
REMARK 7.43 Let 1 be complete with respect to a discrete valuation, and let 1 be a ﬁnite
extension of 1. Let P and p be the maximal ideals in the rings of integers · and T of
1 and 1. Then pT = P
e
where e is the ramiﬁcation index. Let ¬ and ˘ be generators
of p and P. The normalized valuations ord
1
and ord
1
on 1 and 1 are characterized by
equations:
ord
1
(¬) =1. ord
1
(˘) =1.
Note that ¬ =˘
e
×unit, and so
ord
1
=e
1
ord
1
.
If we denote the extension of ord
1
to 1 by ord, then
ord(1
×
) =e
1
Z.
This characterizes the ramiﬁcation index.
Newton’s polygon
Let 1 be complete with respect to a discrete valuation. Let ord be the corresponding addi
tive valuation ord: 1
×
Z, and extend ord to a valuation ord : 1
al×
÷¸. For a polynomial
¡(X) =X
n
÷a
1
X
n1
÷ ÷a
n
. a
i
÷ 1.
deﬁne the Newton polygon
5
of ¡(X) to be the lower convex hull of the set of points
1
i
def
=(i. ord(a
i
)), i =0. .... n.
In more detail, rotate the negative ,axis counterclockwise about 1
0
=(0. 0) until it hits
a 1
i
— the ﬁrst segment of the Newton polygon is the line 1
0
1
i
1
where 1
i
1
is the point
furthest from 1
0
on the rotated ,axis. Repeat the process rotating about 1
i
1
, etc.. The
resulting polygon starts at 1
0
and ends at 1
n
; each of its segments begins and ends at a 1
i
;
each 1
i
either lies on the polygon or is above it; any line joining two points of the polygon
has no point that is below the polygon (this is what we mean by the Newton polygon being
lower convex).
5
Most people write the polynomial a
0
÷a
1
X ÷ ÷X
n
when they deﬁne Newton polygons. This is
slightly less convenient than the way I do it, but allows you to deﬁne the Newton polygon of a power series.
120
Newton’s polygon
PROPOSITION 7.44 Suppose that the Newton polygon of ¡(X) ÷ 1ŒX has segments of
.length n
i
and slope s
i
. Then ¡(X) has exactly n
i
roots ˛ (in 1
al
) with
ord(˛) =s
i
.
Moreover, the polynomial ¡
i
(X)
def
=
ord(˛
i
)=x
i
(X ÷˛
i
) has coefﬁcients in 1.
PROOF. In proving the ﬁrst part, we don’t have to assume that ¡(X) has coefﬁcients in 1
— any ﬁnite extension of 1 will do. Thus it sufﬁces to prove the following statement: let
¡(X) =
(X ÷˛
}
); if exactly n
i
of the ˛
}
’s have ord(s
i
), then the Newton polygon of
¡(X) has a segment of slope s
i
and .length n
i
.
We prove this by induction on n =deg(¡ ). If n =1, then it is obvious. Assume it for
n, and put
g(X) =(X ÷˛)¡(X) =X
n÷1
÷b
1
X
n
÷b
2
X
n1
÷ ÷b
n÷1
.
Note that b
i
=a
i
÷˛a
i1
.
CASE (i). ord(˛) < s
1
. Recall ord(a ÷b) _ min{ord(a). ord(b)], with equality if
ord(a) =ord(b). Using this, one ﬁnds that
the Newton polygon of g is obtained from that of ¡ by adding a segment of slope ord(˛)
and .length 1, and moving the Newton polygon of ¡ to start at (1. ord(˛)). This is what
the proposition predicts.
CASE (ii). ord(˛) =s
1
. In this case, the initial segment of slope s
1
is lengthened by 1,
and the rest of the polygon is as before. This is what the proposition predicts.
The remaining cases are similar.
We now prove the second statement. Let ˛ be a root of ¡(X), and let m
˛
(X) be the
minimum polynomial of ˛. As we saw in the proof of (7.38), ord(˛
t
) = ord(˛) for all
conjugates ˛
t
of ˛, i.e., for all roots of m
˛
(X). Because ¡(˛) =0, m
˛
(X)[¡(X), and the
remark just made implies that in fact m
˛
(X)[¡
i
(X) where s
i
= ord(˛). If ˇ is a root of
¡
i
(X),m
˛
(X), then a similar argument shows that m
ˇ
(X)[(¡
i
,m
˛
). Continuing in this
way, we ﬁnd that ¡
i
(X) is a product of polynomials with coefﬁcients in 1.
2
EXAMPLE 7.45 Consider the polynomial
6
¡(X)
def
=X
3
÷X
2
÷2X ÷8.
By testing ˙1, ˙2, ˙4, ˙8 (actually, by asking PARI) one sees that this polynomial is
irreducible over ¸. The Newton polygon of ¡ relative to ord
2
has slopes 0. 1. 2, each with
.length 1. Therefore ¡ splits in ¸
2
ŒX, and it has roots ˛
1
, ˛
2
, ˛
3
with ords 0, 1, 2.
6
Keith Conrad suggests changing the polynomial to X
3
÷X
2
÷2X ÷8. As he writes: The roots of this
are the negatives of the roots of X
3
÷X
2
÷2X ÷8, so you don’t lose anything but you do gain simplicity of
appearance: having all signs past the leading term equal makes it easier to remember what the polynomial is!
Perhaps Dedekind himself even used the choice with all negative coefﬁcients; I haven’t looked up his paper to
be sure, but I did check in Hensel’s 1894 Crelle paper on extraordinary prime factors of the discriminant that
he wrote the polynomial as X
3
÷X
2
÷2X ÷8.
121
7. VALUATIONS; LOCAL FIELDS
Locally compact ﬁelds
We now look at the compactness properties of our ﬁelds.
PROPOSITION 7.46 Let 1 be complete with respect to a nonarchimedean discrete valua
tion. Let · be the ring of integers in 1 and let m be the maximal ideal in ·. Then · is
compact if and only if ·,m is ﬁnite.
PROOF. Let S be a set of representatives for ·,m. We have to show that · is compact if
and only if S is ﬁnite.
=: Clearly m={. ÷ 1 [ [.[ < 1] is open in 1. As · is the disjoint union of the open
sets s ÷m, s ÷ S, S must be ﬁnite if · is compact.
=: Recall that a metric space X is compact if and only if it is complete and totally
bounded (this means that for any r > 0, there is a ﬁnite covering of X by open balls of
radius r). But every element of · can be written
s
0
÷s
1
¬ ÷s
2
¬
2
÷ ÷s
n
¬
n
÷ . s
i
÷ S.
For a ﬁxed n, there are only ﬁnitely many sums
s
0
÷s
1
¬ ÷s
2
¬
2
÷ ÷s
n
¬
n
. s
i
÷ S.
and every element of · is within [¬
n÷1
[ of such an element.
2
COROLLARY 7.47 Assume that the residue ﬁeld is ﬁnite. Then p
n
, 1÷p
n
, and ·
×
are all
compact.
PROOF. They are all closed subsets of ·.
2
DEFINITION 7.48 A local ﬁeld is a ﬁeld 1 with a nontrivial valuation [ [ (as deﬁned at the
start of this section) such that 1 is locally compact (and hence complete).
REMARK 7.49 It is possible to give a complete classiﬁcation of local ﬁelds.
(a) Let 1 be a ﬁeld that is complete with respect to an archimedean valuation [ [; then
1 is isomorphic to 1 or C, and the valuation is equivalent to the usual absolute value (also
a theorem of Ostrowski).
7
Thus for archimedean valuations, completeness implies local
compactness.
(b) A nonarchimedean local ﬁeld 1 of characteristic zero is isomorphic to a ﬁnite exten
sion of ¸
]
, and the valuation is equivalent to the (unique) extension of the ¸adic valuation.
7
Here is a sketch of the proof. The ﬁeld 1 contains ¸, and the restriction of [ [ to ¸ is the usual absolute
value. Therefore 1 contains 1, and after adjoining a square root of ÷1 (if necessary), we may assume 1 ¸C.
Let . ÷ 1C, and let c be the closest element of C to .. Replace . with . ÷c, so that now [. ÷:[ _ [.[
for all : in C. It follows that
[.
n
÷:
n
[ =[. ÷:[[. ÷¸:[[. ÷¸
2
:[ _[. ÷:[[.[
n1
.
where ¸ is a primitive nth root of 1.
On choosing [:[ <1 and letting n ÷o, we ﬁnd that [.[ _[. ÷:[. Hence [. ÷:[ =[.[ and so (taking . ÷:
in place of .) [. ÷2:[ =[.[, and thus (repeating the argument) [. ÷n:[ =[.[, contradicting the archimedean
property.
122
Unramiﬁed extensions of a local ﬁeld
(To prove this, note that, by assumption, 1 contains ¸. The restriction of [ [ to ¸ can’t be
the trivial valuation, because otherwise ·
×
wouldn’t be compact. Therefore (see 7.12) [ [
induces a valuation on ¸ equivalent to the ¸adic valuation for some prime number ¸. The
closure of ¸ in 1 is therefore ¸
]
. If 1 has inﬁnite degree over ¸
]
, it will not be locally
compact.)
(c) A nonarchimedean local ﬁeld 1 of characteristic ¸ = 0 is isomorphic to the ﬁeld
of formal Laurent series k((T )) over a ﬁnite ﬁeld k. The ﬁeld k((T )) is the completion of
k(T ) for the valuation deﬁned by the ideal (T ) Ç kŒT ; it consists of ﬁnitetailed formal
power series:
o
i_n
a
i
T
i
.
Unramiﬁed extensions of a local ﬁeld
Again 1 is a ﬁeld complete with respect to a discrete valuation [ [. To avoid problems with
separability, we assume that 1 and the residue ﬁeld k are both perfect
8
— of course in the
case we are particularly interested in, 1 has characteristic zero and k is ﬁnite. Let · be the
discrete valuation ring in 1 corresponding to [ [.
If 1 is an algebraic (possibly inﬁnite) extension of 1, we can still deﬁne
T ={˛ ÷ 1 [ [˛[ _1]
p ={˛ ÷ T [ [˛[ <1]
and call T,p the residue ﬁeld of 1.
PROPOSITION 7.50 Let 1 be an algebraic extension of 1, and let l be the residue ﬁeld of
1. The map 1
t
÷k
t
sending an unramiﬁed extension 1
t
of 1 contained in 1 to its residue
ﬁeld k
t
is a onetoone correspondence between the sets
{1
t
Ç1, ﬁnite and unramiﬁed over 1] {k
t
Çl, ﬁnite over k].
Moreover:
(a) if 1
t
k
t
and 1
tt
k
tt
, then 1
t
Ç1
tt
” k
t
Çk
tt
:
(b) if 1
t
k
t
, then 1
t
is Galois over 1 if and only if k
t
is Galois over k, in which case
there is a canonical isomorphism
Gal(1
t
,1) ÷Gal(k
t
,k).
PROOF. Let k
t
be a ﬁnite extension of k. We can write it k
t
= kŒa. Let ¡
0
(X) be the
minimum polynomial of a over k, and let ¡(X) be any lifting of ¡
0
(X) to ·ŒX. As a is
a simple root of ¡
0
(X), Newton’s lemma (7.31) shows that there is a (unique) ˛ ÷ 1 such
that ¡(˛) =0 and ˛ ÷a mod p. Now 1
t
def
=1Œ˛ has residue ﬁeld k
t
. Thus 1
t
÷k
t
is
surjective. Suppose that 1
t
and 1
tt
are unramiﬁed extensions of 1 in 1 with the same
8
When k is not perfect, we should deﬁne 1,1 to be unramiﬁed if (a) the ramiﬁcation index is 1, and (b)
the residue ﬁeld extension is separable. These conditions imply that 1,1 is separable. With this deﬁnition,
(7.50) continues to hold without 1 and k being assumed to be perfect
123
7. VALUATIONS; LOCAL FIELDS
residue ﬁeld k
t
. Then 1
t
1
tt
is an unramiﬁed extension
9
of 1 (see 6.5 and 6.6b) with
residue ﬁeld k
t
. Hence
Œ1
t
1
tt
: 1 =Œk
t
: k =Œ1
t
: 1.
and so 1
tt
=1
t
.
Statement (a) is obvious.
Assume 1
t
is Galois over 1; then Gal(1
t
,1) preserves ·
t
(the valuation ring in 1
t
)
and its maximal ideal, and so we get a map Gal(1
t
,1) ÷Aut(k
t
,k). Write k
t
= kŒa,
and let g(X) ÷ ·ŒX be such that ¨ g(X) ÷ kŒX is the minimum polynomial of a. Let
˛ ÷ ·
t
be the unique root of g(X) such that ¨ ˛ = a. Because 1
t
is Galois over 1, g(X)
splits in ·
t
ŒX, and this implies that ¨ g(X) splits in k
t
ŒX, and so k
t
is Galois over k. Let
¡ =Œk
t
: k =Œ1
t
: 1, and let ˛
1
. . . . . ˛
(
be the roots of g(X). Then
{˛
1
. .... ˛
(
] ={o˛ [ o ÷ Gal(1,1)].
Because ¨ g(X) is separable, the ˛
i
are distinct modulo p, and this shows that the image of
the map Gal(1
t
,1) ÷Gal(k
t
,k) has order ¡ , and hence is an isomorphism. Conversely,
suppose k
t
,k is Galois. Again write k
t
=kŒa, and ˛ ÷ ·
t
lift a. It follows from Hensel’s
lemma that ·
t
contains the conjugates of ˛, and hence that 1
t
is Galois over 1.
2
COROLLARY 7.51 There is a ﬁeld 1
0
Ç 1 containing all unramiﬁed extensions of 1 in
1 (called the largest unramiﬁed extension of 1 in 1). In fact, it is obtained from 1 by
adjoining all roots of 1 of order prime to the characteristic of k.
PROOF. This is an obvious consequence of the theorem.
2
COROLLARY 7.52 The residue ﬁeld of 1
al
is k
al
; there is a subﬁeld 1
un
of 1
al
such that
a subﬁeld 1 of 1
al
, ﬁnite over 1, is unramiﬁed if and only if 1Ç1
un
. (Recall that we are
assuming k and 1 to be perfect.)
PROOF. Let ¡
0
(X) be any polynomial in kŒX, and let ¡(X) be any lift of ¡
0
(X) to ·ŒX.
Then 1
al
contains all the roots of ¡(X), and so the residue ﬁeld k
t
of 1
al
contains all the
roots of ¡
0
(X). Hence k
t
is algebraic over k, and every polynomial in kŒX splits in k
t
, and
so it must be the algebraic closure of k.
2
REMARK 7.53 For those familiar with the language of category theory, we can be a little
more precise: there is an equivalence between the category of ﬁnite unramiﬁed extensions
of 1 and the category of ﬁnite (separable) extensions of k.
EXAMPLE 7.54 Let 1 be a local ﬁeld of characteristic zero (hence a ﬁnite extension of ¸
]
for some ¸), and let q be the order of the residue ﬁeld k of 1.
Recall from (FT 4.19) that, for each n, there is an extension k
n
of k of degree n, and
that k
n
is unique up to kisomorphism; it is the splitting ﬁeld of X
q
n
÷X. The Galois
group Gal(k
n
,k) is a cyclic group of order n, having as canonical generator the Frobenius
element . ÷.
q
.
9
The results (6.5) and (6.6b) express the discriminant of the composite of 1
t
and 1
tt
in terms of the
discriminants of 1
t
and 1
tt
, from which it follows that if a prime does not divide the discriminant of 1
t
or of
1
tt
, then it doesn’t divide the discriminant of their composite.
124
Totally ramiﬁed extensions of 1
Therefore, for each n, there is an unramiﬁed extension 1
n
of 1 of degree n, and
it is unique up to 1isomorphism; it is the splitting ﬁeld of X
q
n
÷X; the Galois group
Gal(1
n
,1) is a cyclic group of order n, having as canonical generator the Frobenius ele
ment o which is determined by the property
oˇ ÷ˇ
q
(mod p).
all ˇ ÷ T. (Here T is the discrete valuation ring in 1
n
, and p is the nonzero prime ideal in
B.)
Totally ramiﬁed extensions of 1
Let 1 be a complete discretelyvalued nonarchimedean ﬁeld, and let ¬ be a local uniformiz
ing parameter for 1. A polynomial ¡(X) ÷ 1ŒX is said to be Eisenstein if it is Eisenstein
for the maximal ideal of the ring of integers in 1, i.e., if
¡(X) =a
0
X
n
÷a
1
X
n1
÷ ÷a
n
. with [a
0
[ =1. [a
i
[ <1. [a
n
[ =[¬[.
Equivalently,
ord(a
0
) =0. ord(a
i
) >0. ord(a
n
) =1.
for the normalized additive valuation. Equivalently, the Newton polygon of ¡(X) has only
one segment, which has slope
1
n
, n = deg¡ . Eisenstein polynomials allow us to give an
explicit description of all totally ramiﬁed extensions of 1.
PROPOSITION 7.55 Let 1 be a ﬁnite extension of 1. Then 1,1 is totally ramiﬁed if and
only if 1 =1Œ˛ with ˛ a root of an Eisenstein polynomial.
PROOF. =: Suppose 1=1Œ˛ with ˛ a root of an Eisenstein polynomial ¡(X) of degree
n. If ord is the extension of the normalized discrete (additive) valuation on 1 to 1, then
ord(˛) = 1,n. This implies that the ramiﬁcation index of 1,1 is _ n. But it can’t be
greater than n, and so it is exactly n — 1 is totally ramiﬁed over 1. (Compare the proof of
6.2.)
=: Suppose 1 is a totally ramiﬁed extension of 1 of degree n. Let ˛ be a generator
of the maximal ideal in the ring of integers in 1; thus ord(˛) = 1,n if ord extends the
normalized discrete valuation on 1. The elements 1. ˛. .... ˛
n1
represent different cosets
of ord(1
×
) in ord(1
×
), and so it is impossible to have a nontrivial relation
a
0
÷a
1
˛ ÷ ÷a
n1
˛
n1
=0. a
i
÷ 1
(because of 7.11). Hence 1=1Œ˛. The elements 1. ˛. . . . . ˛
n1
. ˛
n
are linearly dependent
over 1, and so we have a relation:
˛
n
÷a
1
˛
n1
÷ ÷a
n
=0. a
i
÷ 1.
Applying (7.11) again, we see that the minimum ord of a summand must be attained for two
terms. The only way this can happen is if ord(a
i
) >0 for all i and ord(a
n
) =ord(˛
n
) =1,
i.e., if
a
i
X
i
is an Eisenstein polynomial.
2
125
7. VALUATIONS; LOCAL FIELDS
REMARK 7.56 Let 1 be a ﬁnite totally ramiﬁed extension of 1. Let · and T be the
discrete valuation rings in 1 and 1, and let ¬ and ˘ be a prime elements in · and T. I
claim that T = ·Œ˘. The argument is the same as in the proof of 6.2 (see also Exercise
61). Because T and · have the same residue ﬁeld,
·Œ˘ ÷˘T =T.
The discriminant of 1. ˘. ˘
2
. . . . is a unit×¬
n
for some m, and so
p
c
T Ç·Œ˘ ÇT
for some c. As before, these two conditions sufﬁce to imply that T =·Œ˘.
Ramiﬁcation groups
Let 1 be a ﬁnite Galois extension of 1, and assume that the residue ﬁeld k of 1 is perfect.
As we have noted, G
def
=Gal(1,1) preserves the valuation on 1. In particular, it preserves
T ={˛ ÷ 1 [ [˛[ _1]. p ={˛ ÷ 1 [ [˛[ <1].
Let ˘ be a prime element of 1 (so that p = (˘)). We deﬁne a sequence of subgroups
G ¸G
0
¸G
1
¸ by the condition:
o ÷ G
i
” [o˛ ÷˛[ <[˘[
i
, all ˛ ÷ T.
The group G
0
is called the inertia group, the group G
1
is called the ramiﬁcation group,
and the groups G
i
, i >1, are called the higher ramiﬁcation groups of 1 over 1.
LEMMA 7.57 The G
i
are normal subgroups of G, and G
i
={1] for i large enough.
PROOF. For o. t ÷ G,
[t
1
ot˛ ÷˛[ =[o(t˛) ÷(t˛)[
(because [.[ = [t.[). As ˛ runs through T, so also does t˛, and so t
1
ot ÷ G
i
exactly
when o does. This proves that G
i
is normal.
If o =1, then o˛ =˛ for some ˛ ÷ T. Hence o … G
i
as soon as [o˛ ÷˛[ _[˘[
i
.
2
THEOREM 7.58 Let 1,1 be a Galois extension, and assume that the residue ﬁeld exten
sion l,k is separable.
(a) The ﬁxed ﬁeld of G
0
is the largest unramiﬁed extension 1
0
of 1 in 1, and
G,G
0
=Gal(1
0
,1) =Gal(l,k).
(b) For i _1, the group
G
i
={o ÷ G
0
[ [o˘ ÷˘[ <[˘[
i
].
126
Krasner’s lemma and applications
PROOF. (a) Let 1
0
be the largest unramiﬁed extension in 1 (see 7.51). Then o1
0
is also
unramiﬁed, and so it is contained in 1
0
. Thus 1
0
is Galois over 1, and the canonical map
Gal(1
0
,1) ÷Gal(l,k) is an isomorphism (see 7.50). By deﬁnition G
0
is the kernel of
G ÷Gal(l,k), and so 1
0
is its ﬁxed ﬁeld.
(b) Let ·
0
be the discrete valuation ring in 1
0
. Then T =·
0
Œ˘ (by 7.56). Since G
0
leaves ·
0
ﬁxed, in order to check that o ÷ G
i
it sufﬁces to check that [o˛ ÷˛[ < [˘[
i
for
the element ˛ =˘.
2
COROLLARY 7.59 We have an exhaustive ﬁltration G ¸G
0
¸ such that
G,G
0
=Gal(l,k):
G
0
,G
1
·÷l
×
:
G
i
,G
i÷1
·÷l.
Therefore, if k is ﬁnite, then Gal(1,1) is solvable.
PROOF. Let o ÷ G
0
; then o˘ is also a prime element and so o˘ =u˘ with u a unit in
T. The map o ÷u mod p is a homomorphism G
0
÷l
×
with kernel G
1
.
Let o ÷ G
i
. Then [o˘ ÷˘[ _ [˘[
i÷1
, and so o˘ = ˘ ÷a˘
i÷1
some a ÷ T. The
map o ÷a (mod p) is a homomorphism G
i
÷l with kernel G
i÷1
.
2
An extension 1,1 is said to be wildly ramiﬁed if ¸[e where ¸ =char(k). Otherwise
it is said to be tamely ramiﬁed. Hence for a Galois extension
1,1 is unramiﬁed ” G
0
={1].
and
1,1 is tamely ramiﬁed ” G
1
={1].
Krasner’s lemma and applications
Again let 1 be complete with respect to a discrete nonarchimedean valuation [ [, and extend
the valuation (uniquely) to a valuation on 1
al
. It is clear from our discussion of unramiﬁed
extensions of 1 that roots of distinct polynomials ¡(X) and g(X) will often generate the
same extension of 1; in fact, this will be true if
¨
¡ = ¨ g and both are irreducible in kŒX.
Krasner’s lemma and its consequences show that the roots of two polynomials will generate
the same extension if they are sufﬁciently close.
PROPOSITION 7.60 (KRASNER’S LEMMA) Let ˛. ˇ ÷1
al
, and assume that ˛ is separable
over 1Œˇ. If ˛ is closer to ˇ than to any conjugate of ˛ (over 1), then 1Œ˛ Ç1Œˇ.
PROOF. Let o be an embedding of 1Œ˛. ˇ into 1
al
ﬁxing 1Œˇ. By Galois theory, it
sufﬁces to show that o˛ =˛. But
[o˛ ÷ˇ[ =[o˛ ÷oˇ[ =[˛ ÷ˇ[
because oˇ =ˇ and [o +[ =[ +[. Hence
[o˛ ÷˛[ =[o˛ ÷ˇ÷ˇ÷˛[ _[˛ ÷ˇ[.
Since o˛ is a conjugate of ˛ over 1, the hypothesis now implies that o˛ =˛.
2
127
7. VALUATIONS; LOCAL FIELDS
Now assume 1 has characteristic zero (to avoid complications). As before, for h(X) =
c
i
X
i
, we deﬁne [h[ =max{[c
i
[]. Note that if h(X) varies in a family of monic polyno
mials for which [h[ remains bounded, then the maximum value of a root of h is bounded;
in fact, if
c
i
ˇ
i
=0.
we must have [ˇ
n
[ _[c
}
ˇ
}
[ for some ¸ <n, and so [ˇ[
n}
_[c
}
[.
Fix a monic irreducible polynomial ¡(X) in 1ŒX, and let
¡(X) =
(X ÷˛
i
). ˛
i
÷ 1
al
.
The ˛
i
must be distinct. Let g(X) be a second monic polynomial in 1ŒX, and suppose
that [¡ ÷g[ is small. For any root ˇ of g(X), [¡(ˇ)[ = [(¡ ÷g)(ˇ)[ is small (because
[¡ ÷g[ small implies that [g[ is bounded, and hence [ˇ[ is bounded). But
[¡(ˇ)[ =
[ˇ÷˛
i
[.
In order for this to be small, at least one term [ˇ ÷˛
i
[ must be small. By taking [¡ ÷g[
small enough, we can force ˇ to be closer to one root ˛
i
than ˛
i
is to any other ˛
}
. That is,
we can achieve:
[ˇ÷˛
i
[ <[˛
i
÷˛
}
[, all ¸ =i.
In this case, we say that ˇ belongs to ˛
i
. Krasner’s lemma then says that 1Œ˛
i
 Ç 1Œˇ,
and because ¡ and g have the same degree, they must be equal. We have proved:
PROPOSITION 7.61 Let ¡(X) be a monic irreducible polynomial of 1ŒX. Then any
monic polynomial g(X) ÷ 1ŒX sufﬁciently close to ¡(X) is also irreducible, and each
root ˇ of g(X) belongs to some root ˛ of ¡(X). For such a root 1Œ˛ =1Œˇ.
COROLLARY 7.62 Let 1 be a ﬁnite extension of ¸
]
. Then there is a ﬁnite extension 1 of
¸ contained in 1 such that Œ1: ¸ =Œ1: ¸
]
 and 1 ¸
]
=1.
PROOF. Write 1 = ¸
]
Œ˛, and let ¡(X) be the minimum polynomial of ˛ over ¸
]
.
Choose g(X) ÷ ¸ŒX sufﬁciently close to ¡(X), and let 1 = ¸Œˇ for ˇ a root of g(X)
belonging to ˛.
2
Fix a monic polynomial ¡ in 1ŒX, and let ˛
1
. ˛
2
. . . . be its roots in 1
al
. As a second
monic polynomial g in 1ŒX approaches ¡ , each root ˇ
i
of g approaches some root ˛
}(i)
of
¡ , and the function i ÷¸(i ) doesn’t change once g is close. Let ¡
x
(X) be the polynomial
with roots the ˛
}(i)
(possibly with repetitions). Then, when g is close to ¡ , it is close to ¡
x
because each of its roots is close to the corresponding root of ¡
x
. But if we choose g to be
closer to ¡ than ¡ is to any possible ¡
x
, this will be impossible. We have proved:
PROPOSITION 7.63 Assume 1 is of characteristic zero. If two monic irreducible polyno
mials ¡ and g are sufﬁciently close, then each root of g will belong to exactly one root of
¡ , and so
{1Œ˛ [ ˛ a root of ¡ ] ={1Œˇ [ ˇ a root of g].
PROPOSITION 7.64 Assume 1 has characteristic zero and has ﬁnite residue ﬁeld. Then,
up to isomorphism, there are only ﬁnitely many totally ramiﬁed extensions of ¸
]
of a given
degree.
128
Exercises
PROOF. We ﬁx an n and show that there are only ﬁnite many extensions of degree _ n.
Each point of
(a
1
. .... a
n
) ÷ p×p×p× ×·
×
¬
deﬁnes an Eisenstein polynomial of degree n, namely,
¡(X) =X
n
÷a
1
X
n1
÷ ÷a
n
.
and hence a ﬁnite set of totally ramiﬁed extensions of degree n, namely, those generated by
the roots of ¡(X). According to the last proposition, each point of p ×p ×p × ×·
×
¬
has a neighbourhood such that the points in the neighbourhood all give the same extensions
of 1. In (7.47) we showed that the factors of p×p×p× ×·
×
¬ are compact, hence the
product is compact, and so a ﬁnite number of these neighbourhoods will cover it.
2
REMARK 7.65 We proved above that
(a) every ﬁnite extension 1 of 1 contains a largest unramiﬁed extension of 1;
(b) for each m_1, there is an unramiﬁed extension of degree m of 1, and any two such
extensions are 1isomorphic.
Fix an n; then each extension 1 of 1 of degree n can be realized as a totally ramiﬁed
extension of degree n,mof the (unique) unramiﬁed extension of degree m, some mdividing
n. Clearly there are only ﬁnitely many such 1’s (up to 1isomorphism).
Exercises
71 Let [ [
1
, . . . , [ [
n
be the valuations on a number ﬁeld 1 corresponding to distinct
prime ideals p
i
, and let a
1
. . . . . a
n
be elements of 1. Let J be a common denominator for
the a
i
(so that Ja
i
÷ O
1
). Show that, for any c > 0, there is an element a ÷ 1 such that
[a ÷a
i
[
i
< c for i =1. . . . . n and [a[ _ 1,[J[ for all valuations [ [ corresponding to prime
ideals other than the p
i
.
Hint: Apply the Chinese Remainder Theorem to the Ja
i
.
72 Let [ [ be nonarchimedean valuation on a ﬁeld 1.
(a) Deﬁne an open disk with radius r and centre a to be
D(a. r) ={. ÷ 1 [ [. ÷a[ <r].
Prove that D(a. r) =D(b. r) for any b ÷ D(a. r). Deduce that if two disks meet, then the
large disk contains the smaller.
(b) Assume 1 to be complete. Show that the series
a
n
converges if and only if
a
n
÷0.
(This problem illustrates the weirdness of the topology deﬁned by a nonarchimedean valu
ation.)
73 For which a ÷ Z is 7X
2
=a solvable in Z
T
? For which a ÷ ¸ is it solvable in ¸
T
?
74 (a) Show that (X
2
÷2)(X
2
÷17)(X
2
÷34) has a root in Z
]
for every ¸.
(b) Show that 5X
3
÷7X
2
÷3X÷6 has a root ˛ in Z
T
with [˛÷1[
T
<1. Find an a ÷ Z
such that [˛ ÷a[
T
_7
4
.
129
7. VALUATIONS; LOCAL FIELDS
75 Find all the quadratic extensions of ¸
2
. Hint: there are exactly 7 (up to isomorphism).
76 Let ¸
1
. . . . . ¸
n
be distinct prime numbers, and let ˛
i
=
_
¸. Let 1 =¸Œ˛
1
. . . . . ˛
n
.
Show that Œ1: ¸ =2
n
. Let ; =
˛
i
. Show that 1 =¸Œ;, and deduce that the minimum
polynomial ¡(X) of ; over ¸ has degree 2
n
. Show that ¡(X) factors in Z
]
ŒX into a
product of polynomials of degree _4 (¸ =2) or of degree _8 (¸ =2).
77 Fix an algebraic closure ¸
al
]
of ¸
]
, and for each n prime to ¸, let ¸
n
be a primitive
nth root of 1. Show that a ﬁnite extension 1 of ¸
]
can contain only ﬁnitely many ¸
n
’s.
Deduce that the Cauchy sequence
¸
n
¸
n
does not converge to an element of ¸
al
]
.
78 (a) Find two monic polynomials of degree 3 in ¸
5
ŒX with the same Newton polygon,
but with one irreducible and the other not.
(b) Find a monic irreducible polynomial in ZŒX of degree 6 which factors in ¸
5
ŒX
into a product of 3 irreducible polynomials of degree 2.
130
CHAPTER 8
Global Fields
A global ﬁeld is an algebraic number ﬁeld (ﬁnite extension of ¸) or a function ﬁeld in one
variable over a ﬁnite ﬁeld (ﬁnite extension of F
q
(T ) for some q). We are mainly interested
in the number ﬁeld case.
Extending valuations
Let 1 be a ﬁeld with a valuation [ [ (archimedean or discrete nonarchimedean), and let 1
be a ﬁnite separable extension of 1. When 1 is complete, we know that there is a unique
extension of [ [ to 1 (see 7.38, 7.39), and we want to understand the extensions when 1 is
not complete.
Write 1 = 1Œ˛, and let ¡(X) be the minimum polynomial of ˛ over 1. Let [ [
t
be
an extension of [ [ to 1. Then we can form the completion
´
1 of 1 with respect to [ [
t
, and
obtain a diagram:
1
´
1
1
´
1
Then
´
1 =
´
1Œ˛ because
´
1Œ˛ is complete, being ﬁnite over
´
1, and contains 1. Let g(X)
be the minimum polynomial of ˛ over
´
1. Since ¡(˛) =0, g(X)[¡(X), and so with each
extension of [ [, we have associated an irreducible factor of ¡(X) in
´
1ŒX.
Conversely, let g(X) be a monic irreducible factor of ¡(X) in
´
1ŒX, and let
´
1Œ. =
´
1ŒX,(g(X)). Then we obtain a diagram:
1
´
1Œ.
1
´
1
˛ x
According to (7.38, 7.39), the valuation on
´
1 extends uniquely to
´
1Œ., and this induces a
valuation on 1 extending [ [.
131
8. GLOBAL FIELDS
These two operations are inverse, and so we have proved the following result:
PROPOSITION 8.1 Let 1 = 1Œ˛ be a ﬁnite separable extension of 1, and let ¡(X) be
the minimum polynomial of ˛ over 1. Then there is a natural onetoone correspondence
between the extensions of [ [ to 1 and the irreducible factors of ¡(X) in
´
1ŒX.
There is a more canonical way of obtaining the completions of 1 for the various exten
sions of [ [.
PROPOSITION 8.2 Let [ [ be a valuation on 1 (archimedean or discrete nonarchimedean)
and let 1 be a ﬁnite separable extension of 1. Let
´
1 be the completion of 1 with respect
to [ [. Then [ [ has ﬁnitely many extensions [ [
1
. . . . . [ [
¿
to 1; if 1
i
denotes the completion
of 1 with respect to the valuation [ [
i
, then
1˝
1
´
1 .
¿
i=1
1
i
. (19)
PROOF. Since 1 is separable over 1, 1 =1Œ˛ .1ŒX,(¡(X)) for a primitive element
˛ ÷ 1 and its minimum polynomial ¡(X). Suppose ¡(X) factors in
´
1ŒX as
¡(X) =¡
1
(X) ¡
2
(X) ¡
¿
(X)
with ¡
i
(X) monic and irreducible. Then (see 1.18)
1˝
1
´
1 =1Œ˛ ˝
1
´
1 ~
´
1ŒX,((¡(X)) .
´
1ŒX,(¡
i
(X))
and so the proposition follows from (8.1). Denote the canonical map from 1 into its com
pletion by a ÷a
i
, and denote the canonical extension of 1 ÷1
i
to
´
1 by b ÷b; then the
map (19) is a˝b ÷(a
1
b. . . . . a
¿
b).
2
REMARK 8.3 Suppose now that 1 is a number ﬁeld, that O
1
=O
1
Œ˛, and that [ [ =[ [
p
for some prime ideal p in O
1
. Because ¡
i
(X) is irreducible in
´
1ŒX, Hensel’s lemma
shows that, modulo ´ p, ¡
i
(X) is a power of an irreducible polynomial, say,
¨
¡
i
(X) =g
i
(X)
e
i
.
Then
¨
¡ (X) =
¿
i=1
g
i
(X)
e
i
.
and (3.41) tells us that
pO
1
=
P
e
i
i
. P
i
=(p. g
i
(˛)).
The valuations extending [ [
p
correspond to the primes P
i
, and so the two descriptions of
the extensions agree.
COROLLARY 8.4 In the situation of the Proposition, for any element ˛ ÷ 1.
Nm
1{1
(˛) =
Nm
1
i
{
¨
1
(˛). Tr
1{1
(˛) =
Tr
1
i
{
¨
1
(˛).
(in the i th factor or summand on the right, ˛ is regarded as an element of 1
i
).
132
The product formula
PROOF. By deﬁnition the norm and trace of ˛ are the determinant and trace of the 1linear
map . ÷˛.: 1 ÷1. These don’t change when 1 is tensored with
´
1, and it easy to see
that norms and traces in products break up into products and sums respectively.
2
EXAMPLE 8.5 According to PARI
¡(X) =X
6
÷5X
5
÷5X
3
÷25X ÷125
is irreducible in ¸ŒX. Its Newton polygon for ord
5
has three segments of .lengths 3, 2, 1
respectively, and so it has at least three factors in ¸
5
. The discriminant of ¡(X) is
2
4
5
11
(59)(365587).
and so according to (7.37), to ﬁnd the number of factors of ¡(X) in ¸
5
ŒX, it sufﬁces to
factor in modulo 5
11
. Better, according to Pari, ¡(X) has exactly 3 irreducible factors in
¸
5
ŒX, namely,
X ÷
_
5÷4 5
2
÷2 5
3
_
÷O(5
4
)
X
2
÷
_
3 5
2
_
X ÷(5÷5
2
÷3 5
3
) ÷O(5
4
)
X
3
÷(3 5
2
÷5
3
)X
2
÷
_
4 5÷3 5
2
_
X ÷5÷O(5
4
)
(Type factorpadic(f,p,r) where r is the precision required.)
Suppose have a factorization
¡(X) =¡
1
(X)¡
2
(X)¡
3
(X)
(to whatever degree of accuracy we wish). To compute [ˇ[
i
, map ˇ =
c
}
˛
}
to ˇ
i
=
c
}
˛
}
i
÷ 1
i
def
=¸
5
Œ˛
i
, ˛
i
a root of ¡
i
(X), and use that
[ˇ[
i
=[ˇ
i
[
i
=[ Nm
1
i
{¸
5
ˇ[
1{deg(
i
i
.
The product formula
Before proving the product formula for a number ﬁeld, we need one extra fact for local
ﬁelds.
Let 1 be a local ﬁeld with normalized valuation [ [. Recall that this means that [ [
is the usual absolute value if 1 is 1, the square of the usual valuation if 1 is C, and
[a[ =(1,Np)
ord(o)
if the valuation is deﬁned by a prime ideal p.
Let 1 be a ﬁnite separable extension of 1, and let [ [ be the unique extension of [ [ to
1. Let [ [ be the normalized valuation on 1 corresponding to [ [. What is the relation of
[ [ to [ [?
LEMMA 8.6 In the above situation, [a[ =[a[
n
, where n =Œ1: 1.
PROOF. When 1 is archimedean, there are only two cases to consider, and both are obvi
ous. Thus, assume 1 is nonarchimedean. Since, by assumption, [ [ =[ [
c
for some c, we
only have to check that the formula holds for a prime element ¬ of 1. Let ˘ be a prime
element of 1, and let P=(˘) and p =(¬); then ¬ =(unit) ×˘
e
, and so
[¬[ =[˘
e
[ =(1,NP)
e
=(1,Np)
e(
=[¬[
n
.
133
8. GLOBAL FIELDS
as required.
Alternatively, use (7.43). For a ÷ 1, we have
[a[
def
=NP
ord
L
o
(T.43)
= (Np
(
)
e·ord
K
o
=[a[
e(
=[a[
n
.
2
PROPOSITION 8.7 Let 1,1 be a ﬁnite extension of number ﬁelds. For any prime · of 1
and ˛ ÷ 1.
u[¡
[˛[
u
=[Nm
1{1
˛[
¡
.
Here [ [
u
and [ [
¡
denote the normalized valuations for the primes n and ·.
PROOF. Let [ [
i
, i =1. 2. . . . . g, be the extensions of [ [
¡
to 1, and let [ [
i
be the normal
ized valuation corresponding to [ [
i
. Then
[Nm
1{1
˛[
¡
S.4
= [
¿
i=1
Nm
1
i
{
¨
1
˛[
¡
=
¿
i=1
[Nm
1
i
{
¨
1
˛[
¡
T.3S
=
¿
i=1
[˛[
n(i)
i
S.6
=
¿
i=1
[˛[
u
.
where n
i
=Œ1
i
:
´
1.
2
THEOREM 8.8 (PRODUCT FORMULA) Let 1 be an algebraic number ﬁeld; for all nonzero
˛ ÷ 1.
u
[˛[
u
=1.
where the product is over the primes of 1 and [ [
u
is the normalized valuation for the
prime n.
PROOF. We have
u
[˛[
u
=
¡
_
u[¡
[˛[
u
_
(8.7)
=
¡
[Nm
1{¸
˛[
¡
where · runs through the primes 2. 3. 5. 7. .... oof ¸. The last product is 1 by (7.13).
2
ASIDE 8.9 E. Artin and Whaples (1946)
1
proved that global ﬁelds can be characterized axiomat
ically. Let 1 be a ﬁeld with a set V of primes (equivalence classes of valuations) satisfying the
following axioms.
AXIOM I. There is a set of representatives [ [
¡
for the primes such that, for any nonzero a ÷ 1,
[a[
¡
=1 for only ﬁnitely many · and
¡
[a[
¡
=1 (product over all · ÷ V).
AXIOM II. There exists at least one prime · for which 1
¡
is a local ﬁeld.
Then 1 is a global ﬁeld, and Vconsists of all the primes for 1. They then derived the main theorems
(unit theorem and ﬁniteness of the class number) directly from the axioms, thereby avoiding the use
of either ideal theory or the Minkowski theory of lattice points.
1
Artin, Emil; Whaples, George. Axiomatic characterization of ﬁelds by the product formula for valuations.
Bull. Amer. Math. Soc. 51, (1945). 469–492. Reprinted in: Artin, Emil. Exposition by Emil Artin: a selection.
Edited by Michael Rosen. History of Mathematics, 30. American Mathematical Society, Providence, RI;
London Mathematical Society, London, 2007. x+346 pp.
134
Decomposition groups
Throughout his career, E. Artin promoted the idea that if only one could understand the similar
ities between function ﬁelds and number ﬁelds sufﬁciently well, then one could transfer proofs from
function ﬁelds to number ﬁelds (e.g. the proof of the Riemann hypothesis!). This hasn’t worked
as well as he hoped, but the analogy has still been very fruitful. In the above paper, he suggested
one should develop number theory and class ﬁeld theory as much as possible working only from the
axioms.
Decomposition groups
Let 1 be a ﬁnite Galois extension of a number ﬁeld 1, and let G = Gal(1,1). For a
valuation n of 1, we write on for the valuation such that [o˛[
cu
= [˛[
u
, i.e., [˛[
cu
=
[o
1
˛[
u
. For example, if n is the prime deﬁned by a prime ideal P, then on is the prime
deﬁned by the prime ideal oP, because
[˛[
cu
<1 ” o
1
˛ ÷ P ” ˛ ÷ oP.
The group G acts on the set of primes of 1 lying over a ﬁxed prime · of 1, and we deﬁne
the decomposition (or splitting) group of n to be the stabilizer of n in G; thus
G
u
={o ÷ G [ on =n].
Equivalently, G
u
is the set of elements of G that act continuously for the topology deﬁned
by [ [
u
. Each o ÷ G
u
extends uniquely to a continuous automorphism of 1
u
. Note that
G
ru
=tG
u
t
1
.
PROPOSITION 8.10 The homomorphism G
u
÷Gal(1
u
,1
¡
) just deﬁned is an isomor
phism.
PROOF. Clearly the map is injective, and so (G
u
: 1) _ Œ1
u
: 1
¡
. The valuation on has
decomposition group oG
u
o
1
, which has the same order as G
u
, and so we also have
(G
u
: 1) _Œ1
cu
: 1
¡
. The number of distinct ns dividing · is (G : G
u
), and so
(G : 1) =(G : G
u
)(G
u
: 1) _
c÷G{G
w
Œ1
cu
: 1
¡

(S.2)
_ Œ1 : 1.
Hence equality holds: (G
u
: 1) =Œ1
u
: 1
¡
 (and G acts transitively on the primes dividing
·, which we knew already from the proof of 3.34).
2
Let D(P) (or G(P)) be the decomposition group of P, so that D(P) =Gal(1
P
,1
p
),
and let 1(P) ÇD(P) be the inertia group. We have the following picture:
135
8. GLOBAL FIELDS
P 1 1
P
P
J
1
J(P)
1
J(P)
P
l
P
T
1
T(P)
1
p
k
p 1
e J(P) e
( ( ( T(P){J(P)
¿
Here:
P
J
=P¨1
J(P)
, P
T
=P¨1
T(P)
, p =P¨1:
the ﬁelds in the second column are the completions of those in the ﬁrst;
the ﬁelds in the third column are the residue ﬁelds of those in the second.
PROPOSITION 8.11 (a) The only prime ideal of 1 lying over P
T
is P.
(b) The prime ideal P
T
is unramiﬁed in 1
J
, and ¡(P
J
,P
T
) =¡(P,p).
(c) The prime ideal P
J
is totally ramiﬁed in 1, and e(P,P
J
) =e(P,p).
(d) If D(P) is normal in G, then
pO
1
D =
oP
T
where the product is over a set of representatives for G,D(P).
PROOF. (a) Because 1is Galois over 1
T(P)
, its Galois group D(P) acts transitively on the
set of prime ideals of 1 lying over P
T
. Thus (a) is obvious from the deﬁnition of D(P).
(b), (c), (d) are similarly straightforward.
2
The diagram, and the proposition, show that we can construct a chain of ﬁelds
1 ¸1
J
¸1
T
¸1
such that all the ramiﬁcation of P over p takes place in the top extension, all the residue
ﬁeld extension takes place in the middle extension, and, when 1
T
is normal over 1, all the
splitting takes place in the bottom extension. One should be a little careful about the last
assertion when D(P) is not normal in G; all we know in general is that
p O
1
D =
P
e
i
i
, P
1
=P
T
with e
1
=1 =¡
1
(i.e., in general p will not split completely in 1
T
).
REMARK 8.12 Let 1 be a Galois extension of ¸, with Galois group G. Suppose that
O
1
=ZŒ˛ for some ˛ ÷ 1. Let ¡(X) be the minimum polynomial of ˛ over ¸, and write
¨
¡ (X) for ¡(X) modulo ¸. Choose an irreducible factor g
1
(X) of
¨
¡ (X), and let g
1
(X)
e
1
be the largest power of g
1
(X) dividing
¨
¡ (X). According to Hensel’s lemma, g
1
(X)
e
1
lifts
to an irreducible factor ¡
1
(X) of ¡(X) in ¸
]
ŒX, which can be found to any desired degree
136
The Frobenius element
of accuracy by factoring ¡(X) modulo a high power of ¸ (essentially using the method of
proof of Hensel’s lemma). Let P
1
=(¸. h
1
(˛)) for any lifting h
1
of g
1
to ZŒX. Then
D(P
1
) ={o ÷ G [ oP
1
=P
1
].
which can be computed easily (provided G has been found explicitly as a subgroup of the
symmetric group on the set of roots of ¡(X)). Let ¨ ˛ be the image of ˛ in O
1
,P
1
=F
]
Œ ¨ ˛.
Then g
1
(X) is the minimum polynomial of ¨ ˛ over F
]
, and 1(P
1
) is the subgroup of D(P
1
)
ﬁxing ¨ ˛. Finally D(P
1
),1(P
1
) =Gal(F
]
Œ ¨ ˛,F
]
).
Consider a tower of ﬁelds
M P
1 P
1
1 p
1
G
Assume M is Galois over 1 with Galois group G, and that H is the subgroup of G ﬁxing
1. (Recall D(P) and G(P) are two notations for the same object.)
PROPOSITION 8.13 Let P be a prime ideal in O
Æ
, and let P
1
=P¨1.
(a) The decomposition group H(P) of P over 1 is G(P) ¨H.
(b) Suppose further that H is a normal subgroup of G, so that G,H is the Galois group
of 1,1. The decomposition group of P
1
over 1 is the image of G(P) in G,H.
PROOF. (a) Clearly
H(P) ={o ÷ G [ o ÷ H. oP=P] =H ¨G(P).
(b) This is equally obvious.
2
The Frobenius element
Let 1,1 be a Galois extension of number ﬁelds with Galois group G. Given an ideal P
of 1 that is unramiﬁed in 1,1 we deﬁne the Frobenius
2
element o =(P. 1,1) to be the
element of G(P) that acts as the Frobenius automorphism on the residue ﬁeld. Thus o is
uniquely determined by the following two conditions:
2
Here is a direct proof of the existence of the Frobenius element. Let 1,1 be a ﬁnite Galois extension
of number ﬁelds with Galois group G, and let P be a prime ideal of O
1
(not necessarily unramiﬁed). By the
Chinese remainder theorem, there exists an element ˛ of O
1
such that ˛ generates the group (O
1
,P)
×
and
lies in tPfor all t … G(P). Let J(X) =
r÷G
(X÷t˛). Then J(˛) ÷0 mod P, and so J(˛
q
) ÷J(˛)
q
÷0
mod P. Therefore ˛
q
÷o˛ mod P for some o ÷ G. If o … G(P), then o
1
P =P, and so ˛ ÷ o
1
P; but
then ˛
q
÷o˛ ÷0 mod P, which is a contradiction. Thus o ÷ G(P). Every element ; of O
1
can be written
; =˛
i
÷ˇ, with ˇ ÷ P, and so
o; ÷o(˛
i
) ÷˛
iq
÷;
q
mod P.
137
8. GLOBAL FIELDS
(a) o ÷ G(P), i.e., oP=P:
(b) for all ˛ ÷ O
1
, o˛ ÷˛
q
mod P, where q is the number of elements the residue ﬁeld
O
1
,p, p =P¨1.
We now list the basic properties of (P. 1,1).
8.14 Let tP be a second prime dividing p, t ÷ G. Then G(tP) =tG(P)t
1
, and
(tP. 1,1) =t(P. 1,1)t
1
.
PROOF. Let ˛ ÷ O
1
; then
tot
1
(˛) =t((t
1
˛)
q
÷a), some a ÷ P, and
t((t
1
˛)
q
÷a) =˛
q
÷ta ÷˛
q
mod tP.
2
Thus if Gal(1,1) is abelian, then (P. 1,1) =(P
t
. 1,1) for all primes P, P
t
dividing
p, and we write (p. 1,1) for this element. If Gal(1,1) is not abelian, then
{(P. 1,1) [ P[p]
is a conjugacy class in G, which (by an abuse of notation) we again denote (p. 1,1).
Thus, for a prime p of 1, (p. 1,1) is either an element of Gal(1,1) or a conjugacy class
depending on whether Gal(1,1) is abelian or nonabelian.
8.15 Consider a tower of ﬁelds
M Q
1 P
1 p
and assume that Q is unramiﬁed over p; then
(Q. M,1)
((P{p)
=(Q. M,1).
PROOF. Let k(Q) ¸ k(P) ¸ k(p) be the corresponding sequence of residue ﬁelds. Then
¡(P,p) =Œk(P) : k(p), and the Frobenius element in Gal(k(Q),k(P)) is the ¡(P,p)th
power of the Frobenius element in Gal(k(Q),k(p)).
2
8.16 In (8.15), assume that 1 is Galois over 1; then
(Q. M,1)[1 =(P. 1,1).
PROOF. Obvious.
2
138
Examples
Let 1
1
and 1
2
be Galois extensions of 1 contained in some ﬁeld ˝, and let M =
1
1
1
2
. Then M is Galois over 1, and there is a canonical homomorphism
o ÷(o[1
1
. o[1
2
): Gal(M,1) ÷Gal(1
1
,1) ×Gal(1
2
,1)
which is injective.
8.17 Under the above map,
(Q. M,1) ÷(P
1
. 1
1
,1) ×(P
2
. 1
2
,1).
PROOF. This follows from (8.16).
2
Note that p splits completely in 1if and only if (P. 1,1) =1 for one (hence all) primes
P lying over it. Hence, in the situation of (8.17), p splits completely in M if and only if it
splits completely in 1
1
and 1
2
.
Examples
We ﬁnd the Frobenius maps for quadratic and cyclotomic ﬁelds, and obtain a surprisingly
simple proof of the quadratic reciprocity law.
EXAMPLE 8.18 Let 1 = ¸Œ¸
n
, where ¸
n
is a primitive nth root of 1. If ¸[n then ¸
ramiﬁes in 1, and (¸. 1,¸) is not deﬁned. Otherwise o =(¸. 1,¸) is the unique element
of Gal(1,¸) such that
o˛ ÷˛
]
mod p. for all ˛ ÷ ZŒ¸
n
.
for any prime ideal p lying over ¸.
I claim that o is the element of the Galois group such that o(¸
n
) =¸
]
n
: let p be a prime
lying over ¸ in ZŒ¸
n
; then modulo p, we have,
o(
a
i
¸
i
n
) =
a
i
¸
i]
n
÷
a
]
i
¸
i]
n
÷(
a
i
¸
i
n
)
]
as required.
Note that (¸. 1,¸) has order ¡ where ¡ is the smallest integer such that n[¸
(
÷1
(because this is the order of ¸ in (Z,(n))
×
).
EXAMPLE 8.19 Let 1 = ¸Œ
_
J, and let ¸ be a prime that is unramiﬁed in 1. Identify
Gal(1,¸) with {˙1]. Then (¸. 1,¸) =÷1 or ÷1 according as ¸ does, or does not, split
in 1, i.e., according as J is, or is not, a square modulo ¸. Thus (¸. 1,¸) =
_
d
]
_
.
APPLICATION: THE QUADRATIC RECIPROCITY LAW
Let 1 =¸Œ¸, where ¸ is a primitive ¸th root of 1, ¸ =2. Because Gal(1,¸) .(Z,¸Z)
×
is cyclic of order ¸÷1, it contains a unique subgroup of order (¸÷1),2 (consisting of the
elements of (Z,¸Z)
×
that are squares), and hence 1 contains a unique quadratic extension
J of ¸. If ¸ ÷ 1 mod 4, then ¸ is the only prime ramifying in ¸Œ
_
¸, and ¸Œ
_
¸ is
the only quadratic ﬁeld for which this is true. Similarly if ¸ ÷ 3 mod 4, then ÷¸ ÷ 1
139
8. GLOBAL FIELDS
mod 4, and ÷¸ is the only prime ramifying in ¸Œ
_
÷¸. Thus J = ¸Œ
_
J where J =
(÷1)
(]1){2
¸.
If q is an odd prime =¸; then
(q. 1,¸)(¸) =¸
q
.
Thus (q. 1,¸) restricts to the identity element of Gal(¸Œ
_
J,¸) or not according as q is a
square in (Z,¸Z)
×
or not. Thus (q. 1,¸)[¸Œ
_
J =(
q
]
). But we know that it is also equal
to (
d
q
). Hence
_
q
¸
_
=
_
÷1
¸
_
(]1){2
_
¸
q
_
=(÷1)
(]1)(q1){4
_
¸
q
_
.
Here we have used that ÷1 is square in F
q
if and only if 4[q÷1, so that
_
1
q
_
=(÷1)
(q1){2
.
The displayed formula, together with the equalities
_
÷1
¸
_
=(÷1)
(]1){2
=
_
1 if ¸ ÷1 mod 4
÷1 if ¸ ÷1 mod 4
_
2
¸
_
=(÷1)
(]
2
1){S
=
_
1 if ¸ ÷˙1 mod 8
÷1 if ¸ ÷˙5 mod 8.
constitutes the quadratic reciprocity law. We have already proved the ﬁrst equality, and the
second can be proved as follows. Let ¸ be a primitive 8th root of 1 in an algebraic closure
of F
]
, and let a =¸ ÷¸
1
. From ¸
4
=÷1, we see that
X
4
÷1 =(X
2
÷¸
2
)(X
2
÷¸
2
) in F
]
ŒX
because the roots of both polynomials are ˙¸, ˙¸
1
. Therefore, ¸
2
÷¸
2
= 0, and so
a
2
= 2. When ¸ ÷ ˙1 mod 8, ¸
]
÷¸
]
= ¸ ÷¸
1
, i.e., a
]
= a, and so 1 = a
]1
=
2
(]1){2
=
_
2
]
_
. When ¸ ÷˙5 mod 8, ¸
]
÷¸
]
=¸
5
÷¸
5
=÷(¸ ÷¸
1
), i.e., a
]
=÷a,
and so ÷1 =a
]1
=2
(]1){2
=
_
2
]
_
.
Computing Galois groups (the hard way)
Let ¡(X) be a polynomial over a ﬁeld 1, and let ˛
1
. . . . . ˛
n
be the roots of ¡(X) in 1
al
.
We want to determine the Galois group of ¡ as a subgroup of the group of permutations S
n
of {˛
1
. . . . . ˛
n
].
Introduce variables t
1
. . . . . t
n
. For any o ÷ S
n
and polynomial ¡(t
1
. . . . . t
n
), deﬁne
o
t
¡ =¡(t
c(1)
. . . . . t
c(n)
). Let 0 =
˛
i
t
i
, and deﬁne a polynomial
J(X. t ) =
(X ÷o
t
0) (product over o ÷ S
n
).
The coefﬁcients of this polynomial are symmetric polynomials in the ˛
i
, and so lie in 1.
Now factor
J(X. t ) =J
1
(X. t ) J
i
(X. t )
in 1ŒX. t
1
. . . . . t
n
.
140
Computing Galois groups (the easy way)
THEOREM 8.20 Let G be the set of o ÷S
n
such that o
t
ﬁxes J
1
(X. t ); then G is the Galois
group of ¡.
PROOF. See van der Waerden, Algebra, Vol 1, §61 (Calculation of the Galois group).
2
This theorem gives an algorithm (unfortunately impractical) for computing the Galois
group of a polynomial ¡(X) ÷ ¸ŒX. We may suppose ¡(X) to be monic with integer
coefﬁcients. First ﬁnd the roots of ¡(X) to a high degree of accuracy. Then compute
J(X. t ) exactly, noting that this has coefﬁcients in Z. Factor J(X. t ), and take one of the
factors J
1
(X. t ). Finally list the elements o of S
n
such that o
t
ﬁxes J
1
(X. t ). The problem
with this approach is that J(X. t ) has degree nŠ. It will probably work (on a computer) if
n _ 5, but otherwise it is like trying to compute a determinant directly from the deﬁnition
as a sum of products.
Computing Galois groups (the easy way)
We now give a more practical procedure (also largely in van der Waerden with a more direct
proof).
PROPOSITION 8.21 Let ¡(X) be a monic separable polynomial of degree n over a ﬁeld
1, and suppose that the Galois group G of ¡(X) has s orbits (as a group of permutations
of the roots of ¡ ) with n
1
. . . . . n
x
elements respectively (so that n
1
÷n
2
÷ ÷n
x
= n);
then there is a factorization
¡(X) =¡
1
(X) ¡
i
(X)
with ¡
i
(X) an irreducible polynomial in 1ŒX of degree n
i
.
PROOF. Write ¡(X) =
(X ÷˛
i
). For S Ç {1. 2. . . . . n], consider ¡
S
=
i÷S
(X ÷˛
i
).
This polynomial divides ¡(X), and it is ﬁxed under the action of G (and hence has coefﬁ
cients in 1) if and only if S is stable under G. Therefore the irreducible factors of ¡(X)
are the polynomials ¡
S
with S a minimal subset of {1. . . . . n] stable under G, but such sets
S are precisely the orbits of G in {1. 2. . . . . n].
2
Let o ÷S
n
. In GT 4.26, it is proved that o is a product of disjoint cycles. More precisely,
if
o
1
={m
11
. . . . . m
1n
1
]. o
2
={m
21
. . m
2n
2
]. ...
are the orbits of (o) acting on {1. 2. .... n], numbered in such a way that om
i}
= m
i }÷1
,
then
o =(m
11
. . . m
1n
1
) (m
21
. . . m
2n
2
) . . . .
This remark, together with (8.21), gives us the following result.
COROLLARY 8.22 Let ¡(X) be a monic separable polynomial of degree n over a ﬁnite
ﬁeld k, and let ¹ be the splitting ﬁeld of ¡(X). Suppose that the Frobenius element o ÷
Gal(¹,k) (when regarded as a permutation of the roots of ¡(X)) is a product of disjoint
cycles o =c
1
c
x
with c
i
of length n
i
(so that
n
i
=n). Then ¡(X) factors as a product
of irreducible polynomials in kŒX
¡(X) =¡
1
(X) ¡
i
(X)
with ¡
i
of degree n
i
.
141
8. GLOBAL FIELDS
In other words, the type of the cycle decomposition of o can be read off from the
factorization of ¡(X).
THEOREM 8.23 (DEDEKIND) Let ¡(X) be a polynomial of degree n over a number ﬁeld
1, and let G be the Galois group of ¡ . Assume ¡(X) ÷ O
1
ŒX and is monic. Let p be a
prime ideal of 1, and suppose that
¡(X) ÷¡
1
(X) ¡
i
(X) mod p
with the ¡
i
distinct irreducible polynomials in kŒX and ¡
i
of degree n
i
, k =O
1
,p. Then
G contains a permutation o that is a product of disjoint cycles of length n
i
.
PROOF. Take o to be the Frobenius element of any prime lying over p — the hypothesis on
the factorization of ¡(X) mod p implies that p is unramiﬁed in the splitting ﬁeld (because
it implies that p doesn’t divide the discriminant of ¡ ).
2
REMARK 8.24 There is a similar statement for real primes, namely, if
¡(X) =¡
1
(X) ¡
i
(X)
in 1ŒX with ¡
1
. . . . . ¡
}
of degree 2 and the remainder of the degree 1, then G contains a
permutation o that is a product of disjoint ¸ cycles of length 2.
This suggests the following strategy for factoring a polynomial ¸ŒX: factor ¡(X)
modulo many primes ¸; discard the result if ¡(X) mod ¸ has multiple factors; continue
until a sequence of, say n, primes has yielded no new cycle types for the elements. Then
attempt to read off the type of the group from tables. We discuss how effective this is later.
EXAMPLE 8.25 Let ¡(X) = X
5
÷X ÷1. Modulo 2 this factors as (X
2
÷X ÷1)(X
3
÷
X
2
÷1); modulo 3 it is irreducible. Hence G contains (12345) and (i k)(¹mn) for some
numbering of the roots. It also contains ((i k)(¹mn))
3
=(i k), and this implies that G =S
5
(see 8.28 below).
LEMMA 8.26 Let H be a subgroup of S
n
; if H is transitive (for example, contains an
ncycle) and contains an (n÷1)cycle and a transposition, then H =S
n
.
PROOF. After possibly renumbering, we may suppose that the (n÷1)cycle is (1 2 3 . . . n÷
1). By virtue of the transitivity, the transposition can be transformed into (i n), some i _n÷
1. Now the (n÷1)cycle and its powers will transform this into (1 n), (2 n), . . ., (n÷1 n),
and these elements obviously generate S
n
(because S
n
is generated by transpositions).
2
EXAMPLE 8.27 Select monic polynomials of degree n, ¡
1
, ¡
2
, ¡
3
with coefﬁcients in Z
such that
(a) ¡
1
is irreducible modulo 2;
(b) ¡
2
=(degree 1)(irreducible of degree n÷1) mod 3;
(c) ¡
3
=(irreducible of degree 2)(product of one or two irreducible polynomials of odd
degree) mod 5. We need to choose ¡
3
to have distinct roots modulo 5.
Take
¡ =÷15¡
1
÷10¡
2
÷6¡
3
.
142
Computing Galois groups (the easy way)
and let G be the Galois group of ¡ . Then
(a
t
) G is transitive (it contains an ncycle because of (a));
(b
t
) G contains a cycle of length n÷1:
(c
t
) G contains a transposition (because it contains the product of a transposition with
a commuting element of odd order).
The above lemma shows that G =S
n
.
REMARK 8.28 There are other criteria for a subgroup H of S
n
to be all of S
n
. For example,
a subgroup H of S
]
, ¸ prime, that contains an element of order ¸ and a transposition is
equal to S
]
(FT, Lemma 4.14).
REMARK 8.29 In Pohst and Zassenhaus 1989, p73, there are suggestions for constructing
irreducible polynomials ¡(X) of degree n in F
]
ŒX. A root of such a polynomial will
generate F
q
, q =¸
n
, and so every such ¡(X) will divide X
q
÷X. One can therefore ﬁnd
all ¡(X)s by factoring X
q
÷X.
For example, consider X
125
÷X ÷ F
5
ŒX. Its splitting ﬁeld is F
125
, which has de
gree 3 over F
5
. The factors of X
125
÷X are the minimum polynomials of the elements
of F
125
. They therefore have degree 1 or 3. There are 5 linear factors, X, X ÷1, X ÷2,
X ÷3, X ÷4, and 40 cubic factors, which constitute a complete list of all the monic irre
ducible cubic polynomials in F
5
ŒX. PARI has no trouble factoring X
125
÷X modulo 5
(factormod(X^125X,5)) or X
625
÷X modulo 5, but for X
3125
÷X modulo 5, which
gives a complete list of monic irreducible polynomials of degree 1 or 5 in F
5
ŒX, I had to
increase the allocated memory (allocatemem(10000000)).
However, if you only want one irreducible polynomial of degree n, it is easier to write
down a polynomial at random, and check whether it is irreducible.
CUBIC POLYNOMIALS
The group S
3
has the following subgroups:
order group group elements
1 1 1
2 C
2
1×1÷1×2
3 ·
3
1×1÷2×3
6 S
3
1×1÷3×2÷2×3.
By the last row, I mean S
3
has one 1cycle, three 2cycles, and two 3cycles.
Note that any subgroup of S
3
containing cycles of length 2 and 3 is the whole of S
3
; thus
if ¡ is irreducible modulo some prime and has an irreducible factor of degree 2 modulo a
second prime, then its Galois group is S
3
. On the other hand, if factorizing ¡ modulo many
primes doesn’t turn up a factor of degree 2, but ¡ is irreducible, then expect the Galois group
of ¡ to be ·
3
. This can be checked by seeing whether disc(¡ ) is a square. For example,
the calculations on p. 61 show that the polynomials X
3
÷10X ÷1 and X
3
÷8X ÷15 both
have Galois group S
3
.
To make this more effective (in the technical sense), we need the Chebotarev density
theorem.
143
8. GLOBAL FIELDS
CHEBOTAREV DENSITY THEOREM
DEFINITION 8.30 Let S be a set of ﬁnite primes in a number ﬁeld 1, and let 1 be the set
of all ﬁnite primes. We say that S has natural density ı if
lim
1o
[{p ÷ S [ Np _N][
[{p [ Np _N][
=ı.
THEOREM 8.31 (CHEBOTAREV DENSITY THEOREM) Let 1 be a ﬁnite Galois extension
of the number ﬁeld 1, with Galois group G, and let C be a conjugacy class in G. The set
of prime ideals p of 1 such that (p. 1,1) =C has density ı =[C[ ,[G[.
PROOF. See my notes CFT (in fact, normally one proves this result with a slightly weaker
notion of density).
2
For example, if G is abelian, then for each o ÷ G, the set of p such that (p. 1,1) =o
has density 1,[G[ .
COROLLARY 8.32 The primes that split in 1 have density 1,Œ1 : 1. In particular, there
exist inﬁnitely many primes of 1 not splitting in 1.
REMARK 8.33 There is a bound for the error in implicit in (8.31) in terms of the dis
criminant of the polynomial, but it is large. The existence of the bound has the following
consequence: given a polynomial ¡(X) ÷ ¸ŒX (say), there exists a bound T such that, if
a given cycle type doesn’t occur as the Frobenius element of some ¸ _ T, then it doesn’t
occur at all. For a discussion of the effective version of the Chebotarev density theorem,
see Lagarias and Odlysko, 1977.
3
EXAMPLE 8.34 Let 1 =¸Œ¸
n
. Then Gal(1,¸) =(Z,nZ)
×
and (¸. 1,¸) =Œ¸. The
Chebotarev density theorem says that the primes are equidistributed among the congruence
classes. In other words, each of the arithmetic progressions
k, k ÷n, k ÷2n, k ÷3n. . . . gcd(k. n) =1.
contains 1,ç(n) of the primes. In particular, each of the arithmetic progressions contains
inﬁnitely many primes. This statement was conjectured by Legendre and proved by Dirich
let (using Dirichlet series). The proof of the Chebotarev density theorem is a generalization
of that of Dirichlet.
EXAMPLE 8.35 In a quadratic extension, half the primes split and half the primes remain
prime.
EXAMPLE 8.36 Let ¡ be a cubic polynomial with coefﬁcients in ¸. The Chebotarev den
sity theorem implies the following statements (see the above table):
G =1: ¡ splits modulo all primes.
3
Lagarias, J. C.; Odlyzko, A. M. Effective versions of the Chebotarev density theorem. Algebraic number
ﬁelds: 1functions and Galois properties (Proc. Sympos., Univ. Durham, Durham, 1975), pp. 409–464.
Academic Press, London, 1977.
144
Computing Galois groups (the easy way)
G =C
2
: ¡ splits for 1,2 of the primes and has an irreducible factor of degree 2 for 1,2
of the primes.
G =·
3
: ¡ splits for 1,3 of the primes and ¡ remains irreducible for 2,3 of the primes.
G =S
3
: ¡ splits for 1,6 of the primes, has a factor of degree 2 for 1,2 of the primes,
and remains prime for 1,3 of the primes.
EXAMPLE 8.37 Let ¡ be a quartic polynomial with no linear factor.
(a) When disc(¡ ) is a square, the possible Galois groups are:
order group elements
2 C
2
1×1÷1×2
2
4 V
4
1×1÷3×2
2
12 ·
4
1×1÷3×2
2
÷8×3
(b) When disc(¡ ) is not a square, the possible Galois groups are:
order group elements
4 C
4
1×1÷1×2
2
÷2×4
8 D
S
1×1÷2×2÷3×2
2
÷2×4
24 S
4
1×1÷3×2
2
÷6×2÷8×3÷6×4
See FT, Chapter 4. Thus if ¡ is a polynomial of degree 4 with Galois group D
S
, then it will
split modulo ¸ for 1,8 of the primes, factor as the product of a quadratic and two linear
polynomials for 1,4 of the primes, factor as the product of two quadratics for 3,8 of the
primes, and remain irreducible for 1,4 of the primes.
For a similar table for polynomials of degree 5, see Pohst and Zassenhaus 1989, p132.
One strategy for determining the Galois group of a polynomial is
(a) test whether ¡ is irreducible over ¸:
(b) compute the discriminant of ¡ ;
(c) factor ¡ modulo good primes (i.e., those not dividing the discriminant) until you
seem to be getting no new cycle types;
(d) compute the orbit lengths on the rsets of roots (these are the degrees of the irre
ducible factors in ¸ŒX of the polynomial whose roots are the sums of r roots of
¡ );
(e) ad hoc methods.
As late as 1984, it had not been proved that the Mathieu group M
11
occurs as a Galois
group over ¸ (M
11
is subgroup of S
11
of order 11Š,5040 =7920).
References
Butler, Gregory; McKay, John. The transitive groups of degree up to eleven. Comm.
Algebra 11 (1983), no. 8, 863–911. (This lists all transitive subgroups of S
n
, n _ 11,
and gives the cycle types of their elements and the orbit lengths of the subgroup acting on
the rsets of roots; with a few exceptions, these invariants are sufﬁcient to determine the
subgroup up to isomorphism.)
Cohen 1993, Section 6.3.
145
8. GLOBAL FIELDS
Ford, David J.; McKay, John, Computation of Galois groups from polynomials over the
rationals. Computer algebra (New York, 1984), 145–150, Lecture Notes in Pure and Appl.
Math., 113, Dekker, New York, 1989.
Pohst and Zassenhaus 1989. Chapter 2 is entirely concerned with computing Galois
groups; for example, II.10.8 discusses the following problem: given G Ç H Ç S
n
, deter
mine whether G is contained in a given smaller subgroup J of H.)
Soicher, L. H. An algorithm for computing Galois groups. Computational group theory
(Durham, 1982), 291–296, Academic Press, London, 1984.
Soicher, Leonard; McKay, John. Computing Galois groups over the rationals. J. Num
ber Theory 20 (1985), no. 3, 273–281.
PARI can ﬁnd the Galois group of a polynomial of degree _11.
Applications of the Chebotarev density theorem
We now discuss some other applications of the Chebotarev density theorem.
For any extension 1,1 of number ﬁelds, write Spl(1,1) for the set of primes that
split completely in 1, and write Spl
t
(1,1) for the set of primes that have at least one split
factor. Then Spl(1,1) ÇSpl
t
(1,1) always, and equality holds if 1,1 is Galois, in which
case the Chebotarev density theorem shows that Spl(1,1) has density 1,Œ1 : 1.
THEOREM 8.38 If 1 and M are Galois over 1, then
1 ÇM ” Spl(1,1) ¸Spl(M,1).
PROOF. =: This is obvious.
=: We have
Spl(1M,1) =Spl(1,1) ¨Spl(M,1).
To see this, note that
p ÷ Spl(1M,1) ” (p. 1M,1) =1
” (p. 1M,1)[1 =1 and (p. 1M,1)[M =1:
but (p. 1M,1)[1 =(p. 1,1) and (p. 1M,1)[M =(p. M,1). Now
Spl(M,1) ÇSpl(1,1) =Spl(1M,1) =Spl(M,1)
S.31
= Œ1M : 1 =ŒM : 1 =1 ÇM.
2
COROLLARY 8.39 If 1 and M are Galois over 1, then
1 =M ” Spl(M,1) =Spl(1,1).
PROOF. Obvious from the Proposition.
2
REMARK 8.40 (a) In fact, 1 =M if Spl(M,1) and Spl(1,1) differ by at worst a ﬁnite
set of primes (or if they differ by at worst a set of primes of density zero).
146
Exercises
(b) The effective form of the Chebotarev density theorem shows that (8.38) is effective:
in order to show that 1 ÇM it sufﬁces to check that
p splits in M =p splits in 1
for all primes p less than some bound.
(c) Proposition 8.39 is not true without the Galois assumptions: there exist noniso
morphic extensions 1 and M of ¸ such that Spl(1,1) = Spl(M,1). In fact there exist
nonisomorphic extensions 1 and M of ¸ of the same degree such that
˘ 1 and M have the same discriminant;
˘ a prime ¸ not dividing the common discriminant decomposes in exactly the same
way in the two ﬁelds.
(d) It is clear from (8.39) that if a separable polynomial ¡(X) ÷ 1ŒX splits into linear
factors mod p for all but ﬁnitely many primes p of 1, then ¡(X) splits into linear factors in
1ŒX. With a little more work, one can show that an irreducible polynomial ¡(X) ÷ 1ŒX
can not have a root mod p for all but a ﬁnite number of primes. This last statement is false
for reducible polynomials — consider for example,
(X
2
÷2)(X
2
÷3)(X
2
÷6).
For more on these questions, see Exercise 6, p361, of Algebraic number theory. Proceedings
of an instructional conference organized by the London Mathematical Society. Edited by
J. W. S. Cassels and A. Fr¨ ohlich Academic Press, London; Thompson Book Co., Inc.,
Washington, D.C. 1967.
(e) It is easy to give examples of polynomials ¡(X) that are irreducible over ¸ but
become reducible over ¸
]
for all ¸, including ¸ = o. Since the Galois group of any
extension of local ﬁelds is solvable, one only has to chose ¡ to have nonsolvable Galois
group, for example, S
n
for n _5.
EXAMPLE 8.41 Fix a number ﬁeld 1. According to (8.39), a Galois extension 1 of 1
is determined by the set Spl(1,1). Thus, in order to classify the Galois extensions of
1, it sufﬁces to classify the sets of primes in 1 that can occur as Spl(1,1). For abelian
extensions of 1, class ﬁeld theory does this — see CFT (they are determined by congruence
conditions). For nonabelian extensions the sets are still a mystery — it is known that they
are not determined by congruence conditions — but Langlands’s conjectures shed some
light.
Exercises
81 Let 1 = ¸Œ˛ where ˛ is a root of X
3
÷X
2
÷2X ÷8. Show that there are three
extensions of the 2adic valuation to 1. Deduce that 2[ disc(ZŒ˛,Z) but not disc(O
1
,Z).
82 Let 1 be a ﬁnite Galois extension of the local ﬁeld 1, and let G
i
, i _ 0, be the i th
ramiﬁcation group. Let ˘ generate the maximal ideal in O
1
. For o ÷ G
i
, write o˘ =
˘ ÷a(o)˘
i÷1
, and consider the map G
i
÷l, o ÷a(o) mod (˘), where l =O
1
,(˘).
Show that this is a homomorphism (additive structure on l) if and only if i >0.
147
8. GLOBAL FIELDS
83
+
“It is a thoughtprovoking question that few graduate students would know how to
approach the question of determining the Galois group of, say,
4
X
6
÷2X
5
÷3X
4
÷4X
3
÷5X
2
÷6X ÷7.”
(a) Can you ﬁnd it?
(b) Can you ﬁnd it without using a computer?
84 Let 1 =k(X) where k is a ﬁnite ﬁeld. Assume that every valuation of 1 comes from
a prime ideal of kŒX or kŒX
1
], and prove the product formula.
And after the ﬁrst year [as an undergraduate at G¨ ottingen] I went home with
Hilbert’s Zahlbericht under my arm, and during the summer vacation I worked
my way through it — without any previous knowledge of elementary number
theory or Galois theory. These were the happiest months of my life, whose
shine, across years burdened with our common share of doubt and failure, still
comforts my soul.
Hermann Weyl, Bull. Amer. Math. Soc. 50 (1944), 612–654.
4
I don’t remember where this quote is from.
148
APPENDIX A
Solutions to the Exercises
01. Use that ˛ = m÷n
_
J is an algebraic integer if and only if Tr(˛) = ÷2m ÷ Z and
Nm(˛) =m
2
÷n
2
J ÷ Z.
02. Similar to Exercise 21 below.
11. (a) =: Let S =·
_
i
p
i
with the p
i
prime ideals.
.. , ÷ S ”Vi. .. , … p
i
”Vi. ., … p
i
” ., ÷ S.
=: Let a … S. Then (a) ¨S = 0 because S is saturated. Let 1 be maximal among the
ideals of · containing a and disjoint from S — exists by Zorn’s Lemma. I’ll show that 1
is prime. Suppose ., ÷ 1.
If . … 1, then 1 ÷(.) properly contains 1, and so (1 ÷(.)) ¨S is nonempty — let
c ÷a. ÷ S with c ÷ 1 and a ÷ ·.
Similarly, if , … 1, there exists c
t
÷a
t
, ÷ S.
But (c ÷a.)(c
t
÷a
t
,) ÷1, which is not possible because S is multiplicative. Therefore
. or , ÷ 1, and so 1 is prime.
(b) Given S, let S
t
={. ÷·[ J, ÷·such that ., ÷S] — verify that it is multiplicative
and saturated, and is the smallest such set containing S; moreover, it is a union of the prime
ideals not meeting S, and S
1
M ŠS
t1
M for all ·modules. For the ﬁnal statement, use
that p remains prime in S
1
· if and only if S ¨p =0.
[Cf. Bourbaki, Alg. Comm., 1961, II, Ex. §2, no. 1, and Atiyah and MacDonald,
Chapt. 3, no. 7.]
21. By inspection, 4 = 2 2 = (3 ÷
_
5)(3 ÷
_
5). We have to show that 2, 3 ÷
_
5, and
3÷
_
5 are irreducible, and 2 is not an associate of the other two.
If 2 =˛ˇ then 4 =Nm(2) =Nm(˛) Nm(ˇ), from which it follows that Nm(˛) =˙1,
˙2, or ˙4. If Nm(˛) =˙1, ˛ is unit (with inverse ˙its conjugate); by looking mod 5, one
sees that Nm(˛) =˙2 is impossible; if Nm(˛) =˙4, then ˇ is a unit. Hence 2 can’t be
factored into a product of nonunits. The same argument applies to the other two elements.
If 2 and 3 ÷
_
5 were associates, then there would be a unit m÷n
_
5 in ZŒ
_
5 such
that 3÷
_
5 =2(m÷n
_
5), but this is impossible.
22. Suppose ¡(X) =
g
i
(X) with g
i
(X) irreducible in 1ŒX. Let ˛ be a root of g
i
(X)
in some extension ﬁeld. Then g
i
(X) is the minimum polynomial of ˛ over 1. Because ˛
is a root of ¡(X), it is integral over A, and so g
i
(X) has coefﬁcients in · (by 2.9).
149
A. SOLUTIONS TO THE EXERCISES
23. Consider ﬁrst the case that 1 =1Œ˛, ˛
]
=a ÷ 1.
24. Clearly 2 does not divide 1÷
_
÷3 in ZŒ
_
÷3, and so a =(2), but
a
2
=(4. 2÷2
_
÷3. ÷2÷2
_
÷3) =(4. 2÷2
_
÷3) =(2)(2. 1÷
_
÷3) =(2)a.
If there were unique factorization into products of prime ideals, then
ab =ac. a =0 =b =c.
We have shown that the ring ZŒ
_
÷3 doesn’t have this property.
25. Let ˛ ÷ ·Œˇ ¨·Œˇ
1
. By hypothesis, we can write
˛ =a
0
÷a
1
ˇ÷ ÷a
n
ˇ
n
˛ =b
0
÷b
1
ˇ
1
÷ ÷b
n
ˇ
n
.
Let M be the ·submodule of T generated by {ˇ
n
. . . . . 1. . . . . ˇ
n
]. Fromthe ﬁrst equation,
we ﬁnd that ˛ˇ
i
÷ M, 0 _ i _ n, and from the second equation we ﬁnd that ˛ˇ
}
÷ M,
0 _¸ _m. We can apply (2.4) to deduce that ˛ is integral over ·.
26. (a) Check easily that the products ˛
i
˛
}
, i =¸ , are divisible by 3, and this implies that
(
˛
i
)
n
÷
˛
n
i
mod 3. The rest is easy.
(b) Using Gauss’s Lemma, one ﬁnds that X ÷˛: ZŒX ÷ZŒ˛ deﬁnes an isomorphism
ZŒX,(¡(X)) .ZŒ˛. Hence
3[g(˛) ” Jh ÷ ZŒX s.t. ¡ [g ÷3h ” 3[ ¨ g.
(c) O.K.
(d) Since F
3
has only 3 elements, there are only 3 monic polynomials of degree 1.
31. It is not a Dedekind domain because it has a chain of prime ideals
(X. Y ) ¸(X) ¸(0).
32. From Galois theory (or playing around, or from PARI) ﬁnd that (
_
3÷
_
7),2 is a root
of the polynomial X
4
÷5X
2
÷1.
34. Let ·=kŒX
2
. X
3
 ÇkŒX. As kŒX =kŒX
2
 1÷kŒX
2
 X, it is a Noetherian kŒX
2

module. Therefore, an ideal in · is ﬁnitely generated when regarded as a kŒX
2
module,
and a fortiori as an ·module. Thus · Noetherian. If p is nonzero prime ideal of ·, then
p contains a nonzero polynomial, and so ·,p is a ﬁnitedimensional vector space over k.
Since it is an integral domain, it must be a ﬁeld (see 3.30), and so p is maximal. The element
X of k(X) is integral over · because it is a root of the polynomial T
2
÷X
2
÷ ·ŒT , but
X … ·. Therefore · is not integrally closed.
41. For example, take T =kŒX. Y  ¸kŒX =· and p =(Y ), or T =kŒX ¸k =· and
p =(X).
42. Write pT =
1
e(1
i
{])
i
and P
i
C =
Q
e(Q
ij
{1
i
)
i}
. Then
pC =
i
(P
i
C)
e(P
i
{p)
=
i,}
Q
e(P
i
{p)e(Q
ij
{P
i
)
i}
.
150
and Q
i}
=Q
i
0
}
0 unless (i. ¸ ) =(i
t
. ¸
t
). For the second part of the problem, see the start of
§4 of the notes.
43. The possibilities are determined by
e
i
¡
i
=3. Since the discriminant is ÷31, only 31
ramiﬁes, and X
3
÷X ÷1 ÷(X ÷28)(X ÷17)
2
mod 31. All possibilities except (¸) =p
3
occur.
44. Compute the Minkowski bound to ﬁnd a small set of generators for the class group. In
order to show that two ideals a and b are equivalent, it is often easiest to verify that a b
n1
is principal, where m is the order of b in the class group.
45. Let a
1
. . . . . a
h
be a set of representatives of the ideal classes. It sufﬁces to ﬁnd a ﬁeld
1 such that each a
i
becomes principal in 1. Because the ideal class group is ﬁnite, each
of the a
i
is of ﬁnite order, say a
n
i
i
=(a
i
), a
i
÷ 1. Let 1 be a ﬁnite extension of 1 such
that each a
i
becomes an m
i
th power in 1, say a
i
=˛
n
i
i
, ˛
i
÷ 1. In the group of fractional
ideals of 1, we have
a
n
i
i
1
=(a
i
) =(˛
n
i
i
) =(˛
i
)
n
i
.
Since the group of fractional ideals is torsionfree, this equation implies that a
i
O
1
=(˛
i
).
[In fact, every ideal of 1 becomes principal in the Hilbert class ﬁeld of 1 (see 4.9), but this
is very difﬁcult to prove — it is the Principal Ideal Theorem (see CFT).]
46. The discriminant of X
3
÷X ÷2 is (÷26)2
2
, and Stickleberger’s lemma shows ÷26 is
not a possible discriminant, and so O
1
= ZŒ˛. To show that the class number is 1, it is
only necessary to show that the ideals dividing (2) are principal.
47. To show that O
1
=ZŒi Œ;, ; =
1÷
_
5
2
, observe that D(1. ;) =5, and 5 is not a square
in ZŒi ; now apply Lemma 2.23. The prime 2 ramiﬁes in ¸Œi , but not in ¸Œ
_
5, and so it
ramiﬁes in 1 with ramiﬁcation index 2 (this follows from the multiplicativity of the e’s).
Similarly, 5 ramiﬁes in 1 with ramiﬁcation index 2. Since disc(O
1
,ZŒi ) =(5), only the
divisors of (5) (in ZŒi ) can ramify in
1
, and hence only 2 and 5 can ramify in 1. The proof
that ¸Œ
_
÷5 has class number 2 is sketched in (4.6). [Of course, this problem becomes
much easier once one has (6.5).]
51. No! Some inﬁnite sets:
{m
_
2÷Œm
_
2 [ m. n ÷ Z], Œ+ =integer part;
{(
_
2÷1)
n
[ n ÷ N];
{
_
n
2
÷1÷n [ n ÷ N];
{˛ [ ˛ is the smaller root of X
2
÷mX ÷1 =0. m÷ Z]
52. The period is 10, and the fundamental unit is
48842÷5967
_
67.
53. No! One way to obtain a counterexample is to note that, if a prime ¸ factors as ¸ =¬
1
¬
2
(¬
i
nonassociate primes) in a quadratic extension of ¸, then Nm¬
1
=˙¸ =Nm¬
2
, and
so ¬
1
,¬
2
has norm ˙1. For example 5 =(2÷i )(2÷i ) in ¸Œi , and so (2÷i ),(2÷i ) has
norm 1, but it is not an algebraic integer. Alternatively, note that any root of an irreducible
polynomial X
n
÷a
1
X
n1
÷ ÷1, a
i
÷ ¸, not all a
i
÷ Z, will have norm˙1, but will not
be an algebraic integer.
61. Let ˛ be a root of X
3
÷3X ÷1. Then disc(ZŒ˛,Z) = 81. Since its sign is (÷1)
x
,
we must have s = 0, r = 3 — three real embeddings. From their minimum polynomials,
151
A. SOLUTIONS TO THE EXERCISES
one sees that ˛ and ˛ ÷2 are algebraic integers with norms 1 and ÷1 respectively. From
(˛÷1)
3
=3˛(˛÷2) we ﬁnd (˛÷1)
3
=(3) in O
1
. From the formula
e
i
¡
i
=3, we ﬁnd
that there can be no further factorization, and e =3, ¡ =1. The second equality implies
that O
1
,(˛ ÷1) =Z,(3), and so
1
=Z÷(˛ ÷1)
1
. The proof that O
1
=ZŒ˛ proceeds
as in the proof of 6.2. The Minkowski bound is 2, and 2 O
1
is prime, because X
3
÷3X÷1
is irreducible modulo 2.
62. First solution: Let ˛ be an algebraic integer in ¸Œ¸ ÷¸
1
. We can write it
˛ =
a
i
(¸ ÷¸
1
)
i
. 0 _i <ç(m),2. a
i
÷ ¸.
Suppose a
n
is the last coefﬁcient not in Z. Then ˛
t
=
n
i=0
a
i
(¸ ÷¸
1
)
i
is also an algebraic
integer. On expanding this out, and multiplying through by ¸
n
, we ﬁnd that
¸
n
˛
t
=a
n
¸
2n
÷ terms of lower degree in ¸. a
n
… Z.
This contradicts the fact that ¸
n
˛
t
is in ZŒ¸.
Second solution: Clearly, O
¸Œ(÷(
1
j
=O
¸Œ(j
¨¸Œ¸ ÷¸
1
. It follows that the algebraic
integers in ¸Œ¸ ÷¸
1
 are those elements that can be expressed
a
i
(¸
i
÷¸
i
), a
i
÷ Z.
Now prove inductively that ¸
i
÷¸
i
÷ ZŒ¸ ÷¸
1
.
72. (a) Easy. (b) Show s
n
=
n
i=0
a
i
is Cauchy if and only if a
i
÷0.
73. If a = 0, there is a solution, and so we now take a = 0. To have a solution in Z
T
,
clearly it is necessary that a =7
2n÷1
b, m _ 0, with b an integer that is not divisible by
7 but is a square modulo 7 (hence b ÷ 1. 2. 4 mod 7). Newton’s lemma shows that this
condition is also sufﬁcient.
For a ÷ ¸, 7X
2
=a has a solution in ¸
T
if and only if a =7
2n÷1
b, m ÷ Z, b ÷ Z,
b ÷1. 2. 4 mod 7.
74. (a) Because the product of two nonsquares in Z,(¸) is a square, and least one of
X
2
÷2, X
2
÷17, X
2
÷34 has a root modulo ¸, and if ¸ = 2. 17, the root is simple and
hence lifts to a root in Z
]
(by Newton’s lemma). The polynomial X
2
÷2 has 6 as a simple
root modulo 17, and so it has a root in Z
1T
. Let g(X) = X
2
÷17 and a
0
= 1. Then
[g(a
0
)[
2
=1,16 and [g
t
(a
0
)
2
[
2
=1,4 and so Newton’s lemma (7.32) again shows that it
has a root in Z
2
.
(b) Apply the method of proof of (7.31) to ﬁnd
a =1÷5 7÷7
3
÷2 7
4
÷5 7
5
÷ .
75. If k is a ﬁeld of characteristic =2, a quadratic extension of k is of the form kŒ
_
a for
some a ÷ k, a … k
2
, and two nonsquare elements a and b of k deﬁne the same quadratic
extension if and only if they differ by a square (FT, 5.27). Thus the quadratic extensions of
k are in onetoone correspondence with the cosets of k
×2
in k
×
other than k
×2
itself.
We have to ﬁnd a set of representatives for ¸
×2
2
in ¸
×
2
. Clearly an element u 2
n
of ¸
×
2
,
u ÷ Z
×
2
, is a square if and only if n is even and u is a square in Z
2
, and Newton’s lemma
shows that u is a square in Z
2
if (and only if) it is a square in Z
2
,(8) =Z,(8). The elements
˙1. ˙5 form a set of representatives for (Z,(8))
×
, and of these only 1 is a square. Hence
{˙1. ˙5 ˙2. ˙10] is a set of representatives for ¸
×
2
,¸
×2
2
, and so the distinct quadratic
extensions of ¸
2
are the ﬁelds ¸Œ
_
a] for a =÷1. ˙2. ˙5. ˙10.
152
There is a description of the structure of ¸
×
]
in Serre, Course..., II.3. Let U =Z
×
]
and
let U
i
be the subgroup 1 ÷¸
i
Z
]
of U; we know from (7.27) that ¸
]
contains the group
j
]1
of (¸÷1)
xt
roots of 1, and one shows that
¸
×
]
~Z×j
]1
×U
1
. U
1
~Z
]
. ¸ =2:
¸
×
2
~Z×U
1
. U
1
={˙1] ×U
2
. U
2
~Z
2
.
There is a general formula,
(1
×
: 1
×n
) =
m
[m[
(j
n
: 1)
for any ﬁnite extension 1 of ¸
]
; here j
n
is the group of m
th
roots of 1 in K. See CFT VII.
76. If 2 occurs among the ˛
i
, number it ˛
1
. Then ˛
i
… ¸Œ˛
1
. ˛
2
. .... ˛
i1
 because ¸
i
does
not ramify in ¸Œ˛
1
. ˛
2
. .... ˛
i1
. Therefore the degree is 2
n
(alternatively, use Kummer
theory). The element ; is moved by every element of Gal(1,¸), and so it generates 1.
The group Gal(1,¸) is abelian of exponent 2 (i.e., every element has square 1). The same
is true of the decomposition groups of the primes lying over ¸. Write 1˝
¸
¸
]
=
1
i
,
so that 1
i
~ 1ŒX,(¡
i
(X)) where ¡
i
(X) is the i
th
irreducible factor of ¡(X) in ¸
]
ŒX
(cf. 8.2). Kummer theory and the description of ¸
×
]
given above show that Œ1
i
: ¸
]
 _ 4
if ¸ = 2 and Œ1
i
: ¸
2
 _ 8 (because their Galois groups are abelian of exponent 2). This
implies that ¡(X) factors as stated.
77. The degree of ¸
]
Œ¸
n
, ¸ does not divide n, is ¡ , where ¡ is the smallest integer
such that n[¸
(
÷1. As n ÷o, ¡ ÷o, and so a ﬁnite extension 1 of ¸
]
can contain
only ﬁnitely many ¸
n
’s. Suppose
¸
n
¸
n
converges to ˇ ÷ ¸
al
]
. Then 1 = ¸
]
Œˇ is a
ﬁnite extension of ¸
]
. Let ˛
t
=
t
n=1
¸
n
¸
n
. Then ˛
t
is further from its conjugates than
it is from ˇ, and so Krasner’s lemma (7.60) implies that ¸
]
Œ˛
t
 Ç ¸
]
Œˇ. It follows (by
induction) that ¸
]
Œˇ contains all the ¸
n
, and this is impossible.
78. (a) The polynomial
X
3
÷X
2
÷X ÷1
has the factor X ÷1, but
X
3
÷X
2
÷X ÷1
is irreducible because it is irreducible modulo 5.
(b) Consider
¡ =X
6
÷3×5X
5
÷3×5X
4
÷3×5
4
X
3
÷3×5
4
X
2
÷3×5
9
X ÷3×5
9
.
It is Eisenstein for 3, and hence is irreducible over ¸. Its Newton polygon for 5 has slopes
1,2, 3,2, and 5,2, each of length 2. Correspondingly, in ¸
5
ŒX it is a product of three
polynomials ¡ = ¡
1
¡
2
¡
3
. Each of the ¡
i
is irreducible because the ﬁeld generated by a
root of it is ramiﬁed (because the slope isn’t an integer).
81. The Newton polygon of ¡(X) = X
3
÷X
2
÷2X ÷8 has three distinct slopes 1. 2. 3,
and so it splits over ¸
2
. Now (8.1) shows that [ [
2
has three distinct extensions to 1. Using
that
e
i
¡
i
=3, we see that 2 doesn’t ramify in 1, and so 2 does not divide discO
1
,Z.
On the other hand 2[ disc(¡(X)) because ¡(X) has multiple roots modulo 2 (according to
PARI, its discriminant is ÷2012).
153
A. SOLUTIONS TO THE EXERCISES
82. Straightforward.
83. (a) In PARI, type polgalois(X^6+2*X^5+3*X^4+4*X^3+5*X^2+6*X+7).
(b) There are the following factorizations:
mod 3, irreducible;
mod 5, (deg 3) ×(deg 3).
mod 13, (deg 1) ×(deg 5):
mod 19, (deg 1)
2
×(deg 4):
mod 61, (deg 1)
2
×(deg 2)
2
:
mod 79, (deg 2)
3
.
Thus the Galois group of ¡ has elements of type:
6. 3÷3. 1÷5. 1÷1÷4. 1÷1÷2÷2. 2÷2÷2.
No element of type 2, 3, 3 ÷2, or 4 ÷2 turns up by factoring modulo any of the ﬁrst 400
primes (so I’m told). Thus it is the group T14 in the tables in Butler and McKay (see p141)
of the notes. It has order 120, and is isomorphic to PGL
2
(F
5
) (group of invertible 2 ×2
matrices over F
5
modulo the scalar matrices a1
2
, a ÷ F
×
5
).
84. Prime ideals of kŒX and kŒX
1
 deﬁne the same valuation of k(X) if and only if
they generate the same prime ideal of kŒX. X
1
. Thus there is one valuation ord
]
for each
monic irreducible polynomial ¸(X) of kŒX, and one for the polynomial X
1
in kŒX
1
.
The normalized valuation corresponding to ¸(X) is
[g(X),h(X)[ =
_
1
q
deg]
_
ord
p
¿ord
p
h
where q =#k and ord
]
(g) is the power of ¸(X) dividing g(X), and the normalized valua
tion corresponding to X
1
is
[g(X),h(X)[ =
_
1
q
_
deghdeg¿
.
Thus the product formula is equivalent to the formula,
](A)
deg¸(ord
]
g ÷ord
]
h) =degg ÷degh.
which is obvious.
154
APPENDIX B
Twohour examination
Prove (or, at least, explain) your answers.
1. (a) Is (1÷i ),
_
2 an algebraic integer?
(b) Is ZŒ
_
29 a principal ideal domain?
2. Let 1 =¸Œ˛ where ˛ is a root of X
n
÷2, n _2.
(a) Find Œ1 : ¸.
(b) In how many ways can the usual archimedean valuation on ¸ be extended to 1?
(c) Same question for the 2adic valuation.
(d) Find the rank of the group of units in O
1
and the order of its torsion subgroup.
3. Let ¸ be a primitive 8
th
root of 1. Show that ¸Œ¸ contains exactly 3 subﬁelds of degree
2 over ¸, and they are ¸Œ
_
÷1, ¸Œ
_
2, ¸Œ
_
÷2.
4. Let ˛ and ¬ be nonzero elements of the ring of integers O
1
of a number ﬁeld 1 with
¬ irreducible (i.e., ¬ = ab =a or b a unit). If ¬[˛
3
, can you conclude that ¬[˛? What
condition on the class group would allow you to conclude this?
5. Let 1 =¸
3
Œ¸, where ¸ is a primitive 3rd root of 1. Find the Galois group of 1 over ¸
3
and its ramiﬁcation groups.
6. Let 1 be a ﬁnite Galois extension of ¸ with Galois group G. For each prime ideal P of
O
1
, let 1(P) be the inertia group. Show that the groups 1(P) generate G.
155
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157
Index
algebra, 7
algebraic integer, 1
algorithm, 34
good, 34
practical, 34
basis, 25
binary quadratic form, 77
Cauchy sequence, 110
class ﬁeld tower, 68
class number, 4, 48
complete ﬁeld, 110
continued fraction, 86
convex set, 71
cyclotomic polynomial, 92
Dedekind domain, 42
discrete subgroup, 68
discrete valuation, 49
discrete valuation ring, 40
discriminant, 26, 27, 31
Eisenstein polynomial, 60, 125
Eisenstein’s criterion, 60
element
irreducible, 2
prime, 1
equivalent valuations, 104
ﬁeld of fractions, 11
Frobenius element, 137
full lattice, 68
fundamental parallelopiped, 70
fundamental system of units, 80
global ﬁeld, 131
group
decomposition, 135
higher ramiﬁcation, 126
inertia, 126
ramiﬁcation, 126
splitting, 135
Hermite normal form, 36
Hilbert class ﬁeld, 68
ideal
fractional, 46
integral, 46
principal, 47
ideal class group, 48
integral basis, 30
integral closure, 22
integral element, 19
integrally closed ring, 22
lattice, 68
lemma
Hensel’s, 116
Krasner’s, 127
Nakayama’s, 10
Newton’s, 115, 116
local ﬁeld, 122
local ring, 10
local uniformizing parameter, 111
maximal ideal, 8
Minkowski bound, 65
Minkowski constant, 65
multiplicative subset, 11
natural density, 144
Newton’s polygon, 120
nilpotent, 55
Noetherian module, 10
Noetherian ring, 8
nondegenerate bilinear form, 27
norm, 25, 73
158
Index
numerical, 64
norm of an ideal, 63
normalized discrete valuation, 49
PARI, 5, 32, 35, 37, 58, 60, 67, 92, 121,
133, 143, 146
prime ideal, 8
primitive nth root of 1, 91
reduced, 55
regulator, 89
relatively prime, 13
ring of integers, 22
Sinteger, 85
Sunit, 85
symmetric in the origin, 71
symmetric polynomial, 19
elementary, 19
tamely ramiﬁed, 127
tensor product, 14
theorem
Chebotarev density, 144
Chinese Remainder, 13
Chinese Remainder (for modules), 14
cyclotomic ﬁelds, 95
Dedekind’s on computing Galois groups,
142
extending valuations, 118
factoring primes in an extension, 56
Fermat’s Last, 98
fractional ideals form group, 47
integral closure of Dedekind domain,
51
invariant factor, 52
Minkowski bound, 65
modules over Dedekind domain, 52
points in lattice, 70
primes of a number ﬁeld, 107
primes that ramify, 54
product formula, 106, 107, 134
Stickelberger’s, 33
sum of ef’s is the degree, 53
tensor product of ﬁelds, 17
the class number is ﬁnite, 65
unique factorization of ideals, 43
unit, 80, 83
topology
padic, 103
trace, 25
unique factorization domain, 2
unit, 1
unramiﬁed, 67
valuation
archimedean, 101
discrete, 103
multiplicative, 101
trivial, 101
wildly ramiﬁed, 127
159
An algebraic number ﬁeld is a ﬁnite extension of Q; an algebraic number is an element of an algebraic number ﬁeld. Algebraic number theory studies the arithmetic of algebraic number ﬁelds — the ring of integers in the number ﬁeld, the ideals and units in the ring of integers, the extent to which unique factorization holds, and so on. An abelian extension of a ﬁeld is a Galois extension of the ﬁeld with abelian Galois group. Class ﬁeld theory describes the abelian extensions of a number ﬁeld in terms of the arithmetic of the ﬁeld. These notes are concerned with algebraic number theory, and the sequel with class ﬁeld theory.
BibTeX information @misc{milneANT, author={Milne, James S.}, title={Algebraic Number Theory (v3.03)}, year={2011}, note={Available at www.jmilne.org/math/}, pages={159+viii} }
v2.01 (August 14, 1996). First version on the web. v2.10 (August 31, 1998). Fixed many minor errors; added exercises and an index; 138 pages. v3.00 (February 11, 2008). Corrected; revisions and additions; 163 pages. v3.01 (September 28, 2008). Fixed problem with hyperlinks; 163 pages. v3.02 (April 30, 2009). Fixed many minor errors; changed chapter and page styles; 164 pages. v3.03 (May 29, 2011). Minor ﬁxes; 167 pages. Available at www.jmilne.org/math/ Please send comments and corrections to me at the address on my web page.
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Contents
Notations. . . . . . Prerequisites . . . . Acknowledgements Introduction . . . . Exercises . . . . . 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 5 5 1 6 7 7 8 8 10 10 11 12 14 18 19 19 20 22 25 25 26 27 29 31 34 38 40 40 42 43 46 49 51 52
Preliminaries from Commutative Algebra Basic deﬁnitions . . . . . . . . . . . . . . . . Ideals in products of rings . . . . . . . . . . . Noetherian rings . . . . . . . . . . . . . . . . Noetherian modules . . . . . . . . . . . . . . Local rings . . . . . . . . . . . . . . . . . . Rings of fractions . . . . . . . . . . . . . . . The Chinese remainder theorem . . . . . . . Review of tensor products . . . . . . . . . . . Exercise . . . . . . . . . . . . . . . . . . . .
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Rings of Integers First proof that the integral elements form a ring . . . . Dedekind’s proof that the integral elements form a ring Integral elements . . . . . . . . . . . . . . . . . . . . Review of bases of Amodules . . . . . . . . . . . . . Review of norms and traces . . . . . . . . . . . . . . . Review of bilinear forms . . . . . . . . . . . . . . . . Discriminants . . . . . . . . . . . . . . . . . . . . . . Rings of integers are ﬁnitely generated . . . . . . . . . Finding the ring of integers . . . . . . . . . . . . . . . Algorithms for ﬁnding the ring of integers . . . . . . . Exercises . . . . . . . . . . . . . . . . . . . . . . . . Dedekind Domains; Factorization Discrete valuation rings . . . . . . . . . . Dedekind domains . . . . . . . . . . . . Unique factorization of ideals . . . . . . . The ideal class group . . . . . . . . . . . Discrete valuations . . . . . . . . . . . . Integral closures of Dedekind domains . . Modules over Dedekind domains (sketch).
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. . . . The ﬁrst case of Fermat’s last theorem for regular primes Exercises . Properties of discrete valuations . . . . . . . . . . . . . . . . . . . . . . .K/ . . 52 54 56 57 60 61 63 63 65 68 73 75 76 78 80 80 82 83 85 86 86 87 89 89 89 90 The Finiteness of the Class Number Norms of ideals . . . . . . . . . . . . . . . . . . . 91 . The weak approximation theorem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Proof that UK is ﬁnitely generated . . . . . . . . . . . . . . Some calculus . . . . . . . . . . . . . . . . . . . . . . . . . .Factorization in extensions The primes that ramify . . Binary quadratic forms . . . . . . . S units . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Computation of the rank . . . . . . . . Nonarchimedean valuations . . . . . . . . . . Example: cubic ﬁelds with negative discriminant Finding . . . . . . . . . . . . Fermat’s Last Theorem. . . . . 100 101 101 102 103 105 105 107 109 110 111 115 118 7 . 98 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Finiteness of the class number . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Class numbers of cyclotomic ﬁelds . . . . . . . . . . . . . . . . Exercises . . . . . . . . . . . . 91 . . . . . . . . . . . . . . . . . . . . . . . Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Unit Theorem Statement of the theorem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 . . . . . . . . . . . . . . . Local Fields Valuations . . . . . . . . . . . . . . . Complete list of valuations for the rational numbers The primes of a number ﬁeld . . . . . . . . . . . . . . . . The basic results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Example: real quadratic ﬁelds . . . . . . . . . . . . . . . . . . . . . Example: CM ﬁelds . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 Cyclotomic Extensions. . . . . . . . . . . . . . Regulators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Finding a system of fundamental units . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Completions in the nonarchimedean case . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Valuations. . . . . . . . . Finding factorizations . . . . . . . . 97 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Exercises . . . . . . . . . . . . . . . . . . . . . . . . Equivalent valuations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Units in cyclotomic ﬁelds . . . . . . . . Completions . . . . . . . Extensions of nonarchimedean valuations . . . . Statement of the main theorem and its consequences . . . . . . . . . . . Examples of factorizations Eisenstein extensions . . . . . Lattices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Newton’s lemma . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Decomposition groups . . . . . . . Computing Galois groups (the hard way) . A B Bibliography Index . . . . . . . Locally compact ﬁelds . . . . . . . . . . . . Examples . . . . . . . . . . Ramiﬁcation groups . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 . . . . . . . . . . . . . . . . . . The product formula . . . . Krasner’s lemma and applications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Frobenius element . . . . Exercises . . Applications of the Chebotarev density theorem Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Solutions to the Exercises Twohour examination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Computing Galois groups (the easy way) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Unramiﬁed extensions of a local ﬁeld Totally ramiﬁed extensions of K . . . . . . . . . . . . . . . . . . . . . . . 120 122 123 125 126 127 129 131 131 133 135 137 139 140 141 146 147 149 155 156 158 Global Fields Extending valuations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Newton’s polygon . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
denotes a surjective map. Acknowledgements I thank the following for providing corrections and comments for earlier versions of these notes: Vincenzo Acciaro. 2011.01. Wai Yan Pong. GT Group Theory. Throughout the notes. 5 . We use the standard (Bourbaki) notations: N D f0. R D ﬁeld of real numbers. 5. The cardinality of a set S is denoted by jSj (so jS j is the number of elements in S when S is ﬁnite). 1. : : :. Bijan Mohebi. Hauwen Huang. Francesc Castell` . 2. Fp D Z=pZ D ﬁeld with p elements. Œ denotes the equivalence class containing . v3.! def X is deﬁned to be Y . Lars Kindler. and multilinear algebra. is a function i 7! ai W I ! A.ubordeaux.. a family of elements of A indexed by I . X and Y are canonically isomorphic (or there is a given or unique isomorphism). p D 2. Franz Lemmermeyer. Michael Adler. Scott Mullane. Nicol´ s Sirolli. CFT Class Field Theory. Vishne Uzi. denotes an injective map.fr/. Dustin Clausen. mjn means that m divides n. p is a prime number.jmilne. 3. Thomas a Stoll. Let I and A be sets. i. Roger Lipsett. 2011. X is isomorphic to Y . Given an equivalence relation. It is standard to use Gothic (fraktur) letters for ideals: a b c m n p q A B C a b c m n p q A B C M N P Q M N P Q Prerequisites The algebra usually covered in a ﬁrstyear graduate course. n 2 mZ.22.e.11. The empty set is denoted by . Siddharth Mathur. group theory. I shall refer to the following of my course notes (available at www. Samir Hasan.Notations. Giedrius Alkauskas.org/math/): FT Fields and Galois Theory. Lee M. Kwangho a Choiy. and others. Paul Federbush.. 2011. or equals Y by deﬁnition. denoted .math. Z D ring of integers. Galois theory. For integers m and n. p a prime number. Loy Jiabao. for example. Keith Conrad. PARI is an open source computer algebra system freely available from http://pari. i.. X DY X Y X 'Y . C D ﬁeld of complex numbers. X Y X is a subset of Y (not necessarily proper). v4. Goswick. : : :g. An undergraduate number theory course will also be helpful. Jasper.e.ai /i 2I . References In addition to the references listed at the end and in footnotes. v4.
He studied the Gaussian integers ZŒi in order to ﬁnd a quartic reciprocity law.D RAMATIS P ERSONÆ F ERMAT (1601–1665). Z/ has a nontrivial zero in Q if and only if it has one in R and the congruence Q Á 0 mod p n has a nontrivial solution for all p and n. which is closely related to the problem of ﬁnding the class numbers of quadratic ﬁelds. 1 The Indian mathematician Bhaskara (12th century) knew general rules for ﬁnding solutions to the equa tion. then ZŒ˛ is a ﬁnitely generated group of rank r C s 1. p. K RONECKER (1823–1891). The English mathematicians found an algorithm for solving the problem. and made the Riemann hypothesis. and he showed that the roots of a polynomial of degree 5 can be expressed in terms of elliptic functions.q 1/=4 . and he discovered an early version of the quadratic reciprocity law. Studied the Riemann zeta function. He also had one of the most beautiful ideas in mathematics for generating abelian extensions of number ﬁelds (the Kronecker liebster Jugendtraum). Stated his last “theorem”. and gave an incomp plete proof of the quadratic reciprocity law. R IEMANN (1826–1866). and showed that unique factorization could be recovered by the introduction of “ideal numbers”.X/ with integer coefﬁcients. and proved it for m D 4. . and used them to prove an analytic formula for the class number and a density theorem for the primes in an arithmetic progression. E ULER (1707–1783). Á L EGENDRE (1752–1833). L AGRANGE (1736–1813). He made a deep study of the arithmetic of cyclotomic ﬁelds. motivated by a search for higher reciprocity laws. He published the ﬁrst complete proofs for the cubic and quartic reciprocity laws. Y. He found the complete form of the quadratic reciprocity law: Â ÃÂ Ã q p D . He made important contributions to quadratic forms. but neglected to prove that the algorithm always works. D IRICHLET (1805–1859). K UMMER (1810–1893). (1) p which is essentially the problem1 of ﬁnding the units in ZŒ A. He studied the classiﬁcation of binary quadratic forms over Z. E ISENSTEIN (1823–1852). q p and he proved that the algorithm for solving (1) always leads to a solution. He developed an alternative to Dedekind’s ideals. A 2 Z. He found the ﬁrst complete proofs of the quadratic reciprocity law. G AUSS (1777–1855). He introduced analysis into the study of the prime numbers. 1/. He introduced the “Legendre symbol” m .p 1/. He proved the following “unit theorem”: let ˛ be a root of a monic irreducible polynomial f .X / has r real roots and 2s complex roots. He proved the following localglobal principle for quadratic forms in three variables over Q: a quadratic form Q. X2 AY 2 D 1. He proved that Fermat’s last theorem holds for regular primes. suppose that f . H ERMITE (1822–1901). He introduced Lseries. He also posed the problem of ﬁnding integer solutions to the equation. q odd primes.X.
N OETHER (1882–1935). He wrote a very inﬂuential book on algebraic number theory in 1897. and contributed to the classiﬁcation of central simple algebras over number ﬁelds. 2 Not 7 . by proving that ideals factor uniquely into products of prime ideals in such rings. I WASAWA (1917–1998). as conjectured by Weber and Hilbert. and have also been inﬂuential. nD H ILBERT (1862–1943). she laid the foundations of modern algebra in which axioms and conceptual arguments are emphasized. He gave the ﬁrst proof of local class ﬁeld theory. Deﬁned the zeta function of a number ﬁeld. 1. which enabled him to give a common generalization of Artin Lseries and Hecke Lseries. among other things. He gave the ﬁrst deﬁnition of the ﬁeld of padic numbers (as the set P of inﬁnite sums 1 k an p n . W EBER (1842–1913). Deﬁned the Weil group. A RTIN (1898–1962). : : : . TATE (1925– ). and contributed to the classiﬁcation of central simple algebras over number ﬁelds. which allowed him to give an elegant reformulation of class ﬁeld theory. but all the earlier proofs used analysis. H ASSE (1898–1979). The main statements of class ﬁeld theory are purely algebraic. Some of his famous problems were on number theory. He proved new results in group cohomology. and she contributed to the classiﬁcation of central simple algebras over number ﬁelds. B RAUER (1901–1977). an 2 f0. H ECKE (1887–1947). which is the main theorem of class ﬁeld theory (improvement of Takagi’s results). H ENSEL (1861–1941). and by showing that. Deﬁned the Brauer group. Together with Artin. sometimes referred to as the geometric Langlands program. Introduced the Artin Lseries. Made important progress in class ﬁeld theory and the Kronecker Jugendtraum. He found the “Artin reciprocity law”. to be confused with its geometric analogue. which appears to lack arithmetic signiﬁcance. With his introduction of id` les he was able to give a natural formulation of class ﬁeld theory for e inﬁnite abelian extensions. He proved the fundamental theorems of abelian class ﬁeld theory. proved the Hasse (localglobal) principle for all quadratic forms over number ﬁelds. C HEVALLEY (1909–84). TAKAGI (1875–1960). they fall into ﬁnitely many classes. With Lubin he found an explicit way of generating abelian extensions of local ﬁelds. He laid the modern foundations of algebraic number theory by ﬁnding the correct deﬁnition of the ring of integers in a number ﬁeld. L ANGLANDS (1936– ).D EDEKIND (1831–1916). The Langlands program2 is a vast series of conjectures that. contains a nonabelian class ﬁeld theory. Chevalley gave a purely algebraic proof. Introduced Hecke Lseries generalizing both Dirichlet’s Lseries and Dedekind’s zeta functions. W EIL (1906–1998). which gave the ﬁrst systematic account of the theory. He introduced an important new approach into algebraic number theory which was suggested by the theory of curves over ﬁnite ﬁelds. modulo principal ideals. p 1g).
and so we must deﬁne the “ring of integers” OK in our number ﬁeld K.a2 b 2 d /. b 2 Q. factorization in a ﬁeld only makes sense with respect to a subring. and this factorization is unique up to order and replacing each i with an associate. i a prime element.a C b d //. I write A for the multiplicative group of units in A. since unique factorization will fail in general.e. is p p . then every nonzero element a of A can be written in the form.X . with its product with a unit. Secondly. We shall see that the algebraic integers form a subring OK of K. m D ˙p1 pn . p Consider for example the ﬁeldp D QŒ d . in order to fully understand the arithmetic of K. b ¤ 0. We shall show (2.X . i. Consider more generally an integral domain A.11) that ˛ is an algebraic integer if and only if its minimum polynomial over Q has coefﬁcients in Z. an in Q. or fails to hold. Kummer 1844 (as translated by Andr´ Weil) e The fundamental theorem of arithmetic says that every nonzero integer m can be written in the form. and that this factorization is essentially unique. T HE RING OF INTEGERS Let K be an algebraic number ﬁeld. An element of A is said to prime if it is neither zero nor a unit. always the same ones for a given number. an in Z. in number ﬁelds. does not also belong to the [integers of cyclotomic ﬁelds]. a. aDu 1 u a unit.a b d // D X 2 2aX C . and so ˛ is an algebraic integer if and only if 2a 2 Z. Each element ˛ of K satisﬁes an equation ˛ n C a1 ˛ n 1 C C a0 D 0 with coefﬁcients a1 . The criterion as stated is difﬁcult to apply. The K minimum polynomial of ˛ D a C b d . : : : .. Finally.Introduction It is greatly to be lamented that this virtue of the [rational integers]. Our ﬁrst task will be to discover to what extent unique factorization holds. where d is a squarefree integer. : : : . First. and if jab H) ja or jb: If A is a principal ideal domain. we shall need to ﬁnd a way of measuring by how much it fails. to be decomposable into prime factors. pi a prime number. since factorization is only considered up to units. we need to understand the structure of the group of units UK in OK . Three problems present themselves. and ˛ is an algebraic integer if it satisﬁes such an equation with coefﬁcients a1 . n. An element a 2 A is said to be a unit if it has an inverse in A (element b such that ab D 1 D ba). a2 1 b 2 d 2 Z: .
3 mod 4. and 1 5 are irreducible. and so 1=2 C 5=2 p is an algebraic integer in QŒ 5. b 2 Z . 3. Then we shall see (6. d D exp. i. 1 C 2 .From this it follows easily that. b 2 Z. and let K D QŒ d . the second and third cases don’t occur.1 C 5/. the minimum polynomial of 1=2 C 5=2 is X 2 X 1. and so it is the uniqueness that fails. for example. not in general! We shall see that each element of OK can be written as a product of irreducible elements (this is true for all Noetherian rings). p For example.˛ˇ/ D Nm.˛/ D 1 ” ˛ ˛ D 1 ” ˛ is a unit. 3. we use the norm map p p NmW QŒ 5 ! Q.1 5/ p has no solution with a. ˛ is a unit.e. A ring A is a unique factorization domain if every nonzero element of A can be expressed as a product of irreducible elements in essentially one way. 1 C 5. Let d be a primitive d th root of 1.2 i=d /. Next note that (*) p implies that associates have the same norm. Is the ring of integers OK a unique factorization domain? No. or 6. N (*) p If 1 C 5 D ˛ˇ. a C b 5 7! a2 C 5b 2 : This is multiplicative.. Why does unique factorization fail in OK ? The problem is that irreducible elements in p 5 divides 2 3 but it divides neither 2 OK need not be prime. and it is easy to see that. b 2 Z . ˛ is an algebraic integer if integers or both halfintegers. for ˛ 2 OK . Nm.. FACTORIZATION A nonzero element of an integral domain A is said to be irreducible if it is not a unit. and. ˛ is an algebraic integer if and only if a and b are integers.a C b 5/. and so it remains to show that 1 C 5 and p 1 5 are not associates. 2. Thus Nm. A similar argument shows that 2. i. 1 5 are irreducible. and no two are associates. then Nm. when d Á 2. a prime element is (obviously) irreducible. n p p OK D ZŒ 1C2 d D a C b 1C2 d and only if a and b are either both ˇ ˇ ˇ o a. In the above example. but p p p 1C 5 D . and in the fourth case ˇ is a p unit. n o p p OK D ZŒ d D a C b d j a. in ZŒ 5 we have p p 6 D 2 3 D .1 C 5/ D 6.1 5/: p p To see that 2.2) that « ˚P i OK D ZŒ d D mi d j mi 2 Z : as one would hope. and can’t be written as a product of two nonunits. p p For example.e. when d Á 1 mod 4. For example. In the ﬁrst case.˛/ D 1. 3.
am / and b D . In fact. Thus an ideal factor a is a set of elements of OK such that 0 2 aI a. we might say this shows factorization is not unique in Z.a/ D p1 pn with each pi a prime ideal.p2 p4 /. then there is an essentially unique factorization: . ab D nX ai bi j ai 2 a.b1 . 3 .p1 p2 /. one recovers unique factorization: if a ¤ 0. and a prime ideal factor is a prime ideal. Moreover divisibility by a should have the following properties: aj0I aja.nor 3. 6 D . bjbi : In other words. o bi 2 b : One see easily that this is again an ideal.p1 p3 /. namely. :::. in ZŒ 5 there is a unique factorization. and that if a D . :::. How do we deﬁne “ideal factors”? Clearly. Since all we know about an ideal factor is the set of elements it divides. we may as well identify it with this set.3 7/: The idea of Kummer and Dedekind was to enlarge the set of “prime numbers” so that. b 2 a ) a ˙ b 2 aI a 2 a ) ab 2 a for all b 2 OK I it is prime if an addition. a Noetherian ring). ai bj .p3 p4 / D . in an integral domain in which factorizations exist (e.g. we recognize that there is a unique factorization underlying these two decompositions.a1 b1 . :::.2 5/. ajai . ajb ) aja ˙ bI aja ) ajab for all b 2 OK : If in addition division by a has the property that ajab ) aja or ajb.a1 . bn / then a b D . ab 2 a ) a 2 a or b 2 a: Many of you will recognize that an ideal factor is what we now call an ideal. underlying the above factorization. :::. 210 D . factorization is unique if all irreducible elements are prime. What can we recover? Consider 210 D 6 35 D 10 21: If we were naive.2 3/. for p example. then we call a a “prime ideal factor”. am bn /: With these deﬁnitions. here the pi are “ideal prime factors”.5 7/ D . instead. an ideal factor should be characterized by the algebraic integers it divides. There is an obvious notion of the product of two ideals: X abjc ” c D ai bi .
2.2. 1 C .K/. 1 5/ D . 1 C 2/ D 1I .2. 5/ are all prime.2. p . 1 p 5/: 5/. 2 C 2 5.3. 1 C .2. 1 5/ is surjective with kernel . only a ﬁnite number: we shall see that there exists a ﬁnite set S of ideals such that every ideal is of the form a .1 C 2/m ¤ 1 if m ¤ 0: p p In fact ZŒ 2 D f˙. 1 C 5/.2.2. In a certain sense. 1 C 5/. For example.a/ for some a 2 S and some a 2 OK .1 C p p 5/ p 5/. 1 p p p p 5/.3. form a subgroup P of ﬁnite index. a 2 K .In the above example. 2 2 5.3.2.2. p p . we shall construct a group I of “fractional” ideals in which the principal fractional ideals . 6/ p p and so p 1 C .2/. We shall see that hK D 1 ” OK is a principal ideal domain ” OK is a unique factorization domain.6/ D .a/. and . OK can have inﬁnitely many units. 1 C p5/. moreover.2. 1 C 5/. we shall show (unit theorem) that the roots of 1 in K form a ﬁnite group .3. 1 5/ Dp as claimed. and so p p ZŒ 5=. namely. 1 C In fact.2. 1 5/.3/ 5/ D . How far is this from what we want.2. how many “ideal” elements have we had to add to our “real” elements to get unique factorization.1 C 2/. we shall ﬁnd r: 4 Conversely.2. we see that p p . 1 C p 5/. . and that OK . Since every generator is divisible by 2.2/: p p 2 D 6 4 2 . The index is called the class number hK of K. 1 5/ D . I claim .3.2.1 5/: p p p p For example. and so p ZŒ 2 f˙1g ffree abelian group of rank 1g: In general. 1 C . 1 5/ .3.1 C 2/m j m 2 Zg. 1 5/. 1 C p p p p 5/ D . 1 the obvious map Z ! ZŒ 5=. . U NITS p Unlike Z. 1 p 5/.3. 2 C 2 5.3/. 1 5/. unique factorization of elements? In other words.2/ 5/ D . Better. I further claim that the four ideals . 5/.3/.4. 6/. 2 2 5. 1 5/ ' Z=. .4.3.K/ Zr (as an abelian group).1 C 2/ is a unit of inﬁnite p order in ZŒ 2 W p p p . For example. which is an integral domain. . .3.3.
z nonzero. in order e i y/ is a pth power. By using algebraic number theory one can write down an algorithm to do it for any degree.. Cohen’s book is the more useful as a supplement to this course. y.Z 2 C XZ C X 2 /. y. i.e. In a famous incident. it sufﬁces to show that the factors are to show that each factor . Some comments on the literature C OMPUTATIONAL NUMBER THEORY Cohen 1993 and Pohst and Zassenhaus 1989 provide algorithms for most of the constructions we make in this course. for all primes p such that p does not divide the class number of QŒ p .A PPLICATIONS One motivation for the development of algebraic number theory was the attempt to prove Fermat’s last “theorem”. In fact. when m 3. Another application is to ﬁnding Galois groups. However. see. The splitting ﬁeld of a polynomial f . and suppose x. which leads to a contradiction3 . the French mathematician Lam´ gave a talk at the Paris Academy e in 1847 in which he claimed to prove Fermat’s last theorem using the following ideas. This led people to look at more general factorizations. Kummer used e his results on the arithmetic of the ﬁelds QŒ to prove Fermat’s last theorem for all regular primes. i. 3 The simplest proof by inﬁnite descent is that showing that p 2 is irrational. Lam´ couldn’t justify his e step (ZŒ is not always a principal ideal domain). but wasn’t available when these notes were ﬁrst written. y.. When m D 3. this can proved by the method of “inﬁnite descent”. shortly after Lam´ ’s embarrassing lecture. While the books are concerned with moreorless practical algorithms for ﬁelds of small degree and small discriminant. and it was recognized that a stumbling block to proving the theorem for larger m is that no such factorization exists into polynomials with integer coefﬁcients of degree Ä 2. The proof makes use of the factorization Y 3 D Z3 X 3 D . from one solution. z/ to the equation X m C Y m D Zm with all of x.Z X /. Liouville immediately questioned a step in Lam´ ’s proof in which he assumed that.x. z are nonzero integers such that xp C yp D zp : Write xp D zp yp D Y . you show that you can construct a smaller solution.z relatively prime in pairs and their product is a pth power. Let p > 2 be a prime. 5 . D e2 i=p : He then showed how to obtain a smaller solution to the equation. In a basic Galois theory course. i. 0Äi Äp 1.z i y/. and hence a contradiction.X/ 2 QŒX is a Galois extension of Q. there are no integer solutions . for example.e. we learn how to compute the Galois group only when the degree is very small.. The ﬁrst assumes the reader knows number theory. Lenstra (1992) concentrates on ﬁnding “good” general algorithms. Milne 2006. and Fermat’s last theorem was not proved for almost 150 years.e. For applications of algebraic number theory to elliptic curves. whereas the second develops the whole subject algorithmically.
H ISTORY OF ALGEBRAIC NUMBER THEORY Dedekind 1996, with its introduction by Stillwell, gives an excellent idea of how algebraic number theory developed. Edwards 1977 is a history of algebraic number theory, concentrating on the efforts to prove Fermat’s last theorem. The notes in Narkiewicz 1990 document the origins of most signiﬁcant results in algebraic number theory. Lemmermeyer 2009, which explains the origins of “ideal numbers”, and other writings by the same author, e.g., Lemmermeyer 2000, 2007.
Exercises
01 Let d be a squarefree integer. Complete the veriﬁcation that the ring of integers in p QŒ d is as described. p 02 Complete the veriﬁcation that, in ZŒ 5, p p p 5/.2; 1 5/.3; 1 C 5/.3; 1 .6/ D .2; 1 C is a factorization of .6/ into a product of prime ideals.
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C HAPTER
1
Preliminaries from Commutative Algebra
Many results that were ﬁrst proved for rings of integers in number ﬁelds are true for more general commutative rings, and it is more natural to prove them in that context.1
Basic deﬁnitions
All rings will be commutative, and have an identity element (i.e., an element 1 such that 1a D a for all a 2 A), and a homomorphism of rings will map the identity element to the identity element. A ring B together with a homomorphism of rings A ! B will be referred to as an Aalgebra. We use this terminology mainly when A is a subring of B. In this case, for elements ˇ1 ; :::; ˇm of B, AŒˇ1 ; :::; ˇm denotes the smallest subring of B containing A and the ˇi . It consists of all polynomials in the ˇi with coefﬁcients in A, i.e., elements of the form X i im ai1 :::im ˇ11 :::ˇm ; ai1 :::im 2 A: We also refer to AŒˇ1 ; :::; ˇm as the Asubalgebra of B generated by the ˇi , and when B D AŒˇ1 ; :::; ˇm we say that the ˇi generate B as an Aalgebra. For elements a1 ; a2 ; : : : of A, P let .a1 ; a2 ; : : :/ denote the smallest ideal containing we the ai . It consists of ﬁnite sums ci ai , ci 2 A, and it is called the ideal generated by a1 ; a2 ; : : :. When a and b are ideals in A, we deﬁne a C b D fa C b j a 2 a, b 2 bg: It is again an ideal in A — in fact, it is the smallest ideal containing both a and b. If a D .a1 ; :::; am / and b D .b1 ; :::; bn /, then a C b D .a1 ; :::; am ; b1 ; :::; bn /: Given an ideal a in A, we can form the quotient ring A=a. Let f W A ! A=a be the homomorphism a 7! a Ca; then b 7! f 1 .b/ deﬁnes a onetoone correspondence between the ideals of A=a and the ideals of A containing a, and A=f
1 See
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.b/ ! .A=a/=b:
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also the notes A Primer of Commutative Algebra available on my website.
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1. P RELIMINARIES FROM C OMMUTATIVE A LGEBRA A proper ideal a of A is prime if ab 2 a ) a or b 2 a. An ideal a is prime if and only if the quotient ring A=a is an integral domain. A nonzero element of A is said to be prime if . / is a prime ideal; equivalently, if jab ) ja or jb. An ideal m in A is maximal if it is maximal among the proper ideals of A, i.e., if m ¤ A and there does not exist an ideal a ¤ A containing m but distinct from it. An ideal a is maximal if and only if A=a is a ﬁeld. Every proper ideal a of A is contained in a maximal ideal — if A is Noetherian (see below) this is obvious; otherwise the proof requires Zorn’s lemma. In particular, every nonunit in A is contained in a maximal ideal. There are the implications: A is a Euclidean domain ) A is a principal ideal domain ) A is a unique factorization domain (see any good graduate algebra course).
Ideals in products of rings
P ROPOSITION 1.1 Consider a product of rings A B. If a and b are ideals in A and B respectively, then a b is an ideal in A B, and every ideal in A B is of this form. The prime ideals of A B are the ideals of the form p B (p a prime ideal of A), A p (p a prime ideal of B).
P ROOF. Let c be an ideal in A B, and let a D fa 2 A j .a; 0/ 2 cg; b D fb 2 B j .0; b/ 2 cg:
Clearly a b c. Conversely, let .a; b/ 2 c. Then .a; 0/ D .a; b/ .1; 0/ 2 c and .0; b/ D .a; b/ .0; 1/ 2 c, and so .a; b/ 2 a b: Recall that an ideal c C is prime if and only if C =c is an integral domain. The map A B ! A=a B=b; .a; b/ 7! .a C a; b C b/
has kernel a b, and hence induces an isomorphism .A B/=.a b/ ' A=a B=b: Now use that a product of rings is an integral domain if and only if one ring is zero and the other is an integral domain. 2 R EMARK 1.2 The lemma extends in an obvious way to a ﬁnite product of rings: the ideals in A1 Am are of the form a1 am with ai an ideal in Ai ; moreover, a1 am is prime if and only if there is a j such that aj is a prime ideal in Aj and ai D Ai for i ¤ j:
Noetherian rings
A ring A is Noetherian if every ideal in A is ﬁnitely generated. P ROPOSITION 1.3 The following conditions on a ring A are equivalent: (a) A is Noetherian. (b) Every ascending chain of ideals a1 a2 an .
eventually becomes constant, i.e., for some n, an D anC1 D 8
a/. it is an ideal. Xn is Noetherian. (c))(a): Let a be an ideal in A.5 Note that the proposition fails for the ring O of all algebraic integers in the algebraic closure of Q in C. We shall need to use that. and the ideals can’t be equal for otherwise c would be a unit. 2 A famous theorem of Hilbert states that kŒX1 . and so an D anC1 D D a. a/ will be a ﬁnitely generated ideal in a properly containing a0 . From (b) we know that this process will lead to a maximal element after only ﬁnitely many steps. we deduce that b can be written as a product of irreducible elements. then there exists an a2 2 S such that a1 a2 . and hence is ﬁnitely generated. From the maximality of . :::. : : : . Clearly . and so it contains a maximal element. Suppose the statement of the proposition is false for a Noetherian integral domain A. : : : of polynomials in an inﬁnite sequence of symbols is not Noetherian because the chain of ideals .a1 . because.X1 . and let S be the set of ﬁnitely generated ideals contained in a. then there exists an a3 etc.a1 . Thus O is not Noetherian. For some n. Hence both c and d are units. If a1 is not a maximal element of S . For example. Xn . 2 R EMARK 1. : : : . This contradicts the deﬁnition of a0 . P ROOF.X1 / . If a2 is not maximal. and so dc D 1.b/ ” bja. it is not itself irreducible. X2 / . for example. and similarly for c.b/ . ar /.X1 .a1 . X2 . X3 / never becomes constant. Since a can not be written as a product of irreducible elements. an will contain all the ai .. almost all the rings that arise naturally in algebraic number theory or algebraic geometry are Noetherian. a0 D . ar . but not all rings are Noetherian.. (b))(c): Let a1 2 S .a/ .e.a/. Then S is nonempty because it contains the zero ideal. with equality if and only if b D a unit: The ﬁrst assertion is obvious. . S P ROOF. ar /. the ring kŒX1 . 9 . i. Thus a is a product of irreducible elements. In practice. and we have a contradiction.a/ is maximal among the ideals generated by such elements (here we use that A is Noetherian). say. If a0 ¤ a. and . note that if a D bc and b D ad then a D bc D adc. there exists an ideal in S not properly contained in any other ideal in S. Then there exists an element a 2 A which contradicts the statement and is such that . and so a D bc with b and c nonunits.4 Every nonzero nonunit element of a Noetherian integral domain can be written as a product of irreducible elements. : : : . For the second. P ROPOSITION 1. then there exists an element a 2 a a0 .Noetherian rings (c) Every nonempty set S of ideals in A has a maximal element. : : : . say a D . (a))(b): Let a D ai . for elements a and b of an integral domain A. we can keep in extracting square roots p — an algebraic integer ˛ can not be an irreducible element of O because ˛ will also be p p an algebraic integer and ˛ D ˛ ˛.
If M is generated by a single element. and so x 2 M 0 . If M=N is Noetherian.6 The following conditions on an Amodule M are equivalent: (a) M is Noetherian. and let a be a proper ideal in A. Let M be a ﬁnitely generated Amodule. let x 2 M 00 . then M A=a for some ideal a in A. I claim that if M 0 M 00 are submodules of M such that M 0 \ N D M 00 \ N and M 0 and M 00 have the same image in M=N . Since M contains a submodule N generated by n 1 elements such that the quotient M=N is generated by a single element. such that x y 2 N . If N and M=N are both Noetherian. (c) every nonempty set of submodules in M has a maximal element. 2 P ROPOSITION 1. P ROOF. m L EMMA 1.7 Let M be an Amodule. then M D 0: (b) If N is a submodule of M such that N C aM D M . then M 0 D M 00 . P ROOF. the second condition implies that there exists a y 2 M 0 with the same image as x in M=N . and deﬁne P aM D f ai mi j ai 2 a. Now the claim shows that the chain itself becomes constant. We argue by induction on the minimum number n of generators of M . then so also is M . the statement follows from (1. (b) every ascending chain of submodules eventually becomes constant. mi 2 M g : (a) If aM D M . Then x y 2 M 00 \ N M 0 .7).8 Let A be a Noetherian ring. and if N is Noetherian. P ROPOSITION 1. A D A (complement of m in A). 2 P ROPOSITION 1. P ROOF. P RELIMINARIES FROM C OMMUTATIVE A LGEBRA Noetherian modules Let A be a ring. and let N be a submodule of M . i. An Amodule M is said to be Noetherian if every submodule is ﬁnitely generated. To see this.1.9 (NAKAYAMA’ S LEMMA ) Let A be a local Noetherian ring. Similar to the proof of Proposition 1. 2 Local rings A ring A is said to local if it has exactly one maximal ideal m. the intersection of the chain with N becomes constant. then N D M: 10 . Then every ﬁnitely generated Amodule is Noetherian.e.3. In this case.. Now consider an ascending chain of submodules of M . the image of the chain in M=N becomes constant. and the statement is obvious.
1 2 S. and write e1 D a 1 e1 C Then . en g generates M .M=N /: X . if d is a nonzero integer. Z.mi C N / 2 C an en . For example.. Consider m C N . if A is a local integral domain with maximal ideal m ¤ 0. en g for M . and so fe2 . : : : . n 0g: (b) If p is a prime ideal. with the property that every c 2 K can be written in the form c D ab 1 with a. then2 Zd consists of those elements of Q whose denominator divides some power of d : Zd D fa=d n 2 Q j a 2 Z. en g.g is a multiplicative subset of A. mi 2 M: Then mCN D and so m C N 2 a. (b) It sufﬁces to show that a.10 (a) Let t be a nonzero element of A. it is a unit. :::. there is a ﬁeld K A. Rings of fractions Let A be an integral domain. : : : . then S t D f1. which contradicts our choice of fe1 . n 1.p/ D fm=n 2 Q j n is not divisible by pg: 2 This def notation conﬂicts with a later notation in which Zp denotes the ring of padic integers. We write Ap for Sp 1 A. then we deﬁne S 1 A D fa=b 2 K j b 2 S g: It is obviously a subring of K: E XAMPLE 1..t 2 . 11 . and we (sometimes) write A t for S t 1 A. (a) Suppose that aM D M but M ¤ 0.M=N / D M=N for then (a) shows that M=N D 0. and k. m 2 M . Q is the ﬁeld of fractions of Z. then mM D M for any ﬁeld M containing A but M ¤ 0.ai mi C N / D X ai . then ab does not belong to p/. From the assumption. ai 2 a: The hypothesis that M be ﬁnitely generated in the lemma is essential. with ai 2 a. For example.. Choose a minimal set of generators fe1 . If S is a multiplicative subset.t . b 2 A and b ¤ 0. For example. we can write X m D nC ai mi .Rings of fractions P ROOF. called the ﬁeld of fractions of A.1 a1 /e1 D a2 e2 C C an en : As 1 a1 is not in m. then Sp D A p is a multiplicative set (if neither a nor b belongs to p. A subset S of A is said to be multiplicative if 0 … S .X / is the ﬁeld of fractions of kŒX : Let A be an integral domain with ﬁeld of fractions K. and S is closed under multiplication. For example.
:::. 2 and (1.5/.2/. but s … p (by assumption).2/. s 2 S. : : : . write ac for a \ A.S 1 p/ \ A p. let b 2 a. .0/I . .7/: Note that in general. P ROOF. . The map p 7! pe D p S 1 A is a bijection from the set of prime ideals in A such that p \ S D ∅ to the set of prime ideals in S 1 A.3/. for t a nonzero element of an integral domain.0/I . . A ) p \ A is a prime ideal in A disjoint from S. . It is easy to see that p a prime ideal disjoint from S ) pe is a prime ideal in S p a prime ideal in S 1 1 A.0/I .3/. and so a=s 2 p: 2 P ROPOSITION 1. and let S be a multiplicative subset of def A.3/.42/: .13/.t /g $ $ fprime ideals of A not containing t g fprime ideals of A containing t g: The Chinese remainder theorem Recall the classical form of the theorem: let d1 .S 1 p/ \ A. then Ap is a local ring (because p contains every prime ideal disjoint from Sp ).11 Consider an integral domain A and a multiplicative subset S of A. :::. P RELIMINARIES FROM C OMMUTATIVE A LGEBRA P ROPOSITION 1. E XAMPLE 1. (b) We list the prime ideals in some rings: Z: Z2 : Z. write ae for the ideal it generates in S 1 A. let a=s 2 . .2/. Consider the equation a s D a 2 p.11) shows that the two maps are inverse.11/. .0/I .2/ : Z42 : Z=. . and so at least one of a=s or s is in p (because it is prime). : : : . For the reverse inclusion. the inverse map is p 7! p \ A. dn be integers.11/.5/. xn .7/.s . and so a=s D . We can write it b D a=s with a 2 A. a 2 p.12 Let A be an integral domain. .7/. Both a=s s and s are in A.11/. Clearly . then for any integers x1 .a \ A/e a because a \ A a and a is an ideal in S 1 A. Clearly . . .5/.1. .a=s//=s 2 . the congruences x Á xi mod di 12 . Then a D s . fprime ideals of A t g fprime ideals of A=.a \ A/e : Let p be a prime ideal disjoint from S .13 (a) If p is a prime ideal in A. . relatively prime in pairs. : : : . For the reverse inclusion. . s 2 S . For an ideal a of A. Let a be an ideal in S 1 A. for an ideal a of S 1 A.a=s/ 2 a \ A. Then: ace D a for all ideals a of S 1 A aec D a if a is a prime ideal of A disjoint from S: P ROOF. .
then the other solutions are the integers of the form x C md with m 2 Z and d D di : We want to translate this in terms of ideals. :::. Note that in general.n/ D Z. the congruences x Á xi mod ai have a simultaneous solution x 2 A.The Chinese remainder theorem have a simultaneous solution x 2 Z. Thus Q .ai C bi / D 1. if x is one solution. i. As a1 C a2 D A.mi / . a1 a2 an a1 \ a2 \ ::: \ an . :::. then . and so a1 C Y i 2 ai D A: We can now apply the theorem in the case n D 2 to obtain an element y1 of A such that Y y1 Á 1 mod a1 . moreover. mi /. there are elements ai 2 ai such that a1 C a2 D 1. and so we have . all j > 1: Similarly. y1 Á 0 mod aj .mi /. T HEOREM 1..mi / D . n Y i D1 A=ai ! 0 P ROOF. If the mi are relatively prime in T pairs. xn of A. yn such that yi Á 1 mod ai . :::.m/ C . y1 Á 0 mod ai : i 2 These conditions imply y1 Á 1 mod a1 . an be ideals in a ring A. the natural maps give an exact sequence 0!a!A! with a D T ai D Q ai . there exist elements y2 . For each i we can ﬁnd elements ai 2 a1 and bi 2 ai such that ai C bi D 1. moreover. if and only if .e. The element x D a1 x2 C a2 x1 has the required property. and lies in a1 C i 2 ai . 13 . T If m1 . These remarks suggest the following statement. :::. Then for any elements x1 . The element x D P yi Á 0 mod aj for j ¤ i: xi yi now satisﬁes the requirements. mk T integers. all i 2: Q Q The product i 2 . and ai D ai . then the other solutions T T Q are the elements of the form x C a with a 2 ai . In other words. relatively prime in pairs. if x is oneQ solution. which equals Q . Suppose ﬁrst that n D 2. then m D mi .mi /.m. n/ D Z.14 Let a1 .m/ where m is the least common multiple are Q Q of the mi . but the two ideals need not be equal. Integers m and n are relatively prime if and only if . This suggests deﬁning ideals a and b in a ring A to be relatively prime if a C b D A.mi / D .
The pair . f / consisting of an Amodule Q and an Abilinear map f W M N ! Q is called the tensor product of M and N if any other Abilinear map f 0 W M N ! P factors uniquely into f 0 D ˛ ı f with ˛W Q ! P Alinear. and let a1 C a2 D 1.m C m0 .M ˝A N. am ˝ n D a.j P P P . There is an exact sequence: Y 0 ! aM ! M ! M=ai M ! 0 i Q T with a D ai D ai : This can be proved in the same way as Theorem 1. n/ D f .m.m. n0 2 N: . n. m.m. n0 / all a 2 A.m. First The theorem extends to Amodules. ai / D ai : i 2 i 2 2 Q ai . m0 2 M. n C n0 / D f . P / D HomA . We denote it by M ˝A N . Review of tensor products Let M . nj / 7! mi ˝ nj : 14 . and so Y Y \ a1 . n0 2 N: .m C m0 / ˝ n D m ˝ n C m0 ˝ n = m ˝ . and let M be an Amodule.1. We showed above that a1 and i 2 ai are relatively prime. an/ i. n/ 7! m ˝ n/ is characterized by each of the following two conditions: (a) The map M N ! M ˝A N is Abilinear. we have c D a1 c C a2 c 2 a1 a2 which proves that a1 \ a2 T a1 a2 . Nj / ! Mi ˝A Nj . which I now review.am.14. if it is linear in each variable..m. Mi / ˝A . m0 2 M.m ˝ n/ D m ˝ an Tensor products commute with direct sums: there is a canonical isomorphism M M ' M . but I prefer to use tensor products. P /: (b) The Amodule M ˝A N has as generators the m˝n. m 2 M . We complete the proof by induction. m. and we write . A pair . P RELIMINARIES FROM C OMMUTATIVE A LGEBRA T Q T It remains to prove that ai D ai .e. N . and P be Amodules. and any other Abilinear map M N ! P is of the form . n/ D af . as before. We have already noted that ai suppose that n D 2. :::. n/ C f .m. . A mapping f W M N ! P is said to be Abilinear if 9 f .n C n0 / D m ˝ n C m ˝ n0 all a 2 A.m ˝ n/ for a unique Alinear map ˛W M ˝A N ! P .Q. n/ = f . n/ 7! ˛. This allows us D Q Q to assume that i 2 ai D i 2 ai . f . n. relatively prime in pairs. T HEOREM 1. thus BilinA . and as relations 9 .15 Let a1 .M ˝A N.m. mi / ˝ .m.M N. an be ideals in A. The tensor product exists. For c 2 a1 \ a2 . i j i. n 2 N .m. n/ 7! m ˝ n for f . n/ D f .m0 . ai / D a1 \ . n/ C f . and is unique (up to a unique isomorphism making the obvious diagram commute).
16 The tensor product of two matrices regarded as linear maps is called their Kronecker product.Review of tensor products It follows that if M and N are free Amodules3 with bases . and M is said to be a free Amodule of rank m.ei / and . m0 2 M 0 . : : : .m/ for some m 2 M and n0 D ˇ. then M ˝A N is a free Amodule with basis .17 If ˛W M ! M 0 and ˇW N ! N 0 are surjective.4 If A is m n (so a linear map k n ! k m ) and B is r s (so a linear map k s ! k r ). 2 One can also show that if M 0 ! M ! M 00 ! 0 is exact.n/ for some n 2 N . if V and W are vector spaces over a ﬁeld k of dimensions m and n respectively.n/: R EMARK 1. Recall that M 0 ˝ N 0 is generated as an Amodule by the elements m0 ˝ n0 .m/ ˝ ˇ. then so also is ˛ ˝ ˇW M ˝A N ! M 0 ˝A N 0 : P ROOF. By assumption m0 D ˛. 15 .fj / respectively. then A ˝ B is the mr ns matrix (linear map k ns ! k mr ) with 0 1 a11 B a1n B B C : : :: : : A˝B D @ A: : : : am1 B amn B L EMMA 1. : : : .˛ ˝ ˇ/. then V ˝k W is a vector space over k of dimension mn.m/ ˝ ˇ. n0 2 N 0 .m.a1 . Thus there is a unique Alinear map ˛ ˝ ˇW M ˝A N ! M 0 ˝A N 0 such that . Then . 4 Kronecker products of matrices predate tensor products by about 70 years. and so m0 ˝ n0 D ˛. if we tensor the exact sequence 0 ! a ! A ! A=a ! 0 with M .m ˝ n/. . Let ˛W M ! M 0 and ˇW N ! N 0 be Alinear maps. Therefore the image of ˛ ˝ ˇ contains a set of generators for M 0 ˝A N 0 and so it is equal to it.m ˝ n/ D ˛. and therefore factors uniquely through M N ! M ˝A N .n/ D . is an isomorphism of Amodules. we obtain an exact sequence a ˝A M ! M ! . then so also is M 0 ˝A P ! M ˝A P ! M 00 ˝A P ! 0: For example.A=a/ ˝A M ! 0 3 Let (2) M be an Amodule. Then Am ! M . Elements e1 .ei ˝ fj /.˛ ˝ ˇ/.n/W M N ! M 0 ˝A N 0 is Abilinear. n/ 7! ˛. am / 7! ai ei . em form a basis for M if every element of M can beP expressed uniquely as a linear combination of the ei ’s with coefﬁcients in A. In particular.m/ ˝ ˇ.
which is the zero map. P RELIMINARIES FROM C OMMUTATIVE A LGEBRA The image of a ˝A M in M is def P aM D f ai mi j ai 2 a. then M ˝A P ! N ˝A P need not be injective. if M ! N is injective. there is a canonical isomorphism a ˝ f 7! af W K ˝k kŒX1 .A=ai / ˝A M ' Q M=ai M. b. N / ! HomB .15) Return to the situation of the theorem. em . For example. Xm (4) 16 .a/ ˝ 1 D 1 ˝ g. When we tensor the isomorphism ' Q A=a ! A=ai with M . If M is a free Amodule with basis e1 .1 ˝ m/ D ˛. N a Bmodule: For example. The map m 7! 1 ˝ mW M ! B ˝A M has the following universal property: it is Alinear. take A D Z. and note that . 1 ˝ em . : : : . : : : .A=a/ ˝A M ! as required. m m For example. P ROOF ( OF T HEOREM 1. N /.a/.Z=mZ/ equals Z=mZ ! Z=mZ.m/. and for any Alinear map ˛W M ! N from M into a Bmodule N . : : : . and so we obtain from the exact sequence (2) that M=aM ' .A=a/ ˝A M (3) By way of contrast.M. we get an isomorphism M=aM ' . m 2 M: ' Q . mi 2 M g . 2 We say that B ˝A M is the Bmodule obtained from M by extension of scalars. T ENSOR PRODUCTS OF ALGEBRAS If f W A ! B and gW A ! C are Aalgebras. b 0 2 B.b 0 ˝ m/ D bb 0 ˝ m.b 0 ˝ c 0 / D bb 0 ˝ cc 0 and the map A ! B ˝A C is a 7! f .B ˝A M.b ˝ c/. A ˝A M D M .Z ! Z/ ˝Z . Xm ! KŒX1 . E XTENSION OF SCALARS If A ! B is an Aalgebra and M is an Amodule. Thus ˛ 7! ˛ 0 deﬁnes an isomorphism HomA . there is a unique Blinear map ˛ 0 W B ˝A M ! N such that ˛ 0 . then B ˝A M is a free Bmodule with basis 1 ˝ e1 . then B ˝A C has a natural structure of an Aalgebra: the product structure is determined by the rule . : : : .1. then B ˝A M has a natural structure of a Bmodule for which b.
Then K ˝k ˝ is a product of ﬁnite separable ﬁeld extensions of ˝. Then Yr C ˝Q K ' C ˝Q . We can apply the Chinese Remainder Theorem to deduce that Yr ˝ŒX =.fi .f .f .f .fi . and so it can’t be a product of ﬁelds. According to the primitive element theorem (FT 5.kŒX =.X / D f1 .X / has distinct roots.Review of tensor products T ENSOR PRODUCTS OF FIELDS We are now able to compute K ˝k ˝ if K is a ﬁnite separable ﬁeld extension of a ﬁeld k and ˝ is an arbitrary ﬁeld extension of k. ˛r are the conjugates of ˛ in C. and the ring K ˝k K will contain an element ˇ D . and if f . By deﬁnition this means that the map g.19 Let K D QŒ˛ with ˛ algebraic over Q.X / factors in ˝ŒX into monic irreducible polynomials f . N OTES Ideals were introduced and studied by Dedekind for rings of algebraic integers.X // by (3) and (4).X /// ' CŒX =.X / 7! g. f . 17 .X // ' i D1 CŒX =. Thus we have proved the following result: T HEOREM 1.X /: f . then Yr fi .X / D i D1 E XAMPLE 1. It was not until the 1920s that the theory was placed in its most natural setting.X / be the minimum polynomial of ˛. Let f . then the image ˛i of ˛ in ˝i is a primitive element for ˝i =˝. Because K is separable over k.X / and fi .. that of arbitrary commutative rings (by Emil Artin and Emmy Noether).X //: i D1 Finally.1).X /// ˝k ˝ ' ˝ŒX =.˛ ˝ 1 1 ˝ ˛/ ¤ 0 such that ˇp D ˛p ˝ 1 1 ˝ ˛ p D ˛ p .1 ˝ 1/ ˛ p . The composite of ˇ 7! 1 ˝ ˇW K ! C ˝Q K P P j with projection onto the i th factor is aj ˛ j 7! aj ˛i .f .18) that K is separable over k. ˝ŒX =.QŒX =.18 Let K be a ﬁnite separable ﬁeld extension of k. Therefore f . there will be an ˛ 2 K such that ˛ p 2 k but ˛ … k. and let ˝ be an arbitrary ﬁeld extension.f .X // is a ﬁnite separable ﬁeld extension of ˝ of degree deg fi .˛/ determines an isomorphism kŒX =.X // ! K: Hence K ˝k ˝ ' . We note that it is essential to assume in (1. K D kŒ˛ for some ˛ 2 K. Yr K ˝k ˝ D ˝i : i D1 If ˛ is a primitive element for K=k.X // D ˝ŒX =.f .X / are the minimum polynomials for ˛ and ˛i respectively. : : : .1 ˝ 1/ D 0: Hence K ˝k K contains a nonzero nilpotent element. If not.X ˛i / Cr : Here ˛1 . and later by others in polynomial rings.X / that are relatively prime in pairs.X / fr .
and that S 0 D A plicative system S p. there is aS unique smallest saturated multi0 containing S . Deduce that S 1 A is characterized by the set of prime ideals of A that remain prime in S 1 A: 18 . where p runs over the prime ideals disjoint from S. Show that S 0 1 A D S 1 A.1. A multiplicative subset S of A is said to be saturated if ab 2 S ) a and b 2 S: (a) Show that S is saturated ” its complement is a union of prime ideals. (b) Show that given a multiplicative system S. P RELIMINARIES FROM C OMMUTATIVE A LGEBRA Exercise 11 Let A be an integral domain.
ai 2 A: T HEOREM 2. : : : .. P 2 AŒS1 . i. Sr : P ROOF. First proof that the integral elements form a ring A polynomial P . Xr / in AŒX1 .e.X For example S1 D X Xi . Xr / 2 AŒX1 .C HAPTER 2 Rings of Integers Let A be an integral domain. : : : . We deﬁne an ordering on the monomials in the Xi by requiring that i i X11 X22 i Xr r > X 1 1 X2 2 j j j Xr r if either i1 C i2 C C ir > j1 C j2 C 19 C jr . which avoids symmetric polynomials.X1 . :::. :::. :::. These particular polynomials are called the elementary symmetric polynomials. and the second is Dedekind’s surprisingly modern proof. i.1/ .1 The elements of L integral over A form a ring. T HEOREM 2. I shall give two proofs of this theorem.r/ / D P . :::. The ﬁrst uses Newton’s theory of symmetric polynomials and a result of Eisenstein.. X . are all symmetric. : : : . Xr is equal to a polynomial in the symmetric elementary polynomials with coefﬁcients in A. i. Xr is said to be symmetric if it is unchanged when its variables are permuted. if P .e.e. S2 D X i <j .2 (Symmetric function theorem) Let A be a ring..X1 . if it satisﬁes an equation ˛ n C a1 ˛ n 1 C C an D 0.X1 . all 2 Symr : Xi Xj . An element ˛ of L is said to be integral over A if it is a root of a monic polynomial with coefﬁcients in A. Sr D X1 Xr . and let L be a ﬁeld containing A. Xr /. :::. Every symmetric polynomial P .
Clearly h.4 Let L be a ﬁeld containing A. ˛n /.˛1 . P ROPOSITION 2. Xr / k cS1 1 k2 k S2 2 k3 k Sr r < P . An element ˛ of L is integral over A if and only if there exists a nonzero ﬁnitely generated Asubmodule of L such that ˛M M (in fact.X / D X n C a1 X n 1 C C an 2 AŒX .3) with g. : : : . then any polynomial g. the highest monomial in Si is X1 Xi . for some s.1/ . : : : .X / lies in A.˛1 .˛1 .X / Q in some ring containing A. But g.˛1 . : : : . 2 Let f . : : :/ equal to ˛1 ˙ ˛2 or ˛1 ˛2 to deduce that these elements are integral over A.X1 . and after a ﬁnite number of steps. : : : . it contains all monomials obtained from X1 1 Xr r by permuting the X’s.X / lie in A.X / D . ˛n are the roots in ˝ of a monic polynomial in AŒX . Then a1 D S1 . Let ˛1 and ˛2 be elements of L integral over A. ˛n / in the ˛i with coefﬁcients in A is a root of a monic polynomial in AŒX. an D ˙Sn . ˛n / is one of its roots. and therefore lie in A. Xr /: We can repeat this argument with the polynomial on the left.3 Let A be an integral domain. 20 . : : : . : : : . Hence k1 k2 kr . : : : . : : : . Because k k P is symmetric. There exists a monic polynomial in AŒX having both ˛1 and ˛2 as roots.2. : : : . but isC1 > jsC1 : k k Let X1 1 Xr r be the highest monomial occurring in P with a coefﬁcient c ¤ 0.˛ .X g.n/ // is a monic polynomial whose coefﬁcients are symmetric polynomials in the ˛i . we can take M D AŒ˛. and let ˝ be an algebraically closed ﬁeld containing A. a2 D S2 . ˛n /: Thus the elementary symmetric polynomials in the roots of f . ˛ . 2 We now prove Theorem 2. Sr .1. : : : . : : : . i1 D j1 . ˛n be the roots of f . so that f . Clearly. ˛n /. We can now apply (2. we will arrive at a representation of P as a polynomial in S1 . If ˛1 . and let ˛1 . is D js . R INGS OF I NTEGERS or equality holds and. :::. the Asubalgebra generated by ˛).˛1 . Dedekind’s proof that the integral elements form a ring P ROPOSITION 2.˛1 . and so the theorem implies that every symmetric polynomial in the roots of f . P ROOF.X ˛i / in the larger ring. and it follows easily that the highest d d monomial in S1 1 Sr r is d X1 1 Cd2 C Cdr d X2 2 C Cdr d Xr r : Therefore P .X / D def Y 2Symn .X1 . : : : .
(HW We shall need to apply Cramer’s rule. : : : .Cj /= det.1. em g generates M and ff1 .Dedekind’s proof that the integral elements form a ring P ROOF. On expanding out the determinant. 21 . em fn g generates MN .C / vi D 0 for all i .˛ a11 /v1 a12 v2 a22 /v2 a13 v3 a23 v3 D0 D0 D 0: Let C be the matrix of coefﬁcients on the lefthand side. vn be a a21 v1 C . if fe1 .. ˛ n 1 has the property that ˛M M . this implies that det.Cj / it becomes true over any ring (whether or not det.C / where C D . : : : . The proof is elementary— essentially it is what you wind up with when you eliminate the other variables (try it for m D 2). expand out ˇ ˇ ˇ c11 : : : P c1j xj : : : c1m ˇ ˇ ˇ ˇ : : : ˇ : : ˇ det Cj D ˇ : : ˇ ˇ : P : ˇ cm1 : : : cmj xj : : : cmm ˇ using standard properties of determinants. ci 2 A: 2 We now prove Theorem 2.cij / and Cj is obtained from C by replacing the elements of the j th column with the di s. Now let M be a nonzero Amodule in L such that ˛M ﬁnite set of generators for M . As usually stated (in linear algebra courses) this says that. Since at least one vi is nonzero and we are working inside the ﬁeld L. Let ˛ and ˇ be two elements of L integral over A. (b) it is ﬁnitely generated because.C / xj D det. When one restates the equation as det. ai 2 A: Then the Asubmodule M of L generated by 1.˛ C c2 ˛ n 2 C C cn D 0. ei fj . : : : . Then Cramer’s rule tells us that det. Then. (c) it is stable under multiplication by ˛ˇ and by ˛ ˙ ˇ: We can now apply (2. Deﬁne nX o MN D mi ni j mi 2 M. we obtain an equation ˛ n C c1 ˛ n 1 M . if m X cij xj D di . Alternatively. )W Suppose ˛ n C a1 ˛ n 1 C C an D 0.. m.. j D1 then xj D det. i D 1.C / D 0. ˛. for each i . fn g generates N . . : : : . some aij 2 A: We can rewrite this system of equations as .C / is invertible). : : : . and let v1 .4) to deduce that ˛ˇ and ˛ ˙ ˇ are integral over A. and let M and N be ﬁnitely generated Amodules in L such that ˛M M and ˇN N . then fe1 f1 . P ˛vi D aij vj . ni 2 N : Then: (a) MN is an Asubmodule of L (easy). : : : .
Let A be a unique factorization domain. Otherwise we may suppose that there is an irreducible element of A dividing b but not a. ai 2 A: On multiplying through by b n .e..9 A unique factorization domain. P ROOF. C am d m D 0: C C am d m D 0: 2 As a1 d . . The integral closure of Z in an algebraic number ﬁeld L is called the ring of integers OL in L: Next we want to see that L is the ﬁeld of fractions of OL . b 2 A. d 2 A.. If ˛ 2 L is algebraic over K. If b is a unit.d˛/m 1 1 C ::. this is a contradiction. C an b n D 0: The element then divides every term on the left except an . and hence must divide an . and let L be a ﬁeld containing K. i. in fact we can prove more. ai 2 K: Let d be a common denominator for the ai . ˛ integral over A ) ˛ 2 A: P ROPOSITION 2. it satisﬁes an equation .d˛/m C a1 d. this shows that d˛ is integral over A. Since it doesn’t divide a.a=b/n C a1 . then there exists a d 2 A such that d˛ is integral over A.6 Let K be the ﬁeld of fractions of A.. 2 D EFINITION 2. we obtain the equation an C a1 an 1 b C ::. so that dai 2 A for all i . As a=b is integral over A. ˛ satisﬁes an equation ˛ m C a1 ˛ m 1 C C am D 0. and multiply through the equation by d m W d m ˛ m C a1 d m ˛ m We can rewrite this as .7 Let A be an integral domain with ﬁeld of fractions K. then a=b 2 A.2.5 The ring of elements of L integral over A is called the integral closure of A in L. then it is the ﬁeld of fractions of B: P ROOF. and let B be the integral closure of A in a ﬁeld L containing K. 2 22 .8 A ring A is integrally closed if it is its own integral closure in its ﬁeld of fractions K. with a. P ROPOSITION 2. be an element of the ﬁeld of fractions of A integral over A. if ˛ 2 K. By assumption. and let a=b. is integrally closed. . a principal ideal domain. for example. C OROLLARY 2. R INGS OF I NTEGERS Integral elements D EFINITION 2. P ROOF. If L is algebraic over K.a=b/n 1 C C an D 0. The proposition shows that every ˛ 2 L can be written ˛ D ˇ=d with ˇ 2 B. am d m 2 A.
and the “if” part is obvious. so that ˛ m C a1 ˛ m 1 C ::. and therefore (see 2.11 Let K be the ﬁeld of fractions of A. and it follows that the coefﬁcients of f . Sr . and so there exists a Kisomorphism W KŒ˛ ! KŒ˛ 0 . p (b) Unique factorization fails in ZŒ 3 because p p 4 D 2 2 D .12 As we noted in the introduction. For any root ˛ 0 of f . E XAMPLE 2. P ROOF. : : : . Then f is a root of the monic polynomial Y .10 (a) The rings Z and ZŒi are integrally closed because both are principal ideal domains. P ROPOSITION 2. Xm (here the Si are the elementary symmetric polynomials). : : : . 19). for example.X / are integral over A. : : : . Xm / is kŒX1 . Let ˛ be an element of L integral over A. and A is integrally closed. On applying .T f . which shows that ˛ 0 is integral over A. I claim that the integral closure of kŒS1 . For example.X . and let L be an extension of K of ﬁnite degree. p p ZŒ p 3 ZŒ 3 1 which is a principal ideal domain (and hence the integral closure of Z in p QŒ 3 D QŒ 3 1). : : : . Let f 2 k.X / are integral over A (by 2. and so they lie in A. some ai 2 A: Let f . (c) For any ﬁeld k. 2 R EMARK 2. Xm . X . Conversely. and the four factors are all irreducible because they have the minimum norm 4.X / be the minimum polynomial of ˛ over K.1 3/.X1 . an element ˛ 2 QŒ d is integral over Z if and only if its trace and norm both lie in Z: 23 . ZŒ 5. the ﬁelds KŒ˛ and KŒ˛ 0 are both stem ﬁelds for f (see FT p. Assume A is integrally closed.X /. Xm .m/ //: 2Symm The coefﬁcients of this polynomial are symmetric polynomials in the Xi . Hence all the roots of f . Thus f 2 kŒX1 . this makes it easy to compute some rings p of integers. An element ˛ of L is integral over A if and only if its minimum polynomial over K has coefﬁcients in A. Xm . Sm in k. They lie in K.1 C 3/. which is a unique factorization domain. This proves the “only if” part of the statement.˛/ D ˛ 0 I to the above equation we obtain the equation ˛ 0m C a1 ˛ 0m 1 C ::.2) lie in kŒS1 .Integral elements The proposition makes it easy to give examples of rings where unique factorization fails p — take any ring which is not integrally closed.1). and hence is integrally closed in its ﬁeld of fractions.X1 . Sm . : : : . Xm / be integral over kŒS1 .1/ . C am D 0. However. let f 2 kŒX1 . : : : . : : : . : : : . C am D 0. : : : . :::. Then f is integral over kŒX1 .
15 Consider integral domains A is integral over B. ˇ2 is ﬁnitely generated as an Amodule. 2 We now complete the proof of (2. 1 C cn 1ˇ n 1 . some ai 2 A: Every element of B can be expressed as a ﬁnite sum c0 C c1 ˇ C c2 ˇ 2 C C cN ˇ N . Continuing in this fashion. 2 L EMMA 2.2. Let ˇ1 . ˇm D B: We saw above that AŒˇ1 is ﬁnitely generated as an Amodule.13 If B is integral over A and ﬁnitely generated as an Aalgebra. and C is ﬁnitely generated as a Bmodule. ˇm generate B as an Aalgebra. 2 C OROLLARY 2. ˇ 2 . then it is ﬁnitely generated as an Amodule. ˇ2 is ﬁnitely generated as a AŒˇ1 module. P ROOF. Thus every element of B can be expressed as a ﬁnite sum c0 C c1 ˇ C c2 ˇ 2 C and so 1. then C is ﬁnitely generated as an Amodule. and we can exploit the preceding equality to replace ˇ n (successively) with a linear combination of lower powers of ˇ. R INGS OF I NTEGERS P ROPOSITION 2. : : : . If B is ﬁnitely generated as an Amodule. In order to pass to the general case. P ROPOSITION 2. and C C b1 n 1 C C bn D 0. and consider A AŒˇ1 AŒˇ1 . bn . ci 2 A. we ﬁnd that B is ﬁnitely generated as an Amodule.14 Let A B C be rings. If fˇ1 . Since B 0 Œ B 0 Œ . Then B 0 is ﬁnitely generated as an Amodule (by the last proposition).4 shows that is integral over A. and ˇ2 is integral over AŒˇ1 (because it is over A). ˇ2 AŒˇ1 . Proposition 2. and so B 0 Œ is ﬁnitely generated as an Amodule. ci 2 A.16 The integral closure of A in an algebraic extension L of its ﬁeld of fractions is integrally closed. P ROOF. 24 . the same observation shows that AŒˇ1 . ˇ n we need a lemma. : : : . and f 1 . ˇm g is a set of generators for B as an Amodule. ˇ2 D AŒˇ1 Œˇ2 . First consider the case that B is generated as an Aalgebra by a single element. then fˇi j g is a set of generators for C as an Amodule. ˇ. :::. :::. By assumption ˇ n C a1 ˇ n 1 C C an D 0. and is integral over B 0 (by our choice of the bi /. Since AŒˇ1 . if B is integral over A. bi 2 B: Let B 0 D AŒb1 . say B D AŒˇ. P ROOF. :::.13). n g is a set of generators for C as a Bmodule. generate B as an Amodule. Let 2 C . it satisﬁes an equation n B C . then C is integral over A. :::. Now the lemma shows that AŒˇ1 .
V 1 / det.X /.M W N /: Review of norms and traces Let A B be rings such that B is a free Amodule of rank n. P P and ˇei D aij ej .a/ D an . then TrB=A .ˇ/ D ai i and NmB=A . then . ai 2 A ) all ai D 0.18 Let k be a ﬁnite ﬁeld. this agrees with the usual deﬁnition.e / where D D diag.aij /j (assuming this is nonzero). m /. en g is a basis for B over A.A/ of n n matrices with coefﬁcients in A (this is obvious).a/ D na 25 Nm.ˇ 0 / Tr.ˇˇ 0 / D Nm. and P (b) every element x of M can be expressed in the form x D ai ei .ei / 0 1 DU. ai 2 A. Moreover .D/ det. and and .m . mi 2 Z. Let fe1 .9). Then any ˇ 2 B deﬁnes an Alinear map x 7! ˇxW B ! B.fi / D V .ei / D U . :::. The following hold (for a 2 A.ˇ/ D det.Review of bases of Amodules P ROOF. recall from basic graduate algebra that we can choose 0 0 0 bases fei g for M and ffi0 g for N such that fi0 D mi ei .aij / 1 D adj.U / D mi D .aij / def 1 : In the case that A D Z. aij 2 A.ˇ/ C Tr. ˇ 0 2 B): Tr. the ring of integers in a number ﬁeld is integrally closed.ˇ C ˇ 0 / D Tr. en g be a basis for M . and let K be a ﬁnite extension of k.ˇ 0 / Nm. since we want our ring of integers to have the best chance of being a unique factorization domain (see 2. Thus if fe1 . :::. The arithmetic of OK is very similar to that of the ring of integers in a number ﬁeld. When B A is a ﬁnite ﬁeld extension.aij / is invertible in Mn . To prove this. mi > 0. :::.A/ if and only if its determinant is a unit in A.aij / det. : : : . :::. E XAMPLE 2. Recall that a set of elements e1 . Let B be the integral closure of A in L.fi /. ˇ. fn g be a second set of n elements in P M . en is a basis for M if P (a) ai ei D 0.ˇ/ Nm. and the trace and determinant of this map are welldeﬁned. and in this case. the index of N D Zf1 C Zf2 C C Zfn in M is j det. and so C B. and let ff1 .V 1 DU / D det. Then we can write fi D aij ej . Then C is integral over A. We call them the trace TrB=A ˇ and norm NmB=A ˇ of ˇ in the extension B=A.aij / is invertible in the ring Mn . If . Let OK be the integral closure of kŒX in K. 2 R EMARK 2. and fi is also a basis if and only if the matrix .ˇ/ Tr. and let C be the integral closure of B in L.17 In particular. Clearly we want this.aij /.aˇ/ D a Tr. the inverse is given by the usual formula: . Review of bases of Amodules Let M be an Amodule.fi / D V i 1 n Q det.
X/. :::.20 Assume L is separable of degree n over K.19 Let L=K be an extension of ﬁelds of degree n. : : : .j and so . P ROOF. Review of bilinear forms Let V be a ﬁnitedimensional vector space over a ﬁeld K. Alternatively. ˛2 .ˇ/ D n g. and fj D aj i ei . ej / alj .ei . For the general case. ej //. n g be the set of distinct Khomomorphisms L .y. : : : .ei .ˇ/ and NmL=K .aki ei . Q P NmL=K . Let f . R INGS OF I NTEGERS P ROPOSITION 2. and is Dedekind’s original deﬁnition (Dedekind 1877. and let ˇ 2 L.21 Let A be an integrally closed integral domain. Each ˇi occurs exactly r times in the family f i ˇg.g. use the transitivity of norms and traces (see FT 5.ei . . fl / D . . For any ˇ D g.j i. if ˇ 2 L is integral over A.ˇ/ D 1ˇ C C ˇm /.ˇ/ D r. fl // D A . then X X . . ˇm be the roots of f .11. 2 C OROLLARY 2. ˇ2 . ej // Atr 26 .X/ be the minimum polynomial of ˇ over K and let ˇ1 D ˇ.fk . alj ej / D aki .22 Let L D KŒ˛. and compute the matrix of x 7! ˇx relative to the P Q basis f1. If ff1 .˛/ in L. y 2 V . and let ˛1 D ˛.20). NmL=K . ˇ.x.ˇ1 ˇm /r C n ˇ. y/ D . and let L be a ﬁnite extension of the ﬁeld of fractions K of A. . Then TrL=K .˛i /: iD1 i This is a restatement of (2.2. 2 C OROLLARY 2. 17).ˇ/ D nD1 g.44). Then TrL=K . and let f 1 . Recall that a bilinear form on V is a Kbilinear map W V V ! K: Such a form is symmetric if . :::. We know that if ˇ is integral. NmL=K .. ˇ n 1 g — one sees easily that it has trace ˇi and determinant ˇi . The discriminant of a bilinear form relative to aP fe1 .ˇ/ D 1ˇ n ˇ: P ROOF. then so also is each of its conjugates. i. fm g is a set basis of elements of V .˛i /. . ˛n be the conjugates of ˛ (in some Galois extension of K containing L). TrL=K .! ˝ where ˝ is some big Galois extension of K (e. the Galois closure of L over K/.ˇ1 C where r D ŒL W KŒˇ D n=m: P ROOF. :::. Suppose ﬁrst that L D KŒˇ.fk ..ˇ/ D . then TrL=K . 2 A SIDE 2. em g of V is det. apply 2. x/ for all x.ˇ/ are in A..
Thus the discriminant D.B=A/ is a welldeﬁned integer.ˇ1 . K/ is an isomorphism. For example. ˇ/ 7! TrL=K . ˇm / of a basis fˇ1 . . ˇm /: 2 If the ˇs and s each form a basis for B over A. em g be a basis for V . x// from V onto the dual vector space def V _ D Hom. is called the discriminant disc. . ej / D ıij : For example. :::. See the proof of (5). Let fe1 .x 7! .. the map v 7! . Hence det.aij / is a unit (see p25).v. because 1 is the only square of a unit in Z: 27 . (c) the right kernel of is zero.ei .˛. D det. and the discriminant of this form is called the discriminant of L=K.ej / D ıij (Kronecker delta). ej // is a diagonal matrix — the GramSchmidt process always allows us to ﬁnd such a basis when the form is symmetric 0 — then ei D ei = . .V. When A D Z.B=A/ of B over A.Discriminants (equality of m m matrices) where A is the invertible matrix . welldeﬁned up to multiplication by a nonzero square in K. :::. :::. :::. aij 2 A. then det. We deﬁne their discriminant to be D.TrB=A . ˇm / itself regarded as an element of A=A 2 .aij /. Thus if is nondegenerate. ei /: Discriminants If L is a ﬁnite extension of K (L and K ﬁelds). :::.ˇ1 . or D. it has the property that 0 . ˇm be elements of B.ˇi ˇj //: L EMMA 2. fi . ej // (5) The form is said to be nondegenerate if it satisﬁes each of the following equivalent conditions: (a) has a nonzero discriminant relative to one (hence every) basis of V I (b) the left kernel fv 2 V j .A/2 det. This ideal.ei . More generally.ˇ1 . em g of V . em g is a basis such that . :::. :::.L=K/ is an element of K. suppose fe1 . We can use the isomorphism 0 0 V ! V _ given by a nondegenerate form to transfer ff1 . then m/ D. when we have a ﬁnite extension of ﬁelds L=K. :::. :::.v.ˇ1 .˛ˇ/W L L ! K is a symmetric bilinear form on L regarded as a vector space over K. Let ˇ1 . fj // D det. then . fm g to a basis fe1 . 1 . disc.ei . and let f1 . i.e.fi . fm be the dual basis in V _ . ˇm / D det. and assume B is free of rank m as an Amodule.aij /2 D. ˇm g of B is welldeﬁned up to multiplication by the square of a unit in A.ei . :::. :::. the ideal in A that it generates is independent of the choice of the basis. P ROOF. disc. :::. In particular. let B A be rings. x/ D 0 for all x 2 V g is zero.23 If j D P aj i ˇi .
i ˇj / D 0.disc. P ROPOSITION 2. 2 mg is a basis if and only if det. :::. k . aj i 2 A. and so disc.B=A/ ¤ 0. i ˇj /2 ¤ 0: P ROOF. P ROOF.BW N /2 disc. and. :::. :::. 1 . disc. ˇm /. the ring of integers OK in K is free of rank m over Z. :::. ˇm g be a basis for B as an Amodule. 28 P . :::. m be the distinct Khomomorphisms of L into some large Galois extension ˝ of L. i. and let P of B. 2 . Then there exist c1 .24 Let A B be integral domains and assume that B is a free Amodule of rank m and that disc. when K is a number ﬁeld of degree m over Q.ˇi / k . in which case D. we have D. and write Then both sides equal det. D P aj i ˇi . D. ˇm /.x/W G ! ˝ is the zero map (FT 5. ˇm / D det.OK =Z/ is a welldeﬁned integer.ˇj // D det. By direct calculation. : : : . for any basis ˇ1 . Then D. : : : . :::. m / ¤ 0.OK =Z/: P ROPOSITION 2.e. m // D .ˇ/ D 0 for all ˇ 2 L. k . and let 1 . choose a basis ˇ1 .ˇi // det. :::. and let 1 . :::.ˇ1 .ˇ1 . 1 .25 Take A D Z in (2.ˇ1 .aij / is a unit. :::.24). :::. m generate a submodule N of ﬁnite index in B if and only if D.Tr. : : : . : : : . m/ . ˇm / D det. : : : .2:23/ 1 . : : : . then 1 . but this contradicts Dedekind’s theorem on the independence of characters (apply it with G D L / : Let G be a group and ˝ a ﬁeld. 1 .20) D det. f 1 . k .ˇi ˇj // (by 2. it follows that i ci i .ˇ1 . m are linearly independent over ˝.aij /2 D. ˇm of L over K. Elements 1 .ˇi //2 : Suppose that det.ˇi ˇj // P D det.B=A// (as ideals in A).ˇj // D det. : : : . R INGS OF I NTEGERS Warning: We shall see shortly that. 1 .K=Q/ is the element of Q =Q 2 represented by the integer disc. :::. as we noted earlier..B=Z/: j To prove this. k k .D. Elements 1 . cm 2 ˝ such that X ci i . Let fˇ1 . ˇm for B as a Zmodule. m form a basis for B as an Amodule if and only if .Pk k . Then. m be any elements D det.aij /2 D. R EMARK 2. Write j D aj i ˇi .2. m be distinct homomorphisms G ! ˝ . Sometimes this is loosely referred to as the discriminant of K=Q — strictly speaking. m/ D . :::.14).ˇj / D 0 all j: i 2 def By linearity.26 Let L be a ﬁnite separable extension of the ﬁeld K of degree m. there do not P exist ci 2 ˝ such that x 7! i ci i .
ˇ ˇi / D Tr. then it follows easily from (2. then disc. ˇm g is a basis for B as an Amodule. then disc. Clearly fd ˇ1 . ˇm g be a basis for L over K.28 (a) The proposition shows that the Kbilinear pairing . ˇm g of L over K such that Tr. Then ˇ can be written uniquely as a P 0 0 linear combination ˇ D bj ˇj of the ˇj with coefﬁcients bj 2 K. (b) The assumption that L=K is separable is essential. P ROOF. so also is ˇ ˇi . :::.B=A/ represents disc. there exists a d 2 A such that d ˇi 2 B for all i . We shall show that Aˇ1 C Aˇ2 C C Aˇm B 0 0 Aˇ1 C Aˇ2 C 0 C Aˇm : Only the second inclusion requires proof. bj ˇj ˇi / D bj Tr. in fact. (6) Therefore B is a ﬁnitely generated Amodule if A is Noetherian. According to (2. Because the trace pairing is 0 0 0 nondegenerate. There exists free Asubmodules M and M 0 of L such that M B M 0. P ROPOSITION 2. p27).29 Let A be an integrally closed integral domain with ﬁeld of fractions K. and let B the integral closure of A in a separable extension L of K of degree m.6) that it is also a basis for L as a Kvector space. d ˇm g is still a basis for L as a vector space over K. and we have to show that each bj 2 A. If A Noetherian.L=K/). But X X X 0 0 Tr.21).ˇ ˇi / 2 A (see 2. and so Tr. and let L be a ﬁnite separable extension of K of degree m.ˇi ˇj / D ıij (see the discussion following (5).8). If the integral closure B of A in L is free of rank m over A. and it is free of rank m if A is a principal ideal domain. Let fˇ1 .ˇ ˇ 0 /W L L ! K is nondegenerate (its discriminant is disc.ˇj ˇi / D bj ıij D bi : j j j Hence bi 2 A. If fˇ1 . and so we may assume to begin with that each ˇi 2 B. ˇ 0 / 7! Tr.27 Let K be the ﬁeld of fractions of A. there is a “dual” basis fˇ1 .L=K/ D 0 (see Exercise 23). Rings of integers are ﬁnitely generated We now show that OK is ﬁnitely generated as a Zmodule.B=A/ ¤ 0: P ROOF. if L=K is not separable. : : : . As ˇi and ˇ are in B. and so B is ﬁnitely generated as an Amodule.Rings of integers are ﬁnitely generated C OROLLARY 2.L=K/: 2 R EMARK 2. :::. Let ˇ 2 B. Hence disc. 2 29 . and it has rank m because it contains a free Amodule of rank m (see any basic graduate algebra course).6). then B is free of rank Ä m because it is contained in a free Amodule of rank m. :::. then M 0 is a Noetherian Amodule (see 1. If A is a principal ideal domain.ˇ.
X 0 Aˇi : (b) Write L D QŒˇ with ˇ 2 B. then every element of B is integral over Z (by 2. 1/m 30 . We want to ﬁnd C . Let A D ZŒ 5. because it is not a principal ideal (see the Introduction).2.ˇˇi / 2 A for i D 1.X / (not necessarily separable) is a ﬁnitely generated kŒX module.ˇ// D 0 if 0 Ä i Ä m 2 1 if i Dm 1 (these formulas go back to Euler). it is not a free module of any rank. D EFINITION 2.X / be the minimum polynomial of ˇ. and so B OL : 2 R EMARK 2. R INGS OF I NTEGERS C OROLLARY 2.4). Chapter 7) that Tr. m. It follows from this that det.31 (a) The hypothesis that L=K be separable is necessary to conclude that B is a ﬁnitely generated Amodule (we used that the trace pairing was nondegenerate).2. Let C D ZŒˇ D Z1 C Zˇ C C Zˇ m 1 . a basis ˛1 .30 The ring of integers in a number ﬁeld L is the largest subring that is ﬁnitely generated as a Zmodule.ˇ i ˇ j =f 0 .2/ and ZŒ p ZŒ 5module of rank 1. Let B be another subring of L that is ﬁnitely generated as a Zmodule.ˇ// D .ˇ i =f 0 . p (c) Here is an example of a ﬁnitely generated module that is not free.Tr.2. ˛m for OK as a Zmodule is called an integral basis for K. P ROOF. Deﬁne C D fˇ 2 L j Tr. (b) The hypothesis that A be a principal ideal domain is necessary to conclude from (6) that B is a free Amodule — there do exist examples of number ﬁelds L=K such that OL is not a free OK module.32 When K is a number ﬁeld. with ˇi a basis for L over K. and consider the Amodules p p .33 We retain the notations of the proposition and its proof. One can show (Artin 1959. We have just seen that OL is a ﬁnitely generated Zmodule. ˇ2C and it follows that C D Thus we have: CD X Aˇi B X 0 Aˇi D C : 2 C g: ” Tr. R EMARK 2. :::. 1 C 5/ is not a free Both . In fact. P (a) Let C D Aˇi B. and let f .2/ .ˇ / 2 A for all By linearity. :::. 1 C 5/ ZŒ 5: p p p 5 are free ZŒ 5modules of rank 1. but . However it is still true that the integral closure of kŒX in any ﬁnite extension of k.
A/. :::. : : : .ˇi ˇj //2 Q Q D .ˇi /2 Q D .ˇi ˇj /2 D .ˇj / D .X / and f 0 . assumed to be irreducible and separable.X /. ˇ 2 . and let f . ˇm is the dual basis to 1.ˇi Q D . :::.m 1/=2 Nm. ˇ m 1 / D . : : : . ˇ. and so (by 2. ˇ m 1/ D det.X /. i <j . ˇ m to the basis 0 0 fˇ1 .X /. and so it is invertible in Mn . ˇ. ˇ. one sees that the matrix relating the family f1=f 0 . It is a symmetric polynomial in the ˇi with coefﬁcients in K.m 1/=2 i .ˇ/g: C D AŒˇ B f 0 . ˇm g 1 =f 0 . and let D f 0 . : : : . b 2 K. :::.X ˇi / over the Galois closure of L. 1/m.X / be the minimum polynomial of Q ˇ over K. 1/m. 1/m. If ˇ1 .X / D X n C aX C b. We have D. Thus we see that C is a free Amodule with basis f1=f 0 .X / factors into . ˇ m 1 =f 0 .34 Let L D KŒˇ some ˇ.34) is called the discriminant of f . i . : : : . ˇ 2 . The discriminant of f lies in K.m 1/=2 j f 0 . and it is zero if and only if f has a repeated root.ˇ i ˇj / D ıij . Let ˇ be a root of f .ˇ/g has determinant ˙1.ˇ/ 1 AŒˇ D C : Finding the ring of integers We now assume K to be a ﬁeld of characteristic zero.35 We compute the discriminant of f .1.ˇ//: (2. Then Y D.ˇ/.ˇ i ˇj // D 1: On comparing these formulas.ˇ/. but the formulas are quite complicated. 1/m.Tr.m 1/=2 NmL=K . ˇ m 1 .f 0 . E XAMPLE 2. Suppose that f .f 0 . It can also be deﬁned as the resultant of f . a.Finding the ring of integers (the only term contributing to the determinant is the product of the elements on the other 0 0 0 diagonal).X /.26) (Vandermonde) ˇj // 2 The number in (2.1. P ROPOSITION 2. then 0 det. so that Tr. j ¤i .2) it can be expressed in terms of the coefﬁcients of f .ˇ/ D nˇ n 1 C a: 31 .ˇ//: 1Äi <j Äm P ROOF.ˇ j //2 j D det.
1.X 2 C aX C b/ D 4b C a2 . disc.X 3 C aX C b/ D 27b 2 4a3 .X C . 1/n.. The general strategy for ﬁnding the ring of integers of K is to write K D QŒ˛ with ˛ an integer in K.n 1/n 1 n a : .n 1/a/n na. ˛. ˛.n 1/a ˇD then P . ˛ m 1 g is not an integral basis. 1/n times the constant term of this polynomial.40 below) or by looking at how primes ramify (see later). C . it must be the minimum polynomial of . 1/n 1 . ˛ m 1 /. we obtain the equation nˇ n 1 D na nbˇ 1/a 1 : nbˇ 1 Hence D nˇ n Solving for ˇ gives nb . then f1.OK =Z/ .X / D . 4b 3 27c 2 /. ˛ m 1 1/=2 1 C . one has to look for algebraic P integers not in Z ˛ i (we describe an algorithm below).n For example: disc. / is .2.X /=Q. and so we ﬁnd that Nm.n 1/n 1 n a / / D disc. ˛ m 1 g may still be an integral basis. Therefore Nm. ˛.25) D. :::. and sometimes one can tell this by using Stickelberger’s theorem (see 2.X C .X /.e. Since P . If we write Â Ã nb f D P . and so the minimum polynomial of has degree n.27*c^2) i. typing poldisc(X^3+a*X^2+b*X+c) in PARI returns 4*c*a^3 + b^2*a^2 + 18*c*b*a + (4*b^3 . ˛. /. :::. On multiplying the equation ˇ n C aˇ C b D 0 by nˇ 1 and rearranging.ˇ/ D 0 and so P .n : over K also C . 32 . /=Q. X C . R INGS OF I NTEGERS We compute NmKŒˇ =K . It is an integer. f1. :::. For example. and compute D. 1/n 1 .X 5 C aX C b/ D 55 b 4 C 44 a5 : For any polynomials more complicated than the above. because (see 2.OK W ZŒ˛/2 : (7) If it is not squarefree. disc. use a computer program.1. and if it is squarefree. ˛ m 1 g is automatically an integral basis.n 1/a/n 1 1 C a D .nn b n 1 C . ˛. :::. / D nn b n Finally we obtain the formula: disc. disc.X 4 C aX C b/ D 256b 3 27a4 . 1/n nn b n 1 is monic of degree n.X n C aX C b/ D . 4ca3 C b 2 a2 C 18cba C . / D f .n 1/a from which it is clear that KŒˇ D KŒ . : : : . / D 0. If f1.
it would have a root in Q.X / D X 5 X 1. :::. In either case. ˛m is an integral basis. (b) Recall that disc. ﬁxes P C N and PN .. 1/s . ˛. where 2s is the number of homomorphisms K . and. where ˛1 .38 This example goes back to Dedekind. and N the sum of the terms corresponding to odd permutations. ˛rCs the complex conjugates. and so they are rational numbers.D. P ROPOSITION 2.OK =Z/ Á . Then N N Á2 Y sign. E XAMPLE 2.1. ˛ 2 / D disc. but Dedekind showed that OK ¤ ZŒˇ. ˛. which contains no square factor. Let ˛ be a root of X 3 X 1.1. (a) Let K D QŒ˛. if it factored. We have D.36 The polynomial X 3 X 1 is irreducible1 in QŒX .39 Consider the ﬁeld QŒ˛ where ˛ is a root of f . they must in fact be integers. ˛ m 1 // D sign . . ˛rCs . 33 . 1/s .X // D 31. and so the ring of integers in QŒ˛ is ZŒ˛.OK =Z/ D det.X / is 2869 D 19 151. p170.. i ˛j / corresponding to even permutations.! C whose image is not contained in R: (b) (Stickelberger’s theorem) disc. and this equals . and so again f1. see Exercise 26. which contains no square factor.˛rCi ˛rCi / N 1Äi Äs because the other terms are either squares of real numbers or occur in conjugate pairs. (a) The sign of disc.f .OK =Z/ Á 0 or 1 mod 4. i ˛j /2 .P C N /2 4PN: If is an element of the Galois group of the Galois closure of K over Q. :::. or P D N and N D P . ˛ 2 / D disc.OK =Z/ D . ˛ 2 g is an integral basis for QŒ˛ (and ZŒ˛ is the ring of integers in QŒ˛). then either P D P and N D N . P ROOF.X // D 23. ˛.) E XAMPLE 2. ˛. Let P be the sum of the terms in the expansion of det. which would be an integer dividing 1.40 Let K be an algebraic number ﬁeld. Then disc. ˛r be the real conjugates of ˛ and ˛rC1 . The discriminant of f . In fact Dedekind showed that there is no integral basis of the form 1. ˛ 2 g is an integral basis for QŒ˛: E XAMPLE 2.X / D X 3 C X 2 2X C 8: The discriminant of f is 2012 D 4 503.. where ˛ is a root of f . Let K D QŒ˛.O=Z/ D 503. and so disc.1. As they are integral over Z.P C N /2 Á 0 or 1 mod 4: 2 1 In fact. ˛2 . ˛rC1 . this is the monic irreducible cubic polynomial in ZŒX with the smallest discriminant.K=Q/ is . ˇ. This polynomial is irreducible.37 The polynomial X 3 C X C 1 is irreducible in QŒX . from which it follows that disc. because. :::. ˇ 2 (see Weiss 1963. for another example of this type. and let ˛1 D ˛. for any root ˛ of it. and so f1.Finding the ring of integers E XAMPLE 2. because it is irreducible in F3 ŒX . D.f .P N /2 D .
2 Algorithms for ﬁnding the ring of integers By an algorithm I mean a procedure that could (in principle) be put on a computer and is guaranteed to lead to the answer in a ﬁnite number of steps.ˇm =d /: Let 1 . For example. the smallest discriminant is 3. If K and K 0 are isomorphic. See (3.2. mg is an integral basis. m/ D disc. we see that f1. we obtain a system of linear equations: iˇ D x1 i ˇ1 C x2 i ˇ2 C xi D C xm i ˇm . m be the distinct Kembeddings of L into some large Galois extension ˝ of K. which completes the proof. The curious may wonder why we didn’t give an example of a ﬁeld generated over Q by an integral element whose minimum polynomial has discriminant ˙1. but the converse statement is false.34). and write ˇ D x1 ˇ1 C C xm ˇm .29) is useful. i ˇ/. then they have the same degree and the same discriminant. The element . On applying the ’s to this equation.1. we know that ı 2 D d . .49) for two of them. and so Stickelberger’s p theorem shows that disc. ˇm /.1 C m/=2g is an integral basis. ˇm be a basis for L over K consisting of elements of B.42 Let K and K 0 be number ﬁelds.ˇ1 . and let d D disc.41 Consider the ﬁeld QŒ m. where m is a squarefree integer. Let ˇ 2 B.43 Let ˇ1 . Then A ˇ1 C ::. C A . and let B be the integral closure of A in a ﬁnite separable extension L of K of degree m: P ROPOSITION 2. and i ı is an element of K (because it equals dxi ) and is integral over A.48) and (3. For example. : : : . Therefore i ı 2 A. The following variant of (2. p Case m Á 1 mod 4. R EMARK 2. and hence f1. but with the i th column replaced with .ˇ1 =d / C ::.1. :::. A good algorithm is one whose running time is < N c for some c. C A ˇm P ROOF. From (2. i ˇj / and i is the determinant of the same matrix.X 2 m/ D 4m. . Here D. :::. Let A be a principal ideal domain with ﬁeld of fractions K. 3 mod 4. 2 2 In p fact.OK =Z/ D 4m. which occurs for QŒ 3. As D. and is actually useful. 34 . The reason is that there is no such polynomial of degree > 1 — see the discussion following Theorem 4.1 C m/=2 is integral because it is a root of X 2 p p X C . R INGS OF I NTEGERS p E XAMPLE 2.1 C m/=2/ D m. Suppose the input requires N digits to express it. there is no known good algorithm for factoring an integer. Thus xi D i ı=d . there are four nonisomorphic cubic number ﬁelds with discriminant 4027 (4027 is prime).1 m/=4. p Case m Á 2. m: Hence by Cramer’s rule where ı D det. By a practical algorithm I mean one that has been (or should have been) put on a computer. xi 2 K: B A .9 below. : : : . i =ı i D 1.
.1. f . and so it is possible to tell whether or not they are integers by computing them with sufﬁcient accuracy). Then it is possible to put M into upper triangular form by elementary row operations of the following type: (r1) add a multiple of one row to a second.3)” in PARI.44 Let . ı/ be Euclidean domain. ˛ m 1 /. we will have the gcd of the original elements in the ﬁrst column in the . ˇn for ZŒ˛ in d 1 ZŒ˛.6)” asks PARI for a minimum polynomial for a of degree at most 6. we can use (r1) to get an element in the ﬁrst column that has smaller ıvalue than a11 .r/ < ı. Find a set of representatives ˇ1 . 1/ position and zeros elsewhere. Now “algdep(a. Hence. Unfortunately this method is not practical.1. :::. which (correctly) reports it to be X6 2X 3 6 D .d 1 ZŒ˛W ZŒ˛/ D d m . Then ZŒ˛ OK d 1 ZŒ˛: Note that . Then move onto the next column. of course. with r D 0 or ı. and put that in the . :::.Algorithms for ﬁnding the ring of integers Thus there is the following algorithm for ﬁnding the ring of integers in a number ﬁeld K. By deﬁnition ıW A ! Z is a function with the following property: for any two elements a. 2 35 . if ˛ is a root of f .X / and K D 4 1 ˛ QŒ˛. then the index of ZŒ˛ in Z d C Z d C C Z ˛ is . If a11 divides all elements in the ﬁrst column. b of A with a ¤ 0. Compute d D disc.285401001/5 . For example.1. there exist elements q and r such that b D qa C r. 1/ position. Write K D QŒ˛ where ˛ is integral over Q. Note that PARI can compute the minimum polynomial of an algebraic number. Actually. (r2) swap two rows.1.a/: Apply an operation of type (r2) so that the element of the ﬁrst column with the minimum ı is in the . which reports that aD1:539084083333266359084139071. 285401001 D 3 179 233 2281 is squarefree. 1/position. P ROOF. and let M be an m m matrix with coefﬁcients in A. For p p 3 example. let a D 1 C 7. ˇ 2 d 1 ZŒ˛. which is huge but ﬁnite. .X 3 1/2 7: Unfortunately. we can use operations of type (r1) to make all the remaining elements of the ﬁrst column zero. We ﬁrst type “a=sqrtn(1+sqrt(7). and so OK D ZŒ˛. and has discriminant 285401001. and test each to see whether it is integral over Z (the coefﬁcients of its minimum polynomial will have denominators bounded by a power of d . as luck d would have it. Each coset ˇ C ZŒ˛. consists entirely of algebraic integers or contains no algebraic integer. . ˛. L EMMA 2.X / D X 5 C 17X 4 C 3X 3 C 2X 2 C X C 1 is irreducible. I now discuss a practical algorithm for ﬁnding OK for small degrees and small discriminants from Pohst and Zassenhaus 1989 (see the additional references at the end of this section). The next result will help us get an idea of what should be possible. Repeat — eventually. If not.A. PARI will ﬁnd a “minimum polynomial” for a even when a is transcendental.
ai1 . Ni 2 Z. Consider the ﬁeld K D QŒ˛ generated over Q by the algebraic integer ˛ with minimum polynomial f . !n .A/.A/ such that M U is lower triangular. Hence we have shown that there exists an invertible matrix U in Mn . :::. constructs an integral basis !1 . 36 ai k 2 Z. R INGS OF I NTEGERS R EMARK 2.X /. :::. 4. In Pohst and Zassenhaus 1989. and add the (invertible) operation: (r3) multiply a row by 1.X / D X n C a1 X n 1 C C an . !n g be a basis for OK as a Zmodule. we ﬁnd that for any matrix M 2 Mn . and they correspond to multiplying on the left with an invertible matrix in Mn . gcd. and write ADM ˝ where A D .X /. It is called the Hermite normal form of A.46 Let K D QŒ m. m squarefree. starting from a monic irreducible polynomial f . On taking transposes. ai i / D 1: i X kD1 ! ai k ˛ i =Ni . m Á 1 (mod 4).. d D j det. it is possible to make the triangular matrix T D UM satisfy the following conditions (assuming det. Thus 0 !1 D a11 1I 0 !2 D a21 1 C a22 ˛I etc. and write A D MU U def 1 ˝ D T ˝ 0: Here ˝ 0 D U 1 ˝ is again a Zbasis for OK .r2.T /j: p E XAMPLE 2.2. :::. (b) Take A D Z (for simplicity). there is an invertible matrix U in Mn . there is an algorithm that. ˛ n 1 /tr and ˝ D . 2 is of the above form. and ˝ 0 D T 1 A with T 1 also lower triangular (but not necessarily with integer coefﬁcients).r3). :::. Let f!1 . such that !i D where ˛ is a root of f . where d aij 2 Z. ˛.!1 .6.M / ¤ 0): ai i > 0 for all i I the elements aij of the j th column satisfy 0 Ä aij < ajj : Then T is unique. The integral basis p 1C m 1. an 2 Z. :::.A/ such that UM is upper triangular. Using (r1.45 (a) The operations (r1) and (r2) are invertible in matrices with coefﬁcients in A.A/.M /j D j det. !n /tr .1. Choose U so that M U is lower triangular (and in Hermite normal form).
which means that X 2 1 is reducible. but after that it becomes rapidly more difﬁcult. : : :/ D disc. and polisirreducible(X^21) returns 0. 38569. To study the stem ﬁeld of a polynomial f .. !2 D .X // the algorithm for computing an integral basis of the above form is good. which means that X 5 C 17X 4 C 3X 3 C 2X 2 C X C 1 is irreducible.1=9103145472000/˛ 10 C 4064571=49948672: The discriminant of f is 2130 312 512 2918 822316 . 3.. X^4].1=8/˛ 3 C . . 2 3 C 2 is an integral basis for QŒ 3. ˛. ˛ 4 is an integral basis for QŒ˛ (cf.f . and the index of ZŒ˛ in OK is 256 36 53 299 . For example.] which means that X 5 5X 3 C 4X 1 has 5 real roots and no nonreal roots and that its stem ﬁeld QŒ˛ has discriminant 38569. On the other hand. Moreover.Algorithms for ﬁnding the ring of integers In an Appendix. and poldisc(X^2+3) returns 12. and that its stem ﬁeld has discriminant 503. ˛. To ﬁnd the discriminant of a polynomial f . Finding the square factors of disc..1. The time taken to factor an N digit number is exponential in the number of digits of N . Once one has found the square factors of disc.] which means that. polisirreducible(X^5+17*X^4+3*X^3+2*X^2+X+1) returns 1. !11 D .X // is the most timeconsuming part of the algorithm.. typing nfinit(X^2+3) returns [X^2 + 3. For example...1=8/˛ 2 ... Moreover.1.. use poldisc(f). ˚ « which means that 1. 1]. use nfinit(f). Thus this is not a good algorithm in the above sense. [5. ˛ 3 .X // and to ﬁnd its square factors. and p that the ﬁeld QŒ 3 has discriminant 3. Hundred digit numbers are already difﬁcult. X. U SING PARI To determine whether a polynomial f is irreducible. . has an integral basis !1 D 1. For example. It ﬁnds the integral 37 . X 2 C 3 has no real roots and one conjugate pair of complex roots. typing nfbasis(X^2+3) returns [1. they use it to show that QŒ˛... p35). use polisirreducible(f). typing nfbasis(X^55*X^3+4*X1) returns [1. n o p p 1 1 which means that 1.5*X^3 + 4*X .1=4/˛ 2 1=4 !4 D . poldisc(X^5+17*X^4+3*X^3+2*X^2+X+1) returns 285401001. where ˛ is a root of f . X^3. ˛ 2 .. For Dedekind’s polynomial in (2. The ﬁrst step is to compute D.1=2/˛ C 1=2 !3 D . nfinit(X^55*X^3+4*X1) returns [X^5 . [0. 1/2*X + 1/2].38). PARI says that it has one real root and one conjugate pair of nonreal roots. X^2. ˛ 2 . Every computer can factor a 50 digit number easily.f . 0]...1=8/˛ 1=8 .X / D X 11 C 101X 10 C 4151X 9 C 332150625.f .
˛ n / Á 1 (mod 3) in Z.X / 2 ZŒX . Let f .g. Note that 2 2 ZŒ˛ D ZŒ1. Show that a ¤ .OK W ZŒ˛/ D 2 D as predicted by Equation 7. e.1 10/: Show that all the products ˛i ˛j . but a2 D . ˛. [This has a short solution.] trace: show that Tr.) 25 Let A be a subring of a ring B.1 C 10/I p p ˛2 D .1 C 10/I p p ˛4 D .2/a.1 7/.2/. are divisible by 3 in OK . N OTES As noted earlier. [Hint: Show that ˛i =3 is not an algebraic integer by considering its P n n n (mod 3) in ZŒ˛.2. (a) Consider the four algebraic integers: p p ˛1 D .] p p 26 Let K D QŒ 7. e.. show that it is reducible in AŒX . 10.X / is reducible in KŒX . i ¤ j .L=K/ D 0. Earlier authors either luckily chose the correct ring. 23 Show that if L=K is not separable. p p 24 Let a D . p32.X / denote the image of g in N 38 . Kummer chose ZŒ . and let K be its ﬁeld of fractions. n D 1. let g. deduce Tr. r 2012 . 22 Let A be an integrally closed ring. ˛j / Á 4 i (b) Assume now that OK D ZŒ˛ — we shall derive a contradiction. The following argument will show that OK ¤ ZŒ˛. which is the ring of integers in QŒ . and that .2. Conclude that p p ideals in ZŒ 3 do not factor uniquely into prime ideals.. 503 Exercises p 21 Since ZŒ 5 is not integrally p closed. and let ˇ be a unit in B.1 7/. then disc. but it’s not obvious.˛i / Á . and let ˛ be an algebraic integer in K.g. Euler gave a p 3 is proof of Fermat’s last theorem for the exponent 3.1 C 7/. (Hence ZŒ 3 is the wrong p choice for the ring of integers in QŒ 3. or unluckily chose the wrong ring. ˛. Let f . Give an example of an element of ZŒ 5 that has two distinct factorizations into irreducible elements. If f . For g. 3 D 1.X / 2 AŒX be a monic polynomial.1 10/I p p ˛3 D . 1 ˛ 2 C 1 ˛g. 1 C 3/ in ZŒ 3.1 C 7/. R INGS OF I NTEGERS basis f1. which becomes correct when the ring ZŒ replaced in the proof by its integral closure ZŒ .X / be the minimum polynomial of ˛ over Q. it can not be a unique factorization domain. Show that every ˛ 2 AŒˇ \ AŒˇ 1 is integral over A. it was Dedekind who found the correct deﬁnition of the ring of integers in a number ﬁelds. but that 3 does not divide n any power of any ˛i . ˛ 2 C ˛.
but that fN does not divide fNn for any n. fN has an irreducible factor which does not divide fN but does divide all fN .3/. Conclude that for i j i each i . Show that g. i j (d) This shows that fN has at least four distinct irreducible factors over F3 . f has degree at most 4.Exercises F3 ŒX.i ¤ j / in F3 ŒX . Show that fNjfN fN . Why is this a contradiction? 39 . F3 D Z=. j ¤ i . On the other hand.˛/ is divisible by 3 in ZŒ˛ if and only if g is divisible by N N in F3 ŒX : f (c) For each i . let fi be a polynomial in ZŒX such that ˛i D fi .˛/. 1 Ä i Ä 4.
and let c be a nonzero element of A. Every nonzero ideal in A is of the form . and ˘ rings of integers in number ﬁelds are Dedekind domains. (c) A is local and is not a ﬁeld. Suppose that A is a discrete valuation ring. and prove that ˘ ideals in Dedekind domains factor uniquely into products of prime ideals. E XAMPLE 3. Thus. The units in Z. for an Amodule M and an m 2 M . Discrete valuation rings The following conditions on a principal ideal domain are equivalent: (a) A has exactly one nonzero prime ideal. Recall that. Later we shall deﬁne discrete valuations. m / for a unique m 2 N.m/ D fa 2 A j am D 0g: It is an ideal in A. A ring satisfying these conditions is called a discrete valuation ring. and the prime elements are those of the form unit p.) Emmy Noether In this Chapter. (b) up to associates. Factorization Es steht schon bei Dedekind. (It’s already in Dedekind.p/ as its unique nonzero prime ideal. we deﬁne the notion of a Dedekind domain. In a discrete valuation ring A with prime element . and so justify the name.p/ are the nonzero elements m=n with neither m nor n divisible by p.c/. if a is an ideal in A and p denotes the (unique) maximal ideal of A. What is the annihilator of a nonzero 40 def . the annihilator of m Ann.p/ D f m 2 Q j n not divisible by pg is a discrete valuation ring n with . Let M D A=. but ﬁrst we consider a local version of a Dedekind domain. nonzero elements of A can be expressed uniquely as u m with u a unit and m 0 (and m > 0 unless the element is a unit). which is proper if m ¤ 0.C HAPTER 3 Dedekind Domains. then a D pm for a welldeﬁned integer m 0. A has exactly one prime element.1 The ring Z.
Then yb C . and (c). If p b p. Otherwise b D c b 2 .b C . Note that c 2 p. Write m D b C . and consider the sequence a a 1 a 2 : 1 . Ann.m/. we prove that the nonzero prime ideal is principal.c/.4. Let a be a proper ideal of A. Thus p b D A (by (c)). As a ﬁrst step.yb C . and Ann. and so p b A. We have to show that every ideal in A is principal.c/ of M ? Fix a prime element of A. we can choose an m so that Ann. y 2 A such that xy 2 p but neither x nor y 2 p. /. I claim that b … A. For each nonzero element m of M . b /: c Let D b . Consider Ann.b C . bDv n with u and /: Thus. then 2. and consider the Amodule M D A=. which gives a criterion for a ring to be a discrete valuation ring. so that p D . (b). Hence p is prime.c/ is a nonzero element of M because y … p. and (again because A is Noetherian) it can’t be contained in A.4). def Choose an element c 2 A. and (c) A has exactly one nonzero prime ideal. c ¤ unit.a r/ D a r . and so p ¤ 0. Because A is Noetherian. Obviously it contains p and it contains x. If not there exist elements x. and so let A be an integral domain satisfying (a). m n m.m/ is maximal among these ideals. and m D 0 (in M ). Hence a D . pb . Let m be the smallest integer such that a m A but a m 1 A. Then n < m (else b C . but we know b … A. and so lies in A — this is impossible ( is not a unit in A).c//. Then a m p. since p is ﬁnitely generated). and that p D fa 2 A j cjabg: I claim that p is prime. We shall exploit these observations in the proof of the next proposition. but this contradicts the maximality of p among ideals of the form Ann. is of the form v m 1 . and so a m D A.Discrete valuation rings element b C . and for this choice c Ann. The necessity of the three conditions is obvious. P ROPOSITION 3.c/.b C . P ROOF.c/ and p D Ann.m/ D fa 2 A j am D 0g is a proper ideal in A. and 1 is integral over A (by If a r D a r 1 for some r. c c c c I claim that b 2 A. Therefore the sequence is strictly increasing.c// D .2 An integral domain A is a discrete valuation ring if and only if (a) A is Noetherian.c// is maximal. and this c c c c implies that p D . Note that (c) implies that A is a local ring.c//.c/ D 0 in M ). c ¤ 0.c// is a prime ideal generated by b . and c c so b 2 A (because of condition (b)). and let c D u v units. By deﬁnition.b C . m /: 2 41 . (b) A is integrally closed. and it is an c ideal in A. and p D . b /. a b for which Ann.c/. then b is integral over A (by 2.
6 For any nonzero prime ideal p in a Dedekind domain A. Hence ˛ D . not equal to a ﬁeld.3 A Dedekind domain is an integral domain A.3.2 says that a local integral domain is a Dedekind domain if and only if it is a discrete valuation ring. and let S be a multiplicative subset of A.2 42 . Condition (c) says that there is no containment relation between nonzero prime ideals of A.12) shows that it holds for S 1 A.5 Let A be an integral domain.s˛/m 1 C C s m am D 0: This equation shows that s˛ is integral over A. then so also is S 1 A: (b) If A is integrally closed. and so a is generated by any (ﬁnite) set of generators for a \ A: (b) Let ˛ be an element of the ﬁeld of fractions of A (D ﬁeld of fractions of S 1 A/ that is integral over S 1 A. Then a D S 1 . We saw in (1. Then ˛ m C a1 ˛ m 1 C C am D 0. such that (a) A is Noetherian. and let S be a multiplicative subset of A. then so also is S 1 A: P ROOF.s˛/=s 2 S 1 A: 2 C OROLLARY 3. 2 P ROPOSITION 3. and so lies in A. P ROPOSITION 3. Set s D s1 through the equation by s m W . (a) If A is Noetherian. there exists an si 2 S such that si ai 2 A. FACTORIZATION Dedekind domains D EFINITION 3. D EDEKIND D OMAINS .11).4 Let A be a Dedekind domain. (a) Let a be an ideal in S 1 A. Then S 1 A is either a Dedekind domain or a ﬁeld. If this condition holds for A. Thus Proposition 3. and multiply For each i . some ai 2 S 1 A: sm 2 S . P ROOF. P ROOF.13a) that Ap is local. then (1. Conditions (a) and (b) follow from the next lemma. and (c) every nonzero prime ideal is maximal. (b) A is integrally closed.s˛/m C sa1 . and the proposition implies that it is Dedekind. the localization Ap is a discrete valuation ring.a \ A/ (see 1.
a C b/r D ar C If r bn .8 Let A be a Noetherian ring. each of a C . n 1: L EMMA 3. If am and bn are not relatively prime. 43 . which contradicts the hypothesis. T HEOREM 3. P ROOF. r 1 ar 1 bC C br : m C n.10 Let p be a maximal ideal of a ring A. then condition (c) of the deﬁnition implies that p and p0 are relatively prime. and it follows that a contains a product of prime ideals.x/ and a C . q D pAp . P ROOF. and let q be the ideal it generates in Ap . n 2 N. Every proper nonzero ideal a of A can be written in the form a D pr1 prn n 1 with the pi distinct prime ideals and the ri > 0.y/ strictly contain a. (Note the similarity to the proof of 1. Because a is a maximal counterexample to the statement of the lemma. Alternative proof: We are given that there exist elements a 2 A and b 2 B such that a C b D 1.x/ and a C . Thus a and b are both contained in p. The ideals a C . for any m. am and bn are relatively prime. L EMMA 3. but their product is contained in a. The proof will require several lemmas.) Suppose not. and the lemma shows that pm and p0n are also relatively prime for all m. But if a prime ideal contains a power of an element.4. and so there exist elements x and y of A such that xy 2 a but neither x nor y 2 a. Consider 1 D . then they are both contained in some prime (even maximal) ideal p. 2 L EMMA 3.9 Let A be a ring.Unique factorization of ideals Unique factorization of ideals The main result concerning Dedekind domains is the following. and let a and b be relatively prime ideals in A.y/ contains a product of prime ideals. and choose a maximal counterexample a. then the term on the right is the sum of an element of am with an element of 2 If p and p0 are distinct prime ideals of a Dedekind domain. then every ideal a in A contains a product of nonzero prime ideals. The map a C pm 7! a C qm W A=pm ! Ap =qm is an isomorphism. and so p am ) p a and p bn ) p b. the pi and the ri are uniquely determined. Then a itself can not be prime.7 Let A be a Dedekind domain. then it contains the element.
FACTORIZATION P ROOF. Suppose that we have two factorizations of the ideal a. Then sa 2 pm . and so sa D 0 in A=pm ) a D 0 in A=pm . Under this s isomorphism.9). According to 3. After adding factors with zero exponent. i. we have to prove that the above factorization is unique.s/ and p are relatively prime. Therefore si D ti for all i .11 With the notations of Proposition 1. a is s s the unique element of this ring such that s a D a. The ﬁrst isomorphism is given by the Chinese Remainder Theorem (and 3. To complete the proof of Theorem 3.1 q/.e. An element of . and so this implies that a D ps1 1 psm m in A (because there is a onetoone correspondence between the ideals of A=b and the ideals of A containing b). the image of ba s in Ap also has this property and therefore equals a . Then b maps to s 1 in Ap =qm and so ba maps to a . For this we have to show that qm \ A D pm . a=b corresponds to q11 =qr1 qsm =qrm for some si Ä ri (recall that the m m 1 rings Api are all discrete valuation rings). we see that a D ps1 1 psm in A=b: m Both of these ideals contain b. in particular. We ﬁrst show that the map is onetoone. and the second is given by (3. since s. and so there exist b 2 A and q 2 pm such that bs C q D 1. 44 . More precisely: because s is invertible in Ap =qm . s 2 S..s/ C p D A. we showed that qsi D aApi D qti i i where qi the maximal ideal in Api .10). Because s … p and p is maximal.ba/ D a.s/ and pm are relatively prime. so that ps1 1 psm D a D pt1 m 1 ptm m say. Let a 2 Ap .e. But qm D S 1 pm . Since this ideal is also the image of ps1 psm m 1 under the isomorphism. D EDEKIND D OMAINS . s we have that . and so we have to show that pm D .. S D A p.11. and a 2 A. the ideal a contains a product of nonzero prime ideals. Then A=b ' A=pr1 1 A=prm ' Ap1 =qr1 m 1 Apm =qrm m prm : m where qi D pi Api is the maximal ideal of Api . i. A=pm is a local ring. and so sa D 0 in A=pm .S 1 pm / \ A can be written a D b=s with b 2 pm . We now prove that a nonzero ideal a of A can be factored into a product of prime ideals. b D pr1 1 We may suppose that the pi are distinct.S 1 pm / \ A. As s C pm is not in p=pm . and so the only maximal ideal in A=pm is p=pm . we may suppose that the same primes occur in each factorization.7. The only maximal ideal containing pm is p (because m pm ) m p/. we have shown in the above proof that aec D a if a is a power of a maximal ideal p and S D S p. . In the course of the above proof. Therefore . a 2 pm : We now prove that the map is surjective.8 applied to A. it is a unit in A=pm .3. 2 s R EMARK 3.
P ROOF. For the sufﬁciency.7). 2 C OROLLARY 3.14).a. then there exists a b 2 a such that a D . there is an a 2 A such that a Á xi mod pri . xi … psi C1 . 2 prm . Because b a.x/ generate the same ideals in Api for all i . The necessity is obvious. P ROOF. to show that A is principal.16 Let a be an ideal in a Dedekind domain.Unique factorization of ideals R EMARK 3. pm be these ideals. b.14 Let A be an integral domain with only ﬁnitely many prime ideals. for all i: i 2 Now one sees that b C . Assume A is a Dedekind domain. and let a be any nonzero element of a.13). a D b if and only if aAp D bAp for all p. According to the Chinese Remainder Theorem (1.a/ P ROOF. it sufﬁces to show that the prime ideals are principal. Choose an element x1 2 p1 p2 .13 Let a and b be ideals in A. In particular. choose an xi 2 A such that xi 2 psi . then a b ” aAp bAp pi : for all ideals nonzero prime ideals p of A. m ri . sj 0.a/ D a by looking at the ideals they generate in Ap for all p: C OROLLARY 3.15 Let a for some a 2 A: b ¤ 0 be two ideals in a Dedekind domain. si Ä ri for m m 1 1 all i . Let b D pr1 prm and a D ps1 psm with ri . By the Chinese i i Remainder Theorem.12 Note that si > 0 ” aApi ¤ Api ” a C OROLLARY 3. After (3. Let p1 . then a D b C . and so they are equal in A (by 3. : : : . i ¤ 1: Now the ideals p1 and . b/: P ROOF. si 0: (recall that Api is a discrete valuation ring) and ri si all i implies a C OROLLARY 3. there is an 1 element x 2 A such that x Á x1 mod p2 .a/: 2 45 . m b D ps1 1 psm . For 1 Ä i Ä m. Apply (3. then A is a Dedekind domain if and only if it is a principal ideal domain. factor a and b a D pr1 1 Then aApi bApi ” ri si . 1 xÁ1 mod pi .15) to a .
a/: m 1 We now show that a can be chosen to be prime to c. In a unique factorization domain. We have a ac. a nonzero ﬁnitely generated Asubmodule of K is a fractional ideal. we have . m si Ä ri : If a D pr1 s1 prm sm . Let a be a nonzero element of p. and it can be chosen so that aa D . then there exists a nonzero ideal a in A such that aa is principal. it is a nonzero Asubmodule of K whose elements have a common denominator. Y / is not principal. it is maximal. Moreover.15) there exists an a 2 a such that a D ac C . because d a is an integral ideal. then a . now. and so we have prm and a D ps1 m 1 psm . it will contain one of these irreducible factors . P ROOF. Now p . because . A fractional ideal a is a ﬁnitely generated Amodule. Note that a fractional ideal is not an ideal unless it is contained in A — when necessary to avoid confusion.17 Let a be a nonzero ideal in a Dedekind domain. and ac C aa D a. kŒX. hence ﬁnitely generated. D EDEKIND D OMAINS .a/ D a a for some ideal a (by the above argument). / is a prime ideal. but it is true for Dedekind domains. then aa D . / is a nonzero prime ideal. because a common denominator for the generators will be a common denominator for all the elements of the module. Conversely. Now let A be a Dedekind domain with unique factorization. an irreducible element can divide a product bc only if divides b or c (write bc D q and express each of b.a/. This means that . c.a/ with a any particular element of a (but not both). ac C aa D a.c C a / ap ¤ a:/ 2 In basic graduate algebra courses.3. A fractional ideal of A is a nonzero Asubmodule a of K such that def d a D fda j a 2 ag is contained in A for some nonzero d 2 A (or K). It sufﬁces to show that each nonzero prime ideal p of A is principal.18 A Dedekind domain that is a unique factorization domain is a principal ideal domain. because p is prime. P ROOF. The converse is false because. (Otherwise c C a p some prime ideal.4) and. it is shown that A a principal ideal domain ) A is a unique factorization domain.. Let a 2 a. a can be chosen to be relatively prime to any particular ideal c. i. for example. and so c C a D A.X. we refer to the ideals in A as integral ideals. a ¤ 0. for some d ¤ 0. As a . and so (by 3.a/.0/. and. and q as a product of irreducible elements). and the map x 7! dxW a ! d a is an isomorphism of Amodules.e. Then a factors into a product of irreducible elements (see 1.a/.a/ D pr1 1 . FACTORIZATION C OROLLARY 3. P ROPOSITION 3. Y is a unique factorization domain in which the ideal . and so equals p. 46 . 2 The ideal class group Let A be a Dedekind domain. / .
T HEOREM 3. and so it is of the form . m n /.a 1 a / D A. Thus the fractional ideals of A are of the form .A) is freely generated by the prime ideals. that each fractional ideal can be expressed in a unique way as a product of powers of prime ideals. Thus n a is an ideal in A.A) is a group. Clearly.a/.. in fact. and if d a then deab A. Noether showed that an integral domain whose fractional ideals form a group under ideal multiplication is a Dedekind domain (see Cohn 1991. Then d a A for some d 2 A. m 2 Z.bc/: The ring A plays the role of an identity element: aA D a. and we can suppose d D n . The product of two fractional ideals is deﬁned in the same way as for (integral) ideals P a b D f ai bi j ai 2 a. It is obviously commutative. a D . P ROOF.The ideal class group Every nonzero element b of K deﬁnes a fractional ideal . and we can write d a D pr1 prm . def def E XAMPLE 3. Let a be a fractional ideal of A. bi 2 b.A/ . i. 47 .20 Let A be a Dedekind domain. m /. Let a be a nonzero integral ideal. . Then d a is an integral ideal for some d 2 A. E.a/.19 Let A be a discrete valuation ring with maximal ideal p and ﬁeld of fractions K. For associativity. it is the free abelian group on the set of prime ideals.b/ D . We have noted that the law of composition is welldeﬁned. They form a free abelian group Id.d / D ps1 psm : m m 1 1 r Thus a D p11 s1 prm m tion for integral ideals. it remains to show that inverses exist. The set Id(A) of fractional ideals is a group. ci 2 c D a. The uniqueness follows from the uniqueness of the factoriza2 R EMARK 3. Every nonzero element of K can be written uniquely in the form a D u m with u a unit in A and m 2 Z. For principal fractional ideals.ab/c D ai bi ci j ai 2 a.A/ of rank 1. m / for some m 0. If a is a fractional ideal. According to (3. It remains to show that the group Id. and d .e.b/ D bA D fba j a 2 Ag: A fractional ideal of this type is said to be principal. .d a/ 1 will be an inverse for a. and so a 1 a is an inverse of a. is an isomorphism. Let a be a fractional ideal.ab/: A and eb A. In order to show that Id. then d a is an integral ideal for some d .6). Clearly a . Write for a generator of p. bi 2 bg : This is again a fractional ideal: it is obviously an Amodule. sm m /W Z ! Id.21 (a) Conversely. Theorem 4.17). there is an ideal a and an a 2 A such that aa D . and the map m 7! . one checks that nX o .
A/ by the subgroup of principal ideals. If it is not equal to A.ab/ D . and let AS D S an integral domain with the same ﬁeld of fractions as A: A def 1 A.22 Consider the afﬁne elliptic curve Y 2 D X 3 C aX C b. It is known that every abelian group can be realized as the class group of a Dedekind domain (not necessarily the ring of integers in a number ﬁeld). p But q D . and so We deﬁne the ideal class group Cl(A) of A to be the quotient Cl. 7. 18 1966 219–222. Every abelian group is a class group.S 1 b/. We have seen that ZŒ 5 is not a principal ideal domain. and if d 2 a. 11. The following hold for any fractional ideals a and b. 19. and b D . It is AS K: For any fractional ideal a of A. d ¤ 0. Clearly b0 D bb0 D Ap — we have a contradiction. and its order as the class number of K. deﬁne a0 D fa 2 K j aa Ag: This is an Amodule. b0 . D 4a3 27b 2 ¤ 0: Luther. 43. Using the equivalent language of binary quadratic forms (see Chapter 4). The method we use to prove that the class number is ﬁnite is effective: it provides an algorithm for computing it. There are expected to be an inﬁnite number of real quadratic ﬁelds with class number one.S 1 a/. but it was not until 1954 that it was shown (by Heegner) that there were no more (and for more than 15 years.3. S 1 a 1 D .A/ of Id. and q are the ideals in Ap generated by a. m / D m Ap for some m 2 Z.aAS / 1 : For any fractional ideal a. S 1 . /. b0 D fa 2 K j ab Ap g: mA .A/ D Id. 2. 48 . and so a0 is a fractional ideal. From the deﬁnition of a0 . then d a0 A. no one believed Heegner’s proof to be p correct). we often refer to Cl. then it is contained in some prime ideal p. 1 Claborn. When we pass to Ap . but this has not been proved. Understanding how the class numbers of number ﬁelds vary remains an p interesting problem. Paciﬁc J.1 E XAMPLE 3. Moreover. One of the main theorems of these notes will be that the class number hK of a number ﬁeld K is ﬁnite. a0 . It is s the AS module generated by a. It not difﬁcult to show that these ﬁelds have class number 1. 3. we see that aa0 is an ideal in A.OK / as the ideal class group of K. Gauss showed p that the class group of a quadratic ﬁeld QŒ d can have arbitrarily many cyclic factors of even order. Math. For example. FACTORIZATION (b) Let S be a multiplicative subset in a Dedekind domain A. the inclusion aa0 p becomes bb0 q. 163. The class number of A is the order of Cl(A) (when ﬁnite). 67.A/=P. and so can’t have class number 1— in fact it has class number 2. and p. where b. s 2 Sg is a fractional ideal of AS . S 1 a D f a j a 2 a. D EDEKIND D OMAINS . In the case that A is the ring of integers OK in a number ﬁeld K. the class number of QŒ m for m positive and squarefree is 1 if and only if m D 1.
10). As v is not the zero homomorphism. 1 Ä i Ä m. it is the whole ring. Immediate consequence of 1. In fact. all ideals of S 1 A are of this form.x/ will be a normalized discrete valuation. then vW K ! Z is surjective. Discrete valuations Let K be a ﬁeld. and so Cl. S D f1.C/ ' C= (Milne 2006. A discrete valuation on K is a nonzero homomorphism vW K ! Z such that v.20. 2 R EMARK 3. :::. there is an ideal b such that ab D A: We have seen that (a) implies (b) . Y =. otherwise.a1 C 2 Let C am / min.a/. Thus S 1 a D . for every prime ideal p of A. and is therefore of the form mZ for some m 2 Z.a/ ai for some a 2 K and i .24 Let A be a Dedekind domain with ﬁnite ideal class group. III 3. I claim that S 1 A is a principal ideal domain.ord. and let Div0 . the fractional ideals of A form a group. Because the map b 7! S 1 b is a homomorphism we have S 1 a D .E/ ' E. Ap is a discrete valuation ring.2 P ROPOSITION 3.a1 /. and we have already noted in (3.a/ now denotes the ideal generated by a in S 1 A. There is an obvious isomorphism Div0 .v.A/ under which principal divisors correspond to principal ideals.S 1 A/. ord.21) that (c) implies (a). and its class group is uncountable. v. By assumption. ord. b. b 2 .ord. (c).23 Let A be a Dedekind domain. its image is a nonzero subgroup of Z.ai //: (8) E be the associated complete curve. and we see that every ideal in S 1 A of the form S 1 a is principal.a/.Discrete valuations The associated ring A D CŒX. : : :g.12 and 3. and the same arguments show that (b) implies (c) and (d). and (d). for every fractional ideal a of A.E/ ' Id. it is isomorphic in a natural way to C= for some lattice in C. If m D 1. and let S be the multiplicative set generated by b.A) generated by prime ideals not meeting S to the group Id.25 The following conditions on an integral domain A are equivalent: (a) (b) (c) (d) A is a Dedekind domain. any ideal a A can be written a D .b//. I 4. According to (1.a2 C C am // 1ÄiÄm min . The conditions (c) and (d) are obviously equivalent. R EMARK 3.Y 2 X 3 aX b/ of regular functions on A is a Dedekind domain. for a discrete valuation ord. Since S 1 ai contains a unit.A/ ' Pic0 . and v is said to be normalized. P ROOF.10.11). Then a 7! S 1 a deﬁnes an isomorphism from the subgroup of Id.a/ S 1 ai where .E/ be the group of divisors of degree zero on E.a Cb/ min. 49 . x 7! m 1 v. Let b be any element in ai . am which is a set of representatives for the ideal classes. There is then a ﬁnite set of ideals a1 . Note that. Clearly we T may take the ai to be integral. and let S be a multiplicative set in A.
v.a// min. 1/ C v.b/.c/ D m.27 Let v be a discrete valuation on K.b// D v.b/. better. we often use ordp to denote the normalized discrete valuation deﬁned by p in (c). 2 def def 0g Later we shall see that a discrete valuation ord deﬁnes a topology on K for which two elements x and y are close if ord. we have v. This is in fact a general property of discrete valuations. D EDEKIND D OMAINS . P ROPOSITION 3. pm be distinct prime ideals of A. Therefore. For any integer n. Then each element c of K can be expressed uniquely in the form c D m a b with m 2 Z and a and b elements of A relatively prime to . v.b/: We often use “ord” rather than “v” to denote a discrete valuation.a/ > v. xm be elements of a Dedekind domain A. For any c 2 K . such that v. and let be a prime element of A.a/ D v.a/ > v. and let f 2 M . and so equality must hold throughout. hence v. Then v is a normalized discrete valuation on K: (c) Let A be a Dedekind domain and let p be a prime ideal in A. a compact Riemann surface). For each P 2 U . First note that v.a C b/. then A D fa 2 K j v. and let p1 .b/ D v. The Chinese Remainder Theorem can be restated as an approximation theorem.28 Let x1 .a C b a// min. then the ideal m is generated by any element P ROOF.a C b/ D v.K / D mZ. (b) Let A be a principal ideal domain with ﬁeld of fractions K. Then v is a normalized discrete valuation on K: In all these examples.a C b/ D v. :::. 2. for example. deﬁne ordP . if v. a/ D v. FACTORIZATION E XAMPLE 3. Routine. let pv. P ROPOSITION 3. Deﬁne v. m: 50 .a/ is a principal ideal domain with maximal ideal m D fa 2 K j v.f / to be m.c/ be the power of p in the factorization of .3.a/. / D 0 for any element of K of ﬁnite order because v is a homomorphism and Z has no elements of ﬁnite order).a/. There is a converse to this statement. there is an x 2 A such that ordpi . and this implies v.v. Example (b) shows that every discrete valuation ring gives rise to a discrete valuation on its ﬁeld of fractions.a/ > 0g: If v. m.x y/ is large. :::. or neither a pole nor a zero at P . :::.26 (a) Let M be the ﬁeld of meromorphic functions on a connected open subset U of the complex plane (or. i D 1. a zero of order m at P .c/.b/ if v. / D m. v. Then ordP is a normalized discrete valuation on M. we have that v.x xi / > n. or 0 according as f has a pole of order m at P .b/.
Integral closures of Dedekind domains We now prove a result that implies that rings of integers in number ﬁelds are Dedekind domains. P ROOF.0/. From linear algebra we deduce that the map is surjective. 2 L EMMA 3. It follows that every ideal in B is ﬁnitely generated when regarded as an Amodule (being a submodule of a Noetherian Amodule) and a fortiori as an ideal . ˇ ¤ 0. i i D 1. and the map a C p 7! a C q identiﬁes A=p with a subﬁeld of B=q. Let ˇ 2 q. Then an ¤ 0. Then B is a Dedekind domain.1 for a proof of the more general result.. Then ˇ is integral over A. 2. B is integrally closed because of (2.Integral closures of Dedekind domains P ROOF. Theorem 3. As an 2 ˇB \ A. and hence that their ideals factor uniquely into products of prime ideals. and hence that q is maximal.30 Any integral domain B containing a ﬁeld k and algebraic over k is itself a ﬁeld.e. It remains to prove that every nonzero prime ideal q of B is maximal. Next. which we may suppose to have the minimum possible degree. the ring kŒˇ is ﬁnitedimensional as a kvector space. m. But q \ A is a prime ideal (obviously).29 Let A be a Dedekind domain with ﬁeld of fractions K. and the map x 7! ˇxW kŒˇ ! kŒˇ is injective (because B is an integral domain).16). such that ordpi . 51 .D Bmodule). ai 2 A. The added difﬁculty is that. From (3.3). We know B=q is an integral domain. B may fail to be ﬁnitely generated as an Amodule. without the separability condition. P ROOF. and so there is an equation ˇ n C a1 ˇ n 1 C C an D 0. We ﬁrst show that B is Noetherian. B=q is algebraic over A=p. m: 2 mod pnC1 . The next lemma shows that B=q is a ﬁeld.9) we know that the ideals pnC1 are relatively prime in pairs.29) we showed that B is contained in a ﬁnitely generated Amodule. we have that q \ A ¤ . I 6. As B is integral over A. and so (1. and so there is an element ˇ 0 2 kŒˇ such that ˇˇ 0 D 1: 2 In fact. We have to check the three conditions in the deﬁnition of a Dedekind domain (p3. i D 1. Because ˇ is algebraic over k. and let B be the integral closure of A in a ﬁnite separable extension L of K. In (2. :::. : : : .x xi / > n.29 is true without the assumption that L be separable over K — see Janusz 1996. and so the proof that it is Noetherian is more difﬁcult. and A=p is a ﬁeld. Let ˇ be a nonzero element of B — we have to prove that it has an inverse in B. 2. and so it is a maximal ideal p of A. T HEOREM 3.14) i provides us with an element x 2 A such that x Á xi i.
3..A/ ˚ Z. or Narkiewicz 1990. :::. em of M . N D a1 b1 e1 ˚ ˚ am bm em : The ideals b1 .. . am . T HEOREM 3. FACTORIZATION Modules over Dedekind domains (sketch). The Grothendieck group of the category of ﬁnitely generated Amodules is Cl. fractional ideals a1 . (a) Every ﬁnitely generated torsionfree Amodule M is isomorphic to a direct sum of fractional ideals. two fractional ideals a and b of A are isomorphic as Amodules if and only if they deﬁne the same element of the class group of A. Fr¨ hlich and Taylor o 1991. A is a Dedekind domain. bm such that M D a1 e1 ˚ ˚ am em . :::. Hence. M a1 ˚ ˚ am : (b) Two ﬁnitely generated torsionfree Amodules M Q ˚ ˚am and N b1 ˚ ˚ a1 Q bn are isomorphic if and only if m D n and ai Á bi modulo principal ideals. M a1 ˚ ˚ am A˚ ˚ A ˚ a1 am : Moreover. 22. First. bm are uniquely determined by the pair M N . pB D Pe1 1 52 Pgg . note that a ﬁnitely generated torsionfree Amodule M need not be free. b2 . The structure theorem for ﬁnitely generated modules over principal ideal domains has an interesting extension to modules over Dedekind domains. Then there exist elements e1 . III.31 Let A be a Dedekind domain. Clearly the rank of M a1 ˚ ˚ am is m: These remarks show that the set of isomorphism classes of ﬁnitely generated torsionfree Amodules of rank 1 can be identiﬁed with the class group of A.32 (I NVARIANT FACTOR THEOREM ) Let M N be ﬁnitely generated torsionfree Amodules of the same rank m. T HEOREM 3. e ei 1: . I 3. and let B be the integral closure of A in a ﬁnite separable extension L of K: A prime ideal p of A will factor in B. Throughout this subsection. Thus the best we can hope for is the following. Factorization in extensions Let A be a Dedekind domain with ﬁeld of fractions K. Multiplication of elements in Cl(A) corresponds to the formation of tensor product of modules. For proofs of the above results. and integral ideals b1 b2 ::. D EDEKIND D OMAINS . where K is the ﬁeld of fractions of R. see Curtis and Reiner 1962. and are called the invariant factors of N in M: The last theorem also yields a description of ﬁnitely generated torsion Amodules.. The rank of a module M over an integral domain R is the dimension of K ˝R M as a Kvector space. every fractional ideal is ﬁnitely generated and torsionfree but it is free if and only if it is principal. For example. II 4.
and let P1 .34 Let m be the degree of L over K. then all the ramiﬁcation numbers are equal. and so efg D m: (10) P ROOF.P=p/ for the degree of the ﬁeld extension ŒB=PW A=p (called the residue class degree). we shall show that both sides equal ŒB=pBW A=p: P Q Q For the equality gD1 ei fi D ŒB=pBW A=p.Pi B 0 /ei (see 3. and all the residue class degrees are equal. and so it sufﬁces to show that ŒB=Pei W A=p D ei fi . then pB P. it i i i must have dimension one as a B=Pi vector space.2/ ramiﬁes with ramiﬁcation index 2. (W If p P. L EMMA 3. Now let S be a multiplicative subset of A disjoint from p and suchQ S 1 A is principal that 0 D S 1 B and A0 D S 1 A.33 A prime ideal P of B divides p if and only if p D P \ K: P ROOF.12) that this implies that P occurs in the factorization of pB: 2 T HEOREM 3. To prove (9). For example. Write B D . and it said to be inert in L if pB is a prime ideal (so g D 1 D e). . As p is maximal. and hence dimension fi as an A=pvector space. and.3/ D F9 . Then pB 0 D (e.g..5/ D . and because there is no ideal between Pri and Pri C1 .1 C i /2 in ZŒi .P=p/ for the ramiﬁcation index and f .A=p/n ! B=pB (see (3). and we have seen (3.Factorization in extensions If any of the numbers is > 1. . SP A p). we know that B=Pi is a ﬁeld of degree fi over A=p. gives an isomorphism K n ! L.2 i /. We then write e. 0 =pB 0 W A0 =pA0 . Therefore each quotient in the chain B Pi P2 i P ei i has dimension fi over A=p. and so ŒB 0 =pB 0 W A0 =pA0 D m: This and so ei fi D ŒB completes the proof (9).2/ D . 53 . On the other hand. From i the deﬁnition of fi . and so .23). gives an isomorphism . when tensored A=p. but A0 is principal. which shows that n D ŒB=pBW A=p. The number ei is called the ramiﬁcation index.3/ is inert in QŒi with residue ﬁeld ZŒi =. which shows that n D m. p16). if A is a principal ideal domain. then g X iD1 ei fi D m: (9) If L is Galois over K. and . r Pri =Pi i C1 is a B=Pi module. when tensored with K. For each ri . :::. note that B=pB D B= Pei ' B=Pei i i i (Chinese Remainder Theorem). Pg be the prime ideals dividing p. and so the dimension of B=Pei is ei fi : i The proof of the equality ŒB=pBW A=p D m is easy when B is a free Amodule. for example. because an isomorphism An ! B of Amodules. then we say that p is ramiﬁed in B (or L). A prime p is said to split (or split completely) in L if ei D fi D 1 for all i .2 C i /. We say P divides p (written Pjp/ if P occurs in the factorization of p in B. )W Clearly p P \ K and P \ K ¤ A.5/ splits as the product of two prime ideals . this implies that p D P \ K.
As in the proof of (3. when tensored with A=a. and let B be the integral closure of A in L.33) that P divides p. em / Á D. we can ﬁnd an def Q element ˇ lies in Q but not in any of the ideals P. A D OK ).. fe1 .L=K/.a1 . only ﬁnitely many prime ideals ramify.. D EDEKIND D OMAINS . An element of Gal. :::.g. : : : . In particular.L=K/ maps B isomorphically onto itself. Then b 2 A. : : : . we obtain a description of the primes that ramify in an extension. and so it remains to show that Gal. P ¤ Q. hence b 2 Q \ A D p. According to the Chinese Remainder Theorem. and compute the discriminant S of B=A using the basis i "i . Then Y Y disc.36 Let A be a ring and let B be a ring containing A and admitting a ﬁnite basis fe1 . Choose bases "i for each of the Bi (as Amodules). Assume that B is a free Amodule (this is true for example if A is principal ideal domain).3. Bi /=A/ D disc. am / 7! ai ei W Am ! B gives. that for all 2 Gal. it also lies in Q. then P is also a prime ideal. let A be a Dedekind domain in K with ﬁeld of fractions K (e. On the other hand. P=p/ D e. em is a basis for B=aB. :::. T HEOREM 3.ˇ/ D ˇ.L=K/. ˇ … 1 P. em g as an Amodule. Clearly e. and D.P=p/ and f . if P is a prime ideal of B.e1 . Consider b D Nm.P=p/. and suppose Q is not conjugate to P. :::. Bg be rings containing A and free of ﬁnite rank as Amodules.a1 . The fact that ˇ 2 p P contradicts the primality of P: 2 The primes that ramify In this subsection.e1 . FACTORIZATION Now assume L is Galois over K.. 2 54 .A=a/m ! B=a N which shows that e1 . L EMMA 3. then it follows from (3. am / 7! ai ei W . an isomorphism P . Moreover. Then a prime p ramiﬁes in L if and only if pj disc.Bi =A/: P ROOF. i.L=K/ acts transitively on the prime ideals of B dividing p: Suppose P and Q both divide p.34). P=p/ D f . We obtain this as the consequence of a series of lemmas. if P divides p.35 Let L be a ﬁnite extension of a number ﬁeld K. em g is a basis for the A=amodule N N B=aB.e. The second assertion is obvious from the N N deﬁnitions. for all Q 2 Gal.B=A/. 2 L EMMA 3. In particular. the isomorphism P . For any ideal a of A. and as ˇ 2 Q. :::.37 Let A be a ring and let B1 . :::. em / mod a: N N P ROOF. and so ˇ … P. :::.
Therefore p is prime ideal. in fact. in particular. Let p1 . they are relatively prime in pairs. but a nilpotent matrix has trace zero—its minimum polynomial (and hence its characteristic polynomial) is of the form X r —and so the ﬁrst row of the matrix . When we take r D g in (*) we ﬁnd that BD Yg i D1 B=pi : For each i . p. p 0 2 p. and so b m 2 p C . ˙ has a maximal element p. say p1 . b m D p C cx. Then p C . y be elements of B not in p. Then B is reduced if and only if disc.x/ and p C . Its matrix is also nilpotent. Let x. ˙ contains the zero ideal.ei ej // is zero. Therefore its determinant is zero. pg where g Ä ŒBW k. Therefore p is maximal. B=pi is a ﬁeld. em for B with e1 D ˇ.. p C . L EMMA 3. Then ˇei is nilpotent for all i . : : : . Let b 2 B. c 0 2 B: b n 2 p C .The primes that ramify An element ˛ of a ring is said to be nilpotent if ˛ m D 0 for some m > 1. Therefore the Chinese remainder theorem shows that T Q B= pi D B=pi (*).xy/. and it is a ﬁnite extension of k. and so the klinear map x 7! ˇei xW B ! B is nilpotent.xy/ is not in ˙. We ﬁrst show that the intersection N of the prime ideals of B is zero (this. algebraic over k. and hence is a ﬁeld (by 3. Since they are all maximal. Then B=p is an integral domain. A ring is said to be reduced if it has no nonzero nilpotent elements. Because k is perfect. Let ˙ be the set of ideals of B containing no power of b. We shall show that p is prime. this will show that b … N. and T pi D 0. and xy … p. Let p be a prime ideal of B. Because b is not nilpotent. for some m. and we can apply the preceding lemma to deduce that disc.y/ Then b mCn D pp 0 C pc 0 y C p 0 cx C cc 0 xy 2 p C . Because B is Noetherian. which completes the proof that N D 0. suppose B is reduced. pr be prime ideals of B.30). : : : . Now we can apply (2. n. Since b … p.26) to deduce that disc.B=k/ ¤ 0: P ROOF. and so p C .B=pi /=k/ ¤ 0.B=k/ ¤ 0. and choose a basis e1 . and let B be a kalgebra of ﬁnite dimension. Let ˇ ¤ 0 be a nilpotent element of B. b n D p 0 C c 0 y. is true for any reduced Noetherian ring). : : : . 2 55 .Tr.x/. b ¤ 0. and hence is nonempty. c. say. Conversely.38 Let k be a perfect ﬁeld. Note that ŒB W k ŒB= T pi W k D P ŒB=pi W k r: Therefore B has only ﬁnitely many prime ideals. p2 . it is even a separable extension of k.xy/ ¤ p.y/ strictly contain p.
Y / into a ﬁeld of ﬁnite degree over M.p. but complicated.p/ : The index m. and i Q B=Pei is reduced ” each B=Pei is reduced ” each ei D 1: R EMARK 3.A=p// D 0 if and only B=pB is not reduced. we see that disc. Geometrically.ei 1/.X / and M.Y / for the ﬁelds of meromorphic functions on X and Y . Again A is a Dedekind domain with ﬁeld of fractions K.X / in AŒX Q that are distinct and irreducible modulo p.Y / which makes M. It implies for example and that ordp .˛//ei 56 .Qi / D 0g: Finding factorizations The following result often makes it very easy to factor an ideal in an extension ﬁeld. Choose monic polynomials g1 . Clearly this deﬁnition agrees with the usual one when B is a free Amodule.B=pB/=. gr . and B is the integral closure of A in a ﬁnite separable extension L of K.X /.! M. Then pB D qei where qi is the prime ideal i ff 2 B j f . FACTORIZATION We now prove the theorem. It is a power . Let P 2 X and let OP be the set of meromorphic functions on X that are holomorphic at P — it is the discrete valuation ring attached to the discrete valuation ordP . and let S D A p. and such that f .. Let B be the integral closure of OP in M. gi . : : : . and that equality holds if no ei is divisible by the characteristic of A=p. and so this formula does deﬁne an ideal in A.. and let B be the integral closure of A in a ﬁnite extension L of K. Write M. and its maximal ideal is the set of meromorphic functions on X that are zero at P .disc.p/ of pAp .B=A/: E XAMPLE 3.41 Suppose that B D AŒ˛. Then B=pB ' B=Pei . Qg g and let ei be the number Q of sheets of Y over X that coincide at Qi . relation between the power of p dividing disc.p/ is nonzero for only ﬁnitely many p. T HEOREM 3. and so we can deﬁne disc. The map f 7! f ı ˛ is an inclusion M. and let f .B=pB/=. and from the last lemma that disc. (b) Let A be the ring of integers in a number ﬁeld K. :::. Let ˛ 1 . See Serre 1962.B=A/ as an ideal without assuming B to be a free Amodule.X /.39 (a) In fact there is a precise.B=A// fi . Deﬁne Y disc.S 1 B=S 1 A/.X / Á gi . the map is mW 1 except at a ﬁnite number of branch points.40 (For experts on Riemann surfaces. Then S 1 A D Ap is principal. and let ˛W Y ! X be a nonconstant holomorphic mapping. let m be this degree. Q Q Let pB D Pei . From the ﬁrst lemma.X / .pAp /m. III 6. Let p be a prime ideal in A. Then Y pB D . and the above proof shows that a prime ideal p ramiﬁes in B if and only if it divides disc.B=A/ mod p D disc. D EDEKIND D OMAINS .X / be the minimum polynomial of ˛ over K.3.) Let X and Y be compact connected Riemann surfaces.Y /.A=p//.P / D fQ1 .B=A/P the extent to which p ramiﬁes in B. Let p be an ideal in A.B=A/ D pm. It is possible to deﬁne disc.X /ei modulo p.
43 The conclusion of the theorem holds for a particular prime p of A under the following weaker hypothesis: disc.p.34) allows only three possible factorizations of .p/ D p1 p2 : .e. and hence is the Q complete set of prime divisors of p (see 3.43). i.35). Note that (3.42 When it applies the last theorem can be used to prove (3.X // ! B=pB.A=p/ŒX /. .p/ ramiﬁes. E XAMPLE 3.p/ stays prime. g D 1I .p/ ramiﬁes in OK : (ii) For an odd prime p not dividing the m.f . m/ if m Á 2.44 Let m ¤ 1 be a squarefree integer.A=p/ŒX =. Thus P1 .fN. For P example. mg to compute the factorization of an odd prime p (see 3.12).fN/ corresponds N def to the ideal . m/=4 if m Á 1 mod 4.p/ splits. and . this becomes an isomorphism kŒX =. Moreover.gi . and so the residue class degree fi is equal to N the degree of gi : P ROOF. f D 2.f /.Examples of factorizations is the factorization of pB into a product of powers of distinct prime ideals. m / D 1I p 57 .f . invert any element of a not in p. To prove this. and this is divisible by p if and only if N. m/ D 4m. f D 1. if and only if f some ei > 0: R EMARK 3. :::. 3 mod 4. The ideal . and that disc.p/ is the product of two distinct ideals ” m is a square mod p. f D 1.B=A/ with a an ideal of A not divisible by p. and that disc. and apply the theorem to the new ring and its integral closure. ˛ m 1 / D a disc. m D deg..˛// ' .e.1.f / D P ei deg.p.p/ D p: . In p both cases. and this corresponds to the ideal Pi D . we have . disc.OK =Z/ D p p disc. and so the equation m D ei fi is simply the equation deg. N 2 R EMARK 3. Q When we write pB D Pei .B=A/ D disc.X //. Also. e D 2.p/ D p2 : . :::.fN/ has maximal ideals .gr /.1.p/ in OK . . The ring kŒX =.gi /ei D 0 N N N (but no product with smaller exponents is zero).. then . gi . :::. X 7! ˛: Q where k D A=p.OK =Z/ D disc.˛// C pB in B=pB. g D 2: One obtains the following result. we can use the set f1. Recall that disc.˛// in B. . then the ei i are characterized by the fact that pB contains Pei but it does not contain the product i when any ei is replaced with a smaller value.gi /. (i) If pj disc. e D 1.X/ has multiple factors (when regarded as an element of . g D 1I .OK =Z/.34) and (3. i.X // ! B: When we divide out by p (better.gi /.1. Examples of factorizations We use Theorem 3. Pr is the complete set of prime ideals containing pB. namely. e D 1.gi / in kŒX =. tensor with A=p). the residue ﬁeld B=. We consider the factorization of p p prime integers in K D QŒ m.1. ˛. gi . Thus it follows from the above (parenthetical) statement that ei is the exponent of gi occurring in the factorization of fN. Our assumption is that the map X 7! ˛ deﬁnes an isomorphism AŒX =.g1 /.41 to obtain some factorizations.
2/ D .p) factors the polynomial f modulo p.p/ splits in ZŒi if and only if X 2 C 1 splits modulo p. p To prove (iii). Thus we have shown that (a) and (b) are equivalent.47 (a) From (3. For example. if p D a2 C b 2 with a. then .3. found a proof. factormod(X^3+10*X+1. We know that . ˛ D . this is so if and only if 4jp 1.2. we must use the integral basis f1.17) returns X 3 C 10X C 1.a C i b/. i.2/: E XAMPLE 3. .p/ D . who was almost certainly unaware of Fermat’s letter. if and only if the group Fp contains an element of order 4. If m Á 5 mod 8. 55. 1 C ˛ C ˛ 2 / D .p/ D p1 p2 .1 m/=4 Á X 2 C X C 1 mod 2.48 Let ˛ be a root of X 3 C 10X C 1. ˙i . There are the following factorizations: 58 . factoring . D EDEKIND D OMAINS . Clearly. and so the ring of integers in QŒ˛ is Z C Z˛ C Z˛ 2 .a i b/. and so . this factors as X 2 CX D X.45 It is proved in basic graduate algebra courses that ZŒi . Suppose . factormod(X^3+10*X+1. and so obviously a2 C b 2 D p.4027) returns . Conversely. (b) In the next section. Euler.p/ splits in ZŒi .2) returns . etc. The minimum polynomial of ˛ is X 2 X C. we shall show.2. and the relations among them..2/ D .. Recall that the discriminant of the polynomial is 4027. Finding the class number therefore involves ﬁnding the prime ideal factors of these prime numbers. we have . Therefore a2 C b 2 D p up to multiplication by a unit in ZŒi. R EMARK 3.1 m/=4.e. For some history. factormod(f.p/ is the product of two distinct ideals ” m Á 1 mod 8. (c) there exist integers a and b such that p D a2 C b 2 .X / modulo p into a product of powers of irreducible polynomials. 1 C ˛/. If m Á 1 mod 8.41) and (3.1 C m/=2.a C ib/ then p2 D . m / D 1: p (iii) For the prime 2 when m Á 1 mod 4.p/ is a prime ideal in QŒ m ” m Á 5 mod 8.e.X C 1/. ˛/. Then p1 and p2 are principal. as in the following table. say . b 2 Z. p . A SIDE 3. factormod(X^3+10*X+1.2. is a principal ideal domain. and so .p/ splits in ZŒi . then X 2 X C . In PARI. As Fp is a cyclic group (FT Exercise 13) of order p 1. for almost all p. FACTORIZATION p . and if p1 D . Hence it can safely be left to the computer. the Gaussian integers. this can always be done. see Edwards 1977.43) we see that. p. I claim that the following conditions on an odd prime p are equivalent: (a) p Á 1 mod 4. and a discussion of algorithms for ﬁnding a and b. But the only units in ZŒi are ˙1. (b) . which is irreducible.46 The fact that every prime of the form 4n C 1 is a sum of two squares was stated as a theorem by Fermat in a letter in 1654.a i b/ in ZŒi . i.p/ in OK amounts to factoring a polynomial f .X 2 C X C 1/.X C 3624/..X C1/ mod 2. but this is so if and only if Fp contains a 4th root of 1.X C 2215/2 . not only that the class group of a number ﬁeld is ﬁnite. but that it is generated by the prime ideals dividing a certain small set of prime numbers. E XAMPLE 3. but it may require a lot of hard work but not much intelligence.p/ is a prime ideal in QŒ m ” m is not a square mod p. ˛g.
For any abelian Galois extension K of Q.1 C X /.5. and that its discriminant is 19 151. we saw that f .2592 C X /.61 C 64X C X 2 / . For K D QŒ m with m square free.7 C X / .2.5/ D . the discriminant of the polynomial is 4027.4027/ D D D D D D D D .50 When K is a number ﬁeld.7. 1 C ˛/. ˛/. which is what Theorem 3.7. 2 C ˛/.5 C 4X C X 2 / .5 C X /. this is the set of odd p not dividing m for which . 1 C ˛/.3 C X /. 1 C ˛/.3/ .K 0 /. There are the following factorizations: 2 .3/ D . 1 C 4˛ C ˛ 2 / .4027/ D .4027/ D .4027. 790 C 3499˛ C 174˛ 2 C ˛ 3 : Thus . 1 C ˛ C ˛ 2 / 3 X.13/ prime ideal.11.39 C X /2 .4 C X /. we see that the ﬁelds are not isomorphic.17/ in the ﬁelds in the last two examples. 59 .2 C X .11/ . 2 C ˛ 2 / 7 .19.1 C X /. 3 C ˛/.19/ and . 3 C 2˛ C ˛ 2 / 2 / .17.2215 C X /2 . 61 C 64˛ C ˛ 2 / f Á .10 C 13X C 17X 2 C X 3 / .151.2/ D . and so the ring of integers in QŒ˛ is Z C Z˛ C Z˛ 2 .3.38 below.2.13/ .6 C X /. m / D 1 together possibly with 2 (see 3.X / D X 5 X 1 is irreducible in QŒX .19.7. and so. but for an arbitrary extension very little is known about what sets can occur.17.509 C X /. 2592 C ˛/.X /. class ﬁeld theory gives a similarly good description.7. ˛/.5.4027.17/ D .4027.4027. 6 C ˛/. 6 C ˛/. 2215 C ˛/2 .1 C X /. . 4 C 10˛ C ˛ 2 / 3 13 2 C 5X C X . ˛/.1759 C X /2 : .3.11. 1 C 10˛ C ˛ 3 / D .17.3624 C X / .6 C X /2 .151.2/ . We have the following factorizations: 19 151 4027 f Á . it is interesting to have a description of the set p Spl. 509 C ˛/.1 C X C X 2 / . 1 C ˛ 2 / 2/ 5 X. ˛/.Examples of factorizations 2 3 5 7 11 13 17 4027 .51 In (2.5.2.1261 C X /. 3624 C ˛/: E XAMPLE 3.35 predicts.17/ .151/ are ramiﬁed in QŒ˛.1 C X 2 / . then ZŒ˛ is the ring of integers in QŒ˛. and 4027 is not.44).3 C 2X C X 2 / .11.13/ 17 . 6 C ˛/2 .19/ D . 7 C ˛/ 4027 . 9 C ˛/. 1759 C ˛/2 On comparing the factorizations of .49 Let ˛ be a root of X 3 8X C 15. which is squarefree. There is a theorem that says that two Galois extensions K and K 0 of Q are isomorphic if and only if Spl.151.4027. See Theorem 8.1 C X /.2. We p shall see later that the quadratic reciprocity law gives a good description of the set.11.5/ . 10 C 13˛ C 17˛ 2 C ˛ 3 / f Á . 2 C ˛ C ˛ 2 / .2 C 5X C X 2 / 1 C 10X C X 3 1 C 10X C X 3 . 1261 C ˛/. Moreover.1 C X C X 2 / . 39 C ˛/2 .11/ 11 . 5 C 4˛ C ˛ 2 / .7/ .151/ D .9 C X /.13.3. E XAMPLE 3.1 C 4X C X 2 / .4 C 10X C X D .3.2 C X /.K/ of prime numbers that split in K. Here again. R EMARK 3.7/ D .39). 1 C ˛ C ˛ 2 / . this can be made into an effective procedure for determining when ﬁelds are isomorphic. 2 C 5˛ C ˛ 2 / .6 C X /.5.2 C X C X 2 / . if ˛ is a root of f . 4 C ˛/.4027.790 C 3499X C 174X 2 C X 3 / .4027.13/ D .K/ DSpl.
f /. D EDEKIND D OMAINS .a1 / D ord. then . : : : . Let A be a Dedekind domain. Then f .X /. with ramiﬁcation index e say. if . Let P be a prime ideal dividing p. ai 2 A. and p 2 does not divide am . Suppose not. such that ai 2 Z.ai /.a/ D pm in A. Let A be a Dedekind domain and let p be a prime ideal in A.X/ is irreducible.a/ D Pme in B: Next I claim that if a1 C C an D 0.3.X /. and if ˛ is a root of f . and let B be its integral closure in a ﬁnite extension L of its ﬁeld of fractions K. then p is totally ramiﬁed in KŒ˛. We will improve this result.a1 / > 0.am / D 1: P ROPOSITION 3. ordp . Consider the equation ˛ m C a1 ˛ m 1 def C C am D 0: 60 . Then ordP jK D e ordp because.am 1/ 1 C C am . then ŒLW K Ä m D deg.ai / must be attained for at least two is. ˛/ and m D deg. FACTORIZATION E XAMPLE 3. Let p be a prime ideal of A and let P be an ideal of B dividing p.ai / for all i > 1.X / 2 AŒX be an Eisenstein polynomial with respect to p. Write ordp and ordP for the normalized valuations on K and L deﬁned by p and P. ai / .p. Let L be the ﬁeld generated by a root ˛ of f . say P ord.a1 / < ord. X 4 C X 3 C X 2 C X C 1 Á . which is a contradiction.53 Let f .X C 4/4 Why is this obvious? mod 5 Eisenstein extensions Recall that Eisenstein’s Criterion says that a polynomial X m C a1 X m 1 C C am . say pB D Pe . pjai all i .52 According to PARI. is irreducible in QŒX . ordp . but ﬁrst we need to make two observations about discrete valuations.8/ (11) i 2 2Äi Än min ord. Then a1 D i 2 ai implies that X ord. > 0. A polynomial X m C a1 X m is said to be Eisenstein relative to p if ordp . then the minimum value of ord.f /: P ROOF. in fact pB D Pm with P D .
Exercises Because f .X / is Eisenstein, ordP .˛ m / D m ordP .˛/I ordP .ai ˛ m i / .m i / ordP .˛/ C eI ordP .am / D e: If ordP .˛/ D 0, then the minimum value of ordP is taken for a single term, namely ˛ m . This is impossible, and so ordP .˛/ 1, and ordP .ai ˛ m i / > ordP .am / D e for i D 1; :::; m. From the remark preceding the proposition, we see that m ordP .˛/ D e. Then m ordP .˛/ D e Ä ŒKŒ˛ W K Ä m; and we must have equalities throughout: ordP .˛/ D 1, ŒK.˛/W K D m D e:
2
N OTES Gauss proved the quadratic reciprocity law, and studied the arithmetic of QŒi in order to discover the quartic reciprocity law. Kummer made an intense study of the arithmetic of the ﬁelds QŒ n , where n is a primitive nth root of 1, in order to prove higher reciprocity laws. A major problem for him was that unique factorization fails already for n D 23. To restore unique factorization, he developed his theory of “ideal numbers”. One of Dedekind’s great achievements was to realize that, by replacing Kummer’s “ideal numbers” with his new notion of “ideals”, it was possible to simplify Kummer’s theory and extend it to the rings of integers in all number ﬁelds. A difﬁcult step for him was showing that if ajb, then there exists an ideal c such that a D bc. Emmy Noether reexamined Kummer’s work more abstractly, and named the integral domains for which his methods applied “Dedekind domains”.
Exercises
31 Let k be a ﬁeld. Is kŒX; Y a Dedekind domain? (Explain). p p p 32 p Show that ZŒ 3 is the ring of integers in QŒ 3 and ZŒ p is the ring of integers 7 p p p in QŒ p but that ZŒ 3; 7 is not the ring of integers in QŒ 3; 7. (Hint: look at 7, p . 3 C 7/=2.) 33 Complete the proofs of the following statements (cf. 3.45): (a) x 2 C y 2 D p has a solution in Z ” p Á 1 mod 4; (b) x 2 C 2y 2 D p has a solution in Z ” p Á 1 or 3 mod 8; (c) x 2 C 3y 2 D p has a solution in Z ” p Á 1 mod 3:3 p p has class number 1 for p < 5. You may assume that QŒ 34 Let k be a ﬁeld, and let A be the subring kŒX 2 ; X 3 of kŒX . (a) Show that kŒX is a ﬁnitely generated kŒX 2 module, and hence is a Noetherian kŒX 2 module. Deduce that A is Noetherian. (b) Show that every nonzero prime ideal of A is maximal, but that A is not a Dedekind domain.
3 Kwangho Choiy notes that x 2 C 3y 2 D p can be replaced by x 2 C xy C y 2 D p, because the norm is of the form x 2 C xy C y 2 . However, both are true, because . p3 / D . p /. Moreover, we can remark that the prime 3 p ideal lying over p with . p / D 1 can be generated by an element in ZŒ 3. 3
61
3. D EDEKIND D OMAINS ; FACTORIZATION Hence A satisﬁes conditions (a) and (c) to be a Dedekind domain, but not (b). There are also rings that satisfy (b) and (c) but fail (a), and rings that satisfy (a) and (b) but not (c) (for example, kŒX; Y ).
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C HAPTER
4
The Finiteness of the Class Number
In this section we prove the ﬁrst main theorem of the course: the class number of a number ﬁeld is ﬁnite. The method of proof is effective: it gives an algorithm for computing the class group.
Norms of ideals
Let A be a Dedekind domain with ﬁeld of fractions K, and let B be the integral closure of A in a ﬁnite separable extension L. We want to deﬁne a homomorphism NmW Id.B/ ! Id.A/ which is compatible with taking norms of elements, i.e., such that the following diagram commutes: L ? ? yNm K
b7!.b/
! Id.B/ ? ? yNm ! Id.A/
(12)
a7!.a/
Because Id.B/ is the free abelian group on the set of prime ideals, we only have to deﬁne Nm.p/ for p prime. Q Let p be a prime ideal A, and factor pB D Pei . If p is principal, say p D . /, then i we should have Nm.pB/ D Nm. B/ D Nm. / A D .
m
/ D pm ;
m D ŒLW K:
Also, because Nm is to be a homomorphism, we should have Q Q Nm.pB/ D Nm. Pei / D Nm.Pi /ei : i On comparing these two formulas, and recalling (3.34) that m D should deﬁne Nm.Pi / D pfi . We take this as our deﬁnition: P ei fi , we see that we
Nm.P/ D pf .P=p/ where p D P \ A and f .P=p/ D ŒB=P W A=p: To avoid confusion, I sometimes use N to denote norms of ideals. If we have a tower of ﬁelds M L K, then NL=K .NM=L a/ D NM=K a because f .Q=P/ f .P=p/ D f .Q=p/, i.e., ŒC =Q W B=P ŒB=P W A=p D ŒC =Q W A=p where C B A are the integral closures of A in M , L, and K respectively. 63
ˇ/ B D Nm.e.OK W a/: P ROPOSITION 4.pi /fi .ˇ/ A. :::.pi =pi / where . the numerical norm of a. (a) For any nonzero ideal a A. Write p B D .b/. In the course of the proof of (3. (a) For any ideal a in OK .34).P1 Pg /ef D P: 2Gal. and let ˇ B D b. NL=K .1 Let A B and K L be as above. ˇ B/ D . But Nm..N.pB/ D N .OK W a/ D i Q . (12) commutes). 2 Let a be a nonzero ideal in the ring of integers OK of a number ﬁeld K. let E be a ﬁnite Galois extension of K containing L. and so it sufﬁces to show that Nm.b/ Q bD Q Q .ˇ/ A D Nm.a/N. The map a 7! a BW Id. and for such an ideal we have that P Q def N .A/ is torsionfree.pi / D i Q .pi / D Z \ pi .34).ab/ D N.b/ B. (b) Since N Pi D pf for each i .L=K/ (c) For any nonzero element ˇ 2 B.ˇ B/d D NE=K .34). (a) It sufﬁces to prove this for a prime ideal p. this implies that NL=K . and the transitivity of N we have that NL=K . 3. be this index: Na D . and it follows that each Pi occurs m D ef times in the family f P j 2 Gal. Let C be the integral closure of B in E. Nm.OK W pri /. we showed that Gal. OK =a ' OK =pri . Let P be a nonzero prime ideal of B and let p D P \ A. Pei / D p ei fi D pm i (by 3.ˇ B/ (i.a//. then Nm.aB/ D am . and so .a/ D . In the general case.4.B/ is injective (remember they are the free abelian groups on the sets of nonzero prime ideals). and so .L=K/ acts transitively on the set fP1 .2 Let OK be the ring of integers in a number ﬁeld K.ˇ/ B as required. Then Y N P B D .P1 Pg /e (cf. then .ˇ/ A D NmL=K . we showed that OK =pri has a ﬁltration of i i length ri whose quotients are vector spaces of dimension fi over Fpi . where m D ŒL W K: (b) Suppose L is Galois over K.b/ B D .34).ˇ/d A: As the group of ideals Id. T HE F INITENESS OF THE C LASS N UMBER P ROPOSITION 4. P ROOF. From (a).L=K/g: g (c) Suppose ﬁrst that L is Galois over K. the ﬁrst equality is obvious.ˇ C / D NmE=K . and let fi D f .a 1 b/: Q P ROOF. Then a is of ﬁnite index in OK . and we let Na. NK=Q . In the course of the proof of (3.ˇ B/ D NmL=K .A/ ! Id. and let d D ŒEW L. Pg g. (a) Write a D pri . (b) Let b a be fractional ideals in K. the Galois case.a W b/ D N.OK W pri / D i 64 . ˇ/ B D Nm. From the Chinese remainder theorem. therefore N.
We have K ˝Q R Rr Cs .3 Let K be an extension of degree n of Q.OK W a/ D . T HEOREM 4.a/ Ä n j Kj2 : n The number on the right is called the Minkowski bound — we sometimes denote it s nŠ by BK . and so the multiplicativity of N follows from that of N . we may suppose that a and b are integral ideals.d b/ 1 D ab 1 .Statement of the main theorem and its consequences Q fr f r pi i i . Since . we give some applications and examples. then N becomes identiﬁed with N.a W b/ D . It takes the following values: n r s C 2 0 1 0:637 2 2 0 0:500 3 1 1 0:283 3 3 0 0:222 4 0 2 0:152 4 2 1 0:119 4 4 0 0:094 5 1 2 0:062 5 3 1 0:049 5 5 0 0:038 ::: ::: ::: ::: 100 100 0 0:93 10 42 Here r is the number of real embeddings of K. On taking the product over i .b/: 2 Statement of the main theorem and its consequences We now state the main theorem of this section and discuss some of its consequences.a 1 b/ D N. When we identify the set of nonzero ideals in Z with the set of positive integers.a/ N.18). The required formula then follows from (a) and the formulas . and. then r is the number of real roots of f . Let 2s be the number of nonreal complex embeddings of K.X / is the minimum polynomial of ˛. Then there exists a set of representatives for the ideal class group of K consisting of integral ideals a with Â Ã 1 nŠ 4 s N.X / and 2s is the number of its nonreal roots.pi i i / D NK=Q a. The term CK D nn 4 is called the Minkowski constant.d a W d b/ D . (b) For any nonzero d 2 K. apply (1. the map x 7! dxW K ! K is an additive isomorphism.3). 65 .OK W a/. and so . and let K be the discriminant of K=Q. we ﬁnd that .d a/. if K D QŒ˛ and f .a W b/. Before proving (4. To see that these descriptions of r and s agree.OK W b/ and N.
It sufﬁces to show that there are only ﬁnitely many integral ideals a in OK such that N. that ZŒi is a Euclidean domain. 385–416. 6. To decide whether a b. we shall show that. QŒ 19 has class number 1. the elementary proof of this shows more.4 The class number of K is ﬁnite. For example.4. then N. no. one has to decide whether c D ab 1 is principal. and so ZŒi is a principal ideal domain.2/ D 4. The Minkowski bound is BK < 0:283j Kj2 : 1 K is .2/ D p2 where p D . BK < 2. it is not true that all principal ideal domains are p Euclidean domains. The ideals OK and p form a set of representatives for Cl. 2 Let S be the set of integral ideals in K with norm < BK . 1 Lemmermeyer.2/.6 Let K D QŒ 5. There are no such ideals other than ZŒi .2. For a descriptions of algorithms for ﬁnding Cl.a/ is less than the Minkowski bound — in fact. p can’t be principal because there does not exist an element ˛ D m C n 5 such that p 2 C 5n2 D 2. As N. and an algorithm for deciding whether a b.37). The condition in Theorem 4. and Pohst and Zassenhaus 1989. the class number h D 1.a/ < M . T HE F INITENESS OF THE C LASS N UMBER T HEOREM 4.36.5. there are only ﬁnitely many integral ideals a with N. we have s D 1. and so for cubic ﬁelds with 49 Ä K < 0. and so p Np D 2. There is an algorithm for ﬁnding S .) p p E XAMPLE 4. Exposition. E XAMPLE 4. and form some of their products. this is true for the number ﬁelds with discriminants 23 and 31 discussed earlier (see 2. Even for rings of integers in number ﬁelds. In fact. Math. P ROOF. p424. To ﬁnd S . see Cohen 1993. 13 (1995). and only ﬁnitely many possibilities for the exponents ri .a/ Ä 0:63p 20< 3. r D 1. for any integer Q M . but its ring of integers is not a Euclidean domain. and so there is an algorithm for ﬁnding Cl. For example.7 Let K be a cubic ﬁeld with discriminant < 0. c D . 5.ZŒ p The ideal 5/. namely. Any ideal satisfying this must divide .OK /. where a b if one ideal is the product of the other with a principal (fractional) ideal. For more on such things.2b) we know that. Then S is a ﬁnite set. (Of course.a/ < M . ﬁnd the prime ideal factors of enough prime numbers. 2 E XAMPLE 4. When we express in terms of an integral basis. From (4. .5 Let K D QŒi . this allows only ﬁnitely many possibilities for the pi (and hence for the pi /. 1/s .pi / D pi \ Z. 1 C 5/. and Np2 D N. If a D pri .OK / D S= .3 is that N. and Cl. not just its order). and so Cl. For j K j Ä 49. for 2 c. see the survey article Lemmermeyer 19951 .a/ Ä 4 4 2 < 1:27. The Euclidean algorithm in algebraic number ﬁelds. 66 . Here N. this becomes a (very special) type of diophantine equation.a/ D i Q ri fi pi where . Franz.ZŒ Nm.˛/ D m 5/ has order 2. 2. / ” Nc D j Nm j and so we have to solve the equation: Nm D constant. Since the sign of and ŒK W Q D r C 2s.OK / (the group.
a/ < 0:062 19 151 D 3:3 < 4: If p is a prime ideal with N.2.8 Let ˛ be a root of f . (The proof takes quite a bit of hard work if you do it by hand — see Artin 1959.35) that any prime dividing the discriminant ramiﬁes. every class of ideals for QŒ˛ contains an integral ideal a with p N. Theorem 4. 13. Similarly. We saw in (2. and so f . Using PARI.Statement of the main theorem and its consequences For the stem ﬁeld of X 3 C 10X C 1. and hence p ŒM W Q D 120.3. then the residue ﬁeld at p must be F2 .1 C n /n > 1. however. and so OK is a principal ideal domain! The Galois group of the splitting ﬁeld M of f . 1 C ˛/.p/ D 3.0/ and f .OK =Z/ D ˙1. Recall from (3. Hence the class group is cyclic of order 6.e.X / is irreducible and its discriminant is 19 151.X / 2 ZŒX of degree > 1 with discriminant ˙1. and that it has order 6 in the class group.10 There does not exist an irreducible monic polynomial f . P ROOF.48) that . and let ˛ be a root of f . the discriminant is bound is < 18. 12. Let K be a ﬁnite extension of Q.p/ D 2.3 shows that Ás nn Án=2 1 nn j j2 : nŠ 4 nŠ 4 1 Let an D rhs. and we know from (3.X / doesn’t have a root in F2 .X / D X 5 X C 1.1/ are odd. for the moment type “polgalois(X^5X1)” in PARI). 2 67 . Let f .ZŒ˛=Z/ D def ˙1. Then disc. and so the sequence an is an monotonically increasing. Then a2 > 1.3.39) that f .. It is possible to show that M is unramiﬁed over QŒ 19 151: An extension L of a number ﬁeld K is said to be unramiﬁed over K if no prime ideal of OK ramiﬁes in OL : T HEOREM 4. 1 C ˛/. 2 a 1 4027. i. p6 but no smaller power is principal. and that element will have numerical norm 1. which shows that p doesn’t exist. and the Minkowski C OROLLARY 4. both f .2. its norm is 2. Hence the discriminant of K has absolute value > 1. and so the ring of integers of QŒ˛ is ZŒ˛: According to Theorem 4. Since a set of representatives for the class group must have at least one element.9 There does not exist an unramiﬁed extension of Q: P ROOF.X / be such a polynomial. and f . and nC1 D 4 2 .X / must have a root mod 2. which contradicts the theorem.6.2.2/ D . 1 C ˛ C ˛ 2 /: Let p D .X / is S5 (later we shall see how to ﬁnd Galois groups. there is no prime ideal p with N. One can show that it generates the class group. you can type “bnfclgp(X^3+10*X+1)”) E XAMPLE 4.X /. and so ZŒ˛ is the ring of integers in K D QŒ˛ and disc.
and so to say that is discrete means that every point ˛ of has a neighbourhood U in V such that U \ D f˛g. for example.13 The subgroup Z C Z 2 of R is a free abelian group of rank 2 (bep cause 2 is not rational). mo53530). er linearly independent elements of V . p N ONEXAMPLE 4. If K has class number 1. and so on. In particular. When r D n. In fact. Brink. Lattices Let V be a vector space of dimension n over R. p 5 is unramiﬁed over QŒ 5. is an isomorphism. 304306. but it may have nonabelian unramiﬁed extensions.K2 =K1 / ' Cl. the topology is independent of the basis. Number Theory 130 (2010). Hilbert class ﬁeld L of K is required to be unramiﬁed even at the inﬁnite primes — this means that every real embedding of K extends to a real embedding of L. even inﬁnite (see. A topological space is discrete if its points (hence all subsets) are open.11 There may exist unramiﬁed extensions of number ﬁelds other than Q. but it is not a lattice in R. For p example. one can say that a full lattice in V is a subgroup of V such that the map P P ri ˝ xi 7! ri xi W R ˝Z ! V. class ﬁeld theory says that the maximal abelian unramiﬁed2 extension of K (called the Hilbert class ﬁeld of K) has Galois group canonically isomorphic to Cl. 2 The 68 . we obtain a tower of ﬁelds. In this way. the theory says that QŒ 5 has an unramiﬁed extension of degree 2. Let K3 be the Hilbert class ﬁeld of K2 . 5 over QŒ 5 is a unit. See Roquette 1967. Its Hilbert class ﬁeld is an abelian unramiﬁed extension K2 of K1 with Gal. the discriminant of veriﬁes that QŒ p p QŒ 1. At the opposite extreme. In terms of tensor products. or must always terminate with a ﬁeld of class number 1 after a ﬁnite number of steps. :::. T HE F INITENESS OF THE C LASS N UMBER R EMARK 4. Remark on inﬁnite unramiﬁed extensions of number ﬁelds with class number one. and hence a topology on V . A lattice D Ze1 C C Zer in V is a subgroup of the form with e1 . The choice of a basis for V determines an isomorphism of V with Rn .K1 /. D. R EMARK 4.OK /. and one p p p 1. We shall need another criterion for a subgroup of V to be a lattice.4. D f0g is a lattice (generated by the empty set of elements). K1 K2 K3 It was a famous question (class ﬁeld tower problem) to decide whether this tower can be inﬁnite. A subgroup of V is said to be discrete if it is discrete in the induced topology. It was shown by Golod and Shafarevich in the early 60s that the tower is frequently inﬁnite. then it has no abelian unramiﬁed extensions. because any linear automorphism of Rn is a homeomorphism. the lattice is said to be full. J. Thus a lattice is the free abelian subgroup of V generated by elements of V that are linearly independent over R.12 Let K1 be a number ﬁeld with class number hK1 > 1.
Œar Œ D integer part. 00 ai . by induction. and 0 < ab < a. Note that a is also the image of 1 /fr 1 C aer . f1=n j n an integer > 0g is not closed in the real numbers). if C is compact. a 2 R: ! R be the map ˛ 7! a. (c) each compact subset of V intersects in a ﬁnite set. The closure of a bounded set in Rn (hence in V ) is compact. and so. so that H \ V 1 g is nonempty. Any ˛ 2 Zf will equal . this implies that g D a. then ˛ C U is a neighbourhood of ˛ such that . P ROOF. Va and V b are disjoint.a1 Œa1 /f1 C C . and so there is an f 2 such that..14 The following conditions on a subgroup space V are equivalent: of a ﬁnitedimensional real vector (a) is a discrete subgroup. (c))(d). Because is discrete. if U is a neighbourhood of 0 such that U \ D f0g.Re1 C C Rer 1 /. and let . For distinct elements a and b of H . For the converse. Here is the proof. As g is in the closure of H . and there is nothing to prove. This shows that H \ V 1 g D fag. am implicitly using that a discrete subgroup of a Hausdorff group is closed (note that a discrete subset need not be closed. For the converse. then g 2 Va. then C \ is both discrete and compact. (d))(b). Let g lie in the closure of H . (d) each bounded subset of V intersects in a ﬁnite set. say a D v 1 g. Let U be a bounded open neighbourhood of 0. If a lies in H \ V 1 g.Lattices L EMMA 4. then Re1 . Then S D U \ f0g is ﬁnite and hence closed. We shall argue by induction on r: If r D 0. and so g lies in H . Obviously (a) implies (b).g. fae1 j jaj < M g \ is ﬁnite. (b) there is an open subset U of V such that U \ D f0g. when we write f D ae1 . Clearly.ar 1 D Im. (a) ” (b).'/. 2 P ROPOSITION 4. but then .15 A subgroup of V is a lattice if and only if it is discrete. let be a discrete subgroup of V . e. which contradicts our choice of f: If r > 1. er g of . and so this is obvious. we let 0 D \ . Let H be a discrete subgroup of a Hausdorff group G. and so U S is an open neighbourhood of f0g such that . 0 D Zf1 C C Zfr 1 for some fi that are linearly independent over R (and hence also form a basis for V 0 /. There exists a neighbourhood U of 1 such that U \ H D 1. and choose a maximal Rlinearly independent subset fe1 . D 0. I claim D Zf . a attains its minimum value > 0. Clearly this is a discrete subgroup of def the vector space V 0 D Re1 C C Rer 1 and so. (a))(c). 3I 69 . Every ˛ 2 can be written uniquely ˛ D a1 f1 C Let 'W C ar 1 fr 1 C aer . : : : . a lattice is discrete.˛ C U / \ D f˛g. for each M > 0. note that the translation map x 7! ˛ C xW V ! V is a homeomorphism. If r D 1. Condition (a) says that is a discrete space for the induced topology. choose a neighbourhood V of 1 such that V 1 V is contained in U .m C b/f for some m 2 Z and b with 0 < b < 1.U S / \ D f0g. Hence.3 and therefore must be ﬁnite.˛ mf / D bf D abe1 . P ROOF.
Therefore ˛ afr 2 0 . the volume of D . W 0 / fundamental parallelopipeds D 0 of 0 . and '. W 0/ (*). say with 0 Ä jaj < M . the choice of a basis for V determines an isomorphism V Rn .f1 .16 (a) For a fundamental parallelopiped D of a full lattice D Zf1 C in Rn . and let be a full lattice in V . then the parallelopipeds cover Rn without overlaps. r 1. a 2 Z. 70 . For any 0 2 . and hence a measure on V .D/ D j det. fr 2 . the fundameni i i i tal parallelopiped D of is a disjoint union of . is welldeﬁned.fr / for some a 2 Z. R EMARK 4. 2 Let V be a real vector space of dimension n. and so 00 is a lattice in R. : : : . C ar 1 fr 1 C afr . C Zfn . 0 are two full lattices Rn . but if we ﬁx the basis and vary 0 2 .fr /.D/ As we noted above.4. 0 Ä ai < 1. and so it can be written ˛ Hence which proves that ˛ D a1 f1 C P D Zfi .˛ afr / D 0. jaj < M: Thus there are only ﬁnitely many such as. fn /j: then the determinant of the matrix relating ffi g and ffi0 g has determinant ˙1. i D 1.D 0 / D . afr D a1 f1 C C ar 1 fr 1 . Thus the ratio of the measures of two sets 0 in V . Hence . With this choice of bases. Let ˛ 2 . and so the volume of the fundamental parallelopiped doesn’t depend on the choice of the basis for . and the equation (*) holds for two full lattices 4 The experts will recognize as being a Haar measure on V . say P D Zei . (See any good book on calculus. ai 2 Z: ai . say 00 D Z '. let P D D f 0 C ai ei j 0 Ä ai < 1g: Such a set is called a fundamental parallelopiped for . is the image of an element of in a bounded set. Then '. This measure is translation invariant (because the Lebesgue measure on Rn is translation invariant). T HE F INITENESS OF THE C LASS N UMBER and so each element a 2 00 in a bounded set.) If also D Zf10 C Zf20 C 0 C Zfn . The shape of the parallelopiped depends on the choice of the basis .ei /. .˛/ D a'. we can choose bases fe g and ff g for (b) When and i i 0 such that f D m e with m a positive integer. and welldeﬁned up to multiplication by a nonzero constant (depending on the choice of the basis) 4 .
S / > .1 C "/n . Dˇ 0 . and X . symmetric in the origin. obviously satisﬁes (**). the theorem can be given a more geometric statement.S / D . and let S be a measurable subset in V . some .D/ < .S / > . then the restriction of the quotient map V ! M to S can’t be injective. Let M D V = .D/ then T contains a point of the lattice other than the origin.. T HEOREM 4. it is an ndimensional torus. If .17 Let D0 be a fundamental parallelopiped for a full lattice in V . n . Then . P ROOF.T /. Since .M / D . 71 . and symmetric in the origin.D/.e.S/ > . The theorem says that if .D/. then S contains distinct points ˛ and ˇ such that ˇ ˛ 2 : P ROOF.T / > 2n .S \ D/ (sum over translates of D by elements of ).D/.19 (M INKOWSKI ’ S ) Let T be a subset of V that is compact. A convex set. and that T is symmetric in the origin if ˛ 2 T implies ˛ 2 T . whenever . Replace T with . 0 2 : 2 R EMARK 4.M /.T / > 2n . Let T be a set such that 1 ˛. ˇ 2 S such that ˛ Then ˇ ˛2 .D/: We say that a set T is convex if. Then T contains the difference of any two points of S .1 C "/T / D . and so T will 2 contain a point of other than the origin whenever 1 . (**) and let S D 1 T .T / 2n . with any two points..e. at least two of these sets will overlap. convex. The set S \ D is measurable for all fundamental parallelopipeds D.Lattices T HEOREM 4..˛ 2 ˇ/ 2 T. there exist elements ˛. i. a (unique) translate of S \ D by an element of will be a subset of D0 . For each D.D0 /. The measure on V deﬁnes a measure on M for which M has measure . and so it will contain a point of n f0g if its volume is greater than 2n . If .D0 /.1 C "/T .ˇ 2 T ) . T / D 2 2 i. " > 0.18 In the language of differential geometry. it contains the line joining the two points.
Since 2 D 12 C 12 C 02 C 02 .1 C m2 C n2 / Á 0 mod p. then .a2 C b 2 C c 2 C d 2 /. there is a point . but this is impossible. For the congruence to have no solution.aD C bC cB C dA/2 . these conditions imply that it equals p.a. From the identity . p 1.a.1 C "/T (keeping " > 0) so that it contains no point of other than the origin—which is a contradiction. c. 72 . c.4.1 C "/T is compact.20 Theorem 4. We give one immediate application of it to prove that every positive integer is a sum of four squares of integers. n to the congruence. c. must be distinct. and was the starting point for the branch of number theory called the “geometry of numbers”. : : : . and similarly for 1 n2 . Although it is almost trivial to prove. m2 takes exactly . p C 1 in total. b. it has lots of nontrivial consequences. and because . It will contain only ﬁnitely many such points because is discrete and . d Á mb na mod p: 4 Then Z4 pZ4 and =pZ4 is a 2dimensional subspace of Fp (the a and b can be arbitrary mod p.1 C m2 C n2 / C b 2 . d / 2 . d / 2 . c. Hence has index p 2 in Z4 . d / 2 T . b.a.T / > 16 .a. d / such that c Á ma C nb.1 C "/T other than the origin is in T . Euler tried to prove it over a period of 40 years. and Lagrange succeeded in 1770.1 C "/T contains a point of other than the origin (see the preceding remark). Then T has volume 2 r 4 =2. and consider the lattice Z4 consisting of .A2 C B 2 C C 2 C D 2 / D . Because . we can suppose that p is odd. we see that it sufﬁces to prove that a prime p is a sum of four squares. n f0g/ \ T . all these values. This result was stated by Fermat. and so if we choose r so that 2p > r 2 > 1:9p say. but then c and d are determined). 2 R EMARK 4. Let T be a closed ball of radius r centered at the origin. T HE F INITENESS OF THE C LASS N UMBER and so .aA .p C 1/=2 distinct values modulo p. b. b.D/: According to Minkowski’s theorem. we will be able to shrink .aB C bA C cD dC /2 C bD C cA C dB/2 C . a2 C b 2 C c 2 C d 2 < 2p: As a2 C b 2 C c 2 C d 2 is a positive integer. I claim that the congruence m2 C n2 C 1 Á 0 mod p has a solution in Z.aC bB cC dD/2 C . and so the volume of a fundamental parallelopiped is p 2 .1 C "/T: ">0 If none of the (ﬁnitely many) points of \ . a2 C b 2 C c 2 C d 2 Á a2 . Fix a solution m. Because T is closed \ T D . As m runs through 0.19 was discovered by Minkowski in 1896. 1.
After integrating over the Âj . y 2 V . i 0. for then .2 /s t n =nŠ 2 dxm .t / D fx 2 V j kxk Ä tg: Then . let Z I.x. :::. P Z.22 For any real number t > 0. (c) (triangle law) for x.a1 . Let V D Rr on V by Cs — it is a real vector space of dimension n D r C 2s. P xi C P i Ä t g: The result now follows from the next lemma by taking: m D r C s. am . L EMMA 4. Then ai Cm I. let X.t / D fx 2 Rm j xi 0.am C 1/ : .21 Let V be a ﬁnitedimensional real vector space. / 2 RrCs j xi .t / a x1 1 a xmm dx1 s . A norm on V is a function k kW V ! R such that (a) for all x 2 V . L EMMA 4.2 / dxr d rC1 d rCs rC1 rCs dx1 Z where Z D f.t / D fx j kxk Ä t .Y .23 For ai > 0 2 R.X. zrCs /.a1 C 1/ .t // D 2r . krxk D jrjkxk.t // D 2r 4 as required. t/ D where Z. : : : . xr 0g. zrC1 .t // D 2r . :::. xi Ä t g. (b) for r 2 R and x 2 V . Deﬁne a norm kxk D if x D . am I t / D t P .t // D 2 4 . xr . ai D 0.t / is symmetric with respect to the r real axes.t // r X i D1 jxi j C 2 rCs X iDrC1 jzi j where Y . 1 Ä i Ä r. x1 . =2/s t n =nŠ: P ROOF. r C 1 Ä i Ä m. :::.X. :::.x1 . we ﬁnd that Z r s s .a1 . ai D 1.X. kx C yk Ä kxk C kyk. and kxk D 0 ” x D 0.Some calculus Some calculus 4. we make the change of variable 1 zj D xj C iyj D j . Since X. we have .X. for 0 Ä Âj Ä 2 .cos Âj C i sin Âj /: 2 The Jacobian of this change of variables is j =4. For the complex variables. kxk 0.a1 C C am C m C 1/ 73 .
a1 C 2/ 0 Let Z. : : : .a1 C 1/ a I. 1961.X.t / is the circle of radius t =2.24 (a) Case r D 2. :::. First. and so .n 1/Š for n a nonnegative integer. we used the standard formula Z 0 1 xm 1 .x/ D e t t x 1 dt: 0C It takes the value . Then X.a1 .25 Let a1 .a1 I 1/ D x1 1 dx1 D D : a1 C 1 . an be positive real numbers. D.a1 . We prove this case by induction on m. :::. s D 0.xm /0 a x1 1 a xmm 11 dx1 Ã dxm 1 dxm . which has area t 2 =4: L EMMA 4.a1 C C am C m C 1/ In the last step. ai /n =nn : (The geometric mean is less than or equal to the arithmetic mean. : : : . By making the change of variables xi0 D txi in I . Advanced Calculus. am 1 I 1 xm /dxm 0 Z 1 P a DI. am I 1/: Therefore it sufﬁces to prove the formula for t D 1.n/ D . See any good course on advanced calculus.m/ . by deﬁnition. we see that I..m C n/ 2 E XAMPLE 4.a1 . Q P ai Ä .t // D 2t 2 : (b) Case r D 0. n/ D .xm /0 D fx 2 Rm Then Z I. :::.1 x/n 1 dx D B. T HE F INITENESS OF THE C LASS N UMBER P ROOF.a1 .4.1 xm / ai Cm 0 Z 1 1 dxm DI. :::. we have Z 1 1 . X xi Ä 1 xm g: ÂZ Z.a1 . ai /1=n Ä .am C 1/ .g.. ai / =nI equivalently. a xmm I.) P ROOF. am I 1/ D D 0 1 a xmm 1 j xi 0. Then Q P . It is a square p of side 2t. am 1 I 1/ xmm . Widder. Recall that. : : : .a1 C C am 1 C m/ : . Chapter 11). 2 74 . Then X.t / is deﬁned by jxj C jyj Ä t . am 1 I 1/ .m.n/ : . Z 1 . (e.a1 . s D 1. am I t / D t P ai Cm I.
r .D/ D 2 s j disc. and from (2. This gives us 2<. ˛n / ¤ 0: What is the relation between the determinants of A and B? Add column r C 2 in B to column r C 1. : : : .A/.˛i /. ˛n be a basis for a as a Zmodule. These column operations don’t change the determinant of B.B/ D ˙.˛i /.a/ is 2 s Na j K j 2 : P ROOF.˛/j Ä BK Na D Naj K j 2 : n n 75 . : : :/ has nonzero determinant. We have an embedding W K .B/ D . : : : . ˛n /1=2 ¤ 0: Thus . : : : . and so det. : : : .˛i // in column r C 2.26) that det. N rCs g. and we prove this by showing that the matrix A.a/ is a full lattice in V . : : : .˛i //: We saw in (2. rCs . : : : . Let ˛1 . rC1 . then . rC1 .˛i /.˛1 . . r g and 2s complex embedding f rC1 . : : : .˛1 /.˛i /.˛n / are linearly independent. r . 2i / s det.27 Let a be an ideal in OK . rC1 ˛i /. rC1 . : : : . whose i th row is . ˛ 7! . and the volume 1 of a fundamental parallelopiped of . ˛n /j 2 D 2 1 s Na j Kj2 : 1 2 P ROPOSITION 4.˛1 . 2i / s disc. Repeat for the other pairs of columns.˛1 . Then a contains a nonzero element ˛ of K with Â Ãs 1 4 nŠ j Nm. : : : .˛i // in column r C 1 and i =. <.26 Let a be an ideal in OK .˛i /. i g for C: P ROPOSITION 4. : : : . Thus n D r C 2s.A/j. rC1 .OK W a/2 j disc. 1 ˛. First consider the matrix B whose i th row is . Suppose that K has r real embeddings f 1 . 1 .˛1 .a/ D nD1 Z . : : : .˛i /. ˛n /j D . =. rCs .a/ is i j det.25) we know that j disc.B/2 D disc.˛i /. rC1 ˛i /.a/ is a lattice in V: P Since .Finiteness of the class number Finiteness of the class number Let K be a number ﬁeld of degree n over Q.a/ is a lattice we show that the vectors .OK =Z/j: Hence . rCs ˛/: Cs with Rn using the basis f1. : : : . To prove that . 2i /s det. and then subtract 1=2 column r C 1 from column r C 2. the volume of a fundamental parallelopiped D for .A/ D . 1 .! Rr We identify V D Rr def Cs . N rC1 . or det.
28 Proposition 4. Let X.X.27 can be useful in deciding whether an integral ideal is principal. =2/s t n =nŠ i. there is a ˇ 2 b. This work was greatly clariﬁed when Kummer and Dedekind deﬁned ideals. For this ˛ 2 a.22).X.D/. j i ˛j C 2j i ˛j/n =nn (by 4.t / be as in (4.˛/j D j j r . Binary quadratic forms Gauss studied binary quadratic forms. and it was realized that Gauss’s results were related to the ideal class groups of quadratic number ﬁelds. j Nm. 76 . we ﬁnd that Na Ä BK .˛/j2 1 . According to the result just c.˛/ ¤ 0 of . 1 Na j Kj2 : When we take t n to equal the expression on the right. ˇ ¤ 0.d / c proved.e. T HE F INITENESS OF THE C LASS N UMBER P ROOF. with j Nm.D/. and a b 1 1 D b. we ﬁnd that j Nm. and even deﬁned a product for them. The set X. when we choose t so large that . and so. P ROOF ( OF T HEOREM 4. say . Here I brieﬂy explain the connection. d c 1 is an integral ideal.˛/jj rC1 .4. tn nŠ 2n Na j 1 Kj2 .˛/j Ä As n nŠ 2n r Na j s nn Kj2 : 2 1 r D 2s.t / is compact convex and symmetric in the origin. Minkowski’s Theorem shows that X. Moreover.˛/j X X Ä.˛/j2 j rCs .25) Ä t n =nn : In order to have .t / contains a point ..3) Let c be a fractional ideal in K — we have to show that the class of c in the ideal class group is represented by an integral ideal a with Â Ãs 1 4 def nŠ Na Ä BK D n j Kj2 : n For some d 2 K . this is the required formula.t // 2n . 2 R EMARK 4. we need 2n 2 r s s 2r . Na Nb D j NmK=Q ˇj Ä BK Nb: On cancelling Nb. and let D be a fundamental domain for the lattice .a/.ˇ/j Ä BK Nb: Now ˇOK b ) ˇOK D ab with a integral.a/.t // 2n .
Moreover.25) we know that ˇ ˇ2 ˇ a1 a2 ˇ ˇ ˇ D dK Na2 : ˇ a1 a2 ˇ After possibly reordering the pair a1 . Y / D NmK=Q .˛X C ˇY.OK =Z/. 77 . i. where K D QŒ dQ . b. some integer p f . g. if d Á 2.K/ (usual class group of K) and if d > 0.Z/ such that Q0 . or.D 4d or d ). deﬁne ClC . Set dK D 2 d or d . but there exist inequivalent forms with the same discriminant. 3 mod 4 or qK . if Q is an integral binary quadratic form. n/ is an integer whenever m and n are integers. and let dK D disc.Binary quadratic forms By a binary quadratic form we mean an expression of the form Q.X.m.e.K/ D Cl. Y / D Na 1 NmK=Q . Y / D NmK=Q .a2 . gcd. if a. and let a1 .X C Y d / D X 2 d Y 2 .X. Two integral binary Â Ã 0 are said to be equivalent if there exists a matrix A D ˛ ˇ 2 quadratic forms Q and Q ı SL2 . equivalent forms have the same discriminant. Deﬁne the norm form qK by p qK .a1 X C a2 Y /: This is an integral binary quadratic form with discriminant dK .! C. The discriminant of Q is dQ D b 2 4ac: A form is said to be nondegenerate if its discriminant is nonzero.. In general. let K D QŒ d .K/ D Id. b. Y / D Q. a2 we will have ˇ ˇ ˇ a1 a2 ˇ p ˇ ˇ D dK Na: ˇ a1 a2 ˇ For such a pair. Y / D aX 2 C bX Y C cY 2 : We call the form integral if Q. Let a be a fractional ideal in K.X.K=Q/ D f1. Write Gal. if dQ D dK . then dQ D dK f 2 .K/ is the group of principal ideals of the form . From (2. c 2 Z. equivalently. p Let d ¤ 1 be a squarefree integer.˛/ with ˛ > 0 under every embedding of K into R.X. X C ıY /: Clearly. c/ D 1: p p Fix a ﬁeld K D QŒ d and an embedding K . and to have positive imaginary part if d is negative. then Q is primitive. If d < 0. if d Á 1 mod 4: In both cases qK has discriminant dK .K/=PC .a.K/ where P C .X C Y p 1C d 2 / D X 2 C X Y C 1 4d Y 2 . deﬁne ClC . The question considered by Gauss was to try to describe the set of equivalence classes of forms with a ﬁxed discriminant. a2 be a basis for a as a Zmodule. deﬁne Qa1 .X. We choose d to bep positive if p p d > 0.
and Siegel (1968) had found proofs. that there is an effective procedure for ﬁnding all d < 0 with hd equal to a given h. Lagrange found an explanation for Fermat’s statements by showing that all binary quadratic forms of discriminant 4 are equivalent.K/. using completely different methods from Siegel. Gauss conjectured that. (Gauss even knew it was a direct sum of cyclic groups. P ROOF. (Actually. then their product is of the form x 2 C 5y 2 . 163 (exercise!). it is conjectured that there are inﬁnitely many real quadratic ﬁelds with class number 1. moreover. Unfortunately.) p A SIDE 4. and similarly for discriminants 8 and 12. because of a difference of terminology. 67. 11.a2 . there exists a constant c > 0 such that hd > cjd j 2 1 " . VII. and so Siegel’s theorem gives no way of computing the d s for a given h. the set of equivalence classes is ﬁnite. Bull. By way of contrast. In the interim.a2 deﬁnes a bijection from ClC . 2. d a squarefree integer ¤ 1. Exercises 41 Give an example of an integral domain B. Y / depends only on the image of a in ClC . for every " > 0. Dedekind was able to p interprete this as showing that QŒ 5 has class number 2. T HE F INITENESS OF THE C LASS N UMBER T HEOREM 4. 13 (1985). 19. Stark (1966). this is not quite what Gauss conjectured. for a ﬁxed h. However. see Goldfeld. but this has not been proved.K/ to the set of equivalence classes of integral binary quadratic forms with discriminant dK . Math.30 Write hd for the class number of QŒ d . The fact that this statement is more complicated than it is for 1. See Fr¨ hlich and Taylor 1991. In modern terminology.) 78 .29 The equivalence class of Qa1 . or 3 was the ﬁrst indication that p the arithmetic of the ring of integers in QŒ 5 is more complicated than it is in the ﬁelds with smaller discriminant. and a subring A of B such that p \ A D 0. N OTES Fermat stated. for 5 he could only state the following conjecture: If two primes are of the form 20k C 3 or 20k C 7. the map sending a to the equivalence class of Qa1 . More recently (1983). and probably proved. 7. o 2 In particular. 43.) In 1935.2 (and elsewhere).4.30. there are only ﬁnitely many negative d such that hd D h. and has the structure of an abelian group. but that the forms of discriminant 20 fall into two equivalence classes. Gross. 2. In 1952 Heegner proved that there was no 10th such ﬁeld. For an expository article on this. Amer. Thus in 1951 it was known that there exist these 9 quadratic imaginary number ﬁelds with class number 1. the three statements in Exercise 33.X. Soc. and Zagier showed. but his proof was not recognized to be correct until 1969 (by Deuring and Stark). This was known to Gauss. d < 0: This proves Gauss’s conjecture. Baker (1966). Goldfeld. Siegel showed that. a nonzero prime ideal p in B. 23–37. Tatuzawa showed that Siegel’s theorem is true with an effectively computable c except for at most one exceptional d . (Note that this can’t happen if B is integral over A — see the paragraph preceding 3. In 1951. It is easy to show that hd D 1 for d D 1. even though groups had not yet been deﬁned. and possibly 1 more. 3. the c in Siegel’s theorem is not effectively computable.
and deduce that K is the Hilbert class ﬁeld of QŒ 5.p/ can factor in OK as a product of prime ideals.a C b˛ C c˛ 2 / is an algebraic integer if and only if a. and A respectively). and that QŒ 47 has class number 5. Prove that there is a ﬁnite extension L of K such that every ideal in OK becomes principal in OL . According to (3.Q=p/.P=p/ D f . Show that OK D ZŒ˛ and that K has class number 1. but you may be able to ﬁnd a better one. Show that OK D ZŒ 1. and that their ramiﬁcation indexes are both 2. f .11. what are the possible ways that .] p p p p 47 Let K D QŒ 1.37). 1C2 5 .Q=P/ e.34).Q=P/ f . and show that 2 .] 46 Let K D QŒ˛ where ˛ is a root of X 3 X C 2.) 44 Show that QŒ p p 23 has class number 3. Which of these possibilities actually occur? (Illustrate by examples. (Cf. If QjP and Pjp (prime ideals in C .P=p/ D e. p Prove that QŒ 5 has class number 2. Deduce and p that K is unramiﬁed over QŒ 5. [Hint: Use the ﬁniteness of the class number. 5. and c are all even. 4. b. Show that the only primes (in Z) that ramify in K are 2 p 5.Q=p/: 43 Let K D QŒ˛ where ˛ is a root of X 3 C X C 1 (see 2. B.) 79 . 45 Let K be an algebraic number ﬁeld.Exercises 42 Let F K L be a sequence of number ﬁelds. show that e. and let A B C be their rings of integers. [One approach is to consider the square factors of the discriminant of 1 X 3 X C 2.
Z=mZ/ ' Z=pi Z . As we now explain. i. this can be proved directly. if K D QŒ˛.Z=mZ/ . A set of units u1 . The number t is uniquely determined by A.1 The group of units in a number ﬁeld K is ﬁnitely generated with rank equal to r C s 1. and is called the rank of A. we write r for the number of real embeddings of a number ﬁeld K and 2s for the number of nonreal complex embeddings. Statement of the theorem Recall that a ﬁnitely generated abelian group A is isomorphic to Ators ˚ Zt for some t where Ators is the (ﬁnite) subgroup of torsion elements of A (i.e. Write UK .K/ is ﬁnite (and hence cyclic). If Q r Q r m D pi i is the factorization of m into powers of distinct primes.K/ of roots of 1 in K.D OK / for the group of units in K.K/. we shall see that. T HEOREM 5. if m is a primitive mth root of 1. The theorem is usually referred to as the “Dirichlet Unit Theorem” although Dirichlet proved it for rings of the form ZŒ˛ rather than OK . and so . Moreover. of elements of ﬁnite order). if every unit u can be written uniquely in the form u D um1 1 rCs urCs 11 . m 2 . for a real quadratic ﬁeld. and for an imaginary quadratic ﬁeld it is 0 C 1 1 D 0.e. As before. then QŒ is a Galois extension of Q with Galois group isomorphic to . Thus K ˝Q R Rr Cs and r C 2s D ŒKW Q. then r is the number of real conjugates of ˛ and 2s is the number of nonreal complex conjugates. For example. In Chapter 7. then Z=mZ ' Z=pi i Z Q ri by the Chinese remainder theorem..C HAPTER 5 The Unit Theorem In this section we prove the second main theorem of the course. the rank is 2 C 0 1 D 1. The torsion subgroup of UK is the group . As the nonunits of 80 . : : : .. mi 2 Z: The theorem implies that . urCs 1 is called a fundamental system of units if it forms a basis for UK modulo torsion.
we see that ˇ ˇ Q ˇ. . and there are pi i ˇ ˇ ˇ. and use it to identify K with a subﬁeld of C. Harvey.1 C 3/=2/. . m.m/. With two appendices by Olga Taussky: ”Artin’s 1932 G¨ ttingen lectures on class ﬁeld theory” and ”Connections between algebraic number o theory and integral matrices”. this is also true. then there is a ˇ 2 OK such that ˛ˇ D 1. and so i i 1 of these. ˙ 2 g. n 2 Zg.˛ˇ/ D Nm. Then OK D fm C n d j m. including devices such as continued fractions. then 1 and so belongs to K. it has an inverse ˇ D ˙˛ ˙ˇ in OK .Z=p ri Z/ ˇ D p ri 1 . . then ˇ is an algebraic integer. these equations (obviously) have only ﬁnitely many solutions. and so is a unit.20) that Y Y Nm .!C ¤ 0 Let ˇ D ¤ 0 ˛. and yields some remarkably large numbers — see later. In the two cases. with D .˛/ D ˛D˛ ˛: WK. ˙ . n 2 Zg or p fm C n.1 C d /=2 j m. As Cohn (19781 ) puts it. Note that m lies in a quadratic ﬁeld if and only if '.K/ D f˙1.K/ D f˙1. the theorem shows that there are inﬁnitely many solutions. This happens only for m dividing 4 or 6. 1978. xiii+328 pp. If ˛ 2 OK .2m C n/2 n2 d D ˙1. p p E XAMPLE 5.K/ D f˙1g except for the following ﬁelds: QŒi .˛/ Nm.m/jŒK W Q.pi 1/. 81 . New YorkHeidelberg. If ˛ is a unit.e.ˇ/ lie in Z and 1 D Nm.ˇ/. 2 For all real ﬁelds. P ROOF. the units in OK are the solutions to the equations m2 .K/. 1 Cohn.˛/ and Nm.pi 1/ D '. for “most” nonreal ﬁelds. and so UK D . ﬁelds with an embedding into R. SpringerVerlag. ˙i g.K/ D f˙1g.˛/ D ˙1. A classical invitation to algebraic numbers and class ﬁelds.Z=mZ/ ˇ D p ri i Since m 1 .2 An element ˛ 2 K is a unit if and only if ˛ 2 OK and NmK=Q ˛ D ˙1. i.. Therefore.3 Let K be a quadratic ﬁeld QŒ d . Recall (2. p p QŒ 3. def 2 K ) QŒ m K ) '. For the converse. or d n2 D ˙4: Q When d < 0. ﬁx an embedding 0 of K into C.m/ Ä 2. If Nm .” The method is surprisingly effective. Hence Nm ˛ 2 Z D f˙1g. Thus . and that UK D ˙uZ for some element u (called the fundamental unit).Statement of the theorem r r Z=pi i Z are exactly the elements divisible by p. and then Nm. the ﬁeld K can contain only ﬁnitely many L EMMA 5. Universitext. “the actual computation of quadratic units lies in the realm of popularized elementary number theory. if ˛ satisﬁes both conditions. When d > 0.
˛ 2 . N rCs g is the complete set of embeddings of K into C. We know that the discriminant K D 4027. ˛. 1/s and r C 2s D 3. Since the coefﬁcients are integers. where ˛ is a root of X 3 C 10X C 1.log j 1 ˛j. there are only ﬁnitely many such polynomials. If u is a unit in OK . ˛ 2 . 1 ˛. rCs ˛/ where f 1 .u/ is contained in the hyperplane H W x1 C C xr C 2xrC1 C C 2xrCs D 0: RrCs 1: Dropping the last coordinate deﬁnes an isomorphism H 82 . P ROOF.5. Clearly ˛ is of inﬁnite order. : : : . Now we want a map that takes products to sums. T HE U NIT T HEOREM E XAMPLE 5. 2 log j rCs ˛j/: It is a homomorphism. ˛. the set f1. we see that L. we see that Nm . and so ˛ is a unit. : : : . ˛ D . : : : . r . Proof that UK is ﬁnitely generated We ﬁrst need an elementary result. and ˘ j˛ 0 j < M for all conjugates ˛ 0 of ˛ is ﬁnite. P ROOF. : : : . 2 C OROLLARY 5. all of whose conjugates in C have absolute value 1. K / D . N rC1 . the set of all algebraic integers ˛ such that ˘ the degree of ˛ is Ä m. Recall that we previously considered the map W K ! Rr Cs . Since sign. and so j 1 uj j r ujj 2 rC1 uj j 2 rCs uj D 1: On taking logs.7 It is essential to require ˛ to be an algebraic integer.˛/ D 1. and the second condition implies that the coefﬁcients of the polynomial are bounded in terms of M . : : : . and later we shall show that it is a fundamental unit. as do their powers. The ﬁrst condition says that ˛ is a root of a monic irreducible polynomial of degree Ä m. From its minimum equation. : : :g is not ﬁnite. According to the proposition. r ˛.6 An algebraic integer ˛. is a root of 1. ˛ 7! . then NmK=Q u D ˙1. For example. 2 log j rC1 ˛j. rCs . : : : . Thus we consider the map: L W K ! RrCs . and so we take logarithms. we must have r D 1 D s. P ROPOSITION 5. It takes sums to sums.4 Let K D QŒ˛. rC1 . but the set f1. ˛ 7! .3 C 4i /=5 and its conjugate both have absolute value 1.5 For any integers m and M . 2 R EMARK 5. and so UK D f˙˛ m j m 2 Zg. log j r ˛j. rC1 ˛. and hence only ﬁnitely many ˛s. : : :g is ﬁnite.
and Proposition 5. say C fx 2 H j jxi j Ä M g: If L. xrC1 . rC1 . and this implies that L.U / \ C is ﬁnite. In the rest of the proof. deﬁne xr xrC1 xrC1 N xrCs xrCs : N Then Nm. and the kernel of L is a ﬁnite group (hence is . N rC1 .L. that . in more detail.˛// D Nm. then j i ˛j D 1 for all i .˛i //. then j j uj Ä e M for all j .x/j D jx1 j jxr jjxrC1 j2 jxrCs j2 : Recall from (4.8 The image of LW U ! H is a lattice in H . To prove the theorem. T HEOREM 5. 2 Since the kernel of L is ﬁnite.K//: P ROOF.U / of U in H is a full lattice. :::. and so the kernel is ﬁnite by Proposition 5.OK / is a full lattice in Rr Cs . We work again with the embedding W K .15). Let C be a bounded subset of H containing 0.˛i /. xr . If ˛ is in the kernel of L. Note that j Nm.5. thus U has rank r C s 1: P ROOF. and the volume of its funda1 mental parallelopiped is 2 s j j 2 .5 implies that there are only ﬁnitely many such us.U // Ä dim H D r C s 1: Computation of the rank We now prove the unit theorem.! Rr Cs RrC2s : For x D . In fact.˛i / D .Computation of the rank P ROPOSITION 5. and we know that the determinant of the second matrix is ˙j j 2 . .9 The image L. rC1 .˛i /.˛i /. :::/ 2 Rr Nm.U / is a lattice in H (by 4. rC1 . Thus L. ˛n is a Zbasis for OK .26). : : : . if ˛1 . : : : .x/j Ä 1: Deﬁne x . =. 1 . we showed that we could get this matrix from the matrix whose i th row is .˛/ j ˛ 2 OK g: 83 . : : :/ by some elementary column operations that multiplied the absolute value of the determinant 1 by 2 s .˛i //. we have rank.˛i /.U / D rank. x will be a point of Rr Cs with 1=2 Ä j Nm. <. we have to ﬁnd a way to construct units. 1 1 .x1 . then we showed that the absolute value of the determinant of the matrix whose i th row is . : : :/ is 2 s j j 2 .˛/.u/ 2 C .x/ D x1 Cs .OK / D fx . : : : .
˛i //.x1 1 . <."/ D log j i "j. and xi is sufﬁciently small that j Nm xj D 1. : : : . / 2 T for some x in our set. and hence bounded norms. lrCs 1 . is invertible."i / C C lrCs 1 . i 1 / T . we choose an x in our set such that all the coordinates of x except xi are very large (compared with T 0 /. and hence that log j j "i j < 0: I claim that L. then OK D i OK for some i . and the volume of its fundamental parallelopiped is the determinant of the matrix whose i th row is ."i / > 0: The next lemma implies that the matrix is invertible.19) implies there is a point of OK .˛i /. We are now ready to prove that L. t 1 / T is bounded. xrC1 times the absolute N rC1 .x1 which is 1 . there is nothing to prove. such that x . but the sum l1 . For this we have to prove that the matrix whose i th row is . t OK . If r C s 1 D 0. say 1 OK . and so we have shown that.OK / is a lattice with 2 s j j 2 j Nm. : : :/."i //. and so the sum of the terms in the i th row l1 . Minkowski’s theorem (4. / 2 T ."/ 2 . some x. for each x in our set there exists a unit " such that the coordinates of x .xrC1 rC1 . : : : ."1 /."i / D lrCs . Now if is any element of OK with x . :::. : : :/: s As before."i / D 0. This is again a lattice in Rr Cs . The set T 0 D ."i / C lrCs . 1 for some M (depending on T /.˛i /. / 2 T ) j Nm. 1 1 / T [ ::: [ .x/ Ä 2M: Consider the set of ideals OK . which is symmetric in the origin.˛i /. The points of T have bounded coordinates. / 2 T .x/j as the volume of its fundamental domain. Then x . The norm N of such an ideal is Ä 2M . /j Ä M= Nm.x/j: Therefore x . thus j Nm. for every x in the above set. =. Let T be a compact convex subset of Rr Cs ."i /. and so we assume r C s 1 1: For each i .9. //j Ä M. 2 84 . and whose volume is so large that. and so there exists a unit " such that D i ". : : : ."i / has bounded coordinates. the absolute value of the determinant of this matrix is 2 value of the determinant of the matrix whose i th row is . and so completes the proof of Theorem 5. this product makes sense. and we deduce that j j "i j < 1 for j ¤ i . L."/ are bounded uniformly in x (the set T 0 doesn’t depend on x).5. T HE U NIT T HEOREM Since Rr Cs is a ring. li .x . xrC1 1 N rC1 ."i / C C lrCs 1 . Note that as x ranges over our set these volumes remain bounded. :::.l1 . ¤ 0.U /. The elements of the matrix except those on the diagonal are negative. where runs through the ’s in OK for which x .U / is a full lattice in H . and so x ."rCs 1 / are linearly independent vectors in the lattice L. and so there can only be ﬁnitely many such ideals.˛i //. 1 Ä i Ä r C s. j j 2 j Nm.xrC1 rC1 .˛i /. We know that there exists a unit "i such that x .
aij / is invertible. :::. Clearly these elements generate a subgroup of rank t . : : : . We can scale the solution so that xi0 D 1. say ph D .˛/ D 0.11 The group of S units is ﬁnitely generated with rank r C s C #S P ROOF. and deﬁne the ring of S integers to be \ OK . Write x1 . all p … S g: p…S For example.0. : : : . : : :/W U. 2. Let p1 . Deﬁne the group of Sunits. and the i0 th equation gives a contradiction: X X X 0D ai0 j xj D ai0 i0 C ai0 j xj ai0 i0 C ai0 j > 0: j j ¤i0 j ¤i0 2 Sunits Let S be a ﬁnite set of prime ideals of K. and i is an i i S unit with image .K/.2/. Then jxj j Ä 1 for j ¤ i0 . the torsion subgroup of U.: : : . 2 1.˛/ 0. then the system of equations X aij xj D 0 i D 1. i /. n 2 Zg. (3). and suppose i0 is such that jxi0 j D maxfjxj jg. all p … Sg: Clearly. to be U. h.10 Let . 0/ . ordpi .S / D OK . it sufﬁces to show that the image of U.h in the i t h position).S / in Zt has rank t .S / ! Zt has kernel U . then OK . m has a nontrivial solution. if S D . P ROOF. : : : . m: Then . :::. p2 .S / D Op D f˛ 2 K j ordp . The homomorphism u 7! . Then ph is principal. For example. if K D Q and S D f.S / D OK .aij / be a real m m matrix such that ˘ aij < 0 for i ¤ j I P ˘ j aij > 0 for i D 1.S / D f˙2k 3m 5n j k. xm for such a solution. p t be the elements of S. Let h be the class number of K. If it isn’t.5/g then U.Sunits L EMMA 5. 85 ..S / is again . T HEOREM 5. To complete the proof. . m.S / D f˛ 2 K j ordp .u/. : : : . and the statement is obvious in this case.
Hardy. then u=u D 2 2 Ker.K/2 determined by a 7! a=a.5. a1 .a/ D . A CM ﬁeld is a totally imaginary quadratic extension of a totally real ﬁeld. and so u N 2 K C . : : :. : : :: We shall always assume that the ai are integers with a1 > 0. and it is totally imaginary if none of the roots of f are real. Therefore. if u D uC 2 . Let K be a CM ﬁeld. and let 2n D ŒK W Q.K/ UK C .UK / D n 1 D rank. Every such ﬁeld can be obtained from a totally real ﬁeld by adjoining the square root of an element all of whose real conjugates are negative. (See any book on elementary number theory.. Let a 7! a be the nontrivial automorphism of K ﬁxing K C .s 1/th convergent of it.K/ UK C . and so a=a 2 . Then . K D QŒ˛ ' QŒX =. /.f / is totally real if all the roots of f are real. which is a quadratic extension of the totally real ﬁeld K C .K/= . Conversely. H. 3 mod 4. In fact. a1 . The integers ai are called the quotients. P ROPOSITION 5. P ROOF.K/= . M. :::. and so rank. or d Á 1 mod 8. then p " D p C q d if d Á 2. For example. G. Every irrational number ˛ can be expressed in just one way as an inﬁnite continued fraction. 86 . Chapter X. 2 Example: real quadratic ﬁelds An expression a0 C a1 C a2 C 1 1 1 a3 C is called a continued fraction.K/ the proof. N 2 has order 2.K/. it is possible to prove more. Press.UK C /.) Now let d be a squarefree positive integer. an is called the nth convergent. and it is totally imaginary if none of its embeddings in C lie in R. for example. UK C has ﬁnite index in UK .a/ N N for all homomorphisms W K ! C. this completes We have shown that Ker. Clearly is a homomorphism.K/ UK C . a2 . As . and the continued fraction is periodic if and only if ˛ has degree 2 over Q. We abbreviate the expression on the right as Œa0 . Oxford Univ. Let s be the period of the continued fraction for d and let p=q be the .6). Consider the map W UK ! N .K/ UK C in UK is either 1 or 2. and Œa0 . and let " be the (unique) fundamental unit p p for QŒ d with " > 1. / D . E. Suppose u lies in its N kernel.K/ (by 5. It follows N N that u 2 . so that u=u D 2 for some 2 . T HE U NIT T HEOREM Example: CM ﬁelds A number ﬁeld is totally real if all of its embeddings in C lie in R.12 The index of . a2 > 0. for any a 2 UK . In particular. Then u N =u D 1. and Wright. An Introduction to the Theory of Numbers. 1960 (4th edition). Then K has 2n complex embeddings and K C has n real embeddings.. all conjugates of a=a N in C have absolute value 1.
1. 1.u 1 iÂ e u 1 e iÂ / D 2i. Write " D u2 . Since ". which is about 180. and the group of units is f˙"m g for some " (fundamental unit). 87 .2143295/2 . 1. 1. We have < 0. p p For example. We identify K with a subﬁeld of R using its unique real embedding. 18. "2 / be the discriminant of the minimum equation of ". 8. 1. 1. The two conjugates of " (other than " itself) must be complex conjugates.221064/2 94 D 1.40). u 2 R. 3. Using a computer algebra program. a cubic ﬁeld K will have negative discriminant if and only if r D 1 D s. 5. u > 1. 5. p Then compute the continued fraction of 94.13 Let K be a cubic extension of Q with negative discriminant.Example: cubic ﬁelds with negative discriminant and p p " D p C q d or "3 D p C q d otherwise. and " 1 are also fundamental units. u 1 e iÂ . and so the product of " with its conjugates must be C1 (rather than 1). " 1 .u3 C u 3 2 cos Â / sin Â: If we set 2 D u3 C u then j 0 j 2 D 4. we may suppose that " > 1.u2 3. to ﬁnd the fundamental unit in QŒ 94. One gets f9. We want to ﬁnd ". 1 cos Â / sin Â. 2.0 Ä Â Ä /: 0 D D. 1. Since " … Q. L EMMA 5. the ﬁrst coefﬁcient of the fundamental unit has 88 digits! The computer has no problem ﬁnding the fundamental unit — the only problem is counting the length of the period. 1/s (see 2. Then j Kj < 4"3 C 24: P ROOF. 1. which veriﬁes that " is a unit. p When one carries out this procedure for QŒ 9199. 3. it must generate K. 2. p 94: Example: cubic ﬁelds with negative discriminant Since the sign of the discriminant is . Now evaluate the 15th convergent.1. and one obtains some spectacularly large numbers.u2 e /. 3. 2. it is very easy to carry this out. ". Then the remaining conjugates of " can be written u Let 1 02 1 iÂ e . One gets 2143295 : 221064 Hence the fundamental unit > 1 is " D 2143295 C 221064 Compute that . ﬁrst compute 94 D 9: 6954 : : :. Then u 1 iÂ D . and let " be the fundamental unit with " > 1. u 1 e iÂ /. 1. : : :g: This suggests the period is 16.
Since ˇ is a power of ". this completes the proof. and the map ZŒ˛ ! F29 is ˛ 7! 2 (mod 29). ˛ 1 is the fundamental unit > 1: Thus UK D f˙˛ m j m 2 Zg: Once one knows ". T HE U NIT T HEOREM which. .14 Let K D QŒ˛ where ˛ is a real root of X 3 C 10X C 1.2. 1 C ˛/ such that N. Note that Nm. ˛ ˛C2 . The residue ﬁeld OK =q is F29 D Z=. and g. We ﬁrst work modulo 29.e. ˛C2 Suppose p3 D .29/.5. Thus ˛ 88 1 7! 1. But then 2 x0 > 1 )u 4u6 j 0 6 2 4x0 < 0 ) u 6 4x0 2 2 x0 /. Here the discrimq 4027. and it then remains to ﬁnd the order of p. it becomes easier to compute the class group. is < 2u3 . We know (see 3. /. jxj Ä 1.˛ 1/ for some m and choice of signs. 1 7! 1: . such that ordq .1 2 and. But this ˛C2 ˛ 1 ˛ 1 ˛ 1 ˛ 1 says that at least one of the numbers ˛C2 .X 2/ mod 29: 3 Take q to be the ideal . and so " > 3 4027 24 4 > 10 for " the fundamental unit with " > 1.29. ˛ ˛C2 is a square.u . inant is E XAMPLE 5. ˛C2 . ˛ C 2 7! 4.e. with jx0 j Ä 1.˛ 1/ .. and the inequality j Hence 0 j Ä 16.˛/ D 1. ˛ 2/.˛ C 2/ 1 7! 22. 4 4x0 < 0: (13) This maximum yields j Ä 16. But g. and that the desired root x0 . then we can look at ˇ mod q and ask if it is a square. We seek a root of g.x/ with jxj < 1.X C 5/. and so it remains to show that p2 and p3 are nonprincipal. Moreover. ˛ D 0:0999003::.u 6 2 4x0 4 4x0 / < 4u6 C 24: j Since 0 0 j < 4"3 C 24: 2 D K (square of an integer). If q is a prime ideal such that ˇ 2 Oq (i.1/ D 1 < 0 (because u > 1 implies D 1 3 u3 u 3 6 1/ < 0.48) that there is a prime ideal p D .x/ D 2x 2 C > 1). Since g..X 3/. 2 2 2 x0 C x0 /. One shows that p generates the class group.ˇ/ 0/. it follows g. for a given u. and so ˇ D ˛ 1 D 10:00998:::. we must have ˇ D ". 2u3 / D 4 . Then 2 D ˙˛ m . Let ˇ be that number. 2x2 0 4 D 4x0 2 4x0 C 1. has a maximum where cos Â or g. One veriﬁes that p6 is the ideal 3 generated by .p/ D 2.x/ D x def cos2 Â C sin2 Â D 0. i. and so ˛ is a unit. We have X 3 C 10X C 1 Á . x D cos Â: 2x 2 C 1 D 0. 2 C1 2 x0 4 x0 / D 4u6 C 24 C 4. on applying the conditions x0 D 2x0 (13) we ﬁnd that 1.x/ has 2 1 one root > 1.
log j r ui j. use the test in the later section on algorithms to determine whether the minimum polynomial ˚m for m has a root in K. : : : . Let t D r C s u1 . Take q D . the regulator is the volume of a fundamental domain for L.K/ As we noted eariler. Finding .ui / may have to be more precise.m/jŒKW Q. ˛ C 3/ (see 3. We eliminate this by looking mod 7.U / (regarded as a full lattice in Rt /. 2 1. Finding a system of fundamental units One strategy for ﬁnding units in the general case seems to be to ﬁnd lots of solutions to equations Nm. 4. and then take quotients of solutions. ˛ 1 3 7! Á ˛C2 6 1 Á 4 Á 3 mod 7. One can similarly deﬁne the regulator of any set f"1 . " t /j=jReg. Thus there are only ﬁnitely many possibilities for m.log j df 1 ui j. I think that L.K/ in the full group of units is measured by ratio jReg..ui / D .e. Note that there can be only ﬁnitely many ideals a with N. then '."1 . :::.7. Thus. Then in the map ZŒ˛ ! ZŒ˛=q D F7 . : : : . hence m must be 0.U /j: Choiy writes: in the deﬁnition of regulators. then frequently ˛i OK D ˛j OK . and 1 Á 122 are squares modulo 29. Regulators There is one other important invariant that we should deﬁne.ui /.OK / is a cyclic group of order 6. thus if we have lots of elements ˛i with Nm.Finding . u t be a system of fundamental units.˛/ D m for m a ﬁxed small number. where m is a primitive mth root of 1.U / in Rt .a/ D m. if QŒ m K.48). The regulator is deﬁned to be determinant of the matrix whose ith row is L. up to sign. " t g of independent units. ˛ 7! 3 D 4. and the index of the group generated by the "i and . Chapter 5. p2 D . / can be shown to be impossible. and let log j rC1 ui j. But the deﬁnition in the notes is still correct. Thus Cl. we can make sure about the index of .˛i / D m. and so the only possibility ˛ 1 for ˇ is ˛C2 . Then the vectors L. i. See Pohst and Zassenhaus 1989. 2 log j t ui j/ 2 Rt generate the lattice L. Thus ˛C2 is not a square in QŒ˛: Similarly.2 The regulator plays the same role for the group of units (mod torsion) that the discriminant plays for OK . but 2 is not. :::.K/ The numbers 1. and this implies that ˛i and ˛j differ by a unit — note that this was the strategy used to prove the unit theorem. ˛ 1 Since ˛C2 < 0 it can’t be a square in K (since it isn’t even in R). 2 ˛ 1 and 3 is not a square modulo 7. 2 Kwangho 89 . For each of them. :::.
Does NmK=Q .5. his proof extends easily to OK (and to OK . T HE U NIT T HEOREM There are lower bounds for the regulator (see Pohst and Zassenhaus 1989. 1846)3 only for rings of the form ZŒ˛ because. Exercises 51 Fix an m and and M . Is it necessarily true that the set of algebraic integers ˛ in C of degree < m and with j˛j < M is ﬁnite? [Either prove. G. at the time.S /). Sur la th´ orie des nombres.5. Dirichlet. see Cohen 1993. However. Acad. whose study has a long history. e 90 . p 365) similar to the one we proved for a cubic ﬁeld with one real embedding. d > 0. Lejeune.9.˛/ D ˙1 imply that ˛ is unit in OK .3). Theorem 5. 285–288.] Sci. (1846). R. Preuss. or give a counterexample. C. one has to solve certain diophantine equations (see 5. Akad. [Either prove. Algorithm 6.] p 52 Find a fundamental unit for the ﬁeld QŒ 67. a deﬁnition of OK was lacking. Zur Theorie der complexen Einheiten. regulator. Paris 10 (1840). Wiss. or give a counterexample. 53 Let ˛ be an element of a number ﬁeld K. Lejeune. P. but which requires the generalized Riemann hypothesis to prove its correctness. p N OTES To ﬁnd the units in QŒ d . P. G. 103–107.1 was proved by Dirichlet (1840. and fundamental units of a general number ﬁeld. For an algorithm that computes the class group. 3 Dirichlet. Verhandl.
˛ am /d D 1 ) njd .n/ D #. Let G D Gal. D m for some integer m relatively prime to n. more signiﬁcantly. For example. 0 Ä m Ä n 1.C HAPTER 6 Cyclotomic Extensions. In FT. 2 Xn Let K D QŒ . but. The basic results An element of a ﬁeld K is said to be a primitive nth root of 1 if n D 1 but d ¤ 1 for any d < n. and so it is Galois over Q.˛ m /d D 1 ) ˛ d D . for any 2 G. n. if m and n are relatively prime. Fermat’s Last Theorem. This is a consequence of a more general fact: if ˛ is an element of order n in a group. to class ﬁeld theory itself). then ˛ m is also of order n if and only if m is relatively prime to n.9.. It permutes the set of primitive nth roots of 1 in K. Conversely. then . i. it is proved that this map is an isomorphism. where is a primitive nth root of 1. 1 The name cyclotomic (circledividing) derives from the fact that the nth roots of 1 are space evenly around the unit circle. They provide interesting examples of the theory we have developed.QŒ =Q/. The map 7! Œm is an injective homomorphism G ! . Then if and only if m is relatively prime to n: m is again a primitive nth root of 1 P ROOF. The cyclotomic1 extensions of Q are those generated by a root of 1.1 Let be a primitive nth root of 1. and the next lemma shows that e 2 i m=n is a primitive nth root of 1 if and only if m is relatively prime to n. moreover.Z=nZ/ .e. n m If d jm.10. and so def ŒK W Q D '. L EMMA 6. We shall give another proof. and at the same time obtain many results concerning the arithmetic of QŒ . 5. the nth roots of 1 in C are the numbers e 2 i m=n . Here is the proof. m is welldeﬁned modulo n. 5. for example. 91 . and so. Then K is the splitting ﬁeld of 1. they have important applications.˛ m / d D ˛ n d D 1.Z=nZ/ . then there are integers a and b such that am C bn D 1: Now ˛ am D ˛ and so . if is an element of order n in K . to Fermat’s last theorem and to the existence of reciprocity laws (more generally.
The cyclotomic polynomial ˚n is deﬁned to be. ˚n .X / D .X / D X and X 12 1 D . Y 0 ˚n .X 4 X 2 C 1/: 4 X C1 X2 C 1 We ﬁrst examine a cyclotomic extension in the case that n is a power p r of a prime. Y ˚n .X 2 X C 1/. then 0 D s and D 0t for some integers s and t not divisible by p.p 1/ over Q: The ring of integers in QŒ is ZŒ : def The element D 1 is a prime element of OK . and let K D QŒ : (a) (b) (c) (d) The ﬁeld QŒ is of degree '. c D p r 1 .X)” in PARI.QŒ =Q/ acts transitively on the set of primitive nth roots of 1 (i. over the integers m. Because is integral over Z.X / is irreducible (and so ˚n . type “polcyclo(n.2 Let be a primitive p r th root of 1.X /: d jn To ﬁnd the nth cyclotomic polynomial.X / D . relatively prime to n. ˚3 . (d) ˚n .X 2 C 1/.X 1/ ˚n .n/I (c) Gal.pr r 1/).X / is the minimum polynomial of /: We shall see that all these statements are true. some c (in fact.X 2 C X C 1/. 0 Ä m Ä n 1.X / D .Z=nZ/ is an isomorphism. If 0 is another primitive p r th root of 1. For example. in which case ŒK W Q D '. / D 0.Z=nZ/ . P ROPOSITION 6. the ring ZŒ is contained in OK .QŒ =Q/ ! .X / 2 QŒX .X C 1/.p r /: The discriminant of OK over Z is ˙p c .Z=nZ/ is an isomorphism.X / where 0 runs over the primitive nth roots of 1. p is the only prime to ramify in QŒ : P ROOF. therefore. they are conjugates).X m / where the product runs over a set of representatives m for the elements of . Moreover. Equivalently.. for example.n/ and the map G ! .X / D X 2 C X C 1 ˚4 . Hence the following statements are equivalent: (a) the map Gal. and .p/ D . 1 1 92 0 D 1C C C s 1 2 ZŒ : .X / D X 2 C 1 ˚6 .e. /e with e D '.6. Note that each nth root of 1 is a primitive d th root of 1 for exactly one d jn.X / D X 2 ˚12 . and clearly ˚n . and so ZŒ 0 D ZŒ and QŒ 0 D QŒ . (b) ŒQŒ W Q D '. Therefore. and so Y Xn 1 D ˚d .X / is the minimum polynomial of if and only if it is irreducible. ˚n . F ERMAT ’ S L AST T HEOREM . Because G permutes the 0 .X 1/. C YCLOTOMIC E XTENSIONS .p r / D p r 1 .
r p D . This proves (a) of the Proposition since we know ŒQŒ W Q Ä '. Clearly r NmK=Q D ˙1.p r /'. .1 OK ).OK =Z/ is a power of p. / D ˙p c .p / : ps / D ˙p p . e D '.OK W ZŒ /2 D disc.p / D p r'. We next show that (up to sign) disc.p/ D . we ﬁnd that ˚pr . Note that ˚pr .1 / D u . (ii) .p r /. D1 def . / D p r p r 1 =.pr r 1/: 93 .p/ D p'.The basic results Similarly. in OK . /e .p r / prime factors in OK . f .p r /: Moreover we see that must generate a prime ideal in OK .ZŒ =Z/ D ˙ NmK=Q . r with u a unit in ZŒ .1 0 0/ 2 ZŒ . (14) and so . . s 0 Ä s < r.p / . this will imply: (i) disc.34) implies that ŒQŒ W Q '. which in our case reads: 0 disc.34). / is an isomorphism.1 / is a unit in ZŒ (hence also in Xp r Xp 1 1 D tp 1 D 1Ct C t 1 C tp 1 .˚pr . /. Since disc.1/ D p: For its deﬁnition. and so . For future reference. t D Xp r 1 . p r r 1/.1/ D Y . otherwise.X / D X p r 1 1 0 and substituting for X.ZŒ =Z/.p/ ! OK =.1 /=.p 1/p r 1 pr 1 D pr 1 . again. we note that.1 r 1 0 /=.X / D and so ˚pr . To compute disc. //: On differentiating the equation . NmK=Q p r D . . . This completes the proof of (c).OK =Z/ . we see that ˚pr .p/ would have too many primeideal factors.1 /'.p / . /D Y1 1 0 .1 and so 0 NmK=Q ˚pr . we shall use the formula in (2. and therefore p M OK ZŒ for some M .OK W ZŒ / is a power of p.p r /.ZŒ =Z/ is a power of p.ZŒ =Z/.p/ has at least '. c D r.X p r 1 1/ ˚pr . Therefore we have an equality of ideals in OK .p=p/ D 1: The last equality means that the map Z=. We shall show that NmK=Q . Now (3.
40a). and so. we know that p m OK This completes the proof of (b). ZŒ . 2 R EMARK 6. and so ZŒ D OK .! OK induces an isomorphism Z=. But for m large enough. any root of 1. then ŒQŒ W Q=2 D . p r > 2.6. and so NmK=Q . The minimum polynomial of 1 is ˚pr . First we compute NmK=Q . we obtain the equality OK D ZŒ C Therefore. OK D ZŒ C ZŒ C D ZŒ C On repeating this argument.1 /. /. OK D Z C OK .p 94 1/p r 1 s D ŒQŒ W Q=2: =2 .1 ps p s =Q .QŒ =Q// D .1 ps / D ˙p: / D ˙p a where a D ŒQŒ W QŒ ps D '. certainly. We are now ready to prove (b). we ﬁnd that OK D ZŒ C for all m 1. As we observed above the inclusion Z . C YCLOTOMIC E XTENSIONS .p/ ! OK =. the computation just made (with r replaced by r s) shows that NmQŒ Using that NmM=K D NmL=K ı NmM=L and NmM=L ˛ D ˛ ŒM WL if ˛ 2 L.disc. F ERMAT ’ S L AST T HEOREM . this implies that OK D ZŒ C p m OK for all m 1.3 (a) The sign of the disc. In other words.unit/. except for this case. we see that NmK=Q . and so. If is a primitive p r th root of 1. can be computed most easily by using (2.1 / D ˙p: s s We next compute NmK=Q . 1/s .p r s / D ps : This completes the proof of (d). sign. Since '.p r / m 2 2 2 OK : OK OK : OK Dp . Clearly QŒ has no real embeddings unless D ˙1 (and QŒ D Q).1 X /.QŒ =Q/. Because p is a primitive p r s th root of 1. which has constant term ˚pr .p r /='.1/ D p.1 p / some s < r. OK D ZŒ C OK : On multiplying through by .
and to complete the proof.34 that p1 ps can become a '. then p ramiﬁes totally in K and q does not. Consider the ﬁelds: QŒ . but is unramiﬁed in QŒ m . then q ramiﬁes totally in K and p does not. '. if n D p r m with m relatively prime to p. 2 L EMMA 6.OK =Z/ and disc.p r /. : : : . Note that pr D m is a primitive p r th r root of 1. Then OK L d 1 OK OL : 95 .p/ D . Therefore. because if K QŒ . This is accomplished by the next lemma. m D ZŒ . and these are contradictory unless K D Q: T HEOREM 6. say . m D p is a primitive mth root of 1.p / in QŒ with the Pi distinct primes in QŒ : P ROOF.p/ D p1 ps with the pi distinct primes. its degree over QŒ m is at most '. because the only primes that can divide the discriminant of OQŒ m =Z are the divisors of m (induction hypothesis and 3.p / D r/ r Q pi O QŒ pr QŒ m p'. (a) The ﬁeld QŒ is of degree '. and if K QŒ 0 . (c) If p ramiﬁes in QŒ then pjn.n/ over Q: (b) The ring of integers in QŒ is ZŒ .The basic results which is odd if and only if p r D 4 or p Á 3 mod 4. If p and q are distinct primes. .OL =Z//. We use induction on the number of primes dividing n.n/ 1 is an integral basis for OQŒ over Z. r / '. say pi OQŒ D Pi .m/ D '. say . Write n D p r m with m not def divisible by p.35). and so 1.p / . and let d be the greatest common divisor of disc.p Q pi Q . .p r / '.p r / and each prime pi ramiﬁes totally in QŒ .pO/'. then QŒ \ QŒ 0 D Q.p/ D p'.p/ ramiﬁes totally in QŒ pr . and that QŒ D QŒ pr QŒ m . We may assume the theorem for m.4 Let be a primitive nth root of 1.p OQŒ D ZŒ pr .p/ r According to Proposition 6.P1 Ps /'.5 Let K and L be ﬁnite extensions of Q such that ŒKLW Q D ŒKW Q ŒLW Q. more precisely.p r /th power in QŒ only if ŒQŒ W QŒ m D '. Because QŒ is obtained from QŒ m by adjoining pr . (b) Let and 0 be primitive p r th and q s th roots of 1.2. it remains to show that ŒQŒ W Q D '. then r . It follows from Theorem 3.n/.
:::. one can show that. then '. :::. Thus. we obtain an equation X aij . Hence rj aij all i. for n a primitive nth root of 1. Let f˛1 .˛i /xi D k . (c) In the situation of the lemma. this happens only if p r D 2. (b) Let m be an integer > 1. and so r 2 Z. This can be proved by an elementary determinant calculation.KL=Q/ D disc. m. On applying such a to the above equation. rj disc.6. and the hypothesis on the degrees implies that the minimum polynomial of ˛ doesn’t change when we pass from Q to L.p r / D p r 1 .˛i // and Di is a similar determinant. then p ramiﬁes in QŒ n except when p D 2 and n D 2 (odd number). Therefore . if p divides n.n/=. and so r divides the greatest common divisor of disc. C YCLOTOMIC E XTENSIONS .n/=2 n'. To see this.p 1/. disc. 1/'. ˇn g be integral bases for K and L respectively. According to (2. P aij aij But xi D r ˇj . P ROOF. both D and Di are algebraic integers. r ij ij with r uniquely determined. i P and Cramer’s rule tells us that Dxi D Di where D D det. j .6 (a) Statement (c) of the theorem shows that if p divides n. and. (15) provided OKL D OK OL . write K D QŒ˛.OL =Z/: 2 R EMARK 6.n/ = p '. and let 1 . r 2 Z.OL =Z/.aij =r/ˇj . Since '.QŒ n / is cyclic of order n (generated by n ) except when n is odd. j . and so xi is an algebraic integer.K=Q/ŒLWQ disc. and we then have to show that rjd: When we identify L with a subﬁeld of C. every embedding of K into C will extend uniquely to an embedding of K L into C ﬁxing the elements of L. 2. F ERMAT ’ S L AST T HEOREM . /. Similarly.p r / D 1.p 1/ : pjn 96 . 2 .OK =Z/ and disc. ˛m g and fˇ1 . Using this. After dividing out any common factors from top and bottom.n/ except when n is odd and m D 2. /D .QŒ n =Q/ D . in which case it is cyclic of order 2n (generated by n ). no prime factor of r will divide all the aij .26). We obtain a system of m linear equations X k D 1. Y disc. m be the distinct embeddings of K into C. because of our assumption on r and the aij s.OK =Z/. D 2 D disc. :::. aij . Then ˛i ˇj is a basis for K L over Q. and the ˇj s form an integral basis for OL . Thus every 2 OK L can be written in the form X aij D ˛i ˇj . :::. then p ramiﬁes unless '. and so xi D DDi : D def By construction.L=Q/ŒKWQ . k .˛i /ˇj : r a ij Write xi D j . then K L D LŒ˛. there is therefore a unique Lhomomorphism LŒ˛ ! C sending ˛ to ˛.mn/ > '. this implies that rj .
Kummer found a simple test for when a prime is regular: deﬁne the Bernoulli numbers Bn by the formula 1 X t tn D Bn . we see that f D 1 or 11 (in f is not principal. 1 maps to the complex conjugate of . say .2/ D pq. that p is not principal. In either case. where f is the residue class degree. The Galois group of QŒ over Q is cyclic of order 22. Because of the connection to Fermat’s last theorem.7 Assume that n is a prime power. In fact. and this implies that P is not principal. Here is how to prove that QŒ has class number > 1 when p D 23. It has long been known that there are inﬁnitely many irregular primes.2/ splits in QŒ principal. : : : . Class numbers of cyclotomic ﬁelds Let be a primitive pth root of 1. Under any embedding of QŒ into C. According to Proposition 5.Class numbers of cyclotomic ﬁelds The example QŒi. 5 has discriminant 42 52 D 42 202 =42 . the index of . 97 v . They are called regular. when n is a prime power. and therefore the image of QŒ C is ﬁxed under complex conjugation and hence lies in R. p because the norm of a principal ideal is principal. Deﬁne QŒ C D QŒ C 1 : For example. Since 23 is the only prime ramifying in p QŒ . and this implies that K D QŒ 23. and that in fact the class number is 1 if and only if p Ä 19. 4. P ROPOSITION 6. Then N P D pf . Units in cyclotomic ﬁelds Let be a primitive nth root of 1. Bn 2 QI et 1 nŠ nD0 then p is not regular if and only if p divides the numerator of some Bk with k D 2. it must also be the only prime ramifying in K. but it is still not proved that there are inﬁnitely many regular primes.QŒ / UQŒ C in UQŒ is 1 or 2. then QŒ C D QŒcos 2n . p p 5 D QŒi QŒ 5 shows that the condition on the rings of integers is necessary for (15) to hold. primes p such that p does not divide the class number of QŒ are of particular interest. it must be 1. then every unit u 2 QŒ can be written uD with a root of unity and v a unit in QŒ C . but QŒi. p an odd prime. we see that QŒ is a CM ﬁeld with maximal totally real subﬁeld QŒ C . p 23. and therefore has a unique subgroup of index 2. Since f divides ŒQŒ W QŒ 23 D 11. f D 11). because the p p extensions QŒi and QŒ 5 have discriminants 4 and 20 respectively. It is expected that 61% of primes are regular and 39% are irregular. fact.12. and that p3 is One checks that . p 3. if D e 2 i=n . Let P be a prime ideal of ZŒ lyingp over p. It is known that the class number of QŒ grows quite rapidly with p. Thus. Hence QŒ contains a unique quadratic extension K of Q. n > 2.
y/p if necessary.n/ and modulo the prime ideal p D . we may suppose that gcd. in the proof of Proposition (5. z/p D . 0. 0. or 2 mod 9.6b) that. The ﬁrst case of Fermat’s last theorem for regular primes Kummer proved Fermat’s last theorem for regular primes. which are contradictory.8 Let p be an odd prime. we may assume that p x y. T HEOREM 6. z/ to X p C Y p D Zp with p relatively prime to xyz.x.12) is surjective. . If the class number of QŒ is not divisible by p. and u … p. If x Á y Á z mod p. p 1 . Hence one of the congruences can’t hold. C YCLOTOMIC E XTENSIONS . The only cubes modulo 9 are 1. then there does not exist an integer solution . Recall (6. We show that existence of integers x. The roots of X p C 1 are 1.1 N / of C a'.x C i y/ D z p : 98 .n/ 1 . After removing any common factor. Let u D a0 C Then u D a0 C N OQŒ . 1 '. and after rewriting the equation x p C . and so Xp C 1 D Hence Yp 1 Yp 1 i D0 . then 2z p Á z p and pj3z. ai 2 Z: / D . Therefore 0 D m for some integer m.QŒ /. known as the ﬁrst case of Fermat’s last theorem. N u Á u mod p. If the statement is false. and so x 3 C y 3 Á 2.6. Similarly we may eliminate the case p D 5 by looking modulo 25. and so there exists a unit u of QŒ such that u D 0 u where 0 is a root of 1 that is not a square. Here we prove a weaker result. y. y. P ROOF. We ﬁrst treat the case p D 3.1 C a'. Henceforth we assume p > 5. y. : : : . This is a contradiction because p is prime.n/ 1. contradicting our hypotheses. z/ D 1. 2 … p. then the homomorphism u 7! u=uW UQŒ ! = N 2 . because n is odd. We prove this only for powers of odd primes (which is all we shall need in the next section).x. 1. Thus uÁ m C a'. and so 2 D h i. N D f˙1g h i. z with x p C y p D z p and p xyz leads to a contradiction. z 3 Á 1 or 1 mod 9. F ERMAT ’ S L AST T HEOREM . 2 and so 2u 2 p.X C i /: i D0 .n/ 1 u Á a0 C Á u.n/ 1 N '. D .
Hence x C y 2 p \ Z D .11 Let ˛ D a0 C a1 C C ap 1 p 1 with ai 2 Z and at least one ai D 0. If ˛ is divisible by an integer n.10).1 any integer such that 1 Ä i Ä p 1 (see 6. 2 L EMMA 6.p/. i / where i can be Let p be the unique prime ideal of ZŒ dividing .. : : : . Regard the equation Yp 1 i D0 . and qj. p p C ap 2 p p 2 . P ROOF.˛i /. Suppose there does.. But z p D x p C y p Á x C y Á 0 mod p. which contradicts our hypotheses. Since the factors on the left are relatively prime in pairs. j i /x/ D px. thus p D . 2 ˛ p Á a0 C a1 C C ap 1 L EMMA 6. and omit the subscript on ˛1 . and therefore q D p. there is N p Á a mod p. each one must be the pth power of an ideal. then each ai is divisible by n. ˛ p 2 Z C pZŒ . will be a Zbasis for ZŒ .x C i y/ D ai p for some ideal ai in ZŒ . Then qj.8. and so pjz. x and y are relatively prime. We have to show that there does not exist a prime ideal q dividing x C i y and j /y/ D py.10 For every ˛ 2 ZŒ . x C j y for i ¤ j . P ROOF.9 The elements x C i y of ZŒ are relatively prime in pairs.e.x C i y/ D . say ai D . Therefore an a 2 Z such that ˛ xC y D Also x C Ny D r r v˛ p Á v˛p Á N r va r mod p: va mod p: 99 . ai 2 Z: mod p. Since 1 C C C p 1 D 0. and so ai itself is principal. Thus x Cy Á x C i y Á 0 mod p. The result is now obvious. We apply (6. i By assumption.The ﬁrst case of Fermat’s last theorem for regular primes The idea of the proof is to exploit this factorization and what we know of the arithmetic of QŒ to obtain a contradiction. if ˛ 2 nZŒ . L EMMA 6.2). i.. but we are assuming that the class group of ZŒ is of order prime to p. This equation implies that ai has order dividing p in the class group. p 1g with p 1 elements 2 We can now complete the proof of Theorem 6. .7) to write u D r v where v D v. According to (6. say . P ROOF.z/p as an equality of ideals in ZŒ . Then we have that x C y D u˛ p for some unit u in ZŒ . any subset of f1. Write ˛ D a0 C a1 C Then which lies in Z. Take i D 1.p/.
which contradicts the choice of x and y made 2 x Á 0 mod p.˛ C 1/OK . but in terms of “ideal numbers” rather than ideals. The only remaining possibilities are: (a) 1 D 2r . Compute disc. which contradicts our original assumption. Use this to show that OK D ZŒ˛. Lemma 6. and (*) says . which is contrary to our original assumption. 2r are distinct. m m 100 . C YCLOTOMIC E XTENSIONS .ZŒ˛=Z/. and that . and let K D QŒ˛.2/ is a prime ideal in OK . 62 Show that the ring of integers in QŒcos 2 is ZŒ2 cos 2 . N OTES Everything in this section was known to Kummer.11 implies that pjx at the start of the proof. but then (*) says x y. as the reader may already be aware. and Lemma 6. and Lemma 6.11 implies that pjx. On combining these statements. then D 2r .11 implies pjy. because p 5. other methods have. This completes the proof.˛ C 1/ is a prime ideal in OK .˛ C1/3 D 3˛. Show that ˛ and ˛ C2 are units in ZŒ˛ and OK .x C y/ Á r . 2r 1 . F ERMAT ’ S L AST T HEOREM . . and Lemma 6. and deduce that OK is a principal ideal domain. The methods of this section have not (so far) sufﬁced to prove Fermat’s last theorem but. (b) 1 D 2r 1 . Exercises 61 Show that X 3 3X C 1 is an irreducible polynomial in QŒX with three real roots. Let ˛ be one of them.x y/ Á 0 mod p.x C 1 y/ mod p. we ﬁnd that r . but then (*) says y 1 y Á 0 mod p. and deduce that OK ZŒ˛ 3m OK for some m. then. or xC y 2r x 2r 1 y Á 0 mod p: (16) If 1.˛ C2/.x y/ .11 implies that p divides x and y.6. Deduce that . Show that . and show that OK D ZŒ˛ C . (c) D 2r 1 . which contradicts our original assumption.
and let e be a real number with e > 1.a/ : Usually we normalize this by taking e D p. For example. j j maps all roots of unity in K to 1.a/ . we deﬁne the notion of a valuation and study the completions of number ﬁelds with respect to valuations.1=p/ordp . then jaj D .a/ D 1=p r if a D a0 p r with ordp . If the stronger condition (c0 ) jx C yj Ä maxfjxj. we get a valuation on K by putting jaj D j aj: (b) Let ordW K ! Z be an (additive) discrete valuation. E XAMPLE 7. j0j D 0 is a nonarchimedean valuation on K. j 1j D 1. and embedding W K . Local Fields In this section. jyjg holds. Valuations A (multiplicative) valuation on a ﬁeld K is a function x 7! jxjW K ! R such that (a) jxj > 0 except that j0j D 0I (b) jxyj D jxjjyj (c) jx C yj Ä jxj C jyj (triangle inequality).1=e/ord. a ¤ 0. and j xj D jxj for all x.! C. then j j is called a nonarchimedean valuation. Since R>0 is torsionfree. Note that (a) and (b) imply that j j is a homomorphism K ! R>0 (multiplicative group of positive real numbers). In particular.a0 / D 0: Similarly.1 (a) For any number ﬁeld K. there is no other (because all nonzero elements of a ﬁnite ﬁeld are roots of 1). When K is ﬁnite.C HAPTER 7 Valuations. we have the padic valuation j jp on Q W jajp D . for any prime ideal p in a number ﬁeld K. for any prime number p. thus jajp D . we have a normalized padic valuation jajp D . 101 .a/ : (c) On any ﬁeld we can deﬁne the trivial valuation: jaj D 1 for all a ¤ 0.1=Np/ordp .1=e/ordp .
2 A valuation j j is nonarchimedean if and only if it takes bounded values on fm1 j m 2 Zg. C OROLLARY 7. jyjn g D maxfjxj. instead of the triangle inequality. and put v. VALUATIONS . If j j is nonarchimedean. then. P ROPOSITION 7. jm1j D j1 C 1 C C 1j Ä j1j D 1: As we noted above. In other words. jyjg: When we let n ! 1. for m > 0. jyjgn : On taking nth roots we ﬁnd that jx C yj Ä N 1=n .n C 1/ maxfjxj. this condition implies that P j xi j Ä maxfjxi jg: (17) P ROPOSITION 7.7. for any two nonzero real numbers a and b. Then vW K ! R satisﬁes the following conditions: 102 . P ROOF. L OCAL F IELDS Nonarchimedean valuations Recall that this means that.5 Let j j be a nontrivial nonarchimedean valuation. or ord.4 Archimedes stated that for any two line segments.n C 1/1=n maxfjxj. jyjgn and n r is an integer.x/ . take logs). and so j m1j D jm1j Ä 1: Conversely. As we noted above. a discrete (additive) valuation ord on K determines a valuation by jxj D e ord. there is an n 2 N such that jbj < jnaj. jyjg: By induction. we have jx C yj Ä maxfjxj. j 1j D j1j. The proposition shows that the nonarchimedean valuations are exactly those that don’t have this “archimedean property”.x/ D log jxj. Taking logs gives loge jxj D ord. suppose jm1j Ä N for all m. In this case. P ROOF. 2 2 A SIDE 7. then K has only nonarchimedean valuations.3 If char K ¤ 0. x ¤ 0 (log to base e for any real e > 1/. any e > 1. Then X n X n j r j jxjr jyjn xr yn r j Ä jx C yjn D j r r r : Clearly jxjr jyjn r Ä maxfjxjn . and so jx C yjn Ä N. laying the shorter segment endtoend a sufﬁcient ﬁnite number of times will create a segment longer than the other.x/.x/ D loge jxj. the terms involving n tend to 1 (to see this. This suggests how we might pass from multiplicative valuations to additive valuations. the set fm 1 j m 2 Zg is ﬁnite.
a and b are close if their difference is divisible by a high power of p. Since Qal contains an element p 1=n for all n. If it is a discrete subgroup. the sequence 1.K / D Zc for some c. and 1= n p ! 1 as n ! 1. we see that p p jQal j 3 . A set is open if and only if it is a union of sets of the form U. if m D . We shall see later that the padic valuation j jp W Q ! R extends to Qal (in many different ways). which means that v. For example. which is not discrete in R>0 .K / is a subgroup of R (under addition). " > 0.a. If j j is discrete. v. and so A is a discrete valuation ring and m is generated by any element 2 K such that j j is the largest element of jK j less than one. "/ D fx 2 K j jx aj < "g. Conversely. Then def A D fa 2 K j jaj Ä 1g is a subring of K.x/. Note that. That v satisﬁes (a) and (b) is obvious. jKj usually won’t be. In fact. p 2 .x C y/ minfv. for the topology on Q deﬁned by j jp . For example. then it is a multiple of a discrete valuation ordW K Z R: P ROOF. and def m D fa 2 K j jaj < 1g as its unique maximal ideal. then A and m are the pair associated (as in 3.7 There do exist nondiscrete nonarchimedean valuations. "/.p 1 /1=n D 1= n p for all n.a. with distance function d. The topology deﬁned by the padic valuation j jp is called the padic topology on K.a.y/g: If v. The ﬁrst assertion is obvious. note that v. bj. Now ord D c 1 v is an additive discrete valuation K Z. even when jK j is discrete in R.15). 103 . 2 We shall say j j is discrete when jK j is a discrete subgroup of R>0 . The valuation j j is discrete if and only if m is principal. jp n jp D p n . one can show that jQal j D fp r j r 2 Qg. P ROOF.y/I (b) v. p. P ROPOSITION 7.x/ C v.xy/ D v. then jK j is the subgroup of R>0 generated by j j: 2 R EMARK 7. in which case A is a discrete valuation ring.K / is discrete in R.Equivalent valuations (a) v. In particular. because 0 will be a limit point for the set jK j: For example. : : : converges to 0. For the last statement. form a fundamental system of open neighbourhoods of a. p n .6 Let j j be a nonarchimedean valuation.27) with the additive valuation log j j. then it is a lattice (by def 4. b/ D ja and hence a topology on K: for a 2 K. let Qal be an algebraic closure of Q. Equivalent valuations Note that a valuation j j deﬁnes a metric on K. which converges to 0 as n ! 1. /. : : : . with def U D fa 2 K j jaj D 1g as its group of units. the sets U.
L OCAL F IELDS P ROPOSITION 7. There is a real number b such that jxj1 D jyjb : 1 To prove (c).7. this implies that jx n =y m j2 < 1 and so This is true for all rational numbers m n m n jxj2 < jyj2 : > b. Let a D log jyj2 = log jyj1 . or jyj2 D jyja : 1 Now let x be any nonzero element of K. it sufﬁces to prove that jxj2 D jyjb . n > 0. 2 because then jxj2 D jyjb D jyjab D jxja : 2 1 1 Let m=n. with j j1 nontrivial. Then n jxj1 D jyjb < jyj1 1 m and so jx n =y m j1 < 1: From our assumption (b).8 Let j j1 . which completes the proof of (a). VALUATIONS . (a) ) (b): Since j˛ n j D j˛jn . 2 2 jxj2 and so we have equality. 104 . be a rational number > b. j j2 be valuations on K. so that log jyj2 D a log jyj1 . Two valuations are said to be equivalent if they satisfy the conditions of the proposition. there exists a y 2 K such that jyj > 1. and so jxj2 Ä jyjb : 2 A similar argument with rational numbers m n < b shows that jyjb . The following conditions are equivalent: (a) j j1 . clearly ˛ n ! 0 if and only if j˛j < 1: Therefore (a) implies that j˛j1 < 1 ” j˛j2 < 1: (b) ) (c): Because j j1 is nontrivial. j j2 deﬁne the same topology on KI (b) j˛j1 < 1 ) j˛j2 < 1I (c) j j2 D j ja for some a > 0: 1 P ROOF.
b/g and we checked (3.a/. x/ D d.b/. aj D jb x Cx aj D jx aj: bj < jx aj. For multiplicative valuations. n be integers > 1. observations about discrete valuations. b/ D ja bj. Let N D maxf1. b/.n/.a/ ¤ ord. Then we can write m D a0 C a1 n C C ar nr with the ai integers. P ROOF. For we are given that jx and this implies that jb 7. X X jmj Ä jai jjnji Ä jai jN r : We know r Ä log. By the triangle inequality. but important.9 For an additive valuation. This has the following consequences.Properties of discrete valuations Properties of discrete valuations We make some easy.m/= log. We write j j1 for the valuation on Q deﬁned by the usual absolute value on R.) that this implies that equality holds if ord. 105 . jnjg. 7.a.11 Suppose a1 C a2 C C an D 0: Then an argument as on p60 shows that the maximum value of the summands must be attained for at least two values of the subscript. Let m.a.a. Complete list of valuations for the rational numbers We now give a complete list of the valuations on Q (up to equivalence). 7.a C b/ minford. and we say that j j1 is normalized. ord. T HEOREM 7. then j j is equivalent to j j1 : (b) If j j is nonarchimedean. then it is equivalent to j jp for exactly one prime p. I claim that if x is closer to b than it is to a.10 Recall that we deﬁne a metric on K by setting d.12 (O STROWSKI ) Let j j be a nontrivial valuation on Q: (a) If j j is archimedean. nr Ä m. and a similar argument shows that equality holds if jaj ¤ jbj. we are given that ord.26 et seq. we are given that ja C bj Ä maxfjaj. jbjg. then d. 0 Ä ai < n.
let j jp be the corresponding normalized valuation on Q. we must have equality. and so there is an c > 1 such that c D jmj1= log m D jnj1= log n for all integers m. 5. Let A be the associated local ring and m its maximal ideal. and (*) implies jmj Ä 1 for all integers m. and so jmj Ä N log m log n : (*) C ASE (i): For all integers n > 1. In this case.13 (P RODUCT F ORMULA ) For p D 2. Hence m \ Z D . all integers n > 1. This implies that jmj D 1 if m is an integer not divisible by p. replace m with mt (t an integer). and rewrite this jnj D jnja . 7. N D 1. n > 1. all integers n > 1: Let a D log c. jnj Ä 1. From the deﬁnition of A.1=p/a . L OCAL F IELDS (log relative to some e > 1) and the triangle inequality shows that jai j Ä j1 C C 1j D ai j1j D ai Ä n: On putting these into the ﬁrst inequality. we ﬁnd that Â Ã log m log m r jmj Ä . Since both j j and j ja are homomorphisms 1 Q ! R>0 . Therefore the valuation is nonarchimedean. 1 where j j1 is the usual absolute value on Q.1 C r/nN Ä 1 C nN log n : log n In this inequality. In this case N D jnj. 3.p/ for some p. then jxj D jxjp for all x 2 Q: 2 T HEOREM 7.7. and it is nonzero for otherwise the valuation would be trivial. 1. Hence jnj D c log n D e log c log n D nlog c . If a is a such that jpj D . VALUATIONS . C ASE (ii): For some n > 1. the fact that they agree on a set of generators for the group Q (the primes and 1) implies that they agree on all of Q . Then m \ Z is a prime ideal in Z (because m is a prime ideal). we know that Z A. jnj > 1. The terms involving t tend to 1. and take tth roots: t log m jmj Ä 1 C log n Â Ã1 t nt N 1 log m log n : Now let t ! 1. :::. For any nonzero rational number a Y jajp D 1 (product over all p including 1/: 106 . and (*) yields: jmj1= log m Ä jnj1= log n : By symmetry. and so jnp r j D jpjr if n is a rational number whose numerator and denominator are not divisible by p.
df 107 . If it corresponds to a (real or nonreal) embedding of K. q a prime ¤ p. let K be the v completion of K with respect to the valuation v. because j 1j D 1 for all valuations j j. then we say that w divides v.a/ D jajv . Therefore j˛jv D 1 for all but ﬁnite many vs.The primes of a number ﬁeld P ROOF. it means that w corresponds to an embedding W L . that Pw divides pv OL .1=Np/ordp . If it corresponds to a prime ideal p of OK . Let ˛ D a=b. (b) for each real embedding. a . then we call it an inﬁnite (real or complex) prime.! R. jaj D j aj2 .p/ D 1 for each prime number p.Kv .a/ D . In fact. Then is a homomorphism Q ! R . 2 In each equivalence class of valuations of K we select a normalized valuation1 as follows: for a prime ideal p of OK . We write j jv for a valuation in the equivalence class. b 2 Z. If L K and w and v are primes of L and K such that j jw restricted to K is equivalent to j jv . jpj1 D p: 2 The product of these numbers is 1. C/. The ﬁrst is obvious. and so the product is really ﬁnite. the normalized valuation of a. this means Pw \ OK D pv or. Note that this last is not actually a valuation. 1 These are the most natural deﬁnitions for which the product formula hold. then we call it a ﬁnite prime.a// 1 . The primes of a number ﬁeld Let K be an algebraic number ﬁeld. and we write wjv. Alternatively.! C. jpjq D 1. for a real embedding W K . T HEOREM 7. or w lies over v. c. jajp D . There exists exactly one prime of K (a) for each prime ideal p.14 Let K be an algebraic number ﬁeld. Notations We generally write v for a prime. For a ﬁnite prime. and let be a Haar measure on . 1/ D 1 and .Op W .! C that extends the embedding corresponding to v (or its complex conjugate). and we write pv for the ideal. See Chapter 8.U / D . An equivalence class of valuations on K is called a prime or place of K.a/ for some constant c. (c) for each conjugate pair of complex embeddings. Q Let . There are various ways of getting around this problem the best of which is simply to ignore it. For an inﬁnite prime. For any nonzero a 2 Kv . Then j˛jp D 1 unless pja or pjb.a/ D jaj. and so a D c.Kv . For the second. jaj D j ajI for a nonreal complex embedding W K . note that jpjp D 1=p. equivalently. C/ — it is uniquely determined up to a nonzero constant. P ROOF.aU / is also a Haar measure on .a/. and so it sufﬁces to show that . because it doesn’t satisfy the triangle law. a.
This of course is equivalent to the statement X ordv .f / D m or m according as f has a zero or pole of order m at P .16 Let L be a ﬁnite extension of a number ﬁeld K: (a) Each prime on K extends to a ﬁnite number of primes of L: (b) For any prime v of K and ˛ 2 L . Q and deﬁne jajv D . both counted with multiplicities.f / D 0.17 The product formula is true in two other important situations. the valuations of K are all discrete.T / where k is an algebraically closed ﬁeld. The product formula for a general number ﬁeld follows from the product formula for Q and the next result. i.T / where k is a ﬁnite ﬁeld. and hence correspond to discrete valuations ordv W K Z. All such primes are nonarchimedean. and hence correspond to discrete valuation rings in K.. This formula also holds for compact subsets of manifolds. P 2 M: 108 . As in the number ﬁeld case. (a) Let K be a ﬁnite extension of k. The valuations ordP are precisely the valuations on K trivial on C K. Then jajv D 1 for all a 2 K . let j jv be the normalized valuation.a/ for every v.z/ dz D 2 i. we can normalize a valuation by setting jajv D .1=e/ordv .1=Nv/ordv . let X be a compact Riemann surface. and let K be the ﬁeld of meromorphic functions on X. then Z f 0 .16). VALUATIONS . According to (7. then we can take C D M . Y j˛jv D 1 (product over all primes of K/: P ROOF. (b) Let K be a ﬁnite extension of k.7. 2 R EMARK 7.z/ where Z is the number of zeros of f in C and P is the number of poles of f . Y j˛jw D j NmL=K ˛jv : wjv P ROOF. For each point P of X we have a discrete valuation. Then v jajv D 1: The proof of this is easy when K D k. and so the product formula for K is simply the statement that f has as many zeros as poles. deﬁned by ordP .3). L OCAL F IELDS T HEOREM 7.a/ D 0: For example. and so the formula becomes Z P D 0. and the general case is obtained by means of a result like (7.T /. The proof of this runs as follows: the Cauchy integral formula implies that if f is a nonconstant meromorphic function on an open set U in C. 2 L EMMA 7. and is the oriented boundary of a compact set C contained in U . In this case we look only at primes that are trivial when restricted to k. Fix an e > 1. which has no boundary.15 (P RODUCT F ORMULA ) For each prime v. For any nonzero ˛ 2 K. X ordP . If the manifold M is itself compact.e.Z P / f .a/ where Nv is the number of elements in the residue ﬁeld of the discrete valuation ring and Q ordv W K Z. See Chapter 8.
If jbjn > 1. j j2 . Because j j1 and j j2 are inequivalent. : : : n. j ¤ i . : : : . : : : . Choose bi .8). and consider ar D jar as r ! 1. C an bn 2 109 . may fail to satisfy the triangle rule). because 1Cb r converges to 0 or 1 according as jbj < 1 or jbj > 1. n.18 If j j1 . j jn be nontrivial inequivalent valuations of a ﬁeld K.20 Let j j1 . j j2 . For any " > 0. then there is an element a 2 K such that jaj1 > 1 jaji < 1. i ¤ 1: P ROOF. Choose a as in (7. in the archimedean case. n 1 r cb If jbjn Ä 1. i D 2. P ROOF. : : : . jbji < 1. in which case j j2 D j jr for some r 2 R>0 (see 7. jbj2 1 jcj1 1. We extend it to K by setting j0j D 0. jcj2 < 1: c Now a D b has the required properties.The weak approximation theorem The weak approximation theorem Recall that a valuation on a ﬁeld K is homomorphism a 7! jaj W K ! R>0 such that ja C bj Ä jaj C jbj for all a. Then 1 1 Ä r !0 rj j1 C a 1 jaj1 1 jajr jajr i i Ä !0 j1 C ajr 1 jajr i i 2 T HEOREM 7. jar ji D as r ! 0. First let n D 2. jcj1 < 1. Then a D a1 b1 C works. then ar D 1Cb r works r b for sufﬁciently large r. 1j1 D ar 1Car . j jn are nontrivial inequivalent valuations of K. and let a1 . There jbj1 > 1. We proceed by induction assuming that the lemma is true for n exist elements b. b 2 K .18). : : : . there are elements b and c such that jbj1 < 1. there is an element a 2 K such that ja ai ji < " for all i . i D 1. there exists an element of K that is close to 1 for j j1 and close to 0 for j ji . jcjn > 1 i D 2. an be elements of K. Two nontrivial valuations j j1 and j j2 are equivalent if jaj1 < 1 implies jaj2 < 1. 3. L EMMA 7. 2 L EMMA 7. close to 1 for j ji and close to 0 for j jj . P ROOF.19 In the situation of the last lemma. : : : . A valuation is trivial if jaj D 1 for all a ¤ 0. c such that 1 valuations. The 1 statements in this section continue to hold if we replace “valuation” with “positive power of a valuation” (which. then a D cb r works for sufﬁciently large r. For i 2.
any series of the form a np n C C a0 C a1 p C C am p m C . 469–492. Q Thus K (embedded diagonally) is dense in Ki . 34. j jn be nontrivial inequivalent valuations on a ﬁeld K.21 Let j j1 . There is a similar notion of Cauchy series. is a Cauchy series in Q for the padic topology. then ri D 0 for all i . If jajr1 jajrn D 1.an / of elements in K is called a Cauchy sequence if.) E XAMPLE 7. L OCAL F IELDS Let Ki be the completion of K for j ji . : : : : As jam an j5 D 5 n . AMS. For example. 3 3334 D 10002. there is an N such that jan am j < ".m > n/. j j2 . Completions Let K be a ﬁeld with a nontrivial valuation. all m. 1945. j ¤ i . Our account follows the original. 2 The reader should compare the Weak Approximation Theorem with what the Chinese Remainder Theorem gives (see Exercise 71). : : : . 0 Ä ai < p. N OTES The Weak Approximation Theorem ﬁrst occurs in Artin and Whaples 1945. Bull. A sequence . and so 3 an 3 34 D 102. Thus limn!1 an D 2=3 2 Q. n 1 for all a 2 K . 51. 3 334 D 1002. 334. are sufﬁciently small provides a contradiction. More precisely: C OROLLARY 7. The theorem shows that there can be no ﬁnite product formula. ri 2 R. P ROOF. 3334. 2 Axiomatic characterization of ﬁelds by the product formula for valuations. n > N: The ﬁeld K is said to be complete if every Cauchy sequence has a limit in K. pp. for every " > 0.2 See also Artin 1959. Note that 3 4 D 12. 110 . (The limit is necessarily unique. If any ri ¤ 0. The statement of the theorem also holds with 0 0 ai in Ki (rather than K)—choose ai 2 K very close to ai and a 2 K very close to each ai .7. an a for which jaji is sufﬁciently large and the jajj . : : : 2 ! 0 as n ! 1. VALUATIONS . this is a Cauchy sequence for the 5adic topology on Q.22 Consider the sequence in Z 4.
For example. j j/ and a homomorphism K ! K preserving the valuation that is universal in the following sense: any homomorphism K ! L from K into a complete valued ﬁeld . Let ordW K Z be a normalized discrete additive valuation corresponding to j j. : : :. j j/ O preserving the valuation. j j/ is uniquely determined up to a unique isomorphism by the universal property (cf. Completions in the nonarchimedean case Let j j be a discrete nonarchimedean valuation on K. Deﬁne addition and multiplication of Cauchy sequences in the obvious way.K ! K. Such a is called a local uniformizing parameter. c D j j: O Let a 2 K . jan j D jaj for all n large enough.K ! K. and verify O O that K is a ﬁeld. a. We write Zp (not Zp ) for the ring of integers in Qp (the ring of padic integers). We can extend a O by mapping the limit homomorphism from K into a second complete valued ﬁeld L to K O of a Cauchy sequence in K to its limit in L: 2 O R EMARK 7. and (because jK j is discrete). then ord O extends to a normalized discrete valuation on K: Note that if an ! a ¤ 0. The set of values is jKj D fc m j m 2 Zg [ f0g. and let be an element of K with largest value < 1 (therefore generates the maximal ideal m in the valuation ring A). which we use to identify K with a subﬁeld of K. But jK j is closed (being O O discrete). There is a canonical map K ! K sending a to the constant Cauchy O sequence a. a. When O v corresponds to a prime ideal p.K ! K. For a prime v of K. the pair .23 Let K be a ﬁeld with a valuation j j. O N O (b) The image of K in K is dense because the closure K of K in K is complete. extends uniquely to a homomorphism K ! L. O The ring associated with j j in K is O O A D fa 2 K j jaj Ä 1g: 111 . O P ROOF (S KETCH ) Every point of K will be the limit of a sequence of points in K. then jan j ! jaj ¤ 0. j j/. and so j j is a discrete valuation on K also. GT 2. and the O sequence will be Cauchy. and N j j/ has the same universal property as . we write Kv for the completion of K with respect to v. Then there exists a complete valued O O ﬁeld . and so jaj 2 jK j. and so jaj is a limit point for the set jK j.4).24 (a) As usual. and let an be a sequence in K converging to a. Qp is the completion of Q with respect to the padic valuation O j jp .Completions in the nonarchimedean case T HEOREM 7. O .K. Then jan j ! jaj (because j j is a continuous map).L. and Op for the ring of integers in Kp . we write Kp for the completion. Two Cauchy sequences will converge to the same point in K if and only if they are equivalent in the sense that n!1 lim jan bn j D 0: O This suggests deﬁning K to be the set of equivalence classes of Cauchy sequences in K. Thus jKj D jKj.
and so it is the closure of m: Similarly. O mn is the closure of mn . every equivalence class of Cauchy sequences in Q for j jp has a unique representative of the form a np n ij . if M < N. In the limit. ai 2 S is a Cauchy series. Thus O each element of K has a unique representative of this form. the map is injective. for example. 2 j P ai Thus. / D 1. ˛D n ˛0 : C C a0 C a1 p C a2 p 2 C . and hence the ﬁrst to be ignored. Now there exists an a2 such that ˛0 a02 a1 a2 2 m. It is as easy to work with such series as with decimal expansions of real numbers — just remember high powers of p are small. Because it is closed. and let generate m. we can n ˛ with ˛ a unit in A.26 Choose a set S of representatives for A=m. VALUATIONS . and it is therefore the closure of A O The maximal ideal in A is O in K: O O m D fa 2 K j jaj < 1g: Again it is the set of limits of Cauchy sequences in m. ˛0 D a0 C a1 C Note that D j mj P if am is the ﬁrst nonzero coefﬁcient. we see that there exists an O write ˛ D 0 0 O O a0 2 S such that ˛0 a0 2 m. P ROOF. and so there exists an a1 2 S such that ˛0 a0 O O a1 2 m. then generates m in A O O and m in A: O O L EMMA 7. From the deﬁnition of S . Note that mn D fa 2 A j jaj Ä j jn g D fa 2 A j jaj < j jn 1 g O is both open and closed in A. 112 . the map A=mn ! A=mn is an isomorphism. Let ˛ 2 K. etc.25 For any n. Let be an element with ord. jsM O O which shows that the sequence sM is Cauchy. This proves the uniqueness. P ROOF. 0 Ä ai < p: Note that the partial sums of such a series are rational numbers.7. Therefore ai i D 0 (if and) only if ai D 0 for all i . 2 P ROPOSITION 7. Now ˛0 a0 2 A. and every Cauchy series is equivalent to exactly one of this form. L OCAL F IELDS O Clearly A is the set of limits of Cauchy sequences in A. the map is surjective. Let sM D PM i D n ai i. The series a n n C C a0 C a1 C C am m C . because mn is open. Then sN j Ä j jM C1 . Because jKj D jKj.
Completions in the nonarchimedean case We explain this in more detail. The maps Z=.p n / ! Z.p/ =.p n / ! Zp =.p n / are both bijective (see 3.10 for the ﬁrst map). Let ˛ 2 Zp . Because the map is bijective, for all n, there is an an 2 Z such that ˛ Á an mod p n : Note that, if n < m, an Á am mod p n , which implies that .an / is a Cauchy sequence. Let an Á c0 C c1 p C then ˛D Conversely, if ˛ D ci 0 Ä ci Ä p 1, such that P pi , 0 Ä c
i
C cn
1p
n 1
mod p n ;
0 Ä ci Ä p
1I
X
i 0
ci p i :
Ä p 1, then c0 ; c1 ; : : : is the unique sequence of integers, ˛Á
n 1 X i D0
ci p i
mod p n :
If ˛ 2 Qp but not Zp , then 2 Zp for a sufﬁciently large m, and the above arguments can be applied to it. The following examples illustrate how to work with padic numbers. E XAMPLE 7.27 In Q2 ; 1C2C C 2n C
pm˛
converges to 1, because the sum of the ﬁrst n terms is 2n 1 D 2n 2 1 which converges to 1. E XAMPLE 7.28 I claim that 1 is a square in Q5 . We have to ﬁnd a series a0 C a1 5 C a2 52 C such that .a0 C a1 5 C a2 52 C :::/2 C 1 D 0: We ﬁrst need that
2 a0 C 1 Á 0 mod 5.
1
;
ai D 0; 1; 2; 3, or 4
Thus we must take a0 D 2 or 3; we choose 2 (choosing 3 would lead to the other root). Next we need .2 C a1 5/2 C 1 Á 0 mod 52 ; and so we want 5 C 20a1 Á 0 (mod 52 /: We must take a1 D 1. Suppose we have found cn D a0 C a1 5 C a2 52 C C an 5n 113
7. VALUATIONS ; L OCAL F IELDS such that
2 cn C 1 Á 0 (mod 5nC1 /;
and consider cn C anC1 5nC1 . We want .cn C anC1 5nC1 /2 C 1 Á 0 (mod 5nC2 /, for which we need that
2 cn C 1 C 2cn anC1 5nC1 Á 0 (mod 5nC2 /;
or that 2cn anC1 5nC1 Á . 1 or that 2cn anC1 Á . 1 or that 4anC1 D . 1
2 cn /=5nC1 (mod 5). 2 cn /=5nC1 (mod 5); 2 cn / (mod 5nC2 /;
Since 4 is invertible modulo 5, we can always achieve this. Hence we obtain a series converging to 1. In fact, ! 1 p 1p 1 X1 n 2 . 1/ 5n : 1D 1 5D nD0 2 2 n E XAMPLE 7.29 We study the convergence of the power series exp.x/ D 1 C x C in Qp . Write n D a0 C a1 p C Then Ä n n ordp .nŠ/ D C 2 C p p Ä Ä C n ; pr x2 C 2Š C xn C nŠ 1:
C ar p r ;
0 Ä ai Ä p
where here Œa denotes the ﬂoor of a (largest integer less than a), and Ä n D a1 C a2 p C a3 p 2 C C ar p r 1 p Ä n D a2 C a3 p C C ar p r 2 p2 Ä n pr D ar
On summing these equalities, we ﬁnd that ordp .nŠ/ D a0 p0 1 p1 1 p2 1 C a1 C a2 C p 1 p 1 p 1 P n ai D . p 1 C ar pr 1 p 1
114
Newton’s lemma Therefore ordp As
P ai p 1
Â
log.n/ , log.p/
xn nŠ
Ã D n ordp .x/
1 p 1
Á
i C p a1 :
P
Ä
we see that
xn nŠ
! 0 if and only if ord.x/ >
p 1. 1
1 p 1.
Therefore (see Exercise
72), the series exp.x/ converges for ord.x/ >
There is a leisurely, and very detailed, discussion of Qp in the ﬁrst chapter of Koblitz 19773 .
A SIDE 7.30 Those who have taken a course in commutative algebra will know another method of completing a local ring R, namely R0 D lim R=mn D f.an / j an 2 R=mn ; anC1 Á an mod mn g:
In the case that R is a discrete valuation ring, this deﬁnition agrees with the above. There is an injective homomorphism R ! R0 ; a 7! .an /; an D a mod
n
:
0 O We can deﬁne a homomorphism R0 ! R as follows: let .an / 2 R0 , and choose a representative an 0 for an in R; then .an / is an Cauchy sequence whose equivalence class is independent of the choices 0 0 O of the an , and we can map .an / to .an /. It is easy to see that the map R0 ! R is surjective, and it follows that it is an isomorphism.
Newton’s lemma
The argument in the above example works much more generally. Let f .X / D X 2 C1. Then all we in fact used was that f .X / has a simple root modulo 5. In the rest of this subsection, A is a complete discrete valuation ring and generates its maximal ideal (unless we say otherwise). P ROPOSITION 7.31 Let f .X / 2 AŒX , and let a0 be a simple root of f .X / mod . Then there is a unique root a of f .X / with a Á a0 mod . P ROOF. Suppose we have found an Á a0 mod f .an / Á 0 mod Let anC1 D an C h
nC1 ,
such that
nC1
:
h 2 A. We want f .an C h
nC1
/ Á 0 mod
nC2
:
Recall (trivial Taylor’s expansion) that, for any polynomial f; f .c C t / D f .c/ C t f 0 .c/ C where f 0 .X / is the formal derivative of f .X /. Then f .an C h
3 Koblitz,
nC1
/ D f .an / C h
nC1
f 0 .an / C
;
Neal. padic numbers, padic analysis, and zetafunctions. Graduate Texts in Mathematics, Vol. 58. SpringerVerlag, New YorkHeidelberg, 1977.
115
a / n and f 0 .X /.an / and prove that it is a Cauchy sequence converging to a root of f . 2 There is a stronger form of the proposition.an / 1 mod : nC1 jf .a0 /j2 : Then there is a unique root a of f .X / such that ˇ ˇ ˇ f .X / 2 AŒX . We ﬁrst prove that . 2. a1 .g. Deﬁne a sequence a0 .. See. 2.g.x/. for f .an / nC1 hD This is possible because f 0 . : : : by setting anC1 D an f . Newton found his interpolation formula in 1670.33 (H ENSEL’ S LEMMA ) Let k be the residue ﬁeld of A.32 (N EWTON ’ S LEMMA ) Let f . 152 (2004).7. mod .an / f 0 . h/ D AŒX . a2 . JiHuan. Moreover.a0 / mod . 2 Proposition 7. and .an /=f 0 .X / for the image of f in kŒX .X /. relatively prime). N g and h are uniquely determined. 367–371.a0 /2 ˇ P ROOF. In the above proof. deﬁne a sequence a1 .a0 / is small. this is what we did. He. If fN. Hence we must take h so that f . for example.x/ D 0. h/ D AŒX (such a pair is said to be strictly coprime.an / Á f 0 .X/ factors as fN D g0 h0 with g0 and h0 monic and relatively prime (in kŒX ). Comput. Math. where f is a function of a real variable. Consider a monic polynomial f .12. write fN. but the same argument can be made to work more generally. in kŒX strictly coprime just means coprime. This generalizes. which is nonzero.X / mod of f . lifts to a factor T HEOREM 7. 4 When 116 . VALUATIONS . Starting from an a0 such that f .31 shows that a simple factor of degree 1 of f . Milne 2006. Let a0 2 A satisfy jf .X / 2 AŒX . Appl. T HEOREM 7.a0 /j < jf 0 . ::: by putting anC1 D an f .an /: Often an converges to a root of f . L OCAL F IELDS which we want Á 0 mod nC2 .e. Recall Newton’s approximation4 method for ﬁnding a solution to f . no.X / 2 AŒX . i. and hence invertible.a0 / ˇ ˇ ˇ: ja a0 j Ä ˇ 0 f . ancient Chinese mathematicians had been using the formula in more sophisticated forms for more than one millennium. then f N itself factors as f D gh with g and h monic and such that g D g0 and h D h0 .
then .f gn hn / nC1 .Newton’s lemma L EMMA 7. Lemma 7.34 shows that such polynomials exist.fN. 2 2 Finally. v 2 AŒX such that (18) holds. From the preceding lemma we know that . L EMMA 7. h. g/ C mAŒX D AŒX and so mM D M . h0 / D AŒX . such that . h D h0 with g and h relatively prime. g/ D kŒX . As f is monic. this is a ﬁnitely generated Amodule. Let M D AŒX =.uhn C gn v/ Á 0 mod nC2 AŒX : Thus we are looking for polynomials u.f. hn Á h0 mod AŒX : We want to ﬁnd u.f.e. Suppose f D gh D g 0 h0 with N N g.f. . Then g D g 0 and N N N N 0: hDh P ROOF. h0 all monic.35 Let A be a local ring with residue ﬁeld k. v 2 AŒX with deg u < deg g0 and deg v < deg h0 such that f i.gn C nC1 u/. and u C qg automatically has degree < deg g. Then ..f gn hn /= nC1 mod AŒX : Because g0 and h0 are monic and relatively prime. As both are monic and have the same degree. v in AŒX with deg u < deg g0 and deg v < deg h0 such that uhn C gn v Á . We next prove uniqueness of g and h. g/.u C qg/f C rg D 1. and so there exist r. there exist N u.34 Let A be a local ring with residue ﬁeld k.9) implies that M D 0: This shows that there exist u. More precisely. and so g divides g 0 . Now Nakayama’s N Lemma (1. and g D g 0 . hn such that f gn hn Á 0 mod nC1 AŒX and gn Á g0 . If deg v deg f . If f. g 2 AŒX are such that fN and g are relatively prime and f is monic. h0 2 AŒX such that f g0 h0 2 AŒX : Suppose we have constructed monic polynomials gn . we prove the existence of g and h. 117 . write v D f q C r with deg r < deg f . we have that . We are given that there exist monic polynomials g0 . they must be equal.hn C nC1 v/ Á 0 mod nC2 AŒX . g 0 . v 2 AŒX with deg u < deg g and deg v < deg f such that uf C vg D 1: (18) P ROOF. s 2 AŒX such that gr C h0 s D 1. Now g 0 D g 0 gr C g 0 h0 s D g 0 gr C ghs. As .g. g/ D AŒX .
32.X / D an X n C an 1X n 1 C C a0 2 AŒX have jan j D 1 (i. For a polynomial h D ci X i . Then f . The proof follows the same general lines as the above proofs. and suppose that kf . p107.X /k < j Res. and so it also splits in Zp ŒX .. X p X splits into p distinct factors.) Note that.33 are both P stronger versions of 7.X /. deﬁne khk D max jci j: Let f .X / factors in AŒX as the product of a polynomial of degree r and a polynomial of degree s. compute disc. Otherwise ord. in Fp ŒX .disc. see Cassels 1986.X /k < jdisc. If this is zero. More generally.32 and 7.) Extensions of nonarchimedean valuations We explain how to extend a valuation to a larger ﬁeld.7. if K has a residue ﬁeld k with q elements.f /j: (For this.e. and it is enough to consider factorizations of f into polynomials with coefﬁcients in the ﬁnite ring Z=p m Z. Hence Zp contains the .37 Theorems 7. Let g0 . There is in fact a stronger version of 7. h0 .X / g0 . L OCAL F IELDS R EMARK 7. then K contains q roots of the polynomial X q X. Let S be the set of these roots. an is a unit).X / g0 . of course. which we can ﬁnd by the Euclidean algorithm.31.X / and h0 . Given f . the hypothesis can be replaced by kf . jˇjL D j NmL=K ˇjK : 118 1=n .36 An induction argument extends the theorem to show that a factorization of f into a product of relatively prime polynomials in kŒX lifts to a factorization in AŒX . For example. ¨ R EMARK 7. VALUATIONS .X / be polynomials in AŒX with degrees r and s respectively. this gives an algorithm for factoring polynomials in Qp ŒX (for example). and L is complete for the extended valuation. and let L be a ﬁnite separable extension of K of degree n. (But Exercise 76 shows that there exist irreducible polynomials in ZŒX of arbitrarily large degree that factor in all the rings Zp ŒX into polynomials of low degree.X /h0 . addition) – the elements of S are called the Teichmuller representatives for the elements of the residue ﬁeld.f // D m for some m.X /h0 .f /. T HEOREM 7.g0 . Then a 7! aW S ! k. In fact. Apparently the fastest algorithms for factoring polynomials in ZŒX begin by factoring in Zp ŒX for an appropriate prime p — computers seem to have no problem handling polynomials of degree 200.38 Let K be complete with respect to a discrete valuation j jK . Then j j extends uniquely to a discrete valuation j jL on L. For all ˇ 2 L.X /.p 1/st roots of 1. then f and f 0 have a common factor.X //j2 where Res denotes the resultant. N is a bijection preserving multiplication (but not.
) 119 . The isomorphism is as far from being canonical as it is possible to get — its construction requires the axiom of choice.39 It is obvious from the criterion (7.! C. and Exercise 77 shows that Qp is not complete. For each i . Hence j jp extends uniquely to a valuation j j on L: Clearly. and so the uniqueness implies that jˇj D j ˇj. and they both have a transcendence basis with cardinality equal to that of R.fN. Write ˛. choose ˇ 2 B such that ˇ 2 P1 . Let e1 . The formula jˇjL D j NmL=K ˇjK shows that j jL is discrete if and only if j jK is discrete.40 Let K be as in the theorem. and let . which contradicts the fact that AŒˇ has two prime ideals containing p. and let ˝ be a (possibly inﬁnite) separable algebraic extension of K.f . k D A=p) must be a power of an irreducible polynomial.m/e1 C C an . ˇ … P2 . Hensel’s lemma shows that fN.m/en . then ˛ D a1 e1 C C an en is the limit of the sequence ˛. and the valuations of L extending j jp correspond to the ideals of B lying over p. Let A be the discrete valuation ring in K. al For example as we noted in (7. and hence it extends uniquely to ˝: 2 R EMARK 7. with ai . the extended valuation is still nonarchimedean.38) without assuming that the valuation j j on K is discrete or even nonarchimedean. Finally. : : : . and if ai denotes its df limit.m// be a Cauchy sequence in L.X / (image of f . and so I 1=n should have included it. but it need not be discrete. Let f . For each 2 Gal.m/ 2 K. and ˝ need not be complete. We know from (3.X / in kŒX . the valuation on the algebraic closure Qp of Qp is not al al discrete.L=K/. Because f .41 In the last corollary.29) that B is a Dedekind domain. en be a basis for B as an Amodule.m/ D a1 . (In fact Cp C as abstract ﬁelds because they are both algebraically closed.6). Then AŒˇ=pAŒˇ kŒX =. but the proof is then completely different.m/ is a Cauchy sequence. for example. However. and let B be its integral closure in L.X / is irreducible in AŒX and A is complete. ai . j jp also extends uniquely to the Galois closure L0 of L.m/: 2 R EMARK 7. so that AŒˇ ' AŒX =. Let p be the maximal ideal of A. Suppose that there are distinct prime ideals P1 and P2 in B dividing p.X // is a local ring. ˇ 7! j ˇj. and much longer — we shall in fact need this in the Chapter 8.Extensions of nonarchimedean valuations P ROOF. The completion of Qp is often denoted Cp because it plays the same role for the padic valuation on Q that C plays for the real valuation.X / be the minimum polynomial of ˇ over K. Then j j extends in a unique way to a valuation j j on ˝: P ROOF. Now Y j Nm.X //. It is possible to prove (7.ˇ/j D j ˇj D jˇjn which implies the formula. This is again a valuation of L. C OROLLARY 7. we have to show that L is complete. There will be a ˇ 2 B such that P1 \ AŒˇ ¤ P2 \ AŒˇ. consider the map L . The theorem shows that j j extends in a unique way to any ﬁnite subextension of ˝.˛.2) that a nonarchimedean valuation can only extend to a nonarchimedean valuation. the completion of ˝ is again algebraically closed.
We know from (3. Repeat the process rotating about Pi1 . In this case. The normalized valuations ordK and ordL on K and L are characterized by equations: ordK .L / D e This characterizes the ramiﬁcation index. there is only one prime dividing p and so the formula becomes n D ef: 2 When e D n. but allows you to deﬁne the Newton polygon of a power series.i. when f D n. then n D ef where n D ŒL W K. rotate the negative yaxis counterclockwise about P0 D . Then pB D Pe where e is the ramiﬁcation index. Let P and p be the maximal ideals in the rings of integers A and B of K and L. we say that L is unramiﬁed over K: Note that the valuation ring B of L is the integral closure of the valuation ring A of K: Many of the results proved above for complete discrete valuation rings hold also for Henselian local rings (see 4 of my notes Lectures on Etale Cohomology). 0/ until it hits a Pi — the ﬁrst segment of the Newton polygon is the line P0 Pi1 where Pi1 is the point furthest from P0 on the rotated yaxis.ai //. The resulting polygon starts at P0 and ends at Pn . etc. ordL . and extend ord to a valuation ord W K al ! Q. people write the polynomial a0 C a1 X C C X n when they deﬁne Newton polygons.. 1 Z: Newton’s polygon Let K be complete with respect to a discrete valuation. 5 Most def 120 . then ord. Let ord be the corresponding additive valuation ordW K Z. L OCAL F IELDS C OROLLARY 7.X / D X n C a1 X n 1 C C an . and let L be a ﬁnite extension of K. R EMARK 7.˘ / D 1: Note that D ˘e unit.7. ai 2 K. each Pi either lies on the polygon or is above it. we say that L is totally ramiﬁed over K. deﬁne the Newton polygon5 of f . so that pB D Pn . This is slightly less convenient than the way I do it. / D 1.34) that n D ei fi . For a polynomial f . each of its segments begins and ends at a Pi . e is the ramiﬁcation index. ord. and f is the degree of the residue ﬁeld extension. VALUATIONS . and so ordK D e 1 ordL : If we denote the extension of ordK to L by ord.43 Let K be complete with respect to a discrete valuation. any line joining two points of the polygon has no point that is below the polygon (this is what we mean by the Newton polygon being lower convex). i D 0.0. P P ROOF.42 Let K and L be as in the theorem.X / to be the lower convex hull of the set of points Pi D . n: In more detail. :::. Let and ˘ be generators of p and P.
X / is a product of polynomials with coefﬁcients in K.X / D def Q ord.˛/. and let m˛ .X /.˛/ D 0. and the rest of the polygon is as before.˛ 0 / D ord. and the remark just made implies that in fact m˛ . ˙4.45 Consider the polynomial6 f .X / has exactly ni roots ˛ (in K al / with ord. 1. each with xlength 1. for all roots of m˛ . In proving the ﬁrst part. the polynomial fi . ord. This is what the proposition predicts. so you don’t lose anything but you do gain simplicity of appearance: having all signs past the leading term equal makes it easier to remember what the polynomial is! Perhaps Dedekind himself even used the choice with all negative coefﬁcients. Therefore f splits in Q2 ŒX .fi =m˛ /. Let ˛ be a root of f . Thus it sufﬁces to prove the following statement: let Q f .X ˛j /.X /jfi . ˙2.˛/ D s1 . but I did check in Hensel’s 1894 Crelle paper on extraordinary prime factors of the discriminant that he wrote the polynomial as X 3 X 2 2X 8.X ˛i / has coefﬁcients in K: P ROOF.b/. Then f .X/ D . Conrad suggests changing the polynomial to X 3 X 2 2X 8. The Newton polygon of f relative to ord2 has slopes 0.a C b/ minford.. Recall ord. 6 Keith 121 .X /j.X / D .X / 2 KŒX has segments of xlength ni and slope si .X /.X / D X nC1 C b1 X n C b2 X n 1 C C bnC1 : Note that bi D ai ˛ai 1 : C ASE (i).X / where si D ord. then it is obvious. one ﬁnds that the Newton polygon of g is obtained from that of f by adding a segment of slope ord.X / be the minimum polynomial of ˛. Continuing in this way. ord. ord.˛//. and moving the Newton polygon of f to start at .1.X / D X 3 C X 2 C 2X def 8: By testing ˙1. If n D 1. i. 2. I haven’t looked up his paper to be sure.X/=m˛ .Newton’s polygon P ROPOSITION 7. ord.f /. If ˇ is a root of fi . with equality if ord. m˛ . The remaining cases are similar. In this case. then the Newton polygon of f .X /. we ﬁnd that fi . ˛2 . We prove this by induction on n D deg. ˙8 (actually.X ˛/f . We now prove the second statement.a/ ¤ ord.˛/ for all conjugates ˛ 0 of ˛. Using this.X / has coefﬁcients in K — any ﬁnite extension of K will do. then a similar argument shows that mˇ . ˛3 with ords 0.b/g.˛i /Dsi .e.44 Suppose that the Newton polygon of f . ord. 2 E XAMPLE 7.˛/ D si : Moreover. Assume it for n.38). if exactly ni of the ˛j ’s have ord.˛/ and xlength 1. As he writes: The roots of this are the negatives of the roots of X 3 C X 2 C 2X 8.˛/ < s1 .si /. C ASE (ii). 2. Because f .a/. and put g. the initial segment of slope s1 is lengthened by 1. we don’t have to assume that f .X /jf .X /. This is what the proposition predicts. As we saw in the proof of (7. 1. and it has roots ˛1 . by asking PARI) one sees that this polynomial is irreducible over Q.X/ has a segment of slope si and xlength ni .
P ROOF. there is a ﬁnite covering of X by open balls of radius r). so that now jx zj jxj for all z in C. Hence jx zj D jxj and so (taking x z in place of x) jx 2zj D jxj. completeness implies local compactness. and the valuation is equivalent to the usual absolute value (also a theorem of Ostrowski). L OCAL F IELDS Locally compact ﬁelds We now look at the compactness properties of our ﬁelds. Replace x with x c. Then A is compact if and only if A=m is ﬁnite. and the restriction of j j to Q is the usual absolute value. (b) A nonarchimedean local ﬁeld K of characteristic zero is isomorphic to a ﬁnite extension of Qp . we may assume K C. P ROPOSITION 7. where is a primitive nth root of 1: On choosing jzj < 1 and letting n ! 1. contradicting the archimedean property. Let x 2 K C.49 It is possible to give a complete classiﬁcation of local ﬁelds. s 2 S . 2 of such an element. and let c be the closest element of C to x. VALUATIONS . and after adjoining a square root of 1 (if necessary).46 Let K be complete with respect to a nonarchimedean discrete valuation. and thus (repeating the argument) jx nzj D jxj. 1 C pn . Then pn . R EMARK 7. The ﬁeld K contains Q. We have to show that A is compact if and only if S is ﬁnite. si 2 S.7 Thus for archimedean valuations. S must be ﬁnite if A is compact. ): Clearly m D fx 2 K j jxj < 1g is open in K. si 2 S: For a ﬁxed n. we ﬁnd that jxj jx zj. then K is isomorphic to R or C. As A is the disjoint union of the open sets s C m. 7 Here is a sketch of the proof. (a) Let K be a ﬁeld that is complete with respect to an archimedean valuation j j.7. (: Recall that a metric space X is compact if and only if it is complete and totally bounded (this means that for any r > 0. P ROOF. 122 . there are only ﬁnitely many sums s0 C s1 C s2 and every element of A is within j nC1 j 2 C C sn n . and A are all compact. and the valuation is equivalent to the (unique) extension of the padic valuation. It follows that jx n z n j D jx zjjx zjjx 2 zj jx zjjxjn 1 . Let S be a set of representatives for A=m.47 Assume that the residue ﬁeld is ﬁnite. C OROLLARY 7. They are all closed subsets of A: 2 D EFINITION 7. But every element of A can be written s0 C s1 C s2 2 C C sn n C . Therefore K contains R.48 A local ﬁeld is a ﬁeld K with a nontrivial valuation j j (as deﬁned at the start of this section) such that K is locally compact (and hence complete). Let A be the ring of integers in K and let m be the maximal ideal in A.
Let A be the discrete valuation ring in K corresponding to j j: If L is an algebraic (possibly inﬁnite) extension of K. The ﬁeld k.T / for the valuation deﬁned by the ideal .˛/ D 0 and ˛ Á a mod p.T // over a ﬁnite ﬁeld k. The closure of Q in K is therefore Qp .Unramiﬁed extensions of a local ﬁeld (To prove this. These conditions imply that L=K is separable. then K 0 is Galois over K if and only if k 0 is Galois over k. we can still deﬁne B D f˛ 2 L j j˛j Ä 1g p D f˛ 2 B j j˛j < 1g and call B=p the residue ﬁeld of L.X / be the minimum polynomial of a over k. ﬁnite over kg: 123 . because otherwise A wouldn’t be compact.k 0 =k/: P ROOF.K 0 =K/ ! Gal. (7. K contains Q. P ROPOSITION 7..X / to AŒX . it consists of ﬁnitetailed formal power series: 1 X ai T i : i n Unramiﬁed extensions of a local ﬁeld Again K is a ﬁeld complete with respect to a discrete valuation j j. ﬁnite and unramiﬁed over Kg $ fk 0 l. and (b) the residue ﬁeld extension is separable. The map K 0 7! k 0 sending an unramiﬁed extension K 0 of K contained in L to its residue ﬁeld k 0 is a onetoone correspondence between the sets fK 0 Moreover: (a) if K 0 $ k 0 and K 00 $ k 00 . note that. As a is a simple root of f0 . it will not be locally compact. Let f0 . Thus K 0 7! k 0 is surjective. Suppose that K 0 and K 00 are unramiﬁed extensions of K in L with the same k is not perfect. We can write it k 0 D kŒa. Let k 0 be a ﬁnite extension of k.50 Let L be an algebraic extension of K.T // is the completion of k. With this deﬁnition.X / be any lifting of f0 .. The restriction of j j to Q can’t be the trivial valuation. in which case there is a canonical isomorphism Gal. Newton’s lemma (7. If K has inﬁnite degree over Qp . by assumption.12) j j induces a valuation on Q equivalent to the padic valuation for some prime number p. Now K 0 D KŒ˛ has residue ﬁeld k 0 .50) continues to hold without K and k being assumed to be perfect 8 When L. To avoid problems with separability. then K 0 K 00 ” k 0 k 00 I (b) if K 0 $ k 0 . K has characteristic zero and k is ﬁnite. and let f . and let l be the residue ﬁeld of L. Therefore (see 7. we should deﬁne L=K to be unramiﬁed if (a) the ramiﬁcation index is 1.X /.T / kŒT .) (c) A nonarchimedean local ﬁeld K of characteristic p ¤ 0 is isomorphic to the ﬁeld of formal Laurent series k.31) shows that there is a (unique) ˛ 2 L such def that f . we assume that K and the residue ﬁeld k are both perfect8 — of course in the case we are particularly interested in.
ﬁnite over K. there is a subﬁeld K un of K al such that a subﬁeld L of K al . Assume K 0 is Galois over K.) P ROOF. and let ˛1 . Hence k 0 is algebraic over k. and n that kn is unique up to kisomorphism.7. we can be a little more precise: there is an equivalence between the category of ﬁnite unramiﬁed extensions of K and the category of ﬁnite (separable) extensions of k: E XAMPLE 7.53 For those familiar with the language of category theory. : : : . from which it follows that if a prime does not divide the discriminant of K 0 or of K 00 . and every polynomial in kŒX splits in k 0 . :::. VALUATIONS .X / is separable.X /. Hence ŒK 0 K 00 W K D Œk 0 W k D ŒK 0 W K. and so it must be the algebraic closure of k. ˛f be the roots of g. and hence is an isomorphism. g. and let f .5 and 6. having as canonical generator the Frobenius element x 7! x q : results (6.k 0 =k/.k 0 =k/ has order f .X /. and ˛ 2 A0 lift a. and so we get a map Gal.X / be any lift of f0 . Let splits in A N f D Œk 0 W k D ŒK 0 W K. 2 R EMARK 7. and so the residue ﬁeld k 0 of K al contains all the roots of f0 .X / splits in k 0 ŒX . Then K al contains all the roots of f .19) that. then it doesn’t divide the discriminant of their composite. The Galois group Gal.X / to AŒX .X /. it is the splitting ﬁeld of X q X.K 0 =K/ preserves A0 (the valuation ring in K 0 / and its maximal ideal.K 0 =K/ ! Gal.6b) with residue ﬁeld k 0 . It follows from Hensel’s lemma that A0 contains the conjugates of ˛.6b) express the discriminant of the composite of K 0 and K 00 in terms of the discriminants of K 0 and K 00 . 2 C OROLLARY 7.52 The residue ﬁeld of K al is k al . and let g. is unramiﬁed if and only if L K un . the ˛i are distinct modulo p. L OCAL F IELDS residue ﬁeld k 0 . and so k 0 is Galois over k. Then K 0 K 00 is an unramiﬁed extension9 of K (see 6. and this implies that g. (Recall that we are assuming k and K to be perfect. there is an extension kn of k of degree n. Let N ˛ 2 A0 be the unique root of g. ˛f g D f ˛ j 2 Gal. Because K 0 is Galois over K. and this shows that the image of N the map Gal.K 0 =K/ ! Aut. it is obtained from K by adjoining all roots of 1 of order prime to the characteristic of k. and let q be the order of the residue ﬁeld k of K: Recall from (FT 4. and so K 00 D K 0 .X / such that ˛ D a.51 There is a ﬁeld K0 L containing all unramiﬁed extensions of K in L (called the largest unramiﬁed extension of K in L/: In fact.L=K/g: Because g.kn =k/ is a cyclic group of order n. for each n.X / 2 AŒX be such that g. Then f˛1 .5) and (6. 2 C OROLLARY 7.54 Let K be a local ﬁeld of characteristic zero (hence a ﬁnite extension of Qp for some p).X / be any polynomial in kŒX . Conversely. Write k 0 D kŒa. Statement (a) is obvious. Again write k 0 D kŒa. P ROOF.X / N 0 ŒX . 9 The 124 .X / 2 kŒX is the minimum polynomial of a. then Gal. and hence that K 0 is Galois over K. This is an obvious consequence of the theorem. Let f0 . suppose k 0 =k is Galois.
ord. :::. thus ord. which has slope n .X / has only 1 one segment. we see that the minimum ord of a summand must be attained for two terms.L /.e. ord.) Totally ramiﬁed extensions of K Let K be a complete discretelyvalued nonarchimedean ﬁeld. This implies that the ramiﬁcation index of L=K is n. ˛ n 1 represent different cosets of ord. n D deg f .˛/ D 1=n if ord extends the normalized discrete valuation on K. (Here B is the discrete valuation ring in Kn . Let ˛ be a generator of the maximal ideal in the ring of integers in L. (: Suppose L D KŒ˛ with ˛ a root of an Eisenstein polynomial f . Equivalently. with ja0 j D 1. P ROOF. and let be a local uniformizing parameter for K. ˛n (because of 7. i. Then L=K is totally ramiﬁed if and only if L D KŒ˛ with ˛ a root of an Eisenstein polynomial. the Galois group it is unique up to Kisomorphism. Hence L D KŒ˛.2. jai j < 1. If ord is the extension of the normalized discrete (additive) valuation on K to L.X / 2 KŒX is said to be Eisenstein if it is Eisenstein for the maximal ideal of the ring of integers in K.X / of degree n.˛ n / D 1.X / D a0 X n C a1 X n Equivalently.55 Let L be a ﬁnite extension of K. P only way this can happen is if ord. ai 2 K: Applying (7. and so it is impossible to have a nontrivial relation a0 C a1 ˛ C C an 1˛ n 1 1 C C an . jan j D j j: D 0. the Newton polygon of f . and n X. A polynomial f . then ord.ai / > 0. ˛. The elements 1.Kn =K/ is a cyclic group of order n.an / D ord. The i. But it can’t be greater than n. ˛.K / in ord.˛/ D 1=n.e. 2 125 . there is an unramiﬁed extension Kn of K of degree n.a0 / D 0. if ai X i is an Eisenstein polynomial. if f .an / D 1..) ): Suppose L is a totally ramiﬁed extension of K of degree n. it is the splitting ﬁeld of X q Gal. The elements 1.11) again. and so we have a relation: ˛ n C a1 ˛ n 1 are linearly dependent C C an D 0.11). and so it is exactly n — L is totally ramiﬁed over K. ai 2 K 1. having as canonical generator the Frobenius element which is determined by the property ˇ Á ˇ q (mod p/.ai / > 0 for all i and ord. (Compare the proof of 6. for the normalized additive valuation. and p is the nonzero prime ideal in B. ˛ n over K. for each n.Totally ramiﬁed extensions of K Therefore.. : : : . ord. all ˇ 2 B. Eisenstein polynomials allow us to give an explicit description of all totally ramiﬁed extensions of K: P ROPOSITION 7.
If ¤ 1. and G=G0 D Gal. 2 G. I claim that B D AŒ˘ . and assume that the residue ﬁeld k of K is perfect.˘ //. the group G1 is called the ramiﬁcation group.7. are called the higher ramiﬁcation groups of L over K: L EMMA 7.L=K/ preserves the valuation on L. and let and ˘ be a prime elements in A and B. all ˛ 2 B: The group G0 is called the inertia group. As before.57 The Gi are normal subgroups of G. ˘ 2 . so also does ˛. ˛/j (because jxj D j xj). This proves that Gi is normal. and so B AŒ˘ for some c. VALUATIONS . G D Gal. Hence … Gi as soon as j ˛ ˛j j˘ ji : 2 T HEOREM 7. and Gi D f1g for i large enough. In particular.l=k/: (b) For i 1. ˛/ . The argument is the same as in the proof of 6.K0 =K/ D Gal. and the groups Gi . We deﬁne a sequence of subgroups G G0 G1 by the condition: 2 Gi ” j ˛ ˛j < j˘ ji . P ROOF.56 Let L be a ﬁnite totally ramiﬁed extension of K. def As we have noted. (a) The ﬁxed ﬁeld of G0 is the largest unramiﬁed extension K0 of K in L. it preserves B D f˛ 2 L j j˛j Ä 1g. AŒ˘ C ˘B D B: The discriminant of 1. Because B and A have the same residue ﬁeld. L OCAL F IELDS R EMARK 7.2 (see also Exercise 61).58 Let L=K be a Galois extension. As ˛ runs through B. : : : is a unit pc B m for some m. these two conditions sufﬁce to imply that B D AŒ˘ : Ramiﬁcation groups Let L be a ﬁnite Galois extension of K. and so 1 2 Gi exactly when does. ˘. For . Let A and B be the discrete valuation rings in K and L. p D f˛ 2 L j j˛j < 1g: Let ˘ be a prime element of L (so that p D . and assume that the residue ﬁeld extension l=k is separable. then ˛ ¤ ˛ for some ˛ 2 B. j 1 ˛ ˛j D j . i > 1. the group Gi D f 2 G0 j j ˘ ˘ j < j˘ ji g: 126 .
Krasner’s lemma and applications P ROOF. (a) Let K0 be the largest unramiﬁed extension in L (see 7.51). Then K0 is also unramiﬁed, and so it is contained in K0 . Thus K0 is Galois over K, and the canonical map Gal.K0 =K/ ! Gal.l=k/ is an isomorphism (see 7.50). By deﬁnition G0 is the kernel of G ! Gal.l=k/, and so K0 is its ﬁxed ﬁeld. (b) Let A0 be the discrete valuation ring in K0 . Then B D A0 Œ˘ (by 7.56). Since G0 leaves A0 ﬁxed, in order to check that 2 Gi it sufﬁces to check that j ˛ ˛j < j˘ ji for the element ˛ D ˘: 2 C OROLLARY 7.59 We have an exhaustive ﬁltration G G=G0 D Gal.l=k/I G0 =G1 ,! l I Gi =Gi C1 ,! l: Therefore, if k is ﬁnite, then Gal.L=K/ is solvable. G0 such that
P ROOF. Let 2 G0 ; then ˘ is also a prime element and so ˘ D u˘ with u a unit in B. The map 7! u mod p is a homomorphism G0 ! l with kernel G1 : Let 2 Gi . Then j ˘ ˘ j Ä j˘ ji C1 , and so ˘ D ˘ C a˘ i C1 some a 2 B. The map 7! a (mod p/ is a homomorphism Gi ! l with kernel Gi C1 : 2 An extension L=K is said to be wildly ramiﬁed if pje where p D char.k/. Otherwise it is said to be tamely ramiﬁed. Hence for a Galois extension L=K is unramiﬁed ” G0 D f1g; and L=K is tamely ramiﬁed ” G1 D f1g:
Krasner’s lemma and applications
Again let K be complete with respect to a discrete nonarchimedean valuation j j, and extend the valuation (uniquely) to a valuation on K al . It is clear from our discussion of unramiﬁed extensions of K that roots of distinct polynomials f .X / and g.X / will often generate the same extension of K; in fact, this will be true if fN D g and both are irreducible in kŒX . N Krasner’s lemma and its consequences show that the roots of two polynomials will generate the same extension if they are sufﬁciently close. P ROPOSITION 7.60 (K RASNER ’ S L EMMA ) Let ˛; ˇ 2 K al , and assume that ˛ is separable over KŒˇ. If ˛ is closer to ˇ than to any conjugate of ˛ (over K/, then KŒ˛ KŒˇ: P ROOF. Let be an embedding of KŒ˛; ˇ into K al ﬁxing KŒˇ. By Galois theory, it sufﬁces to show that ˛ D ˛. But j ˛ because ˇ D ˇ and j ˇj D j ˛ ˇj D j˛ ˇj
j D j j. Hence j ˛ ˛j D j ˛ ˇCˇ ˛j Ä j˛ ˇj:
2
Since ˛ is a conjugate of ˛ over K, the hypothesis now implies that ˛ D ˛:
127
7. VALUATIONS ; L OCAL F IELDS P Now assume K has characteristic zero (to avoid complications). As before, for h.X / D ci X i , we deﬁne khk D maxfjci jg. Note that if h.X / varies in a family of monic polynomials for which khk remains bounded, then the maximum value of a root of h is bounded; in fact, if X ci ˇ i D 0; we must have jˇ n j Ä jcj ˇ j j for some j < n, and so jˇjn j Ä jcj j: Fix a monic irreducible polynomial f .X / in KŒX , and let Y f .X / D .X ˛i /; ˛i 2 K al : The ˛i must be distinct. Let g.X / be a second monic polynomial in KŒX , and suppose that kf gk is small. For any root ˇ of g.X /, jf .ˇ/j D j.f g/.ˇ/j is small (because kf gk small implies that kgk is bounded, and hence jˇj is bounded). But Y jf .ˇ/j D jˇ ˛i j: In order for this to be small, at least one term jˇ ˛i j must be small. By taking kf gk small enough, we can force ˇ to be closer to one root ˛i than ˛i is to any other ˛j . That is, we can achieve: jˇ ˛i j < j˛i ˛j j, all j ¤ i: In this case, we say that ˇ belongs to ˛i . Krasner’s lemma then says that KŒ˛i and because f and g have the same degree, they must be equal. We have proved: KŒˇ,
P ROPOSITION 7.61 Let f .X / be a monic irreducible polynomial of KŒX . Then any monic polynomial g.X / 2 KŒX sufﬁciently close to f .X / is also irreducible, and each root ˇ of g.X / belongs to some root ˛ of f .X /. For such a root KŒ˛ D KŒˇ. C OROLLARY 7.62 Let K be a ﬁnite extension of Qp . Then there is a ﬁnite extension L of Q contained in K such that ŒLW Q D ŒKW Qp and L Qp D K: P ROOF. Write K D Qp Œ˛, and let f .X / be the minimum polynomial of ˛ over Qp . Choose g.X / 2 QŒX sufﬁciently close to f .X /, and let L D QŒˇ for ˇ a root of g.X / belonging to ˛: 2 Fix a monic polynomial f in KŒX , and let ˛1 ; ˛2 ; : : : be its roots in K al . As a second monic polynomial g in KŒX approaches f , each root ˇi of g approaches some root ˛j.i / of f , and the function i 7! j.i / doesn’t change once g is close. Let fs .X / be the polynomial with roots the ˛j.i / (possibly with repetitions). Then, when g is close to f , it is close to fs because each of its roots is close to the corresponding root of fs . But if we choose g to be closer to f than f is to any possible fs , this will be impossible. We have proved: P ROPOSITION 7.63 Assume K is of characteristic zero. If two monic irreducible polynomials f and g are sufﬁciently close, then each root of g will belong to exactly one root of f , and so fKŒ˛ j ˛ a root of f g D fKŒˇ j ˇ a root of gg: P ROPOSITION 7.64 Assume K has characteristic zero and has ﬁnite residue ﬁeld. Then, up to isomorphism, there are only ﬁnitely many totally ramiﬁed extensions of Qp of a given degree. 128
Exercises P ROOF. We ﬁx an n and show that there are only ﬁnite many extensions of degree Ä n. Each point of .a1 ; :::; an / 2 p p p A deﬁnes an Eisenstein polynomial of degree n, namely, f .X / D X n C a1 X n
1
C
C an ;
and hence a ﬁnite set of totally ramiﬁed extensions of degree n, namely, those generated by the roots of f .X /. According to the last proposition, each point of p p p A has a neighbourhood such that the points in the neighbourhood all give the same extensions of K. In (7.47) we showed that the factors of p p p A are compact, hence the product is compact, and so a ﬁnite number of these neighbourhoods will cover it. 2 R EMARK 7.65 We proved above that (a) every ﬁnite extension L of K contains a largest unramiﬁed extension of K; (b) for each m 1, there is an unramiﬁed extension of degree m of K, and any two such extensions are Kisomorphic. Fix an n; then each extension L of K of degree n can be realized as a totally ramiﬁed extension of degree n=m of the (unique) unramiﬁed extension of degree m, some m dividing n. Clearly there are only ﬁnitely many such L’s (up to Kisomorphism).
Exercises
71 Let j j1 , : : : , j jn be the valuations on a number ﬁeld K corresponding to distinct prime ideals pi , and let a1 ; : : : ; an be elements of K. Let d be a common denominator for the ai (so that dai 2 OK ). Show that, for any " > 0, there is an element a 2 K such that ja ai ji < " for i D 1; : : : ; n and jaj Ä 1=jd j for all valuations j j corresponding to prime ideals other than the pi . Hint: Apply the Chinese Remainder Theorem to the dai . 72 Let j j be nonarchimedean valuation on a ﬁeld K. (a) Deﬁne an open disk with radius r and centre a to be D.a; r/ D fx 2 K j jx aj < rg:
Prove that D.a; r/ D D.b; r/ for any b 2 D.a; r/. Deduce that if two disks meet, then the large disk contains the smaller. P (b) Assume K to be complete. Show that the series an converges if and only if an ! 0. (This problem illustrates the weirdness of the topology deﬁned by a nonarchimedean valuation.) 73 For which a 2 Z is 7X 2 D a solvable in Z7 ? For which a 2 Q is it solvable in Q7 ? 74 (a) Show that .X 2 2/.X 2 17/.X 2 34/ has a root in Zp for every p. (b) Show that 5X 3 7X 2 C 3X C 6 has a root ˛ in Z7 with j˛ 1j7 < 1. Find an a 2 Z such that j˛ aj7 Ä 7 4 . 129
Show that K D QŒ . Show that f . Show that a ﬁnite extension K of Qp can contain only ﬁnitely many n ’s. (b) Find a monic irreducible polynomial in ZŒX of degree 6 which factors in Q5 ŒX into a product of 3 irreducible polynomials of degree 2. and for each n prime to p. p 76 Let p1 . VALUATIONS . : : : . Hint: there are exactly 7 (up to isomorphism). and deduce that the minimum polynomial f . P n al Deduce that the Cauchy sequence n p does not converge to an element of Qp .X / factors in Zp ŒX into a product of polynomials of degree Ä 4 (p ¤ 2) or of degree Ä 8 (p D 2). let n be a primitive nth root of 1. and let ˛i D p.X / of over Q has degree 2m .7. L OCAL F IELDS 75 Find all the quadratic extensions of Q2 . pm be distinct prime numbers. but with one irreducible and the other not. 130 . al 77 Fix an algebraic closure Qp of Qp . P Show that ŒKW Q D 2m . : : : . ˛m . Let K D QŒ˛1 . Let D ˛i . 78 (a) Find two monic polynomials of degree 3 in Q5 ŒX with the same Newton polygon.
being ﬁnite over K.X / in KŒX .X / O Since f .X /jf . and contains L. Write L D KŒ˛. we have associated an irreducible factor of f . and this induces a valuation on L extending j j. the valuation on K extends uniquely to KŒx. and let KŒx D O KŒX=. 131 .38. g.38. 7.39).X / in KŒX . When K is complete. Extending valuations Let K be a ﬁeld with a valuation j j (archimedean or discrete nonarchimedean).T / for some q/. and let L be a ﬁnite separable extension of K.X //. O O Conversely.X /. Let j j0 be O an extension of j j to L. Let g.C HAPTER 8 Global Fields A global ﬁeld is an algebraic number ﬁeld (ﬁnite extension of Q/ or a function ﬁeld in one variable over a ﬁnite ﬁeld (ﬁnite extension of Fq .39). and we want to understand the extensions when K is not complete. Then we obtain a diagram: L ˛ 7! x O KŒx K O K O O According to (7.X / be a monic irreducible factor of f . we know that there is a unique extension of j j to L (see 7. and so with each be the minimum polynomial of ˛ over K. Then we can form the completion L of L with respect to j j0 . and let f . let g. We are mainly interested in the number ﬁeld case.X / be the minimum polynomial of ˛ over K. and obtain a diagram: L O L K O K O O O O Then L D KŒ˛ because KŒ˛ is complete. O extension of j j.˛/ D 0. 7.g.
˛/ D TrL =K . say.˛/ D NmL =K .41) tells us that pOL D Q Q fN.X / factors in KŒX as f . Let K be the completion of K with respect to j j. Then (see 1. and that j j D j jp O for some prime ideal p in OK .8. ag b/. Q P NmL=K .X / in KŒX . Because fi .X // ' Q O KŒX =.X // for a primitive element O ˛ 2 L and its minimum polynomial f . fi .˛/: O O i i (in the i th factor or summand on the right.4 In the situation of the Proposition. modulo p fN .p. Denote the canonical map from L into its comO pletion by a 7! ai . for any element ˛ 2 L.X / f2 . e Pi D .X // fg . and so the two descriptions of the extensions agree.X / is irreducible in KŒX .X / D gi . ˛ is regarded as an element of Li /: 132 . There is a more canonical way of obtaining the completions of L for the various extensions of j j.X / with fi . then Q O L ˝K K ' gD1 Li : (19) i P ROOF.X / and so the proposition follows from (8.X / be the minimum polynomial of ˛ over K.a1 b.X /.X /ei . G LOBAL F IELDS These two operations are inverse. and let f . then the map (19) is a ˝ b 7! .X / D gD1 gi . Hensel’s lemma O .X / is a power of an irreducible polynomial.18) O O L ˝K K D KŒ˛ ˝K K O KŒX =. TrL=K .f . L D KŒ˛ ' KŒX =. if Li denotes the completion of L with respect to the valuation j ji .X /ei : i Then and (3. and denote the canonical extension of K ! Li to K by b 7! b. and so we have proved the following result: P ROPOSITION 8.1 Let L D KŒ˛ be a ﬁnite separable extension of K.X / monic and irreducible. gi .3 Suppose now that K is a number ﬁeld.f . j jg to L. Since L is separable over K. shows that. Then j j has ﬁnitely many extensions j j1 .1).˛//: The valuations extending j jp correspond to the primes Pi .2 Let j j be a valuation on K (archimedean or discrete nonarchimedean) O and let L be a ﬁnite separable extension of K. Suppose f . i Pi i .˛/. : : : . P ROPOSITION 8. : : : . that OL D OK Œ˛..X / D f1 . Then there is a natural onetoone correspondence O between the extensions of j j to L and the irreducible factors of f . C OROLLARY 8.fi . 2 R EMARK 8.
and let j j be the unique extension of j j to L. we need one extra fact for local ﬁelds.59/. and jaj D . and so according to (7. Let k k be the normalized valuation on L corresponding to j j. What is the relation of k k to j j? L EMMA 8. X C 5 C 4 52 C 2 53 C O. then D . and let P D . by assumption. and so it has at least three factors in Q5 .X / (to whatever degree of accuracy we wish). 2. and both are obvious. Let ˘ be a prime element of L. we only have to check that the formula holds for a prime element of K. Its Newton polygon for ord5 has three segments of xlengths 3.54 / (Type factorpadic(f. ˛i a root of fi .54 / X 3 C .p. Thus.37). Recall that this means that j j is the usual absolute value if K is R. namely.) Suppose have a factorization f .365587/.1=NP/e D . The discriminant of f . according to Pari.X / is 24 511 . To compute jˇji .a/ if the valuation is deﬁned by a prime ideal p. f . /.X /f2 .5 According to PARI f . 1 respectively.X/ D f1 . Since.X /.X / in Q5 ŒX .1=Np/ef D j jn .5 C 52 C 3 53 / C O.The product formula P ROOF. and use that jˇji D jˇi ji D j NmLi =Q5 ˇji 1= deg fi P cj ˛ j to ˇi D : The product formula Before proving the product formula for a number ﬁeld. map ˇ D P def j cj ˛i 2 Li D Q5 Œ˛i . kak D jajn . Let K be a local ﬁeld with normalized valuation j j. When K is archimedean.3 52 C 53 /X 2 C 4 5 C 3 52 X C 5 C O. to ﬁnd the number of factors of f .˘ / and p D .54 / X 2 C 3 52 X C .r) where r is the precision required.1=Np/ord. it sufﬁces to factor in modulo 511 . and it easy to see that norms and traces in products break up into products and sums respectively.X / has exactly 3 irreducible factors in Q5 ŒX. there are only two cases to consider. 133 . Better.X /f3 . and so k k D k˘ e k D . k k D j jc for some c.unit/ ˘ e . By deﬁnition the norm and trace of ˛ are the determinant and trace of the Klinear O map x 7! ˛xW L ! L. where n D ŒLW K. These don’t change when L is tensored with K.6 In the above situation.X / D X 6 C 5X 5 C 5X 3 C 25X C 125 is irreducible in QŒX . assume K is nonarchimedean. 2 E XAMPLE 8. the square of the usual valuation if K is C. P ROOF. Let L be a ﬁnite separable extension of K.
and let k ki be the normalized valuation corresponding to j ji . Alternatively. g. Edited by Michael Rosen. London Mathematical Society. and V consists of all the primes for K: They then derived the main theorems (unit theorem and ﬁniteness of the class number) directly from the axioms. Reprinted in: Artin. 30.8. Soc. Exposition by Emil Artin: a selection. Math. History of Mathematics. for any nonzero a 2 K.7 Let L=K be a ﬁnite extension of number ﬁelds. 5. Providence. T HEOREM 8. London. George. G LOBAL F IELDS as required. Y k˛kw D 1. use (7. Let j ji . A XIOM I. 7. i D 1.7:43/ D . Then K is a global ﬁeld. The last product is 1 by (7. Bull. thereby avoiding the use of either ideal theory or the Minkowski theory of lattice points. Then 8:4 Q k NmL=K ˛kv D k gD1 NmL i i =K O ˛kv D Qg 7:38 D Qg O i D1 k NmLi =K ˛kv n.9 E. 2007. Whaples. jajv ¤ 1 for only ﬁnitely many v and Y jajv D 1 (product over all v 2 V/: v A XIOM II. Amer. we have kak D NP def ordL a . There exists at least one prime v for which Kv is a local ﬁeld. i D1 j˛ji 2 O where ni D ŒLi W K. American Mathematical Society.i / 8:6 Qg D i D1 k˛kw . There is a set of representatives j jv for the primes such that. Y k˛kw D k NmL=K ˛kv : wjv Here k kw and k kv denote the normalized valuations for the primes w and v: P ROOF.Npf / e ordK a D jajef D jajn : 2 P ROPOSITION 8. 3. 469–492. be the extensions of k kv to L. Let K be a ﬁeld with a set V of primes (equivalence classes of valuations) satisfying the following axioms. w where the product is over the primes of K and k kw is the normalized valuation for the prime w: P ROOF. 51. Emil. RI. Axiomatic characterization of ﬁelds by the product formula for valuations.13). Emil. 1 Artin. :::. 134 . 2. x+346 pp.43). For any prime v of K and ˛ 2 L. Artin and Whaples (1946)1 proved that global ﬁelds can be characterized axiomatically. 1 of Q. We have Y w k˛kw D Y v Q Á (8. (1945). for all nonzero ˛ 2 K. : : : . A SIDE 8. For a 2 K.8 (P RODUCT FORMULA ) Let K be an algebraic number ﬁeld.7) Y D k NmK=Q ˛kv wjv k˛kw v 2 where v runs through the primes 2.
i.Lw =Kv / just deﬁned is an isomorphism. P ROOF. and let G D Gal. and so we also have . E. then one could transfer proofs from function ﬁelds to number ﬁelds (e.Gw W 1/ Ä ŒL w W Kv .Gw W 1/ Ä X 2G=Gw ŒL w W Kv Ä ŒL W K: . For a valuation w of L. 2 Let D. and so . and let I. so that D. which we knew already from the proof of 3. the proof of the Riemann hypothesis!).G W 1/ D . This hasn’t worked as well as he hoped. if w is the prime deﬁned by a prime ideal P. We have the following picture: 135 .Decomposition groups Throughout his career.LP =Kp /. The number of distinct ws dividing v is .Gw W 1/ D ŒLw W Kv (and G acts transitively on the primes dividing v.P/ D Gal. but the analogy has still been very fruitful. then w is the prime deﬁned by the prime ideal P.e.8:2/ Hence equality holds: . In the above paper. we write w for the valuation such that j ˛j w D j˛jw . thus Gw D f 2 G j w D wg: Equivalently.P/ be the inertia group. because j˛j w <1 ” 1 ˛ 2 P ” ˛ 2 P: The group G acts on the set of primes of L lying over a ﬁxed prime v of K. which has the same order as Gw . Each 2 Gw extends uniquely to a continuous automorphism of Lw . Note that G w D Gw 1 : P ROPOSITION 8. Artin promoted the idea that if only one could understand the similarities between function ﬁelds and number ﬁelds sufﬁciently well. he suggested one should develop number theory and class ﬁeld theory as much as possible working only from the axioms. The valuation w has decomposition group Gw 1 .G W Gw /. j˛j w D j 1 ˛jw . Decomposition groups Let L be a ﬁnite Galois extension of a number ﬁeld K.P/ D. and we deﬁne the decomposition (or splitting) group of w to be the stabilizer of w in G. Gw is the set of elements of G that act continuously for the topology deﬁned by j jw .g. For example.34).. Clearly the map is injective.P/ (or G.Gw W 1/ Ä ŒLw W Kv .P/) be the decomposition group of P.L=K/. and so .10 The homomorphism Gw ! Gal.G W Gw /.
its Galois group D.11 (a) The only prime ideal of L lying over PD is P: (b) The prime ideal PD is unramiﬁed in LI . and. in general p will not split completely in LD /: R EMARK 8.X / modulo p.X /.P/ .12 Let L be a Galois extension of Q.P/ acts transitively on the set of prime ideals of L lying over PD . which can be found to any desired degree 136 .PI =PD / D f .P/ is not normal in G.X / of fN.P/ f LP f I.X / be the minimum polynomial of ˛ over Q.P=PI / D e. G LOBAL F IELDS P e L I. the ﬁelds in the third column are the residue ﬁelds of those in the second. Suppose that OL D ZŒ˛ for some ˛ 2 L.P/ LP e PI LI. and let g1 . Let f . P1 D PD i with e1 D 1 D f1 (i. P ROPOSITION 8. and f .X /e1 be the largest power of g1 .P/ . all the residue ﬁeld extension takes place in the middle extension. PD D P \ LD.P/.P=p/: (c) The prime ideal PI is totally ramiﬁed in L. P ROOF. and e.P/ . (a) Because L is Galois over LD.X /. (b). and the proposition. g1 . and write fN. when LD is normal over K.X / of f .P/ is normal in G. all the splitting takes place in the bottom extension. (d) are similarly straightforward. (c). all we know in general is that Q p OLD D Pei .X / in Qp ŒX . One should be a little careful about the last assertion when D.P/. Choose an irreducible factor g1 . p D P \ KI the ﬁelds in the second column are the completions of those in the ﬁrst. show that we can construct a chain of ﬁelds L LI LD K such that all the ramiﬁcation of P over p takes place in the top extension. 2 The diagram.P/ l f D.P=p/: (d) If D. Thus (a) is obvious from the deﬁnition of D.X /e1 lifts to an irreducible factor f1 .8.P/ PD LD.P/=I..P/ g Kp k p K Here: PI D P \ LI.X/ for f .e. According to Hensel’s lemma. with Galois group G. then Q pOLD D PD where the product is over a set of representatives for G=D.X / dividing fN.
If … G.P1 /=I.P/ that acts as the Frobenius automorphism on the residue ﬁeld.) P ROPOSITION 8. and that H is the subgroup of G ﬁxing L: (Recall D.P/ D f 2 G j (b) This is equally obvious. Then D. N N Consider a tower of ﬁelds M H G P L PL K p Assume M is Galois over K with Galois group G.P/ are two notations for the same object.P1 / D Gal.X /). and so F . h1 .˛ i / Á ˛ i q Á q mod P: 2 Here 137 .P/ and G.13 Let P be a prime ideal in OM . The decomposition group of PL over K is the image of G. Let L=K be a ﬁnite Galois extension of number ﬁelds with Galois group G.OL =P/ and an lies in P for all … G. then q Á ˛ Á 0 mod P. Let F .P/ \ H: (b) Suppose further that H is a normal subgroup of G. and let PL D P \ L: (a) The decomposition group H. Given an ideal P of L that is unramiﬁed in L=K we deﬁne the Frobenius2 element D . P D Pg D H \ G. Every element of O can be written then ˛ L D ˛ i C ˇ.P/ in G=H: P ROOF.X q Á ˛ mod P for some 1 P ¤ P. which can be computed easily (provided G has been found explicitly as a subgroup of the symmetric group on the set of roots of f .P/.P/ of P over L is G. but mod P. Thus is uniquely determined by the following two conditions: is a direct proof of the existence of the Frobenius element. 2 H.P1 / N ﬁxing ˛. Then F .P. Thus 2 G.The Frobenius element of accuracy by factoring f .p.˛ q / Á F .P/.P/. L=K/ to be the element of G. and I. so that G=H is the Galois group of L=K.X/ D ˛/.˛/ Á 0 mod P. with ˇ 2 P.˛/q Á 0 2G .P1 / D f 2 G j P1 D P1 g.Fp Œ˛=Fp /.P/: 2 The Frobenius element Let L=K be a Galois extension of number ﬁelds with Galois group G. Finally D. Let P1 D . By the Chinese remainder theorem.X / modulo a high power of p (essentially using the method of proof of Hensel’s lemma).P1 / is the subgroup of D. and so Á . N N Then g1 . which is a contradiction. Therefore ˛ 2 G.˛// for any lifting h1 of g1 to ZŒX . Let ˛ be the image of ˛ in OL =P1 D Fp Œ˛.X / is the minimum polynomial of ˛ over Fp . there exists Q element ˛ of OL such that ˛ generates the group . (a) Clearly H. and let P be a prime ideal of OL (not necessarily unramiﬁed). and so ˛ 2 1 P.
Q. L=K/ for all primes P.P.L=K/ is abelian or nonabelian.P/ k. Thus. L=K/ j Pjpg is a conjugacy class in G. 2 138 . where q is the number of elements the residue ﬁeld OK =p.P=p/ D Œk. assume that L is Galois over K.P0 .P/ W k. If Gal. M=K/f . i.k.P. ˛ Á ˛ q mod P. Then f . P.P. P D PI (b) for all ˛ 2 OL .P=p/th power of the Frobenius element in Gal. then .15 Consider a tower of ﬁelds M Q L P K and assume that Q is unramiﬁed over p. M=K/jL D . and the Frobenius element in Gal.15).Q.e. L=K/: 8. Let ˛ 2 OL .L=K/ or a conjugacy class depending on whether Gal.P/ 1 1. 8.P. and 2 . Let k. and we write .p//: 2 8.˛/ D . P0 dividing p.P=p/ D . . L=K/: P ROOF.Q.Q/=k. which (by an abuse of notation) we again denote .. then ..P/.8.Q/=k.L=K/ is abelian.14 Let P be a second prime dividing p. L=K/ for this element.Q/ k. L=K/. p D P \ K: We now list the basic properties of .p/.P// is the f . L=K/ D . Obvious. 1 1 ˛/q C a/.. for a prime p of K.p. L=K/ D . 2 G. and .P. L=K/ is either an element of Gal. some a 2 P. then f. ˛/q C a/ D ˛ q C a Á ˛ q mod P: Thus if Gal. L=K/ P ROOF. G LOBAL F IELDS (a) 2 G.16 In (8. then 1 : .p. M=L/: P ROOF. Then G.k.L=K/ is not abelian. then p .p.p/ be the corresponding sequence of residue ﬁelds. P/ D G.
P P P p ip P ip i i . or does not. Similarly if p Á 3 mod 4. where is a primitive pth root of 1. jL2 /W Gal.e. and . Then M is Galois over K. 1 p E XAMPLE 8.L1 =K/ Gal. p splits completely in M if and only if it splits completely in L1 and L2 : Examples We ﬁnd the Frobenius maps for quadratic and cyclotomic ﬁelds. then modulo p.L2 =K/ which is injective. Because Gal.16). K=Q/ D C1 or 1 according as p does. according as d is. 8. and QŒ p is the only quadratic ﬁeld for which this is true.K=Q/ such that ˛ Á ˛ p mod p. L=K/ D 1 for one (hence all) primes P lying over it. 2 Note that p splits completely in L if and only if . ai n / D ai n Á ai n Á . jL1 . i. Thus .M=K/ ! Gal.p. and hence K contains a unique quadratic extension p p F of Q.Z=pZ/ that are squares). Note that . p ¤ 2. L2 =K/: P ROOF. L1 =K/ . Hence. This follows from (8. If pjn then p ramiﬁes in K. n / D lying over p in ZŒ n . and there is a canonical homomorphism 7! . split in K. If p Á 1 mod 4. Identify Gal. where n is a primitive nth root of 1. M=K/ 7! . . K=Q/ is not deﬁned. K=Q/ D d : p A PPLICATION : THE QUADRATIC RECIPROCITY LAW Let K D QŒ .p. and let M D L1 L2 .Z=pZ/ is cyclic of order p 1.p. K=Q/ is the unique element of Gal.17). and let p be a prime that is unramiﬁed in K. a square modulo p.K=Q/ ' .P1 . it contains a unique subgroup of order .p. in the situation of (8.Q. then p is the only prime ramifying in QŒ p. p n: for any prime ideal p lying over p: I claim that is the element of the Galois group such that .p 1/=2 (consisting of the elements of . ai n /p let p be a prime as required.p. Then .K=Q/ with f˙1g.Z=. Otherwise D . or is not. and obtain a surprisingly simple proof of the quadratic reciprocity law. we have..n// ).P2 .18 Let K D QŒ n . for all ˛ 2 ZŒ n .Examples Let L1 and L2 be Galois extensions of K contained in some ﬁeld ˝.17 Under the above map.P. E XAMPLE 8. then p Á 1 139 .19 Let K D QŒ d . K=Q/ has order f where f is the smallest integer such that njp f (because this is the order of p in .
C 1 /.e.p 1/=2 p: If q is an odd prime ¤ p. ˛n be the roots of f . i. and so 1 D ap 1 D 5C 5D .X 2 Sn /: t Â / (product over The coefﬁcients of this polynomial are symmetric polynomials in the ˛i . : : : . Let Â D Q F . Let be a primitive 8th root of 1 in an algebraic closure of Fp .X. K=Q/ restricts to the identity element of Gal. we see that X 4 C 1 D . i. P any 2 Sn and polynomial f .q. : : : . together with the equalities ! 1 1 if p Á 1 mod 4 D . and the second can be proved as follows.QŒ d =Q/ or not according as q is a p q square in .e.. We have already proved the ﬁrst equality.p 1/=2 D 1 if p Á 1 mod 4 p ! 2 2 1 if p Á ˙1 mod 8 D . p /. Introduce variables t1 . ˛n g.p 1/=2 D 2 p . and let a D C 1 . 1/. and deﬁne a polynomial t f D f . t ..t . t1 . / D p p p. p C p D C 2 2. and p is the only prime ramifying in QŒ . constitutes the quadratic reciprocity law. G LOBAL F IELDS mod 4. ˙ a2 D 2.X / in K al . Hence q ! q D p 1 p !. Now factor F .X / be a polynomial over a ﬁeld K. tn /. Thus . t / in KŒX.p 1/=2 ! p D .p 1/=2 D p .1/ . : : : . Thus F D QŒ d where d D q : p Thus . 2 C 2 D 0. t / Fr . 1/. ap D a. p C p D and so 1 D ap 1 Therefore. : : : .X. But we know that it is also equal to . 1/. 1/. : : : .t1 . tn . t / D F1 . t / D .X 2 2 / in Fp ŒX because the roots of both polynomials are ˙ . Computing Galois groups (the hard way) Let f . We want to determine the Galois group of f as a subgroup of the group of permutations Sn of f˛1 . K=Q/jQŒ d D . : : : . then . and let ˛1 . 1. When p Á ˙5 mod 8.X.q 1/=2 . From 4 D 1.Z=pZ/ or not. p D . and so 1 . and so lie in K.X.8. K=Q/. ap D a. tn : 140 . When p Á ˙1 mod 8.X 2 2 /. 1/. d /. deﬁne For ˛i ti .n/ /. so that The displayed formula.q.p 1/=8 D 1 if p Á ˙5 mod 8.p q 1/.q.q 1/=4 ! p : q 1 q Here we have used that 1 is square in Fq if and only if 4jq 1. D 2.
ng. : : : .X. 2.X / 2 QŒX .X / fr . and let ` be the splitting ﬁeld of f . Then compute F .X /.X / D f1 .22 Let f . then D .X. We may suppose f . Write f . o2 D fm21 . then G is the Galois t P ROOF.X.26. .X / factors as a product of irreducible polynomials in kŒX f .m11 : : : m1n1 / . Therefore the irreducible factors of f .X / D f1 .X / are the polynomials fS with S a minimal subset of f1. and it is ﬁxed under the action of G (and hence has coefﬁcients in K/ if and only if S is stable under G.X / an irreducible polynomial in KŒX of degree ni : Q Q P ROOF. ng: 2 Let 2 Sn . it is proved that if o1 D fm11 .X / to be monic with integer coefﬁcients.X / to a high degree of accuracy. : : : .X / is a product of disjoint cycles. t /. Computing Galois groups (the easy way) We now give a more practical procedure (also largely in van der Waerden with a more direct proof). : : : .X ˛i /. ng stable under G. See van der Waerden.20 Let G be the set of group of f: 2 Sn such that ﬁxes F1 . Vol 1. First ﬁnd the roots of f . t / exactly. 61 (Calculation of the Galois group).21).X // is a product of disjoint the cycles D c1 cs with ci of length ni (so that ni D n/.X / be a monic separable polynomial of degree n over a ﬁnite ﬁeld k.X. noting that this has coefﬁcients in Z. : : : . More precisely. then there is a factorization f . In GT 4.21 Let f .X. For S f1. . t /. Finally list the elements of Sn such that t ﬁxes F1 . and take one of the factors F1 . Suppose that the Frobenius element 2 Gal. It will probably work (on a computer) if n Ä 5.X. numbered in such a way that mij D mi j C1 . C OROLLARY 8. and suppose that the Galois group G of f . gives us the following result. :::. t / has degree nŠ. Algebra. consider fS D i 2S . ng.X / with fi of degree ni : 141 fr .X / D . Then f .`=k/ (when regarded as a permutation of P roots of f .X / with fi . m2n2 g. t /.X / has s orbits (as a group of permutations of the roots of f ) with n1 . but such sets S are precisely the orbits of G in f1. t /.m21 : : : m2n2 / : : : : This remark. The problem with this approach is that F . 2 This theorem gives an algorithm (unfortunately impractical) for computing the Galois group of a polynomial f .Computing Galois groups (the easy way) T HEOREM 8. but otherwise it is like trying to compute a determinant directly from the deﬁnition as a sum of products.X / be a monic separable polynomial of degree n over a ﬁeld K.X ˛i /. 2. m1n1 g. ::: are the orbits of h i acting on f1. together with (8. Factor F . P ROPOSITION 8. : : : . ns elements respectively (so that n1 C n2 C C ns D n).X /. 2. This polynomial divides f .
23 (D EDEKIND ) Let f . if H is transitive (for example.i k/.27 Select monic polynomials of degree n. and suppose that f . some i Ä n 1.X / modulo many primes p. We need to choose f3 to have distinct roots modulo 5.X / mod p with the fi distinct irreducible polynomials in kŒX and fi of degree ni .X / 2 OK ŒX and is monic.2 n/.X / in RŒX with f1 . 2 R EMARK 8. After possibly renumbering. discard the result if f . primes has yielded no new cycle types for the elements.`mn//3 D . (b) f2 D(degree 1)(irreducible of degree n 1) mod 3.X / be a polynomial of degree n over a number ﬁeld K.X / fr .X / D X 5 X 1. and this implies that G D S5 (see 8. Take f D 15f1 C 10f2 C 6f3 . 2 E XAMPLE 8. then H D Sn : P ROOF. We discuss how effective this is later. if f .X / D f1 . L EMMA 8.i n/. Then attempt to read off the type of the group from tables.28 below).n 1/cycle and a transposition.`mn/ for some numbering of the roots.24 There is a similar statement for real primes. : : :. Let p be a prime ideal of K.1 n/.X 2 C X C 1/.i k/.X / fr . can be read off from the T HEOREM 8. . Now the . 142 .n 1/cycle and its powers will transform this into . f1 .i k/.25 Let f . . (c) f3 D(irreducible of degree 2)(product of one or two irreducible polynomials of odd degree) mod 5.X / mod p implies that p is unramiﬁed in the splitting ﬁeld (because it implies that p doesn’t divide the discriminant of f ). Assume f . f3 with coefﬁcients in Z such that (a) f1 is irreducible modulo 2. we may suppose that the . f2 . G LOBAL F IELDS In other words. k D OK =p. the type of the cycle decomposition of factorization of f .8.X / mod p has multiple factors. the transposition can be transformed into . E XAMPLE 8.26 Let H be a subgroup of Sn . Take to be the Frobenius element of any prime lying over p — the hypothesis on the factorization of f . then G contains a permutation that is a product of disjoint j cycles of length 2. fj of degree 2 and the remainder of the degree 1. : : : . and let G be the Galois group of f .n 1/cycle is (1 2 3 : : : n 1/.X / Á f1 . say n. contains an ncycle) and contains an . Modulo 2 this factors as . modulo 3 it is irreducible.X /. This suggests the following strategy for factoring a polynomial QŒX : factor f . It also contains . namely.n 1 n/. By virtue of the transitivity.X 3 C X 2 C 1/.. and these elements obviously generate Sn (because Sn is generated by transpositions). continue until a sequence of. Hence G contains (12345) and . Then G contains a permutation that is a product of disjoint cycles of length ni : P ROOF.
I mean S3 has one 1cycle. I had to increase the allocated memory (allocatemem(10000000)). Its splitting ﬁeld is F125 . There are 5 linear factors. and so every such f . This can be checked by seeing whether disc. 143 . PARI has no trouble factoring X 125 X modulo 5 (factormod(X^125X. X 4. X 3.X / of degree n in Fp ŒX . (b0 ) G contains a cycle of length n 1I (c0 ) G contains a transposition (because it contains the product of a transposition with a commuting element of odd order).f / is a square. A root of such a polynomial will generate Fq . if factorizing f modulo many primes doesn’t turn up a factor of degree 2. The factors of X 125 X are the minimum polynomials of the elements of F125 . Then (a0 ) G is transitive (it contains an ncycle because of (a)). One can therefore ﬁnd all f . then expect the Galois group of f to be A3 . They therefore have degree 1 or 3. However. but for X 3125 X modulo 5. the calculations on p.X /s by factoring X q X . The above lemma shows that G D Sn : R EMARK 8. if you only want one irreducible polynomial of degree n. Lemma 4.X / will divide X q X. R EMARK 8.28 There are other criteria for a subgroup H of Sn to be all of Sn . p prime. three 2cycles. On the other hand. For example. then its Galois group is S3 . Note that any subgroup of S3 containing cycles of length 2 and 3 is the whole of S3 .Computing Galois groups (the easy way) and let G be the Galois group of f . X 1. X 2. a subgroup H of Sp . it is easier to write down a polynomial at random. q D p n . consider X 125 X 2 F5 ŒX . For example. there are suggestions for constructing irreducible polynomials f . which has degree 3 over F5 . and check whether it is irreducible. which constitute a complete list of all the monic irreducible cubic polynomials in F5 ŒX .29 In Pohst and Zassenhaus 1989. thus if f is irreducible modulo some prime and has an irreducible factor of degree 2 modulo a second prime. 61 show that the polynomials X 3 C 10X C 1 and X 3 8X C 15 both have Galois group S3 : To make this more effective (in the technical sense). p73. we need the Chebotarev density theorem. X. which gives a complete list of monic irreducible polynomials of degree 1 or 5 in F5 ŒX . For example. and 40 cubic factors.5)) or X 625 X modulo 5. C UBIC POLYNOMIALS The group S3 has the following subgroups: order 1 2 3 6 group 1 C2 A3 S3 group elements 1 1 1C1 2 1 1C2 3 1 1 C 3 2 C 2 3: By the last row. that contains an element of order p and a transposition is equal to Sp (FT.14). but f is irreducible. and two 3cycles.
K=Q/ D Œp. with Galois group G. 1977. there exists a bound B such that. if a given cycle type doesn’t occur as the Frobenius element of some p Ä B. This statement was conjectured by Legendre and proved by Dirichlet (using Dirichlet series). The Chebotarev density theorem says that the primes are equidistributed among the congruence classes. G LOBAL F IELDS C HEBOTAREV DENSITY THEOREM D EFINITION 8. 2 For example.p. n/ D 1. each of the arithmetic progressions contains inﬁnitely many primes. Odlyzko.p.n/ of the primes. k C 3n. See my notes CFT (in fact. then for each has density 1= jGj : 2 G. London.30 Let S be a set of ﬁnite primes in a number ﬁeld K. but it is large. The existence of the bound has the following consequence: given a polynomial f . contains 1='. E XAMPLE 8. Effective versions of the Chebotarev density theorem. E XAMPLE 8. L=K/ D C has density ı D jC j = jGj. : : : gcd. 1975). then it doesn’t occur at all. there exist inﬁnitely many primes of K not splitting in L: R EMARK 8.Z=nZ/ and .X / 2 QŒX (say). k C 2n. 3 Lagarias. pp. In other words.36 Let f be a cubic polynomial with coefﬁcients in Q.31) in terms of the discriminant of the polynomial.3 E XAMPLE 8. 144 .34 Let K D QŒ n . half the primes split and half the primes remain prime. P ROOF.p.. Academic Press.K=Q/ D .8. k C n. the set of p such that .k. The set of prime ideals p of K such that . Then Gal. For a discussion of the effective version of the Chebotarev density theorem. and let C be a conjugacy class in G. M. each of the arithmetic progressions k. In particular. Sympos. A. if G is abelian. 1977. normally one proves this result with a slightly weaker notion of density). 409–464. The Chebotarev density theorem implies the following statements (see the above table): G D 1: f splits modulo all primes. J.31 (C HEBOTAREV DENSITY THEOREM ) Let L be a ﬁnite Galois extension of the number ﬁeld K. Algebraic number ﬁelds: Lfunctions and Galois properties (Proc. We say that S has natural density ı if lim jfp 2 S j Np Ä N gj D ı: jfp j Np Ä N gj N !1 T HEOREM 8. Durham. Univ. In particular. and let P be the set of all ﬁnite primes.35 In a quadratic extension. L=K/ D C OROLLARY 8. The proof of the Chebotarev density theorem is a generalization of that of Dirichlet.33 There is a bound for the error in implicit in (8. see Lagarias and Odlysko.32 The primes that split in L have density 1=ŒL W K. C. Durham..
Gregory. E XAMPLE 8. the possible Galois groups are: order 2 4 12 group C2 V4 A4 elements 1 1 C 1 22 1 1 C 3 22 1 1 C 3 22 C 8 3 (b) When disc.. see Pohst and Zassenhaus 1989. 863–911.3. G D A3 : f splits for 1=3 of the primes and f remains irreducible for 2=3 of the primes. then it will split modulo p for 1=8 of the primes. factor as the product of two quadratics for 3=8 of the primes. (d) compute the orbit lengths on the rsets of roots (these are the degrees of the irreducible factors in QŒX of the polynomial whose roots are the sums of r roots of f /. Thus if f is a polynomial of degree 4 with Galois group D8 . 145 . For a similar table for polynomials of degree 5. factor as the product of a quadratic and two linear polynomials for 1=4 of the primes. and remains prime for 1=3 of the primes.f / is not a square. Section 6. (This lists all transitive subgroups of Sn . (c) factor f modulo good primes (i. Chapter 4. The transitive groups of degree up to eleven. McKay. Comm. Algebra 11 (1983). it had not been proved that the Mathieu group M11 occurs as a Galois group over Q (M11 is subgroup of S11 of order 11Š=5040 D 7920/: References Butler. the possible Galois groups are: order 4 8 24 group C4 D8 S4 elements 1 1 C 1 22 C 2 4 1 1 C 2 2 C 3 22 C 2 4 1 1 C 3 22 C 6 2 C 8 3 C 6 4 See FT. has a factor of degree 2 for 1=2 of the primes. and remain irreducible for 1=4 of the primes. As late as 1984. (a) When disc. (e) ad hoc methods. 8. those not dividing the discriminant) until you seem to be getting no new cycle types.37 Let f be a quartic polynomial with no linear factor.f / is a square. these invariants are sufﬁcient to determine the subgroup up to isomorphism.e. n Ä 11. with a few exceptions. and gives the cycle types of their elements and the orbit lengths of the subgroup acting on the rsets of roots.) Cohen 1993.Computing Galois groups (the easy way) G D C2 : f splits for 1=2 of the primes and has an irreducible factor of degree 2 for 1=2 of the primes. p132. G D S3 : f splits for 1=6 of the primes. no. One strategy for determining the Galois group of a polynomial is (a) test whether f is irreducible over QI (b) compute the discriminant of f . John.
M=K/ 8:31 ) ŒLM W K D ŒM W K ) L M: 2 C OROLLARY 8. ): This is obvious. Dekker. LM=K/jL D .L=K/ for the set of primes that split completely in L.p.10.L=K/ has density 1=ŒL W K. M=K/. for example.40 (a) In fact.p.LM=K/ ” . Academic Press. Leonard. Math. Soicher. no. For any extension L=K of number ﬁelds.8 discusses the following problem: given G H Sn . then L D M ” Spl. 273–281. Computing Galois groups over the rationals. Chapter 2 is entirely concerned with computing Galois groups.) Soicher. 1984. David J. 145–150. 113. New York.39 If L and M are Galois over K. L D M if Spl.LM=K/ D Spl. John.p. 146 .M=K/: To see this.L=K/ ) Spl. 1982). J.M=K/: P ROOF.. 291–296. 3.L=K/ differ by at worst a ﬁnite set of primes (or if they differ by at worst a set of primes of density zero). note that p 2 Spl.. Pohst and Zassenhaus 1989. LM=K/ D 1 ” . II. PARI can ﬁnd the Galois group of a polynomial of degree Ä 11.p.L=K/ always. Computer algebra (New York.L=K/ Spl0 . Now Spl. LM=K/jM D . LM=K/jM D 1I but .LM=K/ D Spl. McKay. 1989. 1984). Obvious from the Proposition. and write Spl0 . in which case the Chebotarev density theorem shows that Spl. Applications of the Chebotarev density theorem We now discuss some other applications of the Chebotarev density theorem. Computational group theory (Durham. (: We have Spl.8. determine whether G is contained in a given smaller subgroup J of H .M=K/ and Spl. H. L=K/ and .p.38 If L and M are Galois over K.L=K/: P ROOF.M=K/ Spl.L=K/ \ Spl. write Spl.L=K/ for the set of primes that have at least one split factor. G LOBAL F IELDS Ford. L. Computation of Galois groups from polynomials over the rationals.M=K/ D Spl. Then Spl. Number Theory 20 (1985). London. T HEOREM 8. Lecture Notes in Pure and Appl. John. and equality holds if L=K is Galois. An algorithm for computing Galois groups.p. LM=K/jL D 1 and .L=K/ Spl.p. 2 R EMARK 8. McKay. then L M ” Spl.
o Washington. Thompson Book Co. Sn for n 5. Proceedings of an instructional conference organized by the London Mathematical Society. Show that there are three extensions of the 2adic valuation to K. and consider the map Gi ! l. Thus.X / that are irreducible over Q but become reducible over Qp for all p. According to (8. then f . Show that this is a homomorphism (additive structure on l) if and only if i > 0. and let Gi . ˘ a prime p not dividing the common discriminant decomposes in exactly the same way in the two ﬁelds. For 2 Gi . / mod . S. 82 Let L be a ﬁnite Galois extension of the local ﬁeld K.38) is effective: in order to show that L M it sufﬁces to check that p splits in M ) p splits in L for all primes p less than some bound. W.X 2 6/: For more on these questions. London. write ˘ D ˘ C a.X / splits into linear factors in KŒX.41 Fix a number ﬁeld K. one can show that an irreducible polynomial f . be the i th ramiﬁcation group. Deduce that 2j disc. .L=K/ D Spl. With a little more work. Inc. In fact there exist nonisomorphic extensions L and M of Q of the same degree such that ˘ L and M have the same discriminant. p361.X 2 2/.M=K/.Exercises (b) The effective form of the Chebotarev density theorem shows that (8. Let ˘ generate the maximal ideal in OL . for example. (d) It is clear from (8. For abelian extensions of K.ZŒ˛=Z/ but not disc.X 2 3/.39).. Exercises 81 Let K D QŒ˛ where ˛ is a root of X 3 X 2 2X 8. in order to classify the Galois extensions of K. one only has to chose f to have nonsolvable Galois group. class ﬁeld theory does this — see CFT (they are determined by congruence conditions).OK =Z/. Edited by J. i 0. 7! a.X / 2 KŒX can not have a root mod p for all but a ﬁnite number of primes. Fr¨ hlich Academic Press. Cassels and A.˘ /. it sufﬁces to classify the sets of primes in K that can occur as Spl.39) that if a separable polynomial f . /˘ i C1 .39 is not true without the Galois assumptions: there exist nonisomorphic extensions L and M of Q such that Spl. see Exercise 6. For nonabelian extensions the sets are still a mystery — it is known that they are not determined by congruence conditions — but Langlands’s conjectures shed some light.L=K/. of Algebraic number theory. a Galois extension L of K is determined by the set Spl. Since the Galois group of any extension of local ﬁelds is solvable. where l D OL =. (e) It is easy to give examples of polynomials f . This last statement is false for reducible polynomials — consider for example. E XAMPLE 8. (c) Proposition 8.L=K/. 147 .˘ /.X / 2 KŒX splits into linear factors mod p for all but ﬁnitely many primes p of K..C. 1967. including p D 1. D.
50 (1944). 148 . Amer. And after the ﬁrst year [as an undergraduate at G¨ ttingen] I went home with o Hilbert’s Zahlbericht under my arm.X / where k is a ﬁnite ﬁeld. 612–654.4 X 6 C 2X 5 C 3X 4 C 4X 3 C 5X 2 C 6X C 7:” (a) Can you ﬁnd it? (b) Can you ﬁnd it without using a computer? 84 Let K D k. Bull. and during the summer vacation I worked my way through it — without any previous knowledge of elementary number theory or Galois theory. still comforts my soul.8. 4I don’t remember where this quote is from. Hermann Weyl. whose shine. Assume that every valuation of K comes from a prime ideal of kŒX or kŒX 1 ]. say. Math. G LOBAL F IELDS 83 “It is a thoughtprovoking question that few graduate students would know how to approach the question of determining the Galois group of. Soc. These were the happiest months of my life. across years burdened with our common share of doubt and failure. and prove the product formula.
1961. y … pi ” 8i. which is not possible because S is multiplicative. Hence 2 can’t be factored into a product of nonunits. x. ˛ is unit (with inverse ˙ its conjugate). xy … pi ” xy 2 S: ): Let a … S . it is a union of the prime ideals not meeting S. (a) (: Let S D A i pi with the pi prime ideals.X / irreducible in KŒX . 3.X / D gi . 2.m C n 5/. and so I is prime.˛/ D ˙4.x/ properly contains I . by looking mod 5. and 2 is not an associate of the other two. 149 . Similar to Exercise 21 below. 3 C 5. x. because S is saturated. then ˇ is a unit.˛/ D ˙2 is impossible.˛/ D ˙1.˛/ D m2 n2 d 2 Z. Use that ˛ D m C n d is an algebraic integer if and only if Tr. and so gi . Then gi . The same argument applies to the other two elements. if Nm. [Cf.X / in some extension ﬁeld.˛/ D 2m 2 Z and Nm.X / has coefﬁcients in A (by 2. Suppose xy 2 I . For the ﬁnal statement. (b) Given S . from which it follows that Nm. and so . S 11. or ˙4. Comm. there exists c 0 C a0 y 2 S. if y … I . let S 0 D fx 2 A j 9y 2 A such that xy 2 Sg — verify that it is multiplicative and saturated. But .a/ \ S D . and S 1 M Š S 0 1 M for all Amodules. We have to show that 2. no. Let ˛ be a root of gi ..3 C 5/. then I C . If Nm. 02.2/ D Nm. one sees that Nm. moreover. 4 D 2 2 D . and Atiyah and MacDonald. and is the smallest such set containing S .X / is the minimum polynomial of ˛ over K. p p p If 2 and 3 C 5 were associates.x// \ S is nonempty — let c C ax 2 S with c 2 I and a 2 A. but this is impossible. Alg.ˇ/. no. 1.c 0 Ca0 y/ 2 I .3 By 5/.A PPENDIX A Solutions to the Exercises p 01. Bourbaki. Let I be maximal among the ideals of A containing a and disjoint from S — exists by Zorn’s Lemma.˛/ Nm. Therefore x or y 2 I .˛/ D ˙1. use that p remains prime in S 1 A if and only if S \ p D . then there would be a unit m C n 5 in ZŒ 5 such p p that 3 C 5 D 2.] p p p 21. 3 If 2 D ˛ˇ then 4 D Nm. Then . Q 22.p inspection. and 5 are irreducible. 7. Chapt. Suppose f . I’ll show that I is prime.. it is integral over A. ˙2. Similarly.X / with gi .9). y 2 S ” 8i.c Cax/. Because ˛ is a root of f . II.X /. Ex. If x … I .I C .
Qij =Pi / .2/a: If there were unique factorization into products of prime ideals. Hence 3jg.Q =P / 42. 0 Ä j Ä m. . it is a Noetherian kŒX 2 module. 1 C 3/ D . then ab D ac. X 3 kŒX . a ¤ 0 ) b D c: p 3 doesn’t have this property. but 24. and so A=p is a ﬁnitedimensional vector space over k. f jg 3h ” 3jg: N (c) O. and so a ¤ .X / is integral over A because it is a root of the polynomial T 2 X 2 2 AŒT . 2 C 2 3/ D .30). Therefore A is not integrally closed.X / .2.Pi =p/ D Y i. ˇ m g. 26. We can apply (2. Since it is an integral domain.K. (d) Since F3 has only 3 elements. The element X of k. there are only 3 monic polynomials of degree 1. Clearly 2 does not divide 1 C p p p p a2 D .Pi C /e. Y kŒX D A and p D . Q e.f . we can write ˛ D a0 C a1 ˇ C ˛ D b0 C b1 ˇ 1 C am ˇ m C C bn ˇ n : Let M be the Asubmodule of B generated by fˇ n . 3 C 7/=2 is a root of the polynomial X 4 5X 2 C 1. : : : . and a fortiori as an Amodule. then p contains a nonzero polynomial.4. 1. Therefore. i ¤ j . 0 Ä i Ä n. 41. Let A D kŒX 2 . it must be a ﬁeld (see 3.2/.P =p/ Q e.X /.4.X // ' ZŒ˛. one ﬁnds that X 7! ˛W ZŒX ! ZŒ˛ deﬁnes an isomorphism ZŒX=. and from the second equation we ﬁnd that ˛ˇ j 2 M . As kŒX D kŒX 2 1 C kŒX 2 X. we ﬁnd that ˛ˇ i 2 M . and this implies that P P n . Y / . an ideal in A is ﬁnitely generated when regarded as a kŒX 2 module. Then pC D 150 Y i k D A and . but X … A. ˛i /n Á ˛i mod 3: The rest is easy. By hypothesis.Y /. : : : . (b) Using Gauss’s Lemma. 2 C 2 3/ D .˛/ ” 9h 2 ZŒX s. are divisible by 3. From Galois theory (or playing around. ˛ p D a 2 K.A.j Qij e. Let ˛ 2 AŒˇ \ AŒˇ 1 . and so p is maximal. 31. Consider ﬁrst the case that L D KŒ˛. Thus A Noetherian.4) to deduce that ˛ is integral over A. From the ﬁrst equation.X. (a) Check easily that the products ˛i ˛j . For example. take B D kŒX. S OLUTIONS TO THE E XERCISES 23. It is not a Dedekind domain because it has a chain of prime ideals .Pi =p/e. We have shown that the ring ZŒ 25.t. Write pB D Pi i and Pi C D Qij ij i . p p 3 in ZŒ 3. or from PARI) ﬁnd that . If p is nonzero prime ideal of A. or B D kŒX p D . 34.0/: p p 32. 2 C 2 3.2/.
OK =ZŒi / D . we have m ami L D . No! Some p inﬁnite sets: p fm 2 Œm 2 j m.˛i /mi : i Since the group of fractional ideals is torsionfree. only 31 ramiﬁes. this equation implies that ai OL D .2 i / has norm 1. then Nm 1 D ˙p D Nm 2 .2 i / in QŒi . only the divisors of .i 0 . 2 1/n j n 2 Ng. No! One way to obtain a counterexample is to note that. ai 2 K.5). observe that D. Because the ideal class group is ﬁnite. Œ Dinteger part. The possibilities are determined by ei fi D 3. not all ai 2 Z. Let a1 . and so OK D ZŒ˛.23. D 1C2 5 . Then disc.X C 28/. but will not be an algebraic integer. 61. Let ˛ be a root of X 3 3X C 1.9). ˛i 2 L. but not in QŒ 5. and so it ramiﬁes in K with ramiﬁcation index 2 (this follows from the multiplicativity of the e’s).˛i i / D .˛i /. In the group of fractional ideals of L. The discriminant of X 3 X C 2 is . Since disc. To show that the class number is 1. 47. For the second part of the problem. it is only necessary to show that the ideals dividing . From their minimum polynomials.i. All possibilities except . p f n2 C 1 n j n 2 Ng. this problem becomes much easier once one has (6. Since the discriminant is 31. we must have s D 0.5/ (in ZŒi ) can ramify in K . and 5 is not a square p in ZŒi. and X 3 C X C 1 Á .5/. / D 5.1. and so .2 C i /=. Alternatively. and the fundamental unit is p 48842 C 5967 67: 53.ai / D . see the start of 4 of the notes.2/ are principal. 44. where m is the order of b in the class group. To show that OK D ZŒi Œ .2 C i /. each of the ai is of ﬁnite order. and so 1 = 2 has norm ˙1. [In fact.p/ D p3 occur. note that any root of an irreducible polynomial X n C a1 X n 1 C C 1. but this is very difﬁcult to prove — it is the Principal Ideal Theorem (see CFT). ah be a set of representatives of the ideal classes. 1/s .6).X C 17/2 mod 31. In order to show that two ideals a and b are equivalent. and hence only 2 and 5 can ramify in K. 151 p m 2 Zg . It sufﬁces to ﬁnd a ﬁeld L such that each ai becomes principal in L. but it is not an algebraic integer. ai 2 Q. and Stickleberger’s lemma shows 26 is not a possible discriminant.ZŒ˛=Z/ D 81. f˛ j ˛ is the smaller root of X 2 C mX C 1 D 0. Similarly. will have norm ˙1. say ai D ˛i i . The prime 2 ramiﬁes in QŒi . now apply Lemma 2. The period is 10. : : : . it is often easiest to verify that a bm 1 is principal.] 51. if a prime p factors as p D 1 2 ( i nonassociate primes) in a quadratic extension of Q.] 46. The proof p that QŒ 5 has class number 2 is sketched in (4. [Of course. 26/22 . r D 3 — three real embeddings. j / D .ai /. Since its sign is . every ideal of K becomes principal in the Hilbert class ﬁeld of K (see 4. say ami D .and Qij ¤ Qi 0 j 0 unless . P 43. n 2 Zg. For example 5 D . p f. 45. Compute the Minkowski bound to ﬁnd a small set of generators for the class group. 5 ramiﬁes in K with ramiﬁcation index 2. j 0 /. 52. Let L be a ﬁnite extension of K such i m that each ai becomes an mi th power in L.
It follows that the algebraic P integers in QŒ C 1 are those elements that can be expressed ai . 5. Newton’s lemma shows that this condition is also sufﬁcient. On expanding this out. ai 2 Z. 2.32) again shows that it has a root in Z2 . 62. (b) Apply the method of proof of (7. i 73. ˙5.˛ C 1/ D Z=.31) to ﬁnd a D 1 C 5 7 C 73 C 2 74 C 5 75 C : p 75. a quadratic extension of k is of the form kŒ a for some a 2 k. there is a solution. is a square if and only if n is even and u is a square in Z2 . and so K D Z C . and e D 3. Hence f˙1. because X 3 3X C 1 is irreducible modulo 2. The second equality implies that OK =.Z=. If a D 0. and so we now take a ¤ 0. (a) Easy. The elements ˙1. From the formula .˛ C 1/3 D . m 0.X / D X 2 17 and a0 D 1. and two nonsquare elements a and b of k deﬁne the same quadratic extension if and only if they differ by a square (FT. we ﬁnd K that there can be no further factorization. ai 2 Q: P Suppose an is the last coefﬁcient not in Z.˛ C 1/K . The Minkowski bound is 2. with b an integer that is not divisible by 7 but is a square modulo 7 (hence b Á 1. and multiplying through by n . We have to ﬁnd a set of representatives for Q2 2 in Q2 . Clearly an element u 2n of Q2 .27).3/ in O .m/=2. X 2 17.A. i C i /. and if p ¤ 2.p/ is a square. Let g. ˙10.8/ D Z=. 2. (a) Because the product of two nonsquares in Z=. and 2 OK is prime.˛ C 1/ ei fi D 3. We can write it P ˛ D ai . If k is a ﬁeld of characteristic ¤ 2. OQŒ C 1 D OQŒ \QŒ C 1 . 0 Ä i < '. Then jg. S OLUTIONS TO THE E XERCISES one sees that ˛ and ˛ C 2 are algebraic integers with norms 1 and 1P respectively. b 2 Z. ˙2. clearly it is necessary that a D 72mC1 b. To have a solution in Z7 . 152 . f D 1.8/. Second solution: Clearly. First solution: Let ˛ be an algebraic integer in QŒ C 1 .a0 /2 j2 D 1=4 and so Newton’s lemma (7. Now prove inductively that i C i 2 ZŒ C 1 . 4 mod 7). b Á 1. X 2 34 has a root modulo p. 17. ˙5 form a set of representatives for . and of these only 1 is a square. the root is simple and hence lifts to a root in Zp (by Newton’s lemma). 74. Then ˛ 0 D nD0 ai . and least one of X 2 2. u 2 Z2 . The proof that OK D ZŒ˛ proceeds as in the proof of 6. ˙5 ˙ 2. m 2 Z. and so it has a root in Z17 . 7X 2 D a has a solution in Q7 if and only if a D 72mC1 b.3/. From 3 D 3˛. (b) Show sn D nD0 ai is Cauchy if and only if ai ! 0.2.a0 /j2 D 1=16 and jg 0 . P 72. C 1 /i . C 1 /i is also an algebraic i integer. we ﬁnd that n 0 ˛ D an 2n C terms of lower degree in . ˙10g is a set of representatives for Q2 =Q2 2 . and so the distinct quadratic p extensions of Q2 are the ﬁelds QŒ a] for a D 1.˛ C 2/ we ﬁnd . For a 2 Q. a … k 2 . Thus the quadratic extensions of k are in onetoone correspondence with the cosets of k 2 in k other than k 2 itself. an … Z: This contradicts the fact that n ˛ 0 is in ZŒ . and Newton’s lemma shows that u is a square in Z2 if (and only if) it is a square in Z2 =. The polynomial X 2 2 has 6 as a simple root modulo 17. 4 mod 7.8// .
X / factors as stated. TheQ same is true of the decomposition groups of the primes lying over p.f . Therefore the degree is 2m (alternatively.60) implies that Qp Œ˛ t Qp Œˇ. Course. is f . See CFT VII. fP 1.K=Q/. The element is moved by every element of Gal. /D m .p 1/ roots of 1. and so Krasner’s lemma (7. :::. each of length 2. ˛2 . and so it generates K. here m Z p 1 U1 . Then ˛ t is further from its conjugates than it is from ˇ. Its Newton polygon for 5 has slopes 1=2. ˛2 . its discriminant is 2012). and one shows that Qp Q2 There is a general formula. and 5=2.X / has multiple roots modulo 2 (according to PARI. in Q5 ŒX it is a product of three polynomials f D f1 f2 f3 . . Correspondingly. 153 1 . (a) The polynomial X3 C X2 C X C 1 has the factor X 1. we see that 2 doesn’t ramify in K. p does not divide n. every element has square 1). and so 2 does not divide disc OK =Z. and hence is irreducible over Q. 81. The Newton polygon of f . Let ˛ t D nD1 n p n . and this is impossible.K=Q/ is abelian of exponent 2 (i. ˛i 1 . As n ! 1..e. Let U D Zp and let Ui be the subgroup 1 C p i Zp of U .K W K for any ﬁnite extension K of Qp . Write K ˝Q Qp D Ki . and so it splits over Q2 . Then ˛i … QŒ˛1 .fi . This implies that f . but X3 C X2 C X is irreducible because it is irreducible modulo 5: (b) Consider f D X 6 C 3 5X 5 C 3 5X 4 C 3 54 X 3 C 3 54 X 2 C 3 59 X C 3 59 : It is Eisenstein for 3. Using P that ei fi D 3. number it ˛1 . so that Ki KŒX =. Each of the fi is irreducible because the ﬁeld generated by a root of it is ramiﬁed (because the slope isn’t an integer). where f is the smallest integer such that njp f 1... On the other hand 2j disc. we know from (7. :::. 77.2).X // where fi . 2.1) shows that j j2 has three distinct extensions to K. If 2 occurs among the ˛i . use Kummer theory). 76.X / in Qp ŒX (cf. It follows (by induction) that Qp Œˇ contains all the n . The group Gal.3. Then K D Qp Œˇ is a Pt ﬁnite extension of Qp . The degree of Qp Œ n . kmk m W 1/ m is the group of mt h roots of 1 in K.There is a description of the structure of Qp in Serre. Now (8. U1 D f˙1g U2 . U1 Zp .X / is the i t h irreducible factor of f . and so a ﬁnite extension K of Qp can contain ! n al only ﬁnitely many n ’s. p ¤ 2I U2 Z2 : Z U1 . II.27) that Qp contains the group st p 1 of .X // because f . 3=2.X / D X 3 X 2 2X 8 has three distinct slopes 1. 3. 8. Kummer theory and the description of Qp given above show that ŒKi W Qp Ä 4 if p ¤ 2 and ŒKi W Q2 Ä 8 (because their Galois groups are abelian of exponent 2). ˛i 1 because pi does not ramify in QŒ˛1 . 78. Suppose n p converges to ˇ 2 Qp ..
154 . Prime ideals of kŒX and kŒX 1 deﬁne the same valuation of k. . X deg p. .X /= h. .X /k D q deg g : Thus the product formula is equivalent to the formula. irreducible. mod 5. .A. 83.F5 / (group of invertible 2 2 matrices over F5 modulo the scalar matrices aI2 . and is isomorphic to PGL2 .X / dividing g.X / is Â kg. which is obvious.deg 1/ 2 .deg 2/2 I mod 79. 3.deg 3/ .X /. and the normalized valuation corresponding to X 1 is Â Ãdeg h 1 kg. 84. a 2 F5 ).X / of kŒX .X / deg h. 2 C 2 C 2: No element of type 2. Thus it is the group T 14 in the tables in Butler and McKay (see p141) of the notes. It has order 120. S OLUTIONS TO THE E XERCISES 82.deg 5/I mod 19.X / if and only if they generate the same prime ideal of kŒX.X /= h.deg 1/ . 3 C 3.ordp g ordp h/ D deg g p.X /k D 1 q deg p Ãordp g ordp h where q D #k and ordp . (a) In PARI. 3 C 2.deg 3/. X 1 .deg 2/3 : Thus the Galois group of f has elements of type: 6.g/ is the power of p.deg 1/2 mod 61.deg 4/I . Thus there is one valuation ordp for each monic irreducible polynomial p. 1 C 5. 1 C 1 C 4. 1 C 1 C 2 C 2. type polgalois(X^6+2*X^5+3*X^4+4*X^3+5*X^2+6*X+7): (b) There are the following factorizations: mod 3. Straightforward. and one for the polynomial X 1 in kŒX 1 . The normalized valuation corresponding to p. mod 13. . or 4 C 2 turns up by factoring modulo any of the ﬁrst 400 primes (so I’m told).
. 155 . 4.1 C i /= 2 an algebraic integer? p (b) Is ZŒ 29 a principal ideal domain? 2. Show that the groups I. Let be a primitive 8t h root of 1. For each prime ideal P of OK . Show that QŒ contains exactly 3 subﬁelds of degree p p p 2 over Q. QŒ 2. (a) Is . at least. Let ˛ and be nonzero elements of the ring of integers OK of a number ﬁeld K with irreducible (i. p 1.P/ be the inertia group.P/ generate G. explain) your answers. If j˛ 3 .A PPENDIX B Twohour examination Prove (or. 3. QŒ 2. Let K D QŒ˛ where ˛ is a root of X n 2.e. 6. where is a primitive 3rd root of 1. can you conclude that j˛? What condition on the class group would allow you to conclude this? 5. n 2: (a) Find ŒK W Q: (b) In how many ways can the usual archimedean valuation on Q be extended to K? (c) Same question for the 2adic valuation. Let K be a ﬁnite Galois extension of Q with Galois group G. let I. Find the Galois group of K over Q3 and its ramiﬁcation groups. Let K D Q3 Œ . and they are QŒ 1. D ab ) a or b a unit). (d) Find the rank of the group of units in OK and the order of its torsion subgroup.
C. From Euler to Eisenstein. Reprinted in o Artin 2007. XI. Univ. Algebraic number ﬁelds. A course in computational algebraic number theory. R. 1977. Providence. Cambridge Mathematical Library. a division of John Wiley & Sons. Vol. Berlin. second edition. SpringerVerlag. Theory of algebraic numbers. A genetic introduction to algebraic number theory. Theory of algebraic integers. Cambridge. I. F. 529–561. Bull. G. in the Winter Semester. Springer. The development of the principal genus theorem. C OHN . pp. 1877. SpringerVerlag. JANUSZ . Chapman & Hall. Algebraic numbers and algebraic functions. Abh. volume 3 of London Mathematical Society Student Texts. In The shaping of arithmetic after C. A. 1956/7. Cambridge University Press. RI. Cambridge University Press. 1996. D EDEKIND . Math. W. F. Notes by Gerhard W¨ rges from lectures u held at the Mathematisches Institut G¨ ttingen. Gauss’s Disquisitiones arithmeticae. 1991. ¨ F R OHLICH . 156 . volume 138 of Graduate Texts in Mathematics. Hambg. E. L EMMERMEYER . American Mathematical Society. 2009. SpringerVerlag. J. 1991. volume 50 of Graduate Texts in Mathematics. M. volume 7 of Graduate Studies in Mathematics. M. Germany. Jacobi and Kummer’s ideal numbers. Semin. C ASSELS . F. Representation theory of ﬁnite groups and associative algebras. Berlin. New York. J. Springer Monographs in Mathematics. Cambridge University Press. L EMMERMEYER . S. AND TAYLOR . G¨ ttingen. Algebraic number theory. C OHEN . AND R EINER . e e 1:?–? D EDEKIND . Fermat’s last theorem. Local ﬁelds. W. des Sc. R. 2007. London. F. 1996. 1959. Math. o Translated and distributed by George Striker. volume 27 of Cambridge Studies in Advanced Mathematics. M. Berlin. 2000. 1962. 1986. E DWARDS . Reciprocity laws. Cambridge. Cambridge.Bibliography A RTIN . J. Chapman and Hall Mathematics Series. Schildweg 12. New YorkLondon. P. Translated from the 1877 French original and with an introduction by John Stillwell. Interscience Publishers. H. Pure and Applied Mathematics. C URTIS . Sur la th´ orie des nombres entiers alg´ briques. 79:165–187. L EMMERMEYER . 1993. H.
Paris. volume 30 of Encyclopedia of Mathematics and its Applications. E. P OHST. Actualit´ s Sci.. On class ﬁeld towers. 1989. Algebraic number theory. pp. e e W EISS . 1962.C. S ERRE . In Algebraic Number Theory (Proc. SpringerVerlag. NARKIEWICZ . Thompson. Indust. Berlin. S. Brighton. J. 231–249. Publications de l’Institut de Math´ matique de e l’Universit´ de Nancago. Soc. 2006. J.. No. M ILNE . Algorithmic algebraic number theory. 1963.Bibliography L ENSTRA . New York. W. Amer. McGrawHill Book Co. 1965). J R . H. Algorithms in algebraic number theory. Math. Hermann. 1296. P. D. Washington.S. Corps locaux. H. Instructional Conf. W.. ROQUETTE . M..) 26:211–244.. second edition. Cambridge. Elementary and analytic theory of algebraic numbers. AND Z ASSENHAUS . Cambridge University Press. Elliptic Curves. BookSurge Publishers. 1992. Bull. (N. Inc. 157 . 1967. 1990. VIII.P.
34 good. 115. 60. 68 class number. 22 lattice. 80 global ﬁeld. 116 local ﬁeld. 31 Eisenstein polynomial. 25. 27 norm. 48 integral basis. 34 basis. 46 principal. 68 ideal fractional.Index algebra. 60 element irreducible. 144 Newton’s polygon. 40 discriminant. 120 nilpotent. 137 full lattice. 4. 26. 135 Hermite normal form. 1 equivalent valuations. 8 nondegenerate bilinear form. 55 Noetherian module. 25 binary quadratic form. 10 Newton’s. 71 cyclotomic polynomial. 116 Krasner’s. 104 ﬁeld of fractions. 8 Minkowski bound. 10 local uniformizing parameter. 125 Eisenstein’s criterion. 68 lemma Hensel’s. 127 Nakayama’s. 49 discrete valuation ring. 126 158 inertia. 42 discrete subgroup. 73 . 68 fundamental parallelopiped. 110 continued fraction. 36 Hilbert class ﬁeld. 48 complete ﬁeld. 30 integral closure. 11 Frobenius element. 65 multiplicative subset. 47 ideal class group. 135 higher ramiﬁcation. 92 Dedekind domain. 27. 1 algorithm. 126 splitting. 2 prime. 22 integral element. 70 fundamental system of units. 10 Noetherian ring. 110 class ﬁeld tower. 131 group decomposition. 19 integrally closed ring. 7 algebraic integer. 86 convex set. 111 maximal ideal. 11 natural density. 46 integral. 126 ramiﬁcation. 65 Minkowski constant. 77 Cauchy sequence. 34 practical. 122 local ring. 68 discrete valuation.
60. 63 normalized discrete valuation. 1 unramiﬁed. 22 Sinteger. 89 relatively prime. 85 symmetric in the origin. 133. 32. 51 invariant factor. 19 elementary. 58. 101 discrete. 17 the class number is ﬁnite. 127 tensor product. 91 reduced. 107 primes that ramify. 103 trace. 134 Stickelberger’s. 56 Fermat’s Last. 98 fractional ideals form group. 67. 35. 5. 14 theorem Chebotarev density. 8 primitive nth root of 1. 144 Chinese Remainder. 80. 2 unit. 53 tensor product of ﬁelds. 121. 101 wildly ramiﬁed. 47 integral closure of Dedekind domain. 83 topology 159 padic. 127 . 107. 146 prime ideal. 25 unique factorization domain. 118 factoring primes in an extension. 54 product formula. 95 Dedekind’s on computing Galois groups. 143. 13 Chinese Remainder (for modules). 52 Minkowski bound. 101 trivial. 55 regulator. 106. 37. 65 unique factorization of ideals. 85 Sunit. 142 extending valuations.Index numerical. 65 modules over Dedekind domain. 67 valuation archimedean. 49 PARI. 71 symmetric polynomial. 52 points in lattice. 43 unit. 64 norm of an ideal. 70 primes of a number ﬁeld. 14 cyclotomic ﬁelds. 92. 33 sum of ef’s is the degree. 19 tamely ramiﬁed. 103 multiplicative. 13 ring of integers.
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