C OMPOSITIO M ATHEMATICA
J UDITH D. S ALLY
Tangent cones at Gorenstein singularities
Compositio Mathematica, tome 40, n
o2 (1980), p. 167-175
<http://www.numdam.org/item?id=CM_1980__40_2_167_0>
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167
TANGENT CONES AT GORENSTEIN SINGULARITIES
Judith D.
Sally*
© 1980 Sijthoff & Noordhoff International Publishers - Alphen aan den Rijn
Printed in the Netherlands
Introduction
If x is a
Cohen-Macaulay point
of a d-dimensional affinevariety V,
then theembedding
dimension of V at x is bounded aboveby
ex +
d - 1, where ex
is themultiplicity
of V at x,[ 1].
In this paper thefollowing
result isproved.
THEOREM:
If
x is a Gorensteinpoint of
anaffine variety V,
thetangent
cone at x is Gorensteinif
theembedding
dimensionof
V at x isd,
d +1,
ex + d - 2 or ex + d - 1.Also, for
any d >0,
there is anaffine variety
V with Gorensteinpoint
x such that theembedding
dimensionof
V at x isd + 2 = eX + d - 3
and the tangent cone at x is not Gorenstein.An immediate
application
of this result is that the Hilbert function of aGorenstein singularity x,
in the case where theembedding
dimension at x is ex + d - 2 with d >_
1,
is apolynomial
for n 2 and iscompletely
determinedby
themultiplicity
at x. Infact,
Other
applications
will bepresented
in asubsequent
paper.The author
proved
in[12]
ananalogous
result forCohen-Macaulay points. Namely
that if x is aCohen-Macaulay point
then thetangent
cone at x is
Cohen-Macaulay
if theembedding
dimension at x isd,
d + 1 or ex + d - 1. D. Eisenbud and J. Wahl informed the author of the
application
of[12]
to rational surfacesingularities
whichhave, by
a result of M.
Artin, [2], embedding
dimension ex + 1. In[14],
Wahlproves
directly
that thetangent
cone at a rational surfacesingularity
* The author was partially supported by the National Science Foundation.
0010-437X/80/02/0167-10$00.20/0
168
is
Cohen-Macaulay.
He also proves that theminimally elliptic
surfacesingularities
of Laufer[7]
have Gorensteintangent
cones. This is aspecial
case of the result to beproved
in this paper asminimally elliptic singularities
are Gorenstein surfacesingularities
x withembedding
dimension ex. The result answers aquestion posed
to theauthor
by
D. Eisenbud.1. Some
preliminaries
The
techniques
which we will use arepurely algebraic
so werephrase
theproblem
in terms of localrings
and associatedgraded rings. Henceforth, (R, m)
is a localring
of dimension d > 0.(The
term"local" includes
"Noetherian.") G(R)
=R/m®m/m2®m2/m3®...
isthe associated
graded ring
with maximalhomogeneous
ideal Jae =m/m 2® m 2/m 3®....
We denote themap R ---> G(R)
which takes eachelement x of R to its initial form in
G(R) by "-", i.e.,
x -x inmr/mr+l,
where x Em’Bm’+I,
some t - 0. VR= dimRlmm/m2
is theembedding
dimension of R. If 7 is anm-primary
ideal of(R, m), e(l)
Bwill denote the
multiplicity
of 7.e(m)
is themultiplicity
of R and will be denotedby
eR.We will need some facts about reductions of
ideals,
cf.[11].
A minimal reduction for m is a sequence xl, ..., xd of elements of m such thatM"’ = (XI, ..., xd)m’,
for somenon-negative integer
r.Viewed in
G(R),
a minimal reduction for m isjust
a sequence XI, ..., Xd of elements of m with initial forms XI,..., xdforming
asystem
ofhomogeneous parameters
ofdegree
1 forG(R), i.e.,
x,, ..., Xd are elements ofmlm2
and-l«""
C(XI,..., xd)G(R),
for somenon-negative integer
r. From thispoint
ofview,
it is well knownthat,
if
R/m
is infinite - ahypothesis
which will never cause us anyprob- lem,
then there is asystem
X,, ..., xd ofhomogeneous parameters
ofdegree
1 forG(R) ;
in otherwords,
ifR/m
isinfinite,
minimal reductions for mexist,
cf.[11].
Theinteger
r that appears above isimportant,
so we make thefollowing
definition.1.1. DEFINITION: Assume that
R/m
is infinite. The reductionexponent r(R)
of R is the leastinteger
r such that there is asystem
ofparameters
xi,..., xd of R withM"I
=(x,, ..., Xd)M"-
It is not hard to see that if x,, ..., xd is a minimal reduction for m, then
e«xI,..., xd)R)
= eR.Thus,
if(R, m )
is aCohen-Macaulay ring
and XI, ..., Xd is a minimal reduction for m, then eR =
À(RI(xI,
...,xd)R),
where À =ÀA
denotes thelength
of an A-moduleover an Artinian local
ring
A.It is
proved
in[ 11 that
if x,, ... , xd is a minimal reduction for m, then the elements x,, ..., xi areanalytically independent
in m. Thismeans that if
f ( Y,, ..., Yd )
is any form of(arbitrary) degree s
with coefficients in R such thatf (x 1, xd) Ems + l,
then all the coefficientsof f
are in m.The
proof
of the result stated in the introduction has twosteps.
First,
we show that for anyCohen-Macaulay
localring (R, m), G(R)
is
Cohen-Macaulay
ifr(R):5
2. Then we show that thegiven hypo-
theses on
(R, m)
forcer(R)
= 2.2. The réduction
exponent
The
following
theoremgeneralizes
Theorem 2 in[12].
2.1. THEOREM: Let
(R, m)
be a d-dimensionalCohen-Macaulay
local
ring
withR/m infinite. If r(R) - 2,
thenG(R)
is Cohen-Macaulay.
PROOF:
By hypothesis,
there is aregular
sequence xl, ..., xd in R withm3 = (X., ..., Xd )m2. By [4]
or[9],
it is sufficient to prove that X,, ..., xd is aregular
sequence inG(R).
We do thisby
induction on d.There is no
problem
if d =0,
so we let d = 1.Suppose
yx, Emt,
witht > 3. Then
yxl e xlm’-’ and,
since xi is a nonzero divisor inR,
y E
mt-le
This showsthat xi
is a nonzero divisor inG(R).
Assume that d > 1. We first check that xi is a nonzero divisor in
G(R). Suppose yx, e m’
with t > 3. Then YXI E(Xl,
...,xd)‘-2m2.
Wehave yxi =
XIg(X.,
...,xd)
+h (X2, ..., xd),
where g is ahomogeneous polynomial
ofdegree t -
3 in xi, ..., Xd with coefficients inM2
and h isa
homogeneous polynomial
ofdegree
t - 2 in x2, ..., xd with coefficients inm2. Thus, (y - g)x 1 = h.
Since the associatedgraded ring
of R withrespect
to the ideal xR =(x,, ..., xd )R, namely
thering
RlxRq)xRI(xR)2(D(XR)21(xR)’ED...,
is apolynomial ring
overRlxR,
itfollows that y - g E
(x,, ..., Xdr-2R.. (Actually, by [5],
y - g E(x2, ..., Xd )t-2 R.)
Thus y = g+,e,
where e is ahomogeneous poly-
nomial of
degree t
- 2 in xi, ..., xd. But yxi = gxi +éxi
is in m ‘and,
since gxl Em’,
it follows thattxi
Emt. By
theanalytic independence
in m of Xl,..., xd, all the coefficients of e are in m. Hence y E
m’-’.
Thus the
image
of x 1 inG(R)
is a nonzero divisor inG (R )
andG(Rlx,R)=--G(R)15c",G(R). R/x1R
is a(d -1)-dimensional
Cohen-170
Macaulay
localring
which satisfies thehypotheses
of thetheorem,
sothe theorem follows
by
induction.2.2. EXAMPLE: If
(R, m )
isCohen-Macaulay
andr(R )
=3,
thenG(R)
need not beCohen-Macaulay.
LetR = k [[t4@ t’, t "Il, k
any(infinite)
field and t an indeterminate. Thenm4
=t4m3,
where m =(t4, t5, t u)R. R = k[[X, Y, Z]]/(XZ - Y’,
YZ -X4, Z2 - X3y2)
andG(R) == k[X, Y, Z]/(XZ, YZ, Z2, Y4). G(R)
is notCohen-Macaulay.
With
regard
to thisexample
and similar ones, it isinteresting
torecall,
cf.[10],
that if(R, m )
is any 1-dimensionalcomplete
localdomain with
eR > 1,
thenG(R)
has nonzeroprime
nilradical.However,
theanalysis
in[10]
does notgive
information about whether JKbelongs
to zero inG(R).
3. Gorenstein local
rings
If
(R, m )
is any d-dimensional localCohen-Macaulay ring, then, by [1],
VR :$ eR + d - 1. If vR = d or d +1,
it is well-known thatG (R )
isCohen-Macaulay.
In[12],
it isproved
that for vR = eR + d -1,
it is also true thatG(R)
isCohen-Macaulay.
Infact,
it isproved
thatVR = eR + d - 1
implies
thatr(R)
= 1. Thefollowing proposition
showsthat vR = eR + d - 1 is not an
interesting
case if R is Gorenstein.3.1. PROPOSITION: Let
(R, m)
be a d-dimensional local Cohen-Macaulay ring of embedding
dimension eR +d -1,
with eR > 1.Then,
PROOF: We may assume that
Rlm
is infinite.By [12],
vR =eR + d -1
implies
that there is aregular
sequence x = x 1, ..., xd in R withm 2 = xm.
LetR * = R/xR
andm* = mlxR.
Thenm * _ (o : m *) _ f a
ER * am *
=O}.
ButExtR(R/m, R) = HomR(R/m, R/xR) = (0 : m *).
Now, ÀR*(R*)=eR. Hence, dimwm Ext i(R/m, R) = dim wm(0 : m *) =
dimR*lm* m* = eR-l.
3.2. COROLLARY:
If (R, m)
is a Gorenstein localring of embedding dimension eR
+ d - 1with eR
>1, then eR
= 2.PROOF: R Gorenstein
implies
thatdimRlm Ext i(R/m, R )
= 1.We turn to
Cohen-Macaulay rings
ofembedding dimension eR
+ d - 2. Unlike the case ofembedding dimension eR
+ d -1,
there doexist Gorenstein local
rings
ofembedding dimension eR
+ d - 2with eR
any
positive integer
>2. Forexample,
let e be anypositive integer
>2 and set R =k [[t e, t e+l’ .. -’ t2e-2]],
where k is a field. R is a 1-dimen-sional
complete
local domainwith vR
= e - 1and eR
= e so vR = eR + d - 2. The numericalsemigroup
Sgenerated by e, e
+1,...,
2e - 2 issymmetric
because the conductor of S is 2e and the number of elements in S which are less than 2e is e. It follows from[6]
that R is Gorenstein. Let d > 1. Then T== R [[XI, ..., Xd-l]]
is a Gorenstein localring
of dimension d. eT = eR = e and vT = eT + d - 2.3.3. PROPOSITION: Let
(R, m)
be a d-dimensional local Cohen-Macaulay ring.
Let x = XI, ..., xd be a minimal reductionfor
m. ThenÀR/xR(m 2/xm)
= 1 andm 3 C
xm if andonly
if VR= eR + d - 2.
PROOF: We have the exact sequence
from which it follows that
ÀRlxR(m/xm)
= eR + d - 1. Sinceis exact,
ÀR/xR(m2/xm)
= 1 if andonly
if VR = eR + d - 2. We havem 2 d (m 3, XM) ::)
xm. If VR = eR + d -2,
thenm 2
7 xm, som 3
C xm.In
general,
vR = eR + d - 2 does notimply
thatMI
=xm 2,
as Exam-ple
2.2 shows.However,
we will now see that if(R, m )
is Gorensteinof
embedding dimension vR
= eR + d -2,
thenMI
=xm 2.
In theproof
of
(3.4) below,
we will use the fact that if(R, m )
is a 0-dimensional local Gorensteinring
and 1 is anideal,
thenR (R/I ) _ R ((o : I )), cf.,
forexample [3].
3.4. THEOREM: Let
(R, m)
be a d-dimensional local Gorensteinring
with
embedding
dimension VR = eR + d - 2. ThenG(R)
is Gorenstein.The
following
lemma will be needed for theproof
of(3.4).
3.5. LEMMA: Let k be any
field
and V a n-dimensional vector spaceover k. Let
( , )
be asymmetric
bilinearform
on V. There is a basisv l, ..., vn
for
V such thatfor
eachi, lï,
either(Vi, Vi) = 0
or(vi, Vj)
= 0for j 7é
i.PROOF: Let v,, ..., vn be a basis for V. If
(v;, vi)
= 0 for alli,
the172
proof
isfinished,
so we assume that(vl, vl) gé 0.
LetVi=
f x E V I (x, v i)
=01.
dimV,
dim V so thereis, by induction,
a basisw,, ..., w for
VI
with therequired properties.
In addition we have(v 1, wj) = (wb v 1)
= 0 for1:5 j -
t. To see that v 1, wi, ..., wt spanV,
note that if x E
V,
then x’ = x -[(x, v i)1(v i , v,)]v, 1 e VI.
PROOF oF
(3.4):
We may assume thatR/m
is infinite and letx = xi,..., xd be a minimal reduction for m.
By (3.3), m3 C xm
andÀR/xR(m2/xm)
= 1. We will first prove thatG (R )
isCohen-Macaulay.
For this it is
sufficient, by (2.1 ),
to show thatM3
=xm 2.
We prove thisby
induction on d. Since d = 0 is noproblem,
webegin
with d = 1. Letx = xi. We may assume that
vR > 2.
For ifvR = 2 then,
sinceÀR/m(m2/m3)
>2,
we haveÀR/m(m2/m3)
= 3 andm
3 =xm 2.
The first
step
is to show thatm4 C x2m.
Sincem3 C xm
andÀR/xR(m2/xm)
=1, it
is sufficient to show that there is some element inm 2BXM
whose square is inx2m.
Pass to the 0-dimensional Gorensteinring R
=R/xR
with m =m/xR
and let k =R/m.
Let V =mlm2.
V is à k-vector space of dimensioneR - 2 > 1.
V has anon-degenerate symmetric
bilinear formgiven by multiplication
inR.
Form2 = (xm, g),
where g is any element ofm 2xm. m 2
=gR
and we define fora,
13
Em/ m 2, (a, (3)
=ù«o;
where for a E 1ÎÍmapping
to a and b E mmapping
to38,
ab =u«/
andù,,,g
is theimage
of u,,,o in k.fil3
=0,
sothis is well defined. Since R is
Gorenstein,
this form is also non-degenerate. By (3.5),
we can find a minimal basis x, z,, ..., ZeR_2 for m with theproperty that,
for1-2,
eitherz2 E xm
or zZj E xmfor j é i.
If there is an i withz 2 xm,
thenzi E x2m.
Forif j # i,
there is an t 76i,
such thatzjztE
xm.Thus, z 2
= uzjze + xju with u E RBm
andIL E m.
Then, zi
=uz;zez2
+XJLZr
Ex2m.
Ifzr
E xm for alli,
then there isa j:,;é
1 such thatzlzje
xm. Then(ZlZj)2 = Z1ZJ
Ex2m.
Thus we have that
m4 C x2m.
Now we pass to the 0-dimensional Gorensteinring
R * =R/x2R
with m * =m/x2R.
We haveÀR*(R*)
=2eR,
,kR*(M */M*’) = eR - 1
andÀR*(m*3)
= 1.Thus, R*(m *2/m *3) _
2eR - eR -
1 = eR - 1.Consequently, ÀR/m(m2/m3)
= eRand,
since eR =3ÀR/xR(R/xR) = ÀR/xR(m2/xm2),
it f ollows thatm 3
=xm 2.
This concludes the case d = 1.Assume that d > 1.
Suppose
thatm3 g xm2.
We will show that there is ani,
1 id,
such that(mlxiR)3 _É (XI ..., zi, ..., xd)(mlxR)2.
SinceR/xiR
is a local Gorensteinring
of dimension d - 1 andembedding
dimension vRIxR =
eRIxR
+(d - 1) - 2,
for eR/xR = eR, this willcontradict
the inductionhypothesis.’
Sincem 3xm 2, there
is an element z inM3
3’ The author is grateful to B. Singh for his simplification of this part of the proof and for several incisive comments on the paper.
with
Ze xm 2.
Write z = ax +bx2
+ ’ .. + cxd with a,b,...,
c E m.By
theanalytic independence
of x in m we havex2R
nm3
=X2M
Cxm 2.
Therefore, Ze xm2
+x2R. Now,
if a,b,..., c E m2 + xR
then z Exm2 + x2R,
a contradiction. We may therefore assume thatalÉ M2+
xR. We then claim that any i > 2 meets the
requirement.
To seethis,
say for
i = d,
suppose z E(X., ..., Xd-t)m2 + xdR.
Then there existsy E m 2
such that(a - y )x,
E(x2, ..., xd)R.
Therefore a - y E(x2, ..., xd)R,
which shows that a Em2 + xR,
a contradiction. Thiscompletes
theproof
thatm 3
=xm 2.
It remains to show that
G(R)
is Gorenstein. XI, ..., xd is aregular
sequence in
G(R)
andG(RlxR)
=G(R)/(xl,
...,gd)G(R).
SinceG(R)
is Gorenstein if andonly
ifG(R»)l
isGorenstein, [8],
it suffices toshow that
G(RlxR)
is Gorenstein. LetRo
=RlxR
and mo =mlxR.
Then
G(Ro) = Ro/moEBmo/mÕEBmÕ
andJUo = mo/mÕEBmÕ.
We mustshow that
dimR/m (0: JUo) = 1.
But(mo/mÕ)
= 0 means ymo CM3
= 0.Hence
(0: JUo) = m Õ.
SinceRo
isGorenstein, dimR/m (m Õ) = dimR/m(O: mo)
= 1. This concludes theproof
of the theorem.(3.6)
EXAMPLE: We show that for any d >- 0 there is a local Gorensteinring (R, m)
ofembedding
dimensionvR = d + 2 =
eR + d - 3 with
G(R)
not Gorenstein. Webegin
with d = 1. Let k be afield and t an indeterminate. Let R =
k[[t’, t6, t9]].
The numericalsemigroup generated by 5,
6 and 9 issymmetric
so,by [6],
R is a 1-dimensional local Gorensteinring. R = k [[X, Y, Z]]I ( YZ - x3, Z2 - y3)
andG(R) = k[X, Y, Z]/( YZ, Z2, Y4 - ZX 3). 3 = vR = eR + d - 3 = d + 2
andG(R)
is not Gorenstein.RI t5 R
is a similarexample
for d = 0.Examples
for d > 1 are obtainedby adjoining analytic
indeterminatesWl, ..., Wd-l
tok[[t5, t6, t9]].
In summary,
then,
we have thefollowing.
If(R, m )
is a d-dimen-sional Gorenstein local
ring
ofmultiplicity eR
andembedding
dimen-sion VR, then
G (R )
is Gorenstein if VR =d,
d + 1 or eR + d - 2. Theseare the
only embedding
dimensions which willalways give G(R)
Gorenstein.3.7. COROLLARY: Let
(R, m) be a
local Gorensteinring of
multi-plicity
at most 4. ThenG(R)
is Gorenstein.It follows from
(3.4)
that the Hilbert function for a d-dimensional local Gorensteinring
ofembedding dimension eR
+ d - 2 iscompletely
determined
by
eR. To seethis,
we recall that the Hilbert sum trans- forms for any localring (R, m )
are definedinductively
as follows. Letn be any
non-negative integer.
174
and
3.8. REMARK: Let
(R, 3m )
be a d-dimensional localring.
It isknown,
cf.[13],
that if XI, ..., Xt are elements ofm/m2
withimages Xl,..., Xt
inG(R) forming
aregular
sequence, thenfor all n * 0.
Thus,
ifG (R )
isCohen-Macaulay,
there is an Artin localring
R * ofembedding
dimensionvR - d
andlength eR
such thatfor all n > 0.
(If R/m
isinfinite,
takeR * = R/(x,, ..., xd )R,
wherex), ..., Xd is a minimal reduction for m. If
R/m
isfinite,
it may be necessary first to pass to thering R (u) = R [u ]mR[uJ,
where u is anindeterminate.)
3.9. COROLLARY: Let
(R, m)
be a d-dimensional local Gorensteinring of embedding dimension eR
+ d - 2. Then there exists a 0-dimen- sional local Gorensteinring (R*, m*)
withHQ*(1) = eR - 2, H&*(2)
= 1and
HR*(n)
=0, for
n >2,
such thatfor
all n * 0. Infact, for
d -1,
PROOF: We may assume that
R/m
is infinite. In the firstpart
of theproof
of(3.4)
we saw that(R, m)
Gorenstein withvR = eR + d - 2 implies
that there is aregular
sequence x,, ..., xd in R such thatm3
=(x,,
...,xd)m2
and theimages 3xi,
...,Xd form
aregular
sequence inG(R).
With R* =RI(xi,
...,xd)R,
the first statement of the corol-lary
follows from(3.8).
The second statement follows from the firstby
double induction on n andd, using
the fact that for any localring
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10 (1977) 231-264.
(Oblatum 15-IX-1977 & Department of Mathematics 13-11-1978 & 11-XII-1978) Northwestern University
Evanston, Illinois, U.S.A.