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Background. If $R$ is a commutative ring, it is easy to prove $\dim(R[T]) \geq \dim(R)+1$, where $\dim$ denotes the Krull dimension. If $R$ is Noetherian, we have equality. Every proof of this fact I'm aware of uses quite a bit of commutative algebra and non-trivial theorems such as Krull's intersection theorem. It is worth mentioning that Gelfand-Kirillov dimension satisfies $\mathrm{GK}\dim(R[T])=\mathrm{GK}\dim(R)+1$ for every $K$-algebra $R$.

T. Coquand and H. Lombardi have found a surprisingly elementary, first-order characterization of the Krull dimension that does not use prime ideals at all.

T. Coquand, H. Lombardi, A Short Proof for the Krull Dimension of a Polynomial Ring, The American Mathematical Monthly, Vol. 112, No. 9 (Nov., 2005), pp. 826-829 (4 pages)

You can read the article here. Here is a summary.

For $x \in R$ let $R_{\{x\}}$ denote the localization of $R$ at the multiplicative subset $x^{\mathbb{N}} (1+xR) \subseteq R$. Then we have

$$\qquad \dim(R) = \sup_{x \in R} \left(\dim(R_{\{x\}})+1\right)\!. \label{1}\tag{$\ast$}$$

It follows that for $k \in \mathbb{N}$ we have $\dim(R) \leq k$ if and only if for all $x_0,\dotsc,x_k \in R$ there are $a_0,\dotsc,a_k \in R$ and $m_0,\ldots,m_k \in \mathbb{N}$ such that $$x_0^{m_0} (\cdots ( x_k^{m_k} (1+a_k x_k)+\cdots)+a_0 x_0)=0.$$ You can use this to define the Krull dimension.

This new characterization of $\dim(R) \leq k$ can be seen as a statement in first-order logic (whereas the usual definition with prime ideals uses second-order logic): Use two sorts $N,R$, the usual ring operations for $R$, but also the "mixed" operation $N \times R \to R$, $(n,x) \mapsto x^n$. Every ring becomes a model of this language.

A consequence of this is a new short proof of $\dim(K[x_1,\dotsc,x_n])=n$, where $K$ is a field. Using Noether normalization and the fact that integral extensions don't change the dimension, it follows that $\dim(R\otimes_K S)=\dim(R)+\dim(S)$ if $R,S$ are finitely generated commutative $K$-algebras. In particular $\dim(R[T])=\dim(R)+1$. This could be useful for introductory courses on algebraic geometry which don't want to waste too much time with dimension theory.

Question. Can we use the characterization \eqref{1} of the Krull dimension by Coquand-Lombardi to prove the formula $$\dim(R[T])=\dim(R)+1$$ for Noetherian commutative rings $R$?

Such a proof should not use the prime ideal characterization/definition of the Krull dimension. Notice that the claim is equivalent to $\dim(R[T]_{\{f\}}) \leq \dim(R)$ for all $f \in R[T]$. I suspect that this can only work if we find a first-order property of commutative rings (with powers) which is satisfied in particular by Noetherian rings and prove the formula for these rings.

Please read this first before answering. This question is only concerned with a proof of the dimension formula using the Coquand-Lombardi characterization. If you post an answer that doesn't mention the characterization, then it's not an answer to my question and therefore offtopic. As of writing this, 20 answers have been posted, all of which have been deleted.

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    $\begingroup$ At first sight I can't see many hopes to do this as long as the characterization of the Krull dimension in that paper deals with elements instead of ideals, while the property of being noetherian relies on some properties of ideals. But who knows? $\endgroup$ Commented Apr 12, 2013 at 8:11
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    $\begingroup$ Yes. But maybe there is a first-order characterization for noetherian rings, like the one for Krull dimension? Or maybe some weaker property already suffices? I don't know. $\endgroup$ Commented Apr 12, 2013 at 9:11
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    $\begingroup$ This characterization of $\dim R\le l$ does not look like first-order to me, at least in the language of rings: it uses quantifiers over $\mathbb N$ and exponentiation with the exponent as an argument, which is not a ring operation. $\endgroup$ Commented Jul 26, 2013 at 12:35
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    $\begingroup$ Shall I ask this on mathoverflow? $\endgroup$ Commented Aug 26, 2013 at 12:43
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    $\begingroup$ MO copy of the question: mathoverflow.net/questions/172350/a-short-proof-for-dimrt-dimr1 $\endgroup$ Commented Jun 21, 2014 at 19:55

1 Answer 1

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Let $R$ be a commutative ring. For $x\in R$ write $R_{\{x\}}$ for the localization at the multiplicative set $x^{\mathbb{N}}(1+xR)\subset R$. As requested, we use the following characterization.

Coquand--Lombardi characterization. For every ring $A$, $$ \operatorname{dim}(A)=\sup_{x\in A}\bigl(\operatorname{dim}(A_{\{x\}})+1\bigr). $$ Equivalently, $\operatorname{dim}(A)\leqslant k$ if and only if for all $x_0,\dots,x_k\in A$ there exist $m_0,\dots,m_k\in\mathbb{N}$ and $a_0,\dots,a_k\in A$ such that, defining recursively $$ \begin{aligned} & E_k(y_k):=y_k^{m_k}\bigl(1+a_k y_k\bigr),\\ & E_j(y_j,\dots,y_k):=y_j^{m_j}\bigl(E_{j+1}(y_{j+1},\dots,y_k)+a_j y_j\bigr)\quad(j=k-1,\dots,0), \end{aligned} $$ one has $$ E_0(x_0,\dots,x_k)=0. $$

Claim. If $R$ is Noetherian, then $\operatorname{dim}(R[T])=\operatorname{dim}(R)+1$.

By the characterization with $A=R[T]$, it suffices to show that $\operatorname{dim}\bigl(R[T]_{\{f\}}\bigr)\leqslant \operatorname{dim}(R)$ for every $f\in R[T]$. The opposite inequality $\operatorname{dim}(R[T])\geqslant \operatorname{dim}(R)+1$ is elementary and holds for all rings.

Step 1 (monicization inside $R[T]_{\{f\}}$, no primes). Let $f(T)=a_dT^d+\cdots+a_0$ with $d\geqslant 1$ and leading coefficient $a_d$. Let $S$ be the submonoid of $R[T]$ generated by $f$ and the elements $(1+fh)$ with $h\in R[T]$, and work in the localization $B:=S^{-1}R[T]=R[T]_{\{f\}}$. If $R$ is Noetherian, the Dedekind--Mertens content formula applied to $F(U):=f(T+U)\in (R[T])[U]$ and $H(U):=(1+U)^d-1$ gives an identity $$ a_d^{N}=u\cdot f+\sum_{i} v_i\bigl((1+f h_i)^d-1\bigr), $$ for some $N\in\mathbb{N}$ and $u,v_i,h_i\in R[T]$. In $B$ the elements $f$ and each $(1+fh_i)$ are units, hence $a_d$ is a unit in $B$. Therefore $f$ is associated in $B[T]$ to a monic polynomial $p$ of the same degree, and $R[T]_{\{f\}}=R[T]\{p\}$. From now on assume $f$ is monic.

Step 2 (a monic divisor does not increase the dimension). Let $A$ be any ring and let $p\in A[T]$ be monic of degree $d\geqslant 1$. Set $C:=A[T]\{p\}$. Take arbitrary $y_0,\dots,y_k\in C$ with $k\geqslant 0$. Clear denominators: there is $s$ in the monoid generated by $p$ and the $(1+ph)$ with $h\in A[T]$ such that $z_i:=s\,y_i\in A[T]$. Divide by $p$ (possible since $p$ is monic): write $z_i=q_i p+r_i$ with $\deg r_i<d$.

Write $A_d:=A[T]/(T^d)$ and view each remainder $r_i$ in $A_d$. Using the CL characterization one checks that $\operatorname{dim}(A_d)=\operatorname{dim}(A)$ (indeed, for $x\in A$ one has $(A_d)_{\{x\}}\cong (A_{\{x\}})[T]/(T^d)$, so the supremum $\sup_x$ is unchanged). If $\operatorname{dim}(A)\leqslant k$, the CL criterion in $A_d$ applied to $r_0,\dots,r_k$ gives exponents $m_i$ and coefficients $a_i$ with $$ E_0(r_0,\dots,r_k)=0\quad\text{in }A_d. $$ Since $\deg E_0(r_0,\dots,r_k)<d$, we have $E_0(r_0,\dots,r_k)=0$ already in $A[T]$. For the same recursive expression built from $z_i=q_ip+r_i$ one has $$ E_0(z_0,\dots,z_k)=p\cdot W(T)\in (p). $$ As $z_i=s\,y_i$ and $s,p$ are units in $C$, it follows that $E_0(y_0,\dots,y_k)=0$ in $C$. This is exactly the CL condition for $\operatorname{dim}(C)\leqslant k$.

Conclusion. Given $f\in R[T]$, Step 1 reduces to the monic case and Step 2 with $A=R$ yields $\operatorname{dim}\bigl(R[T]_{\{f\}}\bigr)\leqslant \operatorname{dim}(R)$. Taking the supremum over $f$ in the Coquand--Lombardi formula for $A=R[T]$ gives $\operatorname{dim}(R[T])\leqslant \operatorname{dim}(R)+1$. The reverse inequality is elementary, hence $\operatorname{dim}(R[T])=\operatorname{dim}(R)+1$.

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