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A positive Leopoldt defect is inherited by finite extensions

Proved
Leopoldt.defect_pos_of_defect_pos

by kbuzzard · Sep 9, 2026 · Mathlib 0df444a (Lean v4.33.1)

number-theoryp-adicunits

This is part A of Remark 1 of the source.

Let ppp be a prime and let F⊆K\mathbb{F} \subseteq \mathbb{K}F⊆K be number fields with K/F\mathbb{K}/\mathbb{F}K/F a finite extension. If the Leopoldt defect of F\mathbb{F}F at ppp is positive, then so is that of K\mathbb{K}K:

DL(F)>0⟹DL(K)>0.\mathcal{D}_L(\mathbb{F}) > 0 \quad \Longrightarrow \quad \mathcal{D}_L(\mathbb{K}) > 0 .DL​(F)>0⟹DL​(K)>0.

The reason given in the source is that the linear relations between Z\mathbb{Z}Z-generators of the units of F\mathbb{F}F which arise upon ppp-adic completion are preserved under the embedding of unit groups E(F)↪E(K)E(\mathbb{F}) \hookrightarrow E(\mathbb{K})E(F)↪E(K).

This is the structural fact that makes a proof by contradiction possible at all: if the conjecture fails for some field, one may pass freely to any convenient finite extension — larger, containing prescribed roots of unity, or with prescribed ramification — and the failure persists. The source uses exactly this to move from a hypothetical counterexample to a well-adapted working base field. Contrapositively, Leopoldt's conjecture for a field implies it for every subfield.

Formalization Note Finiteness of K/F\mathbb{K}/\mathbb{F}K/F is expressed as K\mathbb{K}K being a finite-dimensional F\mathbb{F}F-vector space; both fields carry the assumption of being number fields, and K\mathbb{K}K is an F\mathbb{F}F-algebra, which is how the inclusion F⊆K\mathbb{F} \subseteq \mathbb{K}F⊆K is presented. Positivity of a natural-number defect is the same as its non-vanishing.

Preamble
import Definitions.Def_LeopoldtDefect

open NumberField
Formal statement
namespace Leopoldt
theorem defect_pos_of_defect_pos (p : ℕ) [Fact p.Prime]
    (F K : Type*) [Field F] [NumberField F] [Field K] [NumberField K]
    [Algebra F K] [FiniteDimensional F K] (h : 0 < defect p F) :
    0 < defect p K := by sorry
end Leopoldt
Source
Preda Mihailescu, On CM Z_p-extensions and the Leopoldt conjecture for CM fields, https://arxiv.org/abs/1105.4544, Section 1.3 (Plan of the proof), Remark 1 part A (LaTeX label 'shift'), p. 5: 'If K_start is a field for which D_L(K_start) > 0, then it is known that the same holds for arbitrary finite algebraic extensions K/K_start; this is noted, for instance, by Laurent in the introduction to [Lau].' Cited original: M. Laurent, Rang p-adique d'unites et action de groupes, J. reine angew. Math. 399 (1989), 81-108.
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What the Lean code literally says, in plain math · claude-opus-5

Setting and notation. Fix a natural number ppp that is assumed prime (a typeclass hypothesis asserting the primality of ppp is in force throughout). Let FFF and KKK be types, each equipped with a field structure and with the structure of a number field (a characteristic-zero field that is finite-dimensional over Q\mathbb{Q}Q). Assume in addition that KKK is an FFF-algebra and that KKK is finite-dimensional as an FFF-vector space; nothing further is assumed about the extension K/FK/FK/F (no separability, normality, or nontriviality — the case K=FK = FK=F is included, and no compatibility between the FFF-algebra structure on KKK and the canonical Q\mathbb{Q}Q-structures on FFF and KKK is imposed beyond what the algebra structure itself gives).

For a number field LLL (which will be FFF and KKK in turn), write OL\mathcal{O}_LOL​ for its ring of integers, and define the following quantities, all of which are the unfolded content of the custom definitions used in the statement.

1. The primes above ppp. Let

Sp(L)  =  { v  :  v a nonzero prime ideal of OL with p⋅1OL∈v }S_p(L) \;=\; \{\, v \;:\; v \text{ a nonzero prime ideal of } \mathcal{O}_L \text{ with } p \cdot 1_{\mathcal{O}_L} \in v \,\}Sp​(L)={v:v a nonzero prime ideal of OL​ with p⋅1OL​​∈v}

i.e. the height-one primes of the Dedekind domain OL\mathcal{O}_LOL​ that contain the image of the integer ppp. This set is finite (a finiteness instance is supplied, using that p≠0p \ne 0p=0).

2. The semilocal unit group. For v∈Sp(L)v \in S_p(L)v∈Sp​(L) let LvL_vLv​ be the completion of LLL at the vvv-adic valuation and let OLv={x∈Lv:∣x∣v≤1}\mathcal{O}_{L_v} = \{x \in L_v : |x|_v \le 1\}OLv​​={x∈Lv​:∣x∣v​≤1} be its valuation subring. Put

Up(L)  =  ∏v∈Sp(L)OLv×,U_p(L) \;=\; \prod_{v \in S_p(L)} \mathcal{O}_{L_v}^{\times},Up​(L)=v∈Sp​(L)∏​OLv​×​,

the (dependent) product of the unit groups of these local integer rings, with the pointwise group structure and the product topology, where each factor OLv×\mathcal{O}_{L_v}^{\times}OLv​×​ carries the topology induced by the embedding u↦(u,u−1)u \mapsto (u, u^{-1})u↦(u,u−1) into OLv×OLv\mathcal{O}_{L_v} \times \mathcal{O}_{L_v}OLv​​×OLv​​.

3. The "unit closure" subgroup. Let

ΔL:OL×⟶Up(L),u⟼(image of u in OLv×)v∈Sp(L)\Delta_L : \mathcal{O}_L^{\times} \longrightarrow U_p(L), \qquad u \longmapsto \big(\text{image of } u \text{ in } \mathcal{O}_{L_v}^{\times}\big)_{v \in S_p(L)}ΔL​:OL×​⟶Up​(L),u⟼(image of u in OLv​×​)v∈Sp​(L)​

be the diagonal homomorphism given componentwise by the structure map OL→OLv\mathcal{O}_L \to \mathcal{O}_{L_v}OL​→OLv​​. Define

Ep(L)  =  ⋂n≥0⟨ im⁡(ΔL)  ∪  { xp n+1:x∈Up(L) } ⟩,\mathcal{E}_p(L) \;=\; \bigcap_{n \ge 0} \Big\langle\, \operatorname{im}(\Delta_L) \;\cup\; \{\,x^{p^{\,n+1}} : x \in U_p(L)\,\} \,\Big\rangle,Ep​(L)=n≥0⋂​⟨im(ΔL​)∪{xpn+1:x∈Up​(L)}⟩,

the intersection, over all n∈Nn \in \mathbb{N}n∈N, of the subgroup of Up(L)U_p(L)Up​(L) generated by the image of the global units together with the set of p n+1p^{\,n+1}pn+1-st powers of arbitrary semilocal units. Since Up(L)U_p(L)Up​(L) is commutative, each term of the intersection is the product subgroup im⁡(ΔL)⋅Up(L)p n+1\operatorname{im}(\Delta_L) \cdot U_p(L)^{p^{\,n+1}}im(ΔL​)⋅Up​(L)pn+1, and the exponents range over p,p2,p3,…p, p^2, p^3, \dotsp,p2,p3,… (the exponent p0=1p^0 = 1p0=1 is not among them).

4. A bounded Zp\mathbb{Z}_pZp​-rank. Let Zp\mathbb{Z}_pZp​ denote the ppp-adic integers and, for n∈Nn \in \mathbb{N}n∈N, regard Zp n\mathbb{Z}_p^{\,n}Zpn​ as a group written multiplicatively, carrying the product ppp-adic topology. Define

ρp(L)  =  sup⁡{ n∈N  :  n≤[L:Q]  and  ∃ f:Zp n→Up(L) with (∗) },\rho_p(L) \;=\; \sup\Big\{\, n \in \mathbb{N} \;:\; n \le [L : \mathbb{Q}] \ \text{ and }\ \exists\, f : \mathbb{Z}_p^{\,n} \to U_p(L) \text{ with } (\ast) \,\Big\},ρp​(L)=sup{n∈N:n≤[L:Q]  and  ∃f:Zpn​→Up​(L) with (∗)},

where (∗)(\ast)(∗) requires that fff be a homomorphism of groups (no Zp\mathbb{Z}_pZp​-linearity is demanded), that fff be injective, that fff be continuous (but not necessarily a topological embedding or a homeomorphism onto its image), and that f(x)∈Ep(L)f(x) \in \mathcal{E}_p(L)f(x)∈Ep​(L) for every x∈Zp nx \in \mathbb{Z}_p^{\,n}x∈Zpn​. Here [L:Q][L:\mathbb{Q}][L:Q] is the Q\mathbb{Q}Q-dimension of LLL. The supremum is taken in N\mathbb{N}N; the defining set always contains n=0n = 0n=0 (the trivial group maps injectively and continuously, with image {1}⊆Ep(L)\{1\} \subseteq \mathcal{E}_p(L){1}⊆Ep​(L)) and is bounded above by [L:Q][L:\mathbb{Q}][L:Q], so ρp(L)\rho_p(L)ρp​(L) is the largest such nnn and satisfies 0≤ρp(L)≤[L:Q]0 \le \rho_p(L) \le [L:\mathbb{Q}]0≤ρp​(L)≤[L:Q].

5. The defect. Let r(L)=#{infinite places of L}−1r(L) = \#\{\text{infinite places of } L\} - 1r(L)=#{infinite places of L}−1 be the unit rank of LLL in the sense of Dirichlet's unit theorem (the cardinality of the set of infinite places minus one, computed with truncated natural-number subtraction), and set

dp(L)  =  r(L)  −˙  ρp(L),d_p(L) \;=\; r(L) \;\dot-\; \rho_p(L),dp​(L)=r(L)−˙​ρp​(L),

again using truncated subtraction on N\mathbb{N}N, so that dp(L)=0d_p(L) = 0dp​(L)=0 whenever ρp(L)≥r(L)\rho_p(L) \ge r(L)ρp​(L)≥r(L), and 0<dp(L)0 < d_p(L)0<dp​(L) holds exactly when ρp(L)<r(L)\rho_p(L) < r(L)ρp​(L)<r(L) strictly.

The assertion. With ppp, FFF, KKK as above, the declaration asserts the implication

0<dp(F)  ⟹  0<dp(K),0 < d_p(F) \;\Longrightarrow\; 0 < d_p(K),0<dp​(F)⟹0<dp​(K),

that is: if the unit rank of FFF strictly exceeds ρp(F)\rho_p(F)ρp​(F), then the unit rank of KKK strictly exceeds ρp(K)\rho_p(K)ρp​(K). The same prime ppp is used on both sides. The hypothesis is a strict positivity of a natural number, i.e. the defect of FFF is nonzero; the conclusion is the corresponding strict positivity for KKK. Because both quantities are differences taken with truncated subtraction, the statement carries no information about the sizes of the differences, only about whether each is nonzero.

Human review
  • Endorsed by Shuze Chen · Sep 9, 2026

  • Endorsed by kbuzzard · Sep 9, 2026

    Confirmed by the mission captain (proposal self-audit).

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