ALGEBRAIC NUMBERS AND

ALGEBRAIC FUNCTIONS
Notes on Mathematics and I t s Applications

General Editors: Jacob T. Schwartx, Courant Institute of Mathe-

matical Sciences and Maurice Lbvy, Universitk de Paris Algebraic Numbers and
E. Artin, ALGEBRAIC NUMBERS AND ALGEBRAIC FUNCTIONS
R. P. Boas, COLLECTED WORKS OF HIDEHIKO YAMABE
M . Davis, FUNCTIONAL ANALYSIS
Algebraic Functions
M . Davis, LECTURES ON MODERN MATHEMATICS
J. Eells, Jr., SINGULARITIES OF SMOOTH MAPS
K. 0. Friedrichs, ADVANCED ORDINARY DIFFERENTIAL EQUATIONS
K. 0. Friedrichs, SPECIAL TOPICS I N FLUID DYNAMICS
K. 0. Friedrichs and H . N . Shapiro, INTEGRATION IN HILBERT SPACE
M . Hausner and J. T. Schwartz, LIE GROUPS; LIE ALGEBRAS
P . Hilton, HOMOTOPY THEORY AND DUALITY
I;: John, LECTURES ON ADVANCED NUMERICAL ANALYSIS
Allen M. Krall, STABILITY TECHNIQUES
H . Mullish, AN INTRODUCTION TO COMPUTER PROGRAMMING
J. T. Schwartx, w* ALGEBRAS
A . Silverman, EXERCISES IN FORTRAN
J . J. Stoker, NONLINEAR ELASTICITY
EMIL ARTIN
Late of Princeton University
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 Preface

These lecture notes represent the content of a course given at

Princeton University during the academic year 1950151. This
course was a revised and extended version of a series of lectures
given at New York University during the preceding summer.
They cover the theory of valuation, local class field theory, the
elements of algebraic number theory and the theory of algebraic
function fields of one variable. I t is intended to prepare notes for
a second part in which global class field theory and other topics
will be discussed.
Apart from a knowledge of Galois theory, they presuppose a
sufficient familiarity with the elementary notions of point set
topology. The reader may get these notions for instance in
N. Bourbaki, Eltments de Mathtmatique, Livre III, Topologie
gtntrale, Chapitres 1-111.
I n several places use is made of the theorems on Sylow groups.
For the convenience of the reader an appendix has been prepared,
containing the proofs of these theorems.
The completion of these notes would not have been possible
without the great care, patience and perseverance of Mr. I. T . A. 0.
Adamson who prepared them. Of equally great importance have
been frequent discussions with Mr. J. T. Tate to whom many
simplifications of proofs are due. Very helpful was the assistance
of Mr. Peter Ceike who gave a lot of his time preparing the stencils
for these notes.
Finally I have to thank the Institute for Mathematics and
Mechanics, New York University, for mimeographing these notes.
Princeton University
June 1951
 Contents

v
vii

Part I General Valuation Theory

Chapter 1
VALUATIONSOF A FIELD

1. Equivalent Valuations . . . . . . . .
2. The Topology Induced by a Valuation . . . .
3. Classification of Valuations . . . . . . .
4. The Approximation Theorem . . . . . .
5. Examples . . . . . . . . .
6. Completion of a Field . . . . . . . .
Chapter 2
COMPLETEFIELDS
1. Normed Linear Spaces . . . . . . .
2. Extension of the Valuation . . . . .
3. Archimedean Case . . . . . . . . .
4. The Non-Archimedean Case . . . . . .
5. Newton's Polygon . . . . . . . .
6. The Algebraic Closure of a Complete Field . . .
7. Convergent Power Series . . . . . . .
Chapter 3

1. The Ramification and Residue Class Degree . . .

2. The Discrete Case . . . . . . . .
3. The General Case . . . . . . . .
 CONTENTS CONTENTS

Chapter 4 Chapter 9
RAMIFICATION THEORY THEEXISTENCE THEOREM
I. Unramified Extensions . . . . 1. Introduction . . . . . . . . . .
2. Tamely Ramified Extensions . 2. The Infinite Product Space I . . . . .
3. Characters of Abelian Groups . . . 3. The New Topology in K* . . . . . .
4. The Inertia Group and Ramification Group 4. The Norm Group and Norm Residue Symbol for
5. Higher Ramification Groups . Infinite Extensions . . . . . . . .
6. Ramification Theory in the Discrete Case . 5. Extension Fields with Degree Equal to the Characteristic
6. The Existence Theorem . . . . . . .
Chapter 5 7. Uniqueness of the Norm Residue Symbol . .
THEDIFFERENT
1. The Inverse Different . . . . Chapter 10
2. Complementary Bases . . . . APPLICATIONS AND ILLUSTRATIONS
3.
4.
Fields with Separable Residue Class Field
The Ramification Groups of a Subfield .
1. Fields with Perfect Residue Class Field . . . .
2. The Norm Residue Symbol for Certain Power Series
Fields . . . . . . . . . .
Part ll Local Class Field Theory 3. Differentials in an Arbitrary Power Series Field . .
Chapter 6 4. The Conductor and Different for Cyclic p-Extensions .
PREPARATIONS FOR LOCALCLASSFIELDTHEORY
5. The Rational p-adic Field . . . . . . .
6. Computation of the Index ( a : an) . . . . .
1. Galois Theory for Infinite Extensions . .
2. Group Extensions . . . .
3. Galois Cohomology Theory . . . . Part III
4. Continuous Cocycles . . . . Product Formula and Function Fields in One Variable

Chapter 7 Chapter 11
THEFIRSTAND SECOND INEQUALITIES
1. Introduction . . . . . 1. The Radical of a Ring . . . . . . . 2 1 5
2. Unramified Extensions . . . 2. Kronecker Products of Spaces and Rings . . . . 216
3. The First Inequality . . . . 3. Composite Extensions . . . . . . . 2 1 8
4. The Second Inequality: A Reduction Step . 4. Extension of the Valuation of a Non-Complete Field . 223
5. The Second Inequality Concluded . . .
Chapter 12
Chapter 8 CHARACTERIZATION OF FIELDSBY THE PRODUCT FORMULA
THENORMRESIDUE SYMBOL 1. PF-Fields. . . . . . . . . 2 2 5
1. The Temporary Symbol (c, K I KIT) . . . 2. Upper Bound for the Order of a Parallelotope . . . 227
2. Choice of a Standard Generator c . . . 3. Description of all PF-Fields . . . . . . 230
3. The Norm Residue Symbol for Finite Extensions 4. Finite Extensions of PF-Fields . . . . . . 235
xii CONTENTS CONTENTS

Chapter 13 Chapter 17
DIFFERENTIALS
IN PF-FIELDS IN FUNCTION
DIFFERENTIALS FIELDS
1. Valuation Vectors. Ideles. and Divisors . . . 2 3 8 I Preparations
. . . . . . . . . . . 321
2. Valuation Vectors in an Extension Field . 241 2. Local Components of Differentials . . . . . 322
3. Some Results on Vector Spaces . . . . 2 4 4 3 Differentials and .Derivatives in Function
. Fields . 324
4. Differentials in the Rational Subfield of a PF-Field . . 245 4. Differentials of the First Kind . . . . . 3 2 9
5. Differentials in a PF-Field . . . . . 2 5 1
6. The Different . . . . . 255 Appendix
THEOREMS
ON p-GROUPSAND SYLOWGROUPS
Chapter 14 1. S-Equivalence Classes . . . . 3 3 4
THERIEMANN-ROCH THEOREM 2. Theorems About $-Groups . . . . . . . 335
3. The Existence of Sylow Subgroups . . . . . 336
1. Parallelotopes in a Function Field . . 260 4. Theorems About Sylow Subgroups . . . . . 337
2. First Proof . . . . . . 2 6 2
3. Second Proof . . . . . . . 2 6 5

Chapter 15
CONSTANT
FIELDEXTENSIONS
1. The Effective Degree . . . . . . 2 7 1
2. Divisors in an Extension Field . . . . . 2 7 8
3 . Finite Algebraic Constant Field Extensions . . . 279
4 . The Genus in a Purely Transcendental Constant Field
Extension . . . . . . . . . 2 8 4
5. The Genus in an Arbitrary Constant Field Extension . 287

Chapter 16
THEOREM
OF THE RIEMANN-ROCH
APPLICATIONS
1. Places and Valuation Rings . . . . 293
2 . Algebraic Curves . . . . 2 9 7
3. Linear Series . . . . . . 3 0 0
4 . Fields of Genus Zero . . . 302
5. Elliptic Fields . . . . . . , . . . 306
6. The Curve of Degree n . . 3 1 1
7. Hyperelliptic Fields . . . . . . 3 1 2
8. The Theorem of Clifford . . . . 317
 PART ONE

General Valuation Theory

CHAPTER ONE

Valuations of a Field

A vahation of a field k is a real-valued function I x I , defined

for all x E k, satisfying the following requirements:
(I) I x I 2 0; ( x ( = 0 if and only if x = 0,
(2) IXYI = 1x1 l y I,
+
(3) If I x I < 1, then I 1 x I < c, where c is a constant;
c 2 1.
(1) and (2) together imply that a valuation is a homomorphism of
the multiplicative group k* of non-zero elements of k into the
positive real numbers.
If this homomorphism is trivial, i.e. if I x [ = 1 for all x E k*,
the valuation is also called trivial.

1. Equivalent Valuations

Let I I, and I ,1 be two functions satisfying conditions (I) and

(2) above; suppose that ( ,1 is non-trivial. These functions are
said to be equivalent if I a ,1 < 1 implies I a 1, < 1. Obviously for
such functions ( a ,1 > 1 implies 1 a ,1 > 1; but we can prove
more.

Theorem 1: Let I ,1 and I ,1 be equivalent functions, and

suppose I ,1 is non-trivial. Then 1 a 1, = 1 implies ( a ,1 = 1.
Proof: Let b # 0 be such that I b 1, < 1. Then I anb 1, < 1;
whence 1 anb ,1 < I, and so 1 a 1, < 1 b ];lln. Letting n +a,
we have I a 1, < 1. Similarly, replacing a in this argument by l l a ,
we have I a 1, 2 1, which proves the theorem.
3
4 1. VALUATIONS OF A FIELD 2. THE TOPOLOGY INDUCED BY A VALUATION

Corollary: For non-trivial functions of this type, the relation

of equivalence is reflexive, symmetric and transitive.
There is a simple relation between equivalent functions, given
by Now given a , , a , , a*., a , , we can find an integer r such that
n < 2'< 2n. Hence
Theorem 2: If j 1 , and / 1 , are equivalent functions, and I I I
is non-trivial, then I a 1 , = I a lla for all a E k, where or is a fixed
positive real number.
Proof: Since 1 1 , is non-trivial, we can select an element In particular, if we set all the a , = 1, we have I n 1 < 2n. We may
c E k* such that I c 1 , > 1; then I c 1 , > 1 also. also weaken the above inequality, and write
Set 1 a 1, 1
c l,Y, where y is a non-negative real number. If
=
m/n > y, then 1 a 1 , < 1 c llmln, whence 1 an/cm1 , < 1. Then
I an/cm1 , < 1, from which we deduce that I a 1 , < I c I,mln. Simi-
larly, if m,n < y, then I a 1 , > 1 c I m Jn. It follows that I a ,1 = I c Jk.
Now, clearly,
1% l a I, log I a I ,
Y=logJcJ,=log~
This proves the theorem, with

In view of this result, let us agree that the equivalence class

defined by the trivial function shall consist of this function alone.
Our third condition for valuations has replaced the classical
"Triangular Inequality" condition, viz., 1 a b1+ < 1 a 1 Ib 1 +
T h e connection between this condition and ours is given by
Theorem 3: Every valuation is equivalent to a valuation for
which the triangular inequality holds.
.
Letting n +co we obtain the desired result.
We may note that, conversely, the triangular inequality implies
that our third requirement is satisfied, and that we may choose
c = 2.

Proof. (1) When the constant c = 2, we shall show that the ( 2 ) When c > 2 , we may write c = 2". Then it is easily verified
triangular inequality holds for the valuation itself. that ( Illa is an equivalent valuation for which the triangular
Let ] a ]G j b j . inequality is satisfied.
Then

2. The Topology Induced by a Valuation

Similarly Let I I be a function satisfying the axioms (1) and ( 2 ) for valua-
tions. In terms of this function we may define a topology in k by
6 1. VALUATIONS OF A FIELD 3. CLASSIFICATION OF VALUATIONS

prescribing the fundamental system of neighborhoods of each Theorem 5: For non-archimedean valuations,
element xo E k to be the sets of elements x such that I x - xo I < E .
It is clear that equivalent functions induce the same topology in k, Ia+bI <max(laI,(bI).
and that the trivial function induces the discrete topology.
Proof. Let 1 a 1 <
1 b 1; then 1 a/b ( < 1. It follows that
There is an intimate connection between our third axiom for
valuations and the topology induced in k. I +
1 alb I< 1, whence
I a + b I < I b I =max(Ia
Theorem 4: The topology induced by 1 I is HausdorfT if
and only if axiom (3) is satisfied.
Proof: (1) If the topology is HausdorfT, there exist neighbor-
hoods separating 0 and - 1. Thus we can find real numbers a and b
such that if I x 1 < +
a, then I 1 x 1 >, b.
Now let x be any element with I x 1 <
1; then either
+ < +
I 1 x 1 l l a or I 1 x 1 > l/a. In the latter case, set by the Theorem. By hypothesis, I b / is not <
/ a I, so that we
+
y = - xi(1 x); then have 1 b I < +
1 a b I . But using the theorem again we have

Thusif la1 < J b ( , t h e n l a + b I = I b / .

hence We notice that this equality does not necessarily hold when
l a / = I bI;forexample,ifb = - a , w e h a v e I a + b j = O < l a [ .
In general we have

i.e. I 1 + x / < llb. We conclude, therefore, that if I x I < 1, then

I1 + x I < max (lla, llb), which is axiom (3).
(2) The converse is obvious if we replace I / by the equiva-
lent function for which the triangular inequality holds.
It should be remarked that the field operations are continuous
in the topology induced on k by a valuation. if, for every v > 1, I a, I < I a, I. This last result is frequently
used in the following form:

3. Classification of Valuations Corollary 5.2: Suppose it is known that 1 a, I <

1 a, I for all
v, and that 1 a, + +
--. a, 1 < 1 a, 1. Then for some v > 1,
If the constant c of axiom (3) can be chosen to be 1, i.e. if I a v I = Ia1I.
Ix 1 <
1 implies I 1 x 1 + <
1, then the valuation is said to be We now give a necessary and sufficient condition for a field to
non-archimedean. Otherwise the valuation is called archimedean. be non-archimedean:
Obviously the valuations of an equivalence class are either all
archimedean or all non-archimedean. For nonarchimedean valua- Theorem 6: A valuation is non-archimedean if and only if
tions we obtain a sharpening of the triangular inequality: the values of the rational integers are bounded.
8 1. VALUATIONS OF A FIELD 4. THE APPROXIMATION THEOREM

Proof: (1) The necessity of the condition is obvious, for if the For I a n - 0 1 = ( a I n e O as n-+co.
valuation is non-archimedean, then (b) If ( a 1 < 1, then
an
lim --
1
n --+a + an- O.
(2) T o prove the sufficiency of the condition we consider the (c) If 1 a 1 > 1, then
equivalent valuation for which the triangular inequality is satisfied.
Obviously the values of the integers are bounded in this valuation
<
also; say I m I D. Consider
For

< D(I a In +Ia In-l Ib ( 4- t We now examine the possibility of finding a relation between non-
l ) @ a x ( l a I , IbI))n. equivalent valuations; we shall show that if the number of valua-
tions considered is finite, no relation of a certain simple type is
Hence possible.
\a+bI<YD(n+l)max(Ia
Theorem 7: Let I I,, 1 1, be a finite number of inequiva-
a*.,

Letting n e c o , we have the desired result.
Corollary: A valuation of a field of characteristic p > 0 is
non-archimedean.
We may remark that if k, is a subfield of k, then a valuation of k
is (non-)archimedean on k, is (non-)archimedean on the whole
of k. In particular, if the valuation is trivial on k, , it is non-
archimedean on k.
lent non-trivial valuations of k. Then there is an element a E k
such that 1 a 1 , > 1, and 1 a l Y < 1 (V= 2, ...,n).
Proof. First let n = 2. Then since I ,1 and I 1 , are nonequivalent,
there certainIy exist elements b, c E k such that I b 1 , < 1 and
I b 1 , >, 1, while IcI, 2 1 and I c 1 , < 1 . Then a = c/b has the
required properties.
The proof now proceeds by induction. Suppose the theorem
is true for n - 1 valuations; then there is an element b E k such
that I b 1 , > 1, and I b I , < 1 (v = 2, n - I). Let c be an ele-
a*.,

4. The Approximation Theorem ment such that I c 1 , > 1 and I c 1, < 1. We have two cases to
consider:
Let {a,} be a sequence of elements of k; we say that a is the
limit of this sequence with respect to the valuation if
Case I : I b 1, < 1.Consider the sequence a, = cbr. Then
( a , / , = IcI, I b Ilr > 1,
while I a,I, = I cI,I b I n r < 1; for suf-
lim l a - a , \ =0. ficiently large r, ( a, 1, = I c 1 , ( b I v r < 1 (v = 2, ..., n - 1). Thus
n--+OO
a, is a suitable element, and the theorem is proved in this case.
The following examples will be immediately useful: Case 2: ( b 1, > 1. Here we consider the sequence
(a) If 1 a ( < 1, then cb,
. a, = -
lim an = 0
n-+CO
1 b"+
10 1. VALUATIONS OF A FIELD 5. EXAMPLES

This sequence converges to the limit c in the topologies induced

+
by I 1, and I I , . Thus a, = c 7, where I q, ll and I q,1, -t 0
as r +a. Hence for r large enough, I a, 1, > 1 and I a, 1, < 1.
For v = 2, ...,n - 1, the sequence a, converges to the limit 0
in the topology induced by I 1. . Hence for large enough values of r, Suppose, conversely, that we are given such a function on o. Then if
I a, 1. < 1 (v = 2, ..-,n - 1). Thus a, is a suitable element, for r x = alb (a, b E 0, x E k), we may define I x I = I a 111 b I; I x I is
large enough, and the theorem is proved in this case also. well-defined on k, and obviously satisfies our axioms (1) and (2)
for valuations. T o show that axiom (3) is also satisfied, let I x I<1,
Corollary: With the conditions of the theorem, there exists <
i.e. 1 a 1 1 b 1. Then
an element a which is close to 1 in I ,1 and close to 0 in I 1, (v = 2,
n - 1).
.-a,

Proof. If b is an element such that I b 1, > 1 and I b 1, < 1
(v = 2, ..., n - I), then a, = br/(l + br) satisfies our require-
ments for large enough values of r.
(The Approximation Theorem): Let I I,, .-.,I 1,
Theorem 8:
be a finite number of non-trivial inequivalent valuations. Given
any E > 0, and any elements a, (v = 1, .--, n), there exists an
element a such that I a - a, 1, < E .
Proof. We can find elements b, (i = 1, .-a,n) close to 1 in
I li and close to zero in I 1, (v # i).
Then a = a,b, + + anbn is the required element.
Let us denote by (k), the field k with the topology of I 1, imposed
upon it. Consider the Cartesian product (k), x (k), x x (k), .
The elements (a, a, a) of the diagonal form a field k, isomorphic
a*.,
Hence if k is the quotient field of an integral domain o, the
valuations of k are sufficiently described by their actions on o.
First Example: Let k = R, the field of rational numbers; k is
then the quotient field of the ring of integers o.
Let m, n be integers > 1, and write m in the n-adic scale:
(0 < a, < n; nT< m, i.r r < -)log m .
log n
Let I I be a valuation of R; suppose I I replaced, if necessary, by
the equivalent valuation for which the triangular inequality holds.
Then I a, I < n, and we have
< (- log m + 1) n .{max (1, I n

to k. The Approximation Theorem states that k, is everywhere Im / l)}logmeogn.

dense in the product space. The theorem shows clearly the impos-
sibility of finding a non-trivial relation of the type Using this estimate for I m Is, extracting the sth root, and letting
s -KO, we have
I m 1 < {max (1, I n I)}logmlogn.
There are now two cases to consider.
with real constants c, .
Case 1: In1 > 1 for alln > 1. Then
5. Examples
Since I m 1 > 1 also, we may interchange the roles of m and n,
Let k be the quotient field of an integral domain o; then it is obtaining the reversed inequality. Hence
easily verified that a valuation I I of k induces a function o (which
we still denote by I I), satisfying the conditions
12 1. VALUATIONS OF A FIELD
where a is a positive real number. It follows that
so that 1 1 is in this case equivalent to the ordinary "absolute value",
I x I = max (x, - x).
Case 2: There exists an integer n > 1 such that 1 n 1 ,< 1.
Then 1 m I < 1 for all m E o. If we exclude the trivial valuation,
we must have 1 n 1 < I for some n E o; clearly the set of all such
integers n forms an ideal (p) of o. The generator of this ideal is a
prime number; for if p = p d , , we have 1 p I = I PI I I p2 I < 1,
and hence (say) I p1 I < 1. This p, E (p), i.e. p divides p,; but p,
divides p; hence p is a prime. If I p I = c, and n = pvb, (p, b) = 1,
then I n I = c'. Every non-archimedean valuation is therefore
defined by a prime number p.
Conversely, letp be a prime number in D, c a constant, 0 < c < 1.
Let n = pvb, (p, b) = 1, and define the function I I by setting
I n I = cV.It is easily seen that this function satisfies the three
conditions for such functions on o, and hence leads to a valuation
on R. This valuation can be described as follows: let x be a non-
zero rational number, and write it as x = p~y,where the numerator
and denominator are prime to p. Then I x I = cv.
Second Example. Let k be the field of rational functions over a
field F: k = F(x). Then k is the quotient field of the ring of poly-
nomials o = F[x]. Let I I be a valuation of k which is trivial on F ;
I I will thus be non-archimedean. We have again two cases to
consider.
Case I : 1x1 > 1. Then if
c, # 0,we have
Conversely, if we select a number c > 1 and set
our conditions for functions on o are easily verified. Hence this
5. EXAMPLES 13
function yields a valuation of k described as follows: let
a = f(x)/g(x), and define
deg a = degf (x) - deg g(x) .
Then [ a I = cdega. Obviously the different choices of c lead only
to equivalent valuations.
Case 2: 1 x I < 1. Then for any f(x) E o, I f(x) I <1. If we
exclude the trivial valuation, we must have If(x) I < 1 for some
f(x) E D. As in the first example, the set of all such polynomials is
an ideal, generated by an irreducible polynomial p(x). If
I P(X) I = c, and f(x) = (P(x)Ivg ( 4 , (P(x), g@)) = 1, then
If(4 I = c v .
Conversely, if p(x) is an irreducible polynomial, it defines a
valuation of this type. This is shown in exactly the same way as
in the first example.
I n both cases, the field k = F(x) and the field k = R of the
rational numbers, we have found equivalence classes of valuations,
one to each prime p (in the case of F(x), one to each irreducible
polynomial) with one exception, an equivalence class which does
not come from a prime. T o remove this exception we introduce
in both cases a "symbolic" prime, the so-called infinite prime,
p, which we associate with the exceptional equivalence class. So
1 a lDm stands for the ordinary absolute value in the case k = R,
and for cdega in the case k = F(x). We shall now make a definite
choice of the constant c entering in the definition of the valuation
associated with a prime p.
(I) k = A. (a) p #pm . We choose c = l/p. If, therefore,
a # 0, and a = pvb, where the numerator and denominator of b
are prime to p, then we write I a ID = ( 1 1 ~ ) ~The
. exponent v
is called the ordinal of a at p and is denoted by v = ordp a.
(b) p = p, . Then let 1 a , I denote the ordinary absolute
value.
(11) k = F(x). Select a fixed number d, 0 < d < 1.
(a) p # p a , so that p is an irreducible polynomial; write
c = ddegp. If a # 0 we write as in case I(a), a = pvb, v = ord,,a,
and so we define I a ,1 = cv = ddegp.ordya.
14 1. VALUATIONS OF A FIELD 5. EXAMPLES 15

(b) p = p , , so that I a I = @pa. where c > 1. We choose
c = lld, and so define I a = d-dega.
I n all cases we have made a definite choice of 1 a 1, in the equiv-
alence class corresponding to p; we call this 1 a ,1 the normal
valuation at p.
The case where k = F(x), where F is the field of all complex
numbers, can be generalized as follows. Let D be a domain on the
Gauss sphere and k the field of all functions meromorphic in D.
If x, E D, X, f m , and f(x) E k, we may write
where g(x) E k (g(x,) # 0 or m), and define a valuation by
denoted by / f(x) 1,; the valuation given by 1 f ( x ) , I is now denoted
by I f(x) I, . We see that to each point of the Gauss sphere there
corresponds one of our valuations.
It was in analogy to this situation, that we introduced in the case
k = R, the field of rational numbers, the "infinite prime" and asso-
ciated it with the ordinary absolute value.
We now prove a theorem which establishes a relation between
the normal valuations at all primes p:
Theorem 9: In both cases, k = R and k = F(x), the product
I I p l a I p = 1.
We have already remarked that a relation of this form cannot be
obtained for any finite number of valuations.

Proof: Only a finite number of primes (irreducible polynomials)

divide a given rational number (rational function). Hence I a ,1 = 1
If X, =a,we write for almost all (i.e. all but a finite number of) primes p, and so the
f(x) = ( $ ) o r d m f ( x ) g(x) , product II, I a , 1 is well-defined.
If we write +(a) = IT, 1 a ,1 we see that $(ab) = +(a) $(b);
where g(x) E k (~(co)# 0 oroo), and define thus it suffices to prove the result for a = q, where q is a prime
(irreducible polynomial).
For q E R,

This gives for each x, E D a valuation of k - axioms (1) and (2)

are obviously satisfied, while axiom (3) follows from
1 f lxo < 1 + f is regular at x, For q E k(x),
1 + f is regular at x,
3

11 + f L 0 < 1-
3

The valuation / 1., obviously describes the behavior of f(x) at the This completes the proof.
point x,: We notice that this is essentially the only relation of the form
If 1 f 1%. < 1, or ordxo(f(x)) = n > 0, then f(x) has a zero of n 1 a 12 = 1. For if #(a) = II 1 a 12 = 1, we have for each
order n at x, . prime q
If I f 1%. > 1, or ordx0f(x) = n < 0, then f(x) has a pole or
order -n at x, .
If I f lxo = 1, then f(x) is regular and non-zero at x, .
Should D be the whole Gauss sphere, we have k = F(x); in this But I q 1, I q 1, = 1 by the theorem; hence
case the irreducible polynomials are linear of type (x - x,). The
valuation I f(x) lx-xo as defined previously is now the valuation
16 1. VALUATIONS OF A FIELD

Thus e, = e,, and our relation is simply a power of the one Hence we have
established before.
The product formula has a simple interpretation in the classical
case of the field of rational functions with complex coefficients. Taking the m-th root, and letting m +a,we obtain
I n this case
+(a) = d number of zeros-number of poles = 1;
so a rational function has as many zeros as poles.
Now that the valuations of the field of rational numbers have our theorem is proved in this case also. Since the constant c for an
been determined, we can find the best constant c for our axiom (3). extension field is the same as for the prime field contained in it,
it follows that if the valuation satisfies the triangular inequality
Theorem 10: For any valuation, we may take on the prime field, then it does so also on the extension field.
c=m=(IlI,(20*

Proof. (1) When the valuation is non-archimedean, 6. Completion of a Field

c=1=111>,12). Let I I be a valuation of a field k; replace I I, if necessary, by an
(2) When the valuation is archimedean, k must have charac- equivalent valuation for which the triangular inequality holds.
teristic zero; hence k contains R, the field of rational numbers. A sequence of elements {a,} is said to form a Cauchy sequence with
The valuation is archimedean on R, and hence is equivalent to respect to I I if, corresponding to every E > 0 there exists an integer
the ordinary absolute value; suppose that for the rational integers n N such that for p, v 2 N, I ap - a, I < E.
we have I n / = no. Write c = 2 ~ then
; A sequence {a,) is said to form a null-sequence with respect to
I I if, corresponding to every E > 0,there exists an integer N such
(a+bI<2"max(Ial,Ibl). that for v 2 N, I a, I < E.
k is said to be complete with respect to / I if every Cauchy sequence
By the method of Theorem 3, we can deduce with respect to I I converges to a limit in k. We shall now sketch
I a, + + a, I < ( 2 ~ ) ~ m1aa,x I . the process of forming the completion of a field k.
The Cauchy sequences form a ring P under termwise addition
As a special case of this we have and multiplication:

I t is easily shown that the null-sequences form a maximal ideal

Now N in P; hence the residue class ring PIN is a field k.
The valuation I I of k naturally induces a valuation on A; we still
denote this valuation by I I. For if a E k is defined by the residue
since class of PIN containing the sequence (a,}, we define I ar I to be
lim,,, I a, I. To justify this definition we must prove
(a) that if {a,} is a Cauchy sequence, then so is {I a, I},
 1. VALUATIONS OF A FIELD

(b) that if {a,) E {b,) mod N, then lim I a, I = lim I b, I,

(c) that the valuation axioms are satisfied.
The proofs of these statements are left to the reader.
If a E k, let a' denote the equivalence class of Cauchy sequences CHAPTER TWO
containing (a, a, a, ..-); a' E k. If a' = b', then the sequence
((a - b), (a - b), EN, SO that a = b. Hence the mapping c$
-.a)

of k into k defined by +(a) = a' is (1, 1); it is easily seen to be an Complete Fields
isomorphism under which valuations are preserved: I a' I = I a I.
Let k' = +(k); we shall now show that kt is everywhere dense in k.
T o this end, let a be an element of k defined by the sequence {a,).
We shall show that for large enough values of v, I a - a: I is as 1. Normed Linear Spaces
small as we please. The elemnt a - a: is defined by the Cauchy
sequence {(a, - a,), (a, - a,), ...), and Let k be a field complete under the valuation I I, and let S be a
finite-dimensional vector space over k, with basis w, , w, , ..., w, .
Ia--a;I= lim l a , - a , ) ; Suppose S is normed; i.e. to each element a E S corresponds a
P--XI
real number I I a 11, which has the properties
but since {a,} is a Cauchy sequence, this limit may be made as
small as we please by taking v large enough.
Finally we prove that k is complete. Let {a,) be a Cauchy
sequence in k. Since kt is everywhere dense in k, we can find a
sequence {a,') in k' such that I a,' - a, I < llv. This means that
{(a,' - a,)) is a null-sequence in k; hence {a,') is a Cauchy sequence (We shall later specialize S to be a finite extension field of k; the
in k. Since absolute values are preserved under the mapping 4, norm 11 11 will then be an extension of the valuation I I.) There
{a,) is a Cauchy sequence in k. This defines an element B E k such are many possible norms for S ; for example, if
that limV,,Ia,'--/3I = O . Hence lim,,,la,-PI = 0 , i.e.
/3 = lim a,, and so k is complete.
We now agree to identify the elements of k' with the corre- then
sponding elements of k; then k may be regarded as an extension
of k. When k is the field of rational numbers, the completion under
the ordinary absolute value ("the completion at the infinite
is a norm. This particular norm will be used in proving
prime") is the real number field; the completion under the valua-
tion corresponding to a finite prime p ("the completion at p") is
Theorem 1: All norms induce the same topology in S.
called the jield of p-adic numbers.
Proof: The theorem is obviously true when the dimension
n = 1. For then B = xw and 1 1 /3 1 1 = I x I 11 o 11 = c I x I (c # 0);
hence any two norms can differ only in the constant factor c;
this does not alter the topology.
We may now proceed by induction; so we assume the theorem
true for spaces of dimension up to n - 1.
19
20 2. COMPLETE FIELDS 2. EXTENSION OF THE VALUATION 21

We first contend that for any E > 0 there exists an 9 > 0 such if v is large enough. Hence
that 11 a 1 1 < r ] implies I xn I < E .
For if not, there is an E > 0 such that for every 9 > 0 we can
find an element a with 1 1 a / I < 9, but / xn 1 2 E . Set /3 = a/xn; i.e. I I y I I is smaller than any chosen 7: I I y I( = 0, and so y = 0.
then In other words,
z;Wl + + z,,-lwn-l + wn = 0,

which contradicts the linear independence of the basis elements

Thus if we replace 9 by TE, we see that for every 9 > 0 we can ol , --., wn . This completes the proof of our assertion. From this
find an element /3 of this form with / I /3 1 1 < 9. We may therefore we deduce at once that:
form a sequence {flu}: For any E > 0, there exists an r ] > 0 such that if I I a I I < r ] , then
II a 1 , < E. Thus the topology induced by norm I I II is stronger
than that induced by the special norm 1 I 1 , .
Finally, since
with 11 /3, 11 < llv. Then II a l l G l I II I I + -..+ l xn I I l I1
Xl Wl wn

G I1 llo(ll I1 + --.+ I1 II),

Wl Wn

the topology induced by I I 1, is stronger than that induced by II I I.

and This completes the proof of our theorem.
Corollary: Let @,I, /3, = Z X ~ be ( a~ Cauchy
) ~ ~sequence in S.
Then the sequences (i = 1, ..., n) are Cauchy sequences ink,
By the induction hypothesis, the norm 1 1 1 1 on the (n - 1)- and conversely.
dimensional subspace (w, , ..a, induces the same topology
as the special norm I I 1 lo . That is, 2. Extension of the Valuation

We now apply these results to the case of an extension field.

small if v, p are large (y("))is a Cauchy sequence in k. Since k Let k be a complete field, E a finite extension of k. Our task is to
is complete, there exist elements zi E k such that extend the valuation of k to E. Suppose for the moment we have
carried out this extension; then the extended valuation I I on E
xi = lim {y:")
v--to3
. is a norm of E considered as a vector space over k, and we have
Set Theorem 2: E is complete under the extended valuation.
y = zlwl + ... + Z,-~W~-, + .
wn
Proof: Let @,I be a Cauchy sequence in E: /3, = Zxi(v)wc.
Then
By the corollary to Theorem 1, each is a Cauchy sequence in
k, and so has a limit yi E k. Hence
22 2. COMPLETE FIELDS 2. EXTENSION OF THE VALUATION 23
Thus E is complete. Now let a be an element of E for which T o establish this we must treat the archimedean and non-archime-
Ia I < 1; then I or Iv-+ 0; hence {av}is a null-sequence. Thus if dean cases separately.

Theorem 3: If k is complete under the valuation I I, then the

each sequence (x*(~))

is a null-sequence in k.
valuation can be extended to E = k(i) where i2 1 = 0. +
The norm of a, N(a), is a homogeneous polynomial in x, , ..-,x, . Proof: (1) If i E k, then E = k, and the proof is trivial. (2) If
Hence i $ k, then E consists of elements a = a +
bi, (a, b E k),
+
N(a) = a2 b2. Hence we must show that

Hence we have proved that1 a ( < 1 3 1 N(a) 1 < 1; similarly

wecanobtain 1 a 1 > 1 + 1 N(a) 1 > 1. Thus <
or, equivalently, that ( a I D for some D.
Suppose that this is not the case; then for some a = a ib, +
+ <
I 1 b2/a2I I l/a2 I is arbitrarily small. Thus I x2 1 I takes +
on arbitrarily small values. We construct a sequence {x,} in k such
Now consider any a E E, and set @ = an/N(a) where that
1
n = deg(E I k). Ix:-k1Id- 2.4' '
Then Then
I x: -%:+I1 I
= (x; + 1) -@;+I + 1) 1 < F1 ,
hence I /3 I = 1. Therefore

hence one factor <

1/2v. We now adjust the signs of the (x,};
suppose this has been dome as far as x,; then we adjust the sign of
We have proved that if it is possible to find an extension of the
valuation to E, then E is complete under the extension; and the
x, in such a way that I xv - x, I <
1/2v. This adjusted sequence
is a Cauchy sequence, for
extended valuation is given by I a I = 1;/1 N(a) I . Hence to esta-
blish the possibility of extending the valuation, it will be sufficient
to show that f(a) = d l N(a) I coincides with I a I for a E k, and
satisfies the valuation axioms for a E E. Certainly if a E k,

Since k is complete, this sequence has a limit j E k. Then

and using the properties of the norm N(a), we can easily verify +
j2 1 = lim
v+m x,Z + 1 = 0,
that axioms (1) and (2) are satisfied. Thus it remains to prove that
for some C, contradicting our hypothesis that a$ k. This completes the
I N(a) I < 1 =. I N(l + a) 1 < C . proof.
 24 2. COMPLETE FIELDS 3. ARCHIMEDEAN CASE

3. Archimedean Case

The following theorem now completes our investigation in the

case of complete archimedean fields.

Theorem 4: The only complete archimedean fields are the

real numbers and the complex numbers.
Proof: Let k be a field complete under an archimedean valua-
tion. Then k has characteristic zero, and so contains a subfield R
isomorphic to the rational numbers. The only archimedean valua-
tions of the rationals are those equivalent to the ordinary absolute
value; so we may assume that the valuation of k induces the ordinary
absolute value on R. Hence k contains the completion of R under
this valuation, namely the real number field P ; thus E = k(z]
contains the field of complex numbers P(zJ We shall prove that E
is in fact itself the field of complex numbers.
We can, and shall, in fact, prove rather more than this-namely,
UA that any complete normed field over the complex numbers is It is easily verified that L is a linear homogeneous functional, such
itself the field of complex numbers. In a normed field, a function that L(x) = L(l) = 0, and hence vanishing on every linear func-
I I I I is defined for all elements of the field, with real values, satis- tion.
fying the following conditions: First we show that l l x is continuous for x = /3 # 0 (B E E).
Let4 E Eand II 4 II < I1 B-' 11-l; then 11 518 11< ll 4 1 1 II B-I II < 1.
<
Since 1 ( (f/,9)v1 1 11 4/15 1 1: the geometric series l/P Zr p/flv
converges absolutely; hence it converges to an element of E which
is easily seen to be 1/(p - 4). Now take I I 4 I I < 1 1 8-I 11-l. We
have

We shall show that any such field E = P(z]. The proof can be
carried through by developing a theory of "complex integration"
so that
for E, similar to that for the complex numbers; the result follows
by applying the analogue of Cauchy's Theorem. Here we avoid
the use of the integral, by using approximating sums.
Given a square (x, ,x, , z, ,z,) in the complex plane, having c
as center and t , , t,, t3,t4 as midpoints of the sides, we define
an operator Lo by which can be made as small as we please by choosing I ( 5' I I small
enough. This is precisely the condition that l l x be continuous at
X = p.
26 2. COMPLETE FIELDS 3. ARCHIMEDEAN CASE 27

Suppose there exists an element a of E which is not a complex is an approximating sum to the "integral" of f(x) taken round the
number; then l / ( z - a) is continuous for every complex number x, contour formed by the sides of Q. We see easily that
and since

Using the estimate for L Q v [ l / (-

z a)] we find
the function l / ( z - a) approaches zero as I x I +co . The function

so that for a fixed Q and n -tco we have

is continuous for every z on the Gauss sphere, and hence is boun-

ded: say 11 l / ( x - a) 1 1 < M.
We have now Since
1 - z + (2c - a) ( 2 - c)" ---=-.-
1 1 1 a
LQ =L~ ( C - a)z -I- ( z - a) ( c - a)z z-a z z2 1-a/~'
we obtain

since LQ vanishes on linear functions.

Thus Therefore

~ ~ L ~ - ) - L ~ + ) ~ ~l G 2
~v+1-~vl7A
contour
1
I3vI

2A 8A
G , 2
contour
lzv+l-sl=-
I '
Now
where 6 is the length of the side of the square.
Next consider a large square Q in the complex plane, with the
origin as center. If the length of the side of Q is 1, we can subdivide Q
into n2 squares Q , of side l/n. Let us denote by Zv the vertices, and <
as n -too. Hence 2 ~ r 8A/l, which is certainly false for large I.
by 3 , the mid-points of the sides of the smaller squares, which lie Thus there are no elements of E which are not complex numbers;
on the sides of the large square Q. Then so our theorem is proved.
We see that the only archimedean fields are the algebraic number
Lb = 2
contour
- ZJf(3V) fields under the ordinary absolute value, since only these fields have
the real or complex numbers as their completion.
28 2. COMPLETE FIELDS 4. THE NON-ARCHIMEDEAN CASE 29

4. The Non-Archimedean Case

We now prove the classical result, known as Hensel's Lemma,
which allows us, under certain conditions, to refine an approximate
factorization of a polynomial to a precise factorization.
We now go on to examine the non-archimedean case. Let k
be a complete non-archimedean field, and consider the polynomial
Theorem 5: (Hensel's Lemma). Let f(x) be a polynomial in
ring k[x]. There are many ways of extending the valuation of k
k[x]. If (1) there exist polynomials $(x), $(x), h(x) such that
to this ring, some of them very unpleasant. We shall be interested
in the following type of extension: let I x I = c > 0, and if

+(x) = a, + alx + + a,xn E k[x], (2) $(x) # 0 and has absolute value equal to that of its highest
define term,
I+(x) I = max
v
I upv I = rnax
v
cV I a,, 1. (3) there exist polynomials A(x), B(x), C(x) and an element
d E k such that
The axioms (1) and (3) of Chapter I can be verified immediately.
T o verify axiom (2) we notice first that

since
< rnax ( a,x" . then we can construct polynomials @(x), Y(x) E k[x] such that
ICS. a,b, xk
I max I bjxj 1

Next we write $(x) = $,(x) +

$,(x) where $,(x) is the sum of all
the terms of $(x) having maximal valuation; I $2(x) I < I 4 1 ( ~ )I .
Similarly we write $(x) = $,(x) f $,(x). Then
Proof: As a preliminary step, consider the process of dividing
a polynomial
We see at once that the last three products are smaller in valuation g(x) = b, + b,x + + bmxm
than I$,(x) I I $,(x) 1; and of course
by
+(x) = a, + alx + ... + a,xn,
The term of highest degree in $,(x) $,(x) is the product of the where by hypothesis, I $(x) I = I anxn I. The first stage in the divi-
highest terms in $,(x) and in &(x); so its value is I $,(x) I I &(x) I. sion process consists in writing
Therefore I $,(x) $,(x) I = I$l(x) I I ICI1(x) I. Using the non-archi-
medean property we obtain
Now

Thus we have, in fact, defined an extended valuation.

30 2. COMPLETE FIELDS 4. THE NON-ARCHIMEDEAN CASE 31

hence we have I gl(x) / < I g ( x ) I. We repeat this argument at each Referring now to our preliminary remark about division processes,
stage of the division process; finally, if g ( x ) = q(x) +(x) f r(x), we have
we obtain I r ( x ) I <
1 g ( x ) I . As another preliminary we make a
deduction from the relation

We see that this yields

Hence
using the given bounds for I B ( x ) I, I $(x) I, I C ( x ) 1. Since I d I < 1,
we have I A ( x ) +(x) I <
1.
Now multiply the relation (*) by h(x)/d; we obtain

Now we write and

B(x)
d = q(x)Q(x) + PI(-.),
Now we define

Then
Then since I &(x) I < I +(x) I, and deg Bl(x) < deg +(x), we have
I +1(x) I I
= IQ(4 = I a s n I 9

and

We now give estimates of the degrees and absolute values of the

polynomials we have introduced. We have, immediately, deg &(x),
deg k ( x ) < deg +(x). Further,

We shall show first that +,(x) $,(x) is a better approximation to f(x)

than is +(x) $(x); and then that the process by which we obtained
32 2. COMPLETE FIELDS 4. THE NON-ARCHIMEDEAN CASE 33

41(~),i,bl(x) may be repeated indefinitely to obtain approximations We have now recovered the original conditions of the theorem,
which are increasingly accurate. stated now for #,(x), +,(x), hl(x) and Cl(x). Thus the whole
Let process may be repeated, yielding new polynomials a2(x), B2(x),
f ( 4 - A(x) *1(4 = h(x). h,(x), + 2 ( ~ ) i,b2(x).
, We shall also obtain the estimate
Then I h&) I < K l I hl(4 I 9

where
Hence KI = max

It is clear that we may now proceed indefinitely, obtaining sequen-

ces of polynomials {a&)), {&(x)), {hv(x)),{4v(x)),{i,bv(x))where

and

where we write
Now

x < 1 by the conditions of the theorem. Thus $,(x) #,(x) is a better as v -+aand
approximation than $(x) i,b(x).
Let
+ +
A(x) +1(4 B(x) #1(4 = d C1(x).
Then
Cl(4 = C(x) + 4 4 Bl(4 + B ( 4 g(x).
Hence as v -+a; and

as v+m.
From these considerations it follows that {$,(x)) and {#,(x)) are
Cauchy sequences of polynomials; these polynomials are of
bounded degree, since for every v we have

using the results obtained above.

34 2. COMPLETE FIELDS 4. THE NON-ARCHIMEDEAN CASE 35

and (3) there exist polynomials A(x), B(x), C(x) and an element
d E k such that
deg ($,(x) *,(x)) < m= {degf(x), deg h(x)}.
Let
@(x)= lim {$,(x)) and Y(x) = lim {+,(x));
these limit functions are polynomials, and
deg @(x)= deg $(x). f (x) = @(x)Y(x) and deg @(x)= deg $(x).
Finally, For the remainder of this section we restrict ourselves to this
f (x) - O(X)Y(x) = lim {hv(x)}= 0; special valuation and this form of Hensel's Lemma.
We digress for a moment from our main task to give two simple
thus f(x) = @(x)Y(x). Now we have only to notice that illustrations of the use of Hensel's Lemma.
Example I : Let a = 1 mod 8 (a is a rational number). We
shall show that a is a dyadic square, i.e. that x2 - a can be factored
in the field of 2-adic numbers:

Further
(x t

This completes the proof of Hensel's Lemma. We have

For our present purpose of proving that a non-archimedean
valuation can be extended, we use the special valuation of k[x]
induced by taking I x I = 1, i.e. the valuation given by
Using this special valuation, Hensel's Lemma takes the following
form:
Theorem 5a: Let f(x) be a polynomial in k[x], and let the
valuation in k[x] be the special valuation just described. If
(1) there exist polynomials 4(x), $(x), h(x) such that
f ( 4 = $(x) *(x) + h(x),
Thus the conditions of Hensel's lemma are satisfied, and our
assertion is proved. We shall see later that this implies that in
R(+), the ideal (2) splits into two distinct factors.
Exemple 2: Let a be a quadratic residue modulo p, where p
is an odd prime; i.e. a r b2 mod p, where (b,p) = 1. Then we
shall show that a is a square in the p-adic numbers. We have:
x2 - a = (x - b) (x + b) + (b2- a); h(x) = b2 - a;
and
We have I C(x) I = 0 < 1 d 1, and I h(x) 1 ,< lp 1 < 1 d l2 = 1
since (p, d) = 1. The conditions are again satisfied, so our assertion
is proved.
36 2. COMPLETE FIELDS

Hensel's Lemma can now be applied to give us a Reducibility it will be sufficient to prove the assertion for Nk(cc),k(a). Let
Criterion. f(x) = Irr (a, k, x), the irreducible monic polynomial in k[x] of
which a is a root, be a, + a,-,x + +
-.. xn (ai E k). Since
Theorem 6: Consider a, = fN(a), we see that -. &

where a, #O. If I f(x) 1 = 1, I an 1 < 1, but I ai I = 1 for some using the corollary to Hensel's Lemma.
i > 0, then f(x) is reducible. Now
Proof: Let i be the maximal index for which ( ai ( = 1. Set f(x - 1) = Irr (a + 1, k, x),
then

whence
By assumption there is at least one term (anxn) in h(x), and
I h(x) 1 < 1. Further, I N(1 + I < 1.
ff)

This completes the proof of

Hence all the conditions of Hensel's Lemma are satisfied, and we
have a factorization f(x) = g,(x)g,(x), where deg (g,(x)) = i.
Corollary: If ] f(x) 1 = 1, and f(x) is irreducible, with I a,
then I ai 1 < 1 for all i > 0.
Consider now
Theorem 7: Let k be a field complete under:a non-archime-
dean valuation I 1; let E be an extension of k of degree n. Then
there is a unique extension of I I to E defined by
1 < 1,
E is complete in this extended valuation.

this is irreducible if f(x) is irreducible. By the corollary just stated, if 5. Newton's Polygon
I a, 1 < 1, then / a$ / < 1 for i < n. Hence if 1 f(x) 1 = 1 and f(x)
< <
is irreducible, then for 1 i n - 1 , I ai I < max (I a, I , I a, I), Let k be a complete non-archimedean field, and consider the
polynomial
and the equality sign can hold only if j a, I = or, I.
This enables us to complete the proof that we can extend the + + +
f(x) = a, alx .-. anxnE k[x].
valuation. Let us recall that all that remains to be proved is that if
Let y be an element of some extension field of k, and sup-
or E E, then
pose 1 y I is known. Let c be a fixed number > 1, and define
ord or = - log, 1 or I when or # 0; when a = 0 we write
ord a = +a.We shall now show how to estimate I f(y) I.
We map the term a,xv of f(x) on the point (v, ord a,) in the
Cartesian plane; we call the set of points so obtained the Newton
38 2. COMPLETE FIELDS

diagram. The convex closure of the Newton diagram is the Newton with slope - ord y. Now
polygon of the polynomial (see fig. 1)
Now
+
ord a,yv = ord av v ord y.
o the intercept cut off on the y-axis by lV1is less than that cut off
Thus the point in the Newton diagram corresponding to a# by lVz.
lies on the straight line 1,; Thus if I aNyNI = max, I a,yv 1, then 1, cuts off the minimum
+
y x ord y = ord avyu intercept on the y-axis; thus 1, is the lower line of support of the
Newton polygon with slope - ord y. Thus to find the maximum
absolute value of the terms a,yv we draw this line of support, and
measure its intercept r] on the y-axis. Then max I avyv1 = c-q.
If only one vertex of the polygon lies on the line of support,
then only one term avyvattains the maximum absolute value; hence
we have
If(y) ( = max I avyvI = c-".
If, on the other hand, the line of support contains more than one
vertex (in which case it is a side of the polygon), then there are
several maximal terms, and all we can say is that

(See figure 2.)

We shall now find the absolute values of the roots of

Let y be a root of f(x): f(y) = 0.Now 0 = I f(y) I < rnax ( avyuI ,and

if there is only one term with maximum absolute value. Hence if y

FIG.1. The absence of a point of the diagram for x
in xa is missing; i.e. ord a, = m .
is a root there must be at least two terms avyvwith maximum
absolute value. The points in the Newton diagram corresponding
to these terms must therefore lie on the line of support of the New-
ton polygon with slope - ord y. Hence the points are vertices of
the Newton polygon and the line of support is a side. Hence we
have established the preliminary result that if y is a root of f(x)
= 2 means that the term then ord y must be the slope of one of the sides of the Newton
polygon of f(x).
 2. COMPLETE FIELDS

Let the last vertex on I be that which corresponds to aixi. We

define
~(x)=ao+a,x+--.+a,xi; +(x)=l;
f(x) - $(x) $(x) = h(x) = ~ + + a,xn.
,+~x~+l
Then

A(x) = C(x) = 0, and B(x) = d = 1.

The conditions of Hensel's Lemma are satisfied since

to prove the last statement we have only to notice that

since we included in $ ( x ) all the terms with maximum absolute

FIG.2. Th: dotted lines have slope -ord f i =
-ord y, = 0.
value; finally, $(x) has absolute value equal to that of its highest
term aixi. Hensel's Lemma yields an exact factorization
f ( x ) = $,(x) +,(x) where $,(x) is a polynomial of degree i; hence
+,(x) is a polynomial of degree n - i. From the last part of Hensel's
Lemma we have
4; the solid lines have slope

and also
Let us now consider one of the sides of the polygon, say I;
let its slope be -p. We introduce the valuation of k[x] induced by I*(x)
-*o(x)I < Id1 = 1-
setting I x I = C-p, i.e. Thus +,(x) is dominated by its constant term, 1. We notice that if
a polynomial is irreducible its Newton polygon must be a straight
1 f(x) I = max I a , , ~ - ~I .' line; this condition, however, is not sufficient.
Let us now examine the roots of $,(x), which are, of course,
also roots of f(x). Since
The vertices of the polygon which lie on I correspond to terms
a,xv which have the maximal absolute value in this valuation.
42 2. COMPLETE FIELDS

the Newton polygon of +,(x) cannot lie below the side of the
Newton polygon of f(x) which we are considering; and since, by
Hensel's Lemma, +,(x) and +(x) have the same highest term, the
Newton polygon of 4,(x) must terminate at the point representing
a,xi (see figure 3). By the same reasoning as was used above we
find that if y' is a root of +,(x) then - ord y' is the slope of one
of the sides of the Newton polygon of +,(x). All these sides have
slopes not greater than the slope of 1. Hence if y' is a root of +,(x),
ord y' 2 p.
We examine also the roots of #,(x). Since +,(x) is dominated by
its constant term in the valuation induced by 1, its Newton polygon
has its first vertex at the origin. The origin is the only vertex of the
polygon on the line of support with slope - p, and all the sides

FIG. 4. The Newton Polygon of $,(x) must be situated like ODE.

of the polygon have a greater slope than that of 1. Hence, by the

same arguments as before, if y" is a root of #,(x), ord y" < p.
Now let the sides of the Newton polygon of f(x) be I,, I,, .--,
with slopes - p, , - p, , (pl > p, > Suppose 1, joins the
--a).

points of the Newton diagram corresponding to the (iv-,)-th and

(iv)-th terms of f(x). Then we have just seen how to construct
polynomials +,(x) of degree iv, whose roots are all the roots yp(v)
of f(x) for which ord yp(v))Ip, . Obviously ord yp(,) > pv+l , SO
that yp(")is also a root of +,+,(x); hence +,(x) divides +,,(x). We see
also that the roots y of f(x) for which ord y = pv+, are those which
are roots of +,,(x) but not of +,(x).

6. The Algebraic Closure of a Complete Field

Let k be a complete non-archimedean field, and let C be its

FIG. 3. The chosen side 1 is the third side in fig. 1. The Newton Polygon
algebraic closure. Then we extend the valuation of k to C by
of 4,(x) must:be situated like ABCD. defining I a I for a E C to be I a I as defined previously in the finite
44 2. COMPLETE FIELDS
extension k(a). The verification that this is in fact a valuation for C
is left to the reader; it should be remarked that the verification is
actually carried out in subfields of K which are finite extensions
of k. C is not necessarily complete under this extended valuation.
For instance the algebraic closure of the field of dyadic numbers
does not contain the element
The valuation induces a metric in C, and since the valuation is
non-archimedean, we have the stronger form of the triangular
inequality: I a - /3 1 <max {I a 1, 1 /3 I). Spaces in which this
inequality holds are called by Krasner ultrametric spaces. Consider
a triangle in such a space, with sides a, b, c. Let a = max (a, b, c);
then, since a <max (b, c) = b, say, we have a = b, and c < a.
Thus every triangle is hosceles, and has its base at most equal
to the equal sides. The geometry of circles in such spaces is also
rather unusual. For example, if we define a circle of center a and
radius r to consist of those points x such that I x - a I < r, it is
easily seen that every point inside the circle is a center. We now
use this ultrametric geometry to prove:
Theorem 8: Let a E C be separable over k, and let
r = min I u(a) - CL ( ,
a# 1
where the a are the isomorphic maps of k(a). Let /3 be a point, i.e.
an element of K, inside the circle with center a and radius r.
Then k(a) C k(/3).
Proof: Take k(/3) as the new ground field; then
f(x) = Irr (a,k, x)
is separable over k(/3). If $(x) = Irr (a, k(/3), x), then $(x) I f(x).
Let o be any isomorphic map of k(a, /3) I k(/3). Since
and conjugate elements have the same absolute value (they have
the same norm) we deduce that 1 /3 - o(a) 1 = I - a 1 < r.
Consider the triangle formed by /3, a, u(a); using the ultrametric
property we have as above I a - @(a)I <
I /3 - a I < r, i.e. o(a)
lies inside the circle. Hence o(a) = a, and so, since a is separable,
the degree [k(a, /3) : k(@] is equal to 1, and k(a) C k(/3).
Let f(x) be a polynomial in k[x] with highest coefficient 1. In
C[x], we have f(x) = (x - a,) (x - a,). Suppose that in the
valuation of k[x] induced by taking I x I = 1, we have I f(x) I < A,
where A 1. Then if a E C, and I a I > A, we see that an is the
dominant term in
f(a) = Clr. + upn-I + ... + a,.
Hence a cannot be a root of f(x) = 0. Hence if I f(x) I A and<
a, , ---,
an are the roots of f(x) = 0, then I a, I A. <
Consider now two monic polynomials f(x), g(x) of the same
degree, n, such that I f(x) - g(x) 1 < E. Let /3 be a root of g(x),
a, , , an the roots of f(x). Then
+ - -
where A is the upper bound of the absolute values of the coefficients,
and hence of the roots, of f(x) and g(x). Hence
and so one of the roots ai , say a, must satisfy the relation
IB-.,I <A&.
Thus by suitable choice of E, each root /3 of g(x) may be brought as
close as we wish to some root ol, of f(x). Similarly by interchanging
the roles of f(x) and g(x), we may bring each root ai of f(x) as close
as we wish to some root of g(x). Let us now assume that
E has been chosen such that every /3 is closer to some a( than
min / ai - O L ~1; ai # O I ~ in this way the /3's are split into sets
"belonging" to the various q .
Suppose for the moment that f(x) is irreducible and separable.
Then, since I /3 - ai I < min I ai - olj I, the preceding theorem
gives k(/3) 3 k(a); but f(x) and g(x) are of the same degree, whence
Theorem 9: If f(x) is a separable, irreducible monic polyno-
mial of degree n, and if g(x) is any monic polynomial of degree n
such that I f(x) - g(x) I is sufficiently small, then f(x) and g(x)
46 2. COMPLETE FIELDS
generate the same field and g(x) is also irreducible and separable.
If f(x) is not separable, let its factorization in C[x] be
with distinct % . I n this case we can establish the following result:
Theorem 10: If g(x) is sufficiently close to f(x), then the number
of roots ,tId of g(x) (counted in their multiplicity) which belong to
ffl 1s Vl .
Proof: If the theorem is false, we can construct a Cauchy
sequence of polynomials with f(x) as limit for which we do not have
vc roots near oli . From this sequence we can extract a subsequence
of polynomials for which we have exactly pi roots near cq (pi f v$
for some i). Since k is complete, the limit of this sequence of poly-
nomials is f(x), and the limits of the sets of roots near ai are the ari .
Hence we have
(X - alp (X - a p ... (X - aJr = f((x)
= (x
- al)"l (x - ~ r ~(x -) a,)"'
This contradicts the unique factorization in C[x], so our theorem
is proved.
In a similar manner we can prove the result
Theorem 11: If f(x) is irreducible, then any polynomial
sufficiently close to f(x) is also irreducible.
Proof: If the theorem is false, we can construct a Cauchy
sequence of reducible polynomials, with f(x) as limit. From this
sequence we can extract a subsequence {g,(x)): g,(x) = h,(x) m,(x)
for which the polynomials h,(x) have the same degree, and have
their roots in the same proximity to the roots of f(x). Then the
sequence {h,(x)) tends to a limit in k[x], whose roots are the roots
of f(x). This contradicts the irreducibility of f(x).
Now although k is complete, its algebraic closure C need not
be complete; the completion of C, c , is of course complete, but
we can prove more:
7. CONVERGENT POWER SERIES 47
Theorem 12: f?is algebraically closed.
Proof: We must consider the separable and inseparable
polynomials of C[x] separately.
(1) Let f(x) be a separable irreducible polynomial in c[x]. The
valuation of k can be extended to a valuation for the roots of f(x).
We can then approximate f(x) by a polynomial g(x) in C[x] suffi-
ciently closely for the roots of f(x) and g(x) to generate the same
field over f?. But g(x) does not generate any extension of I?; hence
the roots of f(x) lie in C.
(2) If the characteristic of k is zero, there are no inseparable
polynomials in c[x]. Let the characteristic be p # 0; if ar is an
element of C, a is defined by a Cauchy sequence {a,) in C. But if
{a,) is a Cauchy sequence, so is {a,llp), and this sequence defines
orllp, which is therefore inc. Hence there are no proper inseparable
extensions of c.
7. Convergent Power Series
~ .~
Let k be a complete field with a non-trivial valuation / I. Con-
vergence of series is defined in k in the natural way: Zzm a, is
said to converge to the sum a if for every given E > 0 we have
I Zil, a, - a I < E for all sufficiently large n. The properties of
the ordinary absolute value which are used in the discussion of real
or complex series are shared by all valuations I I . Hence the argu-
ments of the classical theory may be applied unchanged to the case
of series in k. In particular we can prove the Cauchy criterion for
convergence, and its corollaries:
1. The terms of a convergent series are bounded in absolute value.
2. If a series is absolutely convergent (i.e. if Emm I av 1 converges
in the reals) then the series is convergent.
Let E be the field of all formal power series with coefficients in k:
E consists of all formal expressions f(x) = Z z a,xv, with a, E k,
where only a finite number of the terms with negative index v are
non-zero. We define a valuation I , 1 in E such that I x , 1 < 1, and
I , 1 is trivial on k. If an element is written in the form E: a,xv
with avo# 0, then 1 E t a,xv, 1 = 1 xvo 1, = (1 x I,).o. This
48 2. COMPLETE FIELDS
valuation ( I, on E and the valuation I I on k are therefore totally
unrelated.
An element f(x) = I:avxvin E is said to be convergent for the
value x = c E k (c # 0), when E a c Vconverges in k. We shall
say simply that f(x) is convergent if it is convergent for some c # 0.
Theorem 13: If f(x) is convergent for x = c # 0, then f ( x )
is convergent also for x = d E k, whenever I d 1 < I c 1.
Proof: Let I c 1 = lla.
Since I:a,,cv is convergent, we have 1 a,,cvI < M, whence
l a v l <Mav. If [ d l < I c l , then
Since a I d I < I, the geometric series E M(a I d I)vis convergent.
Thus E I a,& ( is convtirgent; since absolute convergence implies
convergence, this proves the theorem.
Now let F be the set of all formal power series with coefficients
in k which converge for some value of x E k (x # 0). It is easy to
show that F is a subfield of E. Notice, however, that F is not
complete in I ,1 .
Theorem 14: F is algebraically closed in E.
Proof: Let 8 = I:zmafiv be an element of E which is algebraic
over F. We have to prove that 8 lies in F.
I t will be sufficient to consider separable elements 8. For if 8 is
inseparable and p # 0 is the characteristic, then 8p' is separable
for high enough values of r. But 8pT= I:> av~'xvp',and the con-
vergence of this series implies the convergence of 8.
Let f(y) = Irr (8, F, y); we shall show that we may confine our
attention to elements 6' for which f(y) splits into distinct linear
factors in the algebraic closure A of E. Let the roots of f(y) in A
be 8, = 8, 8, , ..., 8, . Since the valuation I 1, of E can be extended
to A, we can find I Oi I , . Let
min ( 8, - fId ,1 = 6.
a >1
Now set
7. CONVERGENT POWER SERIES
Then
N
is an irreducible polynomial
a
in x with roots A, = Oi - E- a$'; in
particular A, = I:,,, a,&" and if A, is convergent, so is 8, = 8.
Obviously
for i > 1. Hence if N is large enough, 1 A, 1, will be as small as we
please, so that we have I A, 1, >, 6 for i > 1.
Now consider the equation whose roots are p, =,hi/xN.
The root p, = A,/x, is a power series of the form I:, a $ ' ,
hence I p, 1, < I x I,; the other roots may have absolute values as
large as we please by suitable choice of N. Since the convergence
of pl obviously implies the convergence of A,, and hence of 8,,
it follows that we need only consider elements 8 which are separable
over F, and whose defining equation f(y) has roots 8, = 8,8, , .-.,8,
in A with the property that 1 8, 1 ,< I x 1, and I 8, 1, > 1 for i > 1.
We may further normalize f(y) so that none of the power series
appearing as coefficients have terms with negative indices, while
at least one of these series has non-zero constant term, i.e.
where at least one b,, # 0.
If we draw the Newton diagram of f(y), it is obvious from the
form of the coefficients that none of the points in the diagram
lie below the x-axis, while at least one of the points lies on the
x-axis; further, since f(y) is irreducible, its Newton polygon
starts on the y-axis. The first side of the Newton polygon of f(y)
corresponds to the roots y of f(y) for which ord y is greatest, and it
has slope - ord y. Only 8, = 8 has the maximum ordinal; hence
the first side of the polygon joins the first and second points in the
Newton diagram, and its slope is - ord 8, < 0. The other sides
of the polygon correspond to the remaining roots 8,, and have
slopes - ord Bi > 0. Hence the Newton diagram has the form
shown:
 2. COMPLETE FIELDS
7. CONVERGENT POWER SERIES 51

From these two formulas we obtain a recursion relation:

These polynomials tL, have two important properties:

(a) They are universal; i.e. the coefficients do not depend on
the particular ground field k.
(b) All their coefficients are positive.
Now since the series EcP,xV are convergent, we have
, ~ MPfor all q, E k having I or, I < some fixed lla, . Since
I ~ , , ~ aI , <
the number of series occurring as coefficients in f(y) is finite, we
can write I c,, I < Mav, where
M = max (M,) and a = max (a$.
P P

We now go over to the field of real numbers, ko , and the field

of convergent power series Fo over k,. Let 4 be a root of the
equation

Thus where the sum on the right is infinite:

where blo # 0. Since y = 8 is a root of f(y), we have

=-.-
M a x
1-ax
1
I-$'
whence

whence

The roots are analytic functions of x near zero; one of them,

But we know that f(y) has a root given by
which we call 4,, vanishes at x = 0. may be expanded as a
power series convergent in a certain circle round the origin, say
4, = 2; a,xY. We shall now show that all the coefficients orv are
positive, and I a, I <
a,. We proceed by induction; a, is easily
52 2. COMPLETE FIELDS

shown to be positive and / a, / < al;hence we assume a,. 2 0 and

<
I a, I < a, for i m. Since 4, satisfies the equation (2), ~ t coeffi-
s
cients satisfy
am+l = $rn(al, .", a m ; Mav).
CHAPTER THREE
Since only positive signs occur in $ m , we have a,,,,, 2 0. For
a,,, we already have expression (1) and hence e, f and n

Again using the fact that only positive signs occur in #m , we have
1. The Ramification and Residue Class Degree

The value group of a field under a valuation is the group of

<
Hence I a , I a,, where the a, are coefficients of a convergent
power series. Thus 8 = E a 3 ' is convergent.
This completes the proof of the theorem.
non-zero real numbers which occur as values of the field elements.
From now on, unless specific mention is made to the contrary,
we shall be dealing with non-archimedean valuations. For these
we have:

Theorem 1: If k is a non-archimedean field, & its completion,

then A has the same value group as k.
Proof: Let a a non-zero element of &; a is defined by a Cauchy
sequence {a,} of elements of k , and I a I = lim I a , I. The sequence
{ I a, I } converges in a quite trivial way: All its terms eventually
become equal to I or I. We have

since I a I # 0 and I a,, - a I can be made as small as we please,

in particular less than I a I by choosing p large enough. Thus
I a I = I a, 1 for large enough p. This proves the theorem.
Now let k be a non-archimedean field, not necessarily complete;
and let E be a finite extension of k . If we can extend the valuation
of k to E, we may consider the value group BE of E. Then the
value group B, of k is a subgroup, and we call the index
e = (BE : B,) the ramiJication of this extended valuation.
Consider the set of elements a E k such that I a I 5 1. I t is
easily shown that this set is a ring; we shall call it the ring of integers
and denote it by o. The set of elements a E o such that 1 a I < 1
53
 1. THE RAMIFICATION AND RESIDUE CLASS DEGREE 55

forms a maximal ideal p of o; the proof that p is an ideal is obvious. Let w1 , w , , -.., or be representatives of residue classes of E
T o prove it is maximal, suppose that there is an ideal a # p such which are linearly independent with respect to K ; that is, if there
that p C a C o. Then there exists an element a E a which is not exist elements c, , c, , c, in a such that c1wl + +
c,w,
in p; that is I a 1 = 1. Hence if /3 E 0, /3/a E o also, and lies in Q, then all the ci lie in p. Consider the linear combination
= a (/3/a) E a. That is, a = o. Hence p is a maximal ideal and the c,w, + +
... c,w, , with ci E o; if one of the ci , say c, , lies in o but
residue class ring o/p is a field, which we denote by li. If & is the not in p, then c,w, + + +
-.. c,w, 0 mod $'3, and hence
completion of k, we can construct a ring of integers 5, a maximal
ideal p, and a residue class ring 5/ii = fi. We have the result
expressed by:
Now consider the linear combination dlwl + +
... d p , , with
di E k, and suppose dl has the largest absolute value among the di .
Theorem 2: There is a natural isomorphism between ?t and fi. Then
Proof: We have seen that if a E 6, then a = lim a, E o and
IaI = I a, I forv large enough. Thus 5 is the limit of elements
of o; i.e. 6 is the closure of 0. Similarly p is the closure of p.
Consider the mapping of o/p into ii/p given by a p -+ a + 6. + Hence if wl , ..a, w, are linearly independent with respect to K,
then
This mapping is certainly well-delined, and is an "onto" mapping
I d,wl + + d,w, / = max I d, ( .
+ +
is (1, 1) since if a, b E o and a -
since, given any a E 5, we can find an a E o such that I a - a I < 1;
then a f~= a @,which is the image of a p. The mapping+
b mod j3 we have I a - b I < 1;
hence a r b mod p. It is easily verified that the mapping is homo-
morphic; hence our theorem is completed.
Let now n1 , n 2 ,
are representatives of different cosets of
wi , 9 to prove the important result of
v

ns be elements of E such that I n, I, -.., I .rr, I

We shall use these

From now on we shall identify the residue class fields K, fZ under

Theorem 4: If E is a finite extension of k of degree n, then
this isomorphism.
Now let E be an extension field of k, with ring of integers L) and
ef < n.
prime ideal p. Then L) 3 o = L) n k and Q 3 p = Q n k. Proof: Our first contention is that

Theorem 3: There is a natural isomorphism of the residue

class field ?t onto a subfield of the residue class field E.
Certainly
Proof: Consider the mapping a + p -+a f Q ( a k). This
E
is well-defined since a p + +
3 =a + Q; it is easily seen to be a
homomorphism of 6 into E. Finally, the mapping is (I, 1) onto the
image set, for
and since the I ni 1 represent different cosets of the
I Z, c,w,ri I are all different. Hence
We shall now identify ?t with its image under this isomorphism
and so consider E as an extension field of A. We denote the degree
of this extension by [E : K] = f. as required.

I t follows that the elements w , ~ , are linearly independent, since
Hence rs < deg ( E / k). Thus if deg (E I k) = n is finite, then e
and f are also finite, and< n.
The equality ef = n will be proved in the next section for a very
important subclass of the complete fields, which includes the cases
of algebraic number theory and function theory. Nevertheless,
the equality does not always hold even for complete fields, as is
shown by the following example.
Let R, be the field of 2-adic numbers, and let k be the completion
of the field R,(& Y2, $9, .a+).Then deg (A(-) : k) = 2,
but the corresponding e and f are both 1. This is caused by the
fact that we may write
This series is not convergent, but if we denote by s, the sum of
the first n terms, and by ui the i-th term, we have
2. The Discrete Case
We have already introduced the function ord a = - log, I a I,
c > 1. The set of values taken up by ord a for a # 0, a E k forms
an additive group of real numbers; such a group can consist only of
numbers which are everywhere dense on the real axis or which
are situated at equal distances from each other on the axis. Hence
we see that the value group, which is a multiplicative group of
positive real numbers, must be either everywhere dense, or else
an infinite cyclic group. In this latter case the valuation is said to
be discrete.
I n the discrete case, let T be an element of k such that I T I
takes the maximal value < 1. Then the value group consists of the
numbers I T Iv;given any non-zero element a E k, there is a positive
or negative integer (or zero) v such that I OI 1 = 1 T 1'. Then
2. THE DISCRETE CASE 57
I a/+ I = 1 = I r v / aI; hence a/.rrV and its inverse are both elements
of D,i.e. a / r Vis a unit E of o. For every a # 0 we have a factorization
a = rVe,where I E I = 1; hence there is only one prime, namely T.
Since k and its completion & have the same value group, the same
element T can be taken as prime for &; thus if a complete field & is
the completion of a subfield k, the prime 'for & may be chosen
in k.
Now let k be a complete field under a discrete valuation. If
a E k can be written as a = rive, we shall take ord a = v; in other
words, we select c = 111 T I. We now suppose that for every
positive and negative ordinal v an element n, has been selected
such that I n, I = I T Iv-obviously T, = rV would suffice, but we
shall find it useful to use other elements. Suppose further that for
each element in h we have selected a representative c in o, the
representative of the zero residue class being zero. Then we
prove
Theorem 5: Let k be a complete field with discrete valuation.
Every a E k can be written in the form a = C : c , ~ , , where
n = ord a and c, f 0 mod p.
Proof: When a = 0, there is nothing to prove, so we suppose
a # 0. Since ord a = n, we have I a I = I T, I, hence a/r, is a
unit E. Its residue class modulo p is represented by c, E E mod p .
Thus I e - c n I < 1, whence I E T , - C , . ~ ~ ,</ \ % I ; i.e.
a = E T ~= C,T, + a' where I a' I < I T, I. We may repeat the
procedure with a', and so on, obtaining at the m-th stage
where I a ( m ) I < I rmI; thus a(m)+ 0 as m +a. This proves the
theorem. If the representatives ci and the T, are chosen once for all,
then the series representation of a is unique.
It is important to notice that the c, and T, are chosen from the
same field k; thus the characteristic of the field containing the c,
is the characteristic of k, not of h. We shall illustrate this remark
by considering the valuation induced on the rational field R by a
finite prime p. Any element a E R can be written as a = pu(blc)
where b and c are prime to p; the ring of integers o consists of
58 3. e, f AND n 2. THE DISCRETE CASE 59

these elements a for which v 2 0, and the prime ideal p consists class is represented by c p , + + +
c202 .-- cfwf, with c4 E o.
of the a such that v > 0. Let R, be the completion of R under this Then if a is an element of E, a can be written
valuation, 5, 6 the corresponding ring and prime ideal. Since
a/+? = o/p, we can choose representatives for the residue classes
in R, and in fact in o. The residue classes are represented by
the elements b/c E R where b and c are prime t o p ; we can solve
the congruence ca = 1 modp in integers. Then bd is a repre-
sentative of the residue class containing blc, since Thus every element a E E can be expressed as a linear combination
of the ef elements w p with coefficients in the ground field k.
Thus the degree of the extension E I k is at most ef: n <
ef.
We have already seen that for all extensions, whether the valua-
Hence every residue class contains an integer, and a complete set tion is discrete or not, n 2 ef.
of representatives is given by 0, 1,2, --.,p - 1. This set of elements Hence n = ef and our theorem is proved.
does not form a field since it is not closed under the field operations
of R. Now every p-adic number a can be written a = E:cqv; Theorem 7: The elements (w$7~}(P = 1, f ; p = 0, --*,
we see that the field of p-adic numbers, R, , has characteristic e - 1) form a basis D over o.
zero. It can be shown that the field R, contains the (p - 1)-th
roots of unity; it is often convenient to choose these as representa- Proof: We have already seen, in the course of the last proof,
tives of the residue classes. that {wp17/1}form a basis.
This analysis of complete fields may also be used to prove that Let a be an integer of E. We can write a = E,,, d,,&,lIfl, and
the field of formal power series k = F{x) over any field F is com- since I w, I = 1, and the ( 17, ( are all distinct, we have
plete. Any element a E k can be written as a = Er c,xV, c,, EF. IaI I
= max dPPIP[ .
The ring of integers o, respectively the prime ideal p are made
up of the elements a for which n 2 0, respectively n > 0. We can
choose x = .rr; and as representatives of o/p the elements of F;
hence the completion of k consists of power series in x with coef-
ficients in F; i.e. k is complete.
Now let k be a complete field with discrete valuation; let E
be a finite extension with degree n and ramification e. The finiteness
of e shows that the extended valuation is discrete on E. Let 17, .rr Thus
be primes in E, k respectively; then the value groups are
B E = {I 17lV}, Bk = { I n - .),1 Since (BE:23,) = e, 1171e= I T 1;
hence .rr = E De.We shall find it more convenient to represent B E
Now .rr was defined as having the largest absolute value less
<
as {I .rrVncl1) where --a v <a and 0 p ,< e - 1. < than 1. Hence l/.rr has the smallest absolute value greater than 1.
Thus
Theorem 6: If the valuation is discrete, then ef = n. 1
I d , I < / ~ ll d ~ l C l .
Proof: Let w, , w, , wf be elements of E which represent a
.-a,

basis of the residue class field Ep/kp.Thus the generic residue But this is exactly the condition for {wpZI~)
to be a basis of O over o.

3. The General Case
In this section we shall prove that if k is complete under an
arbitrary valuation, and if E is a finite extension of degree n, with
ramification e and residue class degree f, then ef divides n, and the
quotient 6 is a power of the characteristic of the residue class field
k, . This section is added for the sake of completeness, and the
result will not be used in the sequel,
Our first step is the proof of a weaker result:
Theorem 8: The only primes which can divide e and f are
these which divide n.
Proof: (1) The proof for e is simple.
Since I or I = N(or)lJn, I a In lies in the value group of k. The
factor group B,/B, is abelian of order e. Hence e can contain only
primes dividing n.
(2) T o prove the analogous result for f, we introduce the notion
of the degree, deg a, of an element a E E; by this we shall mean the
degree of the irreducible equation in k of which a is a root; hence
deg or = [k(u) : k]. Similarly the degree of a residue class
6 E Ep is the degree of the irreducible congruence in k of which 6i
is a root; hence deg 2 = [K(&) : El.
We shall prove that if a is an integer of E, and 6i the residue
class in which it lies, then deg & divides deg a.
Let
+ + +
f(x) = Irr (or, k, x) = xn alxn-l .-. a,.
<
Since or is an integer, ( a I / < 1. By the corollary
1, and so I a,
to Theorem 6, Chapter 11, this implies that all the coefficients of
<
f(x) are integers: I a4 I 1. Now Hensel's Lemma may be used
to show that f(x) cannot split modulo p into two factors which are
relatively prime. For if f(x) = +(x) $(x) mod p , where +(x) and
+(x) are relatively prime, there exist polynomials A(x), B(x) such
such that
+
A(x) +(x) B(x) $(x) = 1 mod p.
3. THE GENERAL CASE 61
where ( C(x) I < 1. And since f(x) r +(x) #(x) mod p , we have
f(x) = +(x) $(x) + h(x), with I h(x) I < 1. By Hensel's Lemma,
this situation implies a factorization of the irreducible polynomial
f(x), which is impossible.
Hence if f(x) splits modulo p, it must do so as a power of an
irreducible polynomial: f(x) r [P(x)]P. But deg Z = deg P(x), and
deg or = deg f(x), hence deg & divides deg or as required.
Thus if & is any residue class of E, , and a E E is any representa-
tive of E, then deg 2 divides deg a. But since deg a = [k(a) : k]
divides n, this implies that deg 2 can be divisible only by primes
which divide n. Let E,' be the separable part of E,. The degree
of E, I E,' is some power pvof the characteristic of kp . Iff = f'pv,
then E,' = A,(&), where deg & = f'; f ' is divisible by all the primes
dividing f except possible the prime p. Hence, by our preceding
remarks, these primes must divide n.
Finally, if 2 is an inseparable element, then p divides deg 15;
hence p must divide n. This completes the proof.
Theorem 9: If deg (E I k) = q, where q is a prime not equal
to the characteristic p of the residue class field, then ef = q.
Proof: Since q is not the characteristic of the residue class field,
q does not lie in the prime ideal; hence ( q 1 = 1. Furthermore,
q is not the characteristic of k, and hence E I k is separable. Let
E = k(a), and let
+
f(x) = Irr (a, k, x) = XI + a1xq-l + .-. a,.
We may apply the transformation x = y +
a,/q, since q is not the
characteristic; f(x) assumes the form y'l +
b,yq-l + + bq .
Thus we may assume at the outset that a, = 0. We remark that
If I cx I does not lie in the value group 13, , we have e 2 q, since
(Q E Bk . Since ef
I or < q, we obtain e = q and f = 1; hence ef = q.
If, on the other hand, I a I lies in Bk , we have I or ( = 1 a 1
where a E k. We may write = a& and will satisfy an equation
with second coefficient zero; hence we may assume without loss of
generality that I or 1 = 1.
In the course of Theorem 8 we saw that f(x) either remains

irreducible modulo p or splits as a power of an irreducible poly-
-
nomial; since q is a prime the only splitting of this kind must be
j(x) = ( x - c)q mod p. We show now that this second case is not
possible: since a, cq, mod p, c +0; hence the second term
of (x -- c),, namely qcq-l, is + 0 mod p . This contradicts our
assumption about f(x).
Thus n satisfies an irreducible congruence of degree q; f 2 q.
Hence f = q, e = 1, and ef = q.
This proves the theorem.
In order to prove that ef divides n, we shall require the
Lemma: If E 3 F 3 k, then e(E 1 k) = e(E I F) e(F 1 k), and
similarly for f, and hence for ef.
T h e verification of this is left to the reader. I t follows at once
that for a tower of fields with prime degree unequal to the character-
istic of the residue class field, ef = n. We shall now prove the main
result.
Theorem 10: ef divides n; the quotient is a power of the
characteristic of the residue class field.
Proof: We shall prove the result first for the case where E is a
separable extension of k. Let deg (E / k) = n = qinz, where q is a
prime unequal to the characteristic of k and jq, 7%) = I . We assert
that ef = qis where (q, s) = 1.
3. THE GENERAL CASE 63
Let K be the smallest normal extension of k containing E, and
let G be its Galois group; let H be the subgroup of G corresponding
to E. Let Q be a q-Sylow subgroup of H, E, the corresponding
field. Now Q, considered as subgroup of G, may be embedded in a
q-Sylow subgroup Q' of G; the corresponding field El is a subfield
of E, .
T h e degree of E, 1 E is prime to q since Q is the biggest q-group
of H. Similarly the degree of El I k is prime to q, since Q' is the
biggest q-group in G. Now the degree of E, / El is a power of q,
which must be qi, for
[E, : EJ [El: k ] = [E, : k ] = [E : k ] [E, : El.
Now between the groups Q and Q' there are intermediate
groups, each of which is normal in the one preceding and each
of which has index q. T h u s the extension E, I El may be split
into steps, each of degree q. T h e product ef for the extension
E, I El is equal to the corresponding product for each step of
degree q. From this we see that ef = qi. But this is also the
q-contribution of ef by the extension E 1 k, since the degree of
E, I E is prime to q.
We obtain this result for every prime divisor of n unequal to
the characteristic of A. Hence ef can differ from n only by a power
of the characteristic. Since ef <n, we must have efS = n where
6 is a power of the characteristic. This proves the theorem for
separable extensions.
If E I k contains inseparable elements, let Eo be the largest
separable part. Then n[E : Eo]must be a power of the characteristic
of k; if this is non-zero it is also the characteristic of A. We have
seen that ef[E : Eo] can be divisible only by this prime. Hence for
the inseparable part we have again nlef = a power of the character-
istic of A. This completes the proof of the theorem.
Corollary: If the residue class field has characteristic zero,
then ef = n.
We may write n = ef6 : 6 is called the defect of the extension.

CHAPTER FOUR
Ramification Theory
1. Unramified Extensions
Let k be a complete field, C its algebraic closure. Let the cor-
responding residue class fields be k, e; under the natural isomor-
phism, k may be considered as a subfield of C. The canonical
image in C of an integer a in C shall be denoted by 5; that of a
polynomial $(x) in C[x] by $(x). A given polynomial $(x) in €[XI
is always the image of some polynomial $(x) of C[x]; +(x) may be
selected so that it has the same degree as $(x). If the leading
coefficient of #(x) is 1 we may assume that the leading coefficient
of +(x) is also 1. In the sequel these conventions about the degree
and leading coefficients will be tacitly assumed.
Let $(x) = $(x) be an irreducible polynomial in &[XI, with
leading coefficient 1. We may factor +(x) in C[x]:
Since all the roots are integers, we may go over to €[XI, where
This shows that $(x) splits into linear factors in €[XI; hence is
algebraically closed.
Since $(x) is irreducible in Qx], $(x) is irreducible in k[x], and
hence F = k(/3,) has degree n over k. The residue class field P
contains the subfield k(&), which is of degree n over k; hence
f = deg (F 1 5) 2 n. But if e is the ramification, we have ef < n.
Hence e = 1, f = n, and F = K(pl). This shows that every simple
extension k(pl) of k is the residue class field of a subfield F of C,
with the same degree as K(pl) I h, and ramification 1.
1. UNRAMIFIED EXTENSIONS 65
Since all finite extensions of & may be obtained by repeated
simple extensions, we have proved
Theorem 1: Every finite extension of is the residue class
field for a finite extension of k with ef = n and e = 1.
We return to the case of a simple extension, and assume now
that #(x) is separable. Then pi # Pj for i # j, and hence
j pi - pi I = 1 for i # j. Let ar be an integer of C such that
$ ( C ) = O ; say & = P I . Then Iar-/3,j < 1; that is, (a--/3,I
is less than the mutual distance of the & . Theorem 7 of Chapter
2 shows that k(/3,) C k(a).
Let E be any subfield of C such that 3 &(PI).Then E contains
an element a such that E = PI; hence k(pl) C k(a) C E. If we
assume in particular that deg (E 1 k) = deg ( E I A) and that
E = k(pl), then k(/3,) C E, but
hence E = A(/?,). Thus we have proved
Theorem 2: T o a given separable extension k ( a ) of 6, there
corresponds one and only one extension Eo of k such that
(a) deg (Eo I k) = deg (Eo 1 k) and (b) Eo = k(p1).
Corollary: If E is an extension of k such that E contains Eo,
then E contains Eo .
This discussion suggests the following definition: A field exten-
sion E I k of degree n with ramification e and residue class degree f
is said to be unramijied if it satisfies the following conditions:
(I) e = 1,
(2) ef = n,
(3) E 1 k is separable.
The third condition is inserted to exclude the critical behavior
of the different when inseparability occurs. This difficulty does not
arise in the classical case of the power series over the complex
numbers, where the residue class has characteristic zero; nor in the
case of number fields, where the residue class fields are finite.
I n neither of these cases is any inseparability possible.
66 4. RAMIFICATION THEORY
Theorem 2 may now be restated in the following terms:
Theorem 2A: There is a (1, 1) correspondence between
the unramified subfields of C and the separable subfields
of e.
We see also that the unramified subfields of a given extension
E 1 k are precisely those whose residue class fields are separable
subfields of E. Furthermore, the lattice of unramified subfields of E
is exactly the same as the lattice of separable subfields of E. Hence,
in particular, there is a unique maximal unramified subfield T of E,
which corresponds to the largest separable subfield of E; T is
called the Inertia Field ( Tragheitskorper) of E.
Theorem 3: Let E = k(a) where a satisfies an equation
f(x) = 0 with integral coefficients such that all its roots modulo p
are distinct. Then E is unramified over k.
Proof: It will be sufficient to prove the result when f(x) is
irreducible. If f(x) is irreducible in k it is irreducible also in A,
for we have seen that an irreducible polynomial can split in K only
as a power of an irreducible polynomial-which would contradict
the assumption that the roots modulo p are distinct. Hence
deg (E I k) = deg (A(&)I A); but A(G) is contained in the residue
class field of E. Since f < n, we have E = K(G), and hence E I k
is unramified.
Corollary: If E I k is unramified, and if SZ is a complete field
containing k, then El2 I SZ is unramified.
Proof: We can write E = k(a) where a satisfies an irreducible
equation +(x) = 0 which is separable mod p . But ESZ = SZ(a),
where a still satisfies an equation which is separable mod p. The
result follows now from the theorem. Thus the translation of an
unramified field by a complete field is again unramified.
We can also prove, by obvious arguments, that an unramified
extension of an unramified extension is unramified over the
ground field, and that any subfield of an unramified extension is
again unramified.
We conclude this section with two examples.
2. TAMELY RAMIFIED EXTENSIONS 67
Example I : Let k = F{t}, the field of formal power series over
the field of constants F. We shall show that the unramified exten-
sions of k are produced by separable extensions of F. We have
shown previously that the residue class field of k is isomorphic to
F under a natural mapping. Let E be a finite extension of k, E its
residue class field. Then if G E E, a! satisfies an irreducible equation
#(x) = 0 in R. Let #(x) = $(x); since every coefficient of $(x)
may be replaced by a congruent one, we can assume that all the
coefficients of $(x) lie in F. Suppose now that E 1 k is unramified,
and that E I K, which must therefore be separable, is generated by G.
Then we have seen that E is generated by a root fi of $(x). The
condition e = 1 implies that t is prime in E; hence E = Fl{t},
where Fl = F(/3).
It is easy to prove the converse: That if Fl is separable over F
then Fl{t} is unramified over F{t}.
Example 2: Let k be a finite field of q elements; this is the
case which arises in algebraic number theory. We shall show that
the unramified extensions of k are uniquely determined by their
degree, and are obtained from k by adjoining certain roots of
unity. The first statement follows from the fact that a finite field
has only one extension of given degree.
Now let E I k be an unramified extension of degree n. The
qn - 1 non-zero elements of E satisfy the equation xqn-l = 0,
which is therefore separable, having qn - 1 distinct roots in E.
Hence if 5 is a primitive (qn - 1)-th root of unity, k(5) is unrami-
fied. Further, since xqn-l - 1 splits in k({), it splits in k(5); hence
E C k(5). By the Corollary to Theorem 2, E C k(5).
On the other hand, let a E E lie in the same residue class as 5 ;
then ( a - 5 1 < 1, whereas the mutual distance of the roots of
xun-l - 1 is exactly 1. Hence, by Theorem 7 of Chapter 2,
k(5) C k(a) C E, and we have E = k(5).
2. Tamely Ramified Extensions
A finite extension E I k of degree n with ramification e and
residue class degree f is said to be tamely ramijied if it satisfies the
following conditions:
68 4. RAMIFICATION THEORY 2. TAMELY RAMIFIED EXTENSIONS 69

(1) ef= n, class in T. Let the corresponding power up' be written a,; since
(2) E I R is separable, p r is prime to d, a and a, generate the same cyclic group, so that
a, may be taken instead of a. We have now ald = ~ , a , where
(3) e is not divisible by the characteristic p of 5. E , = c E T mod p; thus ald = ca, + +
f l = b /3 where E E and
Clearly all unramified fields are tamely ramified. I B l < lbl.
We can deduce at once from the definition that a subfield of a We now study the equation 4(x) = xd - b = 0;d is prime to
tamely ramified field is tamely ramified; and that a tower of tamely the characteristic of F, hence to that of k; thus 4(x) is separable
ramified fields is tamely ramified. over k:
We shall now give an important example of a tamely ramified
+(XI= (X- 71) "' (X - Yd).
extension. Let a be a root of the polynomial $(x) = xm - a,
where a E k, (p, m) = 1, and +(x) is not assumed to be irreducible. Obviously
Certainly I a Im = I a I lies in the value group of k; let d be the
exact period of 1 a I with respect to B, (i.e. the smallest integer d
such that I a Id = I b 1, b E k); then d divides m.
Let /? = ad/b; thus 1 p 1 = 1, and pmld= a/bmld. Hence /3 Further, however, 4'(y1) = dy,d-l, so that
satisfies an equation #(x) = xmld - c = 0 where I c I = 1;
#(p) = (mld) pmld-l, SO that I $'(p) / = 1 ; hence #(x) is separable
modulo p. Thus k(p) 1 k is unramified. whence I yi - y,. I I
= yi / for all i # j.
We now consider k(/3) as the ground field; over k(p) a satisfies Now
the equation xd - b/3 = 0. k(p) has the same value group as k;
hence d is the period of I a I with respect to the value group of
k@). Thus k(a) I k(p) has ramification 3 d but the degree of
k(a) I k(P) is< d. It follows that k(a) I k(p) is fully ramified, and
that xd - b/3 is irreducible in k@).
In the course of this discussion we have verified all the condi- It follows that for at least one of the yi, say y,, we have
tions for k(a) to be a tamely ramified extension, and we have shown I a, - y, I < I y, I; that is, a, is closer to y, than the mutual
that it is made up of an unramified extension followed by a fully distance of the roots yi . Hence by Theorem 7 of Chapter 2 we
ramified extension. have T(y,) C T(al) C E; by the nature of its construction, T(y,)
Now let E / k be a finite extension; we shall construct the largest is tamely ramified over T and hence over k. I a, I was a representa-
tamely ramified subfield of E. If T is the inertia field, T is clearly tive of a coset of B,/B,, and since I a, I = I y, I, we see that a
contained in this subfield, so we may confine our attention to the field element y, can be chosen such that yld lies in T, and I y, I
tamely ramified extensions of T. Since '2 is the largest separable represents this coset.
subfield of E, E I T is purely inseparable. Let p be the characteristic Choose representatives y, , y, , yT of this type to represent
me.,

of the residue class field, and write e = eopv,where (e, ,p) = 1.
BE/%, is a finite Abelian group of order e. Let us choose a basis
for this group, and let a be an element of E which represents one
of the basis elements with period d prime top; that is, I a Id = I a I,
with a E k (since B, = Bk). Hence ad = €a where / E I = 1. Since
E, I T, is purely inseparable, some power EP' represents a residue
all the basis elements with period prlme to p. Then the field
V = T (y, , y, , ..., y,) is a tamely ramified subfield of E, since
a tamely ramified tower is tamely ramified.
Now if di denotes the period of the basis element represented
by yi , the ramification of V is 3 d1d2 ...d, = 0,; but V is a
tamely ramified subfield of E, and so its ramification< eo . Hence
70 4. RAMIFICATION THEORY 3. CHARACTERS OF ABELIAN GROUPS 71

e(V I k) = e,, the largest possible ramification for a tamely ramified 3. Characters of Abelian Groups
subfield of E. Next, since = T is the largest separable subfield
of E, f(V I k) = deg (2'1 k) is the largest possible residue class Let G be a finite Abelian group with basis elements a, , a, ,
degree for a subfield of E with separable residue class field. a, having periods el , e, , -.-,e, . A character of G is a homo-
. - a ,

Hence, since V is tamely ramified, deg (V 1 k) = e(V I k) f(V I k)
is the largest possible degree of any tamely ramified subfield
of E.
We shall now prove that all tamely ramified subfields of E are
contained in V. T o do this we require the
Lemma: The translation of a tamely ramified extension by a
complete field is again tamely ramified.
Proof: Let E I k be a tamely ramified extension. Let F be a
morphic mapping x of G into the non-zero complex numbers.
If x is a character, [X(a,)]ev= 1; hence X(a,) = 4, is an e,-th
root of unity; and if a = aTa: a:, then X(a) =:E:E €7.
Thus we see that a character x is described by a set of roots of
unity, (6, , E, , -.. E,), where each E, is an e,-th root of unity.
Conversely, any such set of roots of unity defines a character.
Hence there are in all ele2 e, distinct characters, i.e. as many
as the order of the group. If X(a) and xf(a) are characters, then
= X(a) X1(a) is also a character, which we denote by XXf(a).
If X, Xf are described by (el, E,), (elf, E,'), then xX' is
- a * ,

complete field containing k. described by (qelf, ..., ere,'). Thus the characters form a group G*
E is obtained from k by constructing first an unramified exten- of the same order as G; G* is called the dual group of G. G* is
sion, then adjoining certain radicals. E F is constructed from F clearly a direct product of groups of order ei; hence
in precisely the same way, and hence is tamely ramified.
Now suppose there is a tamely ramified subfield of E which is
G* (el) x (e,) x ... x (e,) r G.
not contained in V; by the lemma, its translation by V is again Thus we have established
tamely ramified. But this translation is of higher degree than V,
contrary to our result that V has the largest possible degree of any
Theorem 4: A finite Abelian group is isomorphic to its dual
tamely ramified subfield of E. Hence V is the unique maximal
group.
tamely ramified subfield of E: V is called the Ramijication Field
Consider now the following situation: G and H are Abelian
( Verxweigungsk6rper).
We conclude this section with an groups. Z is a finite cyclic group. By a pairing operation on G and
H into Z we shall mean a function q5 which maps the product
Example: Let k be the field of formal power series F{t}. The G x H into Z such that
unramified part of a tamely ramified extension E of k has the form
4k1g2 h)
? = 4(g, , h) 4(g2, h),
Fl{t) where Fl is a separable extension of F (Section 1, Example 1).
Tamely ramified extensions of Fl{t} are obtained by adjoining
roots of elements which represent the basis elements of BE 1 Bk ,
which have period prime to the characteristic of F. Since the Let Go be the G-kernel, i.e. the set of elements g E G such that
valuation is discrete, BE/Bkis cyclic, and we may choose as repre- +(g, h) = 1 for all h E H ; similarly let Ho be the H-kernel, i.e. the
+
sentative of a basis element a series a = ct(1 -..); E =Fl{t}(.i;/ol), set of elements h E H such that 4(g, h) = 1 for all g E G. For this
where m is prime to the characteristic of F. Since, however, the situation we prove
m-th root of a series 1 + can be extracted in Fit}, it suffices to
adjoin 72.If F is algebraically closed, the only possible extensions Theorem 5: If H/Ho is finite, then GIG, is also finite, and
are by q--t. GIGo r H/Ho.
72 4. RAMIFICATION THEORY
Proof: We may regard Z as a group of roots of unity. For
a fixed element g E G, we write xg(h) = #(g, h); then xg(h) is a
character of H, which is trivial (i.e. takes the value 1) on Ho.
Thus x,(h) may be regarded as a character of the factor group
H/Ho. Hence g -+ xg(h) is a homomorphian of G into (H/Ho)*;
the kernel is clearly Go . Thus we have
GIGor some subgroup of (H/Ho)*;
similarly
H/Hog some subgroup of (GIGo)* . carry Pl into P I , P 2 , j3, . Since E I k is unramified, &x) is
Since H/Hois finite, by hypothesis, we have H/H, g (H/Ho)*; so
GIG, g some subgroup of H/Ho . E 1 k into C ( k is uniquely determined by its effect on E 1 5.
Thus GIGo is also finite, and hence isomorphic to (GIGo)*; so
H/Ho some subgroup of GIG,.
Hence we have the result of the theorem: GIGo r H/H, . precisely these which act like the identity on all the residue classes
4. The Inertia Group and Ramification Group
Let E ( k be a finite extension field. I n sectlons 2 and 3 of this
chapter we have defined two important subfields of E: T, the
Inertia Field (Tragheitskorper), which is the largest unrarnified
subfield of E, and V, the Ramification Field (Verzweigungskorper),
which is the largest tamely ramified subfield of E. When E ( k
is a normal extension, with Galois group G, the subfields T and V
correspond to subgroups 3 and % of G, which are called respectively
the Inertia Group and the Ramification Group of E ( k. I n this section
we shall describe these two subgroups.
At first, however, we do not assume that E I k is normal. Instead,
we let C be the algebraic closure of k, and consider the set of
isomorphic maps of E into C which act like the identity on k.
This set of maps, of course, does not form a group; but it is known
from Galois Theory that the number of such maps is equal to
the degree of the largest separable subfield of E. A separable
subfield of E may be described by giving the set of maps which
4. THE INERTIA GROUP AND RAMIFICATION GROUP 73
act like the identity on the subfield. Our immediate task is to
describe the inertia field and ramification field in this way.
First let E I k be an unramified extension. We have seen in
Section 1 that E = k(/3,) and E = &(PI),where
The isomorphic maps of E 1 k into C I k carry /3, into /3, ,p, , -..,&;
e
these clearly induce maps of E I & into / k, namely maps which
..a,
separable, and so these f maps of E I & are distinct. Since they are
equal in number to the degree of E I k, these are all the isomorphic
maps of E 1 E into 1 6. From this discussion we see that a map of
We are now in a position to prove
Theorem 6: Let T be the inertia field of E 1 k. Then the
isomorphic maps of E into C which act like the identity on T are
of E.
Proof: It is clear that the maps which leave T fixed also leave
fixed all the separable residue classes of E.
Consider, therefore, the inseparable residue classes: let a E E
be a representative of one of these. Then for some power pvof the
characteristic of A, DLP" represents a separable residue class, which
is left fixed by the maps which leave T fixed. Since p-th roots are
unique in fields of characteristic p, this implies that the residue
class represented by a is left fixed.
Hence every isomorphic map of E 1 k which leaves T fixed also
leaves every residue class fixed.
Conversely, if a is a map which leaves fixed every residue class
of E, then it leaves fixed every residue class of T,and hence, since
T is unramified, it acts like the identity on T.
This completes the proof.
We must now carry out a similar analysis for the ramification
field V. First we consider a tamely ramified extension E 1 k. Let
u ( # 1) be an isomorphic map of E / k into C. We consider two
cases :
74 4 . RAMIFICATION THEORY
(a) o does not leave fixed all residue classes of E. Select a E E
as representative of one of the residue classes which is changed by a.
Then, since ua and a are both integers, we have
(b) o leaves fixed all the residue classes of E. Then a leaves T
fixed, and so may be considered as an isomorphic map of E I T.
We have seen that E = T("i/& , VG, ...) where the a, are suitably
chosen elements of T and the mi are prime to the characteristic p
of A. Consider the action of a on one of the generators, say a = &i;
a satisfies the equation xm - a = 0, hence so does oa, and we
have already shown that for the roots of such an equation,
Thus in either case we have found a non-zero element a E E
for which I ua - a I = I a I. Consequently, if for every a # 0
in E we have / oa - a I < ( a I, then a = 1.
We can now prove
Theorem 7: Let V be the ramification field of E I k. Then
the isomorphic maps of E into C which act like the identity on V
are precisely those maps a for which I o(a) - a I < I a I for all
non-zero a E E.
Proof: If o is a map such that 1 o(a) - a 1 < 1 a 1 for all
non-zero a E E, it clearly has this property for every element of V.
Since V is tamely ramified it follows from the preceding discussion
that o acts like the identity on V.
Conversely, let o be a map such that I o(a) - a I = I a I for
some non-zero element a E E. We shall show that o cannot leave V
fixed. Let p be the characteristic of k, . Then
I a(. - a)' I = I 001' + (- a)' + 2 (,P)
v=1
(- a)' (.a)'-'
Now since I (;) I < 1, we have
4 . THE INERTIA GROUP AND RAMIFICATION GROUP 75
Hence I oap - ap 1 = 1 a lp. This follows immediately when p
is odd. When p = 2 we have
but since 1 2# 1 < 1 oIP I, this gives 1 uap - @ 1 = 1 a lp.
Thus in all cases, 1 oaP - ap I = I a IP, and repeating the
process, we obtain I a d ' - OLP' I = I apv 1.
The period of I upv, I with respect to kp is prime t o p if we take v
large enough. Thus for large enough v, there exists an element
/I E V such that I ap' I = I /I 1, i.e. apU//Iis a unit. The residue
class represented by this unit may be inseparable; but a suitable
pp-th power will be separable. There is therefore no restriction of
generality if we assume that the residue class is already separable.
I t may thus be represented by an integer y E T, i.e. apV//I= y mod p .
Hence ( apV//3- y I < 1, which implies that
Thus ap' = /Iy + 6 , where 1 6 1 < 1 /Iy I. Similarly
a.'' = a@) + us,
where I a6 I = 16 1. Now consider
Since /Iy E V, we have shown that o cannot act like the identity on
V. This completes the proof.
Let now E be a normal extension field of F, with Galois group 8.
I = I a' I.
The inertia group 3, which corresponds to the inertia field T,
consists of those elements a of 6 which leave the residue classes
of E fixed. The ramification group B, corresponding to the rami-
fication field V, consists of those elements o of 8 for which
I ua - or I < I a I for all a E E. It is easily verified that 3 and D
are invariant subgroups of 6. We shall now try to describe the
factor groups 813 and Q / B .
76 4. RAMIFICATION THEORY
The group 613 is the Galois group of T/F. If we map the group
6 onto its effect in the residue class field, we obtain a homo-
morphism between 6 and the group of E I A with kernel 3. Hence
we have
Theorem 8: The Galois group of the Inertia Field TI k is
isomorphic to the Galois group of the residue class field E / h.
In order to describe the group 6/23, we consider first the sub-
group 3/23. This can be examined by constructing a pairing
operation between 3 and the value group 23, of E, as follows:
5. HIGHER RAMIFICATION GROUPS 77
So far +(a, 7) has denoted a residue class, i.e. an element of E.
It is natural to ask whether there is an element in E, lying in this
residue class, which can be naturally selected to represent it. If
e = po'eo, where (p, e,) = 1, the order of 3/23 is e,; hence
[+(a, 7)le0E 1 mod p . The equation xeo- 1 = 0 has e, roots in
the algebraic closure A of F, of absolute value 1 and mutual
distance 1. Since I ( ~ a / a ) ~-o 1 I < 1, we have 7q'a nearer to one
root 5 than to any other; hence E 3 F ( ~ a / a 3 ) F(5). Thus 5 is a
root of unity in E, congruent to ~ a / amodulo p. We now choose
+(or, 7) to be represented by this 5; this is well-defined, since

-
Let E be a unit of E; then since 7 E 3, TE
TC/E 1 mod p. Thus we have
-
Let 7 be an element of 3, a E E; let +(a, T) be the residue class of
7a/a mod p. We shall show first that +(a, 7) depends only on I a I .
E mod p, whence
if +(a, 7) = +(/I,
are congruent:
7') mod p , the corresponding roots of unity
cl r C2 mod p, whence 1 5, - < 1; thus
= C2 , since the mutual distance of the roots is 1. Thus the opera-
tion +(a, T), which formerly had values in E, may now be regarded
as a pairing operation on 23, and 3 into E.
Now GI23 is an extension group of 3/23. Let a be an element
of G; the mapping 7 E 3 -+ma-I gives an automorphism of 3
which proves our assertion. Further, we have modulo 23. We shall give a description of +(a, o~a-I);this gives the
character values of a ~ o - Iin E, and this will be sufficient to des-

- (-)
cribe a ~ o - l .We have
and ma-la T(U-la)
+(a, mu-') - 0 = .($(a, 7)) mod p,
a

since / a-la I = / a I. But +(a, m-u-l) and +(a, 7) are roots of unity
since 1 r2a 1 = 1 a 1. Thus +(a, 7) is a pairing operation as described in E; hence

-
in Section 4. We have now to find the kernels under the operation. +(a, u7u-l) = u(+(a, 7)).
The %kernel Kg consists of the automorphisms T such that
7a/a 1 mod p for all a E E; since In particular, if G is abelian, u ~ u - l= 7, so that
.(+(a, 7)) = +(a, 7);
thus #(or, 7) is a root of unity in k.
we see that the kernel K3 = D. If the BE kernel is I(, , we have
3/23 BE/KE.Also K E must certainly contain the value group 23,
of k, since ra-- a for a E k. But since no element whose period is a 5. Higher Ramification Groups
power of the characteristicp can occur in 3/%, no such element can
occur in 23,/K,. Hence K, consists of all the elements of 23, Let i denote either a real number, or a "real number +
zero",
whose periods modulo 23, are powers of p. Thus we may say that in a sense to be made more precise in a moment. We define the
3/23 is isomorphic to the "non-critical part" of the value group, i.e. sets %, to consist of those automorphisms a E G such that
to the cosets of 23, modulo 23, which have period prime to p. ord (ua - a) 3 ord a + i,
78 4. RAMIFICATION THEORY 5. HIGHER RAMIFICATION GROUPS 79
or Let us first notice, however, that the sets Bi are invariant sub-
aa - a
ord (_) 2i for all a EE groups of 6; let a , T E %, , ol E E:

When i is a real number r , this shall mean simply that

aa - a
ord Y;

when i = r + 0, whence

ord (_)
aa - a
2i

shall mean T h u s %$ is a subgroup of 6; that it is an invariant subgroup follows

from the invariant form of the definition.
(_)
aa - a

_
ord > r. Let E = k(ao); then for each o E G we define

We now consider the operation which, acting on a, produces ia = ord ( aaOaT ) .

( o a - a)/a;this bears a certain resemblance to logarithmic dif-
ferentiation: If a # 1, then aa, f a, , and hence i, cco.Clearly o cannot occur
in Bi for i > i,; hence for i > max, i, , the group %, consists of
the identity automorphism alone.
I t follows from the definition that for i >j, Bi E %,.; we must
now examine the discontinuities in this descending sequence of
whence we have groups. We consider first the subsequence {B,) where the indices r
are restricted to be real numbers. Suppose there are discontinuities
at r , , r , , ..., rk (k <
n - 1 where n is the order of G). Then:

Further, T E 8,. jTa

for all r < ri o ord ---
a) r for all r < r, and all a t E

+ ord (_--)
7a - a
r, for all a t E

whence
Thus, when we examine the effect of 2.3, on the elements of a group
we can restrict our examination to the generators of the group,
T h u s the real line may be split into intervals rip, < r ,< ri such that
%, = Bri for ri-, < Y ,< ri . Since the whole sequence of groups
%, is monotone, it is clear that %+,, = %, when ri-, < r < r, .
We cannot, however, give a definite description of the groups
I t may happen that illTi+, = Sri or = B r i f l ; but
in general BTi+, lies between Dri and Bri+, . Hence in general a
80 4. RAMIFICATION THEORY 5. HIGHER RAMIFICATION GROUPS

jump occurs in two stages-between Bpi and Bri+, , then between Hence, if a E !I?
we have
(,
B,&, and Bri+, . Our next task is to analyze the factor groups at
these jumps.
ord(o'- + min(pi,ordp + i).
l ) a > ordor
Let a E Bi (i # +
O), 7 E Bi . Then Thus a E Bi a" E B j where j = min (pi, ord p + 21. Now if
p # 0, ord p > 0, so that j > i. Thus every element a of Bi has
- 1 = ( a - 1) (T - 1) + (T - 1) + ( a - l),
ar
(modulo this B j ) period p. Since Bi/Bi contains the factor group at
UT - TO = (a - 1) - 1) - (T - 1) (U - 1).
(T the jump, we have completed the proof of our

Now Theorem 9 : At a discontinuity in the sequence of ramifica-

tion groups { B i ) the factor group is abelian and of type (p, p, p,
.a*),

provided that the discontinuity does not occur at B,, .

I n the case of non-discrete valuations, no information can be
obtained about discontinuities at 9+,; this difficulty does not
Similarly arise in the discrete case where B+, = B, .

-
Let us examine the special case when e = f = 1. Then if
a E E, there is an element b E F such that 1 a 1 = I b 1 ; thus
Hence also I a/b I = 1 and alb c mod p where c E F (since f = 1). This
implies that I a - bc / :< 1 b I = / a 1, or, writing bc = a, that
ord ((a7 - ~ aa) 2 ord a + i +j. / a - a / < / a / . Hence a = a + / 3 where 1 / 3 1 < 1 a i . Then
We can replace a by u - ~ T - without
~ ~ altering the ordinal; this
yields
ord (a~a-lr-l - 1) a 2 ord a i j. + + since a E F. We now obtain

Thus if a E Bi , T E B j , then the commutator of a and T lies in

B c b i . I n particular, when i = j, we see that the factor group
B,/B,, is abelian. If a discontinuity occurs at B, , the factor group whence
is certainly contained in B,/B,,; thus the factor group at a jump is
abelian. We shall now show that the factor group is of type (p, p, p,
..-) where p is the characteristic of the residue class field. Since
since / P/a/ < 1. Thus to every element 01 E E we can find another
p = 0 => B,, = 1, (for there are no inseparable extensions of element /3 such that
fields of characteristic zero), we consider the case p #O. We
examine
a" - 1 = ((a - 1) + 1)P - 1 Thus if a E Br where r is a real number we cannot have

Thus
for any a E E. Thus we have proved:
82 4. RAMIFICATION THEORY
Theorem 10: If e = f = 1, then 8,= B,+, where r is any
real number.
6. Ramification Theory in the Discrete Case
We shall now assume that the valuation is discrete; then we
have shown the existence of elements .rr E k, 17E E such that
every element a E k, respectively a E E, can be written a = emv,
respectively a = EIPwhere the E are units; further, we know that
I rr I = I 17 le, where e is the ramification number. If a = EIP
we shall make the natural definition, ord a = v; in particular,
ord 17= 1, ord m = e. These ordinals depend on the field E.
In this discrete case, nothing new can be added about the
Galois group of T I k. But since the value group BE is now cyclic,
and the Galois group of V I T is isomorphic to the non-critical
part of BE, it follows that V / T is a cyclic extension field, of
degree eo , where e = pye, , (eo ,p) = 1. Hence it is easily verified
that V = T ( V 6 ) where .rrl E T.
The study of the higher ramification groups %, is simplified in
the discrete case, since now we need consider only integral values
of i-for the ordinal, as defined above, takes only integral values.
I n particular we notice that B,, = %+,, , and especially B+, = %, .
The sequence of groups is now B1 3 23, 3 3 (I), where Bi/B2*
is abelian, and B4/Bjis of type (p, p, p, -..) where
j = min (pi, ordp + i) 2 i + 1.
Thus the group of E I T is solvable (this is true also for the non-
discrete case); and any insolvable step in E I k comes from the
residue class field (since the group of T / k is isomorphic to that
of E 16).
We have already remarked that we need examine the effect of
the elements a E 6 only for the generators of the group of non-zero
elements of E; thus it will be sufficient to consider their effect on
all elements 17 for which ord 17 = 1. Quotients of these give the
units of the field, which, along with one of the elements 17, give all
elements of E. We shall now make the further restriction that the
residue class field E I be separable. This is certainly true in the
important cases of algebraic number fields and of fields of func-
tions over finite ground fields. Only in this case do the finer parts
of the theory appear; for instance, only under this assumption was
Herbrand able to find the inertia group and ramification groups for
an arbitrary normal subfield of E 1 k. We remark that if E 16
is separable, then E I T is purely ramified with degree e.
Theorem 11: If the valuation is discrete, and if the residue
class field E I k is separable, then the integers D in E have a minimal
basis relative to the integers o in k consisting of the powers of an
integer. I n other words, there is an element a E E such that every
8 E D can be expressed as
where all the xi E O.
E I k is given by {winY) (i = 1,
-
Proof: Let w, , o , , .-.,wf be representatives (in E) of a basis
for the residue class field E I 6; thus if 8 E E is a representative of
one of the residue classes, we have 8 xlwl + +
f ; v = 0, -.-,
ma-,
xtwf mod p.
We have seen earlier (Chapter 3, Theorem 7) that a field basis for
e - 1); and this
is a minimal basis (i.e. when the integers of E are represented in
terms of the basis, the coefficients in k are integers).
When E is unramified (E = T), we have e = 1, f = n. Let a
be a representative in E of the residue class which generates
E : E = h(6). Then 1, 5, ..-,(Yf-l is a basis for E; hence 1, a, me.,
at-l is a minimal basis for E 1 k.
When E is purely ramified (k = T), we have e = p, f = 1.
Then a basis for E is given by a unit w,; hence a minimal basis for
E I k is given by 1, 17, Re-l.
a*.,
In the general case, we let E = R(&), and let f(x) be a polynomial
in k[x] such that j(x) = Irr (E, K, x). Since E is separable, we have
f(a) E 0 mod p, but f'(a) +
0 mod p, where a is a representative
of (Y in E. Since f(a) r 0 mod p we have ord f(a) 2 1. Suppose
ord (f(a)) > 1; let 17 be any element with ord 17 = 1, and set
a + 17= 8. Then
Now ord f(a) > 1, and ord > 1; but ord ITf'(a) = 1 (since
f'(a) +
0 mod p); hence ord f(P) = 1, and since 8 lies in the same
84 4. RAMIFICATION THEORY

residue class as a,it may be taken as representative of the generating for all such elements 17; thus in examining the effect of an auto-
residue class. Thus we can suppose without loss of generality that morphism a, we need examine its action on only one such I7.
ord f(a) = 1; thus f(a) can be taken as our element 17. Since Suppose that a E Bi but a # Bi+,; this means that
1, c, ..-,&f-lform a basis for E 1 A, we obtain a minimal basis for
E I k by taking {av(f(a))p); thus every element in O can be expressed ord (0 - 1) a , but ord (a - 1) cr > i + l .
as a polynomial in a with integer coefficients. Thus 1, a, an-' a or
form a minimal basis for E I k. This completes the proof of the Hence
theorem. (a - 1) a .
Now let 0 E D be given by ord
a
=t, and ord (a - 1) or = i + 1.
We see at once that if ord (a - 1) a = 0, then a is not an
Let o be an isomorphic map of E IF into the algebraic closure C. element of the inertia group; if ord (a - 1) a = 1, then u € 3
Then but a # B1 , and we obtain immediately the classical definition of
the higher ramification groups:
(a - 1) 0 = cl(aa - a) + c2(aar2- a2) + ... + C , - ~ ( U ~-~ -an-')
'
= (aa - a) p,

where /?is integral, i.e. I /3 / < 1. Hence

ord ((a - 1) a) = min ord ((a - 1) 8).

0cD

The ideal generated in C by (a - 1) a, i.e. ((a - 1) a . D,) is

called (by Hilbert) an "element" of E I F.
Let now E I F be normal. Then we see that
ord ((a - 1) a) > 0 c- oa r a mod p
c- o leaves all residue classes fixed

the inertia group. Suppose, then, that a E 3; since 3 leaves the

inertia field T fixed, we can take T as our ground field. Thus the
powers of a, or of any element 17 with ord 17 = 1, form a minimal
basis for E I T. If a E 3, we have
ord (a - 1) a = ord(a - 1 ) l l

CHAPTER FIVE
The Different
Throughout this chapter we shall be dealing with finite separable
extensions E of a field k which is complete under a discrete valuation.
As usual, we shall denote by D, V, n a n d o, p, n- the rings of integers,
prime ideals, and primes in E and k respectively. The trace from
E to k will be denoted by S,,, or simply by S.
1. The Inverse Different
Let T be any set in E; its complementary set T is defined by
I t is easily seen that if TI C T, then TI' 3 T,'.
I n particular, when T = D, we obtain the complimentary set D':
D' is called the inverse different.
We now introduce the notion of a fractional ideal in E. Let
' be any additive group in E such that 2ID = (u. If a E 2l, and
%
[ I < I a I, then P/a E D, and so = a .P/a E (u. This means
that (u contains, along with a, any element with ordinal 2 ord a.
There are thus two possibilities: (1) ord a is not bounded for a E %;
then clearly '% = E; (2) ord a is bounded; let a, be an element
with maximal ordinal in '%-this exists since the valuation is
discrete; then '% = a& = P D where v = ord a,. I n the second
case we call (u a fractional ideal (or an ideal for short).
Theorem 1: D' is a fractional ideal.
Proof: Clearly D' is not empty, since D' 3 a.
86
1. THE INVERSE DIFFERENT 87
On the other hand, 0' # E. For since E / k is separable, there is
at least one eIement a E E such that S(a) = a # 0. Then
S(a/.rr, . 1) = a/.rrv,and this does not lie in o if v is large enough;
in other words, for large enough v, a/rVdoes not lie in D'; hence
D' # E.
+
If $(AD) C o and S(@) C 0, then S((h p)o) C o; thus D' is
closed under addition. If S(hD) C o, then S(XD D) C o, since
DD = D; hence AD C Dr. Thus Or is a fractional idea1 as described
above.
From this result it follows that we may express Dr as If-%,
where j 2 0, since D' 3 D. The diflerent 3) is defined to be the
inverse of a' : 3) = Dr-I = If@.
The fundamental property of the different is given by
Theorem 2: 3) = D, and hence D' = D, if and only if E Ik
is unramified.
Proof: There are three cases to consider:
Case I: E 1 k is unramified. Then n- = 17 and we have seen
that every map of E I k into C' comes from a map of E ( k into C;
thus the trace in E I k comes from the trace in E I k. More precisely,
if a is a representative in E of a residue class 6 in E, then
s ~ ( E )= SE,,-(ti). Since E I is separable (E I k is unramified),
the trace SElcis not identically zero. Hence there is an element
+
a in such that SElk(a) 0 mod p.
Now let ,B = n-is be any element of E with negative ordinal
( i > 0; 6 a unit). Then
since 0116 E D, this shows that t9 $ Dr. Hence if E ( k is unramified,
then a = D'.
Case 2: e > 1. Then n- = 17e. Let a be any map of E into
the algebraic closure C; if a E 9, then I a I < 1, whence I aa I < 1
and so I S(a) I < 1. This shows that S(p) C p. Hence
1
~ ( ~ ' =s(&o)
4 ) ?T Co.
88 5. THE DIFFERENT 2. COMPLEMENTARY BASES 89

Thus l/n )P CD', and in particular 17/n, which has ordinal - (e - 1) 2. Complementary Bases
is contained in D'. Hence D' contains D as a proper subset.
We remark that in many cases - (e - 1) is the largest negative Let k be any field, E a separable extension of degree n. Let
ordinal occurring in the inverse different. w, , w, , .-.,onform a basis for E / k.
Case 3: e = 1, but E 1 & is inseparable. Here we use the tran- We examine whether there exists an element 6 E E such that
sitivity of the trace: SElk(a)= STlk(SEIT(a)). We propose to show S(wi[) = 0 (i = 1, 2, n). If we write
-.a,

that S(D) C p, so it will suffice to show that I SEIT(a)I < 1. This

then oa E a mod p. Hence S(a) r na -

reduces our investigation to the case where the residue class field
is totally inseparable. Let a E E: If o is any map of E ( T into C,
0 mod p since the degree
of an inseparable extension is divisible by the characteristic. Thus
S(D)C p; hence S ( l / n D) C o, so that l / n ED' and D' contains D
we see that the equations

form a system of n homogeneous equations in n unknowns. Multi-

as a proper subset. plying the equations in turn by arbitrary elements ai E k and adding,
This completes the proof of the theorem. we obtain
A second important property of the different is contained in S((alw1 + + anwn) .Y) = 0;

Theorem 3: .
If E 3 F 3 k, then DEIk= DEIFDFIk thus S(E5) = 0, which is impossible unless 5 = 0 since E I k
is separable.
Proof: Let DFlk= P D F . We have Since the system of homogeneous equations S(w&) = 0 has
only the trivial solution, it follows from the theory of systems of
linear equations that any non-homogeneous system S(w& = b,
(i = 1, 2, -.a, n), with b, E k, has exactly one solution.
In particular there is exactly one element E E such that
S(wiwrj) = aii. The set of elements w',wt2, ..a, w', is called the
complementary basis to a,, w,, on.To justify this name we must
a*.,

showthat the~'~are1inearlyindependent ;so letx1w1,+ + xnwl,=O.

Multiply by wi , and take the trace; this yields xiS(wpil) = xi = 0.
Thus the w', are linearly independent.
It is easy to see that if [ = x,w, + +
..- x,w,, then x, = S(fwl$),
and that if 7 = y1w1, + +... ynwl,, then yi = S(rlwi).
We can prove

Theorem 4: Let w, , , w, be a basis (not necessarily mini-

mal) for E 1 k; let w', , ..-, w', be the complementary basis. If
Corollary: If T is the inertia field of E I k, then DEIk= BE,,.
T = wlo + +
+ wno , then T' = wl,o ... $ wl,o.
Proof: Any element h E E may be expressed as
Proof: We have only to recall that since T is unramified,
IDTlk =D ~ .
90 5. THE DIFFERENT 2. COMPLEMENTARY BASES

Then Theorem 5: If
A E T ' o S(AT) C o e-S(Awi) C o ( i = 1, .--,n)
-=-xi€o. f(x) = (x - a) (bo + b,x + + bn-l~n-l),
Hence then the complementary basis is formed by

We now go on to examine the special case of a basis formed by

the powers of a single element of E. We require the following Proof:
preliminary result, due to Euler:

Lemma: Let E = k(a); f(x) = Irr ( a , k, x). Then

s ( f(x) - .i" =xi for i = 0 , I, .-.,n - 1 .

x -a f (4 Hence
Proof: Since E 1 k is separable, the roots a, = a, -..,an-, are
distinct. Now
This is the precise condition that bjlf'(a) should form a comple-
mentary basis to the a i .
We shall now evaluate the coefficients bi . Let

which is a polynomial of degree < n - 1.

We have
Then, since f ( a ) = 0,we have

but

Hence
Hence
+ a,a + -..+ anan-,,
bo = a,
b, = a, + a,a + --.+ ancP2, ... bn-, = an = 1 .
Y

<
Thus a polynomial of degree n - 1 has n common zeros with xi. We may write this symbolically as
It follows that it must be identical with xi.
I t is now easy to compute the complementary basis to 1, a , a2,
..., an-l. The result is given by
92 5. THE DIFFERENT
where the symbol [A] denotes the integral part of A in the obvious
sense.
If a is an integer, we may simplify those results even more. For
then the coefficients ai of f(x) are all integers of k, and we may
replace the basis elements
and so on by the equivalent basis
Theorem 6: If LY is an integer such that E = ~ ( L Yand
),
then the complementary set T' = T/f('cw). Furthermore 9 divides
f'(LY) .D.
Proof: The first statement follows at once from the preceding
discussion and Theorem 4.
T o prove the second statement we have only to notice that since
a is an integer T C D; hence D' = 3 - I C T' = T/f'(a). It follows
C )a T C BD, which proves the result.
that ~ ' ( L Y
Finally, we may apply these results to the case where the residue
class field E I A is separable; then E has a minimal basis consisting
of the powers of an integer a. (Theorem 10, Chapter 4).
Theorem 7: If I?' I is separable, then 3 = fl(a) D, where a
is the element whose powers form a minimal basis.
Proof: Since the powers of LY form a minimal basis, the set T
of Theorem 6 is exactly the ring of integers D. Hence
3. FIELDS WITH SEPARABLE RESIDUE CLASS FIELD 93
and so
a =f'(01) . D.
3. Fields with Separable Residue Class Field
We shall now give a description of all extensions E 1 k where the
valuation is discrete and the residue class field is separable. Let
E I k be such an extension, T the inertia field. Then, as we have
remarked earlier, a,,, = a,,, . We have seen also that 1,
IT, 112, ma., ne-I forms a minimal basis for E 1 T. Hence, if
f(x) = Irr (R; T, x), we have a = f'(17) D. Now f(x) is a polyno-
+
mial of degree e: f(x) = xe alxe-l + --- +
a,; a, = NIT, so that
1 1 7 1 = Q M , whence l a o l = 1L7le= I T ] ; thus r r ( a , , but
rr2 # a, . Further, since the coefficients a, (v = 1, e) are the
as.,
elementary symmetric functions of the roots of f(x), we have rr I a, .
Thus f(x) is a polynomial satisfying the Eisenstein criterion.
Conversely, we shall show that such a polynomial gives rise
to a completely ramified extension. Le f(x) be an Eisenstein
polynomial in T[x], 17 a root of the polynomial. Then
since all the a, are integers, I 17 1 < 1. Further, since
and I a, I = I rr I, we must have I I7 le = I rr I. Thus the ramifica-
tion of the extension defined by f(x) must be at least e; but the
degree is at most e. Hence both ramification and degree are equal
to e, and there is no residue class field extension. We have also
proved that the polynomial f(x) is irreducible.
The proceding analysis has shown
Theorem 8: All possible extensions of k with separable
residue class field consist of an unramified extension (constructed
by making a separable extension of the residue class field A)
followed by an Eisenstein extension.
We shall now compute the different of such an extension. We
have =f'(17).D = ITaD where a = ord f'(17).Now
94 5. THE DIFFERENT THE RAMIFICATION GROUPS OF A SUBFIELD 95

sincef(x) is an Eisenstein polynomial, the ordinals of the coefficients Hence

a, are divisible by e. Hence the ordinals of the non-zero terms are
all incongruent mod e. Thus a = min ord (ene-,, (e - 1) a117e-2, ord f'(a) = C, ord ( a - ua) = C, (1 + i(u)).
..-, ae-,). a# 1 ,#I
If the field is tamely ramified, e is not divisible by the charac-
teristic of the residue class field, so ord e = 0. Thus a = e - 1,
If a E 6 = 23-, , but a $ 23, , then i(a) + 1 = 0. But if i(a) # - 1,
and = ne-ID. This is analogous to the case of function theory:
then a lies in the i(o) +1 groups 23, , 23, , -.-,Bi(,, . Thus each a
makes a contribution to ord f'(a) equal to the number of groups
for if a Riemann surface has a winding point with e leaves, the
winding number is e - 1. If, on the other hand, the ramification in which it occurs. Hence if # (23,) denotes the number of elements
is wild, we have a e. in 23, , we have
We now ask whether, for a given value of e, there is a bound on
the indices a arising from all Eisenstein equations. If e # 0, we
have a < ord (ene-l) = e - 1 -t ord e. Thus if the characteristic
+
of E does not divide e, a is bounded by e - 1 ord e; but if the and so, finally,
characteristic of E divides e, e = 0, ord e = a , then a is unbounded,
since the ordinals of the a, (v <
e - 1) can be made as large as
we please.
We conclude this section by computing a explicitly when E I k
is normal. We recall that if E I k is a normal extension, and E = k(a) 4. The Ramification Groups of a Subfield
where a is an integer such that the pourers of a form a minimal
basis, then the position of the automorphisms a of E IF in the Let E be a separable extension of a ground field k, F an inter-
higher ramification groups 23, , B 2 , is determined by

ord (ua - a ) = i + 1 - aE Bi but u$ 23i+1

This has been established for i = 1, 2, .-.. It is easy to verify
that if we define 23, to be the inertia group 3 and 23-, to be the whole
Galois group 8, then the result holds also for i = - 1 and 0.
Now let us define, for each a E 8 , the index i(o), given by
i(a) + <
1 = ord (aa - a). Then - 1 i(u) < a , and i(0) =a
only for a = 1. Then our criterion for the position of a in the
groups 23,. may be written
mediate field. Let a, p be generators over k of the integers of
E, F respectively. Let a, T be isomorphic maps of E, F respectively
into the algebraic closure A, acting like the identity on k.
We define the element &(a, E) = (aa - a) DA and similarly
a(., F ) = (TP - p) DA, where DA is the ring of integers in A.
We have already noticed (Ch. IV, $6) that if 0 is any integer of E,
then &(a, E) I (a0 - 0) DA; a similar result holds for &(T,F). It is
well known that for a given map T of F, there exist several maps a
of E which have the effect of T on F: We call these the prolongations
of T to F and write a ( T. We shall now deduce a relation between
&(T,F ) and the elements %(a,E) where u 1 T. The following lemma
holds in the case of fields with discrete valuation.

Lemma: &(T, F ) divides ll,,,&(a, E).

Now if f(x) = Irr (a,k, x), we have
Proof: The statement is obviously true for T = 1; for then
f (4 = (x - aa) and f '(a) = (a - w). (F(7,F ) = 0, and since the identity is one of the prolongations,
no,, &(a, E) = 0 also.
oeQ
96 5. THE DIFFERENT THE RAMIFICATION GROUPS OF A SUBFIELD 97

We suppose now that T # 1. Let S be the set of maps of E
which act like the identity on F. Let u be a prolongation of T;
then since T and a have the same effect on F, T-la E S; hence
u = TA, where X E S.
Thus
The lemma shows that if T # 1, then 17,1TE(u, E)/E(T,F ) is
an integral ideal of DA . We must prove that it is in fact D, itself.
Consider the product

=7
Now let f(x) = Irr (a, F, x):
n
AES
(ha - 7-10,) DA .
where the product 17' extends over all maps u of E which are not
identity on F. Hence

Thus we can write

where the product I?' extends over all maps u of E, other than the
where fr(x) has the following meaning: If identity, which are identity on F. Since the residue class fields are
separable, we have

then
F(x) = Ta, + Talx + --- + xn.
Then and

f'(a) - f(a) - a,)

= (~a, + (7% - al) a + + (ran-l - an-l) an-'.
Since a is an integer in E, the ai are integers in F. We have remarked
that for any integer a E F, E(T,F ) I ( ~ - a a) DA . Hence Using the transitivity of the different, we have
E(T,F ) I (f(a) - f(a)) DA . This proves the lemma.
We now make the additional assumption that the residue class
field E I K is separable, and obtain the stronger result:

Theorem 9: When I% 1 is separable, then whence the result follows since each of the factors is an integral
ideal.
E(u, F) = ITE(u, E). We now assume that E 1 k, F I k are normal extensions. Let 6
" 17
be the Galois group of E I k, 8 the subgroup corresponding to F;
Proof: We have already remarked that the theorem is true 5 is an invariant subgroup and 618 is the Galois group of F I k.
when r is the identity. We take the view, however, that the Galois group of F I k is again
98 5. THE DIFFERENT THE RAMIFICATION GROUPS OF A SUBFIELD 99
8 where these elements are identified whose effects on F are the Now, by the definition of i(u), we know that a E B,,,, but
same. Let the sequence of ramification groups of E I k be . Hence
a $ %,(+,

Let the corresponding sequences for E 1 F and F I k be, respectively,

where 80,Uy= 1 when o E BV and = 0 when a 6 Bv . Our formula
may now be written

The following result is at once obvious: v=0 hi) -0

Theorem 10: For i = - 1 , 0 , 1, me-, Bi* = S j A Bi .

We now attack the more difficult problem of describing the
groups Bi . Let a be an automorphism of E; we recall the definition since the groups (75 n Bi) form a decreasing sequence. Hence
+
of i ( a ) : i ( a ) 1 = ordE(ua - a), the ordinal being based on the T E DO o 7 E B o g ; thus we have our first result.
prime in E. Similarly we define i ( ~ )where
, T is an automorphism
+
of F, by ;(T) 1 = ord, (TP - P), the ordinal now being based on Theorem 11: The inertia group 5 of F I k is given by
the prime in F. From the fact that

This statement is to be read with the understanding that

we can write elements of BOB are to be identified when their effects on F are
identical.
Since the higher ramification groups are contained in 5, we can
whence now assume that T E BOB, i.e. 75 B0 # 0 . We first prove the
ordE(78 - p) = 2 OrdE(oa - a).
017

Now
Proof: Let ha be the fixed element in 5 , such that rXOE BV.
ordE( 7 p - /3) = e(E IF) .ord, (7/3 - /3) = #(3*) (i(r) + 1). Then
On the other hand every a 1 T can be expressed as a = TX where
hE Sj. Thus we may write the result
as asserted.
Now 7 % Bv # 0 o T E BY$, SO our formula may now be
written
in the form
100 5. THE DIFFERENT

where 7 E Bm(.,$j but T 4 Bm(,,+,4j; 0 < m(7) <a.We simplify

still further, writing

where the sum on the right is defined to be zero when m(7) = 0.

Finally

Thus L(T) is a sum of the form $ ( j ) =,z

: l/avwhere $(O) = 0,
a, I a, . It is easy
the a, are bounded, and a, I a, , a, I a, , ---,
to see that the positive integers must occur among the values of PART TWO
$(j).We define the function @(z) by the relation
Local Class Field Theory

We conclude our investigation with the following theorem.

Theorem 12: If @(i - 1) <j < @(t], then T E o T E Bi .

Hence Bi = Big.
Proof:

) itself @(K)for some integer K, we have

Now since m ( ~ is

Thus
T E B ~ ~ ~ ~ T E B , .

This completes the proof.

CHAPTER SIX

Preparations for Local Class

Field T h e o r y

1. Galois Theory for Infinite Extensions

We define a normal extension Q IF to be one in which every

element is separable, and such that every irreducible polynomial
in F[x] which has one root in SZ splits in Q[x]. The Galois group
of such an extension is the group of all automorphisms of Q which
act like the identity map on F. When the extension Q I F is infinite,
we shall be unable to establish a (1, 1) correspondence between the
subgroups of the Galois group G and the subfields of 52. But by
introducing a topology into G we shall establish a (1, 1) corre-
spondence between the closed subgroups of G and the subfields of Q.

Lemma 1 : Every isomorphic map a: Q -+Q which leaves F

fixed is an onto mapping, and hence is an element of G.

Proof: Every element of 52 lies in a finite normal subfield

E C Q. a acts on E as an isomorphism; hence it maps E into E,
and so onto E. Thus a maps every finite normal subfield onto
itself, and hence maps Q onto Q.

Lemma 2: Let E be any intermediate field: F C E C 9. Let

a be an isomorphic map of E into Q, in which F is left fixed. Then
a can be extended to $2.

Proof: Let a E Q. Then we shall prove that a can be extended

to E(a). Let f(x) = Irr (a, F, x), +(x) = Irr (a,E, x). Then
f(x) = +(x) q(x). Since of(%) = f(x), we have f(x) = acj(x) . aq(x).
103

Now since f(x) has one root, a, in Q, it splits completely in Q.
Hence o+(x) has a root, say B, in 9. Then if oE = E l , o can be
extended to an isomorphism T : E(a) -+ El@). Now we consider
the set of all extensions T of o to higher fields. This set can be
partially ordered by defining T, 2 7, (where T, is an extension of a
to field E,) to mean that El 3 E, and that T1 is an extension of T,
to El . The set is inductively ordered under this relation, for con-
sider any totally ordered subset (7,): The fields on which these act,
(E,), are also totally ordered. Let E' = u Ea , and define T' on E'
to have the effect of T~ on E, . Obviously T' any T, , so there is a
maximal element to the set (7,): By Zorn's Lemma, to any induc-
tively ordered set there exists a maximal element T. It is clear that
T is the required extension of o to a; for if there is an element a in
SZ on which the action of T is not defined, we can extend T to E(a)
by our earlier remarks: This would contradict the maximality of T.
We now introduce a topology into the Galois group G of 9 I F.
The neighborhoods of an element a E G are defined by referring
to the finite subfields of SZ. Let E be a finite subfield of Q; we define
the neighborhood NE of o to consist of the elements T E G which
have the same effect on E as a. Thus if UE is the Galois group of
Q 1 E, then NE = oU, . I t is easily shown that these neighborhoods
define a topology in G. This topology is HausdorfT, for if a # T
there is an element a E 9 such that o(a) # ~ ( a ) .Let U be the
group of Q I F(a). Then oU and TU are obviously disjoint neigh-
borhoods of a and T.
Lemma 3: Let H be a subgroup of G, E the fixed field
under H. Then the Galois group of Q I E is If, the closure of H.
Proof: (a) Let o E If; a E E; U the group of Q I F(a).
Since a lies in the closure of H, oU, which is a neighborhood of a,
contains an element T E H. Thus oU = TU, whence o E TU. NOW
the group U and the element T leave F(a) fixed; hence o(a) = a: o
leaves every element of E fixed. Thus If is contained in the group
of a I E.
(b) Let o be an element of G which leaves E fixed, and let
oU be a neighborhood of a, so that U is the group of SZ I F(a) for
some a E Q. Let N I E be a finite normal extension of E containing
E(a). The elements of H induce isomorphic maps of N into Q;
1. GALOIS THEORY FOR INFINITE EXTENSIONS 105
since N is normal, these maps are automorphisms of N, and under
their action E is left fixed. Thus H induces on N elements of the
group of N I E; since E is exactly the fixed field of H, H induces
the whole group of N I E.
Now o maps E(a) -+ E(af), say, which is contained in N since
N is normal. Hence this mapping is produced by some automor-
phism of N I E (using the result of finite Galois theory); and this
automorphism is in turn produced by an element T E H:
o(a) = ~ ( a ) . Thus a = o-%(a), which means that a-I7 E U:
T E uU. Thus every neighborhood of a contains an element T E H,
i.e. o E If. This proves the inverse inclusion relation; hence our
theorem is established.
Lemma 4: Let E be a subfield of 52, H the Galois group of
9 1 E. Then E is the fixed field of H.
Proof: We have to show that if a $ E then there is an element
a EH such that o(a) # a.
Let +(x) = Irr (a, E, x); since E(a) I E is a proper extension
and 9 is separable, there is a root a' # a of +(x) in Q. The map of
E(a) -+ E(af) obtained by leaving E fixed and mapping a -+ a'
must be produced by some element o E G. Since a leaves E fixed,
o E H. Since u(a) = a' # a, our lemma is proved.
From Lemmas 3 and 4 we deduce immediately the Fundamental
Theorem of Galois Theory for Infinite Extensions:
Theorem 1 : Let Q 1 F be a normal extension; let G be its
Galois group, with the topology described above. Then there is a
(I, 1) correspondence between the subfields of 52 and the closed
subgroups of G: Viz.
(I) The Galois group H of 9 I E, where E is a subfield, is a
closed subgroup of G, and E is exactly the field left fixed by H.
(2) Every closed subgroup H is the Galois group of the field
which it leaves fixed.
We now prove several supplementary statements:
Theorem 2: Let E be a subfield of SZ, H the group of Q I E.
Then the topology of H considered as a Galois group is the same
as the topology induced in it as a subgroup of G.

Proof: Let a be an element of 9.
Then U, the group of Q 1 F(a), is a neighborhood of 1 in the
group topology of G; similarly U*, the group of Q I E(a), is a
neighborhood of 1 in the group topology of H.
But U* = U n H ; hence U* is also a neighborhood in the
induced topology. Conversely, every neighborhood in the induced
topology is also a neighborhood in the group topology.
Theorem 3: Let E be a normal subfield of Q, H the group of
Q I E. Then H is an invariant subgroup of G and G/H is the group
of E IF. Further, the group topology in G/H is the same as the
topology which it inherits as a factor space.
Proof: Since E IF is normal, the automorphisms of G act
as automorphisms on E, and all the automorphisms of E arise in
this way from automorphisms of G. Thus the Galois group of E I F
is G provided we identify those elements of G which have the same
effect on E. Let o E G. Then oH has the same effect as a; i.e.
oHo-l has the effect of the identity; hence oHo-l C H and H is
a normal subgroup. The group of E IF is obviously G/H.
The neighborhoods of 1 in the Galois group topology of G/H
are the groups U* of finite subfields E I F(a). U* = U / H where U
is the group of Q I F(a). But U I H is a neighborhood of 1 in the
inherited topology of G/H. Conversely every neigborhood of 1
in the inherited topology is a neighborhood in the group topology.
Theorem 4: Let (52,) be a set of normal extensions of F, with
Galois groups {G,). If LIPn Qa = F, then the Galois group of
Q = IT Q, is G = IT G,; the topology in G is the Cartesian product
topology.
The proof of this theorem is left to the reader.
Theorem 5: With the topology described above, the Galois
group G of Q I F is compact.
Proof: Let @ = (4,) be a family of indexed closed sets having
the finite intersection property, i.e. every finite subfamily of @
has a non-empty intersection. We must show that the total inter-
section n $, is non-empty.
The existence of a maximal family containing @ and having
1. GALOIS THEORY FOR INFINITE EXTENSIONS 107
the finite intersection property follows from an application of
Zorn's Lemma. Hence we shall assume that @ is a maximal family:
@ has therefore the additional properties:
(1) The intersection of any finite number of members of @
is again a member of @.
(2) Any closed set 4 which contains a member of @ is itself
a member of @.
Now suppose $ B = A v B, where A and B are closed sets; we
shall show that either A or B is a member of @. For suppose
A 4 @. Then A n (some finite intersection of 4), = A n $, = O
(where O denotes the empty set); similarly, if B $ @, then
B n $b = O. Consequently (A u B) n $, n $* = O, so that A v B
is not a member of @. In general, if $, = A, u A, V u A,,
where the Ai are disjoint closed sets, then exactly one of the Ai
is in @.
In order to prove that nu$, is not empty we must exhibit an
element o E G which lies in each 4,. Let a be any element of Q;
we shall define the effect of o on F(a). If U is the group of Q I F(a),
then G = rlU(= U) v r 2 U u u rnU; this union is finite since
F(a) IF is finite. Now G is closed (since it is a Galois group);
hence G E @. The cosets r i U are closed and disjoint; hence exactly
one of them, say riU, is a member of @. Let o have the effect on
F(a) of rill.
We have now to show that the mapping o we have constructed
is in fact a well-defined element of G. T o this effect let El 3 E,
be finite subfields of Q with groups Ul , U,: U, 3 Ul . Let o have
the effect on El of rlU1 E @, and on E, of r2U2 E @. Since rlU1 and
r 2 U 2 E @, hence rlU1 n r2U2 # O. Thus rlU1 C r 2 U 2 and the
effect of 7,U2 on El is the same as that of rlU1. Hence a is well-
defined.
Finally we must prove that o E nu$,. For any subgroup U,
o has the effect of some coset TU E @ on the fixed field of U. Hence
oU = r U E @. Thus UU n $, # O (for every $, E @). Hence
every neighborhood of a contains an element of 4;, thus o E 6, = $,
(for every $, E @).
This completes the proof.
We now illustrate the use of this theory by an interesting special
case. Let p be a prime number. Consider the sequence of fields
 2. GROUP EXTENSIONS 109

F C Fl C .-.,where F, / F is cyclic of degree pn. Let Q = v, F, . depends only on the coset of G modulo A in which x lies. For let b
Let a E Q; then a E some F, , i.e. F(a) C F,; hence F(a) = F, be an element of A; then
for some r < n. It follows that the only finite subfields of Q are
(bx) a(bx)-l = b(xax-l) b-I = xax-l,
the F,; the only infinite subfield is 9 itself.
Let u be an element of the group G of Q 1 F which acts on Fl since xax-l, b, b-l lie in A, and A is abelian. The automorphism is
like a generator of the group of Fl / F. If a(a) = a for an element therefore defined by u E G, and we display the fact by writing
a E SZ, the field F(a) = F, remains fixed. If a 6F, then F(a) 3 Fl ,
so Fl remains fixed, contrary to the definition of o. Hence a E F.
Thus the fixed field of H = {av}is F itself. By Lemma 3, G = R.
Now if the group of Q I F, is U, we have Ul 3 U, 3 ..., so that G We now examine the rules of combination of these automorphisms:
satisfies the first countability axiom. Hence, if T E G, we can express
T as lirn,,, oav where the a, are integers. (a')" = u,(zi,au;') u,' = (u,~,)a(u,u,)-~.
Now we examine the conditions under which a sequence {oav} Now since u -t Au, is an isomorphism, u,u, lies in the coset Au,,
converges. For any given neighborhood U, , there must be an and hence produces the automorphism known as am. Thus
index N such that for p, v > N, E U, , i.e. U ~ V - ~ Mleaves Fn
fixed; la is a generator of the group of F, 1 F; hence a, - a, E 0
modpn. Hence {uav} convergent => {a,) convergent in the p-adic
topology to a p-adic integer a. We may write symbolically Since u p , lies in the coset Au,, , there is an element a,,, E A
T = ua. This is well-defined, since if a = lim a, = lim b, , we such that
have a, - b, -+0, hence oav-b~leaves high Fn fixed and so uuu, = a,,, UUT.
lim uap = lim ub~r.I t is obvious that uaop = oa+p. Hence the group G
of Q / F is isomorphic to the additive group of p-adic integers. The elements u, lie in the group G,and so must obey the associative
law: Expressing this fact, we have

2. Group Extensions

The problem of group extensions is the following: Given a

group G and an abelian group A, we wish to find a group € which
contains A as a normal subgroup, and such that € / A r G.
Let us assume first of all that such an extension exists. Then
there is an isomorphism between the elements u of G and the Thus if € 3 A and €/A gz G, every element u E G defines an
cosets of G module A; we denote this isomorphism by automorphism a -+ a Oof A, such that (a30 = aoT;further there is
defined for every pair of elements o, T E G an element a,,, E A,
at) Au,,
satisfying the relation
where u, is an element selected from the coset to which u corre-
sponds.
Let x E G; then since A is a normal subgroup of (7, xAx-l = A, Let us suppose, conversely, that we are given an abelian group A,
and a -+ xax-I is an automorphism of A. This automorphism of A and an operator group G acting on A; thus every element o E G
 2. GROUP EXTENSIONS

defines an automorphism a -+ a, of A such that (aT), = a,'. Let Then

there be given also, for each pair of elements a, T E G, an element
a,., E A satisfying the relations
e - ( 6 , ~=) (a;,\b1a1,, ,7) = (b, 7);
for if we set u = T = 1, p = T in the factor set relations, we obtain
al,lal,T = ~1~ , t z , whence
,~, a,,, = a,,, . Thus e is an identity
element.
Such a set of elements {a,,,} is called a factor set. We shall show Similarly, if we set T = p = 1 in the associativity relation, we
that under these conditions there exists a group € 3 A, such obtain a,,, = @,, . Using the result we prove the existence of an
that €/A g G. inverse to each element:
Consider the pairs (a, u) with a E A, a E G;let these pairs be
multiplied according to the following rule:

[Heuristically, au, bu, = a;;l,u,; hence abua,,,uu, = a;,iul and

(Heuristically: (a, u) corresponds to the element "au,". Thus
(a, o) (b, 7) = "au," "bu," = ab~u,u, = ab~a,,,~,,.)
We shall now prove that the set of all such pairs is the required
group G. First we verify that the multiplication is associative.
Hence
u = T-I , a = a;l,a;,tb-o].
Hence the set of pairs (a, a) form a group G.
Consider now the mapping (a, a) -t a, which is easily verified
to be a homomorphism of G onto G. The kernel (i.e. the set of
elements mapped into I ) consists of pairs which we choose to
write as
(a . a;,: , 1) = 6
Then

thus the kernel is an invariant subgroup A isomorphic to A. Hence

On the other hand,
G / A r G.
Now define the elements u, = (1, a). For these we have the
multiplication rules
whence

(since a,,,, = a,.,). Hence

in virtue of the relations between the a,,:. Thus the multiplication
is associative.
Next we show the existence of an identity element. Let Every element of G can be expressed as Zu,: For
(a, a) = ( a . u z , 1) (1, a) = i u , .

[Heuristically: u1 E A and so u p l = al,ul , whence we have Finally,

-
a& = 11. u g = (1, a) (a . a;,:, 1) = (ao,a) = a%,.

Thus if we define cfo = 2,we have
Hence if we identify the subgroup A with the group A, we have
constructed an extension with the required properties. The
elements u, which represent the cosets of G module A satisfy the
relation
u s , = a,,,~o, . =un
Let C: and G' be two extensions of A with factor group G. Let
the cosets of G modulo A be written Au,, those of €' modulo A
be written Av,. We say that G and €' are equivalent extensions
if G is isomorphic to €' under a mapping which acts like the
identity on A and carries the coset Au, onto the coset Av,. We
now obtain necessary and sufficient conditions for two factor sets
to yield equivalent extensions.
Suppose a,,, , b,, , yield equivalent extensions G, G'. Then,
since Au, is mapped onto Avo, we have u, mapped onto cov,
(c, E A). Thus
Conversely, if this relation holds between the factor sets, it is
-
easy to see that they yield equivalent extensions, under the iso-
morphism defined by u, -t cov, .
Since the factor set a,,, 1 satisfies the associativity relation,
we see that for given groups A and G we can always find at least
one extension G containing A as normal subgroup and such that
€/A g G.
We now consider the special case in which G is a finite cyclic
group of order n. Let a be a generator of G chosen once for all:
then G = 1, a, a*., an-l . Suppose G acts on A in a prescribed
manner and let G be an extension of the type we are considering;
the factor set ~ , P , , v may be written a,,, . Let the coset corre-
2. GROUP EXTENSIONS 113
sponding to a E G be denoted by Au; then the remaining cosets
can be written AuV.We have
uVu@= ay,@uP,
where p is the remainder when p + v is divided by n.
Hence we have
a,,, = 1 if p + v < n,
if p+v),n.
We shall write un = a. Then au = ua (= un+l); but ua = a%,
hence a = a,. Thus to every extension G corresponds an invariant
element a E A defined in this manner.
Conversely, let a be an invariant element of A: a = a 4 For all
p, v we define
It is a simple matter of computation to verify that the a,,, so defined
satisfy the associativity relations and so can be used to form a
group extension.
Finally we obtain the necessary and sufficient condition for two
invariant elements a, b to yield equivalent extensions. Let a and
b yield extension groups (7 and G'; let the cosets of G, respectively
€', modulo A be written AuV,respectively Avv. Suppose first that
the groups G, (7' are equivalent; then there is a mapping from
(7 to G' which acts like the identity on A and maps the coset Auv
onto the coset Avv. Hence u is mapped onto cv (c E A).
Thus
where we write N(c) = el+,+ +an-', by analogy with the case in
which ?i is an extension of a field A with Galois group G.
Conversely if we are given two invariant elements connected
by such a relation it is easy to see that they yield equivalent exten-
sions under the isomorphism defined by u + cv.
We deduce that there is a (1, 1) correspondence between the
non-equivalent extensions (7 of our type and the cosets of the
group of invariant elements of A modulo the sub-group of elements
which arc norms.

3. Galois Cohomology Theory
We shall now express these results in terms of the Galois coho-
mology theory which we shall develop.
Let A, as before, be a multiplicative abelian group; G a group
of operators on A. Thus for every a E G the mapping a + a n
is a homomorphism of A into itself and (a7), = am.
We now define cochains and coboundary operators for this
system: The 0-cochains are the elements a E A, the 1-cochains are
the functions a, mapping G into A, and the 2-cochains are the
functions a,,, mapping G x G into A. The cochains may or may
not be restricted by any continuity conditions. We now introduce
the coboundary operator 8 which acts as follows:
We define cocycles as in topology: a cochain a... is a cocycle if its
coboundary aa ... = 1. We can prove that every cochain which is a
coboundary is a cocycle: i.e. for any cochain a...
The verification of this is left to the reader.
I t is also easy to verify that the cochains form an abelian group,
if we define multiplication of the functions by multiplying their
values, and that the coboundary of a product is the product of
the coboundaries. The cocycles form a subgroup of the group of
cochains, and the coboundaries form a subgroup of the cocyles.
We then define the cohomology group to be the factor group of
the cocycles modulo the coboundaries.
Using this new terminology we can sum up our results on group
extensions in the following statement:
Theorem 6: Let A be an abelian group, G a group of opera-
tors acting on A in a prescribed fashion. Then to every Zcocycle
a,,, there corresponds an extension group (7 of the type described
3. GALOIS COHOMOLOGY THEORY 115
above; conversely, to every such extension corresponds a 2-cocycle.
Further, two 2-cocycles yield equivalent extensions if and only if
they are cohomologous. Hence there is a (I, 1) correspondence
between the non-equivalent extension groups and the elements
of the second cohomology group.
When G is cyclic we have already established a (1,l) corre-
spondence between the non-equivalent extensions and the factor
group of invariant elements modulo norms. From this fact it is
easy to deduce
Theorem 7: When G is cyclic, the second cohomology group
is isomorphic to the factor group of invariant elements modulo
norms.
We now continue with the cohomology theory. Let A and G
be, as before, an abelian group, and a group of operators. Let H
be a subgroup of G, with elements y. We can define the second
cohomology group $,(A, H), and we shall study its relation to the
group $,(A, G). (Nowadays this group is denoted by H2(G, A).)
Let a,,, be a cocycle for the system (A, G). Then if we restrict a
and 7 to lie in H, the resulting function a,l,ya is a cocycle for the
system (A, H). Further, if a,,, is a coboundary for (A, G) we have
and restricting o and T to H we obtain
hence ayl,y2is a coboundary for (A, H). Thus we have defined a
natural mapping from the second cohomology group $,(A, G)
into $,(A, H);this mapping is easily shown to be a homomorphism:
we call it the canonical homomorphism. In general it is neither an
"onto" mapping nor an isomorphism; for it is not necessarily
possible to extend a cocycle of (A, H ) to a cocycle of (A, G). I n
the chapter on Local Class Field Theory we shall show that the
mapping is "onto" when A is the multiplicative group of a local
field and G is its Galois group relative to some ground field.
 4. CONTINUOUS COCYCLES 117

Now let A, be the subgroup of A which is left fixed by the But a, = a, = 1, and a, = a, since the coset Hr = TH. Hence
elements of H: a E A, o ay = a. Then all elements of the same
coset of G modulo H have the same action on A,. Hence if H
is a normal subgroup of G, the factor group G/H acts in a natural Thus a, E A,, and a, is a cocycle for (A,, GIH).
way as group of operators on A,. We can thus define the second Similarly let a,,, be a Zcocycle for (A, G) such that a,,, depends
cohomology group $,(A,, GIH), and we shall study its relation only on the cosets of a, T mod H. We have the relation
to the group $,(A, G).
Let a,,,, be a cocycle for the system (A,, G/H); then if we
define a,,, = a,,,, for all a, T E G, we obtain a cocycle a,,, for
the system (A, G). Further, if a, ,is a coboundary for (AH, GIH), We set a = y, and obtain
we have

and defining b, = b , for all a E G we obtain a,,, = b,,bu,/b,, ,
so that a,,, is a coboundary for (A, G). In this way we have defined
a mapping from the second cohomology group $,(AH,GIH) into
the group $,(A, G). This is obviously a homomorphism; but it
is not an "onto" mapping. We shall prove later that when the first
cohomology group $,(A, H ) is trivial, then the mapping is an
isomorphism.
We say that a cocycle a,,, splits in H if a,,, is cohomologous to
the identity cocycle when a and T are restricted to H. H is called
a splitting group of the cocycle. Every cocycle has at least the trivial
splitting group H = 1, for a,,, = 1 if we choose u, = 1 as repre-
sentative of the coset A in the group extension defined by(A, a,,,, G).
We notice that a cocycle a,,, such that a,,, = a,l,,ys for all
y, , y, E H splits on H, for a,l,y2 = a,,, = 1. Obviously if a cocycle
splits on H, so do all cocycles cohomologous to it; we say that the
corresponding element of the cohomology group splits on H.
We may now sum up our preliminary remarks in
Lemma 1 : There is a natural homomorphism from the second
cohomology group $,(A,, G/H) into the subgroup of &,(A, G)
consisting of elements which split on H.
Let a, be a 1-cocycle for the system (A, G), and assume that a,
depends only on the coset of a modulo H, i.e. a,, = a, for all
y E H. Since a, is a cocycle we have a s , * = a,, . Set y = a; then
= a,, . T E uU, the corresponding a, lies in N. Since the topology in l(a
whence
Recalling that for any cocycle we have a,,, = al,,, we deduce
Thus a,,, E A,, and a,,, is a cocycle for (AH, GIH). We sum up
these remarks in
Lemma 2: Every cocycle a, (a,,,) of (A, G) which depends
only on the coset of a (a, 7) modulo H, is a cocycle for (A,, GIH).
4. Continuous Cocycles
From now on, let A be the multiplicative group of non-zero
elements in a field 52 where D is a normal extension of a ground
field F; let G be the Galois group of D I F. Let the topology in l(a
be discrete, and let G have the Galois group topology described
earlier. We shall restrict ourselves now to cochains which are
continous functions; we can give an algebraic interpretation of
this continuity condition.
Consider the 1-cochain a, which maps G + A. If this map is
continuous, then, given any neighborhood N of a, in A there
exists a neighborhood o U of a in G such that for every element

is discrete we can choose N = a,. Hence if the cochain is contin-
uous there exists a neighborhood oU of a such that for every
element 7 E aU, a, = a,.
The group G is covered by these neighborhoods; hence, since G
is compact, it is covered by a finite number of them. We have then
where a, is constant on o,U, . The sets U, are groups corresponding
to finite extensions of F. Hence U = U1 n U, n n U , is the
group corresponding to the compositum E of these fields. Obviously
U C U,, and (U, : U) is finite; thus each a$, splits into a finite
number of cosets modulo U. Hence if a, is continuous, there
exists a subgroup U such that G = UVn=, T,,U and a, is constant on
each coset T,U. If we replace U by the invariant subgroup V C U
which corresponds to the smallest normal extension containing
E we have G = U,t p,V and a, is constant on each coset pvV.
Similarly, if a,,, is a continuous map from G x G - t A, we can
find a subgroup U, and even a normal subgroup V of finite index
in G, such that a,,, = a,,,,,.
In order to prove our next theorem we require the following
lemma from the Galois theory of finite extensions.
Lemma: If E IF is a finite normal extension with Galois
group G, then
a,aa, = a,, o a, = bl-a (b E E).
(The equations a,a% = a,, are known as Noether's equations.)
Proof: (1) Obviously a, = bl-a satisfies the equations.
(2) To prove that these are the only solutions we set
where 8 is any element of E. Then
since G is a finite group. Now b cannot be zero for all elements
0 E E, otherwise we should have a relation of linear dependence
4. CONTINUOUS COCYCLES 119
between the characters 8 -+ & which is known to be impossible.
Thus a, = bl-O.
We are now in a position to prove our theorem:
Theorem 8: With A and G as described above, the first
cohomology group is trivial.
Proof: We have to show that every cocycle a, is already a
coboundary. Since a, is a cocycle we have aa, = 1, i.e. a,a\ = a,.
Since a, is continuous we can find a normal subgroup U of G such
that a, is constant on every coset 7U.
Let A E U; then aAa2= an, . Since A lies in the coset defined by 1,
a, = a,; and since AT lies in the coset UT = TU, we have aAT= a,.
Now alall = a, , so a, = 1; hence we obtain a: = a,. Thus a,
lies in the field E which is fixed under U. E IF is a finite normal
extension, with Galois group G/U. We define c,, = a, E E; then
These are the Noether equations for the field E I F ; by our lemma,
their only solutions are
C- = bl- b u , (b E E).
thus a, is a boundary. A is still the multiplicative group of a normal
extension 9 1 F , with Galois group G. Let H be a subgroup of G
and let A, be the multiplicative group of the fixed field of H.
If a cocycle a,,, splits on H , i.e. if a,,, is cohomologous to the
identity cocycle when a, T are restricted to H, we call H a splitting
group and A, a splitting field of the cocycle. In the case of a field,
since we restrict ourselves to continuous cochains, we can find a
normal subgroup U of G such that a,,, = a,,, for a, T E U; and
there is a cocycle a;,, cohomologous to a,,, such that a;,, = 1.
Hence we can always find a finite normal splitting field for any
continuous cocycle.
We now wish to prove that if H is a normal subgroup of G, then
the second cohomology group $,(A,, GIH) is isomorphic to the
 4. CONTINUOUS COCYCLES 121

subgroup of $,(A, G) which splits on H. This theorem can be
proved when A is any group whose first cohomology group is
trivial; we give the proof for the case that A is the multiplicative
group in a field, since a large part of the theorem can be proved
without assuming that H is a normal subgroup. Our first step is
to prove
We must show, however, that the new cocycle a,,, is continuous;
for this it is sufficient to show that we can extend a, to a continuous
cochain a,. Since a, is continuous on (A, H) there is a subgroup
U of G such that a, is constant on the cosets of H modulo H n U.
Let H = U, T,(H n U); then the cosets T,U are distinct, for

Lemma 3: If an element of the cohomology group $,(A, G)

splits on a normal subgroup H, then it can be represented by a But 71-172 E H; hence
cocycle a,,, which takes values in A,, and which depends only
on the cosets of a and T modulo H. TY'T~ E H nu =
, n u) = 7,(H
T~(H n u).
We recall that an element {a) of $,(A, C ) is an equivalence class
of cocycles; this equivalence class yields a group extension G{,) We now define a, = a, on the cosets T,U, and give a, arbitrary
containing A as normal subgroup such that €/A E G. The equiv- constant values on the remaining cosets. Thus a, may be extended
alent cocycles in {a) correspond to the different choices of repre- to a continuous cochain a,.
sentatives for the cosets of G modulo A. We now proceed to prove Let G be written as a sum of cosets modulo H:
the lemma.
Let {a) be an element of $,(A, G) which splits on H, where H
for the moment is any subgroup, not necessarily normal. Let a,,,
be any cocycle in {a). Then there is a cochain a, on (A, H) such that
We see that every element a E G can be written uniquely in the
form

Extend a, to a cochain a, on (A, G), and write Now u, lies in the same coset modulo A as uoUuy.We make a new
choice of coset representatives, writing

Thus we have defined a cocycle cohomologous to a,,, , i.e. a:,, E {a), Then
with the property that
U& = uouu 1 = u,,~ and u; = ulu, = u,;

hence
Dropping the accent, we see that we have chosen a cocycle
a,,, E {a) such that if u, are the corresponding coset representatives
u; = u & , .
for the group extension, G, then Further,
 4. CONTINUOUS COCYCLES 123

Thus in the group extension defined by {a} we can choose coset Now 8 may be chosen so that +,(8) f 0; for this value of 8 we have
representatives u,' such that also +,,,(8) # 0. If we notice also that +,(8) = +,,(8), we see that
if 8 is chosen so that +,(8) = +,,(8), we see that if 8 is chosen so that
+,(8) # 0, then +,,,,(8) # 0 for all y, y' E H. We therefore choose
suitable values el, 8, , 8, for the cosets HolH, Ha,H, ...,
for all a E G, all y E H. Let a:,, be the cocycle in {a} determined
Ho,H, and define
by this choice of representatives; then
=+Yug,'(ei)-
We also define +, = 1 for all y E H. The calculation above shows
u'Ju,uY) = u f y & = a&,u',,,
I J
. that
Thus K =a Y and - - ayay0= 1.
$w +YYp
a:,, = a&
The proof that this new cocycle is continuous is left to the reader. We now make a final choice of coset representatives, by writing
We drop the accents again, and see that we have constructed a
cocycle a,,, in {a} such that the corresponding coset representatives
v, = $;lu', .
U, satisfy the relation u,u, = u,, . Then
Consider now the associativity relation v, = UY ,
vuvy= f$;lu,uY =uw
$: = VOY,

We set a = y, 7 = yJ, and p = a, obtaining

Let the cocycle associated with this new choice of coset representa-
tives be denoted by c,,, . We shall show that this is the cocycle we
are looking for. First we have
But a,,, = 1, and hence

Next we define, for o 6H,

where 8 is an element of A. Then

Hence
 4. CONTINUOUS COCYCLES 125

Now define d, = boco-l, so that a,,, = d,da,/d, . We notice first

that d, = b,ca-I = 1. Next, setting T = y, we have

Thus if {a) is an element of s2(A, G) which splits on any sub-

group H, not necessarily normal, then there is a cocycle c,,, in {a)
with the properties but
co..rv -
- C0,T , a,,, = a,,, = a,, = 1.
-
G.YT
- Cv.r 9 Hence
d,=d,.

(These are the Brauer factor set relations for a non-normal splitting Thus do is a cochain depending only on the coset of a modulo H.
Finally, if we set a = y, we have
field.) In particular, when H is a normal subgroup,

Hence c,,, lies in AH, and clearly it depends only on the cosets but
of a and T modulo H.
This completes the proof of Lemma 3.
Combining the results of Lemmas 1, 2 and 3, we see that we
have proved the existence of a homomorphism of $,(AH, GIH)
onto the subgroup of $,(A, G) which splits on H. We shall now
prove that this is an isomorphism. We sum up our results in
Let {a,) be an element of $,(A,, GIH) which is mapped into
Theorem 9: The second cohomology group $,(AH, GIH) is
the identity of $,(A, G). We may choose a representative a,,,,, of
{a,) such that a,,, = 1. Suppose a,,,,, is mapped into the isomorphic to the subgroup of $,(A, G) whose elements split
on H.
cocycle a,,, of (A, G); then a,,, = 1, and by hypothesis
We conclude this section with the following theorem:

Theorem 10: Let H be a subgroup of finite index n in G. Let

We wish to replace b, by a cohomologous cochain depending only
on the coset of the argument modulo H.
Set a = yl, 7 = 7,:
Since the first cohomology group is trivial on H, we can write
{a) be an element of the cohomology group $,(A, G) which splits
on H. Then {a)" = 1 where 1 is the identity of $,(A, G).
Proof: We saw in the proof of Lemma 3 that an element {a)
of $,(A, G) which splits on H can be represented by a cocycle
a,,, such that a,,, = a,,,, . This part of the proof of Lemma 3 did
not require the triviality of the first cohomology group.
Let
 Consider the associativity relation

Set p = r V,and take the product from v = 1 to n, using the fact CHAPTER SEVEN
that a,,, = a,, . We obtain
T h e First and Second Inequalities
where

1. Introduction

Thus a:,, af,; i.e. at,, E {I). Let k be a complete field with discrete valuation and a finite
residue class field of characteristic p. Let C be the separable part
of the algebraic closure of k, r the Galois group of C 1 k.
Roughly stated, the aim of Local Class Field Theory is to give
a description of the subfields of C by means of certain objects in
the ground field k. So far it has not been found possible to give
such a description except for subfields K of C whose Galois group
is abelian. In this abelian case we shall show how to set up a well-
determined isomorphism between the Galois group and the
quotient group of k* modulo a certain subgroup. When K I k
is finite, this subgroup consists of the norms of non-zero elements
of K ; when K , k is infinite we extend our definitions in a natural
way so that the subgroup may still be considered as a norm group.
Let E be an extension of k of finite degree n. Let S(E ( k) be
the subgroup of B,(C, r ) which splits on E; denote the order of
this subgroup by [E : k]. Our immediate task is to study S(E I k);
in this chapter we shall show that for any extension of degree n,
S(E I k) is a cyclic group of order n.

2. Unramified Extensions

We recall the following facts from Chapter Four: Unramified

extensions are completely determined by their residue class fields;
namely, to every separable extension of the residue class field h
there corresponds one and only one unramified extension of k.
The Galois group of an unramified extension is isomorphic to the
127
128 7. THE FIRST AND SECOND INEQUALITIES 2. UNRAMIFIED EXTENSIONS 129

Galois group of the residue class field extension. In the case under Now let E, be a unit of k such that E, E 1 mod pm; we shall
consideration the residue class field is finite, and of characteristic p. construct a unit Em of T such that
Let h have q = pr elements; it is well-known that for every integer
n there exists one, and (up to an isomorphism) only one extension E, = 1 mod pm and E, = NE, mod pm+l.
E I k of degree n, namely the splitting field of d"- x. The Galois
group of E I & is cyclic, and has a canonical generator a: a(a) = aq Such a unit Em, if it exists, will have the form Em = 1 rmYm, +
for all a E E. We immediately deduce where Y, is an integer of T, and rr is a prime in k (hence in T).
Let en, = 1 $ rrmxm,where x, is an integer of k. If
Theorem 1 : If h is a finite field, then all unramified extensions
E, = NEmmod pm+l,
of k are cyclic.
Next we extablish the we have

Lemma: Every element a in & is the norm of an element x in E. N(l + amY,) = (1 + vmym)l+~+...+~n-l1 + +nx, mod pm+l.
Hence
Proof: nmS(Y,,) = amxmmod pm+l,
S(Ym)r x, mod p.
The mapping x -+ N(x) is a homomorphism of E* into A*. The Now not all elements of T have trace zero. Suppose x is an
kernel consists of these elements for which element of T such that S(x) = a # 0 in &; let 5, denote the residue
class of 6 which contains xm . Then S(Z,x/a) = 5, . Hence if Y, is
any integer of T in the residue class gmx/a,then S(Ym)E X, mod p.
From these remarks it follows that we can construct a unit E, in T
Thus the order of the kernel is < (qn - l)/(q - 1). such that
Hence
order of E*
Em = 1 + amYm= 1 mod pm and E, = NE, mod pm+l.
number of images obtained =
order of kernel 2 4 - 1 .
The theorem now follows easily. We have
Since R* contains only q - 1 elements, the equality sign must
NEo mod p; -!.- -

-
hold. Hence every element of &* is a norm. E 3
NEo - '

Theorem 2: If T I k is an unramified extension, then every Then we construct a unit El 1 mod p such that
unit in k is the norm of some unit in T.
€1 -
el = NEl mod p2; -
NEl - E2 '
Proof: Let E be a given unit in k.
By the preceding lemma, the residue class of A containing E
is the norm of a residue class in T;this residue class will contain Similarly we construct a unit E2 r 1 mod p2 such that
a unit Eo . Since the formation of the norm in T 1 & is the same as
in T I k, we see that E 3 NEo mod p. Hence CINE, is a unit el , e2 3 NE2 mod pa,
and 3 1 mod p. and so on.
130 7. THE FIRST AND SECOND INEQUALITIES
Since the units E, converge to 1, the product E,E,E, conver-
ges to a unit E' of T, and clearly E = NE'.
This completes the proof of the theorem.
We now introduce the convention of representing groups by
their generic elements: for example, a shall denote the group of
all non-zero elements a E k, NA the subgroup of a whose elements
are norms of the non-zero elements A E E.
Lemma: If T I k is unramified, of degree n, then the factor
group a/NA is cyclic of order n.
Proof: Since T I k is unramified, a prime .rr in k remains a prime
in T. Thus any element A in T can be written A = .rrvE,where E
is a unit in T. Then NA = .rrvnNE.
We have just seen that the group N E coincides with the group
of units in k. Thus the elements of k whose ordinals are divisible
by n are precisily the norms NA.
Hence a/NA is cyclic of order n; the cosets are (NA, nNA, ..-,
.rrn-lNA).
Let E I k be any finite normal extension. Let H be the subgroup
of I' which leaves E fixed; then r / H is the Galois group of E I k.
We recall that the second cohomology group B,(E, r / H ) is iso-
morphic to S(E I k). Hence, when E is a cyclic extension (in parti-
cular when E is unramified) we have
invariant elements
S(E I k) r M E , r l H ) r norms = (UINA.
3. The First Inequality
Let E I k be any extension of degree n. The proof that S ( E I k)
is a cyclic group of order n proceeds in two stages. The first step
is taken in our next theorem:
Theorem 3: If E / k is any extension of degree n, then S ( E I k)
contains a cyclic subgroup of order n, and [E : k] 2 n.
3. THE FIRST INEQUALITY 131
Proof:
Case 1: E is an unramified extension: E = Tn . In this case
our preceding remarks give us the result immediately. Unramified
extensions are cyclic, and so we have
But, by the lemma, a/NA is cyclic for an unramified extension.
Hence when E is unramified we have the even stronger statement
that S(E I k) is itself a cyclic group of order n and [E : k] = n.
Case 2: E is a totally ramified extension.
Let Tn be the unramified extension of degree n; let U be the
subgroup of I' which leaves Tn fixed. We notice that E n Tn = k,
since this intersection must be both unramified and totally ramified.
Since Tn I k is a normal extension, U is a normal subgroup of P,
hence HU = UH, and so HU is the group generated by H and U
and is therefore the subgroup corresponding to E n T, = k;
hence HU = I'. The intersection H n U corresponds to the com-
positum ETn .
The Galois group of ET, I E is
which is the Galois group of Tn I k. Hence ET, I E is cyclic of
degree n, and it is easy to see that ETn I E is unramified.
We shall now show that S ( E I k) contains S(T, I k), so let
auv,,,,, be a cocycle which splits on Tn . Since T, is cyclic we may
assume the cocyle has the form
where a is an element of k.
First we remark that we may choose a in H. For since
oU C HU = I', we can write a = hu; we then replace a by uu-l.
Thus we can assume that a is in H. Then
The restriction of a0,,,,, to H is therefore a,v~un,,,,~un,, .
132 7. THE FIRST AND SECOND INEQUALITIES
This can be regarded as a cocycle for (ET, , H/U n H); we
shall show that it is cohomologous to the identity cocycle. Since
ETn 1 H is cyclic it suffices to prove that the element a lies in the
group of norms N E T n I E .
If .rr is a prime in k, IT a prime in E, then, since E 1 k is totally
ramified, n = €I?'< Thus the ordinal of a with respect to IT is a
multiple of n, and since ET, I E is unramified, this is precisely
the condition that a lie in N E T n J E .
Hence a , splits on E, and so S(E 1 k) 3 S(T, I k). This
proves the theorem in this case.
Case 3: E is an arbitrary extension.
Let T be the inertia field of E I k, and, as in Case 2, let T, be
the unramified extension of degree n, corresponding to the sub-
group U of r. Then T is a subfield of T, , corresponding to the
subgroup HU, and E I T is totally ramified.
Let a,,, be a cocycle of (C, r) which splits on T,; if we restrict
the subscripts of a,,, to lie in UH, we obtain a cocycle of (C, UH)
which splits on Tn . Since E / T is totally ramified, we can apply
the result of Case 2, showing that a,,, splits on E.
Hence S(E I k) 3 S(T, I k). This proves the theorem in this
final case.
The result we have just proved, namely that for any extension
E I k of degree n, [E : k] n is known as the First Inequality. In
Section 4 we shall prove the Second Inequality, which states that
<
[E : k] n. Before we proceed with this proof, however, we remark
that it will have the following important consequence:
Theorem 4: If E / k is any extension of degree n, then S(E I k)
is a cyclic group of order n. Further, if Tn is the unramified
extension of degree n, then the cocycles of (C, r)
which split on
E are precisely those which split on Tn .
We have already remarked that every cocycle has a splitting
field of finite degree (Chapter 6, Section 4). Hence every cocycle
has an unramified splitting field of the same degree. From this we
shall deduce
Theorem 5: B,(C, r)is isomorphic to the additive group of
rational numbers modulo 1.
4. THE SECOND INEQUALITY: A REDUCTION STEP 133
4. The Second Inequality: A Reduction Step
The aim of this section and the next is to prove
Theorem 6: If E 1 k is any extension of degree n, then
<
[E : k] n.
The first stage in our proof is a reduction to the case where E I k
is an extension of prime degree.
Let p, be any prime number. S(E I k) is an abelian group, and
so the elements of S ( E j k) with period a power of p, form a
subgroup which we denote by Spl(E I k); let the order of SPl(E I k)
be [E : KIP,. We first prove some elementary properties of the
symbol [E : KIP,.
Let E' be a finite extension of E. It is easy to see that SPl(E I k)
is contained in the corresponding group SP1(E1I k) of order
[E' : k],, . We have the following results:
This follows at once from the definition.
<
(2) [E' : kIpl [E' : Elp1[E : k],, .
SP1(E1I E) is a subgroup of $,(C, H ) where H i s the subgroup of r
which leaves E fixed. Thus we can map SP1(E1I k) into Spl(E1 I E)
by the canonical homomorphism, i.e. by restricting the subscripts
to H. Obviously the number of images is < [E' : Elp1. The kernel
consists of these elements of SP1(E1I k) which are cohomologous to
the identity when their subscripts are restricted to H ; thus the
kernel consists of the elements of SP1(E1I k) which split on E,
namely Spl(E I k), which contains [E : RIP, elements.
Hence
<
[E" : k],, [E' : El,, [E :k],, .
(3) If p, does not divide deg (E I k), then [E : kIp1 = 1.
For every element {a) E S(E I k) we have {a)" = {I) (Chapter 6,
Theorem 9). But for every element {a) E SPl(E 1 k), we have
{a)pl= (1). If p, does not divide n, these statements imply that
{a) = (1). Hence [E : k],, = I.
Let K be a finite normal field containing E and let G be its
Galois group; let G, be the subgroup of G which leaves E fixed.
 7. THE FIRST AND SECOND INEQUALITIES 5. THE SECOND INEQUALITY CONCLUDED 135

of p,, which must be (E / k),, , i.e. the pl-contribution to the

degree (E I k) since
(E, I El) (El I k) = (E, I k) = (E2 I E) (E I 4.
The extension E, I El can thus be expressed as a cyclic tower of
degree ( E I k)pl. Assuming that the second inequality is true for
cyclic extensions of prime degree, and applying (2) above, we
obtain
[E2 : E1lPl G (E I k)Dl '

(by (1) above)

< [E, :EIIP1[El : kl, , (by (2) above)

5 (E 1 k ) since (El ( k) is prime to p1 .

It follows that [E : kIp1 is finite for every prime p, . Hence the

groups SPl(E / k) are finite for every prime p, , and are different
from the identity only if p, divides n. Hence S ( E I k) is itself a
finite group, and the groups SPl(E I k) are its Sylow subgroups.
Thus
[E : k] = r]:[E : k],, < (E I k)P1= n.
pl

Hence we have proved the second inequality under the assumption

that it is true for extensions of prime degree.

5. The Second Inequality Concluded

We have now to consider a normal extension K / k of prime

degree 1. The Galois group of such an extension is cyclic, generated
by an element o. We introduce the following notation, continuing
Let Q be a p,-Sylow subgroup of G1 , E, the corresponding field. our convention that groups shall be denoted by their generic
Now Q, considered as a pl-subgroup of G may be imbedded in a elements:
pl-Sylow subgroup Q' of G; the corresponding field El is a subfield
of E, . Let A denote the generic element of K*,
The degree of E, 1 El is prime to p, since Q is a maximal pl-sub- a! the generic element of k*,
group of GI; similarly the degree of El 1 k is prime to pl , since Q' E the generic unit of K,
is a maximalp,-subgroup of G. Now the degree of E, 1 El is a power E the generic unit of k.
136 7. THE FIRST AND SECOND INEQUALITIES 5. THE SECOND INEQUALITY CONCLUDED

Let p, rr be the prime ideal and a prime in k. First we consider (E: vl). Since
Let Q,l7be the prime ideal and a prime in K. v1 = plNE 3 p1rz,
Let II, be an element of K in Vs;i.e. ord 17, 2 s.
Let j3, be the generic element of k which is r 1 mod n. we have
Let v, be the generic element of k of the form v, = &NE (hence (€ : VJ < (€ : plE1).
V, E N E mod pn: vn is a norm residue mod pn).
Finally, we denote the index of a group G, in Gl by (GI : G2). Mapping the units E into their residue classes modulo p , and
First we prove the group-theoretical applying the lemma, we have

Lemma: Let T be a homomorphism of a group a into some

(E :vl) < (E : P1el) = (kg : kgg).
other group. We denote the image group by Ta, and the kernel When I = p, the mapping kg --+ k g z is an isomorphism. Hence
by a,. Then, if j3 is a subgroup of a,
=1 when 1= p ,
v l ] l when l+p.
Proof: Since T(a,P) = T(/3), we have (a : aTP) = (Ta : TP).
Next we consider (vn : v,,) (n 2 I). Since j3, 3 we have
Then

We shall now compute the norm of 1 +x&, where x is an

integer in k. We have
Since K / k is cyclic, we know that the subgroup S(K I k) is iso-
morphic to the factor group aINA. Thus [K : k] = (a : NA);
hence we must prove that (a : NA) 6 I. We have already estab-
lished this for unramified extensions, so we shall assume that Hence
K is not unramified, and so, since I is a prime, K is totally ramified.
The lemma above gives us a first reduction step; for if we
map A -+ I A I, and hence a -t I a I, we obtain
( a :NA) = (1 a 1 : 1 NA I) (c : NE). where C' ranges over all polynomials
Since K is completely ramified, (1 a 1 : I N A I) = 1. Thus we +,(u) = a, + alu + .--+ al-lu-l
have to prove (E : NE) < I.
We shall consider the index which have precisely v coefficients equal to 1, and the remaining
I - v coefficients equal to zero.
When v = 1,
and show that only one of the factors on the right can be different
from 1, and that this exceptional factor cannot exceed I. We shall
also show that for a high enough value of n (which we can determine When v = I,
precisely) v, = NE. This will, of course, prove the second
inequality.
138 7. THE FIRST AND SECOND INEQUALITIES 5. THE SECOND INEQUALITY CONCLUDED 139

In general, if $,(a) is a polynomial of the type described, so is where 3 is the different. Let 3 = 'pm;we have shown earlier how m
< <
oi$,(u) for all indices i (0 i 1 - 1). For v < I, all the ai$,(u) may be calculated. Then
are distinct. Indeed, if ai+,(o) = aA$,(a), we have ai-j$,(u) = $,(a).
Let k be the minimum exponent such that ok$,(a) = $,(a); since s ( F ) = pr 0 'p8"-1r c D ,d $D
vfm-(l+l)c

U )+,(a), it is easy to see that k is a factor of I. Hence k = 1

U ~ $ ~ (= os+m--Ir>O and s+m-(l+l)r<O
(I is a prime). Thus
u r < -m+s and r > m7 +-s 1 .
1
Finally we obtain the result that
Hence all the ai are equal, and

We now return to consider the index

Hence for v < I all the associated polynomials ai$,(u) are distinct.
Thus for 1 < v < I, each such set of associated polynomials con-
tributes a term to the coefficient of xV,namely where n 2 1. We have to examine three cases separately, depending
on the relation of n to I and m; the three cases are

Since the coefficient of xuis a sum of terms of this form, it is itself

of this form, and we obtain finally

First we show that cases 2 and 3 can occur only if I = p, the

characteristic of the residue class field. Since n 2 1,
We shall show that the dominating factor in this expansion is
either xS(17,) or ~ ~ N ( 1 7The
~ ) . ordinal of the latter is easily com-
puted; we must now estimate ord S(17,). < <
implies 2(1- 1) m. Since 1 2 2, we have I 2(1- 1); hence
S('pS) is obviously an ideal in k, for <
I m. This implies that 3 = 'pm C 'p' = p, and hence that
p-1 C 3-l. If T is an element of k, with ordinal 1, r-l E p-l C 3-l,
and so, by the definition of the inverse different,
and for any integer a E k, as(&) = S(a 17,).
Thus S('pS)= pr for some r, which we shall now determine.

S ( p ) = pr e p-'S((PL) = o and p-('+l S('P" # 0 This means that T / I, and hence, since I is a prime, I = p.
e S ( P - ~ D '=
~ ~o ) and S(p-(?+l)D'p8)# o We now consider the three cases in turn.
e S(D(PL-lr) C o
+ 'pa-1r C 3-1
and
and
S(D!$P-(T+l)l) 4o
'pa- (r+l)Z 4 B-l,
Case I: (n +
1) (I - 1) > m.
Letusdefines=(n+ 1 ) l - m - 1.
140 7. THE FIRST AND SECOND INEQUALITIES 5. THE SECOND INEQUALITY CONCLUDED 141

Then s n + 1; hence When I is not equal to the characteristic p of the residue class
N(P8 = pS C pn+l. field, this result holds for all n 1. Thus
Also, (E :NE) = (E:v,) (v, :NE) = ( E : v,).
m+s=(n+ 1)l- 1;
hence
We have already proved that when I # p, (E : v,) < I, and hence
( a : N A ) = ( E : NE) < I.
and Thus we have proved the second inequality in this case.
For cases 2 and 3 we have I = p.
Case 2: (n + 1) (1 - 1) < m.
Thus Then
S((PS)= pn and S ( p + l ) = pn+l. (n+l)(I-1)+1 =(n+ 1)l-n<m, and (n+ 1)1<m+n.
Hence there is an element 17, with ordinal exactly s such that Hence
S(l7,) = e r n . If x is an integer of k, we have

+ x n S )= 1 + xS(.K) + xZN(&) + 2 xvS(17,,)

1-1
N(1
-2 and so
=1 + xS(17,) mod pn+l
3 1+ mod pa+,.
EX#

Every element Pn may be expressed as 1 EXT"; hence every+ On the other hand, N('pn) = pn. Hence if 17,is any element of p,
is congruent to the norm of a unit modulo pn+l. Now and x is any integer of k, we have

&!- = 1 mod pn+l

-
Pn
fin zz NE mod pn+l e-- is a fin+,.
NE - NE
Thus we have Pn C Pn+,NE, and hence 1 + x~hT(II,)mod pn+l.
Let us choose an element ITn with ordinal exactly n; then
N(l7,) = mn. Hence
Since (n +1) (I - 1) > m, we have (n r + +
1) (I - 1) > m
N(l + xI7,) = 1 + cxZnnmod pn+l.
for all positive integers r ; hence Pn+, = /In+,+,En+, , where
+
En+, = 1 xDs+,, . Since lim,,, En+, = 1, the infinite product Let x run through a system of representatives ( x , , ..., x,) of the
En+, converges to a unit E, and /In = NE. residue classes modulo p. Then every element 13, is congruent to
Hence (/In :8 ,n NE) = 1, and so, by the first isomorphism +
some 1 xprn modulo pn+l. Since I = p (the characteristic of the
theorem, residue class field), the mapping x + x z is an isomorphism of
(finNE : NE) = (v, : NE) = 1. the residue class field, and so (x,', x,', x,') is also a system of
a*.,
142 7. THE FIRST AND SECOND INEQUALITIES 5. THE SECOND INEQUALITY CONCLUDED 143
representatives for the residue classes. Hence every p, is congruent When the index n satisfies the inequality (n + 1) (I - 1) < m,
+
to some 1 exilrn modulo pn+l. we have
Thus every element p, E N E mod pn+l. (vn : v,+~)= 1.
By exactly the same argument as in Case 1, we obtain the result
that (v, : v,,) = 1. When the index n = no is such that (no + 1) (I - 1) = m, we have
Case 3: (n +
1) (I - 1) = m.
Here we have
(n+l)l--1 =m+n, Finally for any index n > no , we have (n + 1) (1 - 1) > m,
and hence and by Case I,
( v :v ) =1 and v, = NE.

Thus if N > no,

Thus S ( v )= pn, and also N(Qn) = pn.
Hence, if l7, is an element of K with ordinal exactly n and x is (E: vN)= (vno: v ~ , +$
~ )I, and vn = NE.
an integer of k, we have
~ ( +1xun) = 1 + rrn+(x)mod pn+l, Hence, finally (E : NE) I. <
This completes the proof of the second inequality for completely
where +(x) is a polynomial of degree I = p. ramified cyclic extensions of prime degree; this, as we have seen,
Let (x, , x, , ..-,x,) be a system of residue classes modulo p. is sufficient to prove the inequality in all cases.
Then, as in Case 2, every element p, is congruent to some one of The fact that [K : k] = n means that when K I k is cyclic with
+
the q elements 1 xi+ mod pn+l. Since a polynomial +(x) of degree equal to the characteristic of the residue class field, Case 3
actually occurs. That is to say, there is an integer no such that
degree I may take the same value for as many as 1 different xi , the
elements (+(xl), ..., +(x,)) may represent only r of the residue (no + 1) (I - 1) = m, and (vno: vno+l)= 1.
classes, where q 3 r 2 q/l.
Now every /In which is congruent to some one of the r distinct Then the elements pno are not all norms of units, while all the
+
elements 1 +(xi) rnis congruent to the norm of a unit mod elements (i = 1, 2, 3, are norms of units. The ideal
..a)

and hence lies in the group pn+,NE. 5 = pno+l is called the conductor of the extension, and we see that
It follows that
4
@n : Pn+lNE) = -
r < 1;
where 3 is the different.

We have now proved the second inequality for the case I =pa
For we have
(E :vN) = (E: vl) (vl :v2) "' (vN-1 : vN).
When I = p,
(E : vl) = 1.
 1. THE TEMPORARY SYMBOL

Then

CHAPTER EIGHT Let us denote the norm group of K I k by NKIkA;when we can

do so without confusion we shall omit the subscript. We see that
The Norm Residue Symbol
where a,,, , b,,, are any representative cocycles of c. We now define
the symbol (c, K lk/~)by writing
1. The Temporary Symbol (c, K I k / ~ )

Let k be a complete field with discrete valuation and a finite

residue class field. Let K be a finite normal extension with Galois
group G. Let c be any element of the second cohomology group
&(K, G),and let a,,, be a representative cocycle; then a,,, satis-
fies the associativity relation
where a,,, is any representative cocycle.
Obviously, if c, and c, are two elements of &.(K,
G)we have

We have also the result

We shall make repeated use of this relation.
Let

then f ( ~ E
) k, for

But
since

Hence
Hence
[f(.)lp = n
mc
aw = JJa,., =
EG
f(7).

Now let us consider the effect of taking another representative

cocycle for c ; let
 1. THE TEMPORARY SYMBOL

Hence the mapping T -+ (c, K I k/r) is a homomorphism of the since

Galois group of K I k into the factor group a/NKlk. Since the image
group is commutative, the kernel of this mapping contains the
commutator subgroup G' of G.
(I) Let KObe a subfield of K which is normal over K. Let H
be the subgroup of G corresponding to KO;then H is a normal
subgroup. We choose a fixed system of representatives for the
cosets of G modulo H ; we denote by 6 the representative of the
since
coset containing the element a. Thus if y is the generic element of H,
we have = 76 = 6. - -
TI= .t and myl = 07.
Now let c be an element of the cohomology group $,(K, G);
let a,,, be a cocycle representing c. We shall now prove that if the Similarly daYl,,= do,, .
degree of K over KOis m, then a:,, is cohomologous to a cocycle Hence do,, is a cocycle for (KO, GIH). (Cf. Chapter 6, Section 3,
do,, for (KO,GJH), and hence that cm may be considered as an Lemma 2.)
element of $,(KO, GIH). We can thus define the symbol [(cm,KO1 k)/rH], which we shall
Let write simply as [(cm,KOI k ) / ~ ] .We have

and define
Now as a runs through a complete system of coset representatives,
so does &; hence
We shall show that d,,, is a cocycle for ( K O ,G/H)
Thus we have

By the associativity relation,

Since the group NKIkis contained in the group NK,lk (this follows
a,,pw,, = a;,sa,,,, and hence ~U.@W.?
a",, = ----- , from the transitivity of the norm), we have
a 0 3 ~ ~

Sunstituting these results, we obtain We may choose ? = T, and so obtain finally

148 8. THE NORM RESIDUE SYMBOL 1. THE TEMPORARY SYMBOL 149

(2) Let KObe any subfield of K , not necessarily normal. Let us
write as before, G = U (TH.
By the symbol ResKo(c) we shall mean the equivalence class of
cocycles obtained by restricting to H the subscripts of each a,,,
in c. Let T be an element of H ; then we can form the symbol
(4) I n order to describe the fourth important property of
our symbol [(c,K I k ) / ~we
] must first introduce a group-theoretical
notion. Let G be a group, H a subgroup of finite index; let G',
H' be the commutator subgroups of G and H respectively.
Let us choose fixed representatives ai for the cosets of G
modulo H : G = U Ha,; define 6 = ad for every element a E H o d .
Consider the element ~ ~ r o i 7where
-l T is any element of G ; since

u p E -, we have 6 7 - I E ~ - l o r l H ,and hence ui~a,7-l E H .

for any T EH. Then We define the transfer (Vorlagerung) of T into H to be

V ( T )does not depend on the choice of coset representatives ad .

If we write = a, , we have

using the transitivity of the norm. The associativity relation gives

Replacing o, by ydad, we obtain

since cosets of H modulo H' commute with one another.

Since T E H We can also write G as a union of left cosets modulo H:
G = U uTIH. Let us define t.5 = oil for every element a E o i l H .
Then we have
so we have
-
Hence t.5 = o-1-l. We can define another transfer in terms of the 6
by writing
Finally we have, for all T E H, V*(T)= ]
0-1
N
n
IT U ~ ~ - ' T U=~ ~ H?TU;~H'.
'
7
',
I

-
Let a , ~ - l= a,; as i runs through all possible indices, so does m.
(3) Let h be an isomorphic map of K onto K" under which k We have ad+ E H a , , hence a, E Hu,T, and so u,7 = a, Hence,.
is mapped onto kL. If c is an element of & ( K ) represented by finally,
a,,, , we define the element c q n &(K" to be the class of cocycles V*(T)= r ]:U ~ T U ~ T - '=H V(T).
v

'
represented by a:,, = bAoL-l,LTA-l. It is easily seen that Om

Thus we may define the transfer by using either left or right coset
representatives.
1 50 8. THE NORM RESIDUE SYMBOL 1. THE TEMPORARY SYMBOL

It is fairly clear that the transfer is a homomorphic map of G But D yu;~,,G-I lies in NKkK0.Hence
into H / H f . For

where we write ui = G, and then

If we replace by ai , then as ai ranges over all coset representa-
tives, so does ai . Thus we have

We notice also that

We use the associativity relation again, and obtain

since cosets modulo H' are commutative. Thus the kernel under
the transfer map contains the commutator subgroup G'; hence the But 17,a~~i,,,, . Hence
lies in NKIKo
transfer defines a homomorphism from GIG' into H / H f .
Now let G be the Galois group of the extension K 1 k, and let H
be the subgroup corresponding to an intermediate field K O .We
shall study the symbol

T o conclude this computation, we must show that the norm group

NKIkis contained in N K I K o .
We have

we have immediately

We can use the associativity relation to show that

Hence

Let K I k be a cyclic extension of degree n; let a be a generator
of the Galois group G. We recall that each group extension defined
by K and G can be described by a coset representative u, and an
element a E k such that uon = a. The element c of the cohomology
group $,(K, G) which corresponds to this extension is represented
by a cocycle
(1 if v+p<n,
Hence
and consequently
Conversely, if [(c, K I k)/o] is given, the element c may be repre-
sented by a cocycle of the form
where a is any element in the coset [(c, K I k)/u].
We recall that for any extension K I k of degree n, not necessarily
normal, the group S ( K I k) is cyclic of order n. When K I k is
normal, with group G, S ( K I k) is naturally isomorphic to S2(K, G);
further, when K 1 k is cyclic,
Thus when K I k is cyclic of order n, a/NA is cyclic of order n.
Let c be a generator of B,(K, G); then, if o is a generator of G,
2. CHOICE OF A STANDARD GENERATOR c 153
is a generator of a/NA. Now let c be kept fixed, and consider the
mapping
oi -+ (9)
. = aiNA
This obviously maps the Galois group G onto a/NA; since both
these groups are cyclic of order n, the mapping is an isomorphism.
2. Choice of a Standard Generator c
Our next task is to choose a standard generator c for B2(K, G).
T o this end we shall associate with each element c a certain numer-
ical invariant. We consider first the unramified extension T, / k
of degree n. As we have seen earlier, the group G of T, I k is
isomorphic to the group of the residue class field extension, and
hence is cyclic of order n. We use this fact to single out a definite
generator for G, determined by intrinsic properties; namely, we
choose as generator, a, the isomorphism which acts on the residue
class field by raising every element into the qth power. (q is the
number of elements in the residue class field of k). We shall call
this generator o the canonical generator.
Now let c be an element of B,(T,, G). We have seen that c
corresponds uniquely to a coset aNrn,, of a/Nrfi,, . The elements
.of NTn,,are precisely the elements of k whose ordinals (with respect
to the prime in k) are either zero or a multiple of n. Hence if a' is
another representative of the coset a N T n l kW
, e have
ord a z ord a' modulo n.
Thus ord a (mod n) is an invariant of the element c. In order to
have a uniform module we prefer to use the invariant
I=-
ord a mod 1,
n
and we now write c as c,(T, I k). Obviously the invariant r can be
any one of the fractions 0, lln, 2/n, ..., (n - I)/n.
Theorem 1 : c,(T, I k) = criT,, I k), where T,, is the unrami-
fied extension of degree ns.
 2. CHOICE OF A STANDARD GENERATOR c 155

Proof: Let a be the canonical generator for the group G of By the previous theorem, we need not refer to the extension field
Tns I k. Let H be the subgroup (1, on, -.., corresponding explicitly, provided its degree is divisible by the denominator of r;
to Tn . Then the group of Tn I k is (H, uH, on-lH), and the hence we can write the element simply as c,(k). I t is easy to show
canonical generator is obviously OH. that
Now the element c,(Tn I k) of sj,(Tn, GIH) can be represented 4 4 cdk) = cr+,(k).
by a cocycle
Hence we have proved Theorem 5 of Chapter 7, namely that
4i2(C,r)is isomorphic to the additive group of rational numbers
modulo 1. Furthermore, we have now given a description of the
where a E k. Then isomorphic mapping between the two groups.
Before introducing the norm residue symbol we have one more
theorem to prove.

and Theorem 2: Let E I k be an extension of degree n. Then

ord a
--
n
= r mod 1.

Consider next the cocycle for (T,, , G), defined by writing Proof: (1) First let E = Tf be an unramified extension of
degree f. Let Tn be a further unramified extension, of degree n,
such that c,(k) splits on Tn; that is to say, the denominator of r
divides n, and c, may be regarded as an element of sj2(Tn).
This defines an element c of sj2(Tn,, G), for which we have Let a be the canonical generator of Tn I k. Then c,(k) may be
represented by a cocycle

Hence the invariant for c is congruent to where

ord, a
ord as ord a - a ~ k , --
n
= r mod 1,
-=-- - r mod 1.
ns n and
Thus c = c,(Tn, 1 k), and so our theorem is proved.
Let C be, as before, the separable part of the algebraic closure
of k, r the Galois group of C I k, and consider the second coho-
mology group of C I k. Since we consider only continuous cocylces, Clearly of is the canonical generator of Tn I Tf , and ResTf (c,)
every element of sj,(C, r ) splits on some finite extension of k. .
can be represented by the cocycle aav,,alrf, Then we have
The second inequality implies that every element of &,(C, r )
which splits on an extension of degree n, splits also on the unrami-
fied extension of the same degree; hence it is of the form c,(Tn I k).
 2. CHOICE OF A STANDARD GENERATOR c 157
Thus the invariant of ResTf(c,(k)) is given by It is clear that u(U n H ) is indeed the canonical generator: for
since E / k is totally ramified, the residue class field of E is the
o r d ~a, - ford,
-- ----- a
=fr mod 1. same as that of k.
n lf n Since Tn splits c,(k), we may represent c,(k) by a cocycle

where
(2) Next we consider the case where E / k is a totally ramified
extension of degree e. Let T, be an unramified extension of k, ord, a
a ~ k and --
n
= r mod 1.
of degree n, such that c,(k) splits on T, . Let C be the separable
part of the algebraic closure of k, I' its Galois group, and H and U
The restriction of c,(k) to E is then represented by the cocycle
the subgroups corresponding to E and T, respectively. Let the
canonical generator of the group of T, / k be aU. When we con- -
a o v u ~ ,-
~ ua o~ v ( ~ n, o~P)( u n H )
sidered this situation earlier (Theorem 3), we saw that there is no
loss of generality if we take a E H , in which case
which may be regarded as a cocycle for (ET, I E). Then

, = a.
We have seen also that ETn I E is an unramified extension of
degree n; the cyclic group of this extension is obviously u(U n H).
Hence the invariant of Res, (c,(k)) is given by

(3) Finally, let E / k be an extension of degree n with ramifica-

tion e and residue class degree f. Let T be the inertia field: T I k
is unramified of degree f, and E I T is totally ramified of degree e.
Then

= Res, (cf,(T)) by part 1

Since ef = n, this proves the required result.

158 8. THE NORM RESIDUE SYMBOL 3. THE NORM RESIDUE SYMBOL FOR FINITE EXTENSIONS 159
I n the same manner we prove the remaining two properties
3. The N o r m Residue Symbol for Finite Extensions

We are at last in a position to define the norm residue symbol.

Let K I k be a normal extension of degree n; let a be an element
of the Galois group r of C 1 k. We define the norm residue symbol
for K I k and a to be

So far our definition of the norm residue symbol is restricted

to the case where K I k is a normal extension. We now extend the
definition for arbitrary extension fields E 1 k, as follows:
Since the unramified extension of degree n splits c,,,(k), so does K , Let K be any normal field containing E. Then define
and hence the symbol on the right is defined. We can now obtain
Elk Klk
the properties of the norm residue symbol very easily.
Let KObe a subfield of K ; let H and I& be the subgroups of r
(T) = (?) N ~ l k

corresponding to K and KOrespectively.
( 1 ) If KOI k is normal, of degree m, and
This is consistent with our previous definition, for if E is normal
our definition is identical with Property 1 above.
T E r , we have
We must now show that the new symbol is well-defined, i.e.
that it is independent of the choice of K .
Consider first another normal extension K' containing K . Then

Hence since N K I kC N E l k.
Next, if K and K' are any normal extensions, each containing E,
we have
KK' ( k Kt ( k
(2) If KOI k is any extension, and T E Ho , we have (T)K I k NE, k = (PT-) NE k = NE k -
Hence (E I k / ~is) well-defined.
The mapping T -+ (E I KIT) is obviously a homomorphism from
the Galois group r of C I k into the group cr/N,,,A. We now list
the properties of this general norm residue symbol and the map-
ping it defines.

Hence ( 1 ) Let E, be any subfield of E. Then

 3. THE NORM RESIDUE SYMBOL FOR FINITE EXTENSIONS 161

For let K be any normal field containing E. We have Thus 7 acts on the residue class field E = TIby sending

CY where m = ord -
+ CYQ' = dm,
("1 .
(2) Let T be an element in the subgroup corresponding to E, . This is well-defined since orq' = a.
Then Our next task is to prove

Theorem 3: The homomorphism T +-(K I k / ~is) always onto.

We have already seen that the theorem is true when K I k is
For
cyclic; we now show it is true for cyclic towers by proving the

Lemma: If E, 3 El 3 k, and the mappings T + (E2 I E1/7)

and 7 + (El I KIT) are onto, then the mapping 7 -+(E, I k/r) is
also onto.

(4) The property of the norm residue symbol involving the Proof: Let a be a given element of k, aNEzlk its coset modulo
transfer does not necessarily hold for non-normal extensions. NEllk.We have to construct an element 7 E r which is mapped
onto this coset. We can, by hypothesis, find an element 7, such that
( 5 ) If K I k is a cyclic extension, the mapping

Then let
is one-to-one and onto between the Galois group G of K I k and
the factor group ol/NKlkA.
(6) Let E I k be an arbitrary finite extension, T j its inertia
field. Let T be an element of I'; if T acts on Tt= E (and hence on Multiplying by the group NEllkwe obtain
Tf)like a%,where a is the canonical generator for the Galois group
of TfI A, we define the ordinal of 7 to be
ord r = i.
Hence alb E NEllk;say alb = NEllk(al)where arl E El . By hypoth-
Now, by property 1, esis, we can find an element 7, such that
T (k T, I k
(
Elk
), = ( ) =(
O'd'
) = +rd'N~,lk .
Take norms from El to k,

-
Hence we have

ord (T) ord r mod f.

Now we have
That is.
This proves the lemma.
We have already remarked that this proves the theorem for
cyclic towers; let us now apply this result to the proof for an
arbitrary normal extension. This is obviously sufficient to prove
the theorem in general, for if E is any extension, K a normal
extension containing E, we have
Proof for Normal Extensions: Let K 1 k be normal of degree
n = pmr, where (p, rp) = 1.
Let Ep be the subfield of K corresponding to ap-Sylow subgroup
of the Galois group. Then K / E, can be broken up into a tower of
cyclic extensions of degree p.
Hence if a is any element of k we can find an element T, such that
Taking the norm from Ep to k, we obtain
This construction may be carried out for every prime dividing n.
Since the residual factors rpl , rpB, ..., rpk are clearly relatively
prime, we can find integers xc such that 2 xirpi = 1. Hence
where
This completes the proof of the theorem.
Having shown that the mapping T -+ (E I ~ / T ) is an onto homo-
morphism, our next problem is to find the kernel of the mapping.
In the case of normal extensions with abelian groups the answer
is provided by
Theorem 4: Let K I k be an abelian extension. Let H be the
subgroup of r which corresponds to K. Then H is the kernel of
the mapping T -+ ( K I k / r ) .
Proof: The theorem has already been proved when K I k is
cyclic. Suppose then that K I k is not cyclic, and proceed by induc-
tion on the degree of K ( k.
Let r0 be an element of the kernel. Then (K I k / ~=~NKlk ) .
Let K Obe an intermediate normal field, corresponding to subgroup
Ho . Multiply by NKoI,,we obtain
By the induction hypothesis, T , E Ho .
If we denote by 5, the effect of 7 , on K, we see that 5, lies in all
proper subgroups of the abelian group r / H . Since we assumed that
r / H is not cyclic, it follows that T~ must be the identity element of
r / H ; i.e. r0 E H .
Hence the kernel is contained in H ; and clearly H is contained
in the kernel, so the theorem is proved.
We have now our main theorem:
Theorem 5: If K 1 k is an abelian extension with Galois
group C, the mapping T -t ( K 1 k / ~is) an isomorphism between G
and the group a / N A . Clearly ( K : k ) = ( a : N A ) .
I n order to determine the kernel in the general case, let us
examine first the maximal abelian extension A of k. Let U be the
r
subgroup of corresponding to A . Then U is the smallest closed
subgroup such that I'/U is abelian; that is to say, U is the closure
of the commutator subgroup of I'. Let us define this closure as the
actual commutator subgroup rf. Then we have
Theorem 6: Let E I k be an arbitrary extension. Let H be
the subgroup of r corresponding to E. Then the kernel of the
mapping T -t (E I k / r ) is the subgroup r f H .
164 8. THE NORM RESIDUE SYMBOL

Prooj: Let the kernel be ro. Then clearly I" C T o . Further,

W C r,,, for

CHAPTER NINE
hence r ' H C ro. Now let Ea be the maximal abelian subfield of
E : Ea = A n E, and Ea corresponds to the group I"H. By The Existence Theorem
Theorem 5 we have

Hence ro= r ' H and our theorem is proved. 1. Introduction

As a result of this theorem we have
In this chapter k still denotes a complete field with discrete
valuation and finite residue class field; k* is the multiplicative
group of non-zero elements of k. Let A be the maximal abelian
extension of k, G the Galois group of A ( k .
Our aim is to extend the definitions of norm group and norm
residue symbol to infinite extensions K of k; and for this purpose
we are led to make a change in the topology of k*. k* is not compact
in the valuation topology, so we introduce a new topology similar
to that of the Galois group G. k* is now relatively compact, but no
longer complete; we therefore form its completion A.
Finally we construct a (1, 1) correspondence between K and G,
which is both an isomorphism and a homeomorphism. We can
then show that to every closed subgroup M of k, there corresponds
a field K , such that the norm group NKMIk = M. This is the
Existence Theorem.

2. The Infinite Product Space i

Let I denote the ring of rational integers, I9 the ring of p-adic
integers with the p-adic topology imposed on ~ t I,; is compact in
this topology. We form the infinite direct product I = np I,; the
elements of I are the vectors

with one component for each rational prime. We impose the usual
165
166 9. THE EXISTENCE THEOREM
Cartesian product topology on 1; hence, by Tychonoff's Theorem,
f is compact.
I forms a ring under componentwise addition and multiplication,
and it is easily verified that the ring operations are continuous in
the product topology. A fundamental system of neighborhoods of
zero in f is given by the ideals f1,where f E I. For suppose
then ff consists of all vectors m with m, 5 fIp; fIp= I, if p does not
divide f, while fIpi= piviIpi. Thus fI describes the Tychonoff
neighborhood of zero given by the local neighborhoods piuiIpi
(i = 1, --.,r).
If m is any vector of 1, the index of mf in I is the product of the
indices of mpIp in I, . Hence this index is finite only if m, # 0
for all p, and m, = I for all but a finite number of p. It follows that
the mf of finite index in f are the Tychonoff neighborhoods of
zero, of the form ff with f E I , f f 0.
Clearly I contains a subring isomorphic to I ; for there is evidently
a (1, 1) correspondence between the rational integers r and the
vectors (... r, r, r, of I. We shall therefore consider I as iso-
. a - )
morphically imbedded in I. This imbedding gives rise to an
induced topology in I: a fundamental system of neighborhoods of
zero in the inherited topology is formed by the sets In f1,i.e. by
the ideals fI. An element of I is therefore "near zero" in this
topology if it is divisible by an integer containing high powers of
many primes.
I also contains an isomorphic replica of each I,, imbedded
under the mapping
Theorem 1: f is the completion of I in its inherited topology.
Proof: Since f is complete (because compact), it is sufficient to
prove that I is everywhere dense in I.
Let m be an element o f f : m = (.-., m, , let
.-a);
2. THE INFINITE PRODUCT SPACE f 167
We have to find an element r of I lying in the "f-neighborhood"
of m; i.e. we must find a rational integer r such that
r = mPimod pli .
But, by the Chinese Remainder Theorem, this set of simultaneous
congruences always possesses a solution. Hence our theorem is
proved.
Theorem 2: The closed ideals of I are principal ideals.
Proof: Let a be a closed ideal of I.
Then a 3 alp; alp is an ideal in I,, which is a principal ideal
ring. Hence alp = mpIp !here m, is either zero or a prime power
pv. It follows that a C mI where m = (..., m, , On the other
m . 0 ) .
+
hand, a contains all ideals mplIpl mp,Ip, + +
... mp,Ip,; the set
of these is everywhere dense in mf; so a is dense in mI. But a is
closed, so a = mI.
Now let G be a topological group with a HausdorfT topology
defined by a fundamental system of neighborhoods of the identity
given by certain subgroups of finite index. (An example of such a
group is the Galois group G of A). It is easily shown that if G is
complete in this topology, then it is compact.
Let a be an element of G, and let (a) be the closure of the
cyclic subgroup generated by a; we wish to find a description
for (a). Clearly we have a homomorphism of I into (a)
defined by
This map is continuous in the inherited topology of I ; for let V be a
neighborhood of the identity in (a), with index j in (a). Then
v = 0 mod j =- a VE V; but since the numbers v = 0 mod j form
a neighborhood of zero in I , this is precisely the statement of
continuity. The mapping v -+a" may now be extended from the
dense subset I to the whole space I ; that is to say, we may define am
for every m in f. The extended mapping is continuous, and the
extension is unique. We may also show that the mapping
(a, m) -+ omis continuous from G x f to G.
168 9. THE EXISTENCE THEOREM 2. THE INFINITE PRODUCT SPACE f 169

The usual rules for exponentiation may be easily verified:
Since the map o + omis continuous from 1' to G, and I is compact,
its image is closed, and hence contains (a); on the other hand, all
the om lie in (a), so the image space is precisely (0). The kernel
of the map is the inverse image of the identity; hence it is a closed
ideal in 1'. Since closed ideals are principal, the kernel is of the form
d1', where d = (ma-, d, , ...), d, = pvp; od = 1, and ov= 1 + v I d.
We call d the period of a, and we have (a) Ild1'.
We may describe the mapping o -t om more explicitly.
Case 1: G is a finite group.
In this case G is discrete, and (o) is the ordinary cyclic group
generated by o. Since (o) r1'/d1', it follows that d lies in I , and is
the ordinary period of o; hence om = 1 o d I m. Since I is every-
Let r be any element of G; let TV be a neighborhood of T:
V is a subgroup of G which leaves fixed a certain finite subfield E.
Hence every element of rV, especially 7, acts on E like an element
of its Galois group, i.e. like some power uv of o.
It follows that T - ~ Uleaves
~ E fixed, i.e. r-lov E V; hence ovE TV.
Thus H is everywhere dense in G; hence R = (a) = G.
For our second application let k be a complete field with discrete
valuation and finite residue class field of characteristic p. The
-
multiplicative group k* of non-zero elements is a topological
group in which the fundamental system of neighborhoods is given
by the subgroups U, of elements a 1 mod pr (r 2 1). Let Uo
be the group of all units; the subgroups Ur are all of finite index
in Uo , and form a fundamental system for Uo . U, is complete in
this topology, and hence compact.
We shall apply the technique developed above to describe the
group (6) where e is a unit in Ul .
First we notice that if E lies in Ul , then ep" lies in Uv+, , and

-
hence epV+ 1 as Y -+a. This result follows from the fact that if E
where dense in 1, given any m there exists a rational integer r lies in Uv, we can write
such that r m mod d1'; then om = or.
Case 2: G is any group.
Let V be a neighborhood of the identity. Then omVis a continu-
Then
ous extension of ordinary exponentiation in the factor group G/V.
This group is finite; hence omV = urVv,where Y,EI and m r r,
mod d v I (d, denotes the ordinary period of o in G/V). Since
omE o r V v for all V, we see that om E fl, orVv.Since the topology
which lies in UV+,since rr divides p. Next we remark that if m €1
in G is assumed to be HausdorfT, we have finally om = fl, orVv.
has coordinate 0 at p, and has arbitrary coordinates elsewhere,
We shall now make two important applications of the technique
we have just developed.
First let k be a finite field containing q elements. Let 9 be the
algebraic closure of k, G the Galois group of 9/k. If E I k is any
finite extension, E I k is normal, and has a cyclic Galois group
In particular, I -
then em = 1. For let j = pvc, where (p, c) = 1; then we may find
an integer I E I lying in a j-neighborhood of m, i.e. I = m mod j.
0 modpv; hence eqies in UV+,. As j becomes
"highly divisible" and hence v +a, el -+em; but by our previous
remark el-+ 1. Hence our result is proved. From this it follows
generated by the mapping o : a -+an. This mapping u may be
that the period ideal of ( E ) will be generated by an element
considered as an automorphism of 9. d = (..., 1, l,pv, 1, 1, -.-) where v may be infinite, i.e. pv= 0.
We now show that v is finite if and only if l is a pv-th root of
Theorem 3: G = (0).
unity. Clearly
Proof: Let H be the ordinary cyclic subgroup generated by a;
we shall show that H is everywhere dense in G.
170 9. THE EXISTENCE THEOREM
lies in the period ideal d1; hence epv = 1. On the other hand, for
any E we have
if also cpV= 1 we have
Hence if E is not apv-throot of unity, its period ideal is generated
by d = (-.a,1, 1,0, 1, 1, hence (E) E1/dI, which is isomorphic
..a);
to the ordinary p-adic integers.
3. The New Topology in k*
Let k be a field of the type described in Section 1, E a finite
extension. Then we have
Theorem 4: The norm group NElkis open in k*.
Proof: It is clearly sufficient to show that NElk(UE)is open in
k*, where UE is the group of units in E.
But UE is a compact group, and the norm is a continuous
function; hence NEI,(UE)is closed in Uo , the group of units in k.
The cosets of Uo modulo NEIk(UE)are therefore also closed; and
hence, sincc NEIk(UE)is of finite index in Uo , the union X of
the cosets # NEIk(UE)is closed. Hence NEIk(UE),which is the
complement of X, is open in Uo , and hence in k*.
By this fact, and by the structure of the Galois group of the
algebraic closure of k, we are led to introduce a new topology in
k*, defined as follows: A fundamental system of neighborhoods of
the identity shall be given by the subgroups of finite index which
are open in the valuation topology. k* is not complete in this new
topology, so we shall have to form its completion.
First, however, we describe the neighborhoods V of the identity
in k* by means of subgroups of Uo . Certainly V n Uo is an open
subgroup, say U, of Uo . Then Uo 3 U 3 U,; and since (Uo : U,)
is finite, U is the union of a finite number of cosets of Uo modulo
3. THE NEW TOPOLOGY IN k* 171
U, . Clearly U is not the whole of V, since Uo is not of finite index
in k*:
To describe V we let crrf be an element of V with least positive
ordinal f ; then
We obtain "small enough" neighborhoods V by taking U = U,
with r large enough.
We notice that the topology inherited by Uo from the new
topology in k* is the same as the original valuation topology, for in
both cases the fundamental neighborhoods are the subgroups U, .
Next we form the completion A of k* with respect to the new
topology; A will be compact. Since the old and new topologies are
identical on Uo , and since Uo was complete in the old topology,
Uo is complete in the new topology, and hence compact in A. It
follows that the elements of which are not in k* must be obtained
from the prime n, not from the units Uo , We can certainly form
the symbolic powers rrm for m €1; let us now find the period of rr.
The result is given by
Theorem 5: The period of rr modulo the units is zero, i.e.
nm is a unit o m = 0. A fortiori, rrm = 1 o m = 0.
Proof: Let m be an element of 1.
Then rrm is close to a unit o is close to a unit, where I is a
rational integer close to m ;i.e. m E I mod j, where j is divisible by
high prime powers.
-
Such an element rr' is close to a unit e rrz E UoV, where V is a
sufficiently small neighborhood of the identity. Let V = U ( ~ r r fU.
Then r r b U rrfv Uo , where f is sufficiently large. Hence I
)~
0 mod f.
Thus rr' can be a unit o I = 0; hence, finally, rrm can be a unit
om=0.
This result enables us to give a complete description of the
172 9. THE EXISTENCE THEOREM 3. THE NEW TOPOLOGY IN k* 173

group &.Since n has period zero modulo Uo , the cosets nVUo(V€1) We may therefore take as a fundamental system of neighborhoods
are all distinct, and the set k, defined by of the identity the subgroups

lies in A. ko contains k* and Uo as subgroups, and clearly

An equivalent fundamental system is given by the subgroups

so that ko/Uo is compact. Since Uo is compact, it follows that ko

is compact, and therefore complete. Hence the completion k of
k* is in k,; hence k, = &, i.e. where nf is a fixed element such that ord nf = f, and I is a rational
integer. T o show the equivalence of the two systems we remark:
(1) Every neighborhood of the form v'
is also of the form v:
to exhibit this we have only to write rrfl = m f l .
The elements of & are therefore of the form a = env where E is one
of the original units and v €1and v E 1; it is natural to call v the
v
(2) Every neighborhood of the form contains one of form v'.
For
ordinal of a: v = ord E. Computation with these elements is carried
out by using sufficiently high approximations enr where r is inte-
gral. Clearly if a = ~ ~ n/3~=1E,~ + , then
If I is chosen so large that ( ~ n f )is' contained in nflU, then

I t is clear that the expression of & in the form k = UvcInvUois

quite independent of the choice of the prime n in k*.
Now let us find a simple expression for a fundamental system Thus the two fundamental systems are equivalent.
of neighborhoods of the identity in A. In k* such a system was given Now let E be a finite extension of k. We introduce a new topo-
by the subgroups logy in E*, and form the completion i? in exactly the same manner
as for k. Then a fundamental system of neighborhoods of the
identity in E is given by the subgroups
(E) (El
a =Um"uT
Let (k* : V) = m; m <a.If P denotes the completion of V in the vei
new topology, we assert that (& : P) = m also, and we may even since rr = De .
use the same coset representatives for as for k*/V. Clearly is contained in i?; and its inherited topology is precisely
T o prove this assertion, let a v be a coset of & modulo P. Then the topology we constructed in &: The neighborhoods in the inher-
BV is a neighborhood of 2, and hence contains an element a of k*; ited topology are
thus a v may be expressed as av.
Suppose now that a v = /39;
then 01/13 E P n k* = V. That is to say, a V = /3V. This completes (E) (E) (k)
the proof of our assertion. V n K" = U mfv(UK,n K") = U 'rrrv~K ,
vef vef
174 9. THE EXISTENCE THEOREM
since
r 1 mod pK" o E 1 mod pk.
4. The Norm Group and Norm Residue Symbol
for Infinite Extensions
We notice that & has lost the field structure of k, and is now
merely a multiplicative group. I t is clear, however, that a field
isomorphism of k which preserves the valuation can be extended
to give a group isomorphism of &. Let E 1 k be a finite extension,
and let oi be the isomorphic maps of E into the algebraic closure
of k; then each ai can be extended to give a map of .?? onto KE.
We can therefore define the norm of an element & in .?? to be
I t is easily verified that NEIL(&)
is a subgroup of 6, and that
From now on we shall use the symbol NEl,to denote the generalized
norm group N E I LThe
. norm residue symbol will now be used to
denote cosets of k modulo this new norm group. It is easily verified
that all the formulas involving the norm residue symbol are
unchanged by this redefinition.
Now let K 1 k be an arbitrary (i.e. possibly infinite) algebraic
extension. Denote by E the generic finite subfield of K. We now
define the norm group N K l kof the extension K /
NKI,= n N E .~ ~ ~
E
This is clearly consistent with the ordinary meaning of NK,,
when K is a finite extension. The intersection is certainly non-
empty, since the identity is always a norm from any extension.
The groups NEI, are all open and closed (every open subgroup
is closed); but if K I k is infinite, NEIkis no longer open, though
it is still closed, and therefore compact.
Next we define the norm residue symbol (K I KIT) to be
We must show that this intersection is non-empty; this follows
from the compactness of our space &. For the cosets ( E I k / ~ have
)
the finite intersection property: if El , E2 , E, are finite exten-
a * - ,
sions of k, let
E = E,E2 ... I&;
then
I t follows from the compactness that the total intersection is non-
empty; it is also closed and so compact.
Clearly if a G (K / KIT), then a E ( E I k / ~ for
) all finite subfields
E of K. Hence ( E / KIT) = a N E l k , and so (K / k / ~ = ) aNKjk.
Now let C be the separable part of the algebraic closure of k,
r its Galois group. We have the following analogue of the results
of Chapter Eight:
) a homomorphism of r
Theorem 6: The map T -t (K / k / ~ is
onto KIN^,^. The kernel is given by HKr', where H, is the
subgroup of r corresponding to K and r' is the closure of
the commutator subgroup of I'.
Proof: The mapping is certainly a homomorphism.
Now to prove the mapping is onto, let a N K I kbe a coset of
);/N,~, . Let E be a finite subfield of K. Then we can find an
element rE in I' such that (E I KIT,) = a N E l k .Not only T E , but
every element in the set rEHErlwill have this property, and these
are the only elements with the property. The sets rEHErlare closed
in r , and they have the finite intersection property. Hence
flErEHErl is non-empty. Let T be an element of this total inter-
section; then, for every E C K, we have ( E I k / ~ = ) a N K l k, and
hence ( K I k / ~ =
) aNKlk. Thus the mapping is onto.
176 9. THE EXISTENCE THEOREM

T o find the kernel we must determine the set of T such that Conversely, let a be an element of k. We form the inverse image
( K I KIT) = NKIk. For such an element T, we observe that of a under the mapping NEI,, where E is a finite extension con-
NKIk C (E I KIT) for every finite subfield E. Multiplying by the taining k; this consists of elements AE such that NElkAE = a.
norm group N E l k ,we obtain Since a is a closed set and NE,, is a continuous mapping, the set
of all AE is closed, and hence compact, in I?.
The set NEIKJAE)is the continuous image of a compact set,
and hence is compact in KO; a = NKOlk(NELKJAE)). For different
fields E the sets NEIKJAE)have the finite intersection property;
Hence (E I KIT) = N E l k .It follows that T lies in the kernel HEY indeed
for every finite subfield E; the converse is clearly true also. Hence
the kernel of our map is nE HEP. This certainly contains HKY. E, 3 *NE~IE~(A an~ )A E ,~
is E
On the other hand, if we interpret H K P , HErfas the groups
corresponding to the maximal abelian subfields of K, E respectively,
we see at once that
Hence there is an element B in nE
NEIKo(AE) C NKIKo , and
NKoIk(B) # 0.This completes the proof.
We can now show that the properties enjoyed by the norm
Thus the kernel is HKrf. residue symbol for finite extensions are carried over to this new
Next we require the following result on the transitivity of the symbol.
norm group. (I) Let k C KOC K where KO is an arbitrary intermediate
field. Then
Theorem 7: Let K I k be any extension, KO a finite subfield
of K. Then
ECK

where the E I k, E' I k are finite extensions.

Proof: In the definition of the norm group N K l k , we can Thus
restrict the finite subfields E to those containing K O .
For all such fields E we have
for every E C K and every E' C KO. In particular,

and hence, since NKIKo ,

C NEIKo

N K~ N C JNEIR .
I KIK for every E' C KO
Hence
Taking the intersection over all such E, we obtain
178 9. THE EXISTENCE THEOREM 4. THE NORM GROUP AND NORM RESIDUE SYMBOL 179

But ( K I k/r)NKolkand (KO/ k/r) are both cosets of modulo Now we have
NKolk;hence they are equal, and we have the result

where E runs through all finite extensions contained in T. Hence

(2) Let KOI k be a finite extension. Then

ECT ECT

Thus we have
for all finite extensions E between KOand K.
Hence
ord (T)K l k = m = ord r .
K 1 KO
)7( nE
c such (7)
Elk
=
Klk
(--) .
Let A be the maximal abelian extension of k; let G be its Galois
Now ( K I KO/r)is a coset of KOmodulo NKIKo; by the transitivity of group. Let K I k be any abelian extension, corresponding to the
the norm NKoIk(K I KO/r)is a coset of 21 modulo N K l k .SO also is subgroup H of G. We know that the mapping of G into KINKlk
( K I KIT); hence we have the relation given by

(3) Again let KO be a finite extension. Then, replacing K by
KKo in the result just obtained we have
Multiplying by the norm group N K l kand applying the first result
we have
is an onto homomorphism, with kernel H. Thus the mapping
defines an onto isomorphism from the Galois group of K 1 k
(which consists of the cosets of G modulo H) onto &/N,~,. We
now assert that this is an isomorphism not only algebraically, but
also topologically; i.e. that the mapping is bicontinuous.
Let HE be a neighborhood of the identity in the Galois group;
HE leaves fixed a subfield E. Then

(4) Let K I k be an arbitrary extension, T the inertia field.
The group of T I k is isomorphic to the group of the residue class
field T I which consists of symbolic powers of the canonical
generator o:a + aq. If 7 acts on T(=E) like am(m E I), we define
ord T = m.
since HE is the whole Galois group of K I E, and hence
( K I E/HE)= e.Now NElkis an open subgroup of finite index
in A, and hence is a neighborhood of the identity in the new topo-
logy. Thus we have established that the inverse map, from K / N ~ ~ ~
to the Galois group is continuous. But this is a ( I , 1 ) continuous
 180 9. THE EXISTENCE THEOREM

map from the compact space &/N,,, to the Hausdorff space G. Conversely, let us examine the polynomials in k[x] of this form;
Hence, by a well-known theorem in topology, the mapping is a so let f(x) = x P - x - a. Let K be the a splitting field of f(x), and
homeomorphism. let or be a root. Then oiP - a = a, and hence

5. Extension Fields with Degree Equal to the Characteristic

Let k be an arbitrary field of characteristic p # 0, and let K
be a normal extension of degree p. The Galois group is cyclic;
let a be the generator. Since K is separable, it can be generated
from k by the adjunction of a single element; we wish to find a
generator which satisfies an especially simple equation.
Since K is separable, the trace is not identically zero; hence
there is an element 8 # 0 in K such that S(8) = b # 0 (b E k).
e does not lie in k, for if a E k,
- UP= S(8) = b # 0.
/i?
Hence K = k(8). Now consider
Hence the roots of f(x) are a, a + 1, me-,a + ( p - l), and so
K = k(a). If f(x) has one root in k, then it splits into p linear
factors in k, and a has the form CP - C , with c E k. On the other
hand, if f(x) is irreducible in k, then K I k is a normal extension
of degree p, hence cyclic. The elements of the Galois group map
each of the roots into one of the others. Hence u,a = a v +
(v = 0, 1, -..,p - 1); we may choose as generator u the element
which maps a onto a + 1.
6. The Existence Theorem
Let k be a complete field of the type we considered in Sections
1-4. Let A be its maximal abelian extension. Our aim in this
section is to prove

Hence Theorem 8: There is a (1, 1) correspondence between the

j? - uj? = S(8) = b # 0. subfields K of A and the closed subgroups M of & such that if
K Mis the field corresponding to M then M = NKM!, .
Set a = - P/a; then uol # a, and so a does not lie in k. It follows The proof of this theorem proceeds in two parts.
that K = k(a); further, ua = a +
1. Thus we have constructed a
Part I: If K I k is any extension field, then there is a (I, 1)
generator a of K on which the Galois group has a particularly
simple action. correspondence between the closed subgroups of k containing
Now consider the irreducible equation satisfied by a; we know NKlkand the abelian subfields of K.
that Part 2: The norm group of the maximal separable extension C
+ +
a(& - a) = (aa)P - ua = (a l ) p - (a 1) = a9 - a. is 1.
These two assertions together give the theorem.
Thus ap - a = a, where a lies in the ground field k. I t follows that
Proof of Part I: Clearly to each abelian subfield KOof K there
Irr (a, k, x ) = xP - x - a. .
exists a closed subgroup containing N K l k, namely NKoIk
The roots of this equation are denoted by alp; so we have Conversely, let M be a closed subgroup containing N K l k .Let
K = k(a/p). We may remark that HMbe the inverse image of M under the norm residue mapping,
i.e. (K I k/HM) = M. Since the mapping is a homeomorphism,
HM is a closed subgroup of G. Let K M be the fixed field under
HM:HMis then the Galois group of K I K M .
 182 9. THE EXISTENCE THEOREM

Let E denote the generic finite subfield of KM; let HE be the Case I : p is not the characteristic of k.
Galois group of K I E. Clearly H, C 0 HE.On the other hand, if
TE nE H E , then T leaves every finite subfield E fixed; but every
element of K, lies in some finite subfield, hence T leaves K M fixed.
Let k, = k(5), where 5 is ap-th root of unity. Since

Finally we have the result that H, =

residue mapping is an isomorphism we have
nE
HE. Since the norm
it follows that a = Nkl,,P where /3 E Ncikl; hence ord /3 = 0. It
is clearly sufficient to prove is a p-eh power. Hence we may
assume that k already contains 5.
Let y be any element of k*; then we assert that y is a norm for
Hence the extension k ( v q ) I k. This is clear if q q E k. If $ k,.Q/q
M = n NEJ = N K ~ , .
+
then it satisfies the irreducible equation xp y = 0. If p = 2,
E
this fact implies that y is a norm. If p is odd, it implies that - y
is a norm; but so is (- 1 ) P = - 1, and hence y is itself a norm.
Thus we have shown how to construct a field K M C K such that M
Similarly ay is a norm for the extension k ( 4 - ay) I k; but by
-
9

is the norm group N,,,, . Clearly the construction leads to a our assumption on a, a is also a norm for this extension. Hence y
unique abelian subfield K M , since its HMis given by
is a norm for the extension k ( 4 - cry) 1 k.
-
9

But y is a norm for the extension k ( Y 7 ) I k.

By the corollary to the preceding theorem, we see that y is a
norm for the composite extension k ( V z y , 4- Y). Hence y
9-

This result shows us that the lattice of subfields of K I k is the

dual of the lattice of closed subgroups of k containing NKlk;i.e. is a norm for the simple extension k(Vi).
each is obtained from the other by turning the lattice diagram Since y may be any element in k*, we have obtained the result
upside-down. In particular we have the that k* = N,(T;,,~.But

Corollary: If M and N are two closed subgroups containing (k(.ir/;;) : k ) = (k* :N k & j l k ) = 1 .
NKlk, corresponding to subfields K, and K, , then
Thus A(&) = k; i.e. a is a p-th power of an element of k.
(1) M n N corresponds to the compositum KMKN,
(2) MN corresponds to the intersection K M nK, . Case 2: p is the characteristic of k.
Since a is a unit which is a norm for every finite extension, in
We shall use the first part of this Corollary in the particular it is a norm for every cyclic extension of degree p.
Proof of Part 2: We must show that if a is an element of k Let q = pS be the number of elements in the residue class field
which lies in the norm group NEIkof every finite extension E I k, of k; then or may be written in the form
then a = 1.
First we can prove that a is a unit in k. For if a E N E I k where
, E
is the unramified extension of degree f, we have f I ord a. Since Hence if is a p-th power, so is a. But we have
this holds for every positive integer f, we must have ord a = 0,
i.e. a is a unit. ar=orppmodp
Next we prove that for any prime p, a is a p-th power. We have and, of course,
to distinguish two cases: or E aq mod p.
184 9. THE EXISTENCE THEOREM

Hence IS = 1 mod p ; and clearly /I is a norm from every extension. These equations generate respectively the fields
There is therefore no loss of generality if we assume to start with
that a =-- 1 mod p.
Suppose now that it is possible, for every positive integer n,
to express ol in the form
a. = 13:yn,
where
y, = 1 mod pn.
Then y, -t 1, as n +GO; and hence /I,p -+ a. But since p is the
characteristic of k the convergence of the sequence {p,p) entails
that of {IS,), say /I, -t /3. Then a = P P and our assertion is proved.
We have therefore to show that for every n we can express ol as
K , is contained in the compositum
a = /3,py, where y, = 1 mod pn . Suppose that this is not possible;
then there is a maximal n for which it is possible. The corres-
ponding y, is, like a, a norm in all cyclic p-extensions, and is of
the form
+
y,, = 1 A+, We see that 8/(1 - y,) E N K I I ksimilarly
;
But by assumption y, E N K s l khence
;
By,/(l - y,) E NKSlk.

where X must be a unit.

First we show that p does not divide this maximal n. For if p
does divide n we can construct the element
Thus

Next we show how to choose 8 such that K , I k is unramified.

Since the residue class field is finite, it has an extension field (which
is normal and cyclic) of every degree, in particular of degree p. The
extension of degree p is defined by an irreducible congruence of the
and so
form
= 13SP~n+1, zP - z - 0, E 0 mod p (8, an integer of k).
in contradiction of the maximal property of n.
The irreducibility implies that 8, is a unit of k. It follows that the
Now let 19 be a unit of k, and consider the equations
same polynomial, xp - z - do, is irreducible in k, and that it
gives rise to an unramified extension K, I k of degree p. Hence,
when 8 = 8, , every element of N K S Ihask ordinal divisible by p.
But ord 8, = 1, and
ord ( 1 - yn) = ord (kn)
= n;
 186 9. THE EXISTENCE THEOREM
hence
and we have proved that n is not divisible by p.
This contradiction arose from our assumption that a cannot be
written in the form a = &Py, for every n; this assumption is
therefore false. Hence, as we proved above, a is the p-th power of
an element of k.
We can now complete the proof of the theorem. Since
where E is any finite extension, we have a = N,,$ where /3 E N C I E .
For any prime p we can express a as a = yp; by the same argu-
ment we have /3 = Sp. Then
I t follows that NElkS= CPy, where 5, is one of the p-th roots of
unity lying in k. Thus if Z is the set of all p-th roots of unity in k,
the set
YZ nNEIk = Z(E)
is non-empty and compact. Clearly the family {Z(E)), as E ranges
over all finite extensions, has the finite intersection property.
Hence the total intersection is non-empty. That is to say, there
is ap-th root of unity 5, in k such that
Hence a = yP = yOp, with yo E NClk . We may now repeat our
argument, obtaining as a result that a can be expressed as an m-th
power of an element 7 of k for any integer m. Since a is a unit, so
is 7; a is therefore an m-th power of a unit for any m. This means
that a lies in every neighborhood of 1; hence, since the topology
in is Hausdo&, this implies that a = 1.
This completes the proof of Part 2, and hence Theorem 8 is
completely proved.
7. UNIQUENESS OF THE NORM RESIDUE SYMBOL 187
As a Corollary to Part 2, we have the following property of the
norm residue symbol for the field C.
Let KObe any finite extension of k; then
r
where H is the subgroup of which leaves KOfixed.
T o prove this we recall that
where E runs through all finite subfields of C. We can obviously
restrict these fields E to be finite normal extensions K of k, con-
taining K O . Then
using the property already proved for finite normal extensions.
Since NClKo= 1, we have the required result.
7. Uniqueness of the N o r m Residue Symbol
We now sum up our results so far:
Let A be the maximal abelian extension of k. Then we have
shown the existence of a mapping T -t (A I KIT) with the following
properties:
(I) The mapping is an isomorphism, both algebraic and
topological,
- of the Galois group of A I k onto k.
-
(2) I t affords a canonical map by which, given any closed
subgroup M of k, we can find a field K Msuch that N,,, = M;
namely, if H , is the inverse image of M under the mapplng, then
KM is the fixed field under H M .
(3) If T is an element of the Galois group of A 1 k, then
ord T = ord
("-
!"
188 9. THE EXISTENCE THEOREM 7. UNIQUENESS OF THE NORM RESIDUE SYMBOL 189

We contend that these three properties specify the mapping Hence if a = errv is any element of k,
completely. So let 4 be a mapping of the Galois group of A I k
onto such that:
( I ) 4 is both an isomorphism and a homeomorphism.
(2) If M is a closed subgroup of k, K M the fixed field under which proves our assertion that ( A I KIT) is uniquely determined
+-l(M), then M = NKMllc . by the three properties listed above.
(3) ord r = ord 4(r).
We shall show that $(r)= ( A I KIT).
Certainly if

+(T) = a, ord a = ord T = ord -

(A!k)
Now let M = (a), i.e. the closure of the cyclic group generated
by a. Let HM= +-l(M), and let KM be the fixed field under
HM;then M = N K I M iHence k. ( A jk/HM)= M, and so, in parti-
cular, we have ( A I k / r ) E M . Now all the elements of M have the
form a Y( v E I).Hence, if ( A I k / ~=) avo, and ord a = m, we have
vom = m, i.e. (v, - 1) m = 0. Thus if ord a is not a divisor of
zero in I, we have the desired result

In particular, if a = T, we have

and if a = ET, where E is any unit,

Hence, since both +(T) and (A 1 k / r ) are isomorphisms, we have

for all units E.

 1. FIELDS WITH PERFECT RESIDUE CLASS FIELD 191

Let [/?I be another element of k, with representative

= lirn pZv.
Since
CHAPTER TEN

Applications and Illustrations the representative

1. Fields with Perfect Residue Class Field
Let k be a complete field under a non-archimedean valuation;
let R be its residue class field. We consider the case in which A
is perfect and of characteristic p > 0; this certainly includes the
case we have been discussing in the previous three chapters, since
all finite fields are perfect. We make a slight change in our usual
notation:
a shall denote the generic element of k.
Thus the representatives ci are multiplicatively isomorphic to the
residue classes of k. Further, the ci are uniquely determined by this
property; for let &, p,
... be another set with the same property.
Then
- -
&. = lirn ([alp-')PY= lirn ([alp-")PV= lim & = &.
We now make the additional assumption that the representatives
6 form a field. We shall show that this field must be isomorphic to A.
+p= 7, and let a , /3, y be elements of k such that

-
For let G
[a] shall denote the generic element of h; namely the residue a E [a], /3 E [PI, y E [y]. Then a r G, /3 r f?, y = 7 mod p ; hence
class to which a belongs. a + +
j3 y mod p, and therefore [a] [/I] = [y]. I t follows that
We shall construct in k a particular system of representatives, to the representatives &. can form a field only if k has the same charac-
be denoted by G, of the residue classes [a]. teristic as K. On the other hand, suppose k has characteristic p.
First we notice that if a = /3 mod pv, then ap = ,l3p mod pV+l. Then
+
For if a = /3 y r V , then
[a] + @] = a-
+ p = limYFv,
where
Now consider the residue class [ a ] ;since is perfect, the residue
class [alp-" is well-defined. Let a , be any element of [alp-", and
consider the sequence {a:'). We have a , = a::, mod p, so that
pV - pv+p
f f v = a'+P mod p v + p ; hence {a:') is a Cauchy sequence. Since
Thus we may write y , = a , + /3, where a, E [alp-", /?,E [/3]p-';
hence
all the terms of this sequence lie in the residue class [a] so does its
limit; we denote this limit by G.
The limit & is independent of the choice of the elements a,;
for if is another such sequence with limit &', we have
99' -
a, = a:' mod pv,and hence 6 = &'. We choose G as representative We can now sum up our discussion by giving a precise description
in k of the residue class [a]. of fields of characteristicp with perfect residue class field. We recall
190
192 10. APPLICATIONS AND ILLUSTRATIONS 2. THE NORM RESIDUE SYMBOL 193

that if T is a prime element in k, then k consists of all power series Hence, since k is complete, it contains a subfield isomorhic to the
C C?(~)T". Hence we have p-adic numbers R, . k also contains the (q - 1)-th roots of unity;
hence k contains k ( 5 ) where ( is a primitive (q - 1)-th root. Let T
Theorem 1 : Fields of characteristic p > 0 with perfect be a prime element in k; then k consists of all elements of the form
residue class field are isomorphic to fields of formal power series
over the residue class field as field of constants.
We now restrict ourselves to the case in which the residue class
field K is finite, containing q = pr elements.
Let p = me. Then we may write
Theorem 2: k contains the (q - 1)-st roots of unity, and no
other roots of unity with period prime top.
Proof: The non-zero elements [a] of k form a cyclic group of
order q - 1. Hence the representatives (Y in k also form a cyclic
group of order q - 1; these representatives are therefore the i.e. every element a Ek may be expressed as
(q - 1)-st roots of unity. This proves the first assertion of our s-1
theorem. a= d m (d,, E R,(5)).
Suppose, next, that 5 is a primitive m-th root of unity in k, u=O
where (m,p) = 1. Then there is a positive integer 1 such that
I Hence k is a finite extension of R,: k = R,((, T).
q E 1 mod m, i.e. (g = 5. Suppose 5 lies in the residue class [a];
the representative of [a] is given by
6 = lim a:"; % any element of .
[ol]pv 2. The N o r m Residue Symbol
for Certain Power Series Fields
Clearly we obtain the same limit if we restrict ourselves to the
= {a?} where a,, E [a]q-'f We may obviously
subsequence(a~~,l'} Let k be the field of formal power series over a field F of charac-
choose or, = 5@. teristic p > 0; let F, be the prime field. If C is the separable part
Hence of the algebraic closure of k, r the Galois group of C I k, then the
= iim ( ~ Q - ~ W ) Q ' , , = 5. mapping T -t (C I k / ~ is) a (I, 1) correspondence between r and k.
We denote the inverse mapping by 4, i.e., if a = (C I k / ~ ) ,then
Now (Y is an element of a cyclic group of order (q - 1). Hence
+(a) = T . We study expressions of the form
5q-I = 1, i.e. m divides (q - I).
This completes the proof.
The structure of complete fields k of characteristic zero with
perfect residue class fields k of characteristic p > 0 has been
investigated by Witt (Crelle's Journal, 176 (1936), p. 126). We where we choose the same value for (xylg) for both terms. Clearly
consider here only the case in which the residue class field is if (xyl p), is another value,
finite, containing q = pf elements.
k contains a subfield isomorphic to the rational numbers;
and the valuation of k induces the p-adic valuation on this subfield.
194 10. APPLICATIONS AND ILLUSTRATIONS 2. THE NORM RESIDUE SYMBOL

where v is an element in the prime field. The expression We have, for every u E k,

lies in the prime field, since both terms are roots of the equation
tp- 5 = xy, and these roots differ only by elements of the prime
field.
Now let x and y be fixed elements of k, u any element of k.
Consider the mapping
= f uydz + f uady,
since $uydz lies in the prime field, and hence is unaffected by
We shall denote this map by xdy and call it a differential. The image +w
of u under the differential xdy will be denoted by $uxdy, i.e.

f uxdy = (~r'')- (??).

3. dy* = ndyfl-l.

This follows by induction using (2) if n is positive. If n is negative,

we write
We shall see later how the properties of the map xdy justify this dy = d ( ~ - ~ + l = +yyR(l
y ~~ )- ~ + l d ~ - n) y-n dy (using 2).
notation and terminology.
Two differentials are defined to be equal if and only if their Hence
effects coincide on every element of k, i.e. ndy =~ - ~ + l d y * , 1.e.
' dyn=nyn-ldy.

xdy = xldyl y,9 f uxdy = f uxldyl for all r E k. From this result we deduce at once the formulas
dyP = 0,
The sum of two differentials is defined by the relation dy% =y%h.

Since the field of constants F is perfect, every a E F is a p-th power;

hence the differential map is homogeneous:

We now deduce some elementary properties of these differen- xd(ax) = axdz.

tials: The linearity of the map follows directly from

This follows from the linearity of the operator l / g and the fact
that +(y) is an isomorphism. Since

2. dbz) =ydz + zdy.

196 10. APPLICATIONS AND ILLUSTRATIONS 2. THE NORM RESIDUE SYMBOL 197

we must show that (y/p)d(Y)= ( y l p ) . This is obvious if y / p lies Set 6 = (clg);since c is an element of F, F(6) I F is a cyclic exten-
in k. If y / p = 8 is not in k, 8 satisfies the irreducible equation sions of the residue class field. Hence k(6) I k is an unramified
f* - 5 - y = 0; hence y E N k ( e ) ,., From the properties of the extension. Thus
norm residue symbol we deduce that 4 ( y ) acts like the identity on
k(8); hence 4; dy = 0 in this case also.
I n particular we have 4 d(yz) = 0, so $ ydz = - 4; xdy. Then

Thus the differential map ydz is linear in its arguments. We can now raise this result to the q-th power; SFlF0(c)
remains
We now evaluate some special "integrals". unaltered. Hence

Summing these equations we obtain the required result

since x lies in the ground field k.
(2) If c E F and y # 0,
(3) If IxyI < 1, then $ x d y = 0,

Now for any a E k such that I a I < 1, it is easily verified that

(a) If n f 0, let n = prm where (p, m) = 1. Since F is perfect
we may write c in the form c = epr. Then

,
f cyndr = f (cym)pr,
d~
=f cy,dy using (1) above Hence (xy/g) E k, and so (xyl p)+(Y)= (xyl p). This proves the
required result.
We notice that this result implies the continuity of the integral
= f d ( -mye m ) =O. in both its arguments, for
(b) If n = 0,

provided I x - xl I an I y - yl 1 are sufficiently small.

198 10. APPLICATIONS AND ILLUSTRATIONS 2. THE NORM RESIDUE SYMBOL 199

(4) If 1 y 1 c 1, and x is developed as a power series in y I n particular, if v and y are any elements of k, and t is a uniformi-
with coefficients in F: x = Z: cVyY,
then zing parameter, we have

d ~dt.
f vdy = f v 2
Since Z: cVyvconverges, there exists an index N such that
Specializing v to be x, we obtain

f xdy = f r g d t = SFIF,,(Res, (x- 2))

and hence
and, similarly, setting v = x/y, we obtain

Thus
Rewriting these integrals, we obtain

and using 2 above, we obtain

We may call c-, the residue of x with respect to y, and write
c-, = Res, x.
I n particular, if y = t is a uniformizing parameter, and v is any
element of k, we have $vdt = S,,,o(Res, a), since ord t = 1.
Again let 1 y 1 < 1, and let x be written as X cVyY. Then we
define formally the derivative dxldy to be the series Z: vc,y+l. We
shall show that dx = (dxldy) dy.
Consider
This describes the action of $(y) on the cyclic p-extensions.
We shall now discuss the conditions under which a differential
ydx is zero. Clearly if y = 0, then ydx = 0, so we shall assume
y # 0. Let t be a uniformizing parameter, and write x = C cVtu.
Then
Now ydx = 0 means that $ uydx = 0 for all u E k. We may take
u = atT/y(a E F). Then

This proves our assertion. (i.e. r-

for all a E F and all integers r.
As a ranges over F, so does ac-, , and so we have either r = 0
0 modp) or c-, = 0 (since the trace is not identically
200 10. APPLICATIONS AND ILLUSTRATIONS 3. DIFFERENTIAL I N A N ARBITRARY POWER SERIES FIELD 201

zero). Hence x contains only powers of t*, and since F is perfect, If y and z are any elements of k, and dxldt # 0, we may define
this implies that x is a p-th power.
We can now give the condition for y to be a norm for all cyclic
p-extensions k(x/p) I k. For y is a norm for k(x/p) I k e +(y) acts
like the identity on (xlp) o $ xdy = 0. Thus if y is a norm for all
such extensions, then $xdy = 0 for all x; hence dy = 0, and so This clearly does not depend on the choice of the parameter t.
y is a p-th power. We define the residue of y = C cvtvwith respect to t to be

3. Differentials in an Arbitrary Power Series Field

The residue is thus linear and F-homogeneous. We may notice
Let F be any field, and let k = Fit) be the field of formal power the special cases:
series in t with coefficients in F.
If y = E cvtv,we define its derivative

when n = - 1; = 0, when n # - 1. We must now examine the

effect on the residues of a change in the uniformizing parameter.
This is easily seen to be linear, F-homogeneous, and continuous We obtain
in the valuation topology on k. One may establish without difficulty
the formal rule Theorem 3: If t and t, are uniformizing parameters, then

If t, is another uniformizing parameter, we may prove that

Proof: Since the residue is linear, F-homogeneous and conti-
nuous, it sufficesto prove the theorem for y = tn.
The result is obvious for the trivial change t = a,t, , so we may
assume
This result is immediate if y is a finite power series in

We have now to show that

Then
" d dt, dy dt, Res,, )(;tini; dt =1

--m dt dtl dt '

when n = - 1, and = 0 when n # - 1.
The result then follows for arbitrary power series since the map d/dt When n 2 0, the result is clearly true, since tn dtldt, contains
is continuous. no negative powers of t.
202 10. APPLICATIONS AND ILLUSTRATIONS

When n = - 1, we have In this notation, our earlier results would be written

so the result is true here also.

When n < - 1 we consider first the case in which the character-
istic of F is zero. In this case we can write

4. The Conductor and Different for Cyclic p-Extensions

Let k be any field of characteristic p ; let be a cyclic extension

and this vanishes for n # - 1. of degree p. We saw in Chapter 9, Section 5, that K = k ( a / g )
Now for any characteristic, and any &xed n < - 1, we have where a E k. We must now investigate the degree of freedom we
have in choosing generators for fields of this type. So let
1 dt - 1 2a2t, + + - ... + P(a2
t -.) + ...
--- a,,
t-" dt, tyn(l a,tl + + ..-) - 3

where P(a, , a , , is a polynomial constructed quite formally:

me-)

that is, P(a2 ,a , , .-.)is a universal polynomial of the a, with rational i.e. suppose there are two possible generators a, p such that
integer coefficients. P(a2 ,a,, is thus the same for all fields,
- - a )
ap-a=@, 8"--/3=b.
and contains only a finite number of the coefficients a,.
But we have just seen that for fields of characteristic zero this We may choose the generator o of the Galois group such that
polynomial is the zero polynomial. Hence it is the zero polynomial
also in fields of characteristic p > 0. This completes the proof.
To rid ourselves of the dependence of the residue on the uniform-
izing parameter, we introduce the notion of a diferential ydz; Then UP = /3 + r, where 0 <r < p - 1, and so
this is purely formal. We say that ydz = yldx, if and only if
dzldz, = yl/y. We now define the residue of a differential:

Res (ydz) = Rest y -

( '3. It follows that j3lr - a = c lies in the ground field k, for
This does not depend on the uniformizing parameter, for

dz dt
Res, (ydz) = Rest We have

( dl)
= Res tl y - = Restl (ydz).
204 10. APPLICATIONS AND ILLUSTRATIONS

Hence I t is clear that no further changes may be made except in the

constant w .
b = r ( a + c p - c); Consider the extension k(x/p) 1 k, where x = E" cvtv,C-, # 0,
thus We shall find the conductor of this extension. T o do this we must
determine the smallest index r such that all elements y of the form
+
1 tra (I a 1 < I) are norms for k(x/p) I k. We know that y is a
norm for this extension if

Now let k be a complete field with characteristic p and perfect

residue class field. Let t be a uniformizing parameter. We consider
00
an extension of the form k(a/p) where a = C-, cvtV.Our first
task is to simplify the form of the generator a by changes of the Let r = m + 1: y = 1 + tm+]a. Then
type just described.
We may first replace a by another element which has no terms
in t vwhere v < 0 and p divides v. For if we have cv # 0 for v < 0,
v = pp, we may replace a by a - (c;lp tp)P +
(cf;lptp), for which which may be written dy = tm/3dt. Thus
the coefficient of tv = 0. We have, of course, introduced a non-
negative coefficient for tp, but if p divides p, this may be removed
by a repetition of the process. Indeed, since the number of terms
(Re. x
SFIFn $) (Res
= SFIF,, (2
-m
cvtv tmB
1 + tm+b
d t ) ) = 0.

with v < 0 is finite, a finite number of repetitions of this process

will eventually yield an element +
Hence all elements y = 1 tm+la are norms for this extension.
On the other hand, not all elements of the form y = 1 tma +
+
are norms. For consider y = 1 ctm(c E F ) ; dy = mctm-ldt. Then

where w is a constant, I b 1 < 1, and if p divides v, then dv = 0.

In particular p does not divide m.
Now let Since m is not divisible by p, m #=0 in F ; as c ranges over F, so
does c-,mc, and hence, since the trace SFIFo is not identically
zero, we have S,,,Jc-,mc) # 0 for some value of c. Hence not
this is convergent since I b I < 1. Then +
all elements y = 1 tma are norms.
It follows from the definition of the conductor f that f = pm+l,
and hence the different

so c, - c = - b. Hence a' may be replaced by

This completes the discussion only when x = E" cvtvand
m > 0. We have seen that we can replace x by an element involving
no positive powers of t; hence wo have only to consider the case
206 10. APPLICATIONS AND ILLUSTRATIONS 5. THE RATIONAL P-ADIC FIELD 207

of an extension k(o/p) j k where is a constant. An extension of which is also an integer of K. Hence (1 - <)/(I - 5') is a unit;
this type, however, is unramified, and so f = = D. so 11 - 5 1 = I 1 - 5' 1. This shows that

5. The Rational p-adic Field

Let k be the rational p-adic number field R, , i.e. the completion
of the rational field in the valuation induced by the rational primep.
Our aim in this section is to describe the maximal abelian extension
A of k; we shall prove
Theorem 4: A is obtained by adjoining to k all roots of unity.
hence the ramification e(K / k) 3 4(pr). But the degree
n(K 1 k) <+(pr); hence we have e = n = $(pr) and f = 1. I t
follows that (1 - 5 ) is a prime in K , and that
Thus all powers of p are norms for K / k.
T h e whole norm group is therefore

Proof: We have already seen in Chapter 4 that all unramified

extensions of k are obtained by adjoining m-th roots of unity
with (m, p ) = 1. Thus if we adjoin all such roots of unity we obtain
where V, is a certain subgroup of units such that
the maximal unramified extension T , , which has norm group U,
the group of units in k.
Next we consider the field K = k(5), where 5 is a primitive
pr-th root of unity; this is certainly an abelian extension. Now all We shall now show that V7 is precisely the group of units which
the primitive p7-th roots of unity are roots of the polynomial are congruent to 1 modulo pr.
Consider therefore the group Us consisting of elements
+
1 upS (1 a I <
1); we restrict ourselves to s 1 when p is add
and to s 2 when p = 2. Then we have

of degree (p - l)pr-I = 4(pr). Thus deg ( K ( k) < 4(pr). We

(I + up), = (1 + apS+l)mod pS*,
notice that if we put x = 1 we obtain and so we may write

Now if (.and 5. are two primitivepr-th roots of unity, we have Repeating the process, we obtain
1 + ups" = (1 + ups), (I + bpS+l)"(1 + CP"+~),
and so on; finally we arrive at the result
which is an integer of K. (1 + upsf1) = (1 + alps)*,
Since we can write 5 = (5;)~for some p, we have
and hence Us+, = Usp. By iteration we obtain
208 10. APPLICATIONS AND ILLUSTRATIONS 6. COMPUTATION OF THE INDEX (a:an) 209

I t follows now that the compositum T,K,, , which is obtained

by adjoining all roots of unity to k, has norm group 1. T,KU, is
therefore the maximal abelian extension A.
when p = 2. We now consider the two cases separately. When p This completes the proof of Theorem 4.
is odd, we have
6. Computation of the Index (a: an)

Hence we may write Let k be a complete field, either (1) archimedean, or (2) non-
1 - ups = (1 + apS)pl (1 + bp8+l). archimedean with finite residue class field. We define normal
forms for the valuation in k as follows:
By repetition of this process we finally reach the result that Case I : (a) k is the field of real numbers. Let the normal
u%1=u,. Hence we have valuation be the ordinary absolute value.
(b) k is the field of complex numbers. Let the normal valuation
be the square of the ordinary absolute value.
Hence Ur = NKIkUl,and therefore U,V , But . Case 2: If the residue class field of k contains q elements, we
(U : U,) = &') = (U : V,), define the normal valuation by prescribing I .rr 1 = l/q.
For use in a later chapter we prove the following result:
and so U, = V , .
When p = 2 we notice that Theorem 5: Let k be a field of the type described above.
If n is prime to the characteristic of k, and if all the n-th roots of
unity lie in k, then (a : an) = n2/1n I where I n 1 is the normal
since a number which is congruent to 1 mod 4 is congruent to 1 valuation.
or 5 mod. 8. Hence we have
Proof: We must consider the two cases separately.
Case I : k archimedean.
If k is the real field, the only possible values for n are 1 and 2
Since u:-' C Vr , by the same argument as we used when p is odd, (the real field contains only the first and second roots of unity).
it will follow that U pC Vr if we can show that 5"'- is a norm. I t We see at once that
+
is easily verified that 52r-2= NKIk(2 2). Hence U pC V,., and 12
( a : al) = 1 = -
it follows as before that U , = Vr . 111'
In all cases, then, we have

If k is the complex field, n may have any value, and every element
If we adjoin all pr-th roots of unity, we obtain an extension which of k is an n-th power. Hence
we may call KD,, for which the norm group is UVElpv,since
n, u, = 1.
210 10. APPLICATIONS AND ILLUSTRATIONS 6. COMPUTATION OF THE INDEX (a: an)

Case 2: k non-archimedean. Hence

n
We apply the Lemma of Chapter 7, Section 5, with the homo- (E : en) = qSn= - .
morphism T : a -+ 1 a 1 . We have I4
Finally we have the result of the theorem:

We may therefore consider the index ( E : en).

First let r be so large that I nnr+l 1 I rr2' 1, and consider the
+ <
group Ur of elements 1 anr ( 1 a I
(1 + anT)" - 1
1). Then
+ annr mod n2'
= 1 + annTmod nnT+l.
Hence we may write

and repeating the process, we have

1 + annr = (1 + anr)" (1 + W + l ) n (1 + cnnT+2),

Finally
1 + annT= (1 + a'n')".
Thus if ord n = s, we have

Let Cn denote the group of n-th roots of unity in k. Suppose r

is so large that none of the 5, # 1 lie in Ur . Again we apply the
Lemma of Chapter 7, Section 5, this time with the homomorphism
T : E + en. We obtain

Hence

Now ( U , : U,,,) = number of residue classes modulo n8 = p8,

where q is the number of elements in the residue class field.
 PART THREE

Product Formula and

Function Fields in one Variable
CHAPTER ELEVEN

Preparations for the Global Theory

1. The Radical of a Ring

Let R be a commutative ring. An element a of R is said to be

nilpotent if some power of a, say an = 0. The set of all nilpotent
elements of R is called the radical, N.

Theorem 1: The radical is the intersection of all prime ideals

of R.
Proof: Let S be a multiplicative semigroup in R not containing
zero. We shall show that there exists a prime ideal of R which
does not intersect S.
Consider the set of all ideals of R which do not intersect S ;
this set is not empty, since the zero ideal belongs to it. The condi-
tions of Zorn's Lemma are easily verified, so there exists an ideal
a which is maximal in this set. We contend that a is a prime ideal.
Let a, $ a, a, $ a; then (a, a,) respectively (a, a,) are larger than a
and so contain elements s, respectively s, of S. Thus
s1 = nlal + rial mod a, s, zz n2a, + r2a2mod a,
where n, , n, are integers, and r, , r, E R.
Hence
sls2 = nln,crla, + r3a1a2mod a.
It follows that a,a, $ a, and so a is a prime ideal.
Now if a EN, an = 0 lies in all prime ideals p. On the other
hand, if a is not in N, the elements a, a 2 , 013, form a semigroup
not containing zero; thus there is a prime ideal p not containing a.
This completes the proof.
215
216 XI. PREPARATIONS FOR THE GLOBAL THEORY 2. KRONECKER PRODUCTS OF SPACES AND RINGS 217

maintain a strict distinction between the elements of the products

2. Kronecker Products of Spaces and Rings
which come from X and those which come from Y.
Let k be a commutative field, and let X and Y be vector spaces
over k. We form the vector space V whose basis vectors are the
Theorem 2: If yl , y, , ..., yn are linearly independent in Y,
then
elements (x, y) of the Cartesian product of X and Y; the elements
of V are therefore of the form av(xv,y,) with a, E k, x, E X,
x1y1-t x2y2 + ... + xny, = o
y, E Y. Consider the subspace N which consists of those elements of in X X, Y if and only if x1 = ... = xn = 0.
V such that
Proof: The "if" part is trivial.
T o prove the "only if" part, we recall that a linear functional
defined on a subspace of a vector space may be extended to the
for every linear map of X into k and every linear map A of Y into k. whole space. Hence, since the y, are linearly independent, we can
The Kronecker product of X and Y with respect to k is then defined form linear maps A, such that A,(yj) = aij. Hence, since
to be the factor space of V mod N:

,
in X x Y, we have
We may therefore regard the elements of X x , Y as being those
of V, where equality is now defined to be congruence modulo N.
Hence in X x k Y we have for all linear maps 1of X; hence X$ = 0.
This completes the proof.

Corollary: In order to test whether C ol,,xvyv= 0 in X x Y,

we express the y, which occur in terms of linearly independent
T o prove the first of these results, we notice that for all linear vectors y,'; say y, = C cdy,'. Then C a j v y v= C a,,cvixvy,', which
maps I and A, we have is zero if and only if all the elements C a,,cviyvare zero.
l(x + x') h(y) - l(x) h(y) - l(xr)X(y) = 0 Theorem 3: If xl ,.x2, -..,xn are linearly independent in X
which means that and yl ,y, , .-.,y, are lmearly independent in Y, then the elements
x,yj are linearly independent in X x Y. ,
Proof: Suppose C cv,xvy, = 0 in X X , Y. Then for all linear
Similarly, since maps I and A we have

for all maps I and A, our second assertion is proved. We may construct maps li ,Aj such that l,(xv) = a,, ,Ai(y,) = aiP .
From these remarks it follows that we may operate formally Hence
with the pairs (x, y) as if they were products xy-provided we c,,l,(x) Xj(y)= ci* = 0.
21 8 XI. PREPARATIONS FOR THE GLOBAL THEORY
Corollary: If X and Y have finite k-dimension, then so does
X x, Y; in fact,
Suppose now that X and Y are rings with unit elements, con-
taining k in their centers. We may introduce a multiplication opera-
tion in the vector space V by defining
and extending the definition to V by requiring that the distributive
law be satisfied. I t is easily verified that Y forms a ring under this
multiplication.
N is a two-sided ideal of this ring. For if 2 or,(x,, y,) EN, then
Z: a,l(x,) h(y,) = 0 for all linear maps. Consider in particular the
maps l(x) = Z'(ax), X(y) = A'(by), where l', A' are arbitrarily given
linear maps. We obtain
2 % l1(axV)hl(by,) = 0
lies in N. Similarly [Z: aV(x,,y,)] (a, b) lies in N. From this remark
it follows that the Kronecker product of X and Y is a ring, namely
the residue class ring V / N .
Since X and Y have unit elements, X x k Y contains subrings
isomorphic to X and Y, consisting respectively, of the elements
(x, I), (1,y). If we identify X and Y with these isomorphic sub-
rings, we see that
If Xo , Yoare subrings of X and Y, we may form the Kronecker
,
product Xo x Yo; it is easily seen that this is imbedded in X x k Y
in a natural way.
3. Composite Extensions
Let A and B be arbitrary extension fields of k such that
A n B = k. We define a composite extension of A and B by giving
3. COMPOSITE EXTENSIONS 219
a pair of isomorphic mappings a, T which have the same effect
on k, and which map A and B respectively into some field F. The
composite extension is then the smallest subfield of F which
contains both aA and TB; we denote this subfield by aA TB.
In general UA . TB will not be merely the product of oA and TB
(i.e. the set of finite sums of products of elements from aA and
TB); oA . TB will be the smallest subfield containing this product,
in fact its quotient field.
Two pairs of isomorphisms (a, T) and (a,, 7,) are said to be
equivalent, or to yield equivalent composite extensions if there
.
exists an isomorphism h of aA TB onto olA . T,B such that
Xu = u1 , AT = T, .
There is a very intimate connection between these composite
extensions and the Kronecker product A X, B which we shall
now investigate. Suppose first we are given a composite extension
defined by isomorphisms (a,7). Then we may map R = A X , B
into aA TB by mapping
We must show that this mapping is well-defined; so let Z: aiaaba
be zero in R. We may express the elements 6%in terms of linearly,
independent elements b: :
Then we have
and hence
C;
d
a&ai =0 for all v.
Since a is an isomorphism, this implies
218 XI. PREPARATIONS FOR THE GLOBAL THEORY
Corollary: If X and Y have finite k-dimension, then so does
X x, Y; in fact,
Suppose now that X and Y are rings with unit elements, con-
taining k in their centers. We may introduce a multiplication opera-
tion in the vector space V by defining
and extending the definition to V by requiring that the distributive
law be satisfied. It is easily verified that Y forms a ring under this
multiplication.
N is a two-sided ideal of this ring. For if X a,(xv, y,) E N, then
Z a,l(x,) A(y,) = 0 for all linear maps. Consider in particular the
maps l(x) = Z'(ax), A(y) = h'(by), where ,'Z A' are arbitrarily given
linear maps. We obtain
2 l1(axV)
A'(by,) = 0
for all I f , A; hence
lies in N. Similarly [Z a,(x,, y,)] (a, b) lies in N. From this remark
it follows that the Kronecker product of X and Y is a ring, namely
the residue class ring V / N .
,
Since X and Y have unit elements, X x Y contains subrings
isomorphic to X and Y, consisting respectively, of the elements
(x, I), (1, y). If we identify X and Y with these isomorphic sub-
rings, we see that
If Xo , Yo are subrings of X and Y, we may form the Kronecker
product Xo x Yo; it is easily seen that this is imbedded in X x Y
in a natural way.
3. Composite Extensions
Let A and B be arbitrary extension fields of k such that
AnB = k. We define a composite extension of A and B by giving
3. COMPOSITE EXTENSIONS 219
a pair of isomorphic mappings a, T which have the same effect
on k, and which map A and B respectively into some field F. The
composite extension is then the smallest subfield of F which
contains both oA and TB; we denote this subfield by UA .7B.
In general oA . TB will not be merely the product of oA and TB
(i.e. the set of finite sums of products of elements from oA and
-
TB); oA TB will be the smallest subfield containing this product,
in fact its quotient field.
Two pairs of isomorphisms (o, T) and (a,, 7,) are said to be
equivalent, or to yield equivalent composite extensions if there
exists an isomorphism A of oA TB onto olA . T,B such that
Ao = a, , AT = T~ .
There is a very intimate connection between these composite
,
extensions and the Kronecker product A x B which we shall
now investigate. Suppose first we are given a composite extension
defined by isomorphisms (a, 7). Then we may map R = A x B
-
into oA TB by mapping
onto
We must show that this mapping is well-defined; so let X %a,b4
be zero in R. We may express the elements bd in terms of linearly,
independent elements b: :
Then we have
and hence
2 q&a, = 0
6
for all v.
Since o is an isomorphism, this implies
220 XI. PREPARATIONS FOR THE GLOBAL THEORY
Multiply by ~(b,'), and sum over v, replacing a(#&,,) by T(&)
(a = T on k); this yields
This shows that the mapping is well-defined.
It is clearly a homomorphism of R onto the product of uA and
TB in F ; since F is a field the image has no divisors of zero, and so
the kernel of the mapping is a prime ideal p. Thus R/p is isomorphic
to the product of aA and TB; and hence
a A TB quotient field of Rip.
It is clear that if (0, , T ~is) a pair equivalent to (a, T), then the
equivalent composite extension o,A . T,B corresponds to the same
prime ideal of R. For if h is the map which links (a, 7) and (u,, T,),
and if
2 .(ai) o(ai) 7(bi) = 0,
then
2 XU(%)hu(a,) hi(bi) = q ( a J al(ai) ~ ~ ( b=i 0.
)
Thus each equivalence class of composite extensions corresponds to
a prime ideal in R.
Conversely, let p be a prime ideal in R; p # R. Let p be the
natural homomorphism of R onto Rlp. Then p maps A onto a
homomorphic image pA; but a homomorphism of a field is either
the zero map or an isomorphism, and p cannot be the zero map
since PA = 0 implies p(A x B) = 0, whence p = R. Hence p
maps A onto an isomorphic image pA. Similarly p maps B onto
an isomorphic image pB. Thus p maps A and B into an integral
domain Rlp which consists of linear combinations of products of
elements in pA and pB. If we form the quotient field of Rlp, we
may form the compositum of pA and pB; in this way defines a
composite extension.
Clearly if p is a maximal ideal, R/p is already a field, and hence
is itself a composite extension of A and B.
In our applications, one of the fields-say B-will be an alge-
,
braic extension of k. Since we may consider A x B = U A x B'
3. COMPOSITE EXTENSIONS 221
where the fields B' are the finite subfields of B, it suffices to con-
sider the case where B / k is a finite extension. Let p be a prime
ideal of R = A x k B; then R' = R/p may be considered as an
integral domain of finite dimension over A. Suppose
R' = Awl + ... + Aw,;
then
aR' = Aawl + + Aawn = R',
since the o,are assumed linearly independent. Thus R' is already
a field, and so all the prime ideals in R = A x k B are maximal.
We now prove the
Theorem 4: Let R be any ring; let p, , p, , ..-,p, be distincts
maximal ideals. Then R/fl p, is isomorphic to the direct sum of
the fields Rip,.
Proof: Let $, be the natural map of R onto R/pi. Consider
the map of R given by
This is clearly a homomorphism of R into the direct sum of the
Rlp, , with kernel n p, . It remains to show that the mapping is
onto.
Since pi # p, (i = 2, .-a, r), there are elements a, which lie in
p, , but not in p,; hence $,(a,) # 0, but $,(a,) = 0. Then if
a,' = a,a, .-.a, , we have $,(a,') # 0, while $,(a,') = 0
(i = 2, -.-,r); similarly we define a,', ..a, a,'.
Now let 6 = (6, ,6, , em., 6,) be an element of the direct sum.
Since each 4, maps R onto the field Rlp,, there are elements
A, E R such that $,(A,) = &,/$,(a,'). Then clearly $(C a('A,) = 6.
This completes the prooof.
We apply this to the case where R = A x, B, and B is a finite
extension of k of degree n. In this case each field R/p, is a composite
extension oA . TB of A and B. We now agree to identify A with
its image UA in each of these extensions. Hence a composite exten-
sion of A and B is now defined by an isomorphism T of B into an
extension field of A such that 7 acts like the identity on k. Another
isomorphism 71 gives rise to an equivalent composite extension
222 XI. PREPARATIONS FOR THE GLOBAL THEORY
if there is an isomorphism X which acts like identity on A such that
AT = T1 . deg ( A .rill ( A) = m;p6i.
Let p, ,p, , p, be maximal ideals of R ; we may view the direct
. a * ,
sum of the fields R/pi as a space over A. If the degree
we have
$mr=dim~/r)pi<(~:~)=n.
i=l
This shows that the number of distinct maximal ideals in R is
finite.
If we take all the maximal ideals in our decomposition (and these
are all the prime ideals of R), we have
R / n p i = RIN direct sum of all composite extensions.
Hence we see that X mi = n if and only if N = (0).
T o show that there may exist fields A and B for which A x, B
has a non-zero radical, we consider the case where k = Ip(x)
(I, is the field with p elements), and let A = k(a), B = k(p) where
a p = /3p = X. Then in the Kronecker product a - ,5l is clearly
nilpotent:
(a - j?)" = a" - j?" = 0.
Now let 2 be the algebraic closure of A, and restrict the iso-
morphisms T to be mappings of B into A. Certainly A contains &,
the algebraic closure of k. Let B, be the separable part of B ;
no = deg (B, I k); n = nopS where p is the characteristic of k.
Then it is known from Galois Theory that there are precisely no
distinct maps T of B into &. Hence there are no maps of B into A.
If two of these maps T ~ T~, yield equivalent co~npositeextensions
A . riB and A . T ~ Bthen
, A . T ~ is
B isomorphic to A . r j B under
an isomorphism X which leaves A fixed. Now A . T ~ B ,is in the
separable part of A . T ~ over
B A. Since B j B, is purely inseparable
of degree pS, A . T ~ Bis purely inseparable over R T ~ B ,with
degree psi <pa. Thus A . riBO is precisely the separable part of
A riB over A; if
deg (A riBO1 A) = m; ,
4. VALUATION OF A NON-COMPLETE FIELD 223
then
By the same argument as above there are exactly mi1 distinct
maps A, and hence mi1 maps 7 . e uivalent to T~ . Thus XI mi1 = no ,
3.4
where the summation is restricted to the isomorphisms T, which
yield inequivalent composite extensions. Finally, since si ,< s, we
have
once more. This shows that A X, B has radical zero if and only if
all the s, = s. I n particular A x B has radical zero if B is a
separable extension.
4. Extension of the Valuation of a Non-Complete Field
Let k be a field with a valuation, not necessarily complete, and
let E be a finite extension of k.
Suppose first that we have obtained an extension of the valuation
of k to E. The completion I? of E under this valuation will contain
the completion h of k under the original valuation; I? also contains
E, and hence the compositum E&.This field E&is a finite extension
of &; hence (Theorem 2 of Chapter 2) it is complete. I t follows
that E& contains I?; hence E& = I?.
On the other hand, if an extension to E is not yet known, we
may construct the algebraic closure C of & (any sufficiently high
finite extension would suffice); we can extend the valuation of KC.
Since C contains the algebraic closure of k, there exist isomorphic
maps a of E I k into C I k. The valuation of C induces a valuation
on aE which is an extension of the valuation of k. We may then
define a valuation in E by writing I a I = I oa I for a E E. We notice
that the completion of aE will be oE . &.
- There are several different maps of E into C, and we may ask
when two of these maps give rise to the same extended valuation
on E. So suppose a and T are maps of E into C which yield the same
valuation. Then TO-I is a map of oE onto T E which preserves the
valuation of aE; this map can be extended to the completions of
224 XI. PREPARATIONS FOR THE GLOBAL THEORY
-
oE and TE, that is to the composita oE k and T E k. Since TU-1
is identity on k, this extension is identity on A. Hence if a and T
yield the same valuation on E, then they are equivalent.
Conversely, suppose a and T are equivalent; let h be the map of
oE . 6 onto T E such~ that h is identity on k and T = ha. Then o
induces the valuation I a ,1 = I ua I and T induces the valuation
I a l2 = 1 TCY1 = 1 how I. But ua and hoar are conjugates over a
complete ground field 6; hence they have the same valuation-
Iorl1= Ia12.
Referring to our previous discussion, we see that there is exactly
one extension of the valuation of k to E for each prime ideal in the
Kronecker product 6 X, E. Furthermore if we call the degree of
oE . k over k the local degree, we see that the sum of the local
degrees for all extensions is not greater than the degree of E I k.
CHAPTER TWELVE
Characterization of Fields by the
Product Formula
We saw in Chapter 1, Section 5, that the field of rational numbers
and fields of rational functions over arbitrary ground fields satisfy
a product formula ITp( a , 1 = 1 for all non-zero elements a. We
shall now study arbitrary fields with a product formula of this type.
More precisely, let k be a field satisfying
Axiom 1: There is a set 9-R of inequivalent non-trivial valuations
I ,1 of k such that for every non-zero element or of k, I a ,1 = 1
for all but a finite number of I ,I and n, I a ,1 = 1.
We denote by p the equivalence class of valuations defined
by I ;,I and we call p a prime of k. In this chapter I ,1 shall always
denote the special valuation in the equivalence class p which occurs
in the product formula of Axiom 1.
For each non-archimedean prime p in 9-R we may form a ring
o, of p-integers, consisting of those elements of k for which
<
I or ,1 1. The elements a for which I a ,1 < 1 form a prime
ideal of 0,; we shall denote this ideal by p-no confusion will arise
from this notation. Finally we denote the residue classjeldat p by K p :
Consider the set k, of elements of k such that I or ,1 <
1 for all
p Then clearly either w = 0 and I or ,1 = 0 for all p E m;
E 9-R.
or else, because of the product formula, I a ,1 = 1 for all p ~ m .
I n the latter case we must distinguish two possibilities:
225
226 XII. CHARACTERIZATION OF FIELDS
(I) rn contains no archimedean prime. Then k, is a field,
for if j a l p = I p l p = l for all p ~ m ,then I a f j ? I , < l ,
I ap 1, = 1 and I a-l 1, = 1 for all p E %I. k, is the largest subfield
of k on which all the primes of % ' R are trivial: we call k, the field
of constants. It is easily seen that k, may be isomorphically mapped
into every residue class field A,; under this map we may consider k,
as a subfield of all K, . The degree of Kp I ko will be denoted by f(p).
(2) rn contains an archimedean prime q. Then k, is not a field,
+
for 1 ~ k , , b u t l 1 = 2 $ k o , s i n c e 121,>1.
Since ( 2 1, > 1 for all archimedean primes q, we conclude that
there can be only a finite number of archimedean primes in XR.
We now introduce a second axiom, which guarantees the
existence of at least one "reasonable" prime in m.
Axiom 2: There is at least one prime q of 'D of one of the
following types:
(1) q is archimedean,
(2) q is discrete and A, is finite,
(3) q is discrete and f(q) = deg ( R , I k,) is finite.
Henceforth primes of these types will be called reasonable. Fields
which satisfy Axioms 1 and 2 will be called Product Formula
Fields, or PF-Jields.
We shall have to consider sets S which will be arbitrary when k,
is not a field and k,-vector spaces when k, is a field. For such sets S
we define the order of S as follows:
(1) If there are archimedean primes, or if k, is finite, the order
of S shall be the number of elements of S.
(2) If k, is an infinite field, the order shall be cr where c is a
fixed number, c > 1, and r is the maximal number of elements of S
which are linearly independent with respect to k, .
For example, let S be the set of residue classes modulo q
where q is a reasonable prime. If S is a finite set, then k, (if it is
a field) is finite (k, C S), so we have to use the first definition;
if not, we have the order of S = cf'q). For reasonable non-archi-
medean primes we define the norm Nq to be this order of the
residue classes.
We introduce a normal valuation 11 11, for reasonable primes q:
(1) If q is archimedean, and the completion of k under p is
the real field, we define 11 a [Ip to be the ordinary absolute value of a.
(2) If q is archimedean, and the completion of k under q is 1he
field of complex numbers, we define 11 a 11, to be the square of the
ordinary absolute value of a.
(3) If q is discrete, we define 11 a 11, to be (Nq)-Ordq~.
We may now write the special valuation occurring in the product
formula of Axiom 1 as a power of 11 1 ,: I a 1, = 11 a!
p(q) > 0.
where
2. Upper Bound for the Order of a Parallelotope
Consider the set S consiting of elements a such that I a 1, x, <
for a11 p E where the x, are fixed real numbers. We may think of S
as a parallelotope in the space obtained by forming the Cartesian
product of k with itself as many times as there are primes in 'D.
We wish to find an upper bound for the order M of S.
First we prove
Theorem 1: Let q be a reasonable prime. Let S be a set of
elements of k with order M > 1. If I a 1, <
x for all a E S, there
exists a non-zero element 8 E k, which is either an element of S
or a difference of two elements of S, such that I 8 1, <
A,X/M~(~);
A, is a constant depending only on q.
Proof: We must consider several cases:
Case 1: q is archimedean and the completion is real. In this
case the order M is the number of elements of S.
Since I a 1, ,< x, we have 11 a 11, <
~ l l p (for ~ ) a11 a E S. Hence
if we decompose the interval [- x l l ~ ( ~ )l l, p ( ~on) ]the real line into
M - 1 equal parts, then, by the Pigeon-holing Principle, at least
one of these parts must contain two elements of S.
Hence there is a non-zero element 8 E k, the difference of two
elements of S, such that
 228 XII. CHARACTERIZATION OF FIELDS

Since M 3 2, we have M - 1 2 M/2, and hence There are now two cases to distinguish:
W/P(Q) (a) Residue class field is finite. Then the ring oq/qr has (Nq)"
Il e ll. G 7 . elements. I t follows from the Pigeon-holing Principle that there is
a non-zero element 8 in k such that Olor, is the difference of two
Finally we have 1 8 1, < A , ~ / M P (where
~ ) A, = 4p(Q). elements of S' and
Case 2: q is archimedean, and the completion is complex. B/a, = 0 mod qT.
Here also M is the number of elements of S.
<
If I or 1, <
X, we have the ordinary absolute value of a ~ ~ l ~ p ( ~ ) ; Hence ord 8/al 2 r, and so
hence a lies in the square (in the complex plane) with center the
origin and side 2 ~ l f ~ p If ) . decompose this square into N2equal
' ~we
squares, where N <M < < +
N I, i.e. N2 < M ( N < +
then at least one of these smaller squares must contain two elements
of S. Hence there is a non-zero element 8 E k, the difference of two whence
elements of S such that the ordinary absolute value of

and

Now
where
A, = (Nq)P(Q'.
hence ordinary absolute value of (b) Residue class field Kq is a finite extension of k, , of degree f.
Then if a is any element of D,

Therefore, with ai E K,; thus there cannot be more than f~ elements linearly
independent over k, modulo qr. But M = cairns, and (Nq)" = cfr;
hence cfr < cairns', i.e. dim S' >fr. Thus there are more than fr
elements of S' linearly independent with respect to k,; these cannot
where A, = 27~'"'. be linearly independent modulo qr. Hence there is a non-zero

Case 3: q is discrete.
Let or, be an element with maximal I a, 1, in S. We replace
<
the set S by S' = Stor,; then every element of S' satisfies I or' I 1,
i.e. the elements of S' lie in the ring of q-integers oq. We can find
an integer r such that
-
element 8 of S such that O/a, is a linear combination of more than fr
linearly independent elements of S', such that this combination is
non-trivial modulo qr and hence such that 8/al 0 mod qr.
As in case (a) we deduce that 1 0 1, < A,x/M~(~).
This completes the proof of Theorem 1 in all cases.
We can now give the desired bound for the order of the elements
in a parallelotope:
 230 XII. CHARACTERIZATION OF FIELDS
Theorem 2: Let S consist of elements a such that I a ,1 < x,
for all p E a , where the x, are fixed real numbers. Let q be a fixed
reasonable prime in W. Then if M is the order of S,
where D, is a constant depending only on q.
Proof: By Theorem 1 there is an element 8 in k such that
Next we estimate / 8 1, for p # q.
If p is archimedean, there is no constant field k,; hence 8 must
be a difference a - b of elements of S. One easily finds a constant p
such that 18 1, < px,.
If p is non-archimedean, whether 8 is a difference of two elements
of S or is itself an element of S , we may conclude that I 8 ,1< x, .
Using the product formula, we obtain
where k is the number of archimedean primes p # q. Finally we
obtain
where D,depends only on q.
3. Description of all PF-Fields
Let k be a PF-field.
We define a rational subjield R of k:
Case 1 : When there are archimedean primes in m, R shall
denote the field of rational numbers.
3. DESCRIPTION OF ALL PF-FIELDS 23 1
Case 2: When there is a field of constants k, , let z be a fixed
element of k which does not lie in k,; define R = k,(z). This is a
transcendental extension of k, , for k, is algebraically closed in k ;
namely, all primes are trivial on k, , and hence on any algebraic
extension k , , i.e. k, C k , .
I n both cases we have already determined all the valuations of R
(see Chapter 1, Section 5); we denote the equivalence classes of
valuations of R by Latin letters, p , q, ... .
Each prime p in W induces on R a valuation p ; we say that p
divides p , and write p I p. We restrict our attention to these primes
p in '%Tl which induce non-trivial valuations in R. A given prime p
in R may have several divisors p in a ; but there can be only a
finite number, for if I a ,1 > 1, then I a 1, > 1 for all p dividingp,
and by Axiom 1 this is possible only for a finite number of p .
p , divide p, all the valuations I are equi-
Clearly if p , , p , ,
valent in R, and 17,,,,,ESn I ,1 is a valuation in the equivalence
class p.
Let p , denote the infinite prime in R. Then contains primes
p , which divide p , :
Case 1: If R is the field of rational numbers, the archimedean
primes in XR divide p, .
Case 2: If R = k,(z), not all primes are trivial on R ; hence
there is at least one prime p , such that I x > 1. This prime
p , divides p, .
We now give a description of all PF-fields.
Theorem 3: A PF-field is either
(I) an algebraic number field, or
(2) a finite extension of a field of rational functions.
Proof: Let a,, a,, a, be elements of k which are linearly
..a,
independent over R. We shall show that r is necessarily finite.
T o this end we consider the set S consisting of elements
where the v, range over all integers of the rational subfield R (i.e.
rational integers or polynomials) such that I vi lpm <
I A 1,-
where A is a given integer of R. Let M be the order of S.
232 XII. CHARACTERIZATION OF FIELDS 3. DESCRIPTION OF ALL PF-FIELDS 233

We first obtain a lower bound for M, namely we prove that
M > 1) A 117pm. To do this we must consider two cases-
Case I : R is the field of rational numbers. Here there are
+
exactly 2 11 A llPm 1 possible values for each vl; hence there are
in all M = (2 I/ A (I, + 1)' elements of S. Clearly M > I/ A llGm.
Case 2: R = k,(x). In this case S is a vector space over k, .
<
If the degree of A is d, each v, has degree d. I t follows that the
+
dimension of S over k, is r(d I), and hence M = ~ ~ ( ~ +but l);
11 A [Ipm = cd. Hence M > (1 A .
We now estimate the size of the parallelotope containing the
set S. For all primes pw , we have I a 1,- <
BPmI A IPm, where
BPmis a constant depending on the elements a, , a,, ..., a,. For
the remaining primes p (which are certainly non-archimedean), we
have
since ( A 1, ,< 1; this value, max I a, 1, , is 1 for all but a finite
number of primes p. Let q be a fixed reasonable prime; then by
Theorem 2 we have
where E is a constant, depending on q and the or, but not on I A Ipm.
We now compare the upper and lower bounds for M, and obtain
Thus r is bounded; hence k is a finite extension of R. This com-
pletes the proof.
Corollary 1: No prime in YJI can induce a trivial valuation on R.
Proof: Suppose p e W induces a trivial valuation on R. Then p
also induces a trivial valuation on every finite extension of R,
in particular on k itself. This contradicts Axiom I.
Corollary 2: Every prime in YJI is reasonable.
Proof: All the primes in R are reasonable. It follows from the
local theory that an extension of a reasonable prime to a finite
extension is reasonable.
Let n be the degree of R. By raising the product formula to a
suitable power, we may assume that E h(pw)= n: from now on
we shall assume that the product formula of Axiom 1 already has
<
this property. Now set r = n in (*); we see that ~ ( q ) 1 where q
<
was a reasonable prime. By Corollary 2, p(p) 1 for all p E YJI.
Let p be a non-archimedean prime of m, which induces a (non-
trivial) prime p of R. Let k*(p), R*(p) denote the completions of k
and R respectively. Let n, , e, , f, denote respectively the degree,
ramification and residue class degree of the extension k*(p) I R*(p).
Then we have the following statements:

and, if a is any element of R,

For any element a E R we may write I a J p m = 11 a @-') where ord, a = ev ord, a.
X(p,) is a certain constant; hence
Now we have already defined the normal valuation 11 1, in the
equivalence class p of R (see Chapter 1, Section 5)-

Now keeping r and the elements a, fixed, and letting 11 A I/,@

tend to infinity, we obtain
We have also
 234 XII. CHARACTERIZATION OF FIELDS 4. FINITE EXTENSIONS OF PF-FIELDS 235
Hence Theorem 4: Let k be a PF-field, R its rational subfield. Then
(a) the set W consists of all primes p in k which divide all the
primes p of R ;
The same result is easily verified when p is an archimedean
prime. Hence for all primes p E Im and all a E R, we have (b) for each such prime p, XplPn, = n;
(c) the valuations I , 1 which occur in the product formula
(raised to a power if necessary to make C h(p,) = n) are precisely
the normal valuation 11 1 , .
We now apply the product formula of Axiom 1 to the elements
of R:

n I I,=n(n'
a I I,)=n(nl
11 a a~:vp(v))
4. Finite Extensions of PF-Fields

We shall now show that every finite extension of a PF-field is

again a PF-field. Since the rational number field and fields of
rational functions are PF-fields, this will prove the converse of
where the accents mean that the product or sum is taken for all the Theorem 3, namely that all algebraic number fields and algebraic
primes p E 101 which divide p. We thus obtain a product formula function fields are PF-fields.

Lemma 1 : Let k be a field which satisfies Axiom 1; let F be a

subfield not consisting entirely of constants. Then Axiom 1 holds
in F for the set 8 of primes p induced by those p in W which are
in the rational subfield R. In Chapter 1, Section 5, however, we non-trivial on F.
saw that in such a formula
Proof: We define I a 1, = IT I a ,1 where a E F , p E X and the
(a) all primes p of R must appear, accent denotes that the product is taken over all p E W which
(b) the exponents C' n,p(p) are all equal. divide p. We remark that this cannot be an infinite product, and
Let 8' n,p(p) = d; d is a constant. When p = p, we already have hence I a , 1 is a well-defined valuation in the equivalence class p.
Clearly
1 a *,I = 11 a 11nwm
9 P'pm' = 1 1 a llh(Pa).
Hence
Thus Axiom 1 holds in F.
We may remark that if k I F is a finite extension, no prime of 9.R
<
Since p(p) 1, we have C,,, n, 2 n. But we have already seen can induce a trivial valuation on F. In this case, therefore, 8
that C n, ,< n, where this summation is extended over all primes consists of all valuations induced on F by primes in W.
in k (not only in Im) such that p I p. We conclude (1) 101 includes
all primes p of k which divide p, and (2) ~ ( p =
) 1. We sum up our Theorem 5: Let k be a PF-field, E I k a finite extension. Then
results in E is also a PF-field.
 236 XII. CHARACTERIZATION OF FIELDS 4, FINITE EXTENSIONS OF PF-FIELDS 237

Proof: It follows at once from the Local Theory that an
extension of a reasonable prime to a finite extension is also reason-
able. Hence Axiom 2 holds in E.
It will be sufficient to prove that Axiom 1 holds in E when E is an
automorphic extension; for if Axiom 1 holds for an automorphic
field containing E, then, by the Lemma, it holds in E also.
So let E I k be automorphic, with defect pZ and automorphisms
a, T, -... If a E E, then
N (a)= IT (Q" = a E k.
a they are also trivial on E contrary to Axiom 1. Hence E, cannot
Theorem 6: Let k be a PF-field with no archimedean primes.
Let E be a finite extension of k . Then, if E, , k, are the constant
fields of E, k respectively, Eo is the algebraic closure of k, in E.
Proof: Clearly every element of E which is algebraic over k,
lies in E,. On the other hand, k I k , has transcendence degree 1,
and since E is a finite extension of k , E I k, also has transcendence
degree 1. Thus if c is an element of E transcendental over ko ,
E I ko(c) is an algebraic extension. Hence if c E E, , E I Eo is alge-
braic; and therefore, since all valuations of m ( E ) are trivial on E, ,
contain any element transcendental over k, .

Let 'p be some extension of p to E; then

thus Axiom 1 holds in E. This completes the proof.

The following remark about the situation of Lemma 1 will be
useful in the sequel:

Lemma 2: If F, is the set of constants under %, then

F , = F nk,.
Proof: Clearly F n k, C F, .
On the other hand, if I a ,1 < 1 for a E Fand all p ER, then
clearly I a ,1 < 1 for all p E %X which divide primes of %. Since
the other primes in % arelltrivial on F, we have I a 1,< 1 for all
p E %, and hence a E F n k, .

CHAPTER THIRTEEN
Differentials in PF-fields
1. Valuation Vectors, Iddes, and Divisors
Let k be a PF-field. We form the completions k*(p) for all the
primes p in the set XJt. Let P be the Cartesian product of all these
completed fields; P consists of vectors
with one component Ep from each k*(p). P forms a ring under
component-wise addition and multiplication. I t is easy to see that
the mapping
a+ (a,a, a, "')
form a multiplicative subgroup I of V; the element of this subgroup
are called idiles. I contains a subgroup isomorphic to the group of
non-zero elements of k.
We define a topology in the ring of valuation vectors by means
of the iddes. If a is an idkle, we define the parallelotope 17, of V
to consist of the vectors 5 in V for which 1 5 1, <
/ a I,. These
parallelotopes are taken to form a fundamental system of neigh-
borhoods of zero in the additive group of V. This defines the so-
called restricted direct product topology on V; this is not the same
as the topology induced by the ordinary Cartesian product topology
in P.
We recall the definitions of some topological notions:
Ajilter in V is a family 5 of sets such that:
(1) Every set containing a set of 5 is itself a set of 5.
(2) Every finite intersection of sets of 5 belongs to 5.
(3) 5 does not contain the empty set.
8 is a Cauchy jilter in V if, in addition, given any IT, , there exists
a vector ( , such that 5, $ I?, is a set of 5.
A Cauchy filter 5 is said to be convergent, with limit (, if there
+
is a vector 5 such that 5 17, is a set of 5 for all parallelotopes 17,.
Finally, V is complete if every Cauchy filter converges.

is an isomorphism of k into P. If 5 is any element of P, we define Theorem 1: V is complete in the restricted direct product
I 5 Ip to be I E p ,I topology.
We now define the subset V of P consisting of vectors 4 for
which Proof: Let 5 be a Cauchy filter in V; let 5, be the filter induced
(by projection) on the component space k*(p). Since each k*(p) is
I [ ,1 < 1 for almost all primes p. complete, each filter 5, is convergent, with limit a, .
This subset is a subring of P , and it contains the isomorphic We show first that / a, 1, < 1 for almost all p. Let 17, be a fixed
replica of k. V is called the ring of valuation vectors: we shall parallelotope with ~rojectionN, on k*(p); let 5, be a vector of V
sometimes write V(k) instead of V when it is necessary to empha- such that 5, + +
is a set of 5.Then (5,) N , is a set of 5, , and
size that we are dealing with the valuation vectors associated with a hence contains a, . By the definitions of parallelotopes and valuation
particular field k. vectors, N, is the unit circle for almost all p, and I <,1, ,< 1 for
T h e vectors a of V, for which almost all p. Hence, for almost all p, the unit circle is a set of 5,
and therefore I a, ,1 < I for all but a finite number of p. T h u s
for almost all primes p, a = ('-., ap , .") is a valuation vector.
IaIp=1
We claim now that a is the limit of 5. Let 17, be a fixed parallelo-
I a ,1 #0 for all primes p, tope, and let +
be so chosen that U b 17, C17,. Let 5 be a
238
240 XIII. DIFFERENTIALS I N PF-FIELDS 2. VALUATION VECTORS IN AN EXTENSION FIELD 241

+
vector such that 6 lIbis a set of 5 ; then (t), +
(lib), contains A divisor (or ideal) a = n p r p is said to be integral if p, >0
+ +
a, . It follows that a E 5 Db, and so 6 E a lib . Now we have for all p. Let b = n p v v be any divisor (ideal), and define

+
a set of 5.Hence a lI, is a set of 5 ; i.e. 5 converges.
If a is an idkle, we may define its absolute value
Then b = b1b;l = blib,; we naturally call bl the numerator and
b, the denominator of b. Thus any divisor (ideal) can be expressed
as a quotient of integral divisors (ideals).

Then I a ( may be regarded as the volume of the parallelotope 17, . 2. Valuation Vectors in an Extension Field
If a is an idkle, a = a, , ...), then aa = ( - - - ,aa, , ...) is also
(..a,

an idkle, and we have Let k be a PF-field; let K I k be a finite extension of degree n.

by the product formula. Hence the parallelotopes l7, and 17,, have
the same volume.
We see that when we describe a parallelotope by means of an
idde only the absolute values of the components play a role, not
the actual components. This suggests that in order to describe
parallelotopes we need merely prescribe an absolute value, or an
ordinal number, for each prime p. T o this end we introduce formal
symbols
with v p = 0 for almost all primes p. In the case of algebraic function
fields the product is extended over all primes p, and a is called a
divisor. In the case of algebraic number fields the product extends
only over the finite primes, and a is called an ideal. It is easy to
see that each idkle a defines a unique divisor (or ideal) which we may
also denote by a:
We adopt the following notation:
V(k), V(K) shall denote the rings of valuation vectors in k, K.
a, shall denote the idkles of k, K.
17, , 17,' shall denote the parallelotopes of V(k), V(K).
V(k) can be mapped naturally into V(K) as follows: map 6 E V(k)
onto the vector whose '$-component is 6, , whenever $!3 divides p .
Since 5, E k*(p) C K*('$), and since there is only a finite number
of primes dividing a fixed p in k, the image is indeed a valuation
vector. It is easily seen that this mapping is continuous in the
restricted direct product topologies of V(k) and V(K).
Our aim is to give a description of the space V(K) in terms of
V(k).For this purpose we introduce the space
V n= V(k) x V(k) x x V(k)
and its subspace
kn = k x k x ... x k.
We choose a fixed field basis for K I k: w 1 ,w , , .--,
wn , and define
+
the mapping : Vn -+ V(K) by writing

+(ti 2 52 ...,5,) =5 +
1 ~ 1 + +
6 2 ~ 2 4 n ~ n

Then +(Vn) C V(K) and +(kn) = K ; + is easily seen to be a con-

Similarly every element a E k defines a divisor (or ideal). If a is a tinuous mapping.
fixed divisor (or ideal) of k, the set of all divisors (ideals) of the
form aa is said to form a divisor class (ideal class). Lemma 1: +(Vn) is everywhere dense in V(K).
242 XIII. DIFFERENTIALS IN PF-FIELDS 2. VALUATION VECTORS IN AN EXTENSION FIELD 243

Proof: Let X be an element of V(K), ITa' any parallelotope; We now show that if k is any field in which the lemma holds,
we have to prove that there is an element Y in q3(Vn) such that then it holds also in any finite extension K of k. Suppose therefore
X- Y E 172r'To . this end we construct a non-empty set S' of that in k we have V(k) = k nb. Then +
primes p in k, containing at least (1) all archimedean primes, (2)
all primes p which possess an extension '$ in K for which either
l X I @ > lor lal,# 1.
Let S be the set of all primes of K which are extensions of the But q3(nbn)is contained in a parallelotope 17,' of K, for
primes in S'.
S contains only a finite number of primes, so by the Approxima-
tion Theorem we can find an element a E K such that
where MIJ depends only on the w , . Since q3(Vn) is everywhere
I-XIrpG IBI@ dense in V(K) we have V(K) = +(Vn) 17,and hence +
for all !l3 in S. Let

where II,' 317,' + 17,' . This completes the proof of the lemma.
then define vectors tl, t, , ..., tnin V(K) by writing (ti)@= ai
for '$ E S, and (ti)$ = 0 for '$ 6 S. Then Lemma 3: The mapping + is bicontinuous.
Proof: We have already remarked that 4 is continuous. Let
l7: be a fixed parallelotope in V(K) and let X be an element of
is a vector of V(K) such that X - Y E &'. q3-l(C fl +(Vn)); i.e. X E Vn and $(X) en,'. We have to show
This completes the proof. that X is contained in 17: where nais a parallelotope of V(k).
Since V(k) = k +
, we can write X = Y Z where Z E kn +
Lemma 2: There exists an idtle 6 such that l7, + k = V(k). and Y E IIbn,so that +(Y) is in a fixed parallelotope nB1.
Now +(Z)
lies in K, and
Proof: We prove the theorem first for the rational subfield R.
Let [ be a valuation vector; then tPE k*(p). We have seen that
tPmay be written as a power series in p with integral coefficients
(when p is non-archimedean); when R is the field of rational where n2'is a parallelotope of V(K) independent of X. We have
numbers, tPm =m + <
7, where m is an integer and 0 17, < 1. seen, however, (Cf. Ch. 12, Thm. 2) that the totality of all such
#(Z) is either finite, or else a finite dimensional vector space over
We define the principal part of $. at a prime p to be
K O ,hence over k, . It follows that Z lies in a fixed nCn and hence
( p non-archimedean), X =Y +Z C l I ~ f l 7 ~ C s o m e L f ~ .
Thus if
81% + ... + 5,w.n en;,
Write a = 2, Prp(t). Then a E R. If = a + 7 we see that r] then 6, , tn~ l . 7Finally
~ let c be any idhle; we see that if
+ Ill. This proves
a*.,

lies in the parallelotope n, . Hence V(R) = R

the lemma for the rational field.
244 XIII. DIFFERENTIALS IN PF-FIELDS 4. DIFFERENTIALS IN THE RATIONAL SUBFIELD 245
then This is the required result.
tt1, "', ~ 5 E%c&. Let V be any vector space over an arbitrary field ko , of finite
This shows that 4 is bicontinuous. dimension n. Then it is well known that the linear KO-homogeneous
+
From this it follows that is a (I, 1) mapping, and hence a mappings of V into KO form a vector space p, which is also of
v
dimension n over KO; is called the dual space of V.
homomorphism. For suppose
Theorem 4: Let K be a finite extension field of ko . Then
Then, since 4 is bicontinuous, all the ti lie in every parallelotope, I? is a one dimensional K-space.
however small; hence, since V(k) is Hausdod, all the & are zero. Proof: I? consists of the linear KO-homogeneousmapping of K
Thus (b is (1, 1) and bicontinuous. Since V(k) is complete, Vn is into k, . Let A, be an element of I? such that A,(t) is not identically
complete and so +(Vn) is complete. Hence +(Vn) is closed. But zero. We shall show that every element of I? can be expressed as
#(Vn) is everywhere dense. It follows that 4(Vn) = V(K) and we A(f) = hO(af) where a is an element of K. Clearly every such
have function A(() is an element of I?. On the other hand, we shall
show that if tl , t, , tnform a basis for K, then AO(tlt), ho(5&),
Theorem 2: V(K) is isomorphic to V(k) x k K both topolog- .--,A,((&) are linearly independent in K over k,, and hence
ically and algebraically. form a KO basis for I? since dim I? = dim K = n. T o this end we
notice that if ;\,(at) = 0 for all .$ E K then a = 0; for if or # 0
then lies in K, and hence
3. Some Results on Vector Spaces

Let X be a vector space over an arbitrary field KO. Let Y be a for all 5 contrary to hypothesis. Now we have
subspace of X. The KO-dimensionof the factor space X / Y will be
denoted by (X: Y ) k o .When we may do so without causing
confusion we shall omit the subscript k, .

Theorem 3: Let A and C be subspaces of the same vector

space. Let B be a subspace of A. Then Hence the AO(&f)are linearly independent over KO. Thus every
(A:B)=(AnC:BnC)+(A+C:B+C). element h in I? can be written in the form

+
Proof: We map A onto (A C)/C by mapping or E A onto
+
the coset a C . The kernel of this mapping is A n C. Hence

( A :B + ( A n C ) )= ( ( A + C)/C : ( B + C)/C)
=(A + C : B + C). This completes the proof.
Further,
+ + +
( A : B) = ( A : B ( A n C ) ) ( B ( A n C ) : B)
4. Differentials in the Rational Subfield of a PF-Field
=(A+C:B+C)+(AnC:Bn(AnC)) Let k be a PF-field. Then by Theorem 3 of Chapter 12, k is
=(A+C:B+C)+(AnC:BnC). either:
246 XIII. DIFFERENTIALS IN PF-FIELDS 4. DIFFERENTIALS IN THE RATIONAL SUBFIELD 247

(a) a finite extension of the field of rational numbers (briefly, Proof: Let p(1/2") = an/2,, where - & < an/2" < and a,
a number jield); or is real. Since p is continuous,
(b) a finite extension of the field of rational functions in one a, = 0.
lim -
variable x over a constant field k, (briefly, a functionjield). n+m 27'
We introduce the following notation: R shall denote (a) for Now,
number fields, the field of rational numbers and (b) for function
fields the field k,(x). (In both cases we shall call R the rational
subJield as in Chapter 12.) = p (0) =- 0 (mod 1).
P shall denote (a) for number fields, the field of real numbers;
and (b) for function fields, the completion of ko(x) at p, . Thus (a,,, - an)/2, is an integer. But
r shall denote (a) for number fields, the additive group of real
numbers modulo 1, with the natural topology; and (b) for function
fields, the constant field ko with the discrete topology.

-
N shall denote (a) for number fields, a fixed sufficiently small Hence a,,, = a, for all n some fixed N. We write a, = - a
neighborhood of zero in r. For definiteness we take (- 3, 4). for n > N. Then p(1/2n) = - a/2%, and by the additivity,
(b) for function fields, the zero element of k, . p(r/2") r - ar/2" for all n 2 N. Hence we have , ~ ( 1 / 2 ~ )- (1112"
A differential of k is now defined to be a continuous linear map h for all n. It follows that p(x) E - ax for all rational dyadic frac-
of the ring V(k) into r such that h vanishes for elements in k. tions x, and hence by continuity
When k is a function field, h is further required to be ko-homo- p(x) - ax (mod 1)
geneous.
I n both the number field and function field cases this definition for all real numbers x.
implies the existence of a parallelotope 17, in V(k) such that
A(&) C N. I n the number field case the elements of a parallelotope Lemma 6: In the function field case, let p(5) be a continuous
& do not form an additive group. We therefore define the set linear, KO-homogeneousfunction of P into r such that p(5) = 0
if 5 is an integer of R. Then p(5) = Residue at p, of (f(x) 5)
where f(x) is a fixed polynomial.
Proof: The continuity of p implies that p(x4) vanishes for all
where 5, is the valuation vector with component 1 at all non- large enough n, say n > N.
archimedean primes and component zero at all archimedean primes Let
(thus for function fields 172 = K ) . The set 1 7 , O is an additive
group. Its image h(naO)is also an additive group, and is contained
in N. But N contains no subgroup of r other than the zero element,
so h(17,0) = 0.
We must now prove separately for the number fields and
function fields two lemma concerning the linear maps of P into r.
Set p ( ~ - ~=) - ci . Then
Lemma A: In the number field case, let p(x) be a continuous
linear map of P into r.
Then p(x) E - ax (mod I), where a is p(t) = cl Res, a (6) + c, Res, a (xt) + + c, Res, a (xn-lt)
a fixed real number. = Re%,,, ( f ( 4 0,
248 XIII. DIFFERENTIALS IN PF-FIELDS 4. DIFFERENTIALS I N THE RATIONAL SUBFIELD 249

where Now let p be a differential, and let a be an idde such that

f (x) = C1 + c,x + + c,xN-l.
We investigate first of all the differentials in the rational field R.
Let ( be a valuation vector of V(R), ( , its component at a finite
prime p. We may write ,8 in the form
p(na) C N. We can find an element a E R such that ord, a = ord, a
at all finite primes?. Hence ITa = IT,, where u is a valuation vector
with component 1 at all finite primes and suitable component at
infinite prime.
We define p(() = p(a(). Then p is also a differential and

where 1 vp' Ip < 1. Hp(5) = 0 for all but a finite number of Clearly p(R;O) = 0 and hence p(v) = 0. Since a ER and p is a
primes p. Thus a = 2 H,(() is an element of R. We define for differential, p(a) = 0. Hence
each finite prime p

since 5, is only unique modulo 1, and p(f) is unique. I t follows that

and form the valuation vector v which has components rl, at the p(5) is a function of 5, such that p(m) = 0 for all integers m. p(5)
finite primes and components 0 at the infinite prime. We may now is linear and continuous since the map of ( -t 5 is linear and con-
write tinuous. Hence we may apply Lemmas A and B. Lemma B gives
us immediately for the function field case
E=a+v+5,
with 5 component 0 at the finite primes and suitable component
5, at the infinite prime. Suppose ( may also be written in the form In the number field case, Lemma A yields
p(5) = - a5, (mod 1).
Then (a - a') has at every finite prime the same component as Here we must apply the additional condition that p vanishes on
9' - 7, i.e. integers. Putting 5, = 1 we see that a r 0 (mod I), i.e. a must be
Ia-a'Ia=lq'-rllD<l an integer.
We now define the mapping A(()
for every finitep. Hence a - a' is an integer of R. Conversely, if m
is any integer of R, we can write X(l) = - 5m (mod 1) (for number fields),
h(l) = Res (5m) (for function fields).

where m' has component m at every finite prime and component
zero at the infinite prime, while m" has component m at the
infinite prime and zero component elsewhere. I t follows that the
mapping
5+ 5,
is defined uniquely modulo 1.
Then A is a differential. It is easily seen that A vanishes on field
elements, and the continuity of A is proved as follows:
(a) For the number field case, consider the parallelotopell,, ,
where E' is the idde with component 1 at all finite primes and
component E at the infinite prime. For f E flE, we have
250 XIII. DIFFERENTIALS IN PF-FIELDS
Then A([) = h(5,), which can be made as small as we please by
suitable choice of E . Thus h is continuous.
(b) In the function field case, h clearly vanishes on the paral-
lelotope 17,., where E' has component 1 at all finite primes and
ord,, E' > 2.
We have therefore proved the existence of differentials for the
rational field R. We now deduce two important properties:
Property I: The differentials of R form a 1-dimensional R-space.
Let p be any differential; then we have
where m is an integer and a E R. Thus p([) = h(m/a [). This
proves Property I.
Property 11: There is an upper bound to the parallelotopes 17,
for which p(l7,) C N, where p is any differential of R.
By Property I, it is clearly sufficient to consider the special
differential A. Suppose A(&) C N. Then, since h(L!lo) = 0, we
have h(n, + +
G o ) C N. Now if [ E 17, 1&0, then ord, [ min >
(0, ord, a) for all finite primes. Thus we may already assume that
<
o r 4 0 for all finite primes.
Suppose ord, a < 0 for a certain finite prime. Then clearly,
if m is any integer of R, the vector
(with component zero at the infinite prime) lies in naO.
But
and hence A ( [ ) = m/p (mod 1) in the number field case, and
in the function field case. In the first case we can certainly choose m
a.
such that m/p > In the second case Res xf-l/p(x) # 0 where f
is the degree of p(x). In both cases we have obtained a contradic-
5. DIFFERENTIALS I N A PF-FIELD 25 1
tion to the statement that 6 E 17.: Thus we must have ord, a = 0
for all finite primes. Hence 17, C a O (0,0,+ E ) where E is
a*.,
chosen so that A(&) C N. In the number field case, I E 1 <
and in the function field case ord,, E 2 2. Thus in the function
field case 17, C17,: . This proves Property 11.
Corollary: There is a maximal parallelotope 17, such that
h(I7,O) = 0.
5. Differentials in a PF-Field
Now let k be a PF-field. We shall prove the existence of differen-
tials in k, and shall show that the differentials in k also satisfy
Properties I and 11. The proofs do not use the special properties of
PF-fields, and hold for any finite extension k of a field R in which
differentials exist and satisfy the two properties.
So let k be a finite extension of R. In the function field case we
assume that k and R have the same constant field. Let w, , w,,
.a-, w, be a basis for k/R. Then if X E V(k) we can write
where the tiare valuation vectors of V(R). Let p be a differential
of k. Then
The functions p([pi) are continuous linear (and in the case of
function fields KO-homogeneous) maps of V(R) into I'. Since
awi E k, p(awi) = 0 and hence p(<wi) is a differential of R. Thus
p([wi) = X(ai[) where ai E R. Finally we have
Conversely for arbitrary ai E R, the map
is a differential of k. Indeed p is certainly a linear map, and clearly
vanishes for elements of k. p is continuous since the topology on
 252 XIII. DIFFERENTIALS IN PF-FIELDS 5. DIFFERENTIALS I N A PF-FIELD 253

V(k) is the Cartesian product topology on V(R)n. (See section 2)

We have therefore proved the existence of differentials in k.
Then the maps ( X ) = , may be written in the form
li(X) = I(or,X) with or, E k. Now suppose
Theorem 5: If k is a PF-field, then the differentials of k form
a 1-dimensional k-space.
Since 1(X) = I,(or~lX),this implies that for all i
Proof: Let I, be a non trivial linear, R-homogeneous map of k
into R. Such maps certainly exist. For example, the maps

Suppose X E q-117,' for i = 1, n. Then X 17,' C arl 17,' for

a*.,

are of this type. When k/R is separable we have even an invariant
map of this type, the trace Ski, .
Let I be any linear R-homogeneous map of k into R. Then by
Theorem 4, we have I(a) = lo(@) were /?is an element of k depend-
ing on I. Suppose that l(w,) = a, . Then
We can now extend I to a linear, V(R)-homogeneous map of V(k)
into V(R), which we still denote by I. We define
all i, where R;' denotes the unit parallelotope in V(k). It follows
that
X(l,(XG)) = Xi(L!:li(X)) = X(rr,'[J C N.
Now 17,' & is a parallelotope in V(R).From our previous investiga-
tion it follows that & is contained in a fixed parallelotope of V(R).
Hence
x=~&Wtcl7~,
where 23 is fixed. We have now

This extended mapping is unique, and clearly l(X) = I,(/?X).

On the other hand every linear, V(R)-homogeneous map of V(k)
into V(R) can obviously be obtained in this way. Now we have Hence
seen that if p is a differential of k, then p(X) = X(I(X)) where I
is a map of the type we have been considering. Hence

This proves Theorem 5.

Thus n,' Cn;, where fl,' is a fixed parallelotope of V(k). This
Theorem 6: If k is a PF-field and p is any differential of k, completes the proof of Theorem 5.
then there is an upper bound for the parallelotopes IT,' such that
If $. is a valuation vector in V(k), we may write
~(17,') C N, and hence p(17L0) = 0.
Proof: Let w, , w , , ..., on be a fixed basis for k/R. We have
seen that p(X) = A(l(X)) where I is a certain linear map of V(k)
into V(R). Let where $., is the valuation vector with the same p-component as 5
and the component zero at all other primes.
254 XIII. DIFFERENTIALS N
I PF-FIELDS

Let p be a differential of k. Then we define p,(() to mean vanishes for field elements, for if = a E k, we have A(a(,) = 0
~(5',). since 4 -+ A(a() is a differential. Hence there is an element fl E k
such that A(to() = A(/3(). By the previous theorem,
Theorem 7:

for all primes p, i.e.

Proof: Since p is a differential there is a parallelotope II, such

-- 81, tp) =0

that p(I7,) C N and hence p(17,0) = 0. We may write for all p and hence ( t o - B), = 0. So to= fl.

with 6. The Different

Let k be a PF-field. K/k a finite extension. I n the function field

case we shall assume that K and k have the same constant field.
For p # pi , (, lies in 17,0 and hence p((,) = 0. Thus Let o, , o, , w, be a basis for K/k. Then every valuation vector
..a,

X E V(K) can be written uniquely in the form

Now
where the & are valuation vectors of V(k). Let A be a fixed non
trivial differential of k. Then if p is any differential of K, there
exists a continuous linear V(k)-homogeneous map I of V(K) into
This completes the proof. V(k) such that 1(K) C k and
Let p be a fixed prime, and suppose p,([) = p((J = 0 for all f
having ord, (, 2 v, . Changing the p-component of a to pl'v we
obtain a set lAOon which p ( G o ) = 0. Since the parallelotopes 176 Since K is also a PF-field we may write
such that p ( a 0 ) = 0 are bounded, it follows that v, is bounded
from below. Thus p,(f) is not identically zero. From this we deduce

Theorem 8: If A and p are differentials, then A(() = p(() for

all 5 E V(k) if and only if A,(() = pp(() for all 5 E V(k) and one NOWpV(X) = p(X@)where X q is the valuation vector with the
prime p. same P-component as X and component zero at all other primes.
We write
Theorem 9: If p(So) = 0 for all differentials p of k, then Xv = &wl + 52% + + "' Snwn -
50 E k. The Q-components of Xp are derived from the q-components of
Proof: Let X be a fixed non trivial differential. Then A((,() is the &where f2 I q. Thus if any of the [$ have non zero q-components
also a differential-it is clearly a continuous linear map, and it for q # p these may be replaced by zero without altering X 9
 256 XIII. DIFFERENTIALS IN PF-FIELDS
(which has zero component for q # 9). But since the representation
of XI, in this form is unique, it follows that all the & have compo-
nent zero except at p. Now
where I ( o J = ai . Hence Xrp
has zero component except at p. Then
Let K*(9), k*(p) denote the completions of K, k at 9 , p respect-
ively. Let DI, , D, denote the rings of integers in K*((P), k*(p).
We define the inverse I-!&different a$, by the relation
XI, E z),$ if and only if I(XqDcp)C o, . hence % = aDl. We have therefore proved
Now let P(X) = h(I(X)). Let 17,-1 ,17,-1 be the maximal parallelo-
topes in V(K), V(k) such that p(17&1) = 0, and A(17:-1) = 0.
(It will become clear in a moment why we denote the parallelotopes
by lI,,-, &-, rather than IT, 17,). Let 'U = 17VW, a = ll pvv.
Then
This statement defines precisely the power 9 % of 9 occurring in
3. We have now
Hence a@?,is a fractional ideal in K*(p), namely V'Copvp. We
can now define the 1-9-dilgerent Dpt:
Since a and a are divisors (or ideals), prpand v, are zero for all but
a finite number of primes, i.e. a,,, = DFpfor all but a finite
number of primes 9.
We may therefore define the 1-different in the large:
Thus Dl is a divisor in the function field case, an ideal in the num-
ber field case. We have
Theorem 10: If P(X) = h(l(X)) as above, and if 17& .l7:-1
are the maximal sets of this form on which p, h respectively vanish,
then % = aD,.
We now consider the case of a separable extension K/k. The trace
SKlk is here a non trivial linear map of K into k and may be extended
to V(K).We now show that the S-9-different, defined as above,
is identical with the different of the local extension K*(p)/k*(p)
as we defined it in Chapter 5. T o this end we denote SK*('4)lk*(p)
by SS,and prove
Theorem 11: Let K/k be a finite extension, p a prime in k. If or
is any element of K,
Proof: If K/k is inseparable, the result is trivial. We therefore
suppose that K/k is separable.
 258 XIII. DIFFERENTIALS IN PF-FIELDS

We notice first that if the result holds for extensions Elk and Hence
K/E then it holds for KIA. We denote the primes in E by q,
by Sg , and SK*(q)/E*(rg)
SE*(g)lk*(p) by S,'. Then we have [S(X)]= 2 (53,
i @IP
~,(%)

I n particular we obtain the result

It is therefore sufficient to prove the theorem for K(a). Let We have

f(x) = Irr (a, k, x ) and let the decomposition of f(x) into irreducible Now consider the S-!@-different
factors in k*(p) be

If gi(x) is of degree ni and has a root ,!Ii , then k*(p)(pi) is one of

the fields K*(P) with 9 dividing p . Each field K*('@)is obtained
from one of the factors of f(x). Since I;,,, ni = n, it follows that
all vi = 1. The theorem then follows by comparing the second
coefficient on both sides of equation (*).
By comparing the constant terms on both sides of (*) we obtain
another result which we shall require later:
where Dv is the diierent of K*(q)/k*(p)as defined in Chapter 5.
Thus
P9.s = 9'0.
By the argument of Theorem 10 it follows that 3 , = DIDfor
almost all primes p, and hence by Theorem 2 of Chapter 5, we have

Theorem l l a : Theorem 12: If K/k is a separable extension, there is only a

finite number of ramified primes.
The S-different of K/k which is simply called the diflerent of
the extension is 3) = Up9%.Hence 3) is a divisor (ideal) of K.
Corollary: If S is extended to a map of V ( K )into V(k),then

Proof: If

then we define
 1. PARALLELOTOPES IN A FUNCTION FIELD 26 1

is the least common multiple of a and b. Similarly

&+&=a,
where
CHAPTER FOURTEEN

The Riemann-Roch Theorem is the greatest common divisor of a, b.

We may define the absolute value of a divisor a to be

In this chapter we offer two proofs of the Riemann-Roch Theo-

rem. We shall see that both proofs depend largely on three results:
where
+
(1) There exists an idde b such that k IIb = V ( k ) .
(2) The differentials in a field k from a 1-dimensional k-space.
(3) There is an upper bound to the sets 172 on which a given
differential vanishes.
n(a) is called the degree of a. Clearly
In the first proof we make use of the fact that we have already
proved those statements in Chapter 13, both for number fields and 4a,a2) = 4%) + n(a21,
function fields. The second proof is entirely self contained and
includes alternative proofs of these results for the function field and by the product formula, n ( a ) = 0 for all or in k. Hence
case.

1. Parallelotopes in a Function Field

that is n(a) is an invariant of the divisor class of a. We notice also
<
that if a divides b , then n(a) n(b).
Let k be a function field, k, its constant field. Let a be a divisor: The ring of valuation vectors V , the field k, and all parallelotopes
a= n, pVp. a defines a parallelotope I7, consisting of vectors II, may be regarded as vector spaces over the constant field A,.
If A and B are any two spaces over KO we shall denote by (A : B)
6 E V (= V(k)) such that ord, 5, 3 v, . If or is an element of k,
the valuation vector a = (a*.,or, a , -..) lies in I&if and only if the KO-dimensionof the factor space AIB.
ord, or 2 v, for all p. It is natural to say that a divides or. Similarly,
Lemma 1: If a I b , then
let b = P ~ Pbe a second divisor, defining the parallelotope I&.
Then 17, contains I& if and only if p, 2 up for all p. We say a (na:nb)= n(b) - n(a).
divides b, written a 1 b.
I t is easily seen that Proof: It is sufficient to consider the case where b = ap. Then
nannb= n c ,
where
 262 XIV. THE RIEMANN-ROCH THEOREM 2. FIRST PROOF 263

where o, denotes the ring of integers, n a prime element in k*(p). We must first show that 1(b) is finite for all divisors b. T o this end
It follows that we use the result (see Chapter 13, section 2) that there exists an
(17, :17,) = (ord, b - ord, a)f(p) +
idble a, such that no, k = V . We select a divisor a such that
= n(b) - n(a).
17. = + l7, . Then certainly a divides b and we have, by for-
mula (*)
We now define the function m(a) to be the dimension over k,, +
n(b) - n(a) = m(a) - m(b) (V : nb k ) +
of the space 17,n k . It follows from Chapter 12 that m(a) is finite +
= m(a) - m(b) l(b).
for all divisors a. We shall now show that m(a) is an invariant of the
divisor class of a. We have Thus l(b) is finite, as we set out to prove. We may therefore rewrite
the formula (*) as follows:
m(aa) = dim ( n u , n k ) = dim ( d o n ak)
= dim (l7,n k ) = m(a),

since multiplication by a. ( # 0) is an isomorphic map both of Hence when a divides b we have

and of k as k , spaces. Thus m(a) is a function of the divisor classes.

Lemma 2: If n(a) > 0, then m(a) = 0. Now let a and b be any two divisors, b their greatest common
Proof: If there is a field element or # 0 in the parallelotope divisor. Since b ( a and b I b we have
lIa , then ord, a 2 ord, a for all p . Hence n(a) 2 n(a). But by the
product formula, n(a) = 0. If n(a) > 0 it follows that there can be
no non-zero field element in the parallelotope 4 ,i.e. m(a) = 0.
Now let a divide b, so 3 lib . We apply Theorem 3 of Chap-
ter 13 to the case where A = &, B = I& and C = k . This yields
We see that the value of n(a) + m(a) - l(a) must be an invariant
of the field k. We write

Hence we have and we define g to be the genus of the field.

If we consider the parallelotope defined by the unit element 1
of k we have n(1) = 0 and m ( 1 ) = 1. The latter result is a conse-
From this formula we proceed to prove the Riemann-Roch Theo- quence of the product formula which shows that the only field
rem. elements in 17,are the elements of k , . We have therefore

2. First Proof +
whence g = l ( 1 ) = ( V :17, k ) . This shows in particular that
the genus is a non-negative integer.
For each divisor b we define the function I@): +
Since m(a) 2 0, we have l(a) 2 n(a) g - 1. Hence by choosing
a such that n(a) is large enough we can make l(a) as large as we
+
Z(b) = (V :nb k). please.
264 XIV. THE RIEMANN-ROCH THEOREM 3. SECOND PROOF

We have now to interpret the function l(a). Let U denote the

factor space V/(& + k). Then [(a) = dim U = dim 0 where Z?
is the dual space. If h is any linear map of U into ko we may regard A
as a linear map of V into k, such that A vanishes on 17, k, i.e.+
we may regard h as a differential of k vanishing on 17,. Conversely
each differential which vanishes on & gives rise to a linear map of V
into ko . Thus l(a) = dim tf = dimension (over KO) of those dif-
ferentials of k which vanish on IT, .
Now let A(.$) be any non trivial differential. By Theorem 6 of
Chapter 13, there is a maximal parallelotope 17,-1 on which
vanishes: A(n,-l)= 0. By Theorem 5 of Chapter 13 any other
differential p(5) may be written in the form p(() = A(&() with
a E k. Clearly the maximal parallelotope on which A(&) vanishes is
I7,-1,-1. Thus the divisors describing the maximal parallelotopes
on which differentials vanish belong to a fked divisor class,
which is called the canonical class, or the class of dz~erentials.
Now let p(.$) = h(cr5) be a differential which vanishes on IT,.
Then we have 17, Cn,-,,-, , i.e. c l 9 - l divides a. Hence aaD is
an integral divisor, so cr E IT,-I,-I n k. Conversely for each
a E ~ , - I , - , n k , h(a5) is a differential which vanishes on IT,. It
follows that
Hence
We now recall Lemma 2 which shows that if n(l/aD) > 0, iae.
if n(a) < 2 - 2g, then m (l/aD) = 0. This yields
Corollary: +
If n(a) < 2 - 2g, then n(a) m(a) = I - g.
This result is known as the Riemann part of the Riemann-Roch
Theorem.
3. Second Proof
The second proof starts from the formula (*) of section I.
Again our first step is to define 2(a):
We have to prove i(a)is finite, and to this end we study the function
( a ) = - m a ) - ( a ) . I t is clear that r(a) is a class function, and
if a 1 b then r(a) > ~(b). (The first remark is obvious, and the second
follows from formula (*).)

Lemma 3: r(a) is bounded from above.

We summarize the above results formally in
Proof: Let R = ko(x) be a rational subfield of k. Then
Theorem 1: (Riemann-Roch). If a is any divisor in a field of
genus g, then deg (k/k,(x)) = n <a.

Let w, , w, , w, be a basis for k / R . Since r(a) is a class function

where 3 is a divisor of the canonical class.
The theorem has some immediate consequences:
Let a = 1, so that m(1) = 1, n(1) = 0, whence
Let a = l/D, then
r(a) = r( j(x) a) where f ( x ) is any polynomial in R. We may choose
f(x) such that f(x) a has non negative ordinal at all finite primes.
Hence we may assume to start with that ord, a 2 0 at all finite
primes p . Since r(a) is a monotonic increasing function, it suffices
to prove the lemma for divisors a such that
ord,, a = s ord PODx + e,
ord, a = c p ,
where e and c, are suitably chosen constants (almost all c, = 0)
and s is sufficiently large.
 266 XIV. THE RIEMANN-ROCH THEOREM
3. SECOND PROOF

Consider the set of elements or in k which have the form

It now follows that
= A('> w l + A(x) + + +n(x) wn ,
~2 - %(a)- m(a) < sn + e1 - n(s + 1) = e1 - n.
where deg +,(x) ,< s. For finite primes p we have Thus r(a) is bounded from above.
We can draw several consequences from this lemma.
I I,
OL G m y I wv lp ; First we notice that for a fixed divisor b, the function

whence +(a, b) = (If, + k :If, + k)

ordp OL 2 min (ordpw,) = c, , is bounded from above. Suppose this upper bound is attained when
Y
a = a,. Then clearly +
k = V; for if f is a vector of V not
and almost all c, = 0. At the infinite primes pa we have +
contained in k, f must lie in some parallelotope 17, hence in
a + K O+ +
k which contains 17b k and has higher dimension
+
over it than k, contrary to the definition of a, . Thus we have
attained the result

Hence Corollary 1: There is a divisor a, such that k + = V.

This may be interpreted geometrically. It means that the
ordPa OL 2 s ord
pa
x + e, elements of k are distributed in V like the points of a lattice. Since

where
we have the desired result:

All such elements a are contained in the parallelotope l7, . Among Corollary 2: For every divisor b, l(b) is finite.
these elements there are n(s +
1) linearly independent over k, . We now use the same procedure as in the first proof to show
Hence m(a) 2 n(s + I). that n(a) +
m(a) - l(a) is an invariant of the field:
Next we must find an approximation for n(a). We have
.(a) + m(a) - l(a) = 1 - g,
where g is the genus. We also use the method of the first proof to
interpret l(a) as the dimension over k, of the space of differentials
where e' is a suitable constant. Since l/x is a prime at p, which vanish on 17,.
It is clear that differentials exist, for if not, l(a) = 0 for all
1 divisors a, and hence n(a) < 1 - g which is certainly impossible.
ordPa = - ord,, x = e(pm). As in the first proof we see that every linear map of V/(IT, + k)
gives rise to a differential which vanishes on 17,.
Further f(pm) =fPa (the relative residue class degree) and hence If A ( [ ) is a differential and or is any non zero element of k, then
)((or[) is also a differential. T o show this let a be a divisor such that
n(3 2 - s 2 e(p,) fpm - e' = - sn - e'.
268 XIV. THE RIEMANN-ROCH THEOREM 3. SECOND PROOF 269

Then Hence the number of linearly independent a such that X(a 17,) = 0
is at least equal to m(l/aD). Similarly the number of linearly
h(aa-'(17, + k ) ) = A(a(17a-la+ k ) ) = 0 independent a such that p(a na) = 0 is at least equal to m(l/ac).
We have therefore
and so h(a5) is a differential. It follows that the differentials form a
vector space over k. Scalar multiplication is defined by setting
a ( [ ) = A(&). We now prove
Replacing a in turn by l / a 9 and ljac we obtain
Lemma 4: The differentials form a 1-dimensional k-space.
Proof: Let p ( t ) be a differential which is not of the form A(&).
Suppose (a1 , a2 , .--,a,) and (/3, , /3, , ..., ps) are sets of elements
linearly independent over ko . We shall show that X(a,f), .-.,
)((aZ.$, p(&.$) ..-,p(/3&) are linearly independent over k, . A relation
of linear dependence would be expressible in the form

+
We can write this X(af) p(/3f) = 0 where a = X cp* and Adding, we obtain
/3 = Z dipi. Then if /3 # 0 we can replace .f by /3-?$ obtaining

contrary to our assumption on p. Hence /3 = 0 . This implies This gives a contradiction since n(a) may be chosen so large that
a =0 also and hence all ci , d j = 0. Thus the A(ait), p(/3jt)
are this inequality cannot hold.
linearly independent. Thus every differential p(() can be written in the form X(a0
Suppose and our lemma is proved.
We have now the inequality l(a) 2 m(l/aD). Replacing a by
1/aD we have l(l/aD) >, m(a). Hence

We now estimate how many linearly independent elements a have

the property that A(&) vanishes on a given parallelotope l7,.
Certainly X(a17,) = 0 if and only if h (n,,)
= 0, and we get

Adding, we have
We do not yet have the reverse implication. However,
270 XIV. THE RIEMANN-ROCH THEOREM

Hence there is a divisor 3 such that &-I is the maximal parallelo-

tope on which h vanishes. For this D we have the missing implica-
tion in the proof of Lemma 4, namely that

CHAPTER FIFTEEN
I t follows that l(a) = rn(lla3) where is the special divisor.
As in the first proof we can show that D belongs to a fixed divisor Constant Field Extensions
class W. We have therefore proved again the Riemann-Roch
Theorem:

1. The Effective Degree

Let K be a PF-field with a field of constants K O .Then K is a

finite extension of Ko(x) where x is an element of K not in KO.
We now adopt the following notation:
rp shall denote the generic prime in K.
k shall denote a subfield of K in which Axiom 2 holds. (By
section 4 of Chapter 12, Axiom 1 also holds in k.) K/k is not
necessarily finite.
p shall denote the generic prime of k induced by a which is
non trivial on k.
ko shall denote the constant field under all p. By section 4 of
Chapter 12, ko = KOn k.
f(Q) shall denote the degree of the residue class field Rep over KO.
f(p) shall denote the degree of the residue class field h, over k, .
f9 shall denote the degree of Rep over z, whenever finite.
ecpshall denote (ordcpa)/(ord, a) for a E: k.
ncp= e9 f 9 = degree of K*(Q) over k*(p) whenever finite.
We have already seen that Axiom 1 holds in k for the primes p
if we use the valuation
I a lv = rI I1 a llcp -
PIP
Since k is a PF-field, it follows that the valuation I 1, is either the
normal valuation 11 11, or a constant power of it (the same for all p).
Let us agree to use the same constant c for defining the normal
valuations in both K and k. Then we may write
 272 XV. CONSTANT FIELD EXTENSIONS 1. THE EFFECTIVE DEGREE

We call the exponent m ( K / k ) the ejfective degree of K / k . I t is We shall need two lemmas about the rational case:
necessarily finite, but need not be an integer. We shall see that in a
certain sense it measures the size of the extension K / k , the con-
stant field extension being disregarded.

Theorem 1: Proof: Let po be the valuation in ko(x)defined by the irreducible

polynomial x. The residue class field RPo = ko and SO f(po) = 1. If
'Po 1 po in Ko(x), Po is also the valuation corresponding to x. Hence
for all primes p . f ( g o ) = ello = 1. From Theorem 1 it follows that
Proof: Since the same c is used for 11 11, and 11 11% we have

Lemma 2: If Ko/ko is finite, then

Hence we have Proof: Since

T o prove the equality it will be sufficient to show: If w , , o,, .-.,w,

are elements of K O ,linearly independent over ko , then they are
linearly independent over ko(x).
Suppose therefore

Theorem 2: If F 3 K 3 k , where F, K , and k are PF-fields,

then
where each f,(x) E ko(x). Then, multiplying by the denominators
m(F/k) = m ( F / K )m(K/k).
of the f,(x) we obtain a relation with polynomials as coefficients.
Proof: We denote the generic prime in F by 9. Let a be an So we may suppose the fi are already polynomials. If a , is the
element of k . Then coefficient of xV in f,(x), then

as coefficient of xu on the left side. Hence a,, = 0 for d i, v or

h ( x ) = 0-
We are now in a position to determine m ( K / k ) if K is a finite
and this proves the theorem. extension of k . T o do this we first prove
 274 XV. CONSTANT FIELD EXTENSIONS 1. THE EFFECTIVE DEGREE 275

Theorem 3: If K / k is finite, then Further

2 n@= deg (Klk) for all p.
n(Ko(x)lko(x))= m(Ko(x)/ko(x))deg (Kolko)
= deg (Kolko) by Lemma 1
@lp
= deg (Ko(x)/ko(x) by Lemma 2.
Proof: We evaluate the degree of the residue class field R
over ko in two ways. The first computation yields: NOWwe compute n(K/ko(x))in two ways:
n(Klko(x))= n(KIKo(x))n(Ko(x)lko(x))
= deg (KIKo(x))deg (Ko(x)lko(x)
= n(Klk)n(klko(x))= 4 KIk) deg (klko(x)).
Hence
Hence we have: ko
n(K/k)= deg (KIA).

The definition of n ( K / k ) yields

Theorem 4: If K / k is finite, then

whence

Putting n(K/k) = m(K/k) deg (Ko/ko),we see that If K / k is not necessarily finite we prove

Theorem 5:

If we have three fields F 3 K 3 k with constant fields Fo , K O ,

ko , then for any x E k, not in ko .
Proof: Since K / K o ( x )and k/ko(x)are finite we have

By the results of Chapter 12, section 3, we know from

We now compute m(K/ko(x))in two ways: we obtain

that
Since m(K,(x)/ko(x))= 1, we have the desired result,
276 XV. CONSTANT FIELD EXTENSIONS
Corollary: If K O = k, then m ( K / k ) = deg (Klk).
In general k C Kok C K and the constant field of Kok is K O.
Therefore
m(K/K&) = deg (K/K,k) and m(K/k)= m(K,k/k)deg (K/K,k).
This reduces the question of the general case to that of pure
constant field extensions.
Dejinition: K is called a constant field extension of k if
K = K,k.
Such constant field extensions of k may be obtained in the fol-
lowing way. Let K l be any extension of k, and Klk a composite
field such that Klk is of transcendence degree 1 over K l . The
primes of Klk are to be taken as those valuations of Klk which are
trivial on K l . They are then trivial on k, but not all of them are
trivial on k (if x E k not in k, we may take any extension to K,k
of a prime in K l ( x ) associated with the polynomial x). The field
K = K l k and k are then in the relation that we have considered.
This field K will have a constant field K O3 K , since the primes
are trivial on K l . Therefore K = Klk = Kok is a constant field
extension. One might expect K l = K O but this is not always the
case. A part of our investigation will consist in deriving conditions
under which it can be stated that K l = KO.
Theorem 6: If K is a constant field extension of k, then
<
m ( K / k ) 1, the equality holding if and only if K O and k are
linearly disjoint over k, (i.e. if elements of k that are linearly
independent over k, are also linearly independent over KO).
Proof: ( 1 ) We have
since elements of k linearly independent over k,(x) may become
independent over K,(x).
(2) Suppose
m(K/k)= 1, deg (KIK,(x))= deg (klk,(x)).
If wl , w, , ..., w, is a basis for k/k,(x), then it is also a basis for
KIKo(x).
1. THE EFFECTIVE DEGREE 277
Let a, , a 2 ,
a*., a, be the elements of k whose linear dependence
over k, and K Ois to be investigated. We can write each ai as linear
combination of the w , with coefficients in k,(x). We can assume
that all the coefficients are written with the same denominator
f(x) E ko[x]. Since the linear dependence questions are the same
for the at and the f(x) a, we may assume to begin with that all
coefficients of the ol, are polynomials in k,[x].
This means that the a, are elements of a vector space over k,
spanned by the elements xYw, ( p = 1,2, n; v = 1,2, -..,N, N
a*.,
sufficiently large). The fact that the w, form a basis means that the
xYwpare linearly independent over k, as well as over K O . If the
ai are independent, then r of the basis elements xvwp may be
replaced by the a , . Going over to K Othe dimension of the whole
space does not change, so the % must remain independent over K O.
(3) If m ( K / k ) < 1, then w1 , w, , w, become linearly depend-
a*.,
ent over K,(x). Clearing denominators we obtain a relation (non
trivial)
fl(4~1 + ... +fn(x) % =0
with coefficients in K,[x]. This means a non trivial relation between
certain xVwpover K Owhereas these elements are linearly independ-
ent over k, .
Theorem 7: If for one prime p, f(p) = 1, then m(K/k)= 1 for
any constant field extension K .
Proof: Theorem 1 shows that m ( K / k )is an integer # 0. Theo-
rem 6 shows it is < 1, whence m ( K / k ) = 1.
In particular if k, is algebraically closed, f(p) = 1 for all p,
hence m ( K / k ) = 1. Theorem 1 shows that there is only one q I p
and that e~ = f ( p ) = 1 .
Theorem 8: If K = Kok = Klk, where K l C K O and
m(K/k) = 1, then K O = K l .
Proof: We have
278 XV. CONSTANT FIELD EXTENSIONS

Theorem 9: For any divisor a in k we have

Proof: It is sufficient to show this for a = p. Then n,(p) =f(p).

Therefore according to Theorem 1

2. Divisors in an Extension Field

as read off from factorization (3).
Let K be a PF-field, k a subfield of K that is a PF-field. Suppose
for an element x E k, considered as divisor of k, we have
Corollary: If KO= k,, then

Now let x E k but x $ ko . Consider the two fields ko(x) and k.

x also gives rise to a divisor in K. Since p ranges over these valua-
In ko(x) we have the factorization
tions induced by primes !$3 in k which are non trivial in k, only
primes $! in K that divide the primes p of expression (1) can appear
in
where p, is the prime in k,(x) corresponding to the polynomial x,
p , the infinite prime.
In k both po and p, will split up, no cancellation takes place so
that the factorization of po and p, in k gives us numerator and
denominator of x if written as divisor in k. The corollary gives us

This suggests to map the primes p of k into the divisors of K by nk (numerator of x) = deg (k/ko(x))n,,(,,(po)
the correspondence
= deg (klko(x))

and the same for the denominator.

to extend this mapping in the obvious way to all divisors a of k Theorem 10: If x E k, x $ k, and a is the numerator or the
and to identify a with its map. In this sense expression (1) already denominator of x written as divisor in k, then
gives the factorization of x in K and instead of (2) we write

I t is to be remarked that different primes p will have factorizations 3. Finite Algebraic Constant Field Extensions
without common factor.
If we denote by n,(a) and nK(a)the degrees of a divisor in k and K In the beginning of this section we prove algebraic theorems for
respectively, we contend more general fields.
280 XV. CONSTANT FIELD EXTENSIONS
Theorem 11: Let k be any field, k, a subfield algebraically
closed in k. If a is an element of an extension field of k that is
algebraic over k, , then
Proof: Let f(t) = Irr (a, k, , t). We must show that f(t) remains
irreducible in k[t].
Suppose +(t) is a factor of f(t) in k[t] with highest coefficient 1.
The other coefficients of +(t) are symmetric functions of the roots
of +(t). These roots are also roots of f(t) and therefore algebraic
over k, . It follows that the coefficients of +(t) are algebraic over k, .
Since they lie in k, they must already lie in k, and +(t) E k,[t].
Since f(t) is irreducible in k,[t] it follows that +(t) = f(t) and the
Theorem is proved.
Theorem 12: Let k, be algebraically closed in k, a as before
and F a field between k, and k such that deg (k/F) is finite. Then
Proof: k, is then algebraically closed in F as well as in k and
Theorem 11 gives
and our theorem follows.
We specialize now the field F. It is well known that k,
is algebraically closed in a pure transcendental extension k,(x).
By induction one shows that k, is algebraically closed in
F = k,(x, , x, , x,) where the xi are algebraically independent
over k, . For an a algebraic over k, it follows from the same fact
that k,(a) is algebraically closed in F(a). Let now k be an algebraic
extension of such an F for which it is known that k, is still alge-
braically closed in k. The preceding theorems show that
But in spite of the fact that k,(a) is algebraically closed in F(a)
it is not true in general that k,(a) will be algebraically closed in
k(a). We now seek conditions under which this additional result
will hold.
Suppose /3 E k(a), /3 algebraic over k,(a). Then
Let us assume that k,(a, 8) can be generated by a single element:
k,(% B) = ~O(Y).Then
and we see that F(a, B) = F(a). This means that /3 lies already in
F(a). Since /3 is algebraic over k,(a) and k,(a) is algebraically closed
in F(a), it follows that /3 lies in k,(a), i.e. k,(a) is algebraically
closed in k(a). Now k,(a, /?) can be generated by a single element
when either a or /3 is separable over k, (see van der Waerden,
Modern Algebra, section 40). It follows that k,(a) is algebraically
closed in k(a) in the following two cases:
(I) a is separable over k, ;
(2) k is separable over K (i.e. k is separably generated over k,).
In the second case we conclude as follows: k/F separable 3
k(a)/F(a) separable => /3 separable over F(a). Now /3 was algebraic
over k,(a). k,(a) is algebraically closed in F(a). +(t) = Irr (/3, kO(a),t)
then +(t) remains irreducible in F(a) according to Theorem 11.
So +(t) is separable, therefore /3 is separable over k,(a). A certain
power jgpv will be separable over k, and still generate the field
KO(%B) over k,(a).
Summing up we have
Theorem 13: With the notation as described, k,(a) is algebraic-
ally closed in k(a) if one of the following conditions is fulfilled:
(1) k,(a)/k, is separable ;
(2) k is separably generated over k, .
282 XV. CONSTANT FIELD EXTENSIONS 3. FINITE ALGEBRAIC CONSTANT FIELD EXTENSIONS 283
We specialize now to the case of transcendence degree r = 1, If k e ) C kip), then
when k, is the constant field of a PF-field. Whenever k,(a) is
algebraically closed in k(a) it follows from earlier discussions that
k,(a) is the constant field KOof k(a) = K. Theorem 11 shows now
that m(K/k) = 1. On the other hand

Theorem 14: Let a be algebraic over k, , K = k(a). We have

m(K/k) = 1 and KO= k,(a) in either of the two cases: Theorem 15 shows that the numbers m(K(a)/k) take on their
(1) ko(a)/ko is separable; minimum value for a certain PY). For all K(a) 3 K(") we have
. <
m(K(a)/k) m(K(")/k) and therefore m(K(a)/k)= m(K(Y)/k) or
(2) k is separably generated over k, ~Z(K(~)/K =( 1.
~ )If) we apply Theorem 16 to all K(a)3 K("),
If Ko/ko is finite and purely inseparable (characteristicp > O), we obtain m(&k(")) = 1 or m(R/k) = m(PY)/k)= a power of p.
then K/k is purely inseparable. Theorem 4 shows that m(K/k) is Let now KObe an arbitrary (not necessarily algebraic) extension
a power of p. of A,, K = Kok and KOthe algebraic closure of KO. We have
If K,/k, is an arbitrary finite extension, let K, = k,(a) be the
separable part of K O .We obtain from Theorem 14
m(K/k) = m(K/K,k) m(Klk/k) = m(K/Klk) = power of p.
Since &,k has an algebraically closed constant field, Theorem 7
Theorem 15: If Ko/kois finite, K = Kok, then m(K/k) is 1 if
shows that m(I?,k/h,k) = 1. So
the characteristic is 0 and of the form l/pv(v 2 0) if the characte-
m(J&lk)
ristic is p > 0. m(K/k) = = a power of p.
In order to treat infinite constant field extensions we use the m(%klK)
following <
Since m ( R , k / ~ ) 1 ,
Definition: A family K(,) of constant field extensions of k m(K/k) 2 m(k$z/k)= m(K(")/k).
shall be called a C-family if to any two fields K(a), Kc@)a third
field K(") of the family can be found that contains both of them. Theorem 17: If the characteristic is 0, then m(K/k) = 1 for all
The union of the elements of all K(a) shall be denoted by K. It is constant field extensions. If it is p > 0, then m(K/k) = l/pv(v 2 0)
again a constant field extension of k and and one shows easily and the minimum value is taken on by a finite algebraic extension
KO= Ua KF). K(").

Theorem 16: If m(Kfa)/k)= 1 for all a, then m(K/k) = 1. Theorem 18: Let K f a )by any C-family above k. There exists a
Proof: K F ) and k are linearly disjoint over k,. Therefore K(") such that m(K/k) = m(K(Y)/k).For any K'a) containing K(Y)
KO= U, K F ) and k are linearly disjoint over k, . Let 6, be the we have
algebraic closure of k, and A = &,k. Since A, is algebraically closed, m(K(a)/K(~))= m(K/K(y))= 1.
it is the constant field of k. Let k p ) stand for all finite algebraic
extension of k, and put K(") = k(a)k.o Then K(a) is a C-family Proof:
with k as union. < m(K@)/k).
m(K/k) = m(K/K("))~z(K(~)/k)
 284 XV. CONSTANT FIELD EXTENSIONS
4. PURELY TRANSCENDENTAL CONSTANT FIELD EXTENSION 285

Since m(K(a)/k)= l/pv,there exists a K(Y)for which the minimum Suppose the strict inequality holds. Dividing g(t) by the x, with
value is achieved. For K(")3 K ( Y one
) has the maximal absolute value we obtain a new polynomial where
Max, 1 x, ,1 = 1, and where (g(t) 1, < 1 or g(t) r 0 (mod 9).
This congruence would mean that t (as element of the residue class
field 4) is algebraic over the residue class field K, . Since R,
whence is algebraic over k, , t would be algebraic over k, . But the residue
m(K(u)/k)= m(K(Y)/k) class field Kq contains an isomorphic replica of ko(t) where t is
transcendental over k, . We have therefore
and therefore
m(K(")/K(Y))
= 1.

This implies m(K/K(Y))

= 1. This shows that there is only one 9 I p and that eq = 1, p = 9.
An arbitrary element X E K can be written in the form
4. The Genus in a
Purely Transcendental Constant Field Extension

We consider the case K = k(t) where t is transcendental over k.
' with highest coefficient 1.
The primes 9 of K are those that are trivial on k,(t). We have
to distinguish two kinds of primes:
(1) 9 is also trivial on k. They are then among the well-known
valuations of the rational field k(t) which come from irreducible
polynomials p(t) E k[t] (with highest coefficient 1. The infinite
prime would not be trivial on k,(t)). But we have to single out
those p(t) which give rise to the trivial valuation on k,(t). T o find
them, suppose 9 induces a non trivial valuation on k6[t] that comes
from the irreducible polynomialp,(t) E k,[t]. Since k, is algebraically
closed in k we know from Theorem 11 that p,(t) remains irreducible
in k. Since p(t) I po(t), we have p(t) = po(t).
The primes 9 in question are therefore those irreducible poly-
nomials p(t) E k[t] with highest coefficient 1 that have at least one
non constant coefficient.
(2) The primes that are non trivial on k, 9 1 p. Consider first a
polynomial
Since 9 is trivial on k,(t) we have I t Iv = 1 and
where x E k and g(t) and h(t) are relatively prime polynomials
We first ask for those X that satisfy I X Iv < 1 for all 9 that
are trivial on k. If h(t) were divisible by an irreducible polynomial
p(t) with non constant coefficients, our condition would be violated
at that prime since g(t) is relatively prime to h(t). This shows that
h(t) E k,[t]. If conversely h(t) E k,[t] it is a constant of K and our
condition is obviously satisfied.
This allows us first to determine K O . If namely I X lv = 1
for all 9 then both g(t) and h(t) have to be in k,[t]. Therefore
, X 1, = I x ,1 = 1 which means that x E k, , so that X E k,(t).
This means KO= k,(t).
Let now x, , x2 , ..a, x, be elements of k linearly independent
over k, . Suppose
Clearing denominators, we may assume that the fi(t) are polyno-
mials. Collecting terms we obtain an equation for t. Since t is
transcendental over k, all coefficients have to vanish. Since the xi
are independent over k, this means all f,(t) = 0. k and KO are
therefore linearly disjoint over k,, and this means m(K/k) = 1.
Let now a be a divisor of k, lI, the parallelotope of V(k). a may
286 XV. CONSTANT FIELD EXTENSIONS 5. GENUS I N ARBITRARY CONSTANT FIELD EXTENSION 287
be viewed as divisor of K and let 17,' be the parallelotope of V ( K ) . 5. The Genus in an Arbitrary Constant Field Extension
We ask for the elements X E K such that X E 17,'.Then I X Iv 1 <
for all 'p that are trivial on k. Therefore X = g(t)/h(t)where h(t) We first consider the case where Ko/ko is a finite algebraic
is in KO. Let extension. Since K = Kok we can find a basis w l , w , , w, for -a*,

g(t) = xo x1t + + K/k that consists of constants. These wi need however not form a
basis for Ko/ko.
According to Chapter 13, section 2, we have

So g(t) E 17,' if and only if xi E 11,. Hence We denote the genus of k by g(k), that of K by g(K). Then

g(k) = l(1) = dimko( V ( k ) :I l l +k);

is a linear combination of elements of & n k with coefficients in whence
KO. This gives (because of the linear disjointness)
ng(k) = dim,, ( V n :n: + k"),
where the powers are meant in the sense of a Cartesian product.
Theorem 9 shows nK(a) = nk(a). Let g(k) be the genus of k, g(K) We now apply the mapping of Chapter 13, section 2. Then
that of K. Let a be a divisor of k such that

nk(a) < 2 - 2g(k) and n,(a) < 2 - 2g(K).

Then by the Riemann part of the Riemann-Roch Theorem we have where
nk(a) + mk(a) = 1 - g(k),
nK(a) + mK(a)= 1 - g ( K ) . 17' is not a parallelotope of V ( K ) but is a subspace of the unit
Hence g(k) = g(K). parallelotope n1'of V ( K ) .On the other hand we have
Finally, let K = k(tl , t, , t,) where the ti are algebraically
independent over k. Induction shows g ( K ) = dimKo( V ( K ) :l&'+K ) ;
Theorem 19: Let K = k(t, , t, , -..,t,) be a purely transcen- whence
dental constant field extension. Then
deg (Ko/ko)g ( K ) = dimko( V ( K ) :R;'+ K ) .
K O = ko(tl , t2 , ...,tn), m ( K / k ) = 1, n ~ ( a=
) nk(a)r
mK(a) = mk(a) and g ( K ) = g(k). A comparison with (1) yields
The elements of n K are linear combinations of the elements
of Ilan k with coefficients from KO.
288 XV. CONSTANT FIELD EXTENSIONS 5. GENUS I N ARBITRARY CONSTANT FIELD EXTENSION 289

if we recall that n = m(K/k)deg (Ko/ko).An immediate conse- Since X €&KO and the expression of an element of V ( K ) in
quence is the inequality terms of the basis oi is unique, we conclude that all x5 €17,.
The converse is obvious. The linear disjointness of KO and k over
ko gives now
Thus the genus drops if m(K/k)< 1 (and g(k) # 0). But we shall
show that the genus may drop even if m(K/k)= 1 and if 5 is
separably generated. for all divisors a of k.
Suppose now m(K/k)= 1 .Then w, , w, , w, form a full
me., Consider next the more general case that KOis finitely generated
basis for Ko/ko. We may then write nl'= nlF0 . Since both (possibly by transcendental elements). If t, , t, , -..,t, is a basis of
Dl' + +
K and D,K0 K are KO-spaces the relat~on(2) takes on transcendency of Ko/koand we put Ki = ko(tl, a*., t,), K' = K,'k,
the simpler form then KO/Ko1 is a finite algebraic extension. Theorem 19 shows that
the inequality (3)holds in this case also. Should g(K) = g(k) then
f ( k ) = g(K) + dimKo(Ill + K :nlKo + K ) (4) m(K/k)= 1, mK(a)= m,(a) and the elements of n,' n K are linear
combinations of those of n,,n k with coefficients in K O .
Now from our lemma on vector spaces, Chapter 13, section 3, we Let now K/k be an arbitrary constant field extension. Let
have K(a) be the C-family of fields obtained from k by adjuction of
(I&': nlKo)= (I&'+ K :nlKo + K) + (n;n K :nlKo n K). a finite number of elements of KOto k. The union of the Kc.) is K.
We have 0 ,< g(K(cL)) - g(k). Let K ( Y )be a field with minimal
Butn,' n K = KO and nlK0 n K 3 KO so that the second term genus. If K ( a )3 Q Y ) , then g(K(=)),< g(K(Y)on one hand, whence,
is zero. We have therefore since g(K(a))is the minimum, we have g(K(u))= g(K(Y)).
An element X E nu'n K will be in some K ( u )3 K ( Y )Denoting
.
Theorem 20: If K/k is a finite algebraic constant field exten- by l7:) the parallelotope for K(a) we have X ~ n t ' K(a). n
sion and m(K/k)= 1, then Therefore it is a linear combination of elements in K ( Y n ) K(Y).
with coefficients in K 2 ) C K O . Since m(K(a)/K(Y)) = 1 we have
also m(K/K(Y)) = 1. This linear disjointness shows

a result that may also be written in the form

Using the Riemann-Roch Theorem on a divisor a with

Suppose now that K/k is a finite algebraic constant field exten-

sion such that g(k) = g(K).( 3 )shows that m(K/k)= 1. Theorem 20 we obtain
shows that 17,' = ITIKo. Let a be a divisor of k, and 5 E V(k)
such that ord, 5 = ord, a for all p. Then 517; = n,,'and 517, = na.
Therefore nu'= &KO .
Let
Therefore g(K) = g(WY)).
292 XV. CONSTANT FIELD EXTENSIONS
would be highly desirable to find some criterion for conservative
fields. We make in this direction the following remarks:
Let KObe any extension of k , , h, and KOthe perfect closure
of k, and K O . We have g ( x 0 k ) = g(hok) since R, is perfect.
From g(K,k) 2 g(Kok) we get g(K,k) 2 g(kok). So the greatest
change in genus is already obtained by going over to A&. According
to our results, a finite subfield of &, will already achieve the same.
We see that one need only consider finite algebraic extensions of k,
that are purely inseparable. Theorem 20 shows now that k will
be conservative if and only if for all primes alp=. D,5 (for all
finite purely inseparable extensions KO). But a crlterlon should
be found that expresses this behavior in k itself.
We finally show by an example that the genus of a separably
generated field k need not remain unaltered under a constant field
extension.
Let k, be the field of rational functions in one variable u over
the prime field of p elements ( p odd). Then let k = k,(x, y ) where
y2 = xp - U . Since p is odd, k is separable over k,(x). T h e genus
of k is ( p - 1)/2 (see section 7 of the next chapter). Now
let KO = k,(Qu), K = Kok. Then K = K,(x, y ) where
y2 = ( X - Tu)~ . Putting y = z ( x - $ ~ ) ( p - l ) 1 ~ we have
z 2 = x - Qu. x E K o ( z ) s o y E Ko(x) whence K = K,(x), a ratio-
nal field with genus 0 .
I t shall be remarked that the mysterious amount ( p - 1)/2 of
the genus drop becomes understandable from a result of J. Tate
according to which the drop in genus is always a multiple of
( p - 1)/2. (Genus change in inseparable extensions of function jield
theory, Proc. Amer. Math. Soc. 3, 1952, pp. 400-406.)
CHAPTER SIXTEEN
Applications of the
Riemann-Roch Theorem
1. Places and Valuation Rings
Let {F +-a) be a system consisting of a field E and a single
additional element co which satisfies the following formal proper-
ties:
a f a3 = oo for all a E p,
a -oo=oo for all a # 0.
Let k be any field. Following Dedekind we define a place of k
+
to be a homomorphism of k into F +a.It is easily seen that the
elements a of k for which +(a) E F form a ring o; o is called the ring
of local integers. The elements which are mapped onto zero in P
form an ideal p of o. It is easily seen that p is a maximal ideal, for
a E 0, a $ p * +(a) # 0 , f co * +(a-l) # 0 , # co 3 a-l E D .
Hence a is a unit of o, and (p, a) contains with a also a-la = 1 ,
and so ( p , a) = O. It follows that p consists of all non units of o,
and hence p is the unique maximal ideal of o.
We contend that o has the following characteristic property:
If a E k at least one of the elements a, a-l lies in o. A ring which
has this property is called a valuation ring. Thus every place of k
defines a valuation ring.
Conversely let o # k be a valuation ring in k. We shall show that
o defines a place in k. T o this end we show that the non units of
293
294 XVI. APPLICATIONS OF THE RIEMANN-ROCH THEOREM 1. PLACES AND VALUATION RINGS 295

o form a proper ideal of o. Let a, #? E o, and let a f #? be a unit of o.
Either a/#?or #?/alies in o, say a/#?E o. Then
+
Hence, since (a #?)-I E o we have l/#?E 0, i.e. p is a unit. Hence,
+
if a and #? are non units, then a #? is a non unit also. Similarly,
if a, #? E o, and a#? is a unit, then a/a#?= 1/43 and #?/a#?= l/a lie
in o. Hence a and #? are units. Hence if a is a non unit, #? any element
of o, then a#?is a non unit. Thus the non units form an ideal p.
Since all proper ideals are contained in the set of non units, p is
the unique maximal ideal of o. We now map k onto o/p +a in the
obvious way. Namely if a E o, we set +(a) = residue class of a
modulo p, and if a # o, we set +(a) =a.This mapping is known to
be homomorphic on the elements of o. We must verify that it is
homomorphic on the whole of k. If a E o, b 4 o, then
since a +b is not an element of o. If a #o, then +(a)=a.But
a-l E o, and since a is a non unit of o a lies in p. Hence
Thus + is a place of k and we have proved.
Theorem 1: There is a 1 - 1 correspondence between the
places and valuation rings of a field.
+
Now let o be any ring contained in a field k. Let be any homo-
morphism of o into any field E, with kernel p. We shall prove that
may be extended to a valuation ring of k. Should it happen that
+
p = 0, then is an isomorphism of o into E and can be extended to
an isomorphism of k into an extension field of P that contains an
isomorphic replica of k. Henceforth we exclude this trivial case.
We now prove
a E D , s E S therefore forms a ring, the quotient ring of o with
+
respect to p. It is easily verified that can be extended to o' by
defining +(a/s) = +(a)/+(s).
This extended map carries o' onto a subfield F of P. Since F
is subject only to the condition that it contain F, we may replace
it by any field extension of F, in particular by the algebraic closure
of F. From now on we assume P to be algebraically closed.
Now let x # 0 be an arbitrary element of k. We shall attempt to
+
extend to the ring of o[x], consisting of polynomials in x with
coefficients in o. Let
* ( t ) = a,, +q t + "' antn
be a polynomial in o[t] and write
+
In order to extend to o[x] we must define +(x) = x, EEand then
write +($(x)) = fix,). The element x, must be selected so that the
extended mapping is well defined, i.e. so that if $(x) = 0 then
$(x0) = 0. The set of polynomials $(t) such that $(x) = 0 is an
ideal in o[t]. Hence the images $(t) form an ideal in Fit], and since F
is a field this is a principal ideal ($,(t)). In order, therefore, that
our extended mapping be well defined, xo must be a zero of $,(t).
It follows that we can extend 4 to o[x] provided $,(t) is not the
polynomial 1.
+
Suppose it is impossible to extend to o[x]. We shall now show
that it is possible to extend4 to o[y] where y = Ilx. Since $,(t) = 1,
x is a zero of a polynomial
+
where the p, lie in p. Thus

Theorem 2: + can be extended to a valuation ring of k. Suppose it is impossible to extend + to o[x]. Then we have a
similar equation for y:
Proof: The set S of elements of o, which have non zero images
under +, forms a semigroup. The set o' of quotients a/s with
296 XVI. APPLICATIONS OF THE RIEMANN-ROCH THEOREM
with pif in p. Suppose these equations are of minimal degree,
and let m < n. The element (1 $- pof)has an inverse in o, so (2)
yields
and hence
This relation may now be used to shorten (I), contrary to the
minimal nature of n. Hence m = n = 0. But this is impossible,
+
since 1 p, # 0. It follows that we must be able to extend 4
to one at least of o[x], o[x-l]. We now consider the set of extensions
of 4 to rings containing o. If we define an ordering in this set by
letting 4, > 4, whenever 4, is an extension of 4, we see that the
set is inductively ordered. By Zorn's Lemma there exists a minimal
extension 4, of 4 to a ring o, containing o. Since 0, is maximal,
o, = olf and o, contains at least one of the elements x, x-l for every
x E k. Thus o, is a valuation ring. This concludes the proof of the
theorem.
We now explain the application of this theorem to algebraic
geometry. Let k, be any field, R = k,[x, , x, , x,] the ring of
..a,
polynomials in n variables over k, . Let p be a prime ideal in R.
p is finitely generated, say
where we write f,(x) as an abbreviation for f,(xl, x 2 , ..., x,). The
ideal p defines an algebraic variety. A point (a, , a, , a,) is said
em.,
to be an algebraic point on the variety if the a, lie in k, or some
algebraic extension, and f,(al , a, , -..,a,) = 0 (i = 1, ..., r). The
quotient field k of R/p is called the function jield of the variety.
Suppose (a, , a, , ..., a,) is an algebraic point of the variety.
Then the map 4 : xi -+ a, carries R into an algebraic extension of
k,. I t may be extended naturally to a map 4' of R/p into this
extension field. Then by the preceding theorem, 4' may be extended
to a valuation ring of k. T o this valuation ring corresponds a place
and so we have
Theorem 3: T o every point on an algebraic variety corresponds
at least one place of the function field.
2. ALGEBRAIC CURVES 297
2. Algebraic Curves
An algebraic variety whose function field is of transcendence
degree 1 over k, is called an algebraic curve. We shall see that in
this case there is an intimate connection between the places of the
function field and the valuations.
First let k be any field, o a valuation ring. We shall define an
-
equivalence relation in the group of non zero elements of k.
We say that a is equivalent to b (a b) if both a/b and b/a lie in
o, i.e. if a o = bo. This relation is easily seen to be reflexive, sym-
metric and transitive. We denote the equivalence class of a by j a 1,
and define a multiplication between the equivalence classes by
that if a- - -
writing I a / I b 1 = I ab I. To justify this definition we must show
a' and b b' then ab a'b'. This is easily verified.
Under this multiplication the equivalence classes form a group
in which the identity element is the equivalence class consisting
of units of o.
We may define a total ordering of the equivalence classes. We
write
a
I a I < I b l + -b~ p + $ (3
- =0,
where 4 is the place corresponding to o. It is easily shown that this
relation is independent of the choice of representatives for the
equivalence classes. We can verify that
If we now define I 0 I to be 0, we have a function I / defined for
all elements of the field k. Instead of defining I a I to be the equi-
valence class of a, we may take it to be an isomorphic image in
any isomorphic multiplicative group. We see that I I satisfies the
axioms for a valuation in k, apart from the requirement that the
values be real numbers.
298 XVI. APPLICATIONS OF THE RIEMANN-ROCH THEOREM
Now let k be a PF-field, that is k is either an algebraic number
field or an algebraic function field of transcendence degree 1 over
its constant field. Thus we include as a special case the function
field of an algebraic curve.
Let # be a non trivial place of k. In the case of a function field
we restrict ourselves to those places # which set like the identity
map on the constant field k, . I n this case we select an element
x E k, x 6ko such that #(x) #a. (This can always be done, for if
$(x) =CO, then #(l/x) = 0, # a . )
Let R be the rational subfield. R is the field of rational numbers
if k is an algebraic number field and R = k,(x) where #(x) #a
in the case of a function field. Then #(a) #a where a is any integer
of R. I n the number field case this follows from the fact that
#(I) = 1. I n the function field case it follows from our choice of x.
We now show that # is not the identity on the integers of R. Since #
is non trivial there is an element n- # 0 such that #(T) = 0. This T
satisfies an irreducible equation
with integral coefficients in R. Applying the homomorphism 4
we obtain #(a,) = 0, since #(T) = 0. But a, # 0 since the equation
is assumed to be irreducible. Hence # is not the identity on the
integers of R.
It follows that # maps the integers of R into a field. The kernel
is a non zero prime ideal (p) of R. If a is any element of R, and
a = pvb,wherep does not divide the denominator, or the numerator
of b, then I a I = I p Iv. Hence the value group v, of I I over the
rational field R is cyclic.
Now let or be any integer of k. or satisfies an equation
Since I f(or) I = 0, two of the terms must have maximal absolute
value, say I a,& I = I a& I. Then I or$-j I = I aj/a, I = I p Im since
the a* lie in R. Since i - j may vary as or varies, we introduce a
uniform exponent by writing
Hence if vk is the value group of I I over k, we see that v;' is a
subgroup of the cyclic group v, . But since vk is an ordered group,
2. ALGEBRAIC CURVES 299
the mapping I or I -+ I a! In' is 1 - 1 and order preserving, and so
$1 = v , . Thus vk is a cyclic group of positive real numbers.
Hence we may regard the mapping or + I or I as a valuation of k.
In particular, we have
Theorem 4: To every point on an algebraic curve corresponds
a valuation of its function field.
Let k = k,(x, y) where x and y are connected by the polynomial
relation F(x, y) = 0 (not necessarily irreducible). k is then the
function field of the curve defined by F(x, y). Let (x, , yo) be an
algebraic polnt on an irreducible constituent of this curve, i.e.
an algebraic zero of an irreducible factor of F(x, y). Then (x, ,yo)
gives rise to a valuation of k.
Theorem 5: If aF/ax and aF/ay are not both zero at (x,, yo),
then the valuation induced by (x, ,yo) is unique and the residue
class field under this valuation is ko(xo,yo).
Proof: Suppose aF/ay (x, ,yo) # 0. Let p(x) = Irr (x, , k, , x).
If # denotes the mapping defined by (x,, yo), i.e. the mapping
described by
$(a) = a! for a E KO,
then #Cp(x)) = p(x,) = 0. Hence if p denotes any valuation induced
by #, we see that I p(x) ,1 < 1. Thus p induces on R = k,(x) the
valuation defined by p = p(x). The map # can be extended to
each completion k*(p) and hence also to R*(p).
Let F,(x, t) be the irreducible factor of F(x, t) in R of which y
is a root. Then the different inequivalent completions k*(p) are
obtained by adjoining to R*(p) roots of the distinct irreducible
factors of Fl(x, t) in R*(p). Suppose f,(t) is Irr (y, R*(p), t). Then
fl(t) is one of these factors. Since y -+ yo f a , we have I y 1 ,< 1,
so y is an integer and hence all the coefficients of fl(t) are integers
(cf. Chapter 2, section 5). Since y is a root of F(x, t) = 0 we have
300 XVI. APPLICATIONS OF THE RIEMANN-ROCH THEOREM 3. LINEAR SERIES 301

and g ( t ) has integer coefficients. Then are divisors of f we have a,/ao = a, where ai is an element of k .
We define the expressions

(with c, in the constant field KO) to mean

since f l ( y ) = 0. Now apply the map C$ which has been extended

to the completions R * ( p ) and k*(p); we obtain
The totality of all such expressions is called a linear series. The
maximum number of linearly independent functions or, is called the
dimension of the linear series.
We see that the linear series does not depend on the choice of a, .
For if we choose a,' as a new fixed divisor in f, we have

But if there were any irreducible factors of Fl(x, t ) distinct from

f l ( t ) these would be contained in g ( t ) and we should obtain
+
+(g(yo)) = 0. Thus the valuation p induced by is unique. Hence
Let fo(t) = 4( fl(t)). fo(t) is a polynomial in the residue class
field = ko(ko(xo). Since f,(t) is irreducible over R it follows that
fo(t) is either Irreducible or a power of an irreducible polynomial
(cf. Chapter 3, Theorem 8). Since fo1(y0)= $( fl1(y0)) # 0, Thus the totality of all expressions (*) is unaltered by the change.
yo is not a multiple root of fo(t) and hence fo(t) is irreducible in 4 . Now let the ai be integral divisors. We have
Hence
deg (ko(x0 ,Yo)lko(xo))= deg (k*(p)lR*(p)).
at
ai integral c- ai= - 7 -,9 a,ao integral.
El
a, a,
Now the residue class field 6, of k certainly contains ko(xo)and yo .
Hence we have Hence

Thus we have the required result that 6, = ko(xo, y o ) . We notice
also that the residue class field is separable over k,(x,). The
extension ko(xo)/komay however be inseparable.
3. Linear Series
Let k be an algebraic function field in one variable. Let f be a
fixed divisor class of k , a, a fixed divisor in f. Then if a,, a , , ... or
The set of expressions (*) constructed using all the integral divisors
of f is called a complete linear series. The dimension of f is defined
to be the dimension of the integral divisors of f, i.e.
dim f = m(ail).
The Riemann-Roch Theorem,
302 XVI. APPLICATIONS OF THE RIEMANN-ROCH THEOREM 4. FIELDS OF GENUS ZERO 303

can now be written in the form +

ITa contains all polynomials of the form $(x) yt,h(x) where
deg +(x) < <
s and deg t,h(x) s - 1. Hence m(a) 2s < + 1. T o
show this we have only to remark that for finite primes p, I y ,1 - 1,
and that I y l V co< I x lVm . These results follow from an exarnina-
tion of the dominant terms in the equation of the conic. We now
where W is the canonical class. <
have 1 l(a) + 1 - g as in Part 1, and the result follows as before.
Part 3. k is a field of genus zero. We show it is one of the types
4. Fields of Genus Zero
described above.
If b is a divisor of the canonical class,
In our first theorem we give a complete description of the
fields of genus zero.

Theorem 6: A field has genus zero if and only if it is of one Therefore

of the following types:
m(b) = 1 - n(b) = 3.
(a) a field of rational functions,
(b) the function field of a conic, i.e. a field k,(x, y), where x Hence the parallelotope & contains three linearly independent
and y are related by an equation elements of k, say a, 8, y. If we set x = B/a, y = y/a, and a-l= a-la
ay2 + (b + cx) y + (d + ex +fx2) = 0. we see that contains, 1, x, y. Since 1 E , a is an integral
divisor. Since x E I ~ , - ~ax, is an integral divisor, b say, so that
Proof: We divide the proof into three parts. x = b/a. Then since deg (k/k,(x)) = n (denominator of x), we have
that
Part I . k = k,(x) is a rational field. We show it has genus
zero. Consider the parallelotope na where a = p;%(a) = - s. deg (k/k,(x)) < n(a) = n(b-l) = 2.
T o find m(a) we notice that a = $(x) €Ilaif and only if $(x) is a
polynomial of degree <
s. Hence m(a) s +
1. It follows that (The inequality is written because there may be cancellation
< + <
1 l(a) 1 - g, or g l(a). But l(a) is zero if - s < 2 - 2g between a and b, leaving a single prime in the denominator of x.)
(by the Riemann part of the Riemann-Roch Theorem). Hence If deg(k/k,(x)) = 1, then k is rational.
g = 0. If deg (k/k,(x)) = 2, then the denominator of x is a.
Since y EIT,-~we may write y = c/a. It follows that y is integral
Part 2. k = k,(x, y), where
at all finite primes dividing x. Hence if y can be expressed as a
ay2 + (b + cx) y + (d + ex +fx2) = 0. rational function of x, this function must be a polynomial. The
only polynomials in x which can lie in are linear polynomials.
We show that k has genus zero. But y is not a linear polynomial in x since it is linearly independent
If this equation is of the first degree, or is reducible or yields a of x. It follows that k,(x, y) is a proper extension of k,(x). Hence
constant field extension, then k is a rational field and g = 0 by k = k&x, y).
Part 1. We may suppose none of these is the case and that a # 0, In order to find the defining equation of this extension (which
say a = 1. Consider again 17, where a = p;" In this case must be an irreducible quadratic) we consider the parallelotope
n(a) = - 2s since the degree of k over k,(x) is 2. We contend that ITa-= . n(a-2) = 4, and consequently the following elements of k
304 XVI. APPLICATIONS OF THE RIEMANN-ROCH THEOREM
lie in 1, x, y, x2, xy, and y2. But m(a-') = 5; hence there
must be a relation of linear dependence between these six elements:
ay2 + (b + cx) y + (d + ex +fx2) = 0.
This completes the proof.
In order to distinguish between the two types of field of genus
zero, we prove the following result:
Theorem 7: A function field of genus zero is rational if and
only if there exists a divisor of odd degree.
Proof: If k = k,(x), the denominator of x is a prime of degree 1.
In addition, the numerator of x and the numerator of x + 1 are
also primes of degree 1.
Conversely, suppose k contains a divisor of odd degree. Since k
contains a divisor of degree - 2 (any divisor of the canonical class),
we can construct a divisor a such that n(a) = 1 and so m(a-l) = 2.
Then 17,-1 contains two linearly independent functions a, p. If
we set x = p/a we have 1 and x in 17,-1,-1. Hence aa is integral, and
n(aa) = n(a) = 1. Thus aa is a prime p. But xp is integral, so
x = b/p. It follows that if k, is the constant field of k, then
deg (k/kO(x))= n(p) = 1.
Hence k = k,(x).
Consider the algebraic curve C defined by an ideal a in the
polynomial ring k,[x, y]. The algebraic points of C are the sets
(xo,yo) where x,, yo lie in ko or some algebraic expression of k,,
and are such that a is annihilated by (x, ,yo). A point (x, ,yo) on
C with coordinates in k, is called a rationalpoint.
Theorem 8: The function field of a conic is rational if and
only if the conic contains a rational point.
Proof: Let the conic be
If a = b = c = 0, then the conic is a straight line. The function
field is rational, and the conic contains rational points. If one of a,
b, c is non zero, we can make a change in the generators x, y if
necessary, so that a # 0, say a = 1.
4. FIELDS OF GENUS ZERO 305
Suppose the function field k is rational, with constant field k, .
Then there are three primes of degree one (cf. Theorem 7). Let
them be pl , p2 , p, . If a is the denominator of y, n(a) = 2. Hence
at least one of the pi, say p1 is not in the denominator of y. Hence
ordvly 0. From the equation of the conic ordPl x 2 0 also. I t
follows that in the homomorphic map of k into k, +a defined
by pl (see section I), both x and y have images in k, . This the
conic contains a rational point.
Conversely, suppose (x, , yo) is a rational point on the conic. If
we write x = x, f u, y = yo f v we obtain a new equation of the
form
+
au2 buv + + +
cv2 du ev = 0.
This may be written in the form
Thus llv is a rational function of ulv (unless d = e = 0, in which
case the equation yields a constant field extension). Hence v , and
consequently u are rational functions of ulv. It follows that the
function field k = k,(u/v), i.e. k is rational.
Theorem 9: In a field of genus zero, every divisor of degree
zero is a principal divisor.
Proof: Let a be a divisor such that n(a) = 0. Then m(a) = 1,
so & contains a single function a. Hence contains 1. It follows
that aa-l is integral. But n(a-la) = 0, and so a-la = 1. Hence
a = a.
Finally we prove the well-known
Theorem 10: The only admissible generators of the field k,(x)
are elements of the form (a + +
bx)/(c dx) where a, b, c, d lie in k, .
Proof: Let p1 , p2 , be divisors of degree 1. Then x = p,/p,
a*.,
say. If u = p3/p1 , then u is integral at all finite primes dividing x.
Thus u is a polynomial in x. Since ordvl u = - 1, thus polynomial
is linear: u = a + bx. Similarly if v = p,/pl, then v = c f dx.
Hence
306 XVI. APPLICATIONS OF THE RIEMANN-ROCH THEOREM
Since n(p,) = 1, w is a generator of ko(x), and conversely, each
generator is of this form.
5. Elliptic Fields
Fields of genus 1 are called elliptic jields.
For such fields the Riemann-Roch Theorem has the form
where b belongs to the canonical class, n(b) = 2g - 2 = 0,
m(b-l) = g = 1. There are several possibilities for the values of
m(a) :
(I) If n(a) > 0, then m(a) = 0.
(2) If n(a) < 0, then m(a) = - n(a).
(3a) If n(a) = 0, and a is a principal divisor, then m(a) = 1.
(3b) If n(a) = 0, and a is not principal, then m(a) = 0.
(I) has already been shown for all fields (Lemma 2 to the
Riemann-Roch Theorem). T o prove (2) we notice that
Hence m(a) = - n(a). In case (3), we see that if n(a) = 0 and
m(a) > 0, then the parallelotope 17, contains at least one function a.
Hence 1 lies in 17+, . It follows that aa-l is integral. But
n(acl) = 0. Hence aa-l = 1, a = a.
Since m(b-l) = 1 and n(b-l) = 0, it follows that b-l, and hence
b, is a principal divisor. Thus the canonical class is the unit class.
A field of genus g # 1 has a divisor of degree 2g - 2. For fields
of genus 1, the minimal positive degree of a divisor can be arbi-
trarily large, (S. Lang, J. Tate, Principal homogeneous spaces over
abelian varieties, Amer. J. Math., July, 1958, remark at end of
introduction).
Case I : There exists a divisor a with degree 1.
This is certainly true for function fields over algebraically
5. ELLIPTIC FIELDS 307
closed fields, because then all primes are of degree 1. We shall
show later that it is true for function fields over finite fields.
Since n(a) = 1, we have m(a-l) = 1 so 1 7 , - 1 contains a function a.
Hence 17,-1,-1 contains 1; thus aa is integral and n(aa) = I. I t
follows that we may assume our original a to be integral. Now
m ( r 2 ) = 2 so 1 7 , - 2 contains two linearly independent functions I
and x. Now xa2 is integral; hence if ko is the constant field of k,
deg (k/ko(x)) = n denominator of x) = 2. We see that a2 = p,
the infinite prime in ko(x).
Since m ( r 3 ) = 3, Ra-3 contains three linearly independent
functions 1, x, y. Now y is integral at all finite primes dividing x.
Hence if y is a rational function of x, this function is a polynomial.
But 17,-s contains no power of x higher than x itself, and y is not a
linear polynomial in x since it is linearly independent of I and x.
It follows that y does not lie in ko(x). Hence k = ko(x,y). T o find
the equation which defines this extension, we consider the parallelo-
tope 4 - 6 . This parallelotope contains the functions 1, x, x2, x3,
xy, y, y2. But m(c6) = 6, so there must be a relation of linear
dependence between these 7 functions. Thus
If the characteristic of k is unequal to 2, 3, we can reduce this
equation to the familiar Weierstrass form
We consider the following situation now: Let k be the field
ko(x,y) where y2 =f(x), deg f(x) = 3, the characteristic of k is
unequal to 2, and f(x) is separable. Then k is the function field of
the curve C
F(x, y) =y2 -f(x) = 0.
aF/ay = 231, hence aF/ay (x, ,yo) # 0 provided yo # 0, if yo = 0
then
since f(x) is assumed to be separable. It follows that aF/ax and
aF/ay never vanish together on the curve. Hence by Theorem 5,
308 XVI. APPLICATIONS OF THE RIEMANN-ROCH THEOREM
each algebraic zero (x, ,yo) of F(x, y) gives rise to a unique place.
The residue class field under the corresponding valuation p is
ko(xo,yo), and f(p) = deg (ko(xo, yo)lko). In particular if (xO, yo)
is a rational point on C, f(p) = 1 = n(p).
Conversely let p be any prime of k of degree 1. Let 4 be the
homomorphism defined by p. Then if
(xo ,yo) is a rational point of C.
We saw in the preceding discussion that there exists an integral
divisor a such that n(a) = 1. a has the property that a2 is the
denominator of x in k. Hence a2 = p, , and a = p, . Hence
n(p,) = 1. If 4, is the homomorphism defined by p, , we have
&(x) = &(y) =co. We may call the pair (co,co) the point at injnity
on C. We have the result:
Lemma: There is a 1 - 1 correspondence between the primes
of k of degree 1 and the rational points of C (including the point at
infinity).
Now let a be a divisor such that n(a) = 1. Then m(a-1) = I.
Thus contains a single function a, unique up to constant
factors. Hence aa is integral and n(aa) = n(a) = 1. That is to say,
cia is a prime p. Thus every divisor class of degree 1 contains a prime.
This prime is clearly unique, since m(a-l) = 1. Further, if a
defines a divisor class of degree 1, then alp, defines a divisor class
of degree 0.If a defines a divisor class of degree 0, then ap, defines
a divisor class of degree 1. Hence we have:
Theorem 11: There are 1 - 1 correspondences between the
elements of the following sets:
The rational points on C and the point at infinity.
The primes of degree 1.
The divisor classes of degree 1.
The classes of degree 0.
Corollary: The class number (= number of divisor classes of
degree 1) is one more than the number of rational points on C.
Clearly the point at infinity corresponds to the unit class.
5. ELLIPTIC FIELDS 309
We now examine the multiplication of divisor classes of degree
zero. Let (x, ,y,), (x, ,y,) be rational points corresponding to the
classes defined by divisors p,/p, ,p,/p, respectively. Let the inverse
of the product of p,/p, and p,/p, be represented by p,/p, . Thus
must be a divisor of the unit class, i.e. must be a function a E k.
Now ci lies in the parallelotope ITP;3. Hence ci has the form
or = a + bx + cy.
Further a has zeros at p, ,p, and hence
Thus we may interpret a geometrically as the straight line joining
(x, ,yl) and (x, ,y,). Unless (x, ,y,) and (x, ,y,) coincide, these
two equations are sufficient to determine a up to a constant factor.
When they do coincide, the argument must be modified slightly:
a becomes the tangent to the curve C at (x, ,y,). Clearly p, cor-
responds to the point (x, ,y,) in which the straight line or meets the
curve again.
Case 2: There exists a divisor a of degree 2.
Since n(a) = 2, m(a-l) = 2, so 17,-1 contains two linearly inde-
pendent functions a, p. Hence, writing x = p/ci we see that
11,-1,-1 contains 1 and x. I t follows that cia is integral. So, since
n(aa) = 2, we may assume our original a is integral, and that
n,-, contains 1, x. Since xa is integral, we see that
deg (k/ko(x))= n(a) = 2,
where ko is the constant field.
Now m ( r 2 ) = 4, so lIa-2 contains 1, x, x2 and a function y.
By the argument of Case 1 (with the obvious modifications), we
see that y does not lie in k,(x), and hence k = ko(x,y). To find the
defining equation, we must consider a parallelotope containg y2
so we examine l7,-4 . This parallelotope contains the functions 1,
310 XVI. APPLICATIONS OF THE RIEMANN-ROCH THEOREM
X,x2, x3, x4, y, xy, x2y,y2. But rn(c4) = 8, SO these 9 functions are
connected by a relation of linear dependence:
Case 3: There exists a divisor a of degree 3.
We can show as in the previous cases that a may be assumed to
be integral. Hence, since rn(cl) = 3, 17,-1 contains linearly inde-
pendent functions 1, x, y. ax is integral. We may assume that a
is the full denominator of x, for otherwise we recover either Case 1
or Case 2. Hence if k, is the constant field, deg (k/k,(x)) = 3.
By the obvious adaptation of the method of Case 1, we see that y
is not contained in k,(x), and so k = k,(x, y). T o find the defining
relation we examine the parallelotope Do-, . This contains the
functions 1, x, y, x2, xy, y2, x3, x2y, xy2, y3. But rn(c3) = 9 so
there is a relation of the form
y3 +(a +bx)y2 + (C+ dx +ex2)y + (f +gx +hx2+mx2) =0.
6. The Curve of Degree n
Let k be the function field of a curve of degree n, that is to say,
let k = k,(x, y) where x and y are related by a polynomial equation
F(x, y) = 0 of total degree n. We assume that F(x, y) is irreducible,
and that it does not give an extension of the constant field. (If F
does give a constant field extension we may make this extension
first; then F is reducible over the new constant field.)
We also require that the coefficient of yn in F(x, y) be non zero.
If this is not already the case, we make a change of variables as
follows: Let #(x, y) be the homogeneous part of F(x, y) of degree n.
Make the transformation x = u + av, y = v . Then # becomes
+
+(u av, v). The coefficient of vn is #(a, 1). We choose a from k,
(or from a separable extension, which does not change the genus)
such that #(a, 1) # 0. The equation F = 0 is now in the form we
require for the proof of
Theorem 12:
g(k) < *(n - 1) (n - 2).
Proof: Let p, be the infinite prime in k,(x). By examining the
dominant terms in the equation F(x, y) = 0 we deduce that
I y lvm 5 <
I x l o rn for all prn dividing p, . Further I y 1 , 1 for all
finite primes p.
Now consider the parallelotope 17, where a = p;" . Since the
effective degree is equal to the degree (there is no constant field
extension) we have nk(a) = - ns. The parallelotope contains all
functions of the form
where &(x) denotes a polynomial of degree i. I t follows that
We may choose s so large that
m(a) + n(a) = 1 - g.
Hence
1 - g b 1 - g ( n - 1)(n-2)
and so we have the required result g < & (n - 1) (n - 2).
312 XVI. APPLICATIONS OF THE RIEMANN-ROCH THEOREM 7. HYPERELLIPTIC FIELDS 313

7. Hyperelliptic Fields
< <
It follows that 0 n(c) g. These results enable us to give simple
examples of parallelotopes which can be shrunk, and other which
cannot.
Let k be any function field, and let l7, be a parallelotope, with
First we show that if b is a divisor of the canonical class, then
m(a) > 0.
a = b-l cannot be shrunk. Suppose b = cb-l and m(a) = m(b).
Thus
Lemma 1: If / 3 ~ kand / 3 a ~ l 7 ,for all a ~ 1 7 , , n k , then /?
lies in the constant field k, .
First Proof: Suppose a,, a,, a*.,a n form a KO-basis for the
Hence n(c) = 0. Since t is integral, it follows that c = 1. Thus
elements of k in 17,. Then /3af = 2 ci,a, (ci, E k,). It follows that
b-l cannot be shrunk.
det (C - PI) = 0 (C denotes the matrix [cij] and I the unit
On the other hand let p be a prime of degree 1. We shall show
matrix). Hence /3 is algebraic over k, . But k, is algebraically closed
that b-lp-l can be shrunk to b-l. We have
in k, and therefore /3 E k, .
Second Proof: Let IIbbe the smallest parallelotope containing
al, .--, a n . Then /3nbis also the smallest. It follows that /3b = b. since n(p) > 0 implies m(p) = 0. Hence
Hence, considered as a divisor, /3 = 1, i.e. /3 is a constant.
Suppose now that 17, C 17,.Then a ( b and b = at where t is an
integral divisor. If a and b have the property that m(a) = m(b) # 0,
i.e. if every field element which lies in 17,already lies in IIbwe may Thus
say that a can be shrunk to b. m(b-lp-l) = g = m(b-l).

Lemma 2: If a can be shrunk to b, and b = ac, then m(c-l) = 1.
Proof: Since t is an integral divisor, 17,-1 contains the elements
of k, . We must show it contains no other elements of k. Suppose
/? E n k. Then /3c is integral. Let a be any element of II, A k.
Then ab-l is integral. It follows that a/3b-lc is integral and so
a/3 E 17bc-1= 17, . By hypothesis, ajl E 176 , and hence, by Lemma 1,
/3 E ko . This completes the proof.
This shows that b-lp-l can be shrunk.
It is easily seen that if a is an integral divisor of degree > 1,
then b-lp-l cannot be shrunk.
We shall now use these results to describe hyperelliptic fields:
A function field of genus 2 2 is called hyperelliptic if it is a quadra-
tic extension of a field of genus zero.
Let k be a function field with genus g 2 2. If b is a canonical
divisor, IIb-lcontains linearly independent elements x, , x, , xg
..a,

We apply the Riemann-Roch Theorem to this divisor c-1 of k. If or is any element of k, norb-l contains ax,, ax2, .a-, axg.
obtaining Since the divisor class of b is an invariant of k, it follows that the
subfield

Thus
is an invariant subfield of k.

Theorem 13: If k # k', then k is hyperelliptic.

314 XVI. APPLICATIONS OF THE RIEMANN-ROCH THEOREM 7. HYPERELLIPTIC FIELDS 315

Proof: Let deg (klk') = p 2. The effective degree m(k/k') = p Lemma: If k is any field of genusg 2 2, and k' is a subfield of
also since k and k' have the same constant field. By choosing genus zero, then
cu = xyl we may assume 1, x2, xg E 17D-land so k'x, k'x, + +
... + k'x, # k.
k' = kO(x2, ---,
x,). Proof: Since
Now b-l is the greatest common divisor of 1, x, , xg in k, i.e.
em.,
dim,, (V' :l7; + k') = Z'(1) =g' = 0,
ord, b-l = mini ord, xi; otherwise we could shrink b-l, which is
impossible. It follows that b-l is also a divisor in k'. Now let
we see that V' = 17,' + k. Now
ml(a), nl(a), g', b' have the obvious meanings for kt. We see that
Hence
q x1 + -..+ 17; x, cn,-, .

this last equality holding because 1, x, , ..., xg E k', and so &I.

We apply the Riemann-Roch Theorem to b-l in k' and get

n (b-l) + ml(b-l) = m' (T)

b
+ 1 -g',

Hence
From this we obtain
xlV' + x,V' + ... + x,V' f v.
But if
xlk' + x&' + .--+ xgkl= k,
Hence some of the x, , say x, , x, , -a-, x, form a basis for klk', and hence
by Chapter 13, Theorem 2

But l/b' divides b/bl, hence

It follows that ml(b/b') = m'(l/bf). If g' = 0 this means that we
can shrink the parallelotope II(bl,-i. But we have seen that this
is impossible. Hence g' = 0, and m1(b/b') = g' = 0. It follows
that (p - 2) (g - 1) = 0. Hence p = 2 and k is therefore a quad-
ratic extension of k', i.e. k is a hyperelliptic field.
For the converse of the theorem we need the following
This contradiction completes the proof of the lemma.
Theorem 14: If k is hyperelliptic, then
is the only quadratic subfield of genus zero.*
* For the sake of brevity we say that k' is a quadratic subfield of k if k is a
quadratic extension of k'.
316 XVI. APPLICATIONS OF THE RIEMANN-ROCH THEOREM

Proof: Let k' be any quadratic subfield of genus zero. Then +

have m(a,) = g 3 and so 17,2contains 1, x, x2, d+l,y. By
- a * ,

familiar arguments we can show that y does not lie in k,(x) and
hence k = k,(x, y). We have then ordPmy2 2g 2 for at least +
one p , dividing p, . T o find the defining equation of the extension
k/kl, which is quadratic, we must find a parallelotope containing y2.
since deg (k/kf)= 2. If we adjoin to k' any element of k, not already Hence we choose i such that - g +
1 - i = - 2g - 2, i.e.
in k', then we obtain all of k. It follows that xJx1 E k' for all i. Hence +
i = g 3. The parallelotope contains 1, x, x2, -.-,~ ~ gY+9 ~ ,
xy, ---, d+ly, y2. But m(ag+,) = 3g +
5. Hence between these
+
3g 6 functions there is a relation of linear dependence, which we
may write

By the preceding theorem, ko(l, x2/xl, .-a, xg/xl) is a quadratic

subfield of k. Hence where deg &(x) i. <
Now y determined only up to a polynomial of degree g 1 in x, +
so if the characteristic is not 2, we may assume y 2 = f(x) where
deg f(x) < + 2g 2. Since y appears for the first time in the paral-
lelotope n,;g-l,we must have deg f(x) > 2g. Hence the degree
Now let k be a hyperelliptic field. Let k' be its unique quadratic of f(x) is either 2g + +
1 or 2g 2. We notice also that f(x) must be
subfield of genus zero. If b is a divisor of the canonical class of k, square-free, otherwise we would obtain another y in an earlier
b is also a divisor of k', and we have nf(b) = g - 1. Since k' is of parallelotope.
genus zero every divisor of degree zero is principal. Hence all
divisors of k' of the same degree belong to the same divisor class. Case 2: k' is the function field of a conic without rational
It follows that b can be taken to be any divisor of degree g - 1 in k'. points.
We notice that if k' is the function field of a conic without rational + +
Then k' = ko(xl , x,) where ax12 bxg2 .-.= 0 and a # 0,
point, an hence has no divisors of odd degree, then the genus b 0. In this case we may take b = pz,g-1)'2where p, is the
#
g of k must be odd. infinite prime in ko(xl). Then ITb-1 contains the linearly independ-
Case I: k' is a rational field, k' = k,(x).
ent functions 1, xl , x12 , ..., x : ~ - ~ ,) /x2 --
~ , x2x1, -,x ~ x ~ ~. The
-~)/~
rest of the development of Case 2 is left to the reader.
Here we may take b = pg-l, where p, is the infinite prime in
k,(x). Then Ub-l contains the linearly independent elements 1,
X, d-l. We now examine the parallelotopes ITfli where
-as,
8. The Theorem of Clifford
% =p-(g-l)-,. When i > 0,
Lemma 1 : Let fl(xl , ..., x,), fm(xl ,
- a * , x,) be non zero
as-,

polynomials in ko[xl , ..a, xr]. Then there exists an integer N

depending only on r, m, and the degrees of the f, such that, if k,
and hence by the Riemann part of the Riemann-Rocb Theorem, contains more than N elements, then there exist values xl = a,,
n(a,) +
m(a,) = 1 - g, whence we have m(ai) = 2i - 1 g. + x2 = a 2 , ..., X, = a, in k, such that
When i = 1, m(ai) = g +
1, and IT,' contains 1, x, x2, -.., xg, so
we obtain no essentially new functions. When i = 2 however, we
318 XVI. APPLICATIONS OF THE RIEMANN-ROCH THEOREM 8. THE THEOREM OF CLIFFORD 319

Proof: The proof proceeds by induction on r. The result is Proof: If q o - 1 , IIbo-1 are the smallest parallelotopes containing
clearly true when r = 0, since the polynomials fi are then non zero all elements of 17,-1 n k , IIb-1 n k respectively, then
constants.
Consider the polynomials fi as polynomials in x, with coeffi-
cients in k,[x, ,x, , ...,x,-,I. Let the non zero coefficients of all
thef, be denoted b y g , ( x , , x,-,). By induction hypothesis there Further,
exists an N such that if k , contains more than N elements we can
achieve simultaneously gv(al , a,-,)
a*., + 0 for all v, with elements
ai E ko . Suppose k , contains enough elements for this result. Then
whence
consider the polynomials fi(al , ...,a,-, , x,). Clearly if k , contains
enough elements, we can choose x, = a , so that fi(al , am-, a,) = 0
(i = 1, m). This completes the proof.
Consequently if the theorem is proved for a, and b, we have
Lemma 2: Let x, , x, , ..., x, be elements of a field k linearly
independent over its constant field k , . Let 17, be the smallest
parallelotope containing all the xi; a = Qvv. Let pl , ..., p, be a
finite set of primes. Then if k , contains enough elements, there
exists a linear combination x = clxl + +
.-. c,x, (ci E k,) such that
ordp, x = vPi (i = 1, m).
me-,
We may therefore assume at the outset that 17,-1 and Ub-1are the
smallest parallelotopes containing &-I n k and nb-1 n k.
Proof: Suppose If k , is an infinite field we have already enough constants for
Lemma 2. If k, is a finite field, a sufficiently high separable exten-
min ordprx,, = vpt = ordPi X3. . sion will provide us with enough constants. Since m(a-l), m(b-l)
Ir
do not change under a separable constant field extension, (see
We write y , = x , / x j . Then ord,<y, 2 0, i.e. the y, are local Theorems 21, 22, Chapter 15) we may assume that k , already
integers at p i , and y j = 1. The lemma will be proved if we can contains enough elements.
find elements ci E k , such that y = c,y, + + cry, has ordinal According to Lemma 2 we can find an element a ~ 1 7 ,n- ~ k
zero at pi for i = 1, ..., m. such that ord, a = ord, a-l for a11 primes p dividing a and for
Let yv(pi) denote the homomorphic map of y , at the prime p, . all primes p dividing b. If cu. = al/a we see that a, is relatively prime
Then we must find ci E k , such that to a and b. We also see that

and
According to Lemma 1 this can be accomplished if k , contains
enough elements.

Theorem 15: If a and b are integral divisors, then Hence we may assume that a and b are relatively prime, i.e
320 XVI. APPLICATIONS OF THE RIEMANN-ROCH THEOREM
Finally we have
+
Hence if a ED,-, f3 k, /3 ED,-, n k, and a /3 = 0, then a and fi
+
are constants. The dimension of the set(&-I n k) (Ub-1 n k)
is therefore m(a-l) +- m(bW1) - 1. But this set is contained in
17,-16-1 n k. Hence its dimension is at most m(a-lb-l). This gives
the required result.
If f is a divisor class, a any divisor in it, m(a-l) is the dimension
of f. In the cases where m(a-l) = 0 or m(aib) = 0, the Riemann-
Roch Theorem gives a complete description of the dimensions of f
and W/f . If m(a-l) # 0 then f contains integral divisors and we
may assume that a is integral. If Wif contains an integral divisor 6
then W contains b = ab. Since m(b-l) = g we obtain the following
complementary result to the Theorem of Riemann-Roch:
Theorem 16: (Cliflord's Themem). If b is an integral divisor
of the canonical class W, and b = ab where a and b are also integral,
then
Since by the Riemann-Roch Theorem
we obtain
An equivalent statement to Theorem 16 is therefore
Corollary: If m(a-l) > 0 and m(a/b) > 0, then
CHAPTER SEVENTEEN
Differentials in Function Fields
1. Preparations
In this chapter we shall be dealing with function fields in the
sense of Chapter 13, i.e. with fields of algebraic functions in one
variable. In the present section we prove some preliminary results
which will be used in the sequel.
As usual, k shall denote a function field of our type; k, its field
of constants. R = k,(x) shall denote a rational subfield.
Theorem 1: There are infinitely many separable irreducible
polynomials in k,[t].
First Proof: We may prove the theorem directly by considering
two cases. If k, is an infinite field, all the linear polynomials
t - a (a E k,,) are separable. If k, is finite, the existence of such
polynomials is well known.
Second Proof: It is possible to give a unified proof for both cases
by adapting Euclid's proof that the number of primes is infinite.
Suppose p, , p, , ..., p, are separable polynomials. Let
f =P1Pz ...P, + 1.
Then
f' is not identically zero since the first term is not divisible by p,
and p,' # 0, and the remaining terms are all divisible by p, .
Therefore f has an irreducible factor p,,, which is separable.
Now let p(x) be a separable polynomial of R = k,(x). Then
321
322 XVII. DIFFERENTIALS IN FUNCTION FIELDS 2. LOCAL COMPONENTS OF DIFFERENTAILS 323

I p(x) I < 1 and I p'(x) ,1 1. By Hensel's Lemma, the comple-

= Now
tion R*(p) contains a root x, of the equation p(t) = 0 and x = x, .
The residue class field under I , 1 is kl = k,(x,), and x - x, is a
prime element in R*(p). Hence by Theorem 5 of Chapter 3, R*(p)
is isomorphic to the field of formal power series in x - x, with
coefficients in k, :
R*@) = kl{x - x,). since I Hp(0 1, <
1 for p # p, p, and hence Ag(Hp([)) =0 for
Now let k be a finite extension of R and p a prime in k dividing p. q # p, p, . We have therefore
Then if k*(p)/R*(p) is unramified, the residue class field ko
under I ,1 is a separable extension of kl , and hence of KO. x - xo
is still a prime element, and hence Thus if we write

2. Local Components of Differentials
In Chapter 13 we defined for a rational subfield R the normed
differential A([), describing A([) by its infinite component
(the development of H,(S) at p,) where a is the coefficient of
xmr-I in $(x) (r = degp(x)), we have
Let k1 be a finite extension of k, in which p(x) splits completely:

The maximal parallelotope on which X vanishes is n,;. We now

wish to examine the components of A([) at the finite primes p Then R, = kl(x) has the same infinite prime as R = k,(x), and so,
(i.e. irreducible polynomials p(x)). Thus we wish to find in an obvious notation, we have
A,([) = A([,). Clearly A([,) = 0 if I t9 I 1.<
Any tP E R*(p) can be written in the form

Further,
where deg rj$(x) < deg p(x). We consider the principal part

For each or, we can write

where
324 XVII. DIFFERENTIALS IN FUNCTION FIELDS

coefficients are polynomials in a,, with coefficients independent Similarly

of a,. Thus if
~ ( a+n
= =JR wRx.
H,([) = +- -'- + ...,
A!?
The local component is written
x - a,,

all the A?! are conjugates over k, . According to the preceding

discussion
and similarly for CL,(~).
We have the relation
&")(~,(0) = A?; ':.

Hence

Let k be a finite extension of R = k,(x). We define the differential

dkx of k by giving its value
.
When p(x) is a separable polynomial and a, one of its roots, we see
that
for each valuation vector X:

Hence if p(x) is separable we have

where p is a prime in k dividingp in R and S, denotes Sk*(p)lR*(p) .

3. Differentials and Derivatives in Function Fields
We now change our notation, and denote the normed differential
in R, hitherto called A, by d,x. The differential p such that
p ( [ ) = A(&) is then denoted by adRx. The value of the differential X
for the valuation vector 5 is now written
Clearly dkx = 0 if k is inseparable over R.
Suppose now k is separably generated, and x is selected so that
k/k,(x) is separable. According to Theorem 8 of Chapter 13, two
differentials are equal if they are equal at one local component.
We make use of this fact and study differentials locally at a con-
veniently selected prime p(x). We choose an irreducible polynomial
p(x) in R which is separable and unramified in k. This choice is
always possible since the number of separable primes is infinite
and the number of ramified primes is finite.
In the notation of section 1 of this chapter, if p is a prime dividing
p(x), we have
k*(p) = k,(x - x&,
326 XVII. DIFFERENTIALS IN FUNCTION FIELDS 3. DIFFERENTAILS AND DERIVATIVES IN FUNCTION FIELDS 327

where k2/kl is separable, and hence k,/k, is separable. We may write Hence p induces on R' = ko(y) the valuation defined by q(y). We
can define a normed differential dRty in k,(y) as we did before for
k,(x), and then we define dky by the relation

Then

The differential dky is non trivial since AIR' is separable and dRly
is non trivial. For our chosen prime p we can argue as before and
Hence we have obtain
f P
Xpdk~ = Skalko (Rest (x, $))
We compare this result with the previous one:

(Res4X
jPXPdkx= SkzIko P "3).
-

In Chapter 10 we defined the derivative dxldy and obtained the

Now (x - x,) is a local uniformizing parameter for k*(p). In Chap-
result
ter 10, section 3 we saw that if t is any other local uniformizing
parameter then
d(x - x ) dx
Res, )
(X,) = Rest (xP dt ' = Reat (XP =) Hence we have the local result
The derivative dxldt was defined for power series fields in Chap-
ter 10. Hence if t is any local uniformizing parameter in k*(p),
Now let k be a finite separable extension of k,(y), x any element
of k. We wish to define the derivative dxldy in k. The global
field k is contained in each of the specially selected local fields
Now let k,(y) be another rational subfield of k, with the property k*(p), and according to Chapter 10 we can define dxldy in these
that k is separable over k,(y). Let p be chosen in k to satisfy the local fields. We have to show (I) that dxldy as defined in k*(p)
additional conditions: has a value in k, and (2) that this value is independent of p.
p does not divide the denominator of y, Let F ( X , Y) = 0 be the relation satisfied by x and y in k. This
relation is also satisfied in every k*(p). In every k*(p) we have
p is unramified over k,(y).
Let k, be the residue class field of k at p, and let y = yo (mod p),
yo E k,. Then since k, is separable over k, ,yo satisfies a separable
irreducible polynomial q(t) over k, . Then Hence
328 XVII. DIFFERENTIALS IN FUNCTION FIELDS 4. DIFFERENTIALS OF THE FIRST KIND 329
which is an element of k, and is clearly independent of p. dxldy is
4. Differentials of the First Kind
well defined since F,(x, y) # 0, because x is separable over k,(y).
Thus we have defined dxldy globally provided x is separable over
Let k be a separably generated function field. Let x be a sepa-
~O(Y). rating element of k, y any element. We shall study the differential
All the usual properties for derivatives then hold in k because
ydx. First we require a
they are already-satisfied in the local fields.
Now since dxldy is an element of k, dxldy d,y is a differential of k.
Lemma: If k is separably generated and p is any prime, there
We have already seen that the local components of dxldy dky
exists a local uniformizing parameter t in k such that t is a separating
and dkx are equal at the specially selected prime p. Hence by
Theorem 8 of Chapter 13, element.
Proof: Let x be a separating element. If we replace x (if
+
necessary) by llx, x 1, or llx + 1, we can ensure that p is neither
a pole nor zero of x. Let T be any local uniformizing parameter in k.
We drop the subscript and denote the differentials simply by Suppose T is not a separating element. Then dr/dx = 0. Set t = TX.
dx, dy, . Then Xdx denotes the value of the differentials dx
Sk Then t is also a local uniformizing parameter. We have
at the valuation vector X. The formula (*) now yields

Theorem 2: If k is separably generated and y is a separating

element, then Hence t is a separating element.
A prime p of k is said to be regular if the residue class field of k
at p is separable over k, . Clearly if k, is perfect every prime of k
is regular.
Evidently this result justifies both the name 'differential' and the Let p be a regular prime. Let t be a separating local uniformizing
notation we have introduced. parameter. Let R = k,(t). Then p induces on R the valuation defi-
ned by the irreducible polynomial p(t) = t. Further p is unramified
Corollary: In the situation of Theorem 2, we have for all over k,(t) since t does not split and the residue class field i4p = k,
primes p is separable over k, . Hence, according to our previous discussion,
we have

The formula (*) is also true when dx = 0, i.e. when k/k,(x) is

not separable. We consider In Chapter 10 we defined

Then F,(x, y) # 0 since x is separable over k,(y) by hypothesis. and we saw that this was independent of the choice of local uni-
Suppose also that FJx, y) f 0. Then y is separable over k,(x) formizing parameter t. We have therefore for regular primes p
and hence k is separable over k,(x) contrary to our assumption.
Hence dxldy = 0, and (*) is satisfied.
330 XVII. DIFFERENTIALS IN FUNCTION FIELDS 4. DIFFERENTIALS OF THE FIRST KIND

If p is a prime of degree 1 (in particular, if k, is algebraically closed), Hence, since dx dyldx = dy, we have

Let Let b be a divisor of the canonical class. Let A([) be a fixed

differential which vanishes on Ub-l (maximal). Any other differen-
Y
dx
= 2 aJV, tial may be written in the form A(ol[) with a E k. The maximal
parallelotope on which A(aQ vanishes is 17,-lb-1. A differential is
v-m

where a, # 0. Then we see that
Hence if ord, 5, >
- m we shall have $, 5,ydx = 0.
other hand, if ord, [,= - m - 1, say 5P = crrn-l, we have
which is not always zero. Hence if 17,is the maximal parallelotope
on which ydx vanishes, we see that ord, a = - m. If m 2 0 we
say that ydx is regular at p. If m = - r < 0 we say that ydx has a
pole of order r at p. If the maximal parallelotope on which ydx
vanishes is 17, where a = l7pVp,then we shall sometimes say that
ydx = a-' = np-'p.
Let dx be defined as in section 3. Then the maximal parallelotope
in k,(x) on which dx vanishes isup;. By Theorem 10 of Chapter 13,
the maximum parallelotope in k on which dx vanishes is I I P 2 g
where D, is the different. Writingp, = u, , to denote the divisor in
k which is the denominator of x, we see that we have the factoriza-
tion
said to be of the Frst kind if it vanishes on the unit paralleotope Ill
in k. Hence A(a[) is a differential of the first kind if and only if
Ul C 17,-lb-1 , which is equivalent to or E Ub-l. Since m (b-l) =g,
we have
On the
Theorem 3: There are precisely g linearly independent dif-
ferentials of the first kind in a field of genus g.
As an example we shall find the differentials of first kind in the
field k = k,(x, y) where y2 = f(x), f(x) being assumed square-
free. We assume also that k has genus g >, 1 and that the charac-
teristic of k is not 2.
Let R = k,(x). We must find the different D, of k/R. Let p(x)
be an irreducible polynomial in R. Clearly p(x) is unramified and
makes no contribution to 2), if p(x) does not divide f(x). On the
other hand, if p(x) divides f(x) then p(x) is ramified and the rami-
fication number is 2. Hence the ramification is tame. If p in k
dividesp(x) thenp(x) = p2, and the p-contribution to D, is pe-l = p .
Thus the contribution made to D, by the finite primes is exactly
equal to that of y = m). T o find the contribution made by the
infinite prime, we replace x by I/x and obtain y2 = f(l/u); multi-
plying by ~ ~ we g obtain
+ ~ ( y ~ g + l=
) ~f(l/u) ~ ~ g pm
+ ~ will
. make a
contribution if and only if u is a divisor of the polynomial

If It follows that the infinite prime makes the same contribution

as p:+ly. Hence we have D, = yp:+l. We have now

with a, # 0, at a regular prime p, then pm is the p-contribution

to %,/ux2. We have a similar factorization dy = DY/uY2.
332 XVII. DIFFERENTIALS IN FUNCTION FIELDS 4. DIFFERENTIALS OF THE FIRST KIND

< <
Now let x = p,/p, . Then for 0 v g - 1, xVdx/y= ~,,"pg;l-~ Hence
is a differential of first kind. But since the xvdx/y are g in number,
it follows that a basis for the differentials of first kind is given by

-dx - xdx ... -

xg-ldx
Since y E k, we have
dfrn' df(X)' ' d f i ) '
Let a be an integral divisor, a # 1. We wish to construct, if
possible, differentials ydx having no poles of higher order than
indicated by a, i.e. such that aydx is integral. Thus
Clearly if X(ci6) is a differential of this type, A(&) must vanish
on IT,, i.e. 17, C17,-ib-1. Hence X(ci4) is a differential of this 2 R a p (ydx) = 0.
P
type if and only if ci ~17,-l~-i. By the Riemann-Roch Theorem
From this result we see again that a differential cannot have a single
pole of order 1. We also see that if a differential ydx has poles of
order 1 at two distinct primes p1 and p, and no other poles, then

since n(a) > 0 implies m(a) = 0. Hence Rap, (ydx) = - Resp, (ydx).

Altering ydx if necessary by a constant factor, we can ensure that

We consider the special cases:

Case I : n(a) = 1, a = p . In this case there are g linearly Now let p1 , p, , p , be given distinct primes and c, , c, , ..., c,
em.,

independent differentials with the required property. But the given elements of k, such that C c, = 0. We shall show how to
differentials of first kind have this property (they have no poles construct a differential which has simple poles at the given primes
at all). Hence only the differentials of first kind have the required with residue ci at pi. T o this end we construct differentials yidx
property. Thus there are no differentials which have exactly one (i = 2, r ) such that
..a,

pole of first order.

Res,, ( y d x ) = +1 and Res,, (y,dx) = - 1 .
Case 2: n(a) = 2, a = p,p, . Here there are g + 1 linearly
independent differentials with the required property. Among these Then clearly
are theg differentials of first kind. It follows that there is a differen-
tial which has poles of order 1 at p, and p , . ydx = c0,dx + -.-+ c,y,dx
Suppose now that k, is algebraically closed, and hence perfect.
Then k is separably generated. Every prime is of first degree, and is a differential with the required property. This differential is not
if t is a separating local uniformizing parameter for p , we have unique, but obviously two differentials with this property differ
only by a differential of the first kind.

APPENDIX
Theorems on p-Groups
and Sylow Groups
1. S-Equivalence Classes
Definition 1: If C is a subset of a group G , then the set of all
x E G satisfying xC = Cx (or xCx-l = C ) is called the normalizer
Nc of C in G.
One sees immediately that Nc is a subgroup of G. Should C
be a subgroup of G then C is contained in Nc and is a normal
subgroup of Nc . N, is then the largest subgroup of G having C
as normal subgroup.
Definition 2: Let S be a subgroup of G , Cl and C, subsets of
G . We say that Ci is S-equivalent to C, if C, = xClx-l for some
x E S.
It is easy to see that this is an equivalence relation.
Let C be a given subset of G. In order to find the number of
sets S-equivalent to C we ask when xCx-l = yCy-l for two
elements x, y E S. This equivalent to y-lxC = Cy-lx, hence
to y-lx E Nc . Since y-lx E S this means y-lx E S n Nc or
x ~y - ( S n N,). Hence x and y have to be in the same left coset
of S modulo S n Nc . This shows:
Lemma 1: The number of sets in the S-equivalence class of C
is the index:
(s/sn NC)
Should S = G this simplifies to (GIN,). In this case we call the
G-equivalent sets also conjugate sets.
334
2. THEOREMS ABOUT P-GROUPS 335
If C consists of one element only, then the conjugates of C have
also only one element. This gives a distribution of the elements
of G into classes of conjugate elements. The number of elements
in the class of a is (GIN,). This number is 1 if N, = G, or if
ax = xa for all x E G . The set Z of all these a forms an abelian
normal subgroup of G , the center of G.
Let G be a finite group of order n, Z the center of G, and x the
order of Z. G is covered by its classes of conjugate elements. An
element a outside Z lies in a class with (GIN,) elements and (GIN,)
will be greater than 1. Counting the number of elements in G
we obtain a formula of the type
n =z + 2 (GIN,)
where each term in the sum is greater than 1
2. Theorems About p-Groups
A group whose order n is a power pr of a prime is called a
p-group. I n formula (2) for n = p7 each index of the sum is a
power p8 > 1. Therefore z must be divisible by p. This shows:
Theorem 1: A p-group G # 1 has a center Z of an order > 1.
Corollary 1 : A p-group G # 1 contains an invariant subgroup
of order p.
Corollary 2: One can find a chain
1 = G,CGICG,C CG, = G
of invariant subgroups Gi of G such that each index
(G*+l/G*)=P.
Proof: Corollary 1 shows the existence of an invariant sub-
group GI of order p. By induction one may assume the existence
of a chain in GIG,:

The chain
1 =GoCGlCG2C..-CG,
has the desired properties.
We prove:
Theorem 2: Let G be a p-group, S # G a subgroup. Then
N s # S.
Proof: Let Z be the center of G. We prove the theorem by
induction.
Case 1: If Z i# S, any element a of Z that is not in S shows
that N, # S.
Case 2: Let Z C S . Consider the natural homomorphism of
G onto G/Z. S is mapped onto S/Z. Since Z C S C N s , Ns is
mapped onto N,/Z and Ns/Z is the largest subgroup of G/Z that
has S / Z as normal subgroup. We have to show Ns/Z # S/Z. But
this is our theorem in the group G/Z of smaller order.
Corollary 1: If S is of index p in G, then S is normal in G.
Indeed Ns can only be G itself.
Corollary 2: If S C G, S # G, then there exists a group Sl
between S and G such that S is invariant subgroup of S, of indexp.
Proof: S C Ns and S # Ns . Let Sl/Sbe a subgroup of Ns/S
of order p. S1has the desired properties.
Corollary 3: There always exists a chain
such that G,-I is normal in G, of index p.
The proof follows from the preceding corollary.
3. The Existence of Sylow Subgroups
Let G be a finite group of order n, p a prime and pr the exact
power of p dividing n. A subgroup P of G of order pr is called a
4. THEOREMS ABOUT SYLOW SUBGROUPS 337
Sylow subgroup of G. We prove that it exists always. If r = 0
the statement is trivial so we are concerned only with the case
r > 0.
Lemma 2: Let G be abelian and p I n. Then G contains an
element of order p.
Proof: By induction. Select an element a # 1 of G and let d
be the period of a. If p I d then adlp is the required element.
Let p 1. d and call S the cyclic subgroup generated by a. The
factor group G/S is of order nld < n and p I nld. So there is an
element bS in G / S of exact period p. Let e be the period of b:
b2 = 1. Then (bS)e = S. Therefore p I e and help is the required
element.
Theorem 3: Every group G has a Sylow subgroup.
Proof: We proceed by induction on the order n.
Case 1: G has a subgroup S # G of an index prime to p.
The order of S is then divisible by exactly pr and is less than n.
Therefore a Sylow subgroup P of S exists and is Sylow subgroup
of G.
Case 2 (actually only possible for p-groups). Every subgroup
S # G has an index divisible by p. We return to formula (2) and
see that n as well as each term in the sum is divisible by p. Hence
p I z the order of the center Z of G. Let S be the cyclic group of
order p generated by an element a of order p of Z (use Lemma-2).
S is normal subgroup of G. Let PIS be a Sylow subgroup (of
order pr-1) of G/S. Then P is of order pr whence a Sylow subgroup
of G.
4. Theorems About Sylow Subgroups
Let G have order n, divisible by exactly pr, P a Sylow subgroup
of G. Let S be any p-subgroup of G (not necessarily itself a Sylow
subgroup of G).
Lemma 3:
SnNp=SnP.
 Proof: That S n P C S n N, is trivial. We show the converse.
S n N, C S, hence S n N, = S, is a p-group. Since S, C N p
we have x P = P x for each x E S1. Therefore SIPis a group and P
is normal in it. We have for the index
(S,P/P) = (Sl/Sl n P ) = power of p. Index of Symbols
So SIP is itself a p-group containing P. Since P is a maximal
p-subgroup of G we get SIP = P whence S, C P. S1 C S shows
deg 6 , 60
S n Np = Sl C ( S n P). dim f, 301
dx, 328
Consider all transforms of P: xPx-l, x E G. Their number is d K x , 325, 327
(GIN,). Since P C N, , this index is prime top. d R x , 324
Distribute these transforms Pi into S-equivalence classes. The
number of transforms in the S-equivalence class of Pi is given by
the index (SIS n N p i ) so in view of Lemma 3 by (SIS n Pi).
We obtain a formula of the type A, 135
A H , 116, 119
e . 53
[A],92
e p , 233
( A :B), 261
e v , 271
Each term on the right side is a power of p. Since the left side is ( A ,HI, 115
E, 135
prime to p it must happen for some Pi that ( S / S n Pi) = I or [E : k], 127 (as used in Parts (11, III)*
SnP,=SorSCP,. ( E : R )= f, 54
Hence S is contained in some transform of P. ( E : K), , 133
Let for a moment S be itself a Sylow subgroup. Then S = Pi .
So the transforms of P are all Sylow subgroup of G.
Let S = P. Then
( S l s n Pi) = (PIP n Pi) = 1

happens exactly one, namely for Pi = P. All other terms in (3) are
divisible by p. (3) shows (GIN,) E 1 (modp).

Theorem 4: All Sylow subgroups P of a group G are conjugate.

Their number, the index (GIN,) is r 1 (modp). Everyp-subgroup
S of G is contained in a Sylow subgroup of G. deg a, 13
deg a, 60

*Note: [E: K ] , as used on pages 36 and 60 denotes the degree of a field

extension.
3 39
 INDEX OF SYMBOLS INDEX OF SYMBOLS

Pm , 13,231
P,238, 246
p, 54, 86, 136, 225, 271, 293
8, 54
pm , 231
PIP, 231

m(a), 262 r(a), 265

m ( K / k), 272
!Dl, 225 R, 230, 246, 321
R, , 5 8
n~ , 271 f uxdy, 194
np , 233 Resko(c),148
n(a), 261
nda), 278
Res, x, 198
Rest y , 201
1 Xdx, 328

n(K I k), 274 Res(ydz), 202

N , 215, 216, 246 s, 226

N , , 335 S = S E I K ,86
N , , 334 SF^ , 257
Na , 226 S(EIK), 127
N ( 4 , 22 S'(E/K), 133
N(c), 113 S ( X ) , 258
N A , 130, 145
N K I ~145 , T,66
N K / L ,151, 174 T'. 86
k (a field) Nil-, , 174 T,,153 co, co), 308
k", 241 T,,155 a1 < l b l , 2 9 7
kl , 322 Tm , 206 a 1, 297
kz , 322, 326
a 1, 37, 43, 223
k', 313 5,72
k, 54 a 1, 240,261
A, 17, 171 x I, 3, 11
u,, 108 @ ( x )1, 28
k*, 3 U E , 170
( k ) i , 10 f ( x ) 1, 12, 13
u , , 170
K D , 10 ord a, 13 u , , 169
ord or, 37, 82, 172
ord, a, 13, 233
ord, a, 13
f (4,14
(K: k) = deg ( K 1 k) = T h e degree o f ordm f ( x ) , 14
a field extension* OM 1, 98
K, 282 ord 7 , 160, 178
K M , 181 ordp a, 226-7
KO, 271 ordp a, 233
x dy, 194
*Note: In Part I this is also referred to as ( K : k). X v , 255
INDEX OF SYMBOLS

Subject Index

Abelian group(s) Center of a group, definition, 335

- character of a finite, 71 C-family (of field extensions), definition,
- dual of an, 71 282
- pairing operations on, 71 Character (of a finite abelian group),
Absolute value definition, 71
- of a divisor, 261 Chinese Remainder Theorem, 167
- of an idele, 240 Class
- 'ordinary', 12 - number, 308
Algebraic - of differentials, 264
- closure of a complete field, 43 Clifford's Theorem, 320
- constant algebraic field extensions, Coboundary operator, definition, 114
279 Cochain
- curve, 297 - continuous, 117
- of degree n, 31 1 - definitions, 114
- rational point of a, 304 Cocycle
- point, 296 - continuous, 117
- variety, 296 - definition, 114
Approximation Theorem, 10 - 'split', 116
Archimedean valuation, definition, 6 Cohomology group, definition, 114
Axioms for PF-fields, 225-6 - second, 116
Complementary
Basis, complementary, definition, 89
Brauer factor set relations, 124
- basis, 89
- set, 86
Canonical Complete
- divisor class, 264 - fields, 17, 19
- generator (of a Galois Group), 128, - linear series, 301
153 - ring of valuation vectors, 239
- homomorphism (from the second Completion
cohomology group), 115 - at p, 18
Cauchy - at the infinite prime, 18
- criterion, 47 - of a field, 17
- filter Composite extensions, definition. 218
- convergent, 239 - equivalent, 219
- definition, 239 Conductor of an extension, definition,
- sequence (with respect to a valua- 143
tion), 17 - for cyclic p-Extensions, 203
343
344 SUBJECT INDEX SUBJECT INDEX

Conjugate sets (in a group), definition - of a field, 246, 325 Euler, 90 Field extension(s)
334 - of the first kind, 331 Existence theorem, 181 - c-family of, 282
Conservative field, definition, 291 - residue of a, 202 Extension - see Field or Group Exten- - composite, 218
Constant field extensions, 271 Dimension sion - conductor of a, 143
- c-family of, 282 - of a divisor (class), 262 Extension of a valuation, 21 - constant, 271,276
- definition, 276 - of a Kronecker product, 218 - archimedean case, 24 - defect of a, 63
- finite algebraic, 279 - of a linear series, 301 - of a non-archimedian field, 28, 37, - degree of an element of a, 60
Constants, field of, definition, 226 Discrete valuations, definition, 56 43 - divisors in a, 278
Continuous - ramification theory for, 82 - of a non-complete field, 223 - Eisenstein, 93
- cochain, 117 'Divides' - ramification of an extended valua- - finite algebraic constant, 279
- cocycle, 117 - a divides a, 260 tion, 53 - Galois Group of a, 103
Convergence - a divides b, 260 - t o k(i), 23 - genus in a, 284, 287
- of a Cauchy filter, 239 - p divides p, 23 1 - to the completion of a field, 17 - infinite separable, 291
- of a power series, 48 Divisor(s) - normal, 103
- of a series. 47 - absolute value of a, 261 f, definition, 54 - of PF-fields, 235
Curve - see Algebraic curve - canonical divisor class, 264 Factor set, definition, 110 - purely ramified, 83
- class, 240 - relations (Brauer), 124 - tamely ramified, 67
Dedekind, 293 - definition, 240 Field - unramified, 65, 127
Defect of an extension, definition, 63 - degree of a, 261 - complete, 17 - valuation vectors in a, 241
Degree - denominator of a, 241 - completion of a, 17 - with degree equal to the charac-
- effective, 272 - dimension of a, 262 - conservative, 291 teristic, 180
- local, 224 - in an extension field, 278 - differential of a, 246, 325 Filter
- of a divisor (class), 261 - integral, 241 - elliptic, 306 - Cauchy, 239
- of an algebraic curve, 311 - numerator of a, 241 - function field - see Function - definition, 239
- of an element of an extension field, Dual field - convergent, 239
60 - group, 71 - genus of a, 263 Finite intersection property, definition,
- of a residue class, 60 - space, 245 - hyperelliptic, 312 106
- residue class degree, 54 Dyadic square, definition, 35 - inertia, 66 First countability axiom, 108
Denominator of a divisor (ideal), defini- - normed, 24 f-neighborhood, definition, 166-7
tion, 241 e, definition, 53 - number, 246 First inequality, 132
Derivative of a power series, 198, 200 Effective degree, definition, 272 - of constants, 226 Fractional ideal, definition, 86 (see ideal)
- in function fields, 324 Eisenstein - of formal power series, 47 Function Field, definition, 246
Different, definition, 87 - criterion, 93 - of genus zero, 302 - derivatives in a, 324
- for cyclic p-Extensions, 203 - extension, 93 - of p-adic numbers, 18 - differentials in a, 321, 324
- inverse, 86 - polynomial, 93 - place of a, 293 - hyperelliptic, 313
- inverse 1-13, 256 Element - product formula - see Product - of a conic, 302
- 1-9,257 - %(a, E), 95 formula fields - of a variety, 296
- 1,257 - of EIF, 84 - ramification, 70 - paralletopes in a, 262
- S-different, 259 Elliptic field, definition, 306 - rational p-adic number, 206 Fundamental theorem of Galois theory
Differential(s) Equivalent - rational subfield, 230 (Infinite extensions), 105
- class of, 264 - composite field extensions, 219 - residue class field, 54
- definition, 194, 202 - elements of k ,297 - splitting field (of a cocycle), 119 Galois
- equality of, 194 - extensions of a group, 112 - valuation of a, 3 - cohomology theory, 114
- in a power series field, 200 - subsets of a group (s-equivalence), - valuation ring in a, 293 - group, definition for infinite exten-
- in function fields, 321, 324 334 - value group of a, 53 sions, 103
- in PF-fields, 245, 251 - valuations, 3 - with perfect residue class field, 190 - theory for infinite extensions, 103
- local components of, 322 Euclid, 321 - withseparable residueclass field, 93 .
- t o ~ o l-.o mon a. 104
 346
Genus of a field, definition, 263
- in field extensions, 284, 287
Group(s)
- abelian - see abelian group
- center of a, 335
- character of a, 71
- cohomology, 114
- dual, 71
- extensions, definition, 108
- equivalent, 112
- Galois, 103
- inertia, 72
- norma, definition, 127
- for infinite extensions, 174
- normalizer, 334
- pairing operations on, 71
- p-group, 335
- ramifications, definition, 72
- higher ramification groups, 77,
82, 85
- splitting, 116, 119
- Sylow subgroup, 337
- value, 53
Hensel's lemma, 29
Herbrand, 83
Higher ramification groups, 77
Hilbert, 84
Homomorphism, canonical, of b,(A, )
b&4, H), 112
-+
Hyperelliptic function field, definition,
313
Ideal, definition, 240
- denominator of an, 241
- fractional, 86
- ideal class, 240
- integral, 241
- numerator of an, 241
- period, 170
Idkle
- absolute value, 240
- definition, 239
- Index of (a : an), 209
Inequality
- First, 132
- Second, 133
SUBJECT INDEX
SUBJECT INDEX 347
Inertia
Nilpotent element of a ring, definition, - in the ring of valuation vectors,
- field, 66 215 239
- group, 72 Noether's equations, 118, 119 - upper bound for the order of a, 227
Infinite prime
Non-archimedianvaluation,definition, 6 Period, definition, 168
- completion at the, 18 - triangular inequality, 7 - ideal, 170
- definition, 13
Non-critical part (of a value group), PF-field - see Product Formula field
Infinite product space, definition,
definition, 76 p-group, definition, 335
I65
Norm - for reasonable non-archime- Pigeon-holing principle, 227, 229
Integral
dian primes, 226 p-integers, definition, 225
- properties of integrals, 196
- group, definition, 127 Place of a field, definition, 293
- divisor (ideal), 194
- for infinite extensions, 174 Point at infinity, definition, 308
Inverse
- on a linear space, 19 Pole at p, definition, 330
- different, 86
- on E, 174 Polygon, Newton's, definition, 38
- I-SP different, 256
- residue, 13G Polynomials
Kernel (G and H), definition, 71
- residue symbol, 158, 159, 175 - Eisenstein, 93
Krasner, 44
- for power series fields, 193 - universal, 51
Kronecker product
- uniqueness, 187 Power series
- dimension, 21 8
- topology induced by a, 19 - convergnece of, 48
- of rings, 218 Normal - derivative of, 198, 200
- of vector spaces, 216
- extension of a field, 103 - field of formal, 47
- forms (for the valuation in a field), Prime, definition, 225
Lang, S. 306 209 - reasonable, 226
I-q different, definition, 257 - valuation - regular, 329
- inverse, 256 - at p, 14 Principal part (of a valuation vector at
I-different, definition, 259 - for reasonable primes, 226 P), 242
Limit Normalizer of a group, definition, 334 Product Formula field(s)
- of a cauchy filter, 239 Normed - axioms for a, 225-6
-of a sequence with respect to a - field, 24 - definition, 226
valuation, 8 - linear space, 19 - description of all, 230
- differentiation in, 245, 251
Linear series, 300 Null sequence with respect to a valua-
- complete, 301 tion, definition, 17 - finite extensions of, 235
- definition, 301 Number field, definition, 246 Prolongation, definition, 95
- dimension, 301 Numerator of a divisor (ideal), defini- Purely ramified field extension, 83
Linear space(s) - see Vector space tion, 201
Radical of a ring, definition, 215
- dual, 245 Ramification, definition, 53
- Kronecker product of, 216 order (of S),226
- normed, 19 ordering of classes in k*, 297 - field, 70
Local ordinal (see 'ord') - group, 75
- class field theory (aim of), 127 - of a at p, 13 - higher ramification groups, 77,
- components of differentials, 322 - of ar, 172 82, 85
- degree, 224 - of 7 , 160 - of a subfield, 95
'near zero', 166 p-adic numbers, definition, 18 - theory, 64
- rational p-adic field, 206 Rational-p-adic number field, definition,
206
Newton('s)
- diagram, 37
Pairing operation, definition, 71 - point (on an algebraic curve), 304
Parallelotope, definition, 227 - subfield, 230, 245
- polygon, 38 - in a function field, 260 Reasonable prime, definition, 226
 SUBJECT INDEX SUBJECT INDEX 349
Reducibility Criterion, 36 - group (of a cocycle), 116, 119 - trivial, 3 - function field of a, 296
Regular Sylow subgroup, definition, 337 - vectors, 238 Vector space - 244 - see Linear space
- prime, 329 - theorems about, 337 - in an extension field, 241 (valuation) Vector, definition, 238
- ydx is, 330 Value group, definition, 53 Verzweigungskorper, definition, 70
Residue, definition, 198, 201 Tamely ramified field extension, defini- - non-critical part, 76 Vorlagerung, definition, 149
- of a differential, 202 tion, 67 Van der Waerden, 281
Residue class Tate, 292, 306 Variety, algebraic, defined by an ideal, Witt, 192
- degree (f), 54 Tempory symbol (c, K/k/r),144 296
- field, 54 Topology
- at p, 225 - in a Galois group, 104
- ring, 54 - induced by a norm, 19
Restricted direct product topology - induced by a valuation, 5
(on V), 239 - in the ring of valuation vectors,
Riemann part of a Riemann-Roch 239
theorem, 265 - new topology in K*, 170
Riemann-Roch Theorem, 264 Trace, 86
- applications, 293 Tragheitslrorper, definition, 66
- first proof, 262 Transfer, definition, 149
- for elliptic fields, 306 Transform of a subgroup, 338
- second proof, 265 Triangular Inequality, 7, 44, 297
Ring(s) Trivial valuation, definition, 3
- Kronecker product of, 218 Tychonoff's theorem, 166
- nilpotent element of a, 215
- of integers, 53 Ultrametric spaces, definition, 44
- of p-integers, 225 Unit class, 309
- of valuation vectors, 239 Universal polynomial, definition, 51
- complete, 239 Unramified field extension, d e f i ~ t i o n ,
- radical of a, 215 65. 127
- residue class, 54
- valuation, 293 Valuation(s)
- archimedian, 6
S-different, definition, 259 - cauchy sequence with respect to a,
Second-Inequality, 133 17
- cohomology group, 116 - classification of, 6
Sequence - definition, 3
- Cauchy, with respect to a valua- - discrete, 56
tion, 17 - equivalent, 3
- limit, with respect to a valuation, 8 - extension of a - see Extension of
- null, with respect to a valuation, 17 a valuation
S-equivalent (subsets of a group), 324 - limit of a sequence with respect to
Series a, 8
- convergence of a, 47, 48 - non-archimedean, 6
- derivative of power series, 198,200 - normal, 14,209,226
- linear, 300 - null sequence with respect to a, 17
- power, 47 - ramification of an extended, 53
'Shrunk' (a can be shrunk to b), 312 - ring, 293
splitting-field (of a cocycle), 119 - topology induced by a, 5