Theorem. (Noether Normalization Lemma) Let k be a field and A = k [ y 1 ′ , . . . , y m ′ ] {\displaystyle A=k[y_{1}',...,y_{m}']} be a finitely generated k-algebra. Then for some integer d, 0 ≤ d ≤ m {\displaystyle 0\leq d\leq m} , there exist y 1 , … , y d ∈ A {\displaystyle y_{1},\ldots ,y_{d}\in A} algebraically independent over k such that A is finite (i.e., finitely generated as a module) over k [ y 1 , … , y d ] {\displaystyle k[y_{1},\ldots ,y_{d}]} (the integer d is then equal to the Krull dimension of A). If A is an integral domain, then d is also the transcendence degree of the field of fractions of A over k.
The following proof is due to Nagata and appears in Mumford's red book. A more geometric proof is given on page 176 of the red book.
Proof: We shall induct on m. Case m = 0 {\displaystyle m=0} is k = A {\displaystyle k=A} and there is nothing to prove. Assume m = 1 {\displaystyle m=1} . Then A ≅ k [ y ] / I {\displaystyle A\cong k[y]/I} as k-algebras, where I ⊂ k [ y ] {\displaystyle I\subset k[y]} is some ideal. Since k [ y ] {\displaystyle k[y]} is a PID (it is a Euclidean domain), I = ( f ) {\displaystyle I=(f)} . If f = 0 {\displaystyle f=0} we are done, so assume f ≠ 0 {\displaystyle f\neq 0} . Let e be the degree of f. Then A is generated, as a k-vector space, by 1 , y , y 2 , … , y e − 1 {\displaystyle 1,y,y^{2},\dots ,y^{e-1}} . Thus A is finite over k. Assume now m ≥ 2 {\displaystyle m\geq 2} . If the y i ′ {\displaystyle y_{i}'} are algebraically independent, then by setting y i = y i ′ {\displaystyle y_{i}=y_{i}'} , we are done. If not, it is enough to prove the claim that there is a k-subalgebra S of A that is generated by m − 1 {\displaystyle m-1} elements, such that A is finite over S. Indeed, by the inductive hypothesis, we can find, for some integer d, 0 ≤ d ≤ m − 1 {\displaystyle 0\leq d\leq m-1} , algebraically independent elements y 1 , . . . , y d {\displaystyle y_{1},...,y_{d}} of S such that S is finite over k [ y 1 , . . . , y d ] {\displaystyle k[y_{1},...,y_{d}]} . Since A is finite over S, and S is finite over k [ y 1 , . . . , y d ] {\displaystyle k[y_{1},...,y_{d}]} , we obtain the desired conclusion that A is finite over k [ y 1 , . . . , y d ] {\displaystyle k[y_{1},...,y_{d}]} .
To prove the claim, we assume by hypothesis that the y i ′ {\displaystyle y_{i}'} are not algebraically independent, so that there is a nonzero polynomial f in m variables over k such that
Given an integer r which is determined later, set
and, for simplification of notation, write y ~ = y 1 ′ . {\displaystyle {\tilde {y}}=y_{1}'.}
Then the preceding reads:
Now, if a y ~ α 1 ∏ 2 m ( z i + y ~ r i − 1 ) α i {\displaystyle a{\tilde {y}}^{\alpha _{1}}\prod _{2}^{m}(z_{i}+{\tilde {y}}^{r^{i-1}})^{\alpha _{i}}} is a monomial appearing in the left-hand side of the above equation, with coefficient a ∈ k {\displaystyle a\in k} , the highest term in y ~ {\displaystyle {\tilde {y}}} after expanding the product looks like
Whenever the above exponent agrees with the highest y ~ {\displaystyle {\tilde {y}}} exponent produced by some other monomial, it is possible that the highest term in y ~ {\displaystyle {\tilde {y}}} of f ( y ~ , z 2 + y ~ r , z 3 + y ~ r 2 , . . . , z m + y ~ r m − 1 ) {\displaystyle f({\tilde {y}},z_{2}+{\tilde {y}}^{r},z_{3}+{\tilde {y}}^{r^{2}},...,z_{m}+{\tilde {y}}^{r^{m-1}})} will not be of the above form, because it may be affected by cancellation. However, if r is large enough (e.g., we can set r = 1 + deg f {\displaystyle r=1+\deg f} ), then each α 1 + α 2 r + ⋯ + α m r m − 1 {\displaystyle \alpha _{1}+\alpha _{2}r+\cdots +\alpha _{m}r^{m-1}} encodes a unique base r number, so this does not occur. For such an r, let c ∈ k {\displaystyle c\in k} be the coefficient of the unique monomial of f of multidegree ( α 1 , … , α m ) {\displaystyle (\alpha _{1},\dots ,\alpha _{m})} for which the quantity α 1 + α 2 r + ⋯ + α m r m − 1 {\displaystyle \alpha _{1}+\alpha _{2}r+\cdots +\alpha _{m}r^{m-1}} is maximal. Multiplication of ( ∗ ) {\displaystyle (*)} by 1 / c {\displaystyle 1/c} gives an integral dependence equation of y ~ {\displaystyle {\tilde {y}}} over S = k [ z 2 , . . . , z m ] {\displaystyle S=k[z_{2},...,z_{m}]} , i.e., y 1 ′ ( = y ~ ) {\displaystyle y_{1}'(={\tilde {y}})} is integral over S. Moreover, because A = S [ y 1 ′ ] {\displaystyle A=S[y_{1}']} , A is in fact finite over S. This completes the proof of the claim, so we are done with the first part.
Moreover, if A is an integral domain, then d is the transcendence degree of its field of fractions. Indeed, A and the polynomial ring S = k [ y 1 , . . . , y d ] {\displaystyle S=k[y_{1},...,y_{d}]} have the same transcendence degree (i.e., the degree of the field of fractions) since the field of fractions of A is algebraic over that of S (as A is integral over S) and S has transcendence degree d. Thus, it remains to show the Krull dimension of S is d. (This is also a consequence of dimension theory.) We induct on d, with the case d = 0 {\displaystyle d=0} being trivial. Since 0 ⊊ ( y 1 ) ⊊ ( y 1 , y 2 ) ⊊ ⋯ ⊊ ( y 1 , … , y d ) {\displaystyle 0\subsetneq (y_{1})\subsetneq (y_{1},y_{2})\subsetneq \cdots \subsetneq (y_{1},\dots ,y_{d})} is a chain of prime ideals, the dimension is at least d. To get the reverse estimate, let 0 ⊊ p 1 ⊊ ⋯ ⊊ p m {\displaystyle 0\subsetneq {\mathfrak {p}}_{1}\subsetneq \cdots \subsetneq {\mathfrak {p}}_{m}} be a chain of prime ideals. Let 0 ≠ u ∈ p 1 {\displaystyle 0\neq u\in {\mathfrak {p}}_{1}} . We apply the Noether normalization and get T = k [ u , z 2 , … , z d ] {\displaystyle T=k[u,z_{2},\dots ,z_{d}]} (in the normalization process, we're free to choose the first variable) such that S is integral over T. By the inductive hypothesis, T / ( u ) {\displaystyle T/(u)} has dimension d − 1 {\displaystyle d-1} . By incomparability, p i ∩ T {\displaystyle {\mathfrak {p}}_{i}\cap T} is a chain of length m {\displaystyle m} and then, in T / ( p 1 ∩ T ) {\displaystyle T/({\mathfrak {p}}_{1}\cap T)} , it becomes a chain of length m − 1 {\displaystyle m-1} . Since dim T / ( p 1 ∩ T ) ≤ dim T / ( u ) {\displaystyle \operatorname {dim} T/({\mathfrak {p}}_{1}\cap T)\leq \operatorname {dim} T/(u)} , we have m − 1 ≤ d − 1 {\displaystyle m-1\leq d-1} . Hence, dim S ≤ d {\displaystyle \dim S\leq d} . ◻ {\displaystyle \square }
The following refinement appears in Eisenbud's book, which builds on Nagata's idea:3
Theorem—Let A be a finitely generated algebra over a field k, and I 1 ⊂ ⋯ ⊂ I m {\displaystyle I_{1}\subset \dots \subset I_{m}} be a chain of ideals such that dim ( A / I i ) = d i > d i + 1 . {\displaystyle \operatorname {dim} (A/I_{i})=d_{i}>d_{i+1}.} Then there exists algebraically independent elements y1, ..., yd in A such that
Moreover, if k is an infinite field, then any sufficiently general choice of yI's has Property 1 above ("sufficiently general" is made precise in the proof).
Geometrically speaking, the last part of the theorem says that for X = Spec A ⊂ A m {\displaystyle X=\operatorname {Spec} A\subset \mathbf {A} ^{m}} any general linear projection A m → A d {\displaystyle \mathbf {A} ^{m}\to \mathbf {A} ^{d}} induces a finite morphism X → A d {\displaystyle X\to \mathbf {A} ^{d}} (cf. the lede); besides Eisenbud, see also [1].
Corollary—Let A be an integral domain that is a finitely generated algebra over a field. If p {\displaystyle {\mathfrak {p}}} is a prime ideal of A, then
In particular, the Krull dimension of the localization of A at any maximal ideal is dim A.
Corollary—Let A ⊂ B {\displaystyle A\subset B} be integral domains that are finitely generated algebras over a field. Then
(the special case of Nagata's altitude formula).
A typical nontrivial application of the normalization lemma is the generic freeness theorem: Let A , B {\displaystyle A,B} be rings such that A {\displaystyle A} is a Noetherian integral domain and suppose there is a ring homomorphism A → B {\displaystyle A\to B} that exhibits B {\displaystyle B} as a finitely generated algebra over A {\displaystyle A} . Then there is some 0 ≠ g ∈ A {\displaystyle 0\neq g\in A} such that B [ g − 1 ] {\displaystyle B[g^{-1}]} is a free A [ g − 1 ] {\displaystyle A[g^{-1}]} -module.
To prove this, let F {\displaystyle F} be the fraction field of A {\displaystyle A} . We argue by induction on the Krull dimension of F ⊗ A B {\displaystyle F\otimes _{A}B} . The base case is when the Krull dimension is − ∞ {\displaystyle -\infty } ; i.e., F ⊗ A B = 0 {\displaystyle F\otimes _{A}B=0} ; that is, when there is some 0 ≠ g ∈ A {\displaystyle 0\neq g\in A} such that g B = 0 {\displaystyle gB=0} , so that B [ g − 1 ] {\displaystyle B[g^{-1}]} is free as an A [ g − 1 ] {\displaystyle A[g^{-1}]} -module. For the inductive step, note that F ⊗ A B {\displaystyle F\otimes _{A}B} is a finitely generated F {\displaystyle F} -algebra. Hence by the Noether normalization lemma, F ⊗ A B {\displaystyle F\otimes _{A}B} contains algebraically independent elements x 1 , … , x d {\displaystyle x_{1},\dots ,x_{d}} such that F ⊗ A B {\displaystyle F\otimes _{A}B} is finite over the polynomial ring F [ x 1 , … , x d ] {\displaystyle F[x_{1},\dots ,x_{d}]} . Multiplying each x i {\displaystyle x_{i}} by elements of A {\displaystyle A} , we can assume x i {\displaystyle x_{i}} are in B {\displaystyle B} . We now consider:
Now B {\displaystyle B} may not be finite over A ′ {\displaystyle A'} , but it will become finite after inverting a single element as follows. If b {\displaystyle b} is an element of B {\displaystyle B} , then, as an element of F ⊗ A B {\displaystyle F\otimes _{A}B} , it is integral over F [ x 1 , … , x d ] {\displaystyle F[x_{1},\dots ,x_{d}]} ; i.e., b n + a 1 b n − 1 + ⋯ + a n = 0 {\displaystyle b^{n}+a_{1}b^{n-1}+\dots +a_{n}=0} for some a i {\displaystyle a_{i}} in F [ x 1 , … , x d ] {\displaystyle F[x_{1},\dots ,x_{d}]} . Thus, some 0 ≠ g ∈ A {\displaystyle 0\neq g\in A} kills all the denominators of the coefficients of a i {\displaystyle a_{i}} and so b {\displaystyle b} is integral over A ′ [ g − 1 ] {\displaystyle A'[g^{-1}]} . Choosing some finitely many generators of B {\displaystyle B} as an A ′ {\displaystyle A'} -algebra and applying this observation to each generator, we find some 0 ≠ g ∈ A {\displaystyle 0\neq g\in A} such that B [ g − 1 ] {\displaystyle B[g^{-1}]} is integral (thus finite) over A ′ [ g − 1 ] {\displaystyle A'[g^{-1}]} . Replace B , A {\displaystyle B,A} by B [ g − 1 ] , A [ g − 1 ] {\displaystyle B[g^{-1}],A[g^{-1}]} and then we can assume B {\displaystyle B} is finite over A ′ := A [ x 1 , … , x d ] {\displaystyle A':=A[x_{1},\dots ,x_{d}]} . To finish, consider a finite filtration B = B 0 ⊃ B 1 ⊃ B 2 ⊃ ⋯ ⊃ B r {\displaystyle B=B_{0}\supset B_{1}\supset B_{2}\supset \cdots \supset B_{r}} by A ′ {\displaystyle A'} -submodules such that B i / B i + 1 ≃ A ′ / p i {\displaystyle B_{i}/B_{i+1}\simeq A'/{\mathfrak {p}}_{i}} for prime ideals p i {\displaystyle {\mathfrak {p}}_{i}} (such a filtration exists by the theory of associated primes). For each i, if p i ≠ 0 {\displaystyle {\mathfrak {p}}_{i}\neq 0} , by inductive hypothesis, we can choose some g i ≠ 0 {\displaystyle g_{i}\neq 0} in A {\displaystyle A} such that A ′ / p i [ g i − 1 ] {\displaystyle A'/{\mathfrak {p}}_{i}[g_{i}^{-1}]} is free as an A [ g i − 1 ] {\displaystyle A[g_{i}^{-1}]} -module, while A ′ {\displaystyle A'} is a polynomial ring and thus free. Hence, with g = g 0 ⋯ g r {\displaystyle g=g_{0}\cdots g_{r}} , B [ g − 1 ] {\displaystyle B[g^{-1}]} is a free module over A [ g − 1 ] {\displaystyle A[g^{-1}]} . ◻ {\displaystyle \square }
Noether 1926 - Noether, Emmy (1926), "Der Endlichkeitsatz der Invarianten endlicher linearer Gruppen der Charakteristik p", Nachrichten von der Gesellschaft der Wissenschaften zu Göttingen: 28–35, archived from the original on March 8, 2013 https://web.archive.org/web/20130308102929/http://gdz.sub.uni-goettingen.de/no_cache/dms/load/img/?IDDOC=63971 ↩
Eisenbud 1995, Theorem 13.3 - Eisenbud, David (1995), Commutative algebra. With a view toward algebraic geometry, Graduate Texts in Mathematics, vol. 150, Berlin, New York: Springer-Verlag, ISBN 3-540-94268-8, MR 1322960, Zbl 0819.13001 https://mathscinet.ams.org/mathscinet-getitem?mr=1322960 ↩