\((S_2)\)-ifications, semi-Nagata rings, and the lifting problem


Abstract

This is a two-part article. In the first part, we study an alternative notion to Nagata rings. A Nagata ring is a Noetherian ring \(R\) such that every finite \(R\)-algebra that is an integral domain has finite normalization. We replace the normalization by an \((S_2)\)-ification, study new phenomena, and prove parallel results. In particular, we show a Nagata domain has a finite \((S_2)\)-ification. In the second part, we study the local lifting problem. We show that for a semilocal Noetherian ring \(R\) that is \(I\)-adically complete for an ideal \(I\), if \(R/I\) has \((S_k)\) (resp. Cohen–Macaulay, Gorenstein, lci) formal fibers, so does \(R\). As a consequence, we show if \(R/I\) is a quotient of a Cohen–Macaulay ring, so is \(R\). We also discuss difficulties in lifting geometrically \((R_k)\) formal fibers.

For a ring \(R\), we write \(\operatorname{Min}(R)\) for the set of minimal primes of \(R\), \(\operatorname{Spec}_1(R)\) the set of primes of height \(1\) of \(R\), \(\operatorname{Max}(R)\) the set of maximal ideals of \(R\). We also write \(R^\circ=R\setminus\cup\operatorname{Min}(R)\). In particular, if \(R\) is a reduced ring, then \(R^\circ\) is the set of nonzerodivisors in \(R\) stacks? Tag00EW.

For an integral domain \(R\), \(R^\nu\) denotes the normalization of \(R\). The notations \(R^{n\sigma}\) and \(R^{\sigma}\) are introduced in §4.

For a scheme \(X\), \(\mathcal{O}(X)\) denotes the section ring \(\Gamma(X,\mathcal{O}_X)\).

For a ring \(R\) and an ideal \(I\) of \(R\), \(V(I)\) and \(D(I)\) denotes the closed subscheme of \(\operatorname{Spec}(R)\) defined by \(I\) and its complement. When \(I=fR\) is principal we write \(V(f)\) and \(D(f)\).

For a ring \(R\) and an ideal \(I\) of \(R\), a minimal prime divisor of \(I\) is an element of \(V(I)\) minimal with respect to inclusion. When \(R\) is Noetherian, a prime divisor of \(I\) is an element of \(\operatorname{Ass}_R(R/I)\).

For a semilocal Noetherian ring \(R\), \(R^\wedge\) denotes its adic completion with respect to its Jacobson radical. \(R^\wedge\) is a finite product of Noetherian complete local rings.

1 Introduction↩︎

This is a two-part article motivated by the following classical question, generally referred to as the lifting problem.

Question 1 (cf. EGA4_2?). Let \(\mathbf{R}\) be a property of Noetherian rings. Let \(R\) be a Noetherian ring, \(I\) an ideal of \(R\). Assume \(R\) is \(I\)-adically complete and \(R/I\) is \(\mathbf{R}\). Is \(R\) always \(\mathbf{R}\)?

When Question 1 admits an affirmative answer, we say \(\mathbf{R}\) has the lifting property. There have been numerous studies on the lifting problem and its variants, for many important properties \(\mathbf{R}\). For example, lifting holds for \(\mathbf{R}\)=“Nagata” Marot-Nagata-Lift? and \(\mathbf{R}\)=“quasi-excellent” formal-lifting-excellence-Gabber?, but not for \(\mathbf{R}\)=“excellent” or \(\mathbf{R}\)=“universally catenary” Greco-Universal-Catenary-No-Lift?. We refer the reader to formal-lifting-excellence-Gabber? for more information.

In previous work (see Lyu-dual-complex-lift?), the author showed that \(\mathbf{R}\)=“is a quotient of a Gorenstein ring” satisfies the lifting property. However, whether or not \(\mathbf{R}\)=“is a quotient of a Cohen–Macaulay ring” satisfies the lifting property seems to be difficult. We provide two perspectives on this question.
The first part §§28 discusses a new notion, which the author calls semi-Nagata rings. A Nagata ring is a Noetherian ring \(R\) so that for every finite \(R\)-algebra \(B\) that is an integral domain, \(B^\nu\) is finite over \(B\). This is clearly equivalent to the standard definition stacks? Tag032R. Lifting of the Nagata property is the starting point for lifting of other properties such as quasi-excellence.

We call a ring \(R\) semi-Nagata if \(R\) is Noetherian and for every finite \(R\)-algebra \(B\) that is an integral domain, \(B\) admits a finite \((S_2)\)-ification, in the sense that there is a finite inclusion of integral domains \(B\to C\) so that \(C\) is \((S_2)\) and \(B_\mathfrak{p}=C_\mathfrak{p}\) for all \(\mathfrak{p}\in\operatorname{Spec}_1(B)\). We have the following main result, which the author believes to be new (Definition 48 and Theorems 55 and 61)

Theorem 2. Let \(R\) be a Noetherian ring.

  1. If \(R\) is semilocal, then \(R\) is semi-Nagata if and only if \(R\) has \((S_1)\) formal fibers.

  2. If \(R\) is semi-Nagata, then every essentially finitely generated \(R\)-algebra is semi-Nagata.

  3. \(R\) is semi-Nagata if and only if \(R\) has \((S_1)\) formal fibers and for every \(\mathfrak{p}\in\operatorname{Spec}(R)\) there exists \(f\in R,f\not\in\mathfrak{p}\) so that \((R/\mathfrak{p})_f\) is \((S_2)\).

  4. \(R\) is semi-Nagata if and only if for every finite \(R\)-algebra \(B\) that is an integral domain, there is a finite inclusion of integral domains \(B\to C\) so that \(C\) is \((S_2)\).

The corresponding classical result for Nagata rings is

Theorem 3. Let \(R\) be a Noetherian ring.

  1. If \(R\) is semilocal, then \(R\) is Nagata if and only if \(R\) has geometrically reduced formal fibers.

  2. If \(R\) is Nagata, then every essentially finitely generated \(R\)-algebra is Nagata.

  3. \(R\) is Nagata if and only if \(R\) has geometrically reduced formal fibers and for every finite \(R\)-algebra \(B\) that is an integral domain there exists \(f\in B^\circ\) so that \(B_f\) is normal.

  4. \(R\) is Nagata if and only if for every finite \(R\)-algebra \(B\) that is an integral domain, there is a finite inclusion of integral domains \(B\to C\) so that \(C\) is normal.

See EGA4_2? for [nagata1][nagata2][nagata3], whereas [nagata4] is trivial. In particular, from either [nagata3] or [nagata4] of both theorems, we have the following result, which the author also believes to be new.

Corollary 4. A Nagata ring is semi-Nagata. In particular, a Nagata domain has a finite \((S_2)\)-ification.

There are DVRs that are not Nagata, Nagata-local?. On the other hand we have (Remark 49 and Corollary 62)

Theorem 5. A one-dimesional Noetherian ring is semi-Nagata. A Cohen–Macaulay ring is semi-Nagata.

This is not new, see Macaulay-Cesnavi?.
One might expect that for a Noetherian domain \(R\), the ring \(R^{n\sigma}:=\bigcap_{\mathfrak{p}\in\operatorname{Spec}_1(R)} R_\mathfrak{p}\) is integral over \(R\) and \((S_2)\), and is the only \((S_2)\)-ification of \(R\). This is not the case, even for a quasi-excellent \(R\) (Example 22). This phenomenon is reflected by the obstructions as in Definition 23 (“FONSIs”). When no FONSIs exist, the expectation is met (Theorem 26). When they do exist, \(R^{n\sigma}\) is not integral over \(R\), and we replace \(R^{n\sigma}\) by \(R^\sigma:=R^{n\sigma}\cap R^\nu\).

To show \(R^\sigma\) is \((S_2)\), and to show our main Theorem 2, we show that for a semilocal \(R\), there exists a finite subalgebra of \(R^\sigma\) that do not have FONSIs (Theorem 43). After all, FONSIs are pretty rare (Remarks 24 and 25 and Lemma 42). The idea is inspired by a classical argument of Ratliff Mat-CRT?. We use local cohomology to make a conceptual argument.

We warn the reader that for a semi-Nagata ring \(R\), \(R^\sigma\) may not be finite (Example 56), resulting in an infinite ascending chain of \((S_2)\)-ifications; and \((S_2)\)-ifications of modules may not exist (Remark 57). Again, expectations are met when FONSIs are not present (Corollary 63 and Theorem 64).

To conclude the first part, we show that lifting of the semi-Nagata property holds for universally catenary rings.

Theorem 6 (=Theorem 65). Let \(R\) be a Noetherian ring, \(I\) an ideal of \(R\). Assume that

  1. \(R\) is \(I\)-adically complete.

  2. \(R/I\) is semi-Nagata.

  3. \(R\) is universally catenary.

Then \(R\) is semi-Nagata.

The author was not able to show lifting in full generality. However, when restricted to semilocal rings, much more advances in the lifting problem are made in the second part (§§914) of this article. We repeat the problem in this setting.

Question 7 (local lifting problem). Let \(\mathbf{R}\) be a property of Noetherian rings. Let \(R\) be a semilocal Noetherian ring, \(I\) an ideal of \(R\). Assume \(R\) is \(I\)-adically complete and \(R/I\) is \(\mathbf{R}\). Is \(R\) always \(\mathbf{R}\)?

We show (§13)

Theorem 8. Question 7 admits an affirmative answer when \(\mathbf{R}\)=“has \((S_k)\) formal fibers,” where \(k\geq 0\) is arbitrary, “has Cohen–Macaulay formal fibers,” “has Gorenstein formal fibers,” “has lci formal fibers,” and “is a quotient of a Cohen–Macaulay ring.”

Note that when \(k=1\), having \((S_k)\) formal fibers is exactly the semi-Nagata property (Theorem 2[SagataMain:S1fiber]).

We show the formal fiber properties in Theorem 8 following the argument of Nishimura Nishimura-semilocal-lifting?. The key new input is that we find ideals that define the non-\(\mathbf{P}\)-locus (where \(\mathbf{P}\)=“\((S_k)\),”“Cohen–Macaulay,” “Gorenstein,” or “lci”) of nice rings strictly functorially with respect to nice homomorphisms. This task was effortless for the properties considered in Nishimura-semilocal-lifting?. We explain this in §9.

In our case, such an assignment of ideals can be found with effort. We do a basic reduction in §10, saying we just need to assign \(\mathfrak{m}\)-primary ideals to complete local rings \((A,\mathfrak{m})\) that are \(\mathbf{P}\) exactly on the punctured spectrum, strictly functorial with respect to flat maps with \(\mathbf{P}\)-fibers and \(0\)-dimensional special fiber. After the reduction we find a desired assignment for all properties but lci in §11. The case \(\mathbf{R}\)=“is a quotient of a Cohen–Macaulay ring” of Theorem 8 follows from the case \(\mathbf{R}\)=“has Cohen–Macaulay formal fibers” via the argument already present in Lyu-dual-complex-lift?.

Finding the assignment for the lci property is the most difficult. This is because the intrinsic invariant that determines a Noetherian ring \(A\) is lci or not, namely the cotangent complex \(L_{A/\mathbf{Z}}\), does not have finite cohomology modules. When \(A\) is complete local, we can find a regular local ring \(R\) and a surjective map \(R\to A\), and \(L_{A/R}\) does have finite cohomology modules; however, this is still fragile with respect to ring maps. In any case, we need a way to use an ideal to detect the non-flatness of certain non-finite modules, more explicitly the modules \(C_n\) appearing in Briggs-Iyenger-Cotangent-Complex?. We investigate their structures in §12, and successfully define their Fitting invariant (for \(n\geq\dim A+2\)), which does the trick. These observations, namely the structure of \(C_n\) (Lemma 85) and Fitting invariant for certain non-finite modules (Definition 88), may be of their own interest.

Finally, in §14, we treat the lifting of “\(\mathbf{P}\) in codimension \(0\)” and “Cohen–Macaulay in codimension \(1\).” This section mainly serves as a discussion of difficulties running the arguments in §§913 for other standard properties such as \((R_k)\), but some positive results are obtained.
The two parts of this article are not logically dependent on each other. However, both parts involve \((S_2)\)-ifications and equidimensionality. In the first part this is a focus point, whereas in the second part this is a safety requirement for the arguments.
Acknowledgment. The author thanks Pham Hung Quy for suggesting the author to consider the lifting problem for CM-quotients. The author thanks Linquan Ma, Kevin Tucker, and Wenliang Zhang for helpful discussions. The author was supported by an AMS-Simons Travel Grant.

2 Finite inclusions of Noetherian integral domains↩︎

Lemma 9. Let \(R\subseteq R'\) be a finite inclusion of Noetherian semilocal domains. Then the canonical surjective map \(\operatorname{Spec}(R'^\wedge)\to\operatorname{Spec}(R^\wedge)\) restricts to surjective maps \(\operatorname{Min}(R'^\wedge)\to\operatorname{Min}(R^\wedge)\) and \(\operatorname{Ass}(R'^\wedge)\to\operatorname{Ass}(R^\wedge)\).

Proof. There exists an \(f\in R^\circ\) such that \(R'_f\) is flat over \(R_f\), so \((R'^\wedge)_f\) is flat over \((R^\wedge)_f\). As \(f\) is a nonzerodivisor in both \(R^\wedge\) and \(R'^\wedge\) we get the desired result, cf. stacks? Tags 00ON and0337. ◻

Lemma 10. Let \(R\subseteq R'\) be a finite inclusion of Noetherian integral domains. Then there exists a factorization \(R\subseteq R''\subseteq R'\) so that \(R\to R''\) is flat and \(R''\to R'\) is birational.

Proof. Let \(x'\in R'^\circ\) be not in the fraction field \(K\) of \(R\). Let \(f_{x'}(T)=\sum a_i T^i\) be the monic minimal polynomial of \(x'\) over \(K\), and let \(d=\deg f_{x'}\). Then for \(x\in R^\circ\) the monic minimal polynomial of \(xx'\) over \(K\) is \(f_{xx'}(T)=\sum x^{d-i}a_i T^i.\) Therefore we may choose \(x\) so that \(f_{xx'}\in R[T]\), so \(R[xx']\cong R[T]/f_{xx'}(T)\) is flat over \(R\). Inductively we can find our \(R''\). ◻

Lemma 11 (cf. Nagata-local?). Let \(R\subseteq R'\) be a finite inclusion of Noetherian integral domains. Let \(x\in R^\circ\). Then every minimal prime divisor of \(xR'\) lies above a prime divisor of \(xR\).

Proof. By Lemma 10 we may assume \(R\) and \(R'\) has the same fraction field. Let \(\mathfrak{p}'\) be a minimal prime divisor of \(xR'\) and let \(\mathfrak{p}=\mathfrak{p}'\cap R\).

Let \(b\in R^\circ\) be such that \(bR'\subseteq R\) and that \(b\in\mathfrak{p}\). As \(\operatorname{ht}(\mathfrak{p}')=1\), \(\mathfrak{p}'^nR'_{\mathfrak{p}'}\subseteq bR'_{\mathfrak{p}'}\) for some \(n\). We can therefore find an \(s\in R'\setminus\mathfrak{p}'\) such that \(s\mathfrak{p}'^n\subseteq bR'\subseteq R\), and consequently \(bs^t\mathfrak{p}'^{nt}\subseteq b^{t+1}R'\subseteq b^{t}R\) for all \(t\). If \(\mathfrak{p}\not\in\operatorname{Ass}_{R}(R/xR)\), then \(\operatorname{depth}R_\mathfrak{p}\geq 2\), so \(\mathfrak{p}\not\in\operatorname{Ass}_{R}(R/bR)\), and we can take \(c\in\mathfrak{p}\) a nonzerodivisor on \(R/bR\), thus a nonzerodivisor on \(R/b^{t}R\) for all \(t\). As \(bs^t\mathfrak{p}'^{nt}\subseteq b^{t}R\), we have \(c^{nt}bs^t\in b^{t}R\), so \(bs^t\in b^tR\) as \(bs^t\in bR'\subseteq R\). Then \(b\in b^tR'_{\mathfrak{p}'}\) for all \(t\), contradiction. Therefore \(\mathfrak{p}\in\operatorname{Ass}_R(R/xR)\). ◻

3 Subalgebras of normalization↩︎

See Nagata-local? for relevant materials.

Theorem 12. Let \(R\) be a Noetherian integral domain, \(S\) a subalgebra of \(R^\nu\). Then for every \(\mathfrak{p}\in\operatorname{Spec}(R)\), there are only finitely many \(\mathfrak{q}\in\operatorname{Spec}(S)\) above \(\mathfrak{p}\), and \(\kappa(\mathfrak{q})\) is finite over \(\kappa(\mathfrak{p})\) for all \(\mathfrak{q}\).

Proof. If \(S=R^\nu\), then this is part of Nagata-local?. The general case follows from the fact \(\operatorname{Spec}(R^\nu)\to \operatorname{Spec}(S)\) is surjective. ◻

Lemma 13 (cf. Nagata-local?). Let \(R\) be a Noetherian integral domain, \(S\) a subalgebra of \(R^\nu\). Let \(a\in S^\circ\), and let \(\mathfrak{q}\) be a minimal prime divisor of \(aS\).

Then the following hold.

  1. There exists a finite subalgebra \(R'\) of \(S\) such that \(\operatorname{ht}(\mathfrak{q}\cap R')=1\).

  2. If \(a\in R\), then \(\mathfrak{p}:=\mathfrak{q}\cap R\) is a prime divisor of \(aR\).

Proof. By Theorem 12, we can take a finite subalgebra \(R'\subseteq S\) so that \(a\in R'\) and \(\mathfrak{q}\) is the only prime ideal of \(S\) above \(\mathfrak{p}'=\mathfrak{q}\cap R'\). If \(\mathfrak{p}'\) were not a minimal prime divisor of \(aR'\), then we can find primes \(\mathfrak{p}_0'\subsetneq\mathfrak{p}'\) in \(R'\) containing \(a\). We can then find primes \(\mathfrak{q}_0\subsetneq\mathfrak{q}_1\) of \(S\) lying above \(\mathfrak{p}_0'\subsetneq\mathfrak{p}'\); they automatically contain \(a\). By uniqueness, \(\mathfrak{q}_1=\mathfrak{q}\), contradicting the minimality of \(\mathfrak{q}\). Therefore \(\mathfrak{p}'\) is a minimal prime divisor of \(aR'\), so \(\operatorname{ht}(\mathfrak{p}')=1\) as \(R'\) is Noetherian. This is [MtoA:ht], and we get [MtoA:Ass] by Lemma 11. ◻

Theorem 14. Let \(R\) be a Noetherian integral domain, \(S\) a subalgebra of \(R^\nu\). Then for every \(a\in S^\circ\), the set of minimal prime divisors \(\mathfrak{q}\) of \(aS\) is finite, and for every \(\mathfrak{q}\), \(S_\mathfrak{q}\) is a \(1\)-dimensional Noetherian ring.

Proof. We may assume \(a\in R\). Finiteness follows from Lemma 13[MtoA:Ass] and Theorem 12. For each \(\mathfrak{q}\), Lemma 13[MtoA:ht] gives a map \(R'_{\mathfrak{q}\cap R'}\to S_\mathfrak{q}\), so \(S_\mathfrak{q}\) is a \(1\)-dimensional Noetherian ring by the theorem of Krull–Akizuki Nagata-local?. ◻

Definition 15. Let \(R\) be a Noetherian integral domain, \(S\) a subalgebra of \(R^\nu\). We say \(S\) is \((S_2)\) if for all \(a\in S^\circ\), \(aS\) is a finite intersection of primary ideals of height \(1\). This is the same as Serre’s condition \((S_2)\) if \(S\) is Noetherian.

Lemma 16. Let \(R\) be a Noetherian integral domain, \(S\) a subalgebra of \(R^\nu\). Then the following are equivalent.

  1. \(S\) is \((S_2)\).

  2. For all \(a\in S^\circ\), the set of zero divisors on \(S/aS\) is the union of minimal prime divisors of \(aS\).

  3. \(S=\bigcap_{\mathfrak{q}\in\operatorname{Spec}_1(S)}S_\mathfrak{q}\).

Proof. That [S2ass:S2] implies [S2ass:ass] is clear as minimal prime divisors of and the set of zero divisors modulo \(aS\) can be read off of a primary decomposition, cf. AMcommalg?.

Assume [S2ass:ass]. Let \(z=x/y\in \bigcap_{\mathfrak{q}\in\operatorname{Spec}_1(S)}S_\mathfrak{q}\) where \(x,y\in S^\circ\). Then \((xS:_S yS)\) is not contained in any minimal prime of \(yS\), as they are of height \(1\) (Theorem 14). Therefore \((xS:_S yS)\) contains a nonzerodivisor on \(S/yS\) by prime avoidance, so \(x\in yS,z\in S\).

Finally, assume [S2ass:intersect]. Then \(aS=\bigcap_{\mathfrak{q}\in\operatorname{Spec}_1(S)} aS_\mathfrak{q}\) for all \(a\in S^\circ\), so \(aS=\bigcap_{\mathfrak{q}\in\operatorname{Spec}_1(S)} (aS_\mathfrak{q}\cap S)\). By Theorem 14, all but finitely many of the ideals \(aS_\mathfrak{q}\cap S\) are \(S\), and the others are \(\mathfrak{q}\)-primary. This gives a primary decomposition of \(aS\). ◻

Lemma 17. Let \(R\) be a Noetherian integral domain, \(S\) a subalgebra of \(R^\nu\). Then the following are true.

  1. For every multiplicative subset \(W\) of \(R\), \(W^{-1}S\) is \((S_2)\).

  2. If \(S_\mathfrak{m}\) is \((S_2)\) for all \(\mathfrak{m}\in\operatorname{Spec}(R)\), then \(S\) is \((S_2)\).

Proof. [S2loc:localize] is trivial as primary decompositions localize, whereas [S2loc:localcheck] follows from Lemma 16. ◻

Lemma 18. Let \(R\) be a Noetherian integral domain, \(S\) a subalgebra of \(R^\nu\). Assume that \(S\) is the filtered union of \(R\)-subalgebras \(\{S_\alpha\}_\alpha\), and that each \(S_\alpha\) is \((S_2)\). Then \(S\) is \((S_2)\).

Proof. Let \(a\in S^\circ\); we may assume \(a\in S_\alpha\) for all \(\alpha\). If \(\mathfrak{p}_\alpha\) is a minimal prime divisor of \(aS_\alpha\), then there exists a minimal prime divisor \(\mathfrak{p}\) of \(aS\) above \(\mathfrak{p}_\alpha\), as \(\operatorname{Spec}(S)\to\operatorname{Spec}(S_\alpha)\) is surjective. Now for a \(b\in S\) not in any minimal prime divisor of \(aS\), which we may assume in \(S_\alpha\) for all \(\alpha\), we have \(b\) not in any minimal prime divisor of \(aS_\alpha\). Therefore \(b\) is a nonzerodivisor on \(S_\alpha/aS_\alpha\) by Lemma 16. Consequently, \(b\) a nonzerodivisor on \(S/aS=\operatorname{colim}_\alpha S_\alpha/aS_\alpha\), so \(S\) is \((S_2)\) by Lemma 16. ◻

4 Naive and canonical \((S_2)\)-closures↩︎

Definition 19. Let \(S\) be an integral domain. We write \(S^{n\sigma}\) for \(\bigcap_{\mathfrak{p}\in\operatorname{Spec}_1(S)} S_\mathfrak{q}\) and \(S^{\sigma}\) for \(S^{n\sigma}\cap S^\nu\).

For a Noetherian integral domain \(R\) and a subalgebra \(S\) of \(R^\nu\), we know \(S\) is \((S_2)\) if and only if \(S=S^{n\sigma}\) (Lemma 16). We will see \(S^{\sigma}\) is \((S_2)\) (Theorem 47), so \(S\) is \((S_2)\) if and only if \(S=S^{\sigma}\).

Lemma 20. Let \(R\) be a Noetherian integral domain, \(S\) a subalgebra of \(R^\nu\).

Let \(W\) be a multiplicative subset of \(S\). Then \(W^{-1}(S^{n\sigma})=(W^{-1}S)^{n\sigma}\) and \(W^{-1}(S^{\sigma})=(W^{-1}S)^{\sigma}\).

Proof. We will show \(W^{-1}(S^{n\sigma})=(W^{-1}S)^{n\sigma}\); the corresponding identity \(W^{-1}(S^{\sigma})=(W^{-1}S)^{\sigma}\) follows as localization commutes with finite intersections.

The inclusion \(W^{-1}(S^{n\sigma})\subseteq (W^{-1}S)^{n\sigma}\) is clear. For the other inclusion, let \(z=x/y\in (W^{-1}S)^{n\sigma}\) where \(x,y\in S^\circ\). Let \(\mathfrak{q}_1,\ldots,\mathfrak{q}_m,\mathfrak{q}_{m+1},\ldots,\mathfrak{q}_n\) be the minimal prime divisors of \(yS\) (there are only finitely many, Theorem 14), ordered in a way that \(\mathfrak{q}_1,\ldots,\mathfrak{q}_m\) are disjoint from \(W\) and \(\mathfrak{q}_{m+1},\ldots,\mathfrak{q}_n\) are not. Then \(z\in S_{\mathfrak{q}_j}\) for all \(1\leq j\leq m\), and \(z\in S_{\mathfrak{q}}\) for all \(\mathfrak{q}\in\operatorname{Spec}_1(S)\setminus\{\mathfrak{q}_1,\ldots,\mathfrak{q}_m,\mathfrak{q}_{m+1},\ldots,\mathfrak{q}_n\}\). As \(S_{\mathfrak{q}_j}\) is a \(1\)-dimensional Noetherian local ring (Theorem 14), we can take \(w\in W\) so that \(w\in yS_{\mathfrak{q}_j}\) for all \(m+1\leq j\leq n\). Then \(wz=wx/y\) is in \(S^{n\sigma}\). ◻

Lemma 21. Let \(S\) be an integral domain, Let \(S'\) be a subalgebra of \(S^{n\sigma}\) (resp. \(S^{\sigma}\)). Then \(S'^{n\sigma}\subseteq S^{n\sigma}\) (resp. \(S'^{\sigma}\subseteq S^{\sigma}\)).

Proof. For every \(\mathfrak{q}\in\operatorname{Spec}_1(S)\), we have \(S\subseteq S'\subseteq S_\mathfrak{q}\), so \(S'_\mathfrak{q}=S_\mathfrak{q}\). Therefore the family of rings defining the intersection of \(S'^{n\sigma}\) contains that of \(S^{n\sigma}\), giving the \((-)^{n\sigma}\) case.

If \(S'\subseteq S^{\sigma}\), then \(S'^{\nu}=S^{\nu}\), which gives the \((-)^{\sigma}\) case. ◻

Example 22. By a theorem of Lech Lech-completion-domain?, a complete Noetherian local ring containing a field is the completion of a Noetherian local domain if and only if its depth is at least \(1\). Therefore, there exist a Noetherian local domain \(R\) of dimension \(2\) whose completion is \(k[[x,y,z]]/(x,y)\cap(z)\), where \(k\) is a field.

In this case, \(R^{n\sigma}=\mathcal{O}(U)\), where \(U\) is the punctured spectrum of \(R\). Therefore \(R^{n\sigma}\otimes_R R^\wedge=\mathcal{O}(U^\wedge)\), where \(U^\wedge\) is the punctured spectrum of \(R^\wedge\). By the specific form of \(R^\wedge\) we see \(\mathcal{O}(U^\wedge)=k((z))\times k[[x,y]]\), so \(\mathcal{O}(U^\wedge)\) is not integral over \(R^\wedge\), and \(R^{n\sigma}\) is not integral over \(R\).

If the field \(k\) has characteristic zero, then we can even make \(R\) quasi-excellent; in fact, a Noetherian complete local ring containing a field of characteristic zero is the completion of a quasi-excellent local domain if and only if it is reduced. See Loepp-03-complete-excellent-domains?.

Definition 23. Let \(R\) be a semilocal Noetherian domain. A formal obstruction to naive \((S_2)\)-ification for \(R\), or FONSI for \(R\), is a \(P\in \operatorname{Spec}(R^\wedge)\) such that \(\operatorname{ht}(P\cap R)>1\) and that there exists \(P_0\in\operatorname{Min}(R^\wedge)\) contained in \(P\) such that \(\operatorname{ht}(P/P_0)=1\). Note that in particular \(\operatorname{ht}(P)>1\).

The set of such \(P\) is denoted \(\operatorname{OS}_2^\wedge({R}).\) There is a canonical identification \(\operatorname{OS}_2^\wedge({R})=\bigsqcup_{\mathfrak{m}\in\operatorname{Max}(R)}\operatorname{OS}_2^\wedge({R_\mathfrak{m}})\). For a non-semi-local \(R\), we abuse notations and write \(\operatorname{OS}_2^\wedge({R})\) for \(\bigsqcup_{\mathfrak{m}\in\operatorname{Max}(R)}\operatorname{OS}_2^\wedge({R_\mathfrak{m}})\).

Remark 24. If \(R\) is universally catenary, then \(\operatorname{OS}_2^\wedge({R})=\emptyset\). To see this, we may assume \(R\) is local, so \(R^\wedge\) is (catenary and) equidimensional by Ratliff stacks? Tag0AW6, so \(\operatorname{ht}(P)=\operatorname{ht}(P/P_0)\) for all \(P_0\in\operatorname{Min}(R^\wedge)\) contained in \(P\in\operatorname{Spec}(R^\wedge)\).

Remark 25. Assume \(R\) is semilocal. For \(P\in\operatorname{OS}_2^\wedge({R})\), the punctured spectrum of the ring \((R^\wedge)_{\mathfrak{P}}\) is disconnected, as it has an isolated point given by a minimal prime \(P_{0}\subsetneq P\) with \(\operatorname{ht}(P/P_{0})=1\). By stacks? Tag0BLR we have \(\operatorname{depth}(R^\wedge)_{P}<2\), so \(\operatorname{depth}R_{P\cap R}<2\). Therefore, if \(R\) is \((S_2)\), then \(\operatorname{OS}_2^\wedge({R})=\emptyset\).

The rest of this section devotes to the study of rings with no FONSIs.

Theorem 26. Let \(R\) be a Noetherian integral domain. Assume that \(\operatorname{OS}_2^\wedge({R})=\emptyset\). Then the following are true.

  1. \(R^{n\sigma}\) is integral over \(R\), so \(R^{n\sigma}=R^\sigma\).

  2. \(R^\sigma\) is \((S_2)\).

  3. If a subalgebra \(S\) of \(R^\sigma\) is \((S_2)\), then \(S=R^\sigma\).

  4. If \(R\) is semilocal and \(R^\wedge\) is \((S_1)\), then \(R^\sigma\) is finite over \(R\).

For a converse to [NS2:integral] see Corollary 44.

Proof. By Lemmas 20 and 17, we may assume \(R\) is local. Let \(K\) be the fraction field of \(R\).

Let \(0=Q_1\cap\ldots\cap Q_m\cap Q_{m+1}\cap\ldots\cap Q_n\) be a shortest primary decomposition of \(0\) in \(R^\wedge\), ordered in a way that \(P_j=\sqrt{Q_j}\) is a minimal prime of \(R^\wedge\) for \(1\leq j\leq m\) and not for \(m+1\leq j\leq n\). Let \(S_j=R^\wedge/Q_j\) for \(1\leq j\leq m\), \(S=\prod_{j=1}^m S_j\). Let \(L_j=(S_j)_{P_j}\), so \(L=\prod_{j=1}^m L_j\) is the total fraction ring of \(S\).

Every \(a\in R^\circ\) is a nonzerodivisor on \(R^\wedge,R^{n\sigma}\otimes_R R^\wedge\), and \(S\). Therefore there is a commutative diagram \[\begin{tikzcd} R^\wedge \arrow[hookrightarrow,r] \arrow[d] &[0.5em] R^{n\sigma}\otimes_R R^\wedge \arrow[hookrightarrow,r] \arrow[d] &[0.5em] K\otimes_R R^\wedge\arrow[d] \\ S \arrow[hookrightarrow,r] & T \arrow[hookrightarrow,r] & L \end{tikzcd}\] where \(T=\prod_{j=1}^m T_j\) and each \(T_j\) denote the image of \(R^{n\sigma}\otimes_R R^\wedge\) in \(L_j\). Note that the kernel of \(K\otimes_R R^\wedge\to L\) is \(\bigcap_{j=1}^m Q_j(K\otimes_R R^\wedge)\), which is nilpotent, and is zero if \(R^\wedge\) is \((S_1)\).

Observe that for every \(\mathfrak{p}\in\operatorname{Spec}_{1}(R)\), we have \(R_\mathfrak{p}=(R^{n\sigma})_\mathfrak{p}\). As \(\operatorname{OS}_2^\wedge({R})=\emptyset\), we see that for every \(P\in\operatorname{Spec}(R^\wedge)\) so that \(\operatorname{ht}(P/P_j)=1\) for some \(1\leq j\leq m\), we have \((R^\wedge)_{P}=(R^{n\sigma}\otimes_R R^\wedge)_{P}\). Therefore the sub-\(S_j\)-algebra \(T_j\) of \(L_j\) satisfies \((S_j)_{P}=(T_j)_{P}\) for all \(P\in \operatorname{Spec}_1(S_j)\).

Lemma 27. Let \(A\) be a Noetherian complete local ring that is \((S_1)\) and has irreducible spectrum. Let \(F\) be the total fraction ring of \(A\) and let \(M\subseteq N\) be two sub-\(A\)-modules of \(F\). If \(M_{P}=N_{P}\) for all \(P\in \operatorname{Spec}_1(A)\), and \(M\) is finite, then \(N\) is finite.

Proof. We will use the fact a Noetherian complete local ring is excellent, stacks? Tag07QW.

Let \(U\) be the locus where \(M\) is \((S_2)\). Then \(U\) is open EGA4_2?, and contains \(\operatorname{Spec}_1(A)\) as \(A\) is \((S_1)\). Let \(j:U\to \operatorname{Spec}(A)\) be the canonical open immersion. It is clear that \(j_*j^*M=\bigcap_{P\in\operatorname{Spec}_1(A)} M_{P}\).

Let \(P_0\) be the minimal prime of \(A\), and let \(\overline{A}=A/P_0\). Note that \(\operatorname{Ass}_A(M)=\{P_0\}\). For \(P\in \operatorname{Spec}(A)\setminus U\), the completion \(\overline{A}^\wedge_{P}\) is \((S_1)\) as \(\overline{A}\) is \((S_1)\) with \((S_1)\) formal fibers. Moreover, by Ratliff stacks? Tag0AW6, \(\overline{A}^\wedge_{P}\) is equidimensional, as \(\overline{A}_{P}\) is equidimensional and universally catenary. Therefore for all \(\mathfrak{p}\in\operatorname{Ass}(\overline{A}^\wedge_{P})\) we have \(\dim \overline{A}^\wedge_{P}/\mathfrak{p}= \operatorname{ht}(P)>1\). By stacks? Tag0BK3, \(j_*j^*M\) is finite; and so is its submodule \(N\). ◻

By the lemma, each \(T_j\) is finite over \(S_j\), so \(T\) is finite over \(S\). The kernel of \(R^{n\sigma}\otimes_R R^\wedge\to T\) is nilpotent, and is zero if \(R^\wedge\) is \((S_1)\). Therefore \(R^{n\sigma}\otimes_R R^\wedge\) is integral over \(R^\wedge\), and is finite over \(R^\wedge\) if \(R^\wedge\) is \((S_1)\). As \(R\to R^\wedge\) is faithfully flat, we get [NS2:integral] and [NS2:formalS1], cf. stacks? Tags 02L9 and02LA.

Let \(S\) be an arbitrary subalgebra of \(R^{n\sigma}=R^\sigma\). Then \(S^{n\sigma}=R^{n\sigma}\) by Lemmas 21 and 28 below. Therefore \(S\) is \((S_2)\) if and only if \(S=R^{n\sigma}\). This gives [NS2:S2][NS2:S2unique]. ◻

Lemma 28. Let \(R\subseteq R'\) be a finite inclusion of Noetherian integral domains, \(S'\) a subalgebra of \(R'^\nu\). Then for every \(\mathfrak{q}'\in\operatorname{Spec}_1(S')\), we have either \(\mathfrak{q}'\cap R\in\operatorname{Spec}_1(R)\), or \(\mathfrak{q}'\cap R=P\cap R\) for some \(P\in \operatorname{OS}_2^\wedge({R})\); in particular, if \(\operatorname{OS}_2^\wedge({R})=\emptyset\), then \(\mathfrak{q}'\cap R\in\operatorname{Spec}_1(R)\), and \(R^{n\sigma}\subseteq S'^{n\sigma}\).

Proof. The “in particular” assertion follows at once as \(S'^{n\sigma}=\bigcap_{\mathfrak{q}'\in\operatorname{Spec}_1(S')} S'_{\mathfrak{q}'}\supseteq \bigcap_{\mathfrak{q}'\in\operatorname{Spec}_1(S')} R_{\mathfrak{q}'\cap R}\supseteq R^{n\sigma}\).

By Lemma 13, we may assume \(S'=R'\). We may assume \(R\) local, so \(R'\) is semilocal. By Lemma 9 every minimal prime of \(R'^\wedge\) lies above a minimal prime of \(R^\wedge\).

Let \(P'\) be a minimal prime divisor of \(\mathfrak{q}'R'^\wedge\), so \(\operatorname{ht}(P')=1\) and \(P'\cap R'=\mathfrak{q}'\). Take \(P_0'\in\operatorname{Min}(R'^\wedge)\) contained in \(P'\), so \(\operatorname{ht}(P'/P_0')=1\). As \(R^\wedge\) is universally catenary, we have \(\operatorname{ht}(P'\cap R^\wedge/P_0'\cap R^\wedge)=1\) by the dimension formula stacks? Tag02IJ. Therefore either \(\operatorname{ht}(P'\cap R)=1\) or \(P'\cap R\in\operatorname{OS}_2^\wedge({R})\). As \(P'\cap R=\mathfrak{q}'\cap R\) this proves the lemma. ◻

Corollary 29. Let \(R\) be a Noetherian integral domain, \(S\) a subalgebra of \(R^\nu\). Assume that \(\operatorname{OS}_2^\wedge({R})=\emptyset\). Then the following are true.

  1. \(S^{n\sigma}\) is integral over \(S\), so \(S^{n\sigma}=S^\sigma\).

  2. \(S^\sigma\) is \((S_2)\).

  3. If a subalgebra \(S'\) of \(S^\sigma\) is \((S_2)\), then \(S'=S^\sigma\).

Proof. Let \(S'\) be a \(S\)-subalgebra of \(R^\nu\). Let \(\mathfrak{q}'\in \operatorname{Spec}_1(S')\). Then \(\operatorname{ht}(\mathfrak{q}'\cap R)=1\) by Lemma 28, so \(\operatorname{ht}(\mathfrak{q}'\cap S)=1\). Therefore \(S^{n\sigma}\subseteq S'^{n\sigma}\). Apply this to \(S'=R^\nu\), noting that \((R^\nu)^{n\sigma}=R^\nu\) as \(R^\nu\) is a Krull domain Nagata-local?, we see [NS2c:integral] holds.

Now apply the inclusion \(S^{n\sigma}\subseteq S'^{n\sigma}\) and Lemma 21 to a \(S\)-subalgebra \(S'\) of \(S^{n\sigma}=S^\sigma\). We get \(S^{n\sigma}= S'^{n\sigma}\), giving [NS2c:S2][NS2c:S2unique]. ◻

5 Extension rings via first local cohomology↩︎

This is an auxiliary section that provides a conceptual variant of Ratliff’s construction Mat-CRT?.

Discussion 30. Let \(R\) be a Noetherian ring and let \(I\) be an ideal of \(R\). Then there exists a canonical exact sequence \[\begin{tikzcd} 0\arrow[r] & H^0_I(R)\arrow[r] & R \arrow[r] & \mathcal{O}(D(I)) \arrow[r] & H^1_I(R)\arrow[r] & 0. \end{tikzcd}\] For a submodule \(M\) of \(H^1_I(R)\), we denote by \(R+_I M\) the unique submodule of \(\mathcal{O}(D(I))\) that contains the image of \(R\) and has image \(M\) of \(H^1_I(R)\). Denote by \(R[I;M]\) the subalgebra of \(\mathcal{O}(D(I))\) generated by \(R+_I M\), and denote by \(M^a\) the unique submodule of \(H^1_I(R)\) such that \(R+_I M^a=R[I;M]\). We thus have a commutative diagram with exact rows \[\begin{tikzcd} 0\arrow[r] & H^0_I(R)\arrow[r] \arrow[equal,d] & R \arrow[r] \arrow[equal,d] & R+_I M \arrow[r] \arrow[hookrightarrow,d] & M\arrow[r]\arrow[hookrightarrow,d] & 0\\ 0\arrow[r] & H^0_I(R)\arrow[r] & R \arrow[r] & R[I;M] \arrow[r] & M^a\arrow[r] & 0. \end{tikzcd}\] There is an obvious functoriality with respect to ring maps, giving compatibility with flat base change; and an obvious functoriality with inclusion of submodules.

The module \(R+_I M\) is finite if and only if \(M\) is finite; in which case \(R[I,M]\) is a finitely generated \(R\)-algebra.

Discussion 31. If an ideal \(\mathfrak{a}\subseteq R\) is \(I^\infty\)-torsion, then for \(\overline{R}=R/\mathfrak{a}\) and \(\overline{I}=(I+\mathfrak{a})/\mathfrak{a}\) we have \(H^1_I(R)=H^1_{\overline{I}}(\overline{R})\), and \(R+_I M=\overline{R} +_{\overline{I}} M\). In particular, taking \(\mathfrak{a}=H^0_I(R)\), we reduce to the case \(H^0_I(R)=0\), or equivalently, \(I\) contains a nonzerodivisor on \(R\).

Discussion 32. As \(R+_IM\subseteq\mathcal{O}(D(I))\) we have \(H^0_I(R+_I M)=0\). There is a canonical identification \(H^1_I(R+_I M)=H^1_I(R)/M\), as \(H^1_I(R)=H^1_I(R/H^0_I(R))\). For a submodule \(N\) containing \(M^a\), this gives canonical identifications
\(R[I;M]+_{IR[I;M]}N/M^a=R+_IN\) and \(R[I;M][IR[I;M];N/M^a]=R[I;N]\).

Discussion 33. Assume \(H^0_I(R)=0\) and let \(J\) be an ideal of \(R\) containing \(I\). Then the canonical identification \(R\Gamma_J(R\Gamma_I(R))=R\Gamma_J(R)\) gives a canonical identification \(H^0_J(H^1_I(R))=H^1_J(R)\). Therefore, if \(M\) is a submodule of \(H^1_J(R)\), then it can be viewed as a submodule of \(H^1_I(R)\), and we have canonical identifications \(R+_I M=R+_JM\) and \(R[I;M]=R[J;M]\).

Lemma 34 (cf. ). stacks]Let \((R,\mathfrak{m})\) be a Noetherian local ring of depth at least \(1\) that is not a DVR. Let \(M\) be a submodule of \(H^1_\mathfrak{m}(R)\) that is annihilated by \(\mathfrak{m}\). Then \(R[\mathfrak{m};M]\) is integral over \(R\).

Proof. As \(\operatorname{depth}R\geq 1\), \(R\) is a subring of \(\mathcal{O}(D(\mathfrak{m}))\). Let \(y\in R+_\mathfrak{m}M\). Then \(y\mathfrak{m}\subseteq R\). If \(y\mathfrak{m}=R\), then we can write \(1=yt\) for some \(t\in \mathfrak{m}\), so \(a=ayt\in tR\) for all \(a\in\mathfrak{m}\), and \(\mathfrak{m}=tR\) is principal, contradiction. Therefore \(y\mathfrak{m}=\mathfrak{m}\), so \(y\) is integral over \(R\) by stacks? Tag0B5T and the fact \(\mathfrak{m}\) contains a nonzerodivisor on \(R\), which is automatically a nonzerodivisor on \(\mathcal{O}(D(\mathfrak{m}))\). ◻

Definition 35. Let \(R\) be a Noetherian ring and let \(U\) be a scheme-theoretically dense open subset of \(\operatorname{Spec}(R)\). A finite \(U\)-modification of \(R\) is a finite \(R\)-subalgebra \(R'\) of \(\mathcal{O}(U)\).

Scheme-theoretically, this means \(R\to R'\) is finite, and \(\operatorname{Spec}(R')\times_{\operatorname{Spec}(R)}U\) is scheme-theoretically dense in \(\operatorname{Spec}(R')\) and maps isomorphically onto \(U\).

Definition 36. Let \(R\) be a Noetherian integral domain. We say \(\mathfrak{p}\in\operatorname{Spec}(R)\) is p-unibranch if, for every finite \(D(\mathfrak{p})\)-modification \(R'\) of \(R\), the ring \(R'_\mathfrak{p}\) is local.

We record the following standard fact.

Lemma 37. Let \(R\) be a Noetherian integral domain and let \(U\) be an open subset of \(\operatorname{Spec}(R)\). Let \(W\) be a multiplicative subset of \(R\) and let \(W^{-1}U\) be the preimage of \(U\) in \(\operatorname{Spec}(W^{-1}R)\). Then every finite \((W^{-1}U)\)-modification of \(W^{-1}R\) is of the form \(W^{-1}R'\) where \(R'\) is a finite \(U\)-modification of \(R\). In particular, if \(\mathfrak{p}\in\operatorname{Spec}(R)\) is disjoint from \(W\), then \(\mathfrak{p}\in\operatorname{Spec}(R)\) is p-unibranch if and only if \(W^{-1}\mathfrak{p}\in\operatorname{Spec}(W^{-1}R)\) is p-unibranch.

Proof. By standard theory of limits, particularly stacks? Tags 01ZO and081E, we may assume \(W\) is generated by a single element \(f\). Let \(T\) be a finite \((W^{-1}U)\)-modification of \(W^{-1}R\). Then \(T\) and \(\mathcal{O}_U\) glue to a coherent \(\mathcal{O}_{V}\)-algebra \(\mathcal{A}\), where \(V=U\cup D(f)\). Let \(j:V\to \operatorname{Spec}(A)\) be the open immersion, and let \(\mathcal{A}'\) be the integral closure of \(\mathcal{O}_{\operatorname{Spec}(A)}\) in \(j_*\mathcal{A}\). Then \(j^*\mathcal{A}'=\mathcal{A}\), and we can find a coherent subalgebra \(\mathcal{A}''\) of \(\mathcal{A}'\) such that \(j^*\mathcal{A}''=\mathcal{A}\), which corresponds to a \(U\)-modification \(R''\) of \(R\) that satisfies \(W^{-1}R''=T\). Alternatively, one can use Zariski’s Main Theorem, stacks? Tag05K0. ◻

Lemma 38. Let \((R,\mathfrak{m})\) be a Noetherian local domain of dimension at least \(2\). Assume that \(\mathfrak{m}\in \operatorname{Spec}(R)\) is p-unibranch.

Let \(M\) be a submodule of \(H^1_\mathfrak{m}(R)\). Then \(R[\mathfrak{m};M]\) is integral over \(R\).

Proof. Let \(M_1\) be the socle of \(H^1_\mathfrak{m}(R)\), which is finite as \(H^1_\mathfrak{m}(R)\) is Artinian Residues-Duality?. The ring \(R_1:=R[\mathfrak{m};M_1]\) is then finite over \(R\) by Lemma 34. As \(\mathfrak{m}\in \operatorname{Spec}(R)\) is p-unibranch, \(R_1\) is a local ring, and we denote its maximal ideal by \(\mathfrak{m}_1\). We know \(\dim R_1=\dim R\geq 2\), therefore the same argument applies to the ring \(R_1\), and from Discussion 32 we see \(R[\mathfrak{m};M_2]\) is finite over \(R\) for \(M_2=(M_1^a:\mathfrak{m})\). Inductively we see \(R[\mathfrak{m};H^1_\mathfrak{m}(R)]\) is integral over \(R\), and so is its subring \(R[\mathfrak{m};M]\). ◻

Remark 39. Instead of p-unibranchness, the conclusion of Lemma 38 holds with the weaker assumption that all maximal ideals of all finite \(D(\mathfrak{m})\)-modifications of \(R\) have height at least \(2\). This is true, for instance, when \(R\) is universally catenary, by the dimension formula stacks? Tag02IJ.

6 Eliminating the obstructions↩︎

Lemma 40. Let \(R\subseteq R'\) be a finite inclusion of Noetherian integral domains. Then for every \(P'\in\operatorname{OS}_2^\wedge({R'})\) we have \(P'\cap R^\wedge\in\operatorname{OS}_2^\wedge({R})\). In particular, if \(\operatorname{OS}_2^\wedge({R})=\emptyset\), then \(\operatorname{OS}_2^\wedge({R'})=\emptyset\).

Proof. The proof is similar to the proof of Lemma 28.

Let \(P'\in\operatorname{OS}_2^\wedge({R'})\). Take \(P_0'\in\operatorname{Min}(R'^\wedge)\) contained in \(P'\) with \(\operatorname{ht}(P'/P_0')=1\). As \(R^\wedge\) is universally catenary, we have \(\operatorname{ht}(P'\cap R^\wedge/P_0'\cap R^\wedge)=1\) by the dimension formula stacks? Tag02IJ. By Lemma 9 \(P_0'\cap R^\wedge\in\operatorname{Min}(R^\wedge)\). We have \(\operatorname{ht}(P'\cap R)\geq \operatorname{ht}(P'\cap R')>1\), by the fact \(R\to R'\) is integral and by the definition of \(\operatorname{OS}_2^\wedge({R'})\). Therefore \(P'\cap R^\wedge\in \operatorname{OS}_2^\wedge({R}).\) ◻

The following result is Mat-CRT?, and also follows from EGA4_2?.

Theorem 41. Let \(R\) be a Noetherian ring, \(\mathfrak{p}\in\operatorname{Spec}(R)\). Then there exist at most finitely many \(\mathfrak{P}\in V(\mathfrak{p})\) such that \(\operatorname{ht}(\mathfrak{P}/\mathfrak{p})=1\) and that \(\operatorname{ht}(\mathfrak{P})>\operatorname{ht}(\mathfrak{p})+1\).

Lemma 42. Let \(R\) be a Noetherian semilocal domain. Then \(\operatorname{OS}_2^\wedge({R})\) is finite.

Proof. This follows from Theorem 41 as \(R^\wedge\) has only finitely many minimal primes. ◻

The next result is the key technical lemma towards the main theorems. The proof idea is to “split up” a FONSI with a finite extension in \(R^\sigma\), using disconnectedness (Remark 25) and the extensions discussed in §5, and to note this process must terminate.

Theorem 43. Let \(R\) be a Noetherian semilocal domain. Then there exists a finite subalgebra \(R'\) of \(R^\sigma\) such that \(\operatorname{OS}_2^\wedge({R'})=\emptyset\).

Proof. By Lemmas 40 and 42 it suffices to find a finite subalgebra \(R'\) of \(R^\sigma\) for each \(P\in\operatorname{OS}_2^\wedge({R})\) such that no FONSIs of \(R'\) are above \(P\). Fix a \(P\in\operatorname{OS}_2^\wedge({R})\) and let \(\mathfrak{p}=P\cap R\in\operatorname{Spec}(R)\), so we have \(\operatorname{ht}(\mathfrak{p})>1\).

By Theorem 12, there exists a finite \(D(\mathfrak{p})\)-modification \(R_1\) of \(R\) such that all preimages of \(\mathfrak{p}\) in \(\operatorname{Spec}(R_1)\) are p-unibranch. We know \(R_1\subseteq R^\sigma\) as \(\operatorname{ht}(\mathfrak{p})>1\). Next, we take a finite \(D(\mathfrak{p}R_1)\)-modification \(R_2\) of \(R_1\), so that the number of maximal ideals of \((R_2^\wedge)_{P}\) (i.e. the number of preimages of \(P\) in \(\operatorname{Spec}(R_2^\wedge)\)) is maximal among all possible \(R_2\); to see this is achievable, note that \((R_2^\wedge)_{\operatorname{red}}\) is finite birational over \((R_1^\wedge)_{\operatorname{red}}\), so \(((R_2^\wedge)_{\operatorname{red}})_{P}\) is contained in the normalization of \(((R_1^\wedge)_{\operatorname{red}})_{P}\), which is finite as a complete Noetherian local ring is Nagata stacks? Tag0335, so the number of maximal ideals of \((R_2^\wedge)_{P}\) is bounded. Note that we still have \(R_2\subseteq R^\sigma\) and that all preimages of \(\mathfrak{p}\) in \(\operatorname{Spec}(R_2)\) are p-unibranch. We will show no FONSIs of \(R_2\) are above \(P\).

Assume that there exists a \(P_2\in \operatorname{OS}_2^\wedge({R_2})\) above \(P\). Let \(\mathfrak{p}_2=P_2\cap R_2\), so \(\mathfrak{p}_2\) lies above \(\mathfrak{p}\), therefore is p-unibranch; and \(\operatorname{ht}(\mathfrak{p}_2)>1\) as \(P_2\in \operatorname{OS}_2^\wedge({R_2})\). In particular \(T:=(R_2)_{\mathfrak{p}_2}\) and \(A:=(R_2^\wedge)_{P_2}\) have depth at least \(1\).

The punctured spectrum \(U\) of the ring \(A\) is disconnected (Remark 25), therefore \(\mathcal{O}(U)\) has a nontrivial idempotent \(e\). In the notations of Discussion 30, there exists a finite submodule \(N\subseteq H^1_{P_2A}(A)\) such that \(A+_{P_2A}N=A[P_2A;N]=A[e]\). As \(T\to A\) is flat and as \(H^0_{\mathfrak{p}_2T}(T)=0\), we have \(H^1_{P_2A}(A)=H^0_{P_2A}(H^1_{\mathfrak{p}_2T}(T)\otimes_T A)\) (Discussion 33). Therefore there exists a finite submodule \(M\subseteq H^1_{\mathfrak{p}_2T}(T)\) such that \(N\subseteq M\otimes_T A\). Note that \(\mathfrak{p}_2T\in\operatorname{Spec}(T)\) is p-unibranch (Lemma 37), so the ring \(T[\mathfrak{p}_2T;M]\) is finite over \(T\) (Lemma 38), and therefore a finite \(D(\mathfrak{p}_2T)\)-modification. We can then find a finite \(D(\mathfrak{p}_2)\)-modification \(R_3\) of \(R_2\), which is automatically a finite \(D(\mathfrak{p}R_1)\)-modification of \(R_1\), such that \((R_3)_{\mathfrak{p}_2}=T[\mathfrak{p}_2T;M]\) (Lemma 37). Then \((R_3^\wedge)_{P_2}=T[\mathfrak{p}_2T;M]\otimes_T A=A[\mathfrak{p}_2A;M\otimes_T A]\supseteq A[\mathfrak{p}_2A;N]=A[P_2A;N]=A[e]\), where we used compatibilities in Discussions 30 and 33. In particular, \((R_3^\wedge)_{P_2}\) is not local, so \(P_2\) has more than \(1\) preimages in \(\operatorname{Spec}(R_3^\wedge)\), so \(P\) has more preimages in \(\operatorname{Spec}(R_3^\wedge)\) than in \(\operatorname{Spec}(R_2^\wedge)\), contradicting maximality. ◻

The following result could have been established along the way; we derive it formally from the theorem.

Corollary 44. Let \(R\) be a Noetherian integral domain. Then \(\operatorname{OS}_2^\wedge({R})=\emptyset\) if and only if \(R^{n\sigma}\) is integral over \(R\). In particular, if \(\operatorname{OS}_2^\wedge({R})=\emptyset\), then \(\operatorname{OS}_2^\wedge({W^{-1}R})=\emptyset\) for all multiplicative subsets \(W\) of \(R\).

Proof. The “in particular” statement follows from Lemma 20.

That \(\operatorname{OS}_2^\wedge({R})=\emptyset\) implies \(R^{n\sigma}\) being integral over \(R\) is Theorem 26[NS2:integral]. Assume \(\operatorname{OS}_2^\wedge({R})\neq\emptyset\). We show \(R^{n\sigma}\) is not integral over \(R\). By Lemma 20 we may assume \(R\) is local. Let \(R'\) be as in Theorem 43. Let \(P\in \operatorname{OS}_2^\wedge({R})\) and let \(P_0\in\operatorname{Min}(R^\wedge)\) be contained in \(P\) so that \(\operatorname{ht}(P/P_0)=1\). Write \(\mathfrak{p}=P\cap R\), so \(\operatorname{ht}(\mathfrak{p})>1\).

Note that \(R^\wedge\to R'^\wedge\) is finite injective. Let \(P_0'\in\operatorname{Min}(R'^\wedge)\) be above \(P_0\). Let \(P'\in V(P_0')\) be above \(P\). As \(R^\wedge\) is universally catenary, we have \(\operatorname{ht}(P'/P_0')=\operatorname{ht}(P/P_0)=1\). As \(\operatorname{OS}_2^\wedge({R'})=\emptyset\), we have \(\operatorname{ht}(\mathfrak{p}')\leq 1\), where \(\mathfrak{p}'=P'\cap R'\). As \(\mathfrak{p}'\cap R=\mathfrak{p}\neq0\) we have \(\operatorname{ht}(\mathfrak{p}')=1\).

Let \(\Sigma\) be the finite set of all preimages of \(\mathfrak{p}\) in \(\operatorname{Spec}(R')\) and let \(\Sigma_0=\Sigma\setminus\{\mathfrak{p}'\}\). Let \(W'=R'\setminus \cup\Sigma_0\). We claim that \(W'^{-1}R'\subseteq (R_\mathfrak{p})^{n\sigma}\). This tells us \((R_\mathfrak{p})^{n\sigma}\) is not integral over \(R_\mathfrak{p}\) (as \(\operatorname{Spec}(W'^{-1}R')\to \operatorname{Spec}(R'_\mathfrak{p})\) is not surjective), and Lemma 20 gives \(R^{n\sigma}\) is not integral over \(R\).

To see the claim, let \(\mathfrak{q}\in\operatorname{Spec}_1(R)\) be contained in \(\mathfrak{p}\). We need to show \(W'^{-1}R'\subseteq R_\mathfrak{q}\). As \(\operatorname{ht}(\mathfrak{p})>1\), we can find \(x\in\mathfrak{p}\setminus\mathfrak{q}\). Let \(\beta\in W'^{-1}R'\). Since \(\operatorname{ht}(\mathfrak{p}')=1\), we know the fraction field of \(R'_{\mathfrak{p}'}\), which is also the fraction field of \(R\) and \(R'\), is equal to \(R'_{\mathfrak{p}'}[\frac{1}{x}]\). Therefore \(x^N\beta\in R'_{\mathfrak{p}'}\) for some \(N\), so \(x^N\beta\in R'_{\mathfrak{p}}\) as \(\beta\in W'^{-1}R'\). As \(R'\subseteq R^\sigma\), we have \(R_\mathfrak{q}=R'_{\mathfrak{q}}\). Thus \(x^N\beta\in R_\mathfrak{q}\), so \(\beta\in R_\mathfrak{q}\) as \(x\not\in\mathfrak{q}\). ◻

The following are the main results on \((S_2)\)-closures.

Theorem 45. Let \(R\) be a Noetherian integral domain. Then \(R^\sigma\) is \((S_2)\).

Proof. By Lemmas 20 and 17, we may assume \(R\) is local. By Theorem 43 we can find a finite \(R'\subseteq R^\sigma\) so that \(\operatorname{OS}_2^\wedge({R'})=\emptyset\). Let \(\mathcal{R}\) be the set of all finite \(R'\)-subalgebras of \(R^\sigma\). For every \(R''\in\mathcal{R}\) we have \(R''^{\sigma}\subseteq R^{\sigma}\) by Lemma 21, so \(R^{\sigma}=\bigcup_{R''\in\mathcal{R}}R''^{\sigma}\), and this union is filtered by Lemmas 40 and 28. By Lemma 40 and Theorem 26, each \(R''^{\sigma}\) is \((S_2)\). We conclude by Lemma 18. ◻

Corollary 46. Let \(R\) be a Nagata integral domain. Then there exists a (finite) subalgebra \(R'\) of \(R^\nu\) that is \((S_2)\) and satisfies \(R_\mathfrak{p}=R'_{\mathfrak{p}}\) for all \(\mathfrak{p}\in\operatorname{Spec}_1(R)\).

Similarly we have

Theorem 47. Let \(R\) be a Noetherian integral domain, \(S\) a subalgebra of \(R^\nu\). Then \(S^\sigma\) is \((S_2)\).

Proof. By Lemmas 20 and 17, we may assume \(R\) is local. Let \(\Sigma=\{\mathfrak{q}\in\operatorname{Spec}_1(S)\mid \operatorname{ht}(\mathfrak{q}\cap R)>1\}\). Then by Lemmas 28 and 42 and Theorem 12, \(\Sigma\) is finite. We may therefore find a finite subalgebra \(R'\) of \(S\) such that \(\operatorname{ht}(\mathfrak{q}\cap R')=1\) for all \(\mathfrak{q}\in\Sigma\), Lemma 13. For all \(\mathfrak{q}\in\operatorname{Spec}_1(S)\setminus\Sigma\), \(\operatorname{ht}(\mathfrak{q}\cap R)=1\), so \(\operatorname{ht}(\mathfrak{q}\cap R')=1\) as \(R\to R'\) is integral. Therefore \(\operatorname{ht}(\mathfrak{q}\cap R')=1\) for all \(\mathfrak{q}\in\operatorname{Spec}_1(S)\), consequently \(\operatorname{ht}(\mathfrak{q}\cap R'')=1\) for all \(\mathfrak{q}\in\operatorname{Spec}_1(S)\) and all \(R''\in \mathcal{R}:=\) the set of all finite \(R'\)-subalgebras of \(S\). As in the proof of Corollary 29, we see \(S^{n\sigma}=\bigcup_{R''\in\mathcal{R}}R''^{n\sigma}\), so \(S^{\sigma}=\bigcup_{R''\in\mathcal{R}}R''^{\sigma}\) as \(S^\nu=R''^\nu=R^\nu\) for all \(R''\in\mathcal{R}\). Again, as in the proof of Corollary 29, this union is filtered, and we conclude by Lemma 18 and Theorem 45. ◻

7 Semi-Nagata rings↩︎

Definition 48. A ring \(R\) is semi-Nagata if \(R\) is Noetherian and, for all finite ring maps \(R\to B\) where \(B\) is an integral domain, there exists a finite inclusion \(B\subseteq C\) of integral domains such that \(C\) is \((S_2)\).

We will show that we can take \(C\) inside \(B^\sigma\), Theorem 61. Therefore Definition 48 is equivalent to the definition given in the introduction.

Remark 49. A one-dimensional Noetherian ring is semi-Nagata, as we can take \(C=B\).

Remark 50. A Nagata ring is semi-Nagata, as we can take \(C\) to be the normalization of \(B\).

Remark 51 (cf. Greco-excellent-finite?). Let \(R\to R'\) be a finite map of Noetherian rings. If \(R\) is semi-Nagata, so is \(R'\); if \(\operatorname{Spec}(R')\to\operatorname{Spec}(R)\) is surjective and \(R'\) is semi-Nagata, so is \(R\). This is trivial from our definition.

Remark 52. For a Noetherian ring \(R\), a multiplicative subset \(W\) of \(R\), and a finite ring map \(W^{-1}R\to C\) where \(C\) is an integral domain, there exists a finite ring map \(R\to B\) where \(B\) is an integral domain and \(W^{-1}B=C\). Indeed, let \(B_0\) be the integral closure of \(R\) in \(C\). Then \(W^{-1}B_0=C\), so \(W^{-1}B=C\) for some finite subalgebra \(B\). This tells us a localization of a semi-Nagata ring is semi-Nagata.

Following Grothendieck stacks? Tag0BIR, we say a Noetherian ring \(R\) is an \((S_1)\)-ring if all formal fibers of \(R\) are \((S_1)\). We use the fact that the property \((S_1)\) satisfies the axiomatic properties stacks? Tag0BIY. An essentially finitely generated algebra over an \((S_1)\)-ring is an \((S_1)\)-ring, stacks? Tag0BIV.

Lemma 53. A semi-Nagata ring is an \((S_1)\)-ring.

Proof. Let \(R\) be a semi-Nagata local ring. We need to show the fibers of \(R\to R^\wedge\) are \((S_1)\). This is enough by Remark 52.

By Noetherian induction we may assume this is true for all proper quotients of \(R\). If \(R\) were not an integral domain we are done, so we may assume \(R\) is an integral domain. Then there exist a finite inclusion \(R\subseteq R'\) of integral domains so that \(R'\) is \((S_2)\).

Let \(x\in R^\circ\) be a noninvertible element. Then \(R'/xR'\) is \((S_1)\). As the fibers of \(R/xR\to (R/xR)^\wedge\) are \((S_1)\) by the induction hypothesis, so are the fibers of \(R'/xR'\to (R'/xR')^\wedge\). Therefore \((R'/xR')^\wedge\) is \((S_1)\) stacks? Tag0339, so \(R'^\wedge\) is \((S_1)\) EGA4_2?. As \(R\subseteq R'\) is a finite inclusion of Noetherian semilocal domains we see \(R^\wedge\) is \((S_1)\) (Lemma 9). ◻

Lemma 54. Let \(R\) be a Noetherian semilocal domain such that \(R^\wedge\) is \((S_1)\). Then there exists a finite subalgebra of \(R^\sigma\) that is \((S_2)\).

Proof. By Theorem 43 we can find a finite subalgebra \(R'\) of \(R^\sigma\) so that \(\operatorname{OS}_2^\wedge({R'})=\emptyset\). \(R'^\wedge\) is \((S_1)\) by Lemma 9. Therefore \(R'^\sigma\) is a finite \(R'\)-algebra inside \(R^\sigma\) (Lemma 21) that is \((S_2)\) (Theorem 26). ◻

Theorem 55. Let \(R\) be a Noetherian semilocal ring. Then the following are equivalent.

  1. \(R\) is semi-Nagata.

  2. For every finite ring map \(R\to B\) where \(B\) is an integral domain, there exists a finite subalgebra \(C\) of \(B^\sigma\) that is \((S_2)\).

  3. \(R\) is an \((S_1)\)-ring.

Proof. Lemma 53 gives [semi-Nagatalocal:semi-Nagata] implies [semi-Nagatalocal:S1ring], whereas [semi-Nagatalocal:finiteS2ify] trivially implies [semi-Nagatalocal:semi-Nagata]. Finally, to see [semi-Nagatalocal:S1ring] implies [semi-Nagatalocal:finiteS2ify], we may replace \(R\) by \(B\) and assume \(R=B\) is an integral domain. Then \(R^\wedge\) is \((S_1)\) by stacks? Tag0339, so [semi-Nagatalocal:finiteS2ify] follows from Lemma 54. ◻

Example 56. It is possible that \(R^\sigma\) is not finite over \(R\), even when \(R\) is semi-Nagata. As in Example 22, there is a Noetherian local domain \((R,\mathfrak{m})\) of dimension \(2\) such that \(R^\wedge\cong k[[x,y,z]]/(x^2,y^2)\cap (z)\), where \(k\) is a field. Then \(k[[x,y,z]]/(x^2,y^2)\times k[[x,y]]\) is a finite \(D(\mathfrak{m}R^\wedge)\)-modification of \(R^\wedge\), thus isomorphic to \(R'^\wedge\) where \(R'\) is a finite \(D(\mathfrak{m})\)-modification of \(R\) stacks? Tags 0ALK and05EU. By EGA4_2? the Cohen–Macaulay ring \(R'\) is an \((S_1)\)-ring, so \(R'\) is semi-Nagata, thus so is \(R\). On the other hand, for the maximal ideal \(\mathfrak{m}'\) of \(R'\) of height \(1\), the normalization \(T\) of \(R'_{\mathfrak{m}'}\) is contained in a localization of \(R^\sigma\), as \(\operatorname{ht}(\mathfrak{m}'\cap R)=2\). Since \(T\) is not finite over \(R'_{\mathfrak{m}'}\) (otherwise the nonreduced ring \(R'^\wedge_{\mathfrak{m}'}\cong k[[x,y,z]]/(x^2,y^2)\) will be a subring of a finite product of DVRs), we see \(R^\sigma\) is not finite over \(R\).

We remark that the ring \(R\) in Example 22 is also semi-Nagata for the same reason.

Remark 57. In general, it cannot be expected that \(C\) as in Theorem 55[semi-Nagatalocal:finiteS2ify] is \((S_2)\) as a \(B\)-module. In fact, for the semi-Nagata ring \(R\) in Example 22 (or 56) there exists no inclusion of finite \(R\)-modules \(R\to M\) so that \(M\) is \((S_2)\). To see this, as \(\dim R=2\) we have \(\operatorname{depth}M\geq 2\) (so \(\operatorname{depth}(M^\wedge)\geq 2\)). At this point, we can apply stacks? Tag00NM to see \(R\) universally catenary, so \(R^\wedge\) is equidimensional stacks? Tag0AW6, which is a contradiction. For a more explicit examination of what failed, by stacks? Tags 0AVZ and0DWR we see \(M^\wedge=\Gamma(U^\wedge,\mathcal{F}^\wedge)\), where \(U^\wedge\) is the punctured spectrum of \(R^\wedge\) and \(\mathcal{F}^\wedge\) is the sheaf on \(\operatorname{Spec}(R^\wedge)\) associated with \(M^\wedge\). Then for the minimal prime \(P_0\) of \(R^\wedge\) with \(\dim(R^\wedge/P_0)=1\), we see \((M^\wedge)_{P_0}\) is a direct factor of \(M^\wedge\). Therefore \((M^\wedge)_{P_0}\), and its submodule \((R^\wedge)_{P_0}\), is finite over \(R^\wedge\); in other words, \(k((z))\) is finite over \(k[[z]]\), contradiction.

Note that, as noted in Example 22, when the chacteristic of \(k\) is zero, we can even make the ring \(R\) quasi-excellent.

Remark 58. On the other hand, if \(R\) is a Noetherian universally catenary domain and \(R'\) is an integral domain containing and finite over \(R\), then \(R'\) is \((S_2)\) as a ring if and only if \(R'\) is \((S_2)\) as an \(R\)-module. To see this, let us assume \((R,\mathfrak{m})\) local, so \(R'\) is semilocal with maximal ideals \(\mathfrak{m}'_1,\ldots,\mathfrak{m}'_n\). Since \(R\) is universally catenary we know \(\operatorname{ht}(\mathfrak{m}'_i)=\dim R\) for every \(i\), see stacks? Tag02IJ. Moreover, as \(\mathfrak{m}'_i\) are the only preimages of \(\mathfrak{m}\) in \(\operatorname{Spec}(R')\), we have \(\min_i\operatorname{depth}R'_{\mathfrak{m}'_i}=\operatorname{depth}_R R'\). We conclude that \(\operatorname{depth}_R R'\geq\max\{2,\dim R\}\) if and only if \(\operatorname{depth}R'_{\mathfrak{m}'_i}\geq\max\{2,\operatorname{ht}(\mathfrak{m}'_i)\}\) for all \(i\). This gives the original assertion via localization.

Example 59. Similar to Example 22, there exists a Noetherian local domain \((R,\mathfrak{m})\) of dimension \(2\) so that \(R^\wedge\cong k[[x,y,z]]/(x^2,y^2)\cap (x)\) is not \((S_1)\). Then \(R\) is not semi-Nagata.

We say a Noetherian ring \(R\) is \((S_2)\)-2 if for every \(\mathfrak{p}\in\operatorname{Spec}(R)\), there exists an \(f\in R\setminus\mathfrak{p}\) so that \((R/\mathfrak{p})_f\) is \((S_2)\).

Lemma 60. Let \(R\) be an \((S_2)\)-2 Noetherian ring. Then the following hold.

  1. The \((S_2)\) locus of every finite \(R\)-module is open.

  2. Every essentially finitely generated \(R\)-algebra is \((S_2)\)-2.

Proof. EGA4_2? gives [S2-2:open]. For [S2-2:fg], it suffices to show for a finite type inclusion of Noetherian domains \(R\subseteq B\), if \(R\) is \((S_2)\), then \(B_g\) is \((S_2)\) for some \(g\in B^\circ\). To see this, we may assume \(R\to B\) is flat stacks? Tag051R, and has Cohen–Macaulay fibers stacks? Tag045U. Then \(B\) is \((S_2)\) by stacks? Tag0339. ◻

Theorem 61. Let \(R\) be a Noetherian ring. Then the following are equivalent.

  1. \(R\) is semi-Nagata.

  2. For every finite ring map \(R\to B\) where \(B\) is an integral domain, there exists a finite subalgebra \(C\) of \(B^\sigma\) that is \((S_2)\).

  3. \(R\) is an \((S_1)\)-ring and is \((S_2)\)-2.

If \(R\) is semi-Nagata, then every essentially finitely generated \(R\)-algebra is semi-Nagata.

Proof. As note in Lemma 60 and before Lemma 53, [semi-Nagata:S1ring] is preserved by essentially finitely generated algebras, giving the last assertion.

To see [semi-Nagata:semi-Nagata] implies [semi-Nagata:S1ring], Lemma 53 says a semi-Nagata ring is an \((S_1)\)-ring. Therefore it suffices to show for a semi-Nagata domain \(R\), there exists an \(f\in R^\circ\) so that \(R_f\) is \((S_2)\). Let \(R\subseteq R'\) be a finite inclusion so that \(R'\) is \((S_2)\). Then any \(f\in R^\circ\) so that \(R'_f\) is flat over \(R_f\) works.

As [semi-Nagata:finiteS2ify] implies [semi-Nagata:semi-Nagata], it suffices to show [semi-Nagata:S1ring] implies [semi-Nagata:finiteS2ify]. Assume [semi-Nagata:S1ring] and assume \(R\) is an integral domain. We must show that there exists a finite subalgebra \(R'\) of \(R^\sigma\) that is \((S_2)\). Let \(U\) be the \((S_2)\) locus of \(R\), which is open by Lemma 60, and let \(\mathfrak{p}\not\in U\), so \(\operatorname{ht}(\mathfrak{p})>1\).

The local ring \(R_\mathfrak{p}\) is semi-Nagata by Theorem 55, so by Lemma 20 there exists a finite subalgebra \(R_1\) of \(R^\sigma\) such that \((R_1)_\mathfrak{p}\) is \((S_2)\). As \(R\) is \((S_2)\)-2, the \((S_2)\) locus \(U_1\) of the ring \(R_1\) is open by Lemma 60, and we have \(\bigcap_{h\in R\setminus\mathfrak{p}}D_{R_1}(f)\subseteq U_1\). As the constructible topology of \(\operatorname{Spec}(R_1)\) is compact stacks? Tag0901, we see there exists \(f_1\in R\setminus\mathfrak{p}\) such that \((R_1)_{f_1}\) is \((S_2)\). Since \(R_1\subseteq R^\sigma\) we know \(R=R_1\) over \(U\), so the image \(Z_1\) of the non-\((S_2)\) locus of \(R_1\) in \(\operatorname{Spec}(R)\) is disjoint from \(U\cup D(f_1)\). If \(Z_1\neq\emptyset\), take \(\mathfrak{q}\in Z_1\), then similarly the semilocal ring \((R_1)_\mathfrak{q}\) is semi-Nagata, and we can find \(R_2\subseteq R_1^\sigma\subseteq R^\sigma\) (Lemma 21) so that the image \(Z_2\) of the non-\((S_2)\) locus of \(R_2\) in \(\operatorname{Spec}(R)\) is disjoint from \(U\cup D(f_1)\cup D(f_2)\) and \(f_2\in R\setminus\mathfrak{q}\). As the topological space \(\operatorname{Spec}(R)\) is Noetherian, we get our desired \(R'\) after finitely many steps. ◻

We include the following argument for a different perspective.

Alternative proof of [semi-Nagata:S1ring] implies [semi-Nagata:finiteS2ify]. Let \(R\) be a Noetherian integral domain that satisfies [semi-Nagata:S1ring]. We want to show there exists a finite subalgebra of \(R^\sigma\) that is \((S_2)\).

Let \(\mathfrak{m}\in\operatorname{Max}(R)\). Then \(R_\mathfrak{m}\) is semi-Nagata by Theorem 55, so by Lemma 20 there exists a finite subalgebra \(R(\mathfrak{m})\) of \(R^\sigma\) such that \((R(\mathfrak{m}))_\mathfrak{m}\) is \((S_2)\).

As \(R\) is \((S_2)\)-2, the \((S_2)\) locus of the ring \(R(\mathfrak{m})\) is open (Lemma 60). As the constructible topology of \(\operatorname{Spec}(R(\mathfrak{m}))\) is compact stacks? Tag0901, there exists \(f(\mathfrak{m})\in R\setminus\mathfrak{m}\) such that \(R(\mathfrak{m})_{f(\mathfrak{m})}\) is \((S_2)\).

Take finitely many \(\mathfrak{m}_1,\ldots,\mathfrak{m}_n\) so that \(D(f(\mathfrak{m}_i))\;(1\leq i\leq n)\) cover \(\operatorname{Spec}(R)\) and let \(R_1\) be the \(R\)-algebra generated by all \(R(\mathfrak{m}_i)\). Then \(R(\mathfrak{m}_i)_{f(\mathfrak{m}_i)}\subseteq (R_1)_{f(\mathfrak{m}_i)}\), so by Remark 25 and Lemma 40 we have \(\operatorname{OS}_2^\wedge({R_1})=\emptyset\). As \(R_1^\sigma\subseteq R^\sigma\) (Lemma 21) we may replace \(R\) by \(R_1\) to assume \(\operatorname{OS}_2^\wedge({R})=\emptyset\). Apply the same construction again, we see from Theorem 26[NS2:S2unique] (and Lemma 20) that \(R(\mathfrak{m}_i)_{f(\mathfrak{m}_i)}=R^\sigma_{f(\mathfrak{m}_i)}\) for all \(i\), so \(R^\sigma\) is finite over \(R\). ◻

Corollary 62. A Cohen–Macaulay ring is semi-Nagata.

Proof. EGA4_2? tells us a Cohen–Macaulay ring is an \((S_1)\)-ring, and EGA4_2? tell us a Cohen–Macaulay ring is \((S_2)\)-2. ◻

Corollary 63. Let \(R\) be a semi-Nagata integral domain so that \(\operatorname{OS}_2^\wedge({R})=\emptyset\). Then \(R^\sigma\) is finite over \(R\).

Proof. Immediate from Theorem 26[NS2:S2unique]. ◻

We remark on \((S_2)\)-ification of modules.

Theorem 64. Let \(R\) be a semi-Nagata ring. Assume \(\operatorname{OS}_2^\wedge({R/\mathfrak{p}_0})=\emptyset\) for all \(\mathfrak{p}_0\in\operatorname{Min}(R)\).

Let \(\Sigma=\{\mathfrak{p}\in\operatorname{Spec}(R)\mid \operatorname{ht}(\mathfrak{p}/\mathfrak{p}_0)=1\text{ for some }\mathfrak{p}_0\in\operatorname{Min}(R)\}\). Assume that \(\Sigma=\operatorname{Spec}_1(R)\).

Let \(M\) be a finite module so that \(\operatorname{Ass}(M)=\operatorname{Min}(R)\). Then \(N:=\bigcap_{\mathfrak{p}\in\Sigma}M_\mathfrak{p}\) is finite and \((S_2)\).

Note that the assumptions on \(\Sigma\) and \(M\) are satisfied, for example, when \(R\) is an integral domain and \(M\) is torsion-free.

Proof. We will use Theorem 61[semi-Nagata:S1ring].

Let \(U\) be the locus where \(M\) is \((S_2)\). Then \(U\) is open (Lemma 60), and contains \(\Sigma\) as \(\Sigma=\operatorname{Spec}_1(R)\) and \(\operatorname{Ass}(M)=\operatorname{Min}(R)\). Let \(j:U\to \operatorname{Spec}(R)\) be the canonical open immersion. It is now clear that \(N=j_*j^*M\).

Let \(\mathfrak{p}_0\) be a minimal prime of \(R\), and let \(\overline{R}=R/\mathfrak{p}_0\). By stacks? Tag0BK3 to show \(N\) is finite it suffices to show for \(\mathfrak{p}\in \operatorname{Spec}(R)\setminus U\) containing \(\mathfrak{p}_0\), every \(P_0\in\operatorname{Ass}(\overline{R}^\wedge_{\mathfrak{p}})\) satisfies \(\dim (\overline{R}^\wedge_\mathfrak{p}/P_0)>1\).

We know \(\overline{R}^\wedge_\mathfrak{p}\) is \((S_1)\) as \(\overline{R}\) is \((S_1)\) with \((S_1)\) formal fibers. Moreover, for every \(P_0\in \operatorname{Min}(\overline{R}^\wedge_\mathfrak{p})\), we have \(\dim (\overline{R}^\wedge_\mathfrak{p}/P_0)>1\) as \(\operatorname{ht}(\mathfrak{p})>1\) and as \(\operatorname{OS}_2^\wedge({\overline{R}_\mathfrak{p}})=\emptyset\) (Corollary 44). Thus for all \(P_0\in \operatorname{Ass}(\overline{R}^\wedge_\mathfrak{p})\), we have \(\dim (\overline{R}^\wedge_\mathfrak{p}/P_0)>1\). Therefore \(N\) is finite. It is \((S_2)\) by for example EGA4_2?. ◻

8 Lifting the semi-Nagata property↩︎

In this section, we prove the following result, giving a partial answer to Question 1 for the semi-Nagata property.

Theorem 65. Let \(R\) be a Noetherian ring, \(I\) an ideal of \(R\). Assume that

  1. \(R\) is \(I\)-adically complete.

  2. \(R/I\) is semi-Nagata.

  3. \(R\) is universally catenary.

Then \(R\) is semi-Nagata.

We proceed with the proof. We use the characterization Theorem 61 without further mentioning. By Noetherian induction, we may assume

  1. \(R/\mathfrak{a}\) is semi-Nagata for all nonzero ideals \(\mathfrak{a}\) of \(R\).

By Definition 48 we may also assume

  1. \(R\) is an integral domain,

and we only need to find a finite subalgebra \(R'\) of \(K\), the fraction field of \(R\), that is \((S_2).\) As \(R\) is \(I'\)-adically complete for all ideals \(I'\subseteq I\), by [liftSagata:allquotSagata] we may assume

  1. \(I\) is generated by a single element \(f\neq 0\).

Let \(\mathcal{M}\) be the set of minimal prime divisors of \(I\).

We will construct a sequence of submodules \(R=M_0\subseteq M_1\subseteq\ldots\) of \(K\) so that the union \(M=\bigcup_i M_i\) is finite over \(R\) and that \(M/fM\) is \((S_1)\). We will later show that the existence of such an \(M\) implies \(R\) is semi-Nagata.

For a finite submodule \(X\) of \(K\) we let \(J(X)\) be the intersection of the embedded primes of the \(R\)-module \(X/fX\). The module \(H^0_{J(X)}(X/fX)\) is canonically identified with \(H(X):=H^1_{J(X)}(X)[f]\) as \(f\) is a nonzerodivisor on \(X\), and we have a module \(X^+:=X+_{J(X)}H(X)\subseteq K\) fitting into an exact sequence \[\begin{tikzcd} 0\arrow[r] & X \arrow[r] & X^+ \arrow[r] & H(X) \arrow[r] & 0 \end{tikzcd}\] similar to the construction \(R+_I M\) in Discussion 30. We will show that \(M_0=R\) and \(M_{i+1}=M_i^+\) gives the desired sequence of modules.

The exact sequence above gives an exact sequence \[\begin{tikzcd} 0\arrow[r] & H(X) \arrow[r] & X/fX \arrow[r] & X^+/fX^+ \arrow[r] & H(X) \arrow[r] & 0. \end{tikzcd}\] As \(H(X)\) is identified with \(H^0_{J(X)}(X/fX)\) we see from primary decomposition that \(\operatorname{Ass}\left(\frac{X/fX}{H(X)}\right)\) is the set of minimal prime divisors of \(X/fX\). We know \(\operatorname{Supp}(X)=\operatorname{Spec}(R)\) as \(X\) is a submodule of \(K\), so \(\operatorname{Supp}(X/fX)=\operatorname{Spec}(R/fR)\) by Nakayama’s Lemma, thus \(\operatorname{Ass}\left(\frac{X/fX}{H(X)}\right)=\mathcal{M}\). It follows that the associated primes of the module \(M/fM=\operatorname{colim}_i M_i/fM_i=\operatorname{colim}_i \frac{M_i/fM_i}{H(M_i)}\) are all in \(\mathcal{M}\), so \(M/fM\) is \((S_1)\) as soon as \(M/fM\) is finite.

The discussion above also shows \(\operatorname{Ass}(X^+/fX^+)\subseteq \mathcal{M}\cup V(J(X))\), so \(J(X^+)\supseteq J(X)\). As \(R\) is Noetherian, there exists \(i_0\) so that \(J(M_{i})=J(M_{i_0})\) for all \(i\geq i_0\). Let \(\mathcal{J}\) be the set of minimal prime divisors of \(J:=J(M_{i_0})\). For every \(i\geq i_0\) we have an exact sequence \[\begin{tikzcd} 0\arrow[r] & \frac{M_{i}/fM_{i}}{H(M_{i})} \arrow[r] & M_{i+1}/fM_{i+1} \arrow[r] & H(M_{i}) \arrow[r] & 0 \end{tikzcd}\] which gives an injection \(H(M_{i+1})=H^0_J(M_{i+1}/fM_{i+1})\to H(M_{i})\) as \(H^0_J\left(\frac{M_{i}/fM_{i}}{H(M_{i})}\right)=0\). Thus there exists \(i_1\geq i_0\) so that \(H(M_{i+1})_{\mathfrak{P}}=H(M_{i})_{\mathfrak{P}}\) for all \(\mathfrak{P}\in\mathcal{J}\) and all \(i\geq i_1\), as the lengths of \(H(M_{i})_{\mathfrak{P}}\) are finite. It follows that \[\left(\frac{M_{i_1}/fM_{i_1}}{H(M_{i_1})}\right)_{\mathfrak{P}}=\left(\frac{M_{i_1+1}/fM_{i_1+1}}{H(M_{i_1+1})}\right)_{\mathfrak{P}}=\ldots=(M/fM)_{\mathfrak{P}}\] for all \(\mathfrak{P}\in \mathcal{J}\); note that the same is true for all \(\mathfrak{P}\in D(J)\), as, in that case, \((M_i)_{\mathfrak{P}}=(M_{i+1})_{\mathfrak{P}}\).

We now apply Theorem 64 to the semi-Nagata ring \(A=R/fR\) and the module \(Y=\frac{M_{i_1}/fM_{i_1}}{H(M_{i_1})}\). The condition \(\operatorname{Ass}(Y)=\operatorname{Min}(A)\) follows from the construction. The conditions \(\operatorname{OS}_2^\wedge({A/\mathfrak{p}_0})=\emptyset\) and \(\Sigma=\operatorname{Spec}_1(A)\) follows from the condition \(R\) is universally catenary, see Remark 24. If \(\mathfrak{P}\in D(J)\) or \(\mathfrak{P}\in\mathcal{J}\) then we know \((M/fM)_{\mathfrak{P}}=Y_{\mathfrak{P}}\). However, \(D(J)\cup \mathcal{J}\) covers \(\operatorname{Spec}_1(A)\) as \(R\) is catenary. We see \((M/fM)_{\mathfrak{P}}=Y_{\mathfrak{P}}\) for all \(\mathfrak{P}\in\operatorname{Spec}_1(A)\), so Theorem 64 tells us \(M/fM\) is finite, hence \((S_1)\) as noted before.

As \(M\) is a submodule of \(K\), we know \(M\subseteq M_\mathfrak{p}=R_\mathfrak{p}\) for all \(\mathfrak{p}\in\mathcal{M}\), in particular \(M\) is \(f\)-adically separated. Therefore \(M\) is a submodule of its \(f\)-adic completion, which is finite as \(R\) is \(f\)-adically complete and \(M/fM\) is finite.

We have found a finite submodule \(M\) of \(K\) containing \(R\) so that \(M/fM\) is \((S_1)\). Let \(\mathfrak{p}\in V(f)\). The fibers of \(R_\mathfrak{p}/fR_\mathfrak{p}\to R_\mathfrak{p}^\wedge/fR_\mathfrak{p}^\wedge\) are \((S_1)\) as \(R/fR\) is semi-Nagata, so \(M_\mathfrak{p}^\wedge/fM_\mathfrak{p}^\wedge\) is \((S_1)\) by EGA4_2?, thus \(M_\mathfrak{p}^\wedge\) is \((S_1)\) by EGA4_2?. We know \(R_g=M_g\) for some \(g\in R^\circ\), so \((R_\mathfrak{p}^\wedge)_g=(M_\mathfrak{p}^\wedge)_g\) and \(g\) is a nonzerodivisor in both \(R_\mathfrak{p}^\wedge\) and \(M_\mathfrak{p}^\wedge\), showing that \(R_\mathfrak{p}^\wedge\) is \((S_1)\).

As \(\operatorname{OS}_2^\wedge({R_\mathfrak{p}})=\emptyset\) (Remark 24), by Theorem 26 there exists a finite subalgebra \(R(\mathfrak{p})\) of \(R^\sigma\) so that \(R(\mathfrak{p})_\mathfrak{p}\) is \((S_2)\). Note that this is the same as \(R(\mathfrak{p})_\mathfrak{p}\) is an \((S_2)\) \(R_\mathfrak{p}\)-module, as \(R\) is universally catenary (Remark 58). As \(R/\mathfrak{p}\) is semi-Nagata and therefore \((S_2)\)-2, the proof of EGA4_2? tells us there exists \(h(\mathfrak{p})\not\in\mathfrak{p}\) so that \(R(\mathfrak{p})_\mathfrak{P}\) is \((S_2)\) for all \(\mathfrak{P}\in V(\mathfrak{p})\cap D(h)\). As the constructible topology of \(R/fR\) is compact stacks? Tag0901 we see there exist finitely many finite subalgebras \(R_1,\ldots,R_n\) of \(R^\sigma\) so that for every \(\mathfrak{P}\in V(f)\) there exists a \(j\) such that \((R_j)_\mathfrak{P}\) is \((S_2)\), in other words, \((R_j)_\mathfrak{P}=(R^\sigma)_\mathfrak{P}\) (Theorem 26). Let \(R'\) be the finite subalgebra generated by all \(R_j\), so \(R'_\mathfrak{P}=(R^\sigma)_\mathfrak{P}\) for all \(\mathfrak{P}\in V(f)\), thus \(R'_\mathfrak{P}\) is \((S_2)\) for all \(\mathfrak{P}\in V(f)\). As \(R\) is \(f\)-adically complete, this tells us \(R'_\mathfrak{P}\) is \((S_2)\) for all \(\mathfrak{P}\in \operatorname{Max}(R)\), so \(R'\) is \((S_2)\), as desired.

9 The local lifting argument↩︎

In this section, we present an adapted version of Nishimura’s argument for local lifting Nishimura-semilocal-lifting?. It is a variant of Rotthaus’ argument Rotthaus-qe-semilocal-lifting?, which is axiomitized in BI-semilocal-lifting?. A key component of the argument in all the three aforementioned articles is that the property of concern must imply reducedness (cf. BI-semilocal-lifting?). We remove this restriction.

Discussion 66. Let \(\mathbf{P}\) be a property of Noetherian rings. The \(\mathbf{P}\)-locus \(U_\mathbf{P}(A)\) of a ring \(A\) is the set of \(\mathfrak{p}\in\operatorname{Spec}(A)\) so that \(A_\mathfrak{p}\) satisfies \(\mathbf{P}\).

A map \(\varphi:A\to B\) of Noetherian rings is said to be a \(\mathbf{P}\)-map if \(\varphi\) is flat with geometrically \(\mathbf{P}\) fibers. If \(\mathbf{P}\) satisfies [PisPointwise][Pdescends][Pascends] below, then for a \(\mathbf{P}\)-map \(\varphi\) we always have \(\operatorname{Spec}(\varphi)^{-1}(U_\mathbf{P}(A))=U_\mathbf{P}(B)\).

A Noetherian ring \(A\) is said to be a \(\mathbf{P}\)-ring if its formal fibers are geometrically \(\mathbf{P}\), in other words, \(A_\mathfrak{p}\to A^\wedge_\mathfrak{p}\) is a \(\mathbf{P}\)-map for all \(\mathfrak{p}\in\operatorname{Spec}(A)\). By stacks? Tag0BIU, if \(\mathbf{P}\) satisfies [PisSing][Pascends] below, then a Noetherian ring \(A\) is a \(\mathbf{P}\)-ring if and only if \(A_\mathfrak{m}\to A^\wedge_\mathfrak{m}\) is a \(\mathbf{P}\)-map for all \(\mathfrak{m}\in\operatorname{Max}(A)\). When \(A\) is semilocal, this is to say \(A\to A^\wedge\) is a \(\mathbf{P}\)-map (cf. EGA4_2?); and if \(\mathbf{P}\) satisfies [PisSing][Pascends] below, this is also equivalent to that for every finite \(A\)-algebra \(B\) that is an integral domain, \((B^\circ)^{-1}B^\wedge\) satisfies \(\mathbf{P}\), see EGA4_2?. By stacks? Tag0BIV, an essentially finitely generated algebra over a \(\mathbf{P}\)-ring is a \(\mathbf{P}\)-ring.

Consider the following conditions \(\mathbf{P}\) may satisfy.

  1. Every regular Noetherian ring satisfies \(\mathbf{P}\).

  2. A Noetherian ring \(A\) satisfies \(\mathbf{P}\) if and only if all \(A_\mathfrak{p}\), \(\mathfrak{p}\in\operatorname{Spec}(A)\), satisfies \(\mathbf{P}\).

  3. For a flat local map \(A\to B\) of Noetherian local rings, if \(B\) satisfies \(\mathbf{P}\), so does \(A\).

  4. For a local \(\mathbf{P}\)-map \(A\to B\) of Noetherian local rings, if \(A\) satisfies \(\mathbf{P}\), so does \(B\).

  5. For a Noetherian complete local ring \(A\), \(U_\mathbf{P}(A)\) is open.

  6. Let \(\varphi:A\to B\) be a flat local map of Noetherian local rings. If \(A\) is a \(\mathbf{P}\)-ring and the closed fiber of \(\varphi\) is geometrically \(\mathbf{P}\), then \(\varphi\) is a \(\mathbf{P}\)-map.

Remark 67. Whether or not \(\mathbf{P}\) satisfies [PGroLocalizes] is generally called the Grothendieck localization problem for \(\mathbf{P}\). The paper Mur-Grothendieck-localization? provides a uniform treatment of this problem, and provides a list of references of known results on what properties satisfy [PisSing][PGroLocalizes]. In particular, [PisSing][PGroLocalizes] hold for \(\mathbf{P}\)=“\((S_k)\),” “Cohen–Macaulay,” “Gorenstein,” and “lci.”

Definition 68. Let \(\mathbf{P}\), \(\mathbf{Q}\) be two properties of Noetherian rings so that \(\mathbf{P}\) implies \(\mathbf{Q}\) and that both \(\mathbf{P}\) and \(\mathbf{Q}\) satisfy [PisSing][PGroLocalizes]. Let \(\mathcal{D}^\mathbf{Q}_{\mathbf{P}-1}\) and \(\mathcal{D}^\mathbf{Q}_{\mathbf{P}}\) be two subcategory of rings described as follows. The objects of \(\mathcal{D}^\mathbf{Q}_{\mathbf{P}-1}\) are Noetherian rings \(A\) that satisfy the following conditions.

  1. \(A\) satisfies \(\mathbf{Q}\).

  2. \(U_\mathbf{P}(A)\) is open.

The morphisms of \(\mathcal{D}^\mathbf{Q}_{\mathbf{P}-1}\) are \(\mathbf{P}\)-maps. \(\mathcal{D}^\mathbf{Q}_\mathbf{P}\) is the full subcategory of \(\mathcal{D}^\mathbf{Q}_{\mathbf{P}-1}\) of objects \(A\) satisfying

  1. \(A\) is a \(\mathbf{P}\)-ring.

We note that if \(\varphi:A\to B\) is a \(\mathbf{P}\)-map of Noetherian rings, then \(A\in\mathcal{D}^\mathbf{Q}_{\mathbf{P}-1}\) implies \(B\in\mathcal{D}^\mathbf{Q}_{\mathbf{P}-1}\); if, further, \(\varphi\) is faithfully flat, then \(B\in\mathcal{D}^\mathbf{Q}_{\mathbf{P}-1}\) implies \(A\in\mathcal{D}^\mathbf{Q}_{\mathbf{P}-1}\), cf. stacks? Tag02JY.

For a subcategory \(\mathcal{C}\) of \(\mathcal{D}^\mathbf{Q}_{\mathbf{P}-1}\), a strictly functorial \(\mathbf{P}\)-assignment on \(\mathcal{C}\) is an assignment \(A\mapsto \mathfrak{c}(A)\) for all \(A\in \mathcal{C}\) where \(\mathfrak{c}(A)\) is a nonzero ideal of \(A\) satisfying \(V(\mathfrak{c}(A))=\operatorname{Spec}(A)\setminus U_\mathbf{P}(A)\), such that \(\varphi(\mathfrak{c}(A))B=\mathfrak{c}(B)\) for all \(\varphi:A\to B\) in \(\mathcal{C}\).

When \(\mathbf{Q}\) is the trivial property, that is, every Noetherian ring satisfies \(\mathbf{Q}\), we write \(\mathcal{D}_{\mathbf{P}-1}\) and \(\mathcal{D}_{\mathbf{P}}\) instead.

Remark 69. In Nishimura-semilocal-lifting?, BI-semilocal-lifting?, \(\mathbf{Q}\)=“reduced,” and \(\mathfrak{c}(A)\) is the unique radical ideal that satisfies \(V(\mathfrak{c}(A))=\operatorname{Spec}(A)\setminus U_{\mathbf{P}}(A)\). The lifting of \(\mathbf{Q}\)-rings is Marot-Nagata-Lift?. As a reduced ring is \((R_0)\) we see \(\mathfrak{c}(A)_\mathfrak{q}=A_\mathfrak{q}\) for all \(\mathfrak{q}\in\operatorname{Min}(A)\), in particular \(\mathfrak{c}(A)\neq 0\). We have \(\varphi(\mathfrak{c}(A))B=\mathfrak{c}(B)\) for all \(\varphi:A\to B\) in \(\mathcal{D}^\mathbf{Q}_{\mathbf{P}-1}\) as \(\operatorname{Spec}(\varphi)^{-1}(U_\mathbf{P}(A))=U_\mathbf{P}(B)\) and as the fibers of \(\varphi\) are reduced, so \(\varphi(\mathfrak{c}(A))B\) is radical.

In our case, we do not have such luxury, and it is necessary to find the assignments case-by-case. We will find assignments on \(\mathcal{D}^\mathbf{Q}_{\mathbf{P}}\) for \(\mathbf{Q}\) trivial and \(\mathbf{P}\)=“\((S_1)\),” \(\mathbf{Q}\)=“\((S_1)\)” and \(\mathbf{P}\)=“\((S_2)\),” and \(\mathbf{Q}\)=“‘\((S_2)\)’’ and \(\mathbf{P}\)=”\((S_k)\)\((k\geq 3)\), “Gorenstein,” and “lci.”

Theorem 70. Let \(\mathbf{P}\), \(\mathbf{Q}\) be two properties of Noetherian rings so that \(\mathbf{P}\) implies \(\mathbf{Q}\) and that both \(\mathbf{P}\) and \(\mathbf{Q}\) satisfy [PisSing][PGroLocalizes]. Assume that there exists a strictly functorial \((\mathbf{P},\mathbf{Q})\)-assignment on \(\mathcal{D}^\mathbf{Q}_\mathbf{P}\).

Let \(R\) be a Noetherian semilocal ring, \(I\) an ideal of \(R\). Assume

  1. \(R\) is \(I\)-adically complete.

  2. \(R/I\) is a \(\mathbf{P}\)-ring.

  3. \(R\) is a \(\mathbf{Q}\)-ring.

  4. For every finite \(R\)-algebra \(B\) that is an integral domain, there exists a finite inclusion of domains \(B\subseteq C\) such that \(C\) satisfies \(\mathbf{Q}\).

Then \(R\) is a \(\mathbf{P}\)-ring.

Proof. Fix a strictly functorial \(\mathbf{P}\)-assignment \(A\mapsto\mathfrak{c}(A)\) on \(\mathcal{D}^\mathbf{Q}_\mathbf{P}\).

Let \(R\) be a ring with an ideal \(I\) that satisfy the assumptions. For every \(R\)-algebra \(S\) we denote by \(S^*\) the \((IS)\)-adic completion of \(S\). By induction, we may assume

  1. the theorem holds when the dimension of \(R\) is strictly smaller.

It suffices to show for every \(R\)-algebra \(B\) that is an integral domain, \((B^\circ)^{-1}B^\wedge\) satisfies \(\mathbf{P}\). By [Nsmr:Q-ify] we may assume \(B\) satisfies \(\mathbf{Q}\). Replace \(R\) by \(B\) we may assume

  1. \(R\) is an integral domain that satisfies \(\mathbf{Q}\).

By [Nsmr:Qring], [PisOpen], and the fact a complete local ring is a \(\mathbf{P}\)-ring we see

  1. \(R^\wedge\in \mathcal{D}^\mathbf{Q}_\mathbf{P}\).

By [Nsmr:indOnDim], we have

  1. \((R_\mathfrak{p})^*\) is a \(\mathbf{P}\)-ring for all \(\mathfrak{p}\in\operatorname{Spec}(R)\setminus\operatorname{Max}(R)\).

Write \(C=\mathfrak{c}(R^\wedge)\neq 0\), and for every \(n\in\mathbf{Z}_{\geq 1}\), \(C_n=C+I^nR^\wedge\), \(\mathfrak{a}_n=C_n\cap R\). We will show \(C_n=\mathfrak{a}_nR^\wedge\) for all \(n\), which implies \(C\cap R\neq 0\) by Rotthaus-qe-semilocal-lifting?, which then tells us the generic fiber \((R^\circ)^{-1}R^{\wedge}\) is \(\mathbf{P}\), as \(V(C)=\operatorname{Spec}(R^\wedge)\setminus U_\mathbf{P}(R^\wedge)\).

By consideration of a primary decomposition of \(C_n\), and by the fact flat base change commutes with finite intersections, it suffices to show for a primary ideal \(Q\) containing \(C_n\) we have \(C_n\subseteq (Q\cap R)R^\wedge\). If \(\sqrt{Q}\) is maximal then this is trivial as \(Q=(Q\cap R)R^\wedge\). Therefore we may assume \(\sqrt{Q}\) is not maximal. Let \(\mathfrak{p}=\sqrt{Q}\cap R=\sqrt{Q\cap R}\in\operatorname{Spec}(R)\setminus\operatorname{Max}(R)\). As \(R\to R^\wedge\) is flat and as \(Q\cap R\) is \(\mathfrak{p}\)-primary, every prime divisor of \((Q\cap R)R^\wedge\) is above \(\mathfrak{p}\). Therefore it suffices to show \(C_n (R^\wedge)_\mathfrak{p}\subseteq (Q\cap R)(R^\wedge)_\mathfrak{p}\). In the remainder of the proof we show \(C_n (R^\wedge)_\mathfrak{p}=\mathfrak{a}_n (R^\wedge)_\mathfrak{p}\) for all \(\mathfrak{p}\in\operatorname{Spec}(R)\setminus\operatorname{Max}(R)\), which is enough as \(Q\cap R\supseteq C_n\cap R=\mathfrak{a}_n\).

Consider the commutative diagram of rings \[\begin{CD} R@>>> R^\wedge\\ @VVV @VVV\\ R_\mathfrak{p}@>{f_\mathfrak{p}}>> (R^\wedge)_\mathfrak{p}\\ @V{g_\mathfrak{p}}VV @V{g^\wedge_\mathfrak{p}}VV\\ (R_\mathfrak{p})^* @>{f^*_\mathfrak{p}}>> ((R^\wedge)_\mathfrak{p})^*.\\ \end{CD}\] We know \((R^\wedge)_\mathfrak{p}\) is (quasi-)excellent as \(R^\wedge\) is complete, therefore \(((R^\wedge)_\mathfrak{p})^*\) is quasi-excellent formal-lifting-excellence-Gabber?. In particular, both \((R^\wedge)_\mathfrak{p}\) and \(((R^\wedge)_\mathfrak{p})^*\) are \(\mathbf{P}\)-rings and have open \(\mathbf{P}\)-locus. By [Nsmr:locPring] \((R_\mathfrak{p})^*\) is a local \(\mathbf{P}\)-ring, hence its \(\mathbf{P}\)-locus is open by [PisOpen], cf. stacks? Tag02JY.

We know \(f_\mathfrak{p}\) and \(g_\mathfrak{p}\) are \(\mathbf{Q}\)-maps and \(g^\wedge_\mathfrak{p}\) is a \(\mathbf{P}\)-map by [Nsmr:Qring][Nsmr:locPring] and stacks? Tag0BK9. The map \(f^*_\mathfrak{p}\) is faithfully flat stacks? Tag0AGW, and for every \(\mathfrak{Q}\in V(I(R_\mathfrak{p})^*)\), the fiber of \(f^*_\mathfrak{p}\) over \(\mathfrak{Q}\) is the same as the formal fiber of \(R\) over \(\mathfrak{Q}\cap R\in V(I)\), which is geometrically \(\mathbf{P}\) by [Nsmr:quotPring]. As every maximal ideal of \(((R^\wedge)_\mathfrak{p})^*\) contains \(I((R^\wedge)_\mathfrak{p})^*\), we see from [PGroLocalizes] that \(f^*_\mathfrak{p}\) is a \(\mathbf{P}\)-map. Consequently, if we remove \(R\) and \(R_\mathfrak{p}\), then the diagram above is a diagram in \(\mathcal{D}^\mathbf{Q}_\mathbf{P}\) (cf. [Nsmr:RhatisQ]). Therefore \(C((R^\wedge)_\mathfrak{p})^*=\mathfrak{c}(((R^\wedge)_\mathfrak{p})^*)=\mathfrak{c}((R_\mathfrak{p})^*)((R^\wedge)_\mathfrak{p})^*\).

Now, let \(\mathfrak{b}=(\mathfrak{c}((R_\mathfrak{p})^*)+I^n(R_\mathfrak{p})^*)\cap R_\mathfrak{p}\), so \(\mathfrak{b}(R_\mathfrak{p})^*=\mathfrak{c}((R_\mathfrak{p})^*)+I^n(R_\mathfrak{p})^*\) as \((R_\mathfrak{p})^*\) is the \(I\)-adic completion of \(R_\mathfrak{p}\). Then we have \(\mathfrak{b}((R^\wedge)_\mathfrak{p})^*=C_n((R^\wedge)_\mathfrak{p})^*\), so \(\mathfrak{b}(R^\wedge)_\mathfrak{p}=C_n(R^\wedge)_\mathfrak{p}\) as both sides contain \(I^n (R^\wedge)_\mathfrak{p}\). Contract to \(R\) we see \(\mathfrak{b}=\mathfrak{a}_n R_\mathfrak{p}\), so \(\mathfrak{a}_n (R^\wedge)_\mathfrak{p}=C_n(R^\wedge)_\mathfrak{p}\), as desired. ◻

Remark 71. We used formal-lifting-excellence-Gabber? to ensure the ring \(((R^\wedge)_\mathfrak{p})^*\) is a \(\mathbf{P}\)-ring. A weaker result may be enough.

If lci implies \(\mathbf{P}\), then every lci ring is a \(\mathbf{P}\)-ring (cf. avramov-ci?). The ring \(((R^\wedge)_\mathfrak{p})^*\) is a quotient of a regular ring as \(R^\wedge\) is, so it is a \(\mathbf{P}\)-ring, avoiding formal-lifting-excellence-Gabber?. This is the case in our applications in §13.

We needed to do this because our \(\mathfrak{c}(-)\) is only defined on \(\mathcal{D}^\mathbf{Q}_{\mathbf{P}}\). In Nishimura-semilocal-lifting?, BI-semilocal-lifting?, \(\mathfrak{c}(-)\) is defined on the whole of \(\mathcal{D}^\mathbf{Q}_{\mathbf{P}-1}\) (Remark 69), so this is unnecessary.

10 Extending \(\mathbf{P}\)-assignments↩︎

Definition 72. Let \(\mathbf{P},\mathbf{Q}\), \(\mathcal{D}^\mathbf{Q}_\mathbf{P}\) be as in Definition 68. For an integer \(d\geq 0\) let \(^d\mathcal{A}^\mathbf{Q}_\mathbf{P}\) be the full subcategory of \(\mathcal{D}^\mathbf{Q}_\mathbf{P}\) of rings \(A\in\mathcal{D}^\mathbf{Q}_\mathbf{P}\) that are complete local of dimension \(d\) whose \(\mathbf{P}\)-locus is the punctured spectrum. Let \(\mathcal{A}^\mathbf{Q}_\mathbf{P}\) be the disjoint union of all \(^d\mathcal{A}^\mathbf{Q}_\mathbf{P}\). In other words, the objects are \(\mathcal{A}^\mathbf{Q}_\mathbf{P}\) are complete local rings in \(\mathcal{D}^\mathbf{Q}_\mathbf{P}\) whose \(\mathbf{P}\)-locus is the punctured spectrum, and the morphisms are local \(\mathbf{P}\)-maps whose closed fiber has dimension \(0\).

For every \(A\in \mathcal{A}^\mathbf{Q}_\mathbf{P}\), denote by \(\mathfrak{m}_A\) the maximal ideal of \(A\). We know \(\operatorname{Spec}(A)\setminus U_\mathbf{P}(A)=\{\mathfrak{m}_A\}\). Therefore an ideal \(\mathfrak{c}\) satisfying \(V(\mathfrak{c})=\operatorname{Spec}(A)\setminus U_\mathbf{P}(A)\) is the same as \(\mathfrak{c}\) being \(\mathfrak{m}_A\)-primary.

When \(\mathbf{Q}\) is trivial we write \(^d\mathcal{A}_\mathbf{P}\) and \(\mathcal{A}_\mathbf{P}\) instead.

Lemma 73. Let \(\mathbf{P},\mathbf{Q}\), \(\mathcal{D}^\mathbf{Q}_\mathbf{P},\mathcal{A}^\mathbf{Q}_\mathbf{P}\) be as in Definitions 68 and 72. Assume that \(\mathbf{P}\) implies \((S_1)\). Then every strictly functorial \(\mathbf{P}\)-assignment \(\mathfrak{c}(-)\) on \(\mathcal{A}^\mathbf{Q}_\mathbf{P}\) extends uniquely to a strictly functorial \(\mathbf{P}\)-assignment \(\mathfrak{c}(-)\) on \(\mathcal{D}^\mathbf{Q}_\mathbf{P}\) in a way that \(\mathfrak{c}(A)\) has no embedded prime divisors for all \(A\in\mathcal{D}^\mathbf{Q}_\mathbf{P}\).

Proof. Let \(\mathfrak{c}(-)\) on \(\mathcal{A}^\mathbf{Q}_\mathbf{P}\) be a given strictly functorial \(\mathbf{P}\)-assignment.

For \(A\in \mathcal{D}^\mathbf{Q}_{\mathbf{P}}\), let \(\mathfrak{p}_1,\ldots,\mathfrak{p}_n\;(n\geq 0)\) be the generic points of \(\operatorname{Spec}(A)\setminus U_\mathbf{P}(A)\). If a desired extension exists, then it must satisfy \(\mathfrak{c}(A)=\bigcap_i(\mathfrak{c}(A_{\mathfrak{p}_i})\cap A)\) as \(\mathfrak{c}(A)\) has no embedded prime divisors. Furthermore, we must have \(\mathfrak{c}(A_{\mathfrak{p}_i})=\mathfrak{c}(A^\wedge_{\mathfrak{p}_i})\cap A_{\mathfrak{p}_i}\), as the completion map \(A_{\mathfrak{p}_i}\to A^\wedge_{\mathfrak{p}_i}\) is in \(\mathcal{D}^\mathbf{Q}_\mathbf{P}\) (i.e. a \(\mathbf{P}\)-map) by condition [DisPring] in Definition 68. As \(\mathfrak{p}_i\) is a generic point of \(\operatorname{Spec}(A)\setminus U_\mathbf{P}(A)\) we see \(U_\mathbf{P}(A_{\mathfrak{p}_i})=D(\mathfrak{p}_iA_{\mathfrak{p}_i})\), therefore \(U_\mathbf{P}(A^\wedge_{\mathfrak{p}_i})=D(\mathfrak{p}_iA^\wedge_{\mathfrak{p}_i})\), in other words \(A^\wedge_{\mathfrak{p}_i}\in \mathcal{A}^\mathbf{Q}_\mathbf{P}\). This shows the uniqueness of the extension; we must have \(\mathfrak{c}(A)=\bigcap_i\mathfrak{c}(A^\wedge_{\mathfrak{p}_i})\cap A\).

It remains to verify that \(\mathfrak{c}(A):=\bigcap_i\mathfrak{c}(A^\wedge_{\mathfrak{p}_i})\cap A\) is indeed a strictly functorial \(\mathbf{P}\)-assignment; by construction it has no embedded prime divisors as each \(\mathfrak{c}(A^\wedge_{\mathfrak{p}_i})\cap A\) is \(\mathfrak{p}_i\)-primary. It is clear that \(V(\mathfrak{c}(A))=\operatorname{Spec}(A)\setminus U_\mathbf{P}(A)\). We have \(\mathfrak{c}(A)\neq 0\) as \(\mathfrak{c}(A)=A\) when \(n=0\), and \(\mathfrak{c}(A)_{\mathfrak{p}_1}=\mathfrak{c}(A^\wedge_{\mathfrak{p}_1})\cap A_{\mathfrak{p}_1}\neq 0\) when \(n>0\), as \(\mathfrak{c}(A^\wedge_{\mathfrak{p}_1})\) is nonzero and \((\mathfrak{p}_1A^\wedge_{\mathfrak{p}_1})\)-primary.

It remains to show for \(\varphi:A\to B\) in \(\mathcal{D}^\mathbf{Q}_\mathbf{P}\), we have \(\mathfrak{c}(A)B=\mathfrak{c}(B)\), where \(\varphi\) is omitted in the notation. Let \(\mathfrak{q}_{ij}\;(1\leq j\leq m_i)\) be the minimal prime divisors of \(\mathfrak{p}_i B\), where \(m_i\geq 0\). As \(\varphi\) is a \(\mathbf{P}\)-map, \(\operatorname{Spec}(\varphi)^{-1}(U_\mathbf{P}(A))=U_\mathbf{P}(B)\), so \(\mathfrak{q}_{ij}\;(1\leq j\leq m_i,1\leq i\leq n)\) are exactly the generic points of \(\operatorname{Spec}(B)\setminus U_\mathbf{P}(B)\). Moreover, as \(\mathbf{P}\) implies \((S_1)\), we see for \(\mathfrak{c}_i:=\mathfrak{c}(A^\wedge_{\mathfrak{p}_i})\cap A\), \(\operatorname{Ass}_{B}(B/\mathfrak{c}_iB)=\{\mathfrak{q}_{ij}\mid 1\leq j\leq m_i\}\). Therefore it suffices to show \(\mathfrak{c}_iB_{\mathfrak{q}_{ij}}=\mathfrak{c}(B^\wedge_{\mathfrak{q}_{ij}})\cap B_{\mathfrak{q}_{ij}}\), and as both sides are \(\mathfrak{q}_{ij}\)-primary, passing to the completion we see it suffices to show \(\mathfrak{c}(A^\wedge_{\mathfrak{p}_i})B^\wedge_{\mathfrak{q}_{ij}}=\mathfrak{c}(B^\wedge_{\mathfrak{q}_{ij}})\). We know \(A^\wedge_{\mathfrak{p}_i},B^\wedge_{\mathfrak{q}_{ij}}\in {^d\mathcal{A}^\mathbf{Q}_\mathbf{P}}\) for \(d:=\operatorname{ht}(\mathfrak{p}_i)=\operatorname{ht}(\mathfrak{q}_{ij})\), therefore, as our \(\mathfrak{c}(-)\) is strictly functorial on \(\mathcal{A}^\mathbf{Q}_\mathbf{P}\), it suffices to show \(A^\wedge_{\mathfrak{p}_i}\to B^\wedge_{\mathfrak{q}_{ij}}\) is a \(\mathbf{P}\)-map. By [PGroLocalizes] it suffices to show \(\kappa(\mathfrak{p}_i)\to (B/\mathfrak{p}_iB)^\wedge_{\mathfrak{q}_{ij}}\) is a \(\mathbf{P}\)-map. This follows from the fact \(\varphi:A\to B\) is a \(\mathbf{P}\)-map and the fact \(B/\mathfrak{p}_iB\), a quotient of \(B\in\mathcal{D}^\mathbf{Q}_\mathbf{P}\), is a \(\mathbf{P}\)-ring. ◻

In the next two sections, we will find assignments on \(\mathcal{A}^\mathbf{Q}_{\mathbf{P}}\) for \(\mathbf{Q}\) trivial and \(\mathbf{P}\)=“\((S_1)\),” \(\mathbf{Q}\)=“\((S_1)\)” and \(\mathbf{P}\)=“\((S_2)\),” and \(\mathbf{Q}\)=“‘\((S_2)\)’’ and \(\mathbf{P}\)=”\((S_k)\)\((k\geq 3)\), “Gorenstein,” and “lci.”

11 \((S_k)\)-, Cohen–Macaulay-, and Gorenstein-assignments↩︎

Lemma 74. Let \(\mathbf{P}\)=“\((S_1)\).” Then \(\mathfrak{c}(A)=\operatorname{Ann}_A(H^0_{\mathfrak{m}_A}(A))\) is a strictly functorial \(\mathbf{P}\)-assignment on \(\mathcal{A}_\mathbf{P}\).

Proof. It is clear that \(\mathfrak{c}(A)\) is \(\mathfrak{m}_A\)-primary and \(\mathfrak{c}(-)\) is strictly functorial, as the closed fiber of all maps in \(\mathcal{A}_{\mathbf{P}}\) have dimension \(0\). As an Artinian ring is \((S_1)\) we see \(^0\mathcal{A}^\mathbf{Q}_\mathbf{P}=\emptyset\), so \(\dim A>0\) and any \(\mathfrak{m}_A\)-primary ideal is nonzero. ◻

Discussion 75. Let \(\mathbf{Q}\)=“\((S_1)\)” and \(\mathbf{P}\)=“\((S_2)\).” For \(A\in \mathcal{A}^\mathbf{Q}_\mathbf{P}\), let \(\Sigma_1\) be the set of primary components \(Q\) of \(0\) so that \(\dim(A/Q)=1\), and let \(\Sigma_2\) be the set of primary components \(Q\) of \(0\) so that \(\dim(A/Q)>1\). Note that \(A\) is \((S_1)\) and not \((S_2)\), so \(0\) has no embedded primes and \(\dim A>1\), therefore primary components of \(0\) are uniquely determined and \(\Sigma_2\neq\emptyset\). Let \(A_1=A/\bigcap_{Q\in\Sigma_1}Q,A_2=A/\bigcap_{Q\in\Sigma_2}Q\). Let \(U_2\) be the punctured spectrum of \(A_2\) and let \(A_2'=\mathcal{O}(U_2)\). As \(\dim(A/Q)>1\) for all \(Q\in\Sigma_2\), similar to Lemma 27 (cf. Macaulay-Cesnavi?) we have \(A_2'\) is finite over \(A_2\). This gives a finite birational ring map \(A\to A_1\times A'_2\). Let \(\mathfrak{c}(A)\) be the conductor of this map.

Let \(U\) (resp. \(U_1\)) be the punctured spectrum of \(A\) (resp. \(A_1\)). Then we have \(U=U_1\sqcup U_2\). Therefore \(\mathfrak{c}(A)\) is either \(\mathfrak{m}_A\)-primary or \(A\). As \(U\) is \((S_2)\) we have \(U_2\) is \((S_2)\), so \(A_2'\) is \((S_2)\) by EGA4_2?. In particular \(A\neq A_1\times A_2'\) as \(A\) is local and not \((S_2)\), so \(\mathfrak{c}(A)\) is \(\mathfrak{m}_A\)-primary.

A maximal ideal (resp. minimal prime) of \(A_2'\) lies above \(\mathfrak{m}_A\) (resp. the radical of an element in \(\Sigma_2\)), as \(A\to A_2'\) is finite (resp. there exists an element \(f\in A_2\) that is a nonzerodivisor on both \(A_2\) and \(A_2'\) so that \((A_2)_f=(A_2')_f\)). Therefore stacks? Tag02IJ tells us for all \(\mathfrak{M}'\in\operatorname{Max}(A_2')\) and \(\mathfrak{P}'_0\in\operatorname{Min}(A_2')\) with \(\mathfrak{M}'\supseteq\mathfrak{P}'_0\), we have \(\operatorname{ht}(\mathfrak{M}'/\mathfrak{P}'_0)>1\), in particular \(\operatorname{ht}(\mathfrak{M}')>1\).

Lemma 76. Let \(\mathbf{Q}\)=“\((S_1)\)” and \(\mathbf{P}\)=“\((S_2)\).” Then \(\mathfrak{c}(-)\) as in Discussion 75 is a strictly functorial \(\mathbf{P}\)-assignment on \(\mathcal{A}_\mathbf{P}^\mathbf{Q}\).

Proof. Again, as an Artinian ring is \((S_2)\) the \(\mathfrak{m}_A\)-primary ideal \(\mathfrak{c}(A)\) is nonzero. It remains to show for \(\varphi:A\to B\) in \(\mathcal{A}^\mathbf{Q}_\mathbf{P}\), we have \(\mathfrak{c}(A)B=\mathfrak{c}(B)\).

We know \(\varphi\) has \((S_1)\) fibers and its closed fiber has dimension \(0\). For \(Q\in\Sigma_1\), \(B/QB\) is therefore \(1\)-dimensional and \((S_1)\), so all prime divisors \(\mathfrak{P}\) of \(QB\) are such that \(\dim(B/\mathfrak{P})=1\). If we can show for all \(Q\in\Sigma_2\) and all prime divisors \(\mathfrak{P}\) of \(QB\) (which are automatically minimal), we have \(\dim(B/\mathfrak{P})>1\), then it will follow that \(A_1\otimes_A B=B_1\) and \(A_2\otimes_A B=B_2\), so \(A_2'\otimes_A B=B_2'\) and \(\mathfrak{c}(A)B=\mathfrak{c}(B)\).

We have a commutative diagram \[\begin{CD} A_2@>>> A_2'\\ @VVV @VVV\\ A_2\otimes_A B@>>> A_2'\otimes_A B \end{CD}\] of rings. The ring \(A_2'\otimes_A B\) is \((S_2)\) (as \(A_2'\) and the fibers of \(\varphi\) are) and universally catenary, hence locally equidimensional EGA4_2?. Let \(\mathfrak{N}'\in\operatorname{Max}(A_2'\otimes_A B)\). Then \(\mathfrak{N}'\cap (A_2\otimes_A B)\) is the maximal ideal \(\mathfrak{N}\) of the local ring \(A_2\otimes_A B\), so \(\mathfrak{N}'\cap A_2\) is the maximal ideal of \(A_2\), so \(\mathfrak{N}'\cap A_2'\in\operatorname{Max}(A_2')\). By flatness \(\operatorname{ht}(\mathfrak{N}')\geq \operatorname{ht}(\mathfrak{N}'\cap A_2')>1\). As \(\mathfrak{N}'\) was arbitrary, a similar discussion as the case of \(A_2\) tells us for all \(\mathfrak{Q}_0\in\operatorname{Min}(A_2\otimes_A B)\) we have \(\dim((A_2\otimes_A B)/\mathfrak{Q}_0)>1\), as desired. ◻

Discussion 77. Let \(A\) be an \((S_2)\) Noetherian local ring that admits a normalized dualizing complex \(\omega\). Then \(A\) is catenary stacks? Tag0A80 and \((S_2)\), so \(A\) is equidimensional EGA4_2?. We will use the standard facts stacks? Tags 0A7U and0A7V of dualizing complexes without explicit reference.

We know \(\omega\in D^{[-d,-p]}(A)\), where \(d=\dim A, p=\operatorname{depth}A\), \(H^{-p}(\omega)\neq 0\), and \(\operatorname{Supp}(H^{-d}(\omega))=\operatorname{Spec}(A)\), as \(A\) is equidimensional.

Discussion 78. Let \(\mathbf{Q}\)=“\((S_2)\)” and \(\mathbf{P}\)=“\((S_k)\),” where \(k\geq 3\). Let \(A\in {^d\mathcal{A}^\mathbf{Q}_\mathbf{P}}\), and let \(p=\operatorname{depth}A\).

Let \(\omega\) be a normalized dualizing complex of the complete local ring \(A\). Let \(\mathfrak{p}\in\operatorname{Spec}(A)\) be of height \(d-1\). Then \(\omega_\mathfrak{p}\in D^{\geq -d}(A_\mathfrak{p})\) and \(H^{-d}(\omega_\mathfrak{p})\neq 0\). This tells us for all \(b>-1-\operatorname{depth}A_\mathfrak{p}\), we have \(H^b(\omega_\mathfrak{p})=0\). As \(A_\mathfrak{p}\) is \((S_k)\) we have \(\operatorname{depth}A_\mathfrak{p}\geq\min\{d-1,k\}\), so for all \(b>-1-\min\{d-1,k\}\), \(H^b(\omega_\mathfrak{p})=0\). As \(A\) is not \((S_k)\), \(p<\min\{d,k\}\), so \(-p>-\min\{d,k\}\geq -1-\min\{d-1,k\}\). This tells us \(H^{-p}(\omega_\mathfrak{p})=0\), in other words, the support of the nonzero module \(H^{-p}(\omega)\) is \(\{\mathfrak{m}_A\}\). By local and Matlis duality stacks? Tags 0A84 and08Z9 we see \(H^p_{\mathfrak{m}_A}(A)\) is nonzero and of finite length.

Lemma 79. Let \(\mathbf{Q}\)=“\((S_2)\)” and \(\mathbf{P}\)=“\((S_k)\)\((k\geq 3)\). Then \(\mathfrak{c}(A)=\operatorname{Ann}_A(H^{\operatorname{depth}A}_{\mathfrak{m}_A}(A))\) is a strictly functorial \(\mathbf{P}\)-assignment on \(\mathcal{A}^\mathbf{Q}_\mathbf{P}\).

Proof. By Discussion 78 \(H^{\operatorname{depth}A}_{\mathfrak{m}_A}(A)\) is of finite length, so \(\mathfrak{c}(A)\) is \(\mathfrak{m}_A\)-primary. Again, as an Artinian ring is \((S_k)\) we see \(\mathfrak{c}(A)\neq 0\). For all \(\varphi:A\to B\) in \(\mathcal{A}^\mathbf{Q}_\mathbf{P}\), the closed fiber of \(\varphi\) has dimension \(0\), so we have \(\operatorname{depth}A=\operatorname{depth}B\) stacks? Tag0337. This shows \(\mathfrak{c}(A)B=\mathfrak{c}(B)\). ◻

Remark 80. It follows formally that for \(\mathbf{Q}\)=“\((S_2)\)” and \(\mathbf{P}\)=“Cohen–Macaulay” we have a strictly functorial \(\mathbf{P}\)-assignment on \(\mathcal{A}^\mathbf{Q}_\mathbf{P}\). Indeed, \(^d\mathcal{A}^\mathbf{Q}_\mathbf{P}=\emptyset\) for \(d\leq 2\), and for \(d>2\) and \(A\in {^d\mathcal{A}^\mathbf{Q}_\mathbf{P}}\) we let \(\mathfrak{c}(A)\) be as in Lemma 79 for \(k=d\). It also happens that for all \(d\), the formula for \(\mathfrak{c}(A)\) is the same, \(\mathfrak{c}(A)=\operatorname{Ann}_A(H^{\operatorname{depth}A}_{\mathfrak{m}_A}(A))\).

Basics about Fitting ideals of a finite module can be found in stacks? Tag07Z6 and Eisenbud-CA?. The Fitting invariant of a finite module \(M\) over a Noetherian ring \(A\) is the first nonzero Fitting ideal of \(M\). \(M\) is projective of constant rank if and only if the Fitting invariant of \(M\) is \(A\), see stacks? Tag07ZD.

Discussion 81. Let \(\mathbf{Q}\)=“\((S_2)\)” and \(\mathbf{P}\)=“Gorenstein.” Let \(A\in {^d\mathcal{A}^\mathbf{Q}_\mathbf{P}}\).

Let \(\omega\) be a normalized dualizing complex of the complete local ring \(A\). When \(d=0\), we let \(\mathfrak{c}(A)\) be the Fitting invariant of the module \(H^0(\omega)\), which is nonzero by definition, and is \(\mathfrak{m}_A\)-primary as \(\dim A=0\) and as \(\omega\) is not free. When \(d>0\), let \(\mathfrak{c}(A)=\operatorname{Fit}_1(H^{-d}(\omega))\cap\operatorname{Ann}_A(H^{1-d}(\omega))\cap\ldots\cap\operatorname{Ann}_A(H^{0}(\omega))\). As the punctured spectrum of \(A\) is Gorenstein and as \(\operatorname{Supp}(H^{-d}(\omega))=\operatorname{Spec}(A)\) (Discussion 77), we see \(\mathfrak{c}(A)\) is \(\mathfrak{m}_A\)-primary, and therefore nonzero as \(\dim A>0\).

Lemma 82. Let \(\mathbf{Q}\)=“\((S_2)\)” and \(\mathbf{P}\)=“Gorenstein.” Then \(\mathfrak{c}(-)\) as in Discussion 81 is a strictly functorial \(\mathbf{P}\)-assignment on \(\mathcal{A}^\mathbf{Q}_\mathbf{P}\).

Proof. We have seen \(\mathfrak{c}(A)\) is \(\mathfrak{m}_A\)-primary and nonzero. Strict functoriality follows immediately from the fact Fitting ideals commute with base change stacks? Tag07ZA and that for \(\varphi:A\to B\) in \(\mathcal{A}^\mathbf{Q}_\mathbf{P}\) and a normalized dualizing complex \(\omega\) of \(A\), \(\omega\otimes^L_A B\) is a normalized dualizing complex of \(B\). See for example Lyu-dual-complex-lift?, note \(\dim A=\dim B\). ◻

12 A lci-assignment↩︎

Let \(\mathbf{Q}\)=“\((S_2)\)” and \(\mathbf{P}\)=“lci.” Let \(A\in \mathcal{A}^\mathbf{Q}_\mathbf{P}\). Intuitively, we want to define \(\mathfrak{c}(A)\) to be the Fitting invariant of modules \(C_n(A/R)\) showing up in Briggs-Iyenger-Cotangent-Complex?, where \(R\) is a regular local ring mapping surjectively to \(A\). The flatness of \(C_n(A/R)\) characterizes lci. However, these modules depend on the choice of \(R\) and a projective resolution (in a way that does not change the Fitting invariant, however), and are fragile along ascent (i.e. still involve non-finite modules). We will work with \(C_n(A/\mathbf{Z})\) instead, which gives the same Fitting invariant. We use standard notations for derived categories, and cohomological conventions for cotangent complexes, as in stacks?.

Discussion 83. Let \(A\) be a ring, and let \(L\in D^{-}(A)\). For every bounded above complex of projectives \(P^\bullet\) that represents \(L\), we consider the module \(C^a(P^\bullet)=H^a(\sigma_{\leq a}P^\bullet)\), where \(\sigma_{\leq a}\) is the stupid truncation stacks? Tag0118. In other words, \(C^a(P^\bullet)\) is the cokernel of the map \(P^{a-1}\to P^a\), which is the module appearing at degree \(a\) in \(\tau_{\geq a}(P^\bullet)\). There is an obvious compatibility with shift and base change.

The collection of all such \(C^a(P^\bullet)\) is denoted \(\mathcal{C}^a(L)\). For \(X,Y\in\mathcal{C}^a(L)\), there exist projective modules \(P,Q\) so that \(X\oplus P\cong Y\oplus Q\), see Briggs-Iyenger-Cotangent-Complex?. We write \(C^a(L)\) for an unspecified element in \(\mathcal{C}^a(L)\). The flat and projective dimensions of \(C^a(L)\) are well-defined.

If \(L\) has tor-amplitude in \([a,b]\), then \(C^a(L)\) is flat. Indeed, let \(P^\bullet\) represent \(L\), then \(\tau_{\geq a}(P^\bullet\otimes_A M)\) represents \(L\otimes_A^L M\) for all \(A\)-modules \(M\), as \(L\otimes_A^L M\in D^{[a,b]}(A)\). Unwinding the definitions, we see \(C^a(P^\bullet)\otimes_R M=C^a(P^\bullet)\otimes^L_R M\), as desired. This also tells us if \(C^a(L)\) has projective dimension \(p<\infty\), then \(L\) has projective-amplitude in \([a-p,b]\).

If \(L\) has projective-amplitude in \([a,b]\), then \(C^a(L)\) is projective. This is because we can take \(P^\bullet\) with \(P^{m}=0\) for \(m<a\), so \(C^a(P^\bullet)=P^a\).

Discussion 84. Let \(L'\to L\to L''\to +1\) be a distinguished triangle. Given representations \(P'^\bullet\) of \(L'\) and \(P''^\bullet\) of \(L''\), we can find a representation \(P^\bullet\) of \(L\) so that the triangle is realized by a short exact sequence of complexes \(P'^\bullet\hookrightarrow P^\bullet\twoheadrightarrow P''^\bullet\). Indeed, \(P^\bullet\) is the cone of any map \(P''^\bullet\to P^{\bullet}[1]\) representing \(L''\to L[1]\). Truncating, we get an exact sequence \[\begin{CD} H^{a-1}(L'')@>>> C^a(P'^\bullet)@>>> C^a(P^\bullet)@>>> C^a(P''^\bullet)@>>> 0. \end{CD}\]

Lemma 85. Let \(R\) be a Noetherian lci ring and let \(A\) be a finitely generated \(R\)-algebra. Let \(a\in\mathbf{Z},a<-\dim A-1\). Then there exist projective modules \(P,Q\) and a finite module \(M\) so that \(C^a(L_{A/\mathbf{Z}})\oplus P\cong M\oplus Q\).

Proof. Apply Discussion 84 to the triangle \[\begin{CD} L_{A/\mathbf{Z}}@>>> L_{A/R}@>>> (L_{R/\mathbf{Z}}\otimes^L_R A)[1]@>>> +1, \end{CD}\] we get an exact sequence \[\begin{CD} H@>>> C^a(L_{A/\mathbf{Z}})@>>> C^a(L_{A/R})@>>> P@>>> 0. \end{CD}\] where \(P=C^{a+1}(L_{R/\mathbf{Z}}\otimes^L_R A)\), \(H=H^{a}(L_{R/\mathbf{Z}}\otimes^L_R A)\). Since \(R\) is lci, \(L_{R/\mathbf{Z}}\) has tor-amplitude in \([-1,0]\) avramov-ci?, so \(H=0\). Moreover, every flat \(A\)-module has projective dimension \(\leq \dim A\) Raynaud?. Therefore \(L_{R/\mathbf{Z}}\) has projective-amplitude in \([-\dim A-1,0]\), so \(P\) is projective, and we get \(C^a(L_{A/\mathbf{Z}})\oplus P\cong C^a(L_{A/R})\). It remains to observe \(C^a(L_{A/R})\) is finite up to projective summands, as \(L_{A/R}\in D_{Coh}(A)\) stacks? Tag08PZ. ◻

Remark 86. If \(A\) is countable, then we can improve \(-\dim A-1\) to \(-2\), see Raynaud?. We could, if necessary, work extensively with countable rings, via a Löwenheim–Skolem type argument, cf. Lyu-elementary-subring?.

We would like to define the Fitting invariant of \(C^a(L_{A/\mathbf{Z}})\) to be that of \(M\); we will show this is well-defined. Before that, note the following variant of the main theorem of Briggs-Iyenger-Cotangent-Complex?.

Theorem 87. Let \(R\) be a Noetherian lci ring and let \(A\) be a finitely generated \(R\)-algebra of finite tor dimension as an \(R\)-module. Let \(a\in\mathbf{Z},a<-1\). Then \(A\) is lci if and only if \(C^a(L_{A/\mathbf{Z}})\) is flat.

Proof. Take the same exact sequence as in the proof of Lemma 85. We have \(H=0\) and \(P\) is flat. Thus \(C^a(L_{A/\mathbf{Z}})\) is flat if and only \(C^a(L_{A/R})\) is flat, if and only if \(R\to A\) is lci (Briggs-Iyenger-Cotangent-Complex? and avramov-ci?), if and only if \(A\) is lci avramov-ci?. ◻

Definition 88. Let \(A\) be a Noetherian local ring. We say an \(A\)-module \(X\) is finite-by-flat if there exists a finite submodule \(M\) of \(X\) such that \(X/M\) is flat. The Fitting invariant of \(X\) is defined to be the Fitting invariant of \(M\).

We say \(X\) is pseudo-finite-by-flat if there exists a flat \(A\)-module \(C\) so that \(X\oplus C\) is finite-by-flat. The Fitting invariant of \(X\) is defined to be the Fitting invariant of \(X\oplus C\).

As soon as these invariants are well-defined, they are clearly compatible with each other and the Fitting invariant of finite modules, as a finite flat module is free and as taking a direct sum with a finite free module does not change the Fitting invariant stacks? Tag07ZA. It is also clear that the Fitting invariant of \(X\) is \(A\) if and only if \(X\) is flat.

Lemma 89. Let \(A\) be a Noetherian local ring. Then the following hold.

  1. The Fitting invariant of a finite-by-flat or a pseudo-finite-by-flat module is well-defined.

  2. Given an inclusion of modules \(X\subseteq Y\) with flat quotient, if \(X\) is finite-by-flat (resp. pseudo-finite-by-flat), so is \(Y\), and the Fitting invariants of \(X\) and \(Y\) are the same.

Proof. We first show [Fit:wdf] for finite-by-flat modules. Let \(M,M'\) be two finite submodules of a given module \(X\) so that \(X/M\) and \(X/M'\) are flat. By Lazard’s Theorem stacks? Tag058G, we can write \(X/M=\operatorname{colim}_\alpha L_\alpha\), where the colimit is filtered and \(L_\alpha\) are finite free. Let \(X_\alpha=X\times_{X/M}L_\alpha\), so we have a commutative diagram with exact rows \[\begin{CD} 0@>>> M@>>> X_\alpha@>>> L_\alpha@>>> 0\\ @. @| @VVV @VVV @.\\ 0@>>> M@>>> X@>>> X/M@>>> 0. \end{CD}\] We have \(X=\operatorname{colim}_\alpha X_\alpha\) as filtered colimits commute with finite limits. Therefore the inclusion \(M'\subseteq X\) factors through some \(X_\alpha\) stacks? Tag0G8P. By stacks? Tag058M \(M'\subseteq X\) is pure (i.e. universally injective), so \(M'\to X_\alpha\) is also pure, thus split stacks? Tag058L. On the other hand \(X_\alpha\cong M\oplus L_\alpha\) as \(A\)-modules as \(L_\alpha\) is free. We conclude that \(M'\) is isomorphic to a direct summand of \(M\oplus F\) where \(F\) is a finite free \(A\)-module, and by symmetry \(M\) is isomorphic to a direct summand of \(M'\oplus F'\) where \(F'\) is a finite free \(A\)-module. If \(A\) is complete, it follows from Krull–Schmidt Leuschke-Wiegand-Cohen-Macaulay-Modules? that \(M\oplus P\cong M'\oplus P'\) for some finite free \(A\)-modules \(P,P'\). For a general \(A\) the same is true by Leuschke-Wiegand-Cohen-Macaulay-Modules?. Therefore the Fitting invariants of \(M\) and \(M'\) are the same stacks? Tag07ZA.

Given an inclusion of modules \(X\subseteq Y\) with flat quotient, if \(M\) is a finite submodule of \(X\) so that \(X/M\) is flat, then \(M\) is a finite submodule of \(Y\) so that \(Y/M\) is flat, as \(Y/M\) is an extension of \(X/M\) by \(Y/X\). This gives [Fit:cokerFlatSameFit] in the finite-by-flat case.

Next, let \(X\) be a pseudo-finite-by-flat module and \(C,D\) be flat modules so that \(X\oplus C\) and \(X\oplus D\) are both finite-by-flat. Then \(X\oplus C\oplus D\) is finite-by-flat and has the same Fitting invariant as \(X\oplus C\) and \(X\oplus D\) by [Fit:cokerFlatSameFit] for finite-by-flat modules. Therefore the Fitting invariants of \(X\oplus C\) and \(X\oplus D\) are the same, which is [Fit:wdf] for \(X\).

Finally, given an inclusion of modules \(X\subseteq Y\) with flat quotient, if \(C\) is a flat module, then we have an inclusion of modules \(X\oplus C\subseteq Y\oplus C\) with flat quotient. This gives [Fit:cokerFlatSameFit] in the pseudo-finite-by-flat case. ◻

To summarize, Lemma 85, Theorem 87, and Lemma 89 give

Theorem 90. Let \(R\to A\) be a finite type ring map where \(R\) is Noetherian and lci and \(A\) is local. Let \(a\in \mathbf{Z},a<-\dim A-1\). Then the following hold.

  1. The module \(C^a(L_{A/\mathbf{Z}})\) as in Discussion 83 is pseudo-finite-by-flat.

  2. If \(A\) is of finite tor dimension as an \(R\)-module, then the Fitting invariant of \(C^a(L_{A/\mathbf{Z}})\) is \(A\) if and only if \(A\) is lci.

Remark 91. In fact, Theorem 90 holds for all \(a<-2\) (cf. Remark 86). This is because \(R\) can be approximated by countable subrings using Lyu-elementary-subring? (and Gor-2-rings?).

We arrive at our lci-assignment.

Theorem 92. Let \(\mathbf{Q}\)=“\((S_2)\)” and \(\mathbf{P}\)=“lci.” Let \(A\in {^d\mathcal{A}^\mathbf{Q}_\mathbf{P}}\). Let \(a=-d-2\). Let \(\mathfrak{c}(A)\) be the Fitting invariant of \(C^a(L_{A/\mathbf{Z}})\). Then \(\mathfrak{c}(-)\) is a strictly functorial \(\mathbf{P}\)-assignment on \(\mathcal{A}^\mathbf{Q}_\mathbf{P}\).

Proof. We can find a complete regular local ring \(R\) and a surjective ring map \(R\to A\). By Theorem 90, \(\mathfrak{c}(A)\) is well-defined and \(0\neq \mathfrak{c}(A)\neq A\). To show \(\mathfrak{c}(-)\) is strictly functorial, let \(\varphi:A\to B\) be in \({^d\mathcal{A}^\mathbf{Q}_\mathbf{P}}\). Apply Discussion 84 to \[\begin{CD} L_{A/\mathbf{Z}}\otimes^L_A B@>>> L_{B/\mathbf{Z}}@>>> L_{B/A}@>>> +1, \end{CD}\] we get an exact sequence \[\begin{CD} H@>>> C^a(L_{A/\mathbf{Z}})\otimes_A B@>>> C^a(L_{B/\mathbf{Z}})@>>> C@>>> 0 \end{CD}\] where \(H=H^{a-1}(L_{B/A})\) and \(C=C^a(L_{B/A})\). As \(\varphi\) is lci and as \(a\leq -1\) we have \(H=0\) and \(C\) flat (in fact projective since \(a=-d-2\), cf. proof of Lemma 85), so Lemma 89[Fit:cokerFlatSameFit] gives \(\mathfrak{c}(A)B=\mathfrak{c}(B)\).

It remains to show \(\mathfrak{c}(A)\) is \(\mathfrak{m}_A\)-primary. When \(d=0\) this is trivial, so we assume \(d>0\). Let \(P^\bullet\) be a complex of finite free modules that satisfies \(P^{>-1}=0\) and represents \(L_{A/R}\) stacks? Tags 08PZ and08QF. As seen in Lemma 85 \(\mathfrak{c}(A)\) is the Fitting invariant of \(C^a(P^\bullet)\). We will show \(M:=C^a(P^\bullet)\) is finite flat of constant rank, say \(r\), on the punctured spectrum of \(A\). Then by stacks? Tag07ZD, for \(\mathfrak{a}=\operatorname{Fit}_j(M)\;(j<r)\), we have \(\mathfrak{a}_\mathfrak{p}=0\) for all \(\mathfrak{p}\in\operatorname{Spec}(A)\setminus \{\mathfrak{m}_A\}\), so \(\mathfrak{a}=0\) as \(\operatorname{depth}A\geq 1\); therefore \(\mathfrak{c}(A)=\operatorname{Fit}_r(M)\), and \(\mathfrak{c}(A)_\mathfrak{p}=A_\mathfrak{p}\).

We know \(M\) is finite flat on the punctured spectrum of \(A\) which is lci. If \(d\geq 2\), then \(\operatorname{depth}A\geq 2\), as \(A\) is \((S_2)\). Therefore the punctured spectrum of \(A\) is connected stacks? Tag0BLR, so the rank is constant. We may now assume \(d=1\).

Let \(I=\ker(R\to A)\), \(\mathfrak{p}\in V(I)\setminus\operatorname{Max}(R)\). The complex \((\tau_{\geq a} P^\bullet)_\mathfrak{p}\) represents \((I/I^2)_\mathfrak{p}[1]\) stacks? Tag08SJ, as \(A_\mathfrak{p}\) is lci. Computing Euler characteristic, we see \((-1)^a\operatorname{rank}M_\mathfrak{p}+ \sum_{i=a+1}^{-1} (-1)^i\operatorname{rank}P^i=-\operatorname{rank}(I/I^2)_\mathfrak{p}\). We know \(\operatorname{rank}(I/I^2)_\mathfrak{p}=\dim R_\mathfrak{p}-\dim A_\mathfrak{p}\), as \(I_\mathfrak{p}\) is generated by a regular sequence. As \(d=1\) and as \(R\) is a catenary domain, we have \(\dim R_\mathfrak{p}=\dim R-1,\dim A_\mathfrak{p}=0\), independent of the choice of \(\mathfrak{p}\). Therefore, \(\operatorname{rank}M_\mathfrak{p}\) is independent of the choice of \(\mathfrak{p}\), as desired. ◻

13 Local lifting↩︎

Theorem 93. Let \(\mathbf{P}\) be the property “\((S_k)\)\((k\geq 0)\), “Cohen–Macaulay,” “Gorenstein,” or “lci.”

Let \(R\) be a Noetherian semilocal ring, \(I\) an ideal of \(R\). Assume

  1. \(R\) is \(I\)-adically complete.

  2. \(R/I\) is a \(\mathbf{P}\)-ring.

Then \(R\) is a \(\mathbf{P}\)-ring.

Proof. First consider the case \(\mathbf{P}\)=“\((S_1)\),” as every Noetherian ring is \((S_0)\). Let \(\mathbf{Q}\) be the trivial property. A strictly functorial \(\mathbf{P}\)-assignment on \(\mathcal{D}_\mathbf{P}\) exists, Lemmas 73 and 74. The assumptions [Nsmr:Qring] and [Nsmr:Q-ify] in Theorem 70 are trivial, and we conclude.

Next, consider the case \(\mathbf{P}\)=“\((S_2)\).” Let \(\mathbf{Q}\)=“\((S_1)\).” A strictly functorial \(\mathbf{P}\)-assignment on \(\mathcal{D}^\mathbf{Q}_\mathbf{P}\) exists, Lemmas 73 and 76. The assumption [Nsmr:Q-ify] in Theorem 70 is trivial as a domain in \((S_1)\), whereas [Nsmr:Qring] follows from the case \(\mathbf{P}\)=“\((S_1)\),” and we conclude.

Finally, consider the case \(\mathbf{P}\)=“\((S_k)\)\((k\geq 3)\), “Cohen–Macaulay,” “Gorenstein,” or “lci.” Let \(\mathbf{Q}\)=“\((S_2)\).” A strictly functorial \(\mathbf{P}\)-assignment on \(\mathcal{D}^\mathbf{Q}_\mathbf{P}\) exists, Lemma 73 and Lemma 79, Remark 80, Lemma 82, and Theorem 92. The assumption [Nsmr:Qring] in Theorem 70 follows from the case \(\mathbf{P}\)=“\((S_2)\),” and [Nsmr:Q-ify] follows from Theorem 55 (or Macaulay-Cesnavi?), and we conclude. ◻

Remark 94. All properties \(\mathbf{P}\) in Theorem 93 are preserved by finite field extensions, so being a \(\mathbf{P}\)-ring is the same as having \(\mathbf{P}\) formal fibers. This is because a finite extension of fields is a syntomic ring map, cf. stacks? Tag00SK.

From the case \(\mathbf{P}\)=Cohen–Macaulay and the same argument as in Lyu-dual-complex-lift? we get

Corollary 95. Let \(R\) be a Noetherian semilocal ring, \(I\) an ideal of \(R\). Assume

  1. \(R\) is \(I\)-adically complete.

  2. \(R/I\) is a quotient of a Cohen–Macaulay ring.

Then \(R\) is a quotient of a Cohen–Macaulay ring.

14 Local lifting of properties in codimension zero and Cohen–Macaulayness in codimension one↩︎

In this section we exploit the lifting problem for \(\mathbf{P}_k\)=“\(\mathbf{P}\) in codimension \(k\).” One important phenomenon is that Grothendieck localization fails (Example 97), which forces us to add a universally catenary condition in Theorems 101 and 102. Another new difficulty is that \(\mathbf{P}_k\) does not imply \((S_1)\) even if \(\mathbf{P}\) does, so we are not able to apply Lemma 73, hence it is difficult (and maybe impossible) to find assignments \(\mathfrak{c}(-)\) as formulated in Definition 68. Even if we have a candidate \(\mathfrak{c}(-)\), we also run into the problem that \(\mathfrak{c}(A)\) can be zero when \(U_\mathbf{P}(A)=\emptyset\), see Discussion 100, which forces us to add assumption [NsmrP0:P0-ify-codim-1] in Theorem 101.

Discussion 96. Let \(\mathbf{P}\) be a property of Noetherian rings. Let \(k\in \mathbf{Z}_{\geq 0}\). We denote by \(\mathbf{P}_k\) the property of “\(\mathbf{P}\) in codimension \(k\),” that is, a Noetherian ring \(A\) satisfies \(\mathbf{P}_k\) if and only if \(A_\mathfrak{p}\) satisfies \(\mathbf{P}\) for all \(\mathfrak{p}\in\operatorname{Spec}(A), \operatorname{ht}(\mathfrak{p})\leq k\). In particular, Serre’s property \((R_k)\) is \(\mathbf{P}_k\) for \(\mathbf{P}\)=“regular.”

It is trivial that if \(\mathbf{P}\) satisfies the condition [PisSing] or [PisPointwise] in Discussion 66, so does \(\mathbf{P}_k\) for all \(k\). It is also clear that if \(\mathbf{P}\) satisfies the condition [Pascends] or [Pdescends] in Discussion 66, so does \(\mathbf{P}_k\) for all \(k\), cf. stacks? Tag00ON.

Let \(A\) be a Noetherian ring such that \(U_\mathbf{P}(A)\) is open, say equal to the complement of \(V(\mathfrak{a})\) in \(\operatorname{Spec}(A)\), where \(\mathfrak{a}\) is a radical ideal. Let \(\mathfrak{p}_1,\ldots,\mathfrak{p}_m\) be all the prime divisors of \(\mathfrak{a}\) whose height is at most \(k\). Then it is clear that \(U_{\mathbf{P}_k}(A)\) is open and equal to the complement of \(V(\mathfrak{p}_1\cap\ldots\cap\mathfrak{p}_m)\) in \(\operatorname{Spec}(A)\). Therefore, if \(\mathbf{P}\) satisfies the condition [PisOpen] in Discussion 66, so does \(\mathbf{P}_k\) for all \(k\).

Similarly, for any \(\mathbf{P}\) and any \(A\), \(U_{\mathbf{P}_0}(A)\) is always open, and its complement is the union of all \(V(\mathfrak{p})\), where \(\mathfrak{p}\in\operatorname{Min}(A)\) is such that \(A_\mathfrak{p}\) does not satisfy \(\mathbf{P}\).

In general, one cannot expect \(\mathbf{P}_k\) to satisfy Grothendieck localization ([PGroLocalizes] in Discussion 66).

Example 97. Let \(A=k[y]_{(y)},B=A[x_1,\ldots,x_m,z]_{(x_1,\ldots,x_m,y,z)}\) and \(C=B/((x_1^2,\ldots,x_m^2,y+z)\cap (z))\). Note that the sequences \(z,y\); \(x_1^2,\ldots,x_m^2,y+z,y\); and \(x_1^2,\ldots,x_m^2,y+z,z\) are all regular sequences in \(B\), hence \(A\to C\) is flat, and \(C=B/(zx_1^2,\ldots,zx_m^2,z(y+z))\). The closed fiber of the flat local ring map \(A\to C\) is then (the spectrum of) \(k[x_1,\ldots,x_m,z]_{(x_1,\ldots,x_m,z)}/(zx_1^2,\ldots,zx_m^2,z^2)\), which is geometrically \((R_k)\) for all \(k<m\) but not \((R_m)\). On the other hand, the generic fiber of \(A\to C\) is not even \((R_0)\), as the minimal prime \((x_1,\ldots,x_m,y+z)\) of \(C\) is not in the regular locus of \(C\).

On the positive side, we have the following, cf. ionescu-Rk-lifting?.

Theorem 98. Let \(\mathbf{P}\) be a property of Noetherian rings. Let \(k\in \mathbf{Z}_{\geq 0}\). Assume that \(\mathbf{P}\) satisfies [PisPointwise][PGroLocalizes] in Discussion 66.

Let \(\varphi:A\to B\) be a flat local map of Noetherian local rings. Assume

  1. \(A\) is a \(\mathbf{P}_k\)-ring.

  2. The closed fiber of \(\varphi\) is geometrically \(\mathbf{P}_k\).

  3. \(B/\mathfrak{p}B\) is catenary and equidimensional for all \(\mathfrak{p}\in\operatorname{Spec}(A)\).

Then \(\varphi\) is a \(\mathbf{P}_k\)-map.

Remark 99. If \(B\) is catenary and equidimensional, then [RkGro:UCeqd] is true, see stacks? Tag0AW4.

Proof. By Noetherian induction, we may assume \(A\) is an integral domain and that \(A/I\to B/IB\) is a \(\mathbf{P}_k\)-map for all nonzero ideals \(I\subseteq A\). Let \(K\) be the fraction field of \(A\). We need to show \(B\otimes_A K\) is a geometrically \(\mathbf{P}_k\) \(K\)-algebra. Let \(\mathfrak{q}\in\operatorname{Spec}(B)\) be above \(0\in\operatorname{Spec}(A)\) and of height \(\leq k\). By [PisPointwise], it suffices to show \(B_\mathfrak{q}\) is a geometrically \(\mathbf{P}\) \(K\)-algebra.

Let \(\underline{x}\) be a system of parameters of \(A\), and let \(\mathfrak{Q}\) be a minimal divisor of \(\mathfrak{q}+(\underline{x})B\). Then \(\operatorname{ht}(\mathfrak{Q}/\mathfrak{q})\leq \dim A\), so \(\operatorname{ht}(\mathfrak{Q})\leq \operatorname{ht}(\mathfrak{q})+\dim A\) as \(B\) is catenary and equidimensional. By stacks? Tag00ON we have \(\operatorname{ht}(\mathfrak{Q}/\mathfrak{m}B)\leq \operatorname{ht}(\mathfrak{q})\leq k\), \(\mathfrak{m}\) being the maximal ideal of \(A\). Since \(B/\mathfrak{m}B\) is geometrically \(\mathbf{P}_k\) by [RkGro:closedFiber], we see \(B_\mathfrak{Q}/\mathfrak{m}B_\mathfrak{Q}\) is geometrically \(\mathbf{P}\). By [PGroLocalizes], \(A\to B_\mathfrak{Q}\) is a \(\mathbf{P}\)-map, hence \(B_\mathfrak{Q}\otimes_A K\) is geometrically \(\mathbf{P}\) over \(K\), thus so is the localization \(B_\mathfrak{q}\otimes_A K=B_\mathfrak{q}\) by [PisPointwise]. ◻

Next, we discuss local lifting of \(\mathbf{P}_0\)-rings. It is easy to find a strictly functorial \(\mathbf{P}_0\)-assignment, as follows.

Discussion 100. Let \(\mathbf{P}\) be a property of Noetherian rings such that \(\mathbf{P}_0\) satisfies [PisSing][Pascends] in Discussion 66 (e.g. if \(\mathbf{P}\) itself does). For a Noetherian ring \(A\), let \(0=\mathfrak{q}_1\cap\ldots\cap\mathfrak{q}_r\cap\mathfrak{q}_{r+1}\cap\ldots\cap\mathfrak{q}_s\) be a shortest primary decomposition, such that for \(\mathfrak{p}_i=\sqrt{\mathfrak{q}_i}\), we have \(\mathfrak{p}_1,\ldots,\mathfrak{p}_r\in U_{\mathbf{P}_0}(A)\) and \(\mathfrak{p}_{r+1},\ldots,\mathfrak{p}_s\not\in U_{\mathbf{P}_0}(A)\).

Write \(\mathfrak{a}=\mathfrak{q}_1\cap\ldots\cap\mathfrak{q}_r\) and \(\mathfrak{b}=\mathfrak{q}_{r+1}\cap\ldots\cap\mathfrak{q}_s\). As seen in Discussion 96 we know \(U_{\mathbf{P}_0}(A)\) is open and its complement is \(V(\mathfrak{b})\). Therefore \(\mathfrak{a}=H^0_{\mathfrak{b}}(A)\) is independent of the choice of the primary decomposition Eisenbud-CA?. We define \(\mathfrak{c}(A)=\operatorname{Ann}_A\mathfrak{a}\). It is clear that \(V({\mathfrak{c}(A)})=V(\mathfrak{b})\) as sets. Moreover, \(\mathfrak{c}(A)\) depends only on \(V({\mathfrak{b}})=\operatorname{Spec}(A)\setminus U_{\mathbf{P}_0}(A)\) and not on \(\mathfrak{b}\), thus for a \(\mathbf{P}_0\)-map \(A\to B\), we have \(\mathfrak{c}(A)B=\mathfrak{c}(B)\).

However, as opposed to cases considered in §11 and §12, when \(U_{\mathbf{P}_0}(A)=\emptyset\), we have \(\mathfrak{c}(A)=0\).

Combining Theorem 98 and Discussion 100 we have

Theorem 101. Let \(\mathbf{P}\) a property of Noetherian rings so that \(\mathbf{P}\) satisfies [PisSing][Pascends] and [PGroLocalizes] in Discussion 66.

Let \(R\) be a Noetherian semilocal ring, \(I\) an ideal of \(R\). Assume

  1. \(R\) is \(I\)-adically complete.

  2. \(R/I\) is a \(\mathbf{P}_0\)-ring.

  3. \(R\) is universally catenary.

  4. For every finite \(R\)-algebra \(B\) that is an integral domain of dimension \(\geq 2\), there exists a finite inclusion of domains \(B\subseteq C\) such that \(U_{\mathbf{P}}(C)\neq\{0\}\) (e.g. if \(U_{\mathbf{P}}(C)\) is open).

Then \(R\) is a \(\mathbf{P}_0\)-ring.

Proof. Note that \(\mathbf{P}\) satisfies [PisSing][PisOpen] in Discussion 66, see Discussion 96. Similar to the proof of Theorem 70 we may assume \(R\) is an integral domain and the theorem holds for all \(R\) of smaller dimension. If \(\dim R\leq 1\) then either \(I=0\) or \(R\) is complete, so we may assume \(\dim R\geq 2\). By [NsmrP0:P-ify-codim-1] we may assume \(U_{\mathbf{P}}(R)\neq\{0\}\). Let \(0\neq \mathfrak{P}\in U_{\mathbf{P}}(R)\) and let \(P\in\operatorname{Min}(\mathfrak{P}R^\wedge)\). By induction hypothesis \(R/\mathfrak{P}\) is a \(\mathbf{P}_0\)-ring, so \((R^\wedge)_P/\mathfrak{P}(R^\wedge)_P\) is \(\mathbf{P}\). Thus \((R^\wedge)_P\) is \(\mathbf{P}\) by [Pascends], so \(U_\mathbf{P}(R^\wedge)\neq\emptyset\).

Let \(C=\mathfrak{c}(R^\wedge)\) where \(\mathfrak{c}(-)\) is as in Discussion 100. Notice that \(C\neq 0\) as \(U_\mathbf{P}(R^\wedge)\neq\emptyset\). The rest of the proof is identical to that of Theorem 70, with [PGroLocalizes] replaced by Theorem 98. We only need to show that for every prime ideal \(M\) of \(T=((R^\wedge)_\mathfrak{p})^*\), \(T_M\) is catenary and equidimensional (cf. Remark 99), and we only need to check maximal \(M\).

As \(R^\wedge\) is a quotient of a regular ring, so are \(S:=(R^\wedge)_\mathfrak{p}\) and \(T\), thus we only need to check \(T_M\) is equidimensional. As \(M\) is maximal the map \(S_{M\cap S}\to T_M\) induces an isomorphism of completions. If \(S_{M\cap S}\) is equidimensional, so is its completion stacks? Tag0AW3, thus so is \(T_M\) stacks? Tag0AW4. As \(S\) is a localization of \(R^\wedge\) it now suffices to show \((R^\wedge)_Q\) is equidimensional for all \(Q\in\operatorname{Spec}(R^\wedge)\). Again, as \(R^\wedge\) is catenary it suffices to check maximal \(Q\), for which equidimensionality follows from stacks? Tag0AW3 as \(R\) is a universally catenary domain by assumption [NsmrP0:UC]. ◻

Slightly modifying the arguments we get

Theorem 102. Let \(\mathbf{P}\)=“Cohen–Macaulay.”

Let \(R\) be a Noetherian semilocal ring, \(I\) an ideal of \(R\). Assume

  1. \(R\) is \(I\)-adically complete.

  2. \(R/I\) is a \(\mathbf{P}_1\)-ring.

  3. \(R\) is universally catenary.

Then \(R\) is a \(\mathbf{P}_1\)-ring.

Proof. Let \(A\) be any Noetherian ring with \(U_{\mathbf{P}_1}(A)\) open. As an Artinian ring is Cohen–Macaulay it is clear that there exists finitely many primes \(\mathfrak{p}_1,\ldots,\mathfrak{p}_m\in\operatorname{Spec}_1(A)\cap \operatorname{Ass}(A)\) so that \(U_{\mathbf{P}_1}(A)=\operatorname{Spec}(A)\setminus V(\mathfrak{p}_1\cap\ldots\cap\mathfrak{p}_m)\). Therefore, we can similarly take \(\mathfrak{c}(A)=\operatorname{Ann}H^0_{\mathfrak{b}}(A)\) where \(\mathfrak{b}=\mathfrak{p}_1\cap\ldots\cap\mathfrak{p}_m\), so \(V(\mathfrak{c}(A))=\operatorname{Spec}(A)\setminus U_{\mathbf{P}_1}(A)\) and and \(\mathfrak{c}(A)B=\mathfrak{c}(B)\) for all \(\mathbf{P}_1\)-maps \(A\to B\). Note that we automatically have \(\mathfrak{c}(A)\neq 0\).

The rest of the proof is now verbatim to that of Theorem 70, with [PGroLocalizes] replaced by Theorem 98, and with equidimensionality guaranteed by [NsmrCM1:UC] as seen in the proof of Theorem 101. ◻