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The theory of F-rational signature

  • Ilya Smirnov ORCID logo EMAIL logo and Kevin Tucker ORCID logo
Published/Copyright: March 23, 2024

Abstract

F-signature is an important numeric invariant of singularities in positive characteristic that can be used to detect strong F-regularity. One would like to have a variant that rather detects F-rationality, and there are two theories that aim to fill this gap: F-rational signature of Hochster and Yao and dual F-signature of Sannai. Unfortunately, several important properties of the original F-signature are unknown for these invariants. We find a modification of the Hochster–Yao definition that agrees with Sannai’s dual F-signature and push further the united theory to achieve a complete generalization of F-signature.

Award Identifier / Grant number: RYC2020-028976-I

Award Identifier / Grant number: PID2021-125052NA-I00

Award Identifier / Grant number: EUR2023-143443

Award Identifier / Grant number: 2200716

Award Identifier / Grant number: 1602070

Funding statement: The first author was supported through the Ramon y Cajal fellowship RYC2020-028976-I, and research projects PID2021-125052NA-I00 funded by MCIN/AEI/10.13039/501100011033 and EUR2023-143443 funded by MCIN/AEI/10.13039/501100011033 and the European Union NextGenerationEU/PRTR. The second author was supported in part by NSF Grants DMS #2200716 and #1602070.

A A criterion for simultaneous injection of vector spaces

Throughout this section, we will work with vector spaces over a field 𝑘. For finite-dimensional vector spaces V , W and subspaces U V and H Hom k ( V , W ) , we denote by H ( U ) : = h H h ( U ) the total image of 𝑈 under 𝐻.

Definition A.1

We shall say that there are 𝑛 simultaneous injections from 𝑉 to 𝑊 in 𝐻 provided there exist ϕ 1 , , ϕ n H such that the induced map

Φ = ( ϕ 1 , , ϕ n ) : i = 1 n V W

is an injection. We will use MaxInj ( H ) to denote the maximal non-negative integer 𝑛 such that there are 𝑛 simultaneous injections from 𝑉 to 𝑊 in 𝐻.

Given 𝑛 simultaneous injections, for any 𝑘-vector subspace 𝑈 of 𝑉, we must have

(A.1) n dim ( U ) = dim ( Φ ( i = 1 n U ) ) = dim ( i = 1 n ϕ i ( U ) ) dim ( H ( U ) ) ,

and so n min 0 U V dim ( H ( U ) ) / dim ( U ) , where 𝑈 varies over all of the non-zero subspaces of 𝑉. The problem we seek to address here is the optimality of this upper bound, and the main technical result of this section is the following criterion.

Theorem A.2

Let 𝑘 be a field and suppose 𝑉 is a finite-dimensional vector space over 𝑘. Then there exists a positive constant 𝐶 with the following property: for any finite-dimensional vector space 𝑊 and vector subspace H Hom k ( V , W ) , we have

(A.2) 0 min 0 U V dim ( H ( U ) ) dim ( U ) MaxInj ( H ) C ,

where 𝑈 varies over all non-zero subspaces of 𝑉.

Remark A.3

Our proof will show that the constant 𝐶 appearing in Theorem A.2 can be taken to be

C = i = 1 dim ( V ) 1 i ( dim ( V ) i ) dim ( V ) = 1 6 ( dim ( V ) ) 2 ( ( dim ( V ) ) 2 1 )

independently of the ground field 𝑘. However, we believe this bound to be far from optimal. In particular, when working over an infinite field 𝑘 and using general 𝑘 linear combinations of maps in 𝐻 appropriately, we believe it is possible to exhibit a quadratic bound in terms of dim ( V ) . This should not be a surprise because new injections can appear in 𝐻 after extending from a finite field. For example, over the field F 2 = Z / 2 Z , let V = W = F 2 3 and consider the subspace

H = { A = [ 1 0 0 0 1 0 0 0 0 ] , B = [ 1 0 0 1 0 0 0 0 1 ] , A + B = [ 0 0 0 1 1 0 0 0 1 ] }

of Hom F 2 ( V , W ) . There is no injection in 𝐻, but x A + B is an injection over

F 4 = F 2 [ x ] / ( x 2 + x + 1 ) .

When dim ( V ) = 2 , we obtain a much sharper theorem.

Theorem A.4

Let 𝑘 be a field and suppose 𝑉 is a two-dimensional vector space over 𝑘. For any finite-dimensional vector space 𝑊 and vector subspace H Hom k ( V , W ) , we have

MaxInj ( H ) = min 0 U V dim ( H ( U ) ) dim ( U ) ,

where 𝑈 varies over all non-zero subspaces of 𝑉.

The following example shows that the assumption dim ( V ) = 2 is essential in Theorem A.4.

Example A.5

Let 𝑘 be an arbitrary field and set V = W = k 3 with standard basis vectors e 1 , e 2 , e 3 . Consider the linear transformations from 𝑉 to 𝑊 given by the matrices

f = [ 1 0 0 0 1 0 0 0 0 ] , g = [ 0 0 0 0 0 1 1 0 0 ] , h = [ 0 0 1 0 0 0 0 1 0 ] ,

and let 𝐻 be the linear span of f , g , h in Hom k ( V , W ) . By verifying that

det ( λ f + μ g + ν h ) = 0

for all values of λ , μ , ν , we see that there are no injections in 𝐻. Yet

min 0 U V dim ( H ( U ) ) / dim ( U ) = 1 ,

as it is easy to verify that H ( V ) = W and that dim H ( k v ) = 2 for any 0 v V .

Turning first towards a proof of Theorem A.4, we start with an elementary lemma.

Lemma A.6

Let 𝑉 and 𝑊 be two finite-dimensional vector spaces over a field 𝑘. If ϕ , ξ Hom k ( V , W ) are such that Im ϕ Im ξ = 0 , then rank ( ϕ + ξ ) rank ϕ and the inequality is strict provided there exists v ker ϕ such that ξ ( v ) 0 .

Proof

If v ker ( ϕ + ξ ) , then ϕ ( v ) = ξ ( v ) Im ϕ Im ψ = 0 . Thus we see that ker ( ϕ + ξ ) = ( ker ϕ ker ξ ) ker ϕ , and the desired inequality rank ( ϕ + ξ ) rank ϕ follows and is strict provided ker ϕ ker ξ ker ϕ . ∎

Proposition A.7

Let 𝑘 be a field, 𝑉 a two-dimensional 𝑘-vector space, and n 1 an integer. Let 𝑊 be a finite-dimensional 𝑘-vector space and 𝐻 a subspace of Hom ( V , W ) such that, for every 0 U V , we have dim H ( U ) n dim U . Then MaxInj ( H ) n , i.e., there is an injection n V W , where each component is in 𝐻.

Proof

We proceed by induction starting with n = 1 . Suppose all maps in 𝐻 have rank at most 1. Take any 0 h H and let U = ker h . By the assumption, there is g H such that g ( U ) 0 . We must have Im g = Im h , or g + h has rank 2 by Lemma A.6. Since dim H ( V ) 2 , there is f H such that Im f Im g . This gives a contradiction since either f + g or f + h must have rank 2 by Lemma A.6.

Now, assume that the n + 1 -level condition holds, i.e., dim H ( U ) ( n + 1 ) dim U for all 0 U V . By induction, we find independent injections ϕ 1 , , ϕ n . Set W = W / Im ϕ 1 . If the 𝑛-level condition holds for H Hom ( V , W ) , then there is an injection n V W by induction which then lifts to the required injection n + 1 V W .

Thus we assume that H does not satisfy the 𝑛-level condition, i.e., there is a one-dimensional subspace 𝑈 such that dim H ( U ) n 1 , forcing that dim H ( U ) = n + 1 and ϕ 1 ( V ) H ( U ) . This can only happen if ϕ 1 ( V ) + ϕ 2 ( U ) + + ϕ n ( U ) = H ( U ) since the dimensions are equal. We now pass to W ̄ = W / i = 2 n ϕ i ( V ) . For any ϕ H , we denote by ϕ ̄ the induced map V W ̄ and define H ̄ analogously. Since the original ϕ 1 , , ϕ n are independent injections, we still have that ϕ ̄ 1 ( V ) = H ̄ ( U ) . Hence dim H ̄ ( U ) = 2 and dim H ̄ ( V ) 4 . It remains to build two independent injections U W ̄ because their lifts will be independent with ϕ 2 , , ϕ n .

Let ψ ̄ be such that ϕ ̄ 1 ( V ) = H ̄ ( U ) = ψ ̄ ( U ) + ϕ ̄ 1 ( U ) . First, assume that ψ ̄ is an injection, and let v U be such that ϕ ̄ 1 ( v ) ψ ̄ ( U ) . Since dim H ̄ ( V ) 4 , there is g ̄ such that g ̄ ( V ) ψ ̄ ( V ) + ϕ ̄ 1 ( V ) . If g ̄ , ψ ̄ are independent injections, then we are done. Otherwise, clearly, g ̄ ( v ) ψ ̄ ( V ) + ϕ ̄ 1 ( V ) , so we may apply Lemma A.6 in W ̄ / ψ ( V ) to show that g ̄ + ϕ ̄ 1 and ψ ̄ are independent injections.

Last, suppose that ψ ̄ is not an injection and fix 0 e ker ψ ̄ . As dim H ̄ ( V ) 4 , there is h ̄ such that h ̄ ( V ) Im ϕ 1 = H ̄ ( U ) . By the choice of ψ ̄ , we have e U , so h ̄ ( e ) H ̄ ( U ) . If h ̄ ( U ) ϕ ̄ 1 ( U ) , then h ̄ is injective and we reduce to the previous case by replacing 𝜓 with ℎ. Otherwise, if h ̄ ( U ) ϕ ̄ 1 ( U ) , then h ̄ ( V ) ψ ̄ ( V ) = 0 , so h ̄ + ψ ̄ is injective by Lemma A.6 and we reduce to the previous case since ϕ ̄ 1 ( V ) = ( ψ ̄ + h ̄ ) ( U ) + ϕ ̄ 1 ( U ) . ∎

Proof of Theorem A.4

From (A.1), we have that n dim ( U ) dim H ( U ) for all subspaces 0 U V , and hence

n min 0 U V dim H ( U ) dim ( U ) .

Moreover, we must have dim H ( U 0 ) < ( n + 1 ) dim ( U 0 ) for some 0 U 0 V by Proposition A.7. Altogether this gives

n min 0 U V dim ( H ( U ) ) dim ( U ) dim ( H ( U 0 ) ) dim ( U 0 ) n ,

and so equality must hold throughout completing the proof. ∎

Our proof of Theorem A.2 runs similarly to the proof of Theorem A.4 above, though the requisite inductive constructions in Theorem A.9 and Corollary A.10 are quite a bit more involved than that of Proposition A.7. Additionally, the elementary result below is used to avoid using general linear combinations over finite fields.

Lemma A.8

Let U , W be vector spaces over a field 𝑘. Suppose that

ϕ 1 , , ϕ N Hom ( U , W )

are such that Φ = ( ϕ 1 , , ϕ N ) : N U W is an injection. If 𝑍 is a subspace of 𝑊 such that dim ( Z Im Φ ) = d N , then omitting some 𝑑 of the ϕ 1 , , ϕ N will yield an injection N d U W with image disjoint from 𝑍. In other words, after reordering ϕ 1 , , ϕ N , one can ensure that Z ( i = d + 1 N Im ϕ i ) = 0 .

Proof

We proceed by induction on 𝑑, noting first that the lemma is a tautology when d = 0 . Now, assume the statement holds for all 0 n < d and we have an injection

Φ = ( ϕ 1 , , ϕ N ) : N U W

and a subspace Z W with dim ( Z Im Φ ) = d N . Let 0 v ( Z Im Φ ) and denote

Φ j : = ( ϕ 1 , , ϕ ̂ j , , ϕ N ) .

Since i = 1 N Im Φ j = 0 , it follows that v Im Φ j for some 𝑗 which we may assume to be 1. In particular, Φ 1 : N 1 U W is an injection with Z Im Φ 1 Z Im Φ so that

dim ( Z Im Φ 1 ) = n d 1 N 1 .

Using the induction assumption on Φ 1 and 𝑍, it follows that we can reorder ϕ 2 , , ϕ N to achieve 0 = ( Z ( i = n + 2 N Im ϕ i ) ) ( Z ( i = d + 1 N Im ϕ i ) ) as desired. ∎

Theorem A.9

Let 𝑉 and 𝑊 be finite-dimensional vector spaces over a field 𝑘, and 𝐻 a subspace of Hom k ( V , W ) . Suppose n 0 and 1 d < dim V are integers and assume the following conditions are satisfied.

  1. There exist ϕ 1 , , ϕ n H giving an injection Φ = ( ϕ 1 , , ϕ n ) : i = 1 n V W .

  2. We have dim ( H ( U ) ) > n dim ( U ) for any non-zero subspace 0 U V .

  3. Writing m : = ( dim ( V ) d ) dim ( V ) + 1 , there exist ψ 1 , , ψ m H so that

    dim ( Im Φ + j = 1 Im ψ j ) d + dim ( Im Φ + j = 1 1 Im ψ j )

    for = 1 , , m . In other words, we have that each ψ has rank at least 𝑑 modulo Im Φ + j = 1 1 Im ψ j .

Then there are maps ϕ ̃ 1 , , ϕ ̃ n , ψ H so that Φ ̃ = ( ϕ ̃ 1 , , ϕ ̃ n ) : n V W is an injection and 𝜓 has rank at least d + 1 modulo Im Φ ̃ , i.e.,

dim ( Im ψ + i = 1 n Im ϕ ̃ i ) d + 1 + dim ( i = 1 n Im ϕ ̃ i ) .

Proof

In order to have the rank at least 𝑑 modulo Im Φ + j = 1 1 Im ψ j , each ψ must have rank at least 𝑑 modulo Im Φ . The assertion follows trivially if any ψ has rank at least d + 1 modulo Im Φ , so we may assume each ψ has rank exactly 𝑑 modulo either Im Φ or Im Φ + j = 1 1 Im ψ j .

Let W = W / Im Φ , and for any ϕ Hom k ( V , W ) , we denote by ϕ Hom k ( V , W ) the map V ϕ W W induced by the quotient. Since the rank of ψ does not change after going modulo j = 1 1 Im ψ j , we have Im ψ ( j = 1 1 Im ψ j ) = 0 for any 1 m , and in particular, Im ψ i Im ψ j = 0 for any i j . If ever ker ψ i ker ψ j for some i j , then rank ( ψ i + ψ j ) > d by Lemma A.6, and the assertion follows. Hence assume now that all of these kernels are equal, and set K = ker ψ for all 1 m .

Let 𝑈 be a vector space complement of 𝐾 in 𝑉 so that dim ( U ) = d = dim ( V ) dim ( K ) and V = U + K with U K = 0 . Observe that Im ψ = ψ ( U ) , so the restriction of each ψ to 𝑈 is injective as rank ψ = dim ( U ) = d . Moreover, setting

Ψ = ( ψ 1 , , ψ m ) : m V W ,

we similarly have that Ψ | m U is an injection as dim ( j = 1 m ψ j ( U ) ) = d m . In particular, it follows that each ψ has rank 𝑑 modulo j = 1 , j m Im ψ j , i.e., Im ψ ( j = 1 , j m Im ψ j ) = 0 . Note that we may permute ψ 1 , , ψ m as needed below while preserving our setup.

If H ( K ) Im Φ , then we will find h H and v K such that h ( v ) 0 . Since Im ψ are disjoint from each other, at most rank h dim ( V ) < m of the Im ψ can intersect Im h nontrivially, so after reordering, we may assume Im ψ 1 Im h = 0 (as in the proof of Lemma A.8). By Lemma A.6, rank ( ψ 1 + h ) > rank ψ 1 = d and the assertion follows. Thus we may assume going forward that H ( K ) Im Φ . In particular, note that this implies Im Φ 0 so we must have n 1 .

Since dim ( H ( K ) ) > n dim ( K ) , there is some h H with h ( K ) Φ ( K ) . Because

h ( K ) H ( K ) Im Φ n V

and an element of n V is in n K if and only if each of the components is in 𝐾, we may reorder the ϕ i so that

h ( K ) ( ϕ 1 ( K ) + i = 2 n Im ϕ i )

and choose v K with

h ( v ) ( ϕ 1 ( K ) + i = 2 n Im ϕ i ) .

Let

W ̄ = W / ( i = 2 n Im ϕ i ) ,

and for any ϕ Hom k ( V , W ) , we shall denote by ϕ ̄ Hom k ( V , W ̄ ) the map V ϕ W W ̄ induced by the quotient by i = 2 n Im ϕ i . It now suffices to find an injection ϕ ̄ and a map ψ ̄ that has rank d + 1 modulo ϕ ̄ . We break the rest of the proof up into two cases depending on whether we could assume that this ℎ is one of ψ i .

Case 1

There is some 1 m with ψ ( K ) Φ ( K ) , i.e., h = ψ .

Since dim ( Hom k ( K , Im ϕ ̄ 1 ) ) = dim ( K ) dim ( V ) = ( dim ( V ) d ) dim ( V ) < m , there must be a nontrivial linear combination ξ = i = 1 m α i ψ i with α 1 , , α m k not all zero and K ker ξ ̄ . If 0 u U , then ξ ( u ) = Ψ ( α 1 u , , α m u ) 0 as Ψ | m U is an injection and α j 0 for some 𝑗. Thus ξ ̄ ( u ) 0 as well, so it follows that ξ ̄ | U is an injection, rank ξ ̄ = d , and K = ker ξ ̄ . Moreover, since ker ψ ̄ K , 𝜉 cannot be a scalar multiple of ψ , and we must have that α j 0 for some j .

We will now show that ϕ : = ϕ 1 + ξ and ψ : = ψ are the required maps. Let us first check that Im ξ ̄ ( Im ϕ ̄ 1 + Im ψ ̄ ) = 0 . We already know that

Im ξ ̄ = ξ ̄ ( U ) and Im ϕ ̄ 1 + Im ψ ̄ = Im ϕ ̄ 1 + ψ ̄ ( U ) .

Thus if ξ ̄ ( u ) = ϕ ̄ 1 ( a ) + ψ ̄ ( v ) , then u , v U and ξ ̄ ( u ) ψ ̄ ( v ) Im Ψ ̄ ( m U ) Im ϕ ̄ 1 . As Ψ | m U is injective, it follows that u , v = 0 as ξ is an injection modulo ψ . Thus we conclude Im ξ ̄ ( Im ϕ ̄ 1 + Im ψ ̄ ) = 0 . In particular, we have 0 = Im ξ ̄ Im ϕ ̄ 1 , giving that ϕ ̄ = ϕ ̄ 1 + ξ ̄ is injective by applying Lemma A.6 and using that ϕ ̄ 1 is injective.

It remains to show that ψ ̄ has rank at least d + 1 modulo Im ( ϕ ̄ 1 + ξ ̄ ) . To that end, let us first check that ψ ̄ has rank at least d + 1 modulo ϕ ̄ 1 ( K ) . By our choice of v K above, we have that ψ ̄ ( v ) Im ϕ ̄ 1 ϕ ̄ 1 ( K ) . Put T = U + k v , which has dimension d + 1 . Suppose we have u U and λ k with ψ ̄ ( u + λ v ) ϕ ̄ 1 ( K ) . It follows that ψ ̄ ( u ) Im ϕ ̄ 1 , and so also ψ ( u ) = 0 , which gives u = 0 as ker ψ = K . Thus ψ ̄ ( λ v ) = λ ψ ̄ ( v ) ϕ ̄ 1 ( K ) , which yields λ = 0 as ψ ̄ ( v ) ϕ ̄ 1 ( K ) . It follows that ψ ̄ | T is injective modulo ϕ ̄ 1 ( K ) , i.e., ψ ̄ is injective on 𝑇 and ψ ̄ ( T ) ϕ ̄ 1 ( K ) = 0 . To conclude the stronger statement that ψ ̄ has rank at least d + 1 modulo Im ( ϕ ̄ 1 + ξ ̄ ) , it suffices verify Im ( ϕ ̄ 1 + ξ ̄ ) ψ ̄ ( T ) = 0 . Suppose we have some w V with ϕ ̄ 1 ( w ) + ξ ̄ ( w ) ψ ̄ ( T ) . It follows that ξ ̄ ( w ) Im ξ ̄ ( Im ϕ ̄ 1 + Im ψ ̄ ) = 0 and w ker ξ ̄ = K . Thus we must have ϕ ̄ 1 ( w ) ψ ̄ ( T ) ϕ ̄ 1 ( K ) = 0 , so that ϕ ̄ 1 ( w ) + ξ ̄ ( w ) = 0 and hence Im ( ϕ ̄ 1 + ξ ̄ ) ψ ̄ ( T ) = 0 .

Case 2

For all 1 m , ψ ( K ) Φ ( K ) = i = 1 n ϕ i ( K ) .

Since

dim ( j = 1 m ψ ̄ j ( U ) ) = dim ( j = 1 m ψ j ( U ) ) = m d ,

we see that dim ( j = 1 m ψ ̄ j ( U ) ) remains unchanged modulo Im ϕ ̄ 1 , and thus

( j = 1 m ψ ̄ j ( U ) ) Im ϕ ̄ 1 = 0 .

Set Z = h ̄ ( U ) + Im ϕ ̄ 1 . Then

Z ( j = 1 m ψ ̄ j ( U ) ) Z ( j = 1 m ψ ̄ j ( U ) ) Z ( j = 1 m ψ ̄ j ( U ) ) Im ϕ ̄ 1 Z Im ϕ ̄ 1 = h ̄ ( U ) + Im ϕ ̄ 1 Im ϕ ̄ 1 = h ( U ) ,

and in particular,

dim ( Z ( j = 1 m ψ ̄ j ( U ) ) ) dim ( h ( U ) ) dim ( U ) = d .

Applying Lemma A.8 to ψ ̄ 1 | U , , ψ ̄ m | U Hom ( U , W ̄ ) and 𝑍, it follows that, after reordering ψ 1 , , ψ m , we may assume

(A.3) Z ( j = d + 1 m ψ ̄ j ( U ) ) = ( h ̄ ( U ) + Im ϕ ̄ 1 ) ( j = d + 1 m ψ ̄ j ( U ) ) = 0 .

Since ψ ̄ d + 1 | K , , ψ ̄ m | K Hom k ( K , ϕ ̄ 1 ( K ) ) and

dim ( Hom k ( K , ϕ ̄ 1 ( K ) ) ) = ( dim ( V ) d ) 2 < m d ,

there must be a nontrivial linear combination ξ = i = d + 1 m α i ψ i with α d + 1 , , α m k not all zero and K ker ξ ̄ . If 0 u U , then ξ ( u ) = Ψ ( 0 , , 0 , α d + 1 u , , α m u ) 0 as Ψ | m U is an injection and α j 0 for some d + 1 j m . Thus ξ ̄ ( u ) 0 as well, so it follows ξ ̄ | U is an injection, rank ξ ̄ = d , and K = ker ξ ̄ . Since m dim ( V ) + 1 d + 2 , we may choose ψ with d + 1 m so that α j 0 for some d + 1 j m and j . We know ψ ̄ | U is injective as ψ | U is injective, and it follows from (A.3) that ψ ̄ ( U ) h ̄ ( U ) = 0 so that ψ ̄ + h ̄ restricts to an injection on 𝑈 by Lemma A.6. Furthermore, let us argue that

(A.4) ξ ̄ ( U ) ( ψ ̄ ( U ) + Z ) = ξ ̄ ( U ) ( ψ ̄ ( U ) + h ̄ ( U ) + Im ϕ ̄ 1 ) = 0 .

Suppose u , u , u ′′ U and w V with ξ ̄ ( u ) = ψ ̄ ( u ) + h ̄ ( u ′′ ) + ϕ ̄ 1 ( w ) . Then

ψ ̄ ( u ) + i = d + 1 m α i ψ ̄ i ( u ) Z ( j = d + 1 m ψ ̄ j ( U ) ) = 0

by (A.3), which implies

Ψ ( 0 , , 0 , α d + 1 u , , α 1 u , α u u , α + 1 u , , α m u ) = 0 ,

giving that α j u = 0 by the injectivity of Ψ | m U as j ; thus we must have u = 0 , and (A.4) follows.

We will now show that ϕ : = ϕ 1 + ξ and ψ : = ψ + h are the two required maps. Notice first that, since Im ξ ̄ Im ϕ ̄ 1 = ξ ̄ ( U ) Im ϕ ̄ 1 = 0 by (A.4) and ϕ ̄ 1 is injective, Lemma A.6 implies that ϕ ̄ 1 + ξ ̄ remains injective. To finish, we need to show that ψ ̄ + h ̄ has rank at least d + 1 modulo Im ( ϕ ̄ 1 + ξ ̄ ) . By our choice of v K above, we have that h ̄ ( v ) Im ϕ ̄ 1 ϕ ̄ 1 ( K ) . Put T = U + k v , which has dimension d + 1 . Suppose we have u U and λ K with

( ψ ̄ + h ̄ ) ( u + λ v ) Im ( ϕ ̄ 1 + ξ ̄ ) .

As V = U + K , suppose u U and w K with

( ψ ̄ + h ̄ ) ( u + λ v ) = ( ϕ ̄ 1 + ξ ̄ ) ( u + w ) .

Then, as v , w K = ker ξ ̄ and H ( K ) Im Φ , we see

ξ ̄ ( u ) = ψ ̄ ( u ) + h ̄ ( u ) + ψ ̄ ( λ v ) + h ̄ ( λ v ) ϕ ̄ 1 ( u + w ) ( ψ ̄ ( U ) + h ̄ ( U ) + Im ϕ ̄ 1 ) ,

and it follows that ξ ̄ ( u ) = 0 by (A.4), and also u = 0 because ξ ̄ | U is an injection. Rearranging once again, we have

ψ ̄ ( u ) = h ̄ ( u ) ψ ̄ ( λ v ) h ̄ ( λ v ) + ϕ ̄ 1 ( w ) h ̄ ( U ) + Im ϕ ̄ 1 = Z ,

and it follows that ψ ̄ ( u ) = 0 by (A.3), and also u = 0 because ψ ̄ | U is an injection. Using that w K and ψ ( K ) ( i = 1 n ϕ i ( K ) ) , this leaves

h ̄ ( λ v ) = ϕ ̄ 1 ( w ) ψ ̄ ( λ v ) ϕ ̄ 1 ( K ) ,

which is only possible if λ = 0 as h ( v ) ϕ ̄ 1 ( K ) . Putting all of this together, we conclude that, given u U and λ k , we have ( ψ ̄ + h ̄ ) ( u + λ v ) Im ( ϕ ̄ 1 + ξ ̄ ) only when u = 0 and λ = 0 . It follows that ψ ̄ + h ̄ restricts to an injection on 𝑇 which persists modulo Im ( ϕ ̄ 1 + ξ ̄ ) , which concludes the proof. ∎

Corollary A.10

Let 𝑉 and 𝑊 be finite-dimensional vector spaces over a field 𝑘, and 𝐻 a subspace of Hom k ( V , W ) . Suppose n 0 and 1 d dim V are integers, and assume the following conditions are satisfied.

  1. There exist ϕ 1 , , ϕ n H giving an injection ( ϕ 1 , , ϕ n ) : i = 1 n V W .

  2. We have

    dim H ( U ) n dim U + 1 + i = 1 d 1 i ( dim V i ) dim V

    for any non-zero subspace 0 U V .

Then there are maps ϕ ̃ 1 , , ϕ ̃ n , ψ H so that Φ ̃ = ( ϕ ̃ 1 , , ϕ ̃ n ) : i = 1 n V W is an injection and 𝜓 has rank at least 𝑑 modulo Im Φ ̃ , i.e.,

dim ( Im ψ + i = 1 n ϕ ̃ i ) d + dim ( i = 1 n ϕ ̃ i ) .

Proof

If d = 1 , we have dim ( H ( V ) ) n dim V + 1 = n dim ( i = 1 n Im ϕ i ) . Taking ψ H with ψ ( V ) i = 1 n Im ϕ i , we see that ϕ ̃ 1 = ϕ 1 , , ϕ ̃ n = ϕ n , ψ H give a suitable collection of maps. Proceeding inductively, assume now the conclusion holds for some d 1 . Suppose we have finite-dimensional vector spaces V , W with dim ( V ) d admitting 𝑛 simultaneous injections from 𝑉 to 𝑊 in H Hom k ( V , W ) and so that

(A.5) dim ( H ( U ) ) n dim ( U ) + 1 + i = 1 d i ( dim V i ) dim V

for any non-zero subspace 0 U V . We need to find a map in 𝐻 with rank at least d + 1 modulo the image of some 𝑛 potentially different simultaneous injections from 𝑉 to 𝑊 in 𝐻.

By our induction assumption, there are ϕ 1 ( 1 ) , , ϕ n ( 1 ) , ψ 1 H with

dim ( i = 1 n Im ϕ i ( 1 ) + Im ψ 1 ) dim ( i = 1 n Im ϕ i ( 1 ) ) + d = n dim ( V ) + d .

We proceed to define ψ 1 , , ψ H and ϕ 1 ( ) , , ϕ n ( ) H recursively until either the desired conclusion is satisfied or we reach = ( dim V d ) dim V + 1 . Assume we have

ψ 1 , , ψ 1 H and ϕ 1 ( 1 ) , , ϕ n ( 1 ) H

so that dim ( i = 1 n Im ϕ i ( 1 ) ) = n dim ( V ) and

dim ( i = 1 n Im ϕ i ( 1 ) + j = 1 Im ψ j ) dim ( i = 1 n Im ϕ i ( 1 ) + j = 1 1 Im ψ j ) + d

for all 1 < . In particular, we also have

dim ( i = 1 n Im ϕ i ( 1 ) + Im ψ ) dim ( i = 1 n Im ϕ i ( 1 ) ) + d

for any 1 < . If this inequality is ever strict, we are done as

ϕ ̃ 1 = ϕ 1 ( 1 ) , , ϕ ̃ n = ϕ n ( 1 ) , ψ = ψ H

give the desired maps, so we shall assume we have equality for all 1 < . Moreover, if we have

( ψ ( 1 ) ) 1 ( i = 1 n Im ϕ i ( 1 ) ) ( ψ ′′ ( 1 ) ) 1 ( i = 1 n Im ϕ i ( 1 ) )

for some 1 ′′ < < , Lemma A.6 gives that the rank of ψ + ψ ′′ is at least d + 1 modulo i = 1 n Im ϕ i ( 1 ) , and again, we are done with

ϕ ̃ 1 = ϕ 1 ( 1 ) , , ϕ ̃ n = ϕ n ( 1 ) , ψ = ψ + ψ ′′ H ,

giving the desired maps. Thus we may assume

K = ( ψ ( 1 ) ) 1 ( i = 1 n Im ϕ i ( 1 ) )

is independent of 1 < . Picking U to be a complement of K , we have that U has dimension 𝑑. Let

W ̄ = W / ( j = 1 1 ψ j ( U ) ) ,

and for any ϕ Hom k ( V , W ) , we shall denote by ϕ ̄ Hom k ( V , W ̄ ) the map V ϕ W W ̄ induced by quotienting out by j = 1 1 ψ j ( U ) . Note that ψ ( U ) = Im ψ modulo either

i = 1 n Im ϕ i ( 1 ) or i = 1 n Im ϕ i ( 1 ) + j = 1 1 Im ψ j

for 1 < so that

dim ( j = 1 1 ψ j ( U ) ) = ( 1 ) d .

Consider also H ̄ = { ϕ ̄ ϕ H } Hom k ( V , W ̄ ) . We have that ϕ ̄ 1 ( 1 ) , , ϕ ̄ n ( 1 ) give 𝑛 simultaneous injections from 𝑉 to W ̄ in H ̄ , and for any subspace 0 U V , we compute

dim H ̄ ( U ) dim H ( U ) dim ( i = 1 1 ψ i ( U ) ) n dim ( U ) + 1 + i = 1 d i ( dim V i ) dim V ( 1 ) d n dim ( U ) + 1 + i = 1 d 1 i ( dim V i ) dim V + ( ( dim V d ) dim V + 1 ) d n dim ( U ) + 1 + i = 1 d 1 i ( dim V i ) dim V

since ( dim V d ) dim V + 1 . Thus, by our induction assumption, there are maps

ϕ 1 ( ) , , ϕ n ( ) , ψ H

so that

dim ( i = 1 n Im ϕ ̄ i ( ) + Im ψ ̄ ) dim ( i = 1 n Im ϕ ̄ i ( ) ) + d , dim ( i = 1 n Im ϕ ̄ i ( ) ) = n dim ( V ) .

In particular, it follows that

dim ( i = 1 n Im ϕ i ( ) ) = n dim ( V ) .

If the rank of any ψ modulo i = 1 n Im ϕ i ( ) is at least d + 1 for some 1 < , we are again done, so we may assume this rank is at most 𝑑. As dim ( i = 1 n Im ϕ i ( ) ) does not change modulo j = 1 1 ψ j ( U ) , we similarly must have that

dim ( j = 1 1 ψ j ( U ) ) = ( l 1 ) d

does not change modulo i = 1 n Im ϕ i ( ) . Thus

( ψ 1 , , ψ 1 ) : j = 1 1 U W

is injective and remains so after going modulo i = 1 n Im ϕ i ( ) . Moreover, we must have that ψ ( U ) = Im ψ modulo either

i = 1 n Im ϕ i ( ) or i = 1 n Im ϕ i ( ) + j = 1 1 Im ψ j

for 1 < , and also,

dim ( i = 1 n Im ϕ i ( ) + j = 1 Im ψ j ) = dim ( i = 1 n Im ϕ i ( ) + j = 1 1 ψ j ( U ) + Im ψ ) = dim ( i = 1 n Im ϕ ̄ i ( ) + Im ψ ̄ ) dim ( i = 1 n Im ϕ ̄ i ( ) ) + d = dim ( i = 1 n Im ϕ i ( ) + j = 1 1 ψ j ( U ) ) + d = dim ( i = 1 n Im ϕ i ( ) + j = 1 1 Im ψ j ) + d .

This completes our recursive construction, as it now follows dim ( i = 1 n Im ϕ i ( ) ) = n dim ( V ) and

dim ( i = 1 n Im ϕ i ( ) + j = 1 Im ψ j ) dim ( i = 1 n Im ϕ i ( ) + j = 1 Im ψ j ) + d

for all 1 .

To finish the proof, we need only address the remaining case where the recursion above proceeded all the way to ( dim ( V ) d ) dim ( V ) + 1 . However, the desired conclusion now follows from Theorem A.9 because conditions (a) and (c) from Theorem A.9 are satisfied by ϕ 1 ( ) , , ϕ n ( ) and ψ 1 , , ψ , and condition (b) is immediate from (A.5). ∎

Corollary A.11

Let 𝑘 be an arbitrary field, let V , W be finite-dimensional vector spaces over 𝑘, and let 𝐻 be a subspace of Hom k ( V , W ) . Suppose that, for some n 0 and any 0 U V , we have

dim H ( U ) ( n 1 ) dim U + 1 + i = 1 dim V 1 i ( dim V i ) dim V .

Then there is an injection n V W where all components are in 𝐻.

Proof

We use induction on 𝑛, noting first that the base case n = 0 is trivially satisfied. Assume now that the statement holds for some n 0 and we have finite-dimensional 𝑘-vector spaces V , W and H Hom k ( V , W ) with

dim H ( U ) n dim U + 1 + i = 1 dim V 1 i ( dim V i ) dim V .

The induction hypothesis implies there exist ϕ 1 , , ϕ n H so that

( ϕ 1 , , ϕ n ) : n V W

is an injection. Applying Corollary A.10, we have ψ H with full rank modulo the image of the simultaneous injections ϕ ̃ 1 , , ϕ ̃ n H , giving an injection

( ϕ ̃ 1 , , ϕ ̃ n , ψ ) : n + 1 V W

with all components in 𝐻 as desired. ∎

Proof of Theorem A.2

Combining (A.1) and Corollary A.11, we must have

n dim ( U ) dim H ( U ) n dim ( U ) + i = 1 dim V 1 i ( dim V i ) dim V

for all subspaces 0 U V . Dividing through by dim ( U ) , it follows the constant

C : = i = 1 dim V 1 i ( dim V i ) dim V = 1 6 ( dim ( V ) ) 2 ( ( dim ( V ) ) 2 1 )

satisfies (A.2). ∎

To conclude this section, we exhibit a dual formulation of the above results that is tailored towards our desired applications.

Corollary A.12

The polynomial P ( T ) = 1 6 T 2 ( T 2 1 ) Q [ T ] is an increasing function on positive integers with the following property: for any integer n 1 , any field 𝑘, all finite-dimensional vector spaces X , Y over 𝑘, and all subspaces H Hom k ( X , Y ) so that

dim ( X / ( h H ker ( π Z h ) ) ) ( n + P ( dim Y ) ) dim Z ,

for all nontrivial quotients π Z : Y Z 0 , there exists a surjection X n Y with all components in 𝐻.

Proof

Let h 1 , , h be a basis of 𝐻. For any surjection π Z : Y Z 0 of vector spaces, observe first that

h H ker ( π Z h ) = i = 1 ker ( π Z h i ) .

Writing Φ Z for the composition

X ( h 1 , , h ) Y π Z Z ,

our assumptions give rank Φ Z ( n + P ( dim Y ) ) dim Z for all nontrivial quotients 𝑍 of 𝑌.

We let ( _ ) = Hom k ( _ , k ) and use duality for finite-dimensional vector spaces over 𝑘. Put H = { ϕ ϕ H } Hom k ( Y , X ) . For every nontrivial subspace 0 U Y , the rank of

U Y ( h 1 , , h ) X

equals the rank of Φ U and so is at least ( n + P ( dim Y ) ) dim U . It follows that

dim H ( U ) ( n + P ( dim Y ) ) dim U for all 0 U Y .

Applying Theorem A.2, we have that there exists an injection

n Y ( ϕ 1 , , ϕ n ) X for some ϕ 1 , , ϕ n H .

Dualizing yields a surjection

X ( ϕ 1 , , ϕ n ) n Y with ϕ 1 , , ϕ n H

as desired. ∎

Acknowledgements

We are indebted to Pham Hung Quy for finding and correcting a mistake in an earlier version of Proposition 3.12. We thank Mel Hochster and Yongwei Yao for many fruitful discussions and the anonymous referees for several helpful comments including a simplification of Proposition A.7.

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Received: 2023-01-02
Revised: 2024-01-16
Published Online: 2024-03-23
Published in Print: 2024-07-01

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