format: text

text:
# Canonical modules of Rees algebras

## 1. Divisor class group and valuations on a Rees algebra

Let $`R`$ be a normal Noetherian domain, and $`I`$ an ideal in $`R`$ for which the Rees algebra

$$=(I)=(R,I)=\underset{k=0}{\overset{\mathrm{}}{}}I^kT^kR[T]$$

is a normal domain. The normality of the Rees algebra is equivalent to the integral closedness of all powers $`I^k`$ (see Ribenboim \[Ri\]). We will assume in the following that $`\mathrm{ht}I2`$.

The divisor class group of $``$ has been investigated in several articles of which Vasconcelos is a co-author (\[HSV1, HSV2, HV, MV\]). The main result, first proved by Simis and Trung \[ST\], describes $`\mathrm{Cl}()`$ as follows:

###### Theorem 1.1.

There is an exact sequence

(1)
$$0^t\mathrm{Cl}()\mathrm{Cl}(R)0$$

where a basis of $`^t`$ is given by the classes $`[P_i]`$ of the minimal prime ideals $`P_1,\mathrm{},P_t`$ of the divisorial ideal $`I`$.

In the following we will denote the subgroup $`[P_1]+\mathrm{}+[P_t]`$ simply by $`^t`$.

The most informative proof of this theorem uses the following lemma, in which $`\mathrm{Spec}^1`$ denotes the set of divisorial prime ideals.

###### Lemma 1.2.

Let $`I`$ be an ideal of height at least $`2`$, and, with the notation introduced, $`V_i=_{P_i}`$; then

(2)
$$=R[T]V_1\mathrm{}V_t,$$

and, moreover,

(3)
$$R[T]=\{_P:P\mathrm{Spec}^1(),PP_1,\mathrm{},P_t\}.$$

###### Proof.

Since $``$ is a Krull domain, it is the intersection of its localizations $`_P`$, where $`P`$ runs through $`\mathrm{Spec}^1()`$. For (2) we have to show that either $`_P=R[T]_Q`$ for a divisorial prime ideal $`Q`$ of $`R[T]`$, or $`P=P_i`$ for some $`i`$.

If $`PI`$, then $`P=P_i`$ for some $`i`$. Otherwise there exists $`xI`$, $`xP`$. Then $`_P`$ is a localization of $`[x^1]`$, and, since $`[x^1]=R[T,x^1]`$, it is also a localization of $`R[T]`$ with respect to some divisorial prime ideal.

Equation (3) follows from \[BC2, Lemma 2.1\] because the extensions $`P_iR[T]`$, containing $`IR[T]`$, have height at least $`2`$. (One should beware of considering (3) as a trivial consequence of (2); for $`R=K[X]`$, $`K`$ a field, and $`I=RX`$, the intersection in (3) is $`R[X^1,T]`$.) ∎

Equation (3) says that $`R[T]`$ is a subintersection of $``$ in the terminology of Fossum \[Fo\], and so Nagata’s theorem \[Fo, Thm. 7.1\] yields the exact sequence (1) with $`\mathrm{Cl}(R[T])`$ in place of $`\mathrm{Cl}(R)`$, once one has shown that the classes $`[P_1],\mathrm{},[P_t]`$ are linearly independent. A proof of the linear independence can be found in Morey and Vasconcelos \[MV\]. Finally one uses that $`\mathrm{Cl}(R[T])=\mathrm{Cl}(R)`$.

We want to complement Theorem 1.1 by a description of the Picard group of the Rees algebra. It is the group of isomorphism classes of projective rank $`1`$ modules, and therefore a natural subgroup of the class group. One has $`\mathrm{Pic}(R)=\mathrm{Cl}(R)`$ if and only if $`R`$ is locally factorial (i. e. all localizations of $`R`$ at maximal ideals are factorial).

###### Proposition 1.3.

The natural map $`\mathrm{Pic}(R)\mathrm{Pic}()`$ is an isomorphism.

If $`R`$ is locally factorial, then the natural map $`\mathrm{Cl}(R)=\mathrm{Pic}(R)\mathrm{Pic}()\mathrm{Cl}()`$ splits the exact sequence (1). In particular $`\mathrm{Cl}()=^t\mathrm{Pic}()`$.

###### Proof.

Let us first show that $`\mathrm{Pic}()=0`$ if $`R`$ is a local ring with maximal ideal $`𝔪`$. In this case $``$ is a graded ring whose homogeneous non-units generate the maximal ideal $`𝔐=𝔪_{k=1}^{\mathrm{}}I^kT^k`$. Moreover, each divisorial ideal of $``$, especially every rank $`1`$ projective module, is isomorphic to a graded ideal. A graded projective module is free, since its localization with respect to $`𝔐`$ is free (see \[BH, 1.5.15\]).

We now turn to the general case. The natural map $`\mathrm{Pic}(R)\mathrm{Pic}(R[T])`$, induced by ring extension, is an isomorphism, since $`R`$ is normal. It factors through $`\mathrm{Pic}()`$. Therefore the map $`\mathrm{Pic}()\mathrm{Pic}(R[T])`$ is surjective. In order to show that it is injective, we have to verify that $`\mathrm{Pic}()^t=0`$. This follows from the fact that each nonzero divisor class $`[C]`$ in $`^t`$ survives in at least one Rees algebra $`R_𝔭[I_𝔭T]`$. By the first part of the proof this is impossible for the class of a projective rank one module. In fact, if the coefficient of $`[C]`$ with respect to $`[P_i]`$ is nonzero, we choose $`𝔭=𝔭_i`$.

The second statement is now obvious. ∎

The valuations $`v_{P_i}`$ on the quotient field $`Q()=Q(R[T])`$ are called the *Rees valuations* of $`I`$ (cf. MacAdam \[MA, Ch. XI\]). If $`v`$ is a valuation on a domain $`R`$ such that $`v(x)0`$ for all $`xR`$, then the *center* of $`v`$ is the prime ideal $`\{x:v(x)>0\}`$.

The representation (2) of $``$ can be translated into a description of the powers of $`I`$ as an intersection of valuation ideals.

###### Proposition 1.4.

Let $`v_i`$ be the Rees valuation on the quotient field $`Q(R[T])`$ associated with $`_{P_i}`$, $`i=1,\mathrm{},t`$, and set $`J_i(j)=\{xR:v_i(x)j\}`$. Then

(4)
$$I^k=\underset{i=1}{\overset{t}{}}J_i(kd_i),d_i=v_i(T).$$

The intersection is irredundant for $`k0`$. Moreover,

$$I=\underset{i=1}{\overset{t}{}}P_i^{(d_i)}.$$

###### Proof.

We consider equation (2) in each $`T`$-degree. Then it says

$$I^kT^k=\{aT^k:aR,v_i(a)v_i(T^k),i=1,\mathrm{},t\},$$

and this is evidently equivalent to equation (4).

To see that the intersection is irredundant for $`k0`$, we use that the representation (2) is irredundant: there exists $`y_iR`$ and $`n_i`$ such that $`v_i(y_iT^{n_i})<0`$, but $`v_j(y_iT^{n_i})0`$ for $`ji`$. Moreover, $`IT=TR[T]`$ is a divisorial prime ideal different from $`P_i`$ for all $`i`$. Thus we can find $`x_iI`$ such that $`v_i(x_iT)=0`$. It follows that $`v_i(x_i^my_iT^{n_i+m})<0`$ for all $`m0`$, but $`v_j(x_i^my_iT^{n_i+m})0`$ for $`ji`$. To sum up: the representation is irredundant for $`n\mathrm{max}_in_i`$.

For the second formula we note that $`IT`$ is a prime ideal different from $`P_1\mathrm{},P_t`$, the divisorial prime ideals containing $`I`$. So $`0=v_i(IT)=v_i(T)+v_i(I)`$. Therefore $`v_i(I)=v_i(T)`$. ∎

Let $`𝔭_i=P_iR=J_i(1)`$. Then one sees immediately that $`J_i(j)`$ is $`𝔭_i`$-primary for all $`j`$, and thus (4) yields a primary decomposition of $`I^k`$ for all $`k`$. But even if the intersection is irredundant, it need not be an irredundant primary decomposition in the usual sense, since it may very well happen that $`𝔭_i=𝔭_j`$ for $`ij`$.

In the next section we want to compute the class of the canonical module of $``$ in certain cases, in which we can identify the ideals $`J_i(j)`$.

Suppose that $`R`$ is a regular domain. Then each prime ideal $`𝔭`$ of $`R`$ defines a discrete valuation on $`Q(R)`$ as follows. First we replace $`R`$ by $`R_𝔭`$, and may assume that $`R`$ is local with maximal ideal $`𝔭`$. Now we set $`v_𝔭(x)=\mathrm{max}\{i:x𝔭^{(i)}\}`$ for each $`xR`$, $`x0`$, and extend this function naturally to $`Q(R)`$ (with $`v_𝔭(0)=\mathrm{}`$). That $`v_𝔭`$ is indeed a valuation follows from the fact that the associated graded ring of the filtration $`(𝔭^i)`$ is a polynomial ring over the field $`R/𝔭`$ and therefore an integral domain. It guarantees that $`v_𝔭(xy)=v_𝔭(x)+v_𝔭(y)`$. A similar argument shows that the symbolic powers of prime ideals in regular domains are integrally closed.

One says that a valuation on the polynomial ring $`R[T]`$ (where $`R`$ may be an arbitrary domain) is *graded* if

$$v(f)=\underset{i}{\mathrm{min}}v(a_iT^i)$$

for all polynomials $`f=a_iT^i`$, $`a_iR`$. Every valuation on $`R`$ can be extended to a graded valuation on $`R[T]`$. One can freely choose $`v(T)`$ and then use the previous equation to define the extension of $`v`$ (see Bourbaki \[Bo, Ch. VI, §10, no. 1, lemme 1\]).

The Rees valuations of $`I`$ on $`R[T]`$ are graded. In fact, if $`S`$ is a normal graded subalgebra of $`R[T]`$ with $`Q(S)=Q(R[T])`$, then the valuations associated with graded divisorial ideals of $`S`$ are graded, since all symbolic powers of graded prime ideals are graded as well. Moreover, the associated prime ideals of the graded ideal $`I`$ are graded.

###### Proposition 1.5.

Let $`R`$ be a regular ring and $`I`$ an ideal of height $`2`$.

* Then the following are equivalent:

+ $`(I)`$ is normal, and for each minimal prime ideal $`P`$ of $`I`$ the Rees valuation $`v_P`$ restricts on $`R`$ to the valuation $`v_𝔭`$, $`𝔭=PR`$;
    + there exist prime ideals $`𝔭_i,\mathrm{},𝔭_u`$ in $`R`$ and $`d_1,\mathrm{},d_u`$ such that $`I^k=_{i=1}^u𝔭_i^{(d_ik)}`$ for all $`k`$.
* Moreover, if *(i)* holds, and $`P_1,\mathrm{},P_t`$ are the minimal prime ideals of $`I`$, then one can choose $`𝔭_i=P_iR`$, $`d_i=v_i(T)`$, and the intersection in *(ii)* is irredundant for $`k0`$.
* Conversely, if there exists $`k_i`$ for each $`i=1,\mathrm{},u`$ such that $`𝔭_i^{(d_ik)}`$ cannot be omitted in the representation of $`I^{k_i}`$ in *(ii)*, then the graded extensions of the $`v_i`$ to $`R[T]`$ with $`v_i(T)=d_i`$ are the Rees valuations of $`I`$ on $`Q(R[T])`$.

###### Proof.

(a) The implication (i)$``$(ii) has been proved above, together with the description of the $`𝔭_i`$ in terms of the prime ideals $`P_i`$.

Suppose now that (ii) holds. Then all powers of $`I`$ are integrally closed, since the symbolic powers of prime ideals in regular rings are integrally closed. Let $`v_i`$ be the valuation on $`R[T]`$ that we obtain as the graded extension of $`v_{𝔭_i}`$ to $`R[T]`$ with $`v_i(T)=d_i`$. The representation of $`I^k`$, $`k`$, can immediately be translated into the description of $`(I)`$ as the intersection of $`R[T]`$ with the discrete valuation rings $`V_i`$ associated with the valuations $`v_i`$:

(5)
$$=R[T]V_1\mathrm{}V_u.$$

Let $`P_i`$ be the center of $`v_i`$ in $``$. Then $`I=P_i^{(d_i)}`$. If this representation is not irredundant, we can shorten it to an irredundant primary decomposition, which is unique since $`I`$ is a divisorial ideal. As seen above, we can shorten the representation (5) accordingly. Thus we may assume that $`P_1,\mathrm{},P_u`$ are the minimal primes of $`I`$. That the associated valuations satisfy the condition in (i), follows from their construction.

(b) is only a restatement of Proposition 1.4 under the special hypothesis made in (i).

(c) The condition guarantees that none of the $`V_i`$ can be omitted in (5), and the rest has been proved above. ∎

###### Remark 1.6.

With the appropriate modifications, the results in this section remain true if one considers an arbitrary ideal of height $`2`$ in a normal (or regular) ring and replaces the (in general non-normal) Rees algebra by its integral closure,

$$\overline{}=\underset{k=0}{\overset{\mathrm{}}{}}\overline{I^k}T^k$$

where $`\overline{I^k}`$ is the integral closure of $`I^k`$. (The ideal $`I`$ must be replaced by $`\overline{I^{k+1}}T^k`$.)

## 2. The canonical class

As in the previous section, we assume that $`I`$ is an ideal in the normal domain $`R`$ with a normal Rees algebra $`=(I)`$. Suppose further that $`R`$ is a Cohen–Macaulay residue class ring of a Gorenstein ring, and $``$ is also Cohen–Macaulay. Then $``$ has a canonical module $`\omega _{}`$ (see Bruns and Herzog \[BH\]). The canonical module is (isomorphic to) a divisorial ideal, and this allows us to find $`\omega _{}`$ by divisorial computations.

The canonical module is unique only up to tensor product with a projective rank $`1`$ module. In other words, only its residue class modulo the Picard group $`\mathrm{Pic}(R)\mathrm{Cl}(R)`$ is unique.

Let us assume for the moment (and without essential restriction for the theorem to be proved) that $`R`$ is factorial. Because of the exact sequence (1) and since $`R`$ (and, along with it, $`R[T]`$) is factorial, the class of $`\omega _{}`$ is a linear combination of the classes $`[P_i]`$,

$$[\omega _{}]=w_1[P_1]+\mathrm{}+w_t[P_t].$$

We have to determine the coefficients $`w_i`$.

Since the behavior of the class group and the canonical module under localization is easily controlled, we can first replace $`R`$ by $`R_{𝔭_i}`$ and $`I`$ by $`IR_{𝔭_i}`$ in order to compute $`w_i`$ (as above, $`𝔭_i=P_iR`$). However, in general this localization does not strip off all the other components $`[P_j]`$: those with $`𝔭_j𝔭_i`$ survive.

Therefore we need a finer instrument to isolate $`w_i`$: we pass to the subintersection $`R[T]V_i`$ (after the localization). Then we must

* determine the structure of $`R[T]V_i`$ and find its canonical class, and
* show that the canonical module is preserved under subintersection.

Let us first turn to Problem (ii). We cannot present a solution in complete generality. However, the next theorem should cover many interesting applications.

###### Theorem 2.1.

Let $`K`$ be a field, $`R`$ a normal Cohen–Macaulay $`K`$-algebra essentially of finite type over $`K`$, and $`Y\mathrm{Spec}^1(R)`$. Suppose that the subintersection $`S=_{𝔭Y}R_𝔭`$ is again essentially of finite type over $`K`$ and Cohen–Macaulay.

Then the canonical module of $`S`$ is $`(\omega _R_RS)^{}`$, where $`^{}`$ denotes the functor $`\mathrm{Hom}_S(\mathrm{\_},S)`$. In other words, the canonical class of $`S`$ is the image of $`\omega _R`$ under the natural map $`\mathrm{Cl}(R)\mathrm{Cl}(S)`$.

###### Proof.

For technical simplicity let us first assume that $`K`$ is a perfect field, and let $`\mathrm{\Omega }_{R/K}`$ be the module of Kähler differentials of $`R`$. It has been proved by Kunz \[Ku1\] that the canonical module is given by the regular differential $`r`$-forms $`\mathrm{R}_K^r(R)`$, $`r=dimR`$, and Platte and Storch \[PS\] have noticed that $`\mathrm{R}_K^r(R)`$ can be identified with the $`R`$-bidual $`\left(^r\mathrm{\Omega }_{R/K}\right)^{}`$. The same applies to $`S`$. (A proof will be given below.)

The extension $`\varphi :RS`$ gives rise to an $`R`$-linear map $`d\varphi :\mathrm{\Omega }_{R/K}\mathrm{\Omega }_{S/K}`$, and $`d\varphi `$ induces a natural $`S`$-linear map

$$\psi :\left(\stackrel{r}{}\mathrm{\Omega }_{R/K}\right)_RS\stackrel{r}{}\mathrm{\Omega }_{S/K}.$$

Let $`𝔮`$ be a height $`1`$ prime ideal of $`S`$. Then $`S_𝔮=R_{𝔮R}`$, and therefore $`\psi _SS_𝔮`$ is an isomorphism. It follows that the $`S`$-bidual extension $`\psi ^{}`$ is an isomorphism at all height $`1`$ prime ideals $`𝔮`$ of $`S`$. Since the $`S`$-biduals are reflexive, $`\psi ^{}`$ is an isomorphism itself.

The second statement about the divisor classes follows immediately, since $`(IS)^{}`$ is exactly the divisorial ideal of $`S`$ to which a divisorial ideal $`I`$ of $`R`$ extends; see \[Fo\].

If $`K`$ is not perfect (this can happen only in characteristic $`p>0`$), one replaces $`K`$ by a subfield $`K_0`$ with $`[K:K_0]<\mathrm{}`$ that is admissible in the sense of \[Ku2, 6.23\] for $`R`$, $`S`$ and regular $`K`$-algebras $`A`$ and $`B`$ essentially of finite type for which there exist presentations $`R=A/I`$ and $`S=B/J`$. All the algebras involved are then essentially of finite type over $`K_0`$, too.

Let us now show that $`\left(^r\mathrm{\Omega }_{R/K_0}\right)^{}`$ is the canonical module of $`R`$. To this end we let $`[M]`$ denote the divisor class of a finitely generated $`R`$-module: $`[M]`$ is the isomorphism class of $`\left(^nM\right)^{}`$ where $`n=\mathrm{rank}M`$.

We use the complex

$$0I/I^2\mathrm{\Omega }_{A/K_0}_AR\mathrm{\Omega }_{R/K_0}0$$

that is exact at the right and in the middle and exact in $`I/I^2`$ at all prime ideals $`𝔭`$ for which $`R_𝔭`$ is regular. Moreover $`I/I^2`$ is free at such $`𝔭`$ of rank $`c=\mathrm{ht}I`$ (see \[Ku2\]). By divisorial calculation,

$$[I/I^2]=[\mathrm{\Omega }_{R/K_0}],$$

since $`\mathrm{\Omega }_{A/K_0}_AR`$ is a free module, and so has class $`0`$. Finally, by Herzog and Vasconcelos \[HV, Lemma\], $`[\omega _R]=[I/I^2]`$. ∎

Before we state and prove the main result, let us single out a very special case.

###### Proposition 2.2.

Let $`R`$ be a regular local ring with maximal ideal $`𝔪`$. Then the Rees algebra $`_k=(𝔪^k)`$ is normal and Cohen–Macaulay. Its canonical module is unique up to isomorphism and has class $`(kdimR+1)[P_k]=[𝔪^k_k](dimR1)[P_k]`$ where $`P_k=𝔪_k`$ is the only divisorial ideal of $`_k`$ containing $`𝔪^k_k`$.

###### Proof.

By Proposition 1.3 one has $`\mathrm{Pic}(_k)=0`$, hence the uniqueness of the canonical module.

For the equation $`P_k=𝔪_k`$ it is enough to show that $`𝔪_k`$ is a prime ideal of height $`1`$. This follows immediately from the fact that $`_k/𝔪_k`$ is the $`k`$th Veronese subring of the associated graded ring of $`R`$ with respect to $`𝔪`$, a polynomial ring over the field $`R/𝔪`$.

Let $`x_1,\mathrm{},x_r`$, $`r=dimR`$, be a regular system of parameters and set

$$J_k=\left(x_1\mathrm{}x_rTR[T]\right)P_k.$$

We know that $`[P_k]`$ generates $`\mathrm{Cl}(_k)`$, and $`TR[T]_k=𝔪^kT_k𝔪^k_k`$. Furthermore $`(x_iR[T])_k`$ has divisor class $`[P_k]`$. In fact $`x_i_k=x_iR[T]P_k`$, since $`x_iR[T]_k`$ and $`P_k`$ are the only divisorial prime ideals of $`_k`$ containing the prime element $`x_i`$ of $`R[T]`$ (see Lemma 1.2); moreover, $`x_i`$ obviously has value $`1`$ under the corresponding valuations.

This shows that $`J_k`$ has the class given in the theorem, and it only remains to prove that it is the canonical module. In the case $`k=1`$ this follows immediately from Herzog and Vasconcelos \[HV\]. Before going to general $`k`$, we want to convince ourselves that $`J_1`$ is the graded canonical module of $`_1`$ in the sense of \[BH, 3.6\]. In fact, there is an exact sequence

$$0\mathrm{Hom}(_1,J_1)\mathrm{Hom}(𝔪T_1,J_1)\mathrm{Ext}_1^{}(R,J_1)0.$$

The graded canonical module of $`_1`$ is of the form $`J_1(s)`$ for some integer $`s`$. Exactly for the right choice of $`s`$, $`\mathrm{Ext}_1^{}(R,J_1(s))`$ is the graded canonical module $`\omega _R=R`$ of $`R`$ (with the trivial grading $`R_0=R`$). We have only to check that this holds with $`s=0`$. But $`\mathrm{Hom}(_1,J_1)`$ has only components of positive degree, and the degree $`0`$ component of $`\mathrm{Hom}(𝔪T_1,J_1)`$ is $`x_1\mathrm{}x_rRR`$, as desired.

For general $`k`$ we have

$$\omega __k=\omega _{(𝔪)}_k=J_1_k=J_k$$

by Goto and Watanabe \[BH, 3.6.21\] since $`_k`$ is the $`k`$th Veronese subalgebra of $`_1`$ with respect to the $`T`$-grading. ∎

We can now prove the main result.

###### Theorem 2.3.

Let $`K`$ be a field, $`R`$ be a regular domain essentially of finite type over $`K`$, and $`I`$ an ideal with a Cohen–Macaulay normal Rees algebra $`=(I)`$. Let $`P_1\mathrm{},P_t`$ be the divisorial prime ideals of $`I`$, $`I=_{i=1}^tP_i^{(d_i)}`$, and suppose that $`v_{P_i}|R=v_{𝔭_i}`$ for $`i=1,\mathrm{},t`$, with $`𝔭_i=P_iR`$. Then a module of class

$$\underset{i=1}{\overset{t}{}}(d_i+1\mathrm{ht}𝔭_i)[P_i]=[I]+\underset{i=1}{\overset{t}{}}(1\mathrm{ht}𝔭_i)[P_i]$$

is a canonical module $`\omega _{}`$ of $``$. Moreover, $``$ is Gorenstein if and only if $`d_i=\mathrm{ht}𝔭_i1`$ for all $`i=1,\mathrm{},t`$.

###### Proof.

Let $`C`$ be a module of the class given in the theorem. It is enough to show that each of its localizations $`C_𝔐`$ with respect to maximal ideals $`𝔐`$ of $``$ is a canonical module of $`_𝔐`$. Such a localization $`_𝔐`$ is a localization of $`\mathrm{R}_𝔪`$ with $`𝔪=R𝔐`$. Since the definition of $`[C]`$ commutes with localization in $`R`$ (in fact, primary decomposition commutes with such localizations), we may assume that $`R`$ is factorial. Then $`\mathrm{Cl}()=^t`$, $`\mathrm{Pic}()=0`$ (by Proposition 1.3), and we have a unique isomorphism class

$$[\omega _{}]=w_1[P_1]+\mathrm{}+w_t[P_t].$$

for the canonical module of $``$. It is enough to determine, say, $`w_1`$. We localize $`R`$ with respect to $`𝔭_1`$, and may then assume that $`R`$ is regular local with maximal ideal $`𝔪=𝔭_1`$. In the next step we pass to the subintersection $`S=R[T]V_1`$. But this subintersection is exactly $`(𝔪^{d_1})`$, as follows from Propositions 1.4 and 1.5. (Since $`𝔪`$ is a maximal ideal, its ordinary and symbolic powers coincide.)

According to Theorem 2.1 the formation of the canonical class commutes with subintersection, and so $`w_1`$ is the coefficient of the canonical module of $`(𝔪^{d_1})`$ with respect to the extension of $`P_1`$. By Proposition 2.2 this coefficient is $`d_1+1dimR`$, as desired.

Because of the splitting $`\mathrm{Cl}()=^t\mathrm{Pic}()`$, the class given in the theorem is the $`^t`$-component of any canonical module of $``$. Therefore $``$ is Gorenstein if and only if the $`^t`$-component vanishes. ∎

Often it is useful to know the graded canonical module of $``$, as we have seen in the proof of Proposition 2.2.

###### Corollary 2.4.

With the hypotheses of Theorem 2.3 suppose we can find an element $`xR`$ such that $`v_{P_i}(x)=\mathrm{ht}𝔭_i`$ for all $`i`$.

* Then

$$\omega _{}=xTR[T]P_1\mathrm{}P_t$$

is the graded canonical module of $``$ (with respect to the grading by $`T`$).
* Suppose that $`K`$ is infinite, $`R`$ is the polynomial ring over $`K`$ in $`n`$ variables, graded by total degree, $`I`$ is graded and $`x`$ is homogeneous, and choose $`x^{}R`$ such that $`\mathrm{deg}x^{}=n\mathrm{deg}x`$ and $`x^{}𝔭_i`$ for $`i=1,\mathrm{},t`$. Then $`xx^{}TR[T]P_1\mathrm{}P_t`$ is the bigraded canonical module with respect to the natural bigrading on $``$.

This follows as in the special case considered in Proposition 2.2. Note that the element $`x^{}`$ needed for (b) can always be found by prime avoidance. (If the ideal $`(X_1,\mathrm{},X_n)`$ is among the $`𝔭_i`$, we choose $`x^{}=1`$.)

An analogous statement as in (b) holds for monomial ideals. Then we can choose $`x=X_1\mathrm{}X_n`$ and obtain the multigraded canonical module of $``$. This can be proved directly from the theorem of Danilov and Stanley describing the canonical module of a normal semigroup ring (see \[BH, 6.3.5\]).

###### Example 2.5.

The following example shows that the condition on the Rees valuations in Theorem 2.3 is crucial. Let $`I`$ be the integral closure of the ideal $`(X^2,Y^3,Z^5)K[X,Y,Z]`$, $`K`$ a field. It has been noticed by Reid, Roberts, and Vitulli \[RRV\] (and can easily be checked by normaliz \[BK\]) that $`=(I)`$ is normal. A $`K`$-basis of $``$ is given by all monomials $`X^aY^bZ^cT^d`$ where $`15a+10b+6c30d0`$. In other words, $`=R[T]V_1`$, where the valuation defining $`V_1`$ is the multigraded extension of the function that takes the values $`v_1(X)=15`$, $`v_1(Y)=10`$, $`v_1(Z)=6`$ and $`v_1(T)=30`$. It follows that $`[I]=30[P_1]`$. By the theorem of Danilov and Stanley one has $`\omega _{}=XYZTR[T]P_1`$. Arguing as in the proof of Proposition 2.2 one obtains $`[\omega _{}]=(15106+30)[P_1]+[P_1]=0`$. So $``$ is a Gorenstein ring. Its canonical module is the principal ideal generated by $`XYZT`$.

###### Remark 2.6.

(a) The hypotheses of the theorem can be weakened. If we *define* the canonical module via Kähler differentials (the description used in the proof of Theorem 2.1), then the hypothesis that the Rees algebra is Cohen–Macaulay is no longer necessary. The proof of the theorem shows that the canonical module has class $`[\mathrm{\Omega }_K(R)]+_{i=1}^t(d_i+1\mathrm{ht}𝔭_i)[P_i]`$.

(b) Instead of requiring that $`(I)`$ is normal, one could consider the normalization of $`(I)`$. As indicated in Remark 1.6, $`I`$ has then to be replaced by $`\overline{I^{k+1}}T^k`$.

(c) One can generalize Theorem 2.3 in such a way that Example 2.5 is covered. The first part of its proof, namely the isolation of each $`w_i`$, does not use the hypothesis on the Rees valuations. Therefore, as soon as one can compute the canonical module of $`R[T]V_i`$ for each $`i`$, a generalization is possible. A suitable hypothesis generalizing the condition $`v_{P_i}|R=v_{𝔭_i}`$ is the following: there exists a regular system of parameters $`x_1,\mathrm{},x_m`$ of $`R_{𝔭_i}`$ such that each of the ideals $`\{xR_{𝔭_i}:v_{P_i}(x)k\}`$ is generated by monomials in $`x_1,\mathrm{},x_m`$. Then one can replace $`\mathrm{ht}𝔭_i`$ in the theorem by $`v_{P_i}(x_1\mathrm{}x_m)=_{j=1}^mv_{P_i}(x_j)`$.

However, there exist valuations that do not allow such a “monomialization”. A counterexample was communicated by D. Cutkosky.

In view of Theorem 2.3 it is not difficult to decide when the extended Rees algebra or the associated graded ring are Gorenstein. (We are grateful to S. Goto for suggesting the inclusion of the corollary.)

###### Corollary 2.7.

Suppose that $`R`$ and $`I`$ satisfy the hypothesis of Theorem 2.3. Then the extended Rees algebra $`\widehat{}=[T^1]`$ or, equivalently, the associated ring $`\mathrm{gr}_I(R)=/I`$, is Gorenstein if and only if there exist $`c_i`$, $`i=1,\mathrm{},t`$, such that

* $`c_id_i=\mathrm{ht}𝔭_i1`$ for all $`i=1,\mathrm{},t`$, and
* $`c_i=c_j`$ whenever there exists a maximal ideal $`𝔪`$ of $`R`$ with $`𝔭_i,𝔭_j𝔪`$.

###### Proof.

The Cohen–Macaulay property of $``$ is inherited by $`\widehat{}`$ and $`\mathrm{gr}_i(R)`$ (if $`R`$ is Cohen-Macaulay), as is well-known.

The Gorenstein property of $`\widehat{}`$ is local with respect to $`\mathrm{Spec}R`$, and the same holds for the associated graded ring. We can therefore assume that $`R`$ is local with maximal ideal $`𝔪`$. Then $`\mathrm{Pic}(\widehat{})=0`$, as follows by the same argument as in the proof of Proposition 1.3. Moreover, $`\widehat{}`$ is Gorenstein if and only $`\mathrm{gr}_I(R)`$ is so, since the latter is the residue class ring by the homogeneous regular element $`T^1`$.

The extended Rees algebra $`\widehat{}`$ is a subintersection of $``$, namely

$$\widehat{}=\{_Q:Q\mathrm{Spec}^1(),QIT\},$$

and we can apply Theorem 2.1. (Note that $`IT=TR[T]`$.) Thus its divisor class group is $`\mathrm{Cl}()/[IT]`$ (this was noticed in \[HSV2\]). Since $`[IT]=[I]`$, the canonical class of $`\widehat{}`$ vanishes if and only if $`[\omega _{}]`$ is a multiple of $`[I]`$. In view of the theorem this is clearly equivalent to (i) and (ii) (where in (ii) we now have $`c_i=c_j`$ for all $`i`$ and $`j`$). ∎

One should note that the extended Rees algebra (and the associated graded ring) can have non-trivial projective rank $`1`$ modules, even if $`\mathrm{Pic}(R)=0`$. (Therefore it is not possible to replace condition (ii) by the requirement that $`c_i=c_j`$ for *all* $`i`$ and $`j`$.) For example, let $`I`$ be the intersection of two maximal ideals in $`R=K[X_1,X_2]`$. Then it is easy to check by localization at the maximal ideals of $`R`$ that the extended Rees algebra is locally factorial. On the other hand it has divisor class group isomorphic to $``$, and all its divisorial ideals are projective modules.

Another interesting algebra that can be accessed through the Rees algebra is the *fiber cone* $`/𝔪`$, especially in the situation in which $`R=K[X_1,\mathrm{},X_n]`$ and $`𝔪=(X_1,\mathrm{},X_n)`$. If $`I`$ has a system of generators $`f_1,\mathrm{},f_m`$ of constant degree, then one has a natural embedding $`K[f_1,\mathrm{},f_m]`$ into $``$. Moreover, $`K[f_1,\mathrm{},f_m]`$ is isomorphic to $`/𝔪`$, and therefore a retract of $``$ (see \[Br, (2.2)\]). We refer the reader to the next section where some interesting examples will be discussed.

## 3. Applications

As mentioned in the introduction, Theorem 2.3 was inspired by the its special case derived in \[BC2\]. We will now use it in order to extend the results of \[BC2\] to other classes of determinantal ideals, and in particular to algebras generated by minors.

Let $`X`$ be one of the following types of matrices over a field $`K`$:

* an $`m\times n`$ matrix of indeterminates;
* an $`n\times n`$ symmetric matrix of indeterminates;
* an $`n\times n`$ alternating matrix of indeterminates.

By $`M_t`$ we denote the set of $`t`$-minors of $`X`$ in the cases (G) and (S) and the set of $`2t`$-pfaffians in case (A) (the $`2t`$-pfaffians are also elements of degree $`t`$). In view of the very detailed analysis of case (G) in \[BC2\] we restrict ourselves to an outline containing all the main steps.

There seems to be no single source providing simultaneously all the details of the cases (G), (S), and (A). For (G) they can be found in \[BC2\] and \[BV\], for (S) in Abeasis \[Ab\], and for (G) in Abeasis and Del Fra \[AD\] and De Negri \[DN\]. We will freely use these sources.

Let $`R=K[X]`$, $`I_t`$ be the ideal in $`R`$ generated by $`M_t`$, and $`A_t`$ the $`K`$-subalgebra generated by $`M_t`$. Set $`_t=(I_t)`$. Since the elements of $`I_t`$ have all the same degree, one has a retract

$$A_t_tA_t,$$

where the embedding $`A_t_t`$ is induced by the assignment $`ffT`$, $`fM_t`$, and the kernel of $`_tA_t`$ is $`𝔪R`$, with $`𝔪`$ denoting the irrelevant maximal ideal of $`R`$. In fact, the bigrading on $`_t`$ induces a splitting

$$_t=A_t𝔪_t.$$

(see \[Br, (2.2)\]). It follows that $`𝔪_t`$ is a prime ideal.

We assume that the characteristic of $`K`$ is *non-exceptional*, i. e. $`\mathrm{char}K=0`$ or $`\mathrm{char}K>\mathrm{min}(t,mt,nt)`$ in case (G), $`\mathrm{char}K>\mathrm{min}(t,nt)`$ in case (S), and $`\mathrm{char}K>\mathrm{min}(2t,n2t)`$ in case (A). Then

(6)
$$I_t^k=\underset{i=1}{\overset{t}{}}I_i^{(ti+1)}.$$

Moreover, if $`t<\mathrm{min}(m,n)`$, $`t<n`$, or $`2t<n1`$, respectively, the intersection is irredundant for $`k0`$; it follows that the irrelevant maximal ideal is the center of a Rees valuation, and in particular $`dimA_t=dim_t/𝔪_t=dimR`$. In the other cases the symbolic and the ordinary powers of $`I_t`$ coincide (and the canonical module of $`_t`$ has been discussed in Bruns, Simis and Trung \[BST\]).

That $`_t`$ and $`A_t`$ are Cohen–Macaulay in characteristic $`0`$ has been shown for all three types in \[Br\]. In positive non-exceptional characteristic one finds this result for (G) in \[BC1\], for (A) in Baeţica \[Ba\], and for (S) in Bruns, Römer and Wiebe \[BRW\].

As soon as $`\mathrm{ht}I_t>1`$, and this is equivalent to $`I_t`$ being non-principal, Theorem 2.3 yields the canonical class of $`_t`$. The hypothesis on the Rees valuations is satisfied in view of Proposition 1.5.

In certain cases the structure of $`A_t`$ is very easily determined or classically known:

1. If $`t=1`$, then $`A_t=R`$.
2. If $`t=m1=n1`$ in case (G), $`t=n1`$ in case (S), or $`2t=n2`$ in case (A), then $`A_t`$ is isomorphic to a polynomial ring over $`K`$. This is easily shown by comparing the Krull dimension with the number of generators.
3. If $`t=n`$ in case (S) or $`2t=n`$ in case (G), then $`A_t`$ is isomorphic to a polynomial ring over $`K`$ for trivial reasons.
4. If $`t=\mathrm{min}(m,n)`$ in case (G), then $`A_t`$ is the homogeneous coordinate ring of a Grassmannian, a factorial Cohen–Macaulay domain.
5. If $`2t=n1`$ in case (A), then $`A_t`$ is isomorphic to a polynomial ring over $`K`$ (this was observed by De Negri and follows from a theorem of Huneke \[Hu\]).

*In the following we exclude all these cases, in which the canonical class is well-known (and trivial).*

The Veronese subring $`R^{(t)}`$ can be embedded into $`R[T]`$ in the same way as $`A_t`$ into $`_t`$, namely by the assignment $`ffT`$ for all monomials of degree $`t`$. Then, inside $`_t`$, one obviously has

$$A_t=_tR^{(t)}.$$

Lemma 1.2 immediately yields a representation of $`A_t`$ as an intersection of $`R^{(t)}`$ with discrete valuations rings. As in the case (G) treated in \[BC2\], one always has the somewhat surprising equation

$$A_t=R^{(t)}V_2;$$

furthermore $`R^{(t)}`$ is the subintersection of $`A_t`$ obtained by omitting the discrete valuation ring $`V_2`$. This yields an exact sequence

$$0[𝔭]\mathrm{Cl}(A_t)\mathrm{Cl}(R^{(t)})0$$

in which $`𝔭=P_2A_t`$. The group $`\mathrm{Cl}(R^{(t)})`$ is cyclic of order $`t`$. It is not hard to show that $`\mathrm{Cl}(A_t)`$ is cyclic (of rank $`1`$), generated by the class $`[𝔮]`$ of the prime ideal $`fS[T]A_t`$, $`f`$ an arbitrary element of $`M_{t+1}`$. Moreover, $`[𝔭]=t[𝔮]`$.

We define an element $`𝒟R`$ as follows:

* $`𝒟`$ is the product of all minors of $`X`$ whose main diagonals are the parallels to $`X_{11},\mathrm{},X_{mm}`$. (Such a parallel starts in each of the $`X_{i1}`$ and $`X_{1j}`$.)
* $`𝒟`$ is the product of all minors of $`X`$, whose main diagonal is the parallel to $`X_{11},\mathrm{},X_{nn}`$ starting in one of the entries $`X_{i1}`$.
* $`𝒟`$ is the product of all pfaffians whose anti-diagonal (in the lower triangular part of $`X`$) is a parallel to the anti-diagonal of $`X`$.

The valuation associated with $`I_j`$ is always the (extension of) the function $`\gamma _j`$, as defined in De Concini, Eisenbud and Procesi \[DEP\], \[Ab\], or \[AD\], respectively. For an element $`\delta `$ of $`M_i`$ one has

$$\gamma _j(\delta )=\{\begin{array}{cc}0,\hfill & i<j,\hfill \\ ij+1,\hfill & ij.\hfill \end{array}$$

It is now an easy combinatorial exercise to compute $`\gamma _j(𝒟)`$ in all cases, and it turns out that

$$\gamma _j(𝒟)=\mathrm{ht}I_j=\{\begin{array}{cc}(mj+1)(nj+1),\hfill & \text{(G),}\hfill \\ \left(\genfrac{}{}{0pt}{}{nj+1}{2}\right),\hfill & \text{(S),}\hfill \\ \left(\genfrac{}{}{0pt}{}{nj}{2}\right),\hfill & \text{(A)}.\hfill \end{array}$$

Thus we have found elements satisfying the condition discussed in Corollary 2.4, and

$$\omega __t=𝒟TR[T]P_1\mathrm{}P_t.$$

We have the presentation $`A_t=_t/𝔪_t`$. Now, since $`𝔪_t`$ is contained in $`P_1`$, it follows that $`P_1=𝔪_t`$. The (graded) canonical module of $`A_t`$ is given by the exact sequence

$$0\mathrm{Hom}__t(_t,\omega __t)\mathrm{Hom}__t(P_1,\omega __t)\mathrm{Ext}_1^_t(A_t,\omega __t)0.$$

Let $`J`$ be the middle term. By divisorial calculation one has

$$J=\omega __t:P_1=𝒟TR[T]P_2\mathrm{}P_t.$$

and the image of $`\mathrm{Hom}__t(_t,\omega __t)=\omega __t`$ is just $`JP_1`$. So $`\omega _{A_t}=J/JP_1`$. In other words, $`\omega _{A_t}`$ is the image of $`J`$ under the epimorphism $`_tA_t`$ with kernel $`P_1`$. Since all our ideals are bigraded with respect bo the ordinary total degree in R and degree in $`T`$, we can replace the image with the intersection:

$`\omega _{A_t}`$ $`=𝒟TR[T]P_2\mathrm{}P_tA_t`$
$`=𝒟TR[T]P_2A_t.`$
The second equation follows since $`P_3,\mathrm{},P_t`$ meet $`A_t`$ in prime ideals of height $`>1`$. They are superfluous in the representation of a divisorial ideal.

As remarked above, $`P_2A_t=𝔭`$ has class $`t[𝔮]`$, and one can also compute the other term, splitting $`𝒟T`$ into its factors. The intersection $`TR[T]A_t`$ is the irrelevant maximal ideal of $`A_t`$ and can be omitted, but $`fR[T]A_t`$, $`fM_j`$, has class $`(jt)[𝔮]`$. For the case (G) this has been computed in \[BC2, 5.3\], and the other cases are completely analogous. A careful count (for (A) one should distinguish the cases $`n`$ odd and $`n`$ even) yields:

###### Theorem 3.1.

$`\omega _{A_t}=w[𝔮]`$ with

$$w=\{\begin{array}{cc}mnt(m+n),\hfill & \text{(G),}\hfill \\ \left(\genfrac{}{}{0pt}{}{n+1}{2}\right)t(n+1),\hfill & \text{(S),}\hfill \\ \left(\genfrac{}{}{0pt}{}{n1}{2}\right)2t(n1),\hfill & \text{(A).}\hfill \end{array}$$

###### Corollary 3.2.

Set $`m=n`$ in the cases *(S)* and *(A)*, $`u=t`$ in the cases *(G)* and *(S)*, and $`u=2t`$ in case *(A)*. Then $`A_t`$ is Gorenstein if and only if

$$\frac{1}{u}=\frac{1}{m}+\frac{1}{n}.$$

The reader should note that we have excluded the cases (1)–(5) above, in the theorem as well as in the corollary. In case (G) we have only reproduced the results of \[BC2\], and our derivation of Theorem 3.1 from Theorem 2.3 has been indicated in \[BC2, 5.6\]. The case of Hankel matrices contained in \[BC2\] can be treated in the same manner.