Herbrand function 2026-10-05
The Herbrand function is a continuous strictly increasing piecewise linear function on the nonnegative reals. Its inverse is denoted . It reparametrizes the lower ramification numbering to the upper ramification numbering.
Let , with normalized discrete valuations . Suppose first that is totally ramified, so . Choose a uniformizer of . The elements are linearly independent over : the nonzero terms in any proposed relation have valuations , distinct modulo , and a sum with a unique least valuation cannot vanish by the ultrametric inequality. Hence , proving .
Extend to an algebraic closure with values in . Every conjugate of has valuation , by uniqueness of the extended valuation on finite extensions of the complete field . In its monic minimal polynomial of an algebraic element , the coefficient is a sum of products of conjugates, counted with multiplicity. Thus for , so every nonleading coefficient is in . The constant coefficient is the product of all conjugates, so has valuation exactly one. This proves that is an Eisenstein polynomial. This argument also works for inseparable finite extensions, since the conjugates can be counted with their multiplicities.
Conversely let be an Eisenstein polynomial of degree , with root and . The Eisenstein criterion proves irreducibility. For completeness, monic factors would have integral coefficients; their reductions would be positive-degree powers of , so both constant coefficients would be divisible by the uniformizer of , contradicting . To determine the root valuation, put in the extended valuation. If , the leading term is the unique term of least valuation; if , the leading term again has uniquely least valuation zero. Both are impossible. If , every nonconstant lower term has valuation at least . Cancellation in therefore requires the leading term and constant term to have equal valuation:
Since and is a positive integer, . The opposite inequality follows from . Hence , , and . We have proved both the equivalence and the uniformizer assertion:
Now take with and . The translated cyclotomic polynomial is
In characteristic , putting reduces this to . Its constant coefficient over the integers is . It is therefore Eisenstein at , of degree . Consequently is totally ramified of degree , with uniformizer . If , the field is simply , a trivial totally ramified extension.
For a general positive integer with , the field generated by the prime-to- root of unity is unramified. Indeed has distinct roots modulo . In a finite unramified field whose residue field contains those roots, Hensel lemma lifts all of them uniquely. Reduction preserves their orders: a prime-to- root reducing to one must itself be one, by Hensel uniqueness at the root one of . The arithmetic Frobenius therefore acts as , and the extension degree is the multiplicative order of modulo , with degree one when .
The identity
follows by taking powers of a primitive nth root of unity and using the coprimality of in the opposite direction. The prime-to- field is unramified and the -power field is totally ramified; unramified base change preserves total ramification proves that their compositum has the same residue degree as the prime-to- field. Thus the total ramification criterion for local cyclotomic extensions gives the full classification:
This includes trivial extensions when . For only is possible.
For a finite totally ramified Galois extension with Galois group , define its lower ramification numbering by
Here is the inertia group, which equals , and is the wild inertia group. For a uniformizer the condition is equivalent to . To justify this uniformizer criterion for lower ramification groups, expand every as a convergent series with the coefficients chosen from representatives of in . Such an expansion is obtained by successive subtraction of a residue representative and division by , since total ramification gives . The automorphism fixes each , and is divisible by . Thus the required valuation bound for implies it for every , including the limit by completeness.
For , all primitive conjugates lie in and the Eisenstein degree is . Hence
If , put , so . The element is a primitive th root of unity. Applying the already proved uniformizer result to its field, and multiplying its valuation by the ramification index of over that field, gives
The identity automorphism has infinite valuation. Therefore the lower ramification filtration of a prime-power cyclotomic extension is explicitly
The order of the middle group is . At odd , has order ; at , the condition is automatic, so when . The case has trivial Galois group, and the displayed formula remains valid. For all groups are trivial. The valuation calculation also provides the upper ramification numbering, if desired, by integrating the reciprocal indices with the Herbrand function; no change of numbering is implicit in the displayed answer.
Fix a non-Archimedean local field , write , and use the arithmetic Frobenius normalization throughout: a uniformizer maps to the automorphism inducing on the maximal unramified extension. The Local Artin map, or local reciprocity map, is the canonical continuous group homomorphism
where is the maximal abelian extension inside a fixed algebraic closure with its separable part understood. Its finite projection to every finite abelian extension is onto and has kernel exactly the norm subgroup of a local field extension:
In particular, the quotient has order . This is how local class field theory turns abelian extension problems into computations inside a multiplicative group.
One precise definition of the finite reciprocity map uses the cup-product construction of local reciprocity. For a finite Galois extension with group , the local fundamental class is specified by local Brauer invariant . Cup product gives an isomorphism
The finite Local Artin map is its inverse, composed with the quotient map from . For abelian the target is itself. Taking the compatible inverse limit over finite abelian extensions defines .
The essential inputs to this cohomological construction have concrete arithmetic content. The local Brauer invariant identifies with ; restriction to multiplies the invariant by , so its kernel is cyclic of that order and has the distinguished generator . For every subgroup , Hilbert theorem 90 gives , while the same invariant calculation over the fixed field gives cyclic of order . These are the hypotheses of the algebraic cup-product isomorphism in Tate cohomology of a finite group. It is obtained by dimension shifting in group cohomology with a projective resolution of the trivial module and the extension representing the fundamental class. Thus the norm-kernel statement comes from the degree-zero definition of Tate cohomology of a finite group, rather than from an arbitrary assignment of an automorphism to each element. In an unramified extension of degree , the fundamental class is the cyclic algebra with arithmetic Frobenius generator and parameter a uniformizer; the isomorphism sends that Frobenius to the class of the uniformizer. This explains the chosen sign of reciprocity.
Several properties follow immediately from this construction. If are finite abelian extensions, restricting to gives . The Local Artin map is therefore compatible with the finite projections defining its infinite target. For any finite separable extension and , its norm compatibility is
Here is abelian, so the displayed restriction makes sense. An outline of the compatibility proof is to use the corestriction map in group cohomology: on multiplicative coefficients its degree-zero map is the norm. The cup-product projection formula, together with restriction and corestriction of the local fundamental class, gives exactly the commuting reciprocity diagram. The compatibility is an arithmetic instance of the functoriality of the cohomological definition.
The Local Artin map has dense image, because every finite abelian quotient receives a surjective map. Its kernel is trivial, and it extends to an isomorphism
where this profinite completion uses the open finite-index subgroups of the topological multiplicative group. The original map is generally not onto: on the unramified quotient it sends the integer valuation into , rather than producing every profinite integer. Its units map onto the abelian inertia group. For a finite abelian extension, the corresponding unit image is its inertia group, while the valuation accounts for its residue extension. Indeed , so the valuation quotient has order ; the full norm quotient has order , leaving unit image of order . Since unit images act trivially on the residue field, they give precisely the inertia group. More finely, the image of the higher principal-unit group in a finite abelian extension is its rth upper ramification group, for each integer . The use of upper ramification numbering is essential for compatibility with quotients.
The existence theorem of local class field theory states that every open finite-index subgroup is for a unique finite abelian extension . Inclusions are reversed: larger extensions have smaller norm subgroups. In the established reciprocity isomorphism, the proof is simply to take the fixed field of the open subgroup corresponding to . Conversely a finite extension gives an open kernel of a finite continuous projection. Uniqueness follows because that kernel specifies its fixed field. The substantive existence problem is therefore to prove that the reciprocity isomorphism realizes all open finite-index subgroups; it is not just this final fixed-field argument.
The Lubin–Tate description of local reciprocity provides an explicit route to that existence problem. Choose a uniformizer and a Lubin–Tate series , with its associated Lubin–Tate formal group . Solving successively by total degree constructs the law with linear part ; the analogous equations construct the endomorphisms with linear coefficient . The congruence supplies the divisibility needed at each step. These endomorphisms satisfy and make the torsion an -module.
If denotes the rfold iterate, the primitive level-r Lubin–Tate torsion points are roots of
Reduction modulo is , and the constant term is , so this is an Eisenstein polynomial. Its roots therefore generate a totally ramified extension of degree . A primitive point generates the entire torsion module, and all points are its images under the integral convergent endomorphisms . The torsion field is therefore a Galois extension of . The action map into is injective, and the computed degree equals the order of this unit group, proving it is an isomorphism. Passing to the inverse limit gives for the Lubin–Tate tower .
The unramified tower and are linearly disjoint field extensions: a finite common subextension would be both unramified and totally ramified, hence trivial. The Lubin–Tate description of local reciprocity on their compositum is
The inverse on the unit action goes with the arithmetic Frobenius convention; changing to geometric Frobenius inverts the whole reciprocity map. The reciprocity theorem identifies this explicit action with the finite cup-product maps, independently of the chosen uniformizer. Its proof compares the fundamental class with the norm relations between consecutive torsion fields. The construction makes the possible finite kernels concrete: on the compositum of the degree-d unramified field with the kernel is
These subgroups are cofinal among open finite-index subgroups. Indeed any such contains for sufficiently large , and contains for some positive , since the class of in has finite order. Taking the appropriate fixed subgroup in this explicit finite compositum realizes . This proves the open-subgroup part of existence once the norm compatibility of the explicit and cohomological constructions is established. Together with the finite reciprocity maps it also shows that .
As a direct check, on a finite unramified extension the construction reduces to
The earlier elementary unit-norm proof shows its kernel is exactly . At , the Lubin–Tate cyclotomic example takes and . Its torsion is , so a unit acts by . These examples exhibit both the valuation and unit parts of local reciprocity with consistent signs.
Let be a finite Galois extension of non-Archimedean local fields, with Galois group , normalized valuation , integer ring , and residue characteristic . The lower ramification numbering is
These higher ramification groups measure successively finer agreement with the identity. The group is the inertia group, the kernel of the action on the residue field. Each is normal in : conjugation permutes integral elements and preserves their valuations. The groups eventually become trivial, since each nonidentity automorphism moves some integral element and its displacement has finite valuation.
Let , the maximal unramified subextension of a local field extension. Then is the Galois group of the residue extension, cyclic and generated by a Frobenius automorphism. For a uniformizer of , the uniformizer criterion for lower ramification groups gives
To see why one uniformizer suffices, the extension is totally ramified and its integer ring is . Elements of fix its coefficients. Differences of powers of are divisible by , so the valuation bound for implies it for every integral element. The converse follows by testing itself.
The tame inertia quotient is seen explicitly from
It is a homomorphism because inertia acts trivially on the residue field, and its kernel is . Thus is cyclic of order not divisible by . For , the homomorphism
has kernel . Indeed composing two automorphisms adds the leading displacements, since and inertia fixes residue coefficients. Hence each is an elementary abelian p-group. Eventual triviality makes a p-group; the prime-to-p quotient makes it the unique Sylow subgroup of . This is the wild inertia group. Tame ramification means .
The filtration also measures the different exponent. For the totally ramified extension over , the minimal polynomial of an algebraic element of has polynomial roots , . The derivative formula gives
For a fixed , its displacement valuation is the number of indices for which it belongs to . Interchanging the finite sums therefore gives different exponent from ramification groups:
The unramified part contributes zero. More generally different in a tower follows by taking products of bases of a module dual for the trace pairing, and gives
Thus a tame extension has different exponent , while nontrivial wild groups contribute additional positive terms.
The lower numbering restricts to subgroups: if , its groups are , directly from the definition using the same top-field valuation. Quotients need a different indexing. For real put and define the Herbrand function
This upper ramification numbering stretches or compresses intervals according to the inertia indices. The quotient theorem says that for a normal subgroup , upper ramification groups commute with quotients:
In particular the same upper index has a meaning compatible with passing to a smaller Galois extension, which lower indices generally lack.
For a tame totally ramified extension the picture is simple: , all with are trivial, and the different exponent is . The extension for odd illustrates this, giving exponent .
A mixed-characteristic wild family is the lower ramification filtration of a prime-power cyclotomic extension. Take with odd and . If and modulo , then
The last equality follows because has order and its uniformizer valuation scales by the ramification index in that cyclotomic tower. The lower breaks are . Integrating the successive indices gives upper breaks .
In equal characteristic there is an equally explicit wild example. Start with and an Artin–Schreier extension
There is no polynomial root in : a negative-valuation element has , while the right side has valuation . Adjoining a polynomial root splits the polynomial, whose polynomial roots are for , so the extension is cyclic of degree . The valuation equation forces total ramification, and . Choose with and set . Then is a uniformizer. For a nonidentity automorphism ,
the first binomial coefficient is nonzero modulo , and all subsequent terms have strictly higher valuation. Therefore
This is the ramification break of an Artin–Schreier pole. It shows concretely that wild breaks, unlike tame inertia, can occur arbitrarily far out in the filtration.
The lower groups measure integral displacements, the upper groups make quotient comparison possible, and the sizes of the groups determine the different.
Choose with and put . The Eisenstein polynomial shows that has degree , is totally ramified, and has uniformizer . Its subfield is the field from the previous part. Because is odd,
Thus contains and , and contains all roots of . Conversely , while . Their coprime degrees force their compositum to have degree . It is contained in and hence equals it. Therefore is exactly the splitting field, not merely an extension containing it.
The Galois group has a normal subgroup of order , acting by . The st roots of unity already lie in by the Hensel lemma. The maps , with , supply a complement of order . Its conjugation acts faithfully on , so .
Normalize . Total ramification and the uniformizer criterion for lower ramification groups reduce the calculation to . For nonidentity ,
since and . For , write with . Its multiplier has residue , so . The lower ramification numbering is therefore
All later groups are trivial. The wild lower break is , not one. In the upper ramification numbering, the Herbrand function sends this break to : , for , and above it.
As an independent consistency check, the different exponent from ramification groups is . The derivative of the Eisenstein polynomial gives the same answer, , since .
The filtration and its meaning. Let be a finite Galois extension of non-Archimedean local fields, with group , normalized valuation , and residue fields of characteristic . The lower ramification numbering is
The higher ramification groups are normal, decrease with , and eventually become trivial: for each nonidentity automorphism some integral element is moved by a nonzero amount. The first group is the inertia group, with
Its fixed field is the maximal unramified extension inside . The wild inertia group is . For a uniformizer , there are injective homomorphisms
The kernels are the indicated next groups; the additive homomorphism assertion follows by expanding a product of automorphisms modulo . These maps show that is cyclic of order prime to , while is an -group. Thus tame ramification is exactly the case .
To calculate the groups, the uniformizer criterion for lower ramification groups says
Indeed, is generated by over the integers of the maximal unramified subextension, which fixes. Differences of powers of are divisible by , so the one test implies all the defining inequalities.
Eisenstein facts used in the calculations. For a complete discrete valuation ring with uniformizer , a monic polynomial
is an Eisenstein polynomial if for every and . The Eisenstein criterion makes it irreducible. If is a root, its valuation relative to the base normalization is , the extension has degree and ramification index , its residue field is unchanged, and
The root valuation follows by comparing the terms of its equation. The ramification index must then be at least , hence exactly . In the basis , the valuations of are distinct modulo , so an integral linear combination has every . This proves the integer-ring assertion. Conversely, a uniformizer in a totally ramified extension generates the field, and its minimal polynomial is Eisenstein; this follows from its value , equal valuations of its conjugates, and the valuation one of its norm.
For a monogenic separable integer ring , the different ideal is generated by . For a Galois extension, the different exponent from ramification groups is
In the totally ramified case these agree directly: , and an automorphism with displacement valuation contributes once to each of .
Upper numbering. Extend the lower indexing to real by , and set
On take . This Herbrand function slows the indexing as the groups shrink. Lower numbering is compatible with subgroups, while upper ramification numbering is compatible with quotients: for normal , . This is the fact that upper ramification groups commute with quotients. Thus upper breaks are particularly useful when comparing intermediate Galois extensions.
The eighth-root cyclotomic extension. Put and . The shifted cyclotomic polynomial
is Eisenstein at two. Hence is totally ramified of degree four, , and is a uniformizer. Its Galois group consists of for , and is .
Since is a unit,
For , this is the valuation of or , namely two, because their squares are units times two. For , it is . The ramification groups of the eighth-root cyclotomic extension of the 2-adic field are therefore
The lower breaks are one and three, and
Thus the upper breaks are one and two:
The different exponent from ramification groups is , agreeing with from the derivative of .
The cubic splitting field at three. Let , , and put
The polynomials
are Eisenstein at three. They give totally ramified subextensions of degrees three and two. Their intersection is the base field, so has degree six. Its ramification index is divisible by both three and two, hence equals six; therefore is totally ramified. It is the splitting field of , with Galois group .
Normalize so that . Then and , making
a uniformizer. Let and . They generate . Since ,
For the order-three automorphism,
Here is a unit and . The same calculation gives valuation two for . The three transpositions are conjugate and the defining filtration is normal, so they all have displacement valuation one. The ramification groups of the splitting field of T3 minus 2 over Q3 are
The lower breaks are zero and one. Since for ,
and the upper groups are
The different exponent from ramification groups is . As an independent check, the cubic subfield has different exponent , and the quadratic extension above it is tame with different exponent one. Transitivity of the different ideal gives , as required.
Normalize the discrete valuation on by , set , and write for its valuation ring. For a finite Galois extension of local fields, define and, for integers ,
Equivalently, is the kernel of the action on . These are the lower ramification numbering of the ramification groups. In particular, is the inertia group, the kernel of the action on the residue field, and is the wild inertia group. They form a decreasing sequence of normal subgroups, eventually trivial.
For a real index , extend by . Define the Herbrand function by
It is continuous, strictly increasing and piecewise linear; denote its inverse by . The upper ramification numbering is
The definition includes the placement of the groups at break endpoints: the group at a break is the group before the drop. Lower numbering is compatible with subgroups; upper numbering is the one compatible with quotients. In a totally ramified extension, the uniformizer criterion for lower ramification groups permits testing the defining valuation inequality on one uniformizer instead of on every integral element.
Let be a finite Galois extension of non-Archimedean local fields, let , and normalize the discrete valuation by . The lower ramification numbering is
Here is the inertia group and is the wild inertia group. For real , put ; thus for . Define the Herbrand function and its inverse by
extending on . The upper ramification numbering is for .
Let over , with its uniformizer. The Artin–Schreier polynomial has derivative in characteristic , so all its roots are distinct. If is one root and another, then , so . Conversely every , , is a root. Thus contains all roots and is a splitting field of a separable polynomial; it is Galois. Every automorphism has the form , and its Galois group embeds in the additive group of .
There is no root in . If , then cannot have negative valuation. If , the ultrametric inequality gives , divisible by , whereas is not. The Galois group is consequently nontrivial. Its order divides the prime , so
Let be the ramification index. The equation forces , and hence
As , . Since , we get , residue-field degree one, and . Thus this is a totally ramified extension, and
This is a uniformizer. The uniformizer criterion for lower ramification groups states that for a totally ramified Galois extension, exactly when . Here every nonidentity automorphism satisfies
Therefore the ramification break of an Artin–Schreier pole occurs at , and the lower groups are
This includes , where the break is one. There is no off-by-one shift: the condition is .
For the upper groups, compute the Herbrand function explicitly:
Hence the upper break is also and, with the stated real-index convention,
As a consistency check, satisfies the Eisenstein polynomial . Its derivative in characteristic is , giving different exponent , equal to from the different exponent from ramification groups.
Normalize the discrete valuation by , and put . For , define its ramification number
and set . The minimum exists: all finite values are nonnegative integers, and a nonidentity automorphism moves some integral element. The lower ramification numbering is
Thus , is the inertia group, and is the wild inertia group. This states the convention at integer endpoints as well as between them. Automorphisms preserve , so these are normal subgroups of .
Define the Herbrand function and its inverse by
The integrand is positive and piecewise constant. Since for sufficiently large , the function is continuous, strictly increasing and unbounded, and its inverse is defined on all nonnegative reals. The upper ramification numbering is
In particular, the denominator in the Herbrand integral involves , even when is not totally ramified. These conventions are also given in Milne's Class Field Theory, Chapter I, §4.
Now use the monogenic hypothesis . Since is Galois, its minimal polynomial has the distinct conjugates as roots, so
Taking valuations proves the first equality.
For every polynomial , the difference is divisible in by . Every element of is such a polynomial value, and taking the element attains the resulting lower bound. Hence
For an integer , the element lies in exactly the groups ; if , it lies in none. Summing this count over the nonidentity elements and interchanging the two finite sums gives
This proves the ramification-group sum for a monogenic integer ring. Equivalently it is the different exponent from ramification groups, since the different ideal is generated by under the same monogenic hypothesis.
For a normal subgroup of a finite local Galois group, the upper ramification numbering on its quotient is obtained by projecting the upper groups. The Herbrand function is the change of variable that ensures this compatibility. In contrast, the lower ramification numbering restricts directly to subgroups.