C OMPOSITIO M ATHEMATICA
L UCHEZAR L. A VRAMOV
R AGNAR -O LAF B UCHWEITZ Lower bounds for Betti numbers
Compositio Mathematica, tome 86, n
o2 (1993), p. 147-158
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Lower Bounds for Betti Numbers
LUCHEZAR L.
AVRAMOV1,2
Bulgarian Academy of Sciences, Institute of Mathematics, ul. "Akad. G. Boncev ", blok 8, 1113-Sofia, Bulgaria
RAGNAR-OLAF
BUCHWEITZ3
Department of Mathematics, University of Toronto, 100 St. George Street, Toronto, Ont. M5S 1A1, Canada
Received 17 May 1991; accepted 25 March 1992 (Ç)
1. Statement of results
A
question
which has attracted attentionduring
the last 15 years is whether the Betti numbers of a non-zero module M of finitelength
and finiteprojective
dimension over a local
(or graded)
noetherianring R
can be bounded belowby
binomial coefficients in the Krull dimension d of R. More
precisely,
if K is theresidue class field at the
(irrelevant)
maximal ideal ofR,
thenbR(M)
=diMK Tore(M, K)
is the ith Betti number of M and it has beenconjectured
thatalways
Note that these lower bounds are
"predicted" by
the Betti numbers ofquotients
of R
by systems of parameters,
since R has to beCohen-Macaulay (cf.
Section 2below).
For theorigin
of thisproblem,
see[B-El], [Ha].
A survey of affirmativeanswers for
particular rings
is contained in the recentpreprint [C-E].
Let usjust
mention thatfor d
4 theconjecture
followseasily
from thegeneralized principal
ideal theorem and thevanishing
of Euler-Poincaré characteristics. If R isGorenstein,
even moreprecise
results areknown, [C-E-M], showing
thatbRi(M) = (4)
for somei;
0 id 4; implies already
that M is aquotient
of Rby
asystem
ofparameters.
By contrast, for d
5 theconjecture
is stillundecided,
even when R isregular.
1 Partially
supported by Grant 884 from the Ministry of Science and Higher Education, Bulgaria.2Current address: Department of Mathematics, Purdue University, West Lafayette, IN 47907, U.S.A.
3Partially
supported by NSERC grant 3-642-114-80.In this paper, we concentrate on the
(slightly?) simpler question
whether it isalways
true that the total Betti number03B2R(M)
is bounded belowby 2d:
Using
the Evans-GriffithSyzygy
Theoremtogether
with older results we obtain for03B2R(M)
at least a lower bound which isquadratic
in d:PROPOSITION 1. Let R be an
equicharacteristic
local noetherianring of
Krulldimension d at least 5. For any non-zero R-module M
of finite length and finite projective
dimension it holds thatIn
particular, for
d = 5 one has03B2R(M)
32 =25.
The main
part
of this paper is concerned with the total Betti number of agraded
module over agraded
noetherianK-algebra
which isgenerated
indegree
1. There it turns out that the
conjectured
bound for03B2R(M)
holds in at least"half" of all cases. In the extreme case of
multigraded
modules over apolynomial ring,
even the binomial estimates for the individual Betti numbers are knownby
results of
[E-G2], [Sa], [Ch].
To
give
aprecise
formulation of our mainresults,
we need some notation. Asin
[AC
VIII.§4],
we denoteby Z((t)) = Z[[t]][t-1]
thering
of formal Laurentseries with
integral
coefficients. If M= ~i~Z Mi
is agraded vectorspace
oversome field
K,
such thatdimK Mi
is finite for all i andMi
= 0 for i «0,
its Hilbertseries is the element of
Z((t))
with nonnegative
coefficients which isgiven by
If furthermore M is a non-zero,
finitely generated graded
module over apositively graded K-algebra
R =~i0Ri
which isfinitely generated by R1
overRo
=K,
then it is well known that - see forexample [AC
VIII.§6. Prop. 5] -
theHilbert series of M can be written
uniquely
in the formwhere
d(M)
is the Krull dimension ofM, eM(t)
is a Laurentpolynomial
inZ[t, t-1],
and eM =eM(l)
is apositive integer,
themultiplicity
of M.We call
eM(t)
themultiplicity polynomial
of M.Note that these combinatorial invariants of M
depend only
on itsunderlying
graded K-vectorspace. However,
one hasd(R) d(M) -
and our next result will establish a further constraint for modules of finiteprojective
dimension:PROPOSITION 2. With notation
as just introduced, assume furthermore
that Mis
of finite projective
dimension as an R-module. TheneR(t)
divideseM(t)
inZ[t, t-1].
Inparticular,
themultiplicity of
R divides themultiplicity of
M.We set
eM(t)
=eM(t)/eR(t)
and call this Laurentpolynomial
over Z the reducedmultiplicity polynomial of
M over R.In the
non-graded
case, it is notnecessarily
true that themultiplicity
of thering
divides themultiplicity
of afinitely generated
module of finiteprojective
dimension: In
[D-H-M],
there is constructed an artinian module A oflength ( = multiplicity) equal
to 15 which has finiteprojective
dimension over thehomogeneous
coordinatering
R of thequadric Q
=(xy - uv) E K[x, y,
u,v].
This
ring
hasmultiplicity equal
to 2. We do however not known whether over alocal or
graded ring
R there can be a non-zero module M of finiteprojective
dimension whose
multiplicity
is smaller than themultiplicity
of R.To formulate the main numerical result
concisely,
set also’Pn(t)
=1 + t + ···
+ tn-1
EZ[t]
for anypositive integer
n.THEOREM 3. Let K be a
field,
R apositively graded K-algebra finitely generated by
elementsof degree
1. For a non-zero,finitely generated graded
R-module M
of finite projective
dimension and aprime
p EN,
setm =
max{03BC 0 1 ’Yp. (t)
divideseRM(t)
inZ[t, t-’]I.
The total Betti number
satisfies
thenAs a
special
case, consider those modules M as above which in additionsatisfy eM(-1) ~
0. The Theorem thenapplies
with p = 2 and m = 0 toyield
theinequality 03B2R(M) 2d(R)-d(M).
This settles theconjecture
on the total Betti number for alarge
class of artinian modules:COROLLARY 4. Let R be as
above, of
Krulldimension d,
and let M be agraded
R-module
of finite length and finite projective
dimension.If the alternating
sumof
dimensions
03A3i(-1)idimKMi
does notvanish,
then03B2R(M) 2d(R).
A statement which is weaker than the one in the
theorem,
but whosehypotheses might
be easier tocheck,
is obtained from thefollowing
observation.If 1 =
ordp(eM/eR),
then03A8pl+1(t)
does not divideeRM(t),
since otherwisepl+1 = 03A8pl+1(1)
divideseRM(1)
=eM/eR.
Thus the number m above is at mostequal
to l. As theexpression [d(R) - d(M) + p03BC - 1/p03BC(p - 1)]
isdecreasing
infl, we have
COROLLARY 5. With the notation
of the theorem,
set 1 =max{03BB 0 |p03BB
divideseM/eR
inZI.
ThenTo
give
afeeling
for the numerical range of thisestimate,
we mention somespecial
cases:EXAMPLE 6. Let R and M be as
above,
but assume furthermore that M is of finitelength.
A final remark on the scope of the Theorem:
The function
d(R)+pm-1 d(R)pm(p-1) 1) .
1092 p
decreasesrapidly
in each of its three variablesd(R),
p, m, so that we are still far from theexpected
bound03B2R(M) 2d(R)
for artinian modules in allgenerality. Nevertheless,
if we fix theclass of those modules M whose
length
isrelatively prime
to agiven
p, weget
at least anexponential
bound ind,
whereas the best knowngeneral
result is thequadratic
estimate in dgiven
inProposition
1 above.2. Here we
give
theproof
ofProposition
1.First remark that a local noetherian
ring R
admits an artinian module of finiteprojective
dimension iff it isCohen-Macaulay:
this follows from the NewIntersection
Theorem, [Ro].
Theprojective
dimension of such a module is thennecessarily equal
to the Krull dimension d of R and we shallsystematically
usethe fact that the R-dual of an R-free resolution of an artinian module M is an R- free resolution of M~: :=
ExtdR(M, R),
which isagain
an artinian R-module. Inparticular, bRd-i(M)
=bRi(M~)
for all i. In thesequel
we setbi:= bRi(M).
The Generalized
Principal
IdealTheorem, [E-N,
Thm.1], applied
to M andM "
yields
theinequalities
If one of the
inequalities
becomes anequality,
the module M or its dual M v is ageneric
module in the sense of[B-E2,
Thm.5.1.].
The minimal resolution of such modules is determined in(loc. cit.)
and as a consequence the Betti numbers areknown:
In
particular,
So
for all i and we may discard this case. We hence assume from now on
The
key ingredient
in the rest of theproof is
theSyzygy
Theoremby
G.Evans,
P.Griffith
[E-G1,
Cor.3.15],
which assertsfor any
finitely generated
module N of finiteprojective
dimension £5 over anequicharacteristic Cohen-Macaulay
localring
R of dimension d.For M’ and M we have £5 =
d,
andapplying
theinequality
for i = d - 2 ineach case, one
gets
Combined with the
inequalities above,
thisyields b2 2d - 2
andbd-2 2d -
2. As a consequence,Consider first the case
bo
+bd = 2,
which is the minimal value. Thenbo = bd
= 1 and M is thequotient of R by a
Gorenstein idéal7,
cf.[B-E1].
Thenby
a result of E. Kunz[Ku],
as extended in[C-E-M,
Lemma2],
1 isgenerated by
at least d + 2 manyelements,
whenceb1 d
+ 2 andbd-1 d
+ 2. So eitherbo + bd
= 2and bl
+bd-1
2d + 4 orbo
+bd
3. In either case weget
For d = 5 we are
already
done.Else,
the syzygytheorem, applied
to M and M’again, implies
For odd
d,
thisgives
whereas for even
d,
one obtainsAdding
in theremaining
Bettinumbers,
we findFinally,
note that as M isartinian,
the Euler-Poincaré characteristic03A3dj=0(-1)jbRj(M) vanishes,
hence03B2R(M)
isalways
even whereas3d2 -
6d + 18 ~ 2 mod 4 for even d. It follows that weget
a common estimatefor all d5.
DTo end this
section,
we note that for d = 5we(l)
cannot rule out the existence of an artinian module M with sequence of Betti numbers(1, 6, 8, 8, 7, 2)
whichwould
give 03B2R(M)
=25.
This is in contrast with the results in[Ch-E-M],
whichshow that for R Gorenstein
and d 4,
one has03B2R(M) 2d + 2d-1,
unless M isthe
quotient
of Rby
asystem
ofparameters.
3. The first
step
towards theproof
ofProposition
2 is a combinatorialanalysis
of Hilbert series. It does not
require
any "noetherian"hypothesis.
Hence we may work in thefollowing
context.Let R =
~j0 Rj
be acommutative, positively graded ring
such thatRo
= Kis a field and
Ri
is a finite dimensional K-module for each i. We will consideronly
those R-modules M =~j~Z Mj
which aregraded
andsatisfy Mj
= 0 for allsufficiently negative degrees j, Mj
a finite dimensionalK-vectorspace
forevery j.
Set
i(M)
=inf{j~
7L~{~}| Mj ~ 01.
Asusual, M(k)
denotes the sameungraded
R-module as
M,
but with thegrading shifted, M(k)j=Mk+j
forall j~Z.
Inparticular, i(M(k)) = i(M) -
k. For the associated Hilbert series one has thatHM(-k)(t)
=tkHM(t)
and that the order ofHM(t) equals i(M).
The formation of Hilbert series is additive on exact sequences.The next result seems to be
part
of the mathematical folklore - in onedisguise
or the other - see for
example [Ko], [P-S].
LEMMA 7. Let
M,
N be R-modules.(i)
For eachi,
thegraded
R-moduleTorR(M, N)
=~j~Z Torf(M, N)j
hasfinite
dimensional
homogeneous
components and(ii)
Setx’(M, N)(t)
=03A3i(-1)iHTorRi(M,N)(t)·
This is awell-defined
elementof Z((t))
and one has anequality of formal
Laurent seriesProof.
It is well known and easy to see that every R-module M as above ("See note at the end of the paper.admits a
graded
free resolutionwhere
F; &é ~j~Z R( - j)bij
withbij
E rBJ andbij
= 0for j
i +i(M). Evaluating
Hilbert series of the above resolution one
gets
The sum on the
right
is well defined inZ((t)),
due to thevanishing
ofbij
forj
i +i(M).
Tensoring
the resolution above with N over Ryields
thecomplex
of R-modules
Since
TorRi(M, N)k = Hi(F(M) QR N)k,
weget
the last sum
being
finite asbij
= 0for j
i +i(M)
anddim, N, - j
= 0 fork-j i(N).
In
particular,
one sees thati(TorRi(N, N))
i +i(M)
+i(N).
This proves(i)
and shows also that
~R(M, N)(t)
is indeed well defined.Taking
thealternating
sum of Hilbert series ofF(M) QR N,
we obtain from(3.1)
By
the invariance of Euler-Poincarécharacteristics,
thisalternating
sumequals
the
corresponding
sum of the Hilbert series of thehomology
of thecomplex,
thatis,
itequals xR(M, N)(t). D
Specializing
to the case where N =K,
theaugmentation
module ofR,
we setand obtain
This result can be found in many
places,
e.g.[Sm].
Proposition
2 is now aspecial
case of the secondpart
of the next result.PROPOSITION 8. Let R be
generated by
its elementsof degree
1.(i) For finitely generated
R-modulesM,
N one hasthe following
relation betweenmultiplicity polynomials:
(ii) If
M is non-zero,finitely generated
andof finite projective
dimension overR,
then~RM(t)
is a Laurentpolynomial, eR(t)
divideseM(t)
inZ[t, t-1]
and witheRM(t)
=eM(t)/eR(t),
one has anequality of
Laurentpolynomials,
Proof. (i)
followsby comparing
Lemma7(ii)
and(1.1). Taking
N = K in(i),
weget
As each
TorRi(M, k)
is a finite dimensionalgraded
K-vector space andTorR(M, k)
= 0 for i >projdimR M, it
follows that~RM(t)
is a Laurentpolynomial
as soon as M is of finite
projective
dimension. Sinced(R) d(M)
andeR(1)
~0,
assertion(ii)
now follows fromunique
factorization inZ[t, t-1].
D 4. Theproof
of Theorem 3 relies upon a morethorough investigation
ofmultiplicity polynomials, using
basic arithmetic.Let n be any
positive integer, Cn E C
aprimitive
nth root ofunity,
and03A6n(t)
=TIgcd(i,n) = 1 (t
-03B6in)
the nthcyclotomic polynomial.
Recall that03A6n(t)
is anirreducible
polynomial
inZ[t]
ofdegree ~(n)=n(1-(1/p1))···(1-(1/pk)),
where pi; i =
1,..., k;
are the differentprimes dividing
n. Note that theprime
factorization
of ’Pn(t) = (tin - 1)1(t
-1)
inZ[t]
isgiven by
If f(t)~Z[t,t-1]
is a Laurentpolynomial,
we define its nthcyclotomic
norm asAs
Nn(f(t))
=NQ(03B6n)/Q(f(03B6n)),
and the norm of thealgebraic integer f«(n)
inQ(03B6n)
is a rational
integer, Nn
is amultiplicative
function fromZ[t, t-1]
to Z. Notethat
Nn(f(t))
= 0iff f (t)
is amultiple
of03A6n(t),
due to theirreducibility
of thecyclotomic polynomials
inZ[t, t-1].
The next Lemma contains those arithmetical results which will be needed to establish the Theorem.
LEMMA 9. Let m be a
nonnegative integer,
n, ml’...’ mkpositive integers,
p, pl, ... , pkprimes,
and letf (t)
:0 0 be a Laurentpolynomial
over Z.Proof. (i)
If n = p,then (D,(t)
= 1 + t + ... +tp -1
and hence03A6p(1)
= p. Ifn =
pm11 ··· pMk
is theprime
factorization of n, with differentprimes
p;, we argueby
induction on m =03A3ki=1
mi. Write theproduct
formula for03A8n(t)
asset t = 1 and use the induction
hypothesis.
(One
may also use Moebius inversiondirectly
on n= ]"[ 03A6d(1).)
dln
(ii) Multiplicativity
of the norm showsAs
03B6pmpm+1-1=03B6p-1
isalready
inQ(03B6p), considering
the tower of fieldextensions
Q(Cpm) ;2 Q(Cp) ;2 Q,
weget
For the second factor in
(4.2),
note that for any v1,
N O(’pV)/o((pv - 1)
=03A6pv(1)
= p,again by (i).
Now(ii)
follows.(iii) Writing f(t)
=’JI pm(t). g(t)
withg(t)
EZ[t, t-1],
we conclude from(ii)
andfrom the
multiplicativity
of the norm thatppm-1
dividesNpm+1(f(t)).
As03A8pm+1(t)
=03A8pm(t)·03A6pm+1(t) by
theproduct
formula(4.1), 03A6pm+1(t)
does not divideg(t).
HenceNpm+1(g(t)) ~
0 and the result follows. DNow we can finish the
proof of the
theorem.Taking
norms inProposition 8(ii)
for some
positive integer n,
weget
But Nn(1-t) = 03A6n(1) and
Thus we obtain the
inequality
For n =
pm+1,
where p and m are chosen as in the statement of thetheorem,
onehas
qJ(n)
=p"’( p - 1), 03A6n(1)
= pby
Lemma9(i),
andNn(eRM(t))
=ppm-l.
a with anon-zero
integer a by
Lemma9(üi).
This establishes the desired lower bound.n
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