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⃝2013,
c Worldwide Center of Mathematics, LLC

Licensed under the Creative Commons Attribution-NonCommercial-ShareAlike

3.0 Unported License.
v. edition number for publishing purposes
ISBN 978-0-9885572-1-5
 ✣❏■▼❅■▼▲
Preface . . . . . . . . . . . . . . . . . . . . . . . . iii
1. Rings and Ideals . . . . . . . . . . . . . . . . . . . . 1
2. Prime Ideals . . . . . . . . . . . . . . . . . . . . . 7
3. Radicals . . . . . . . . . . . . . . . . . . . . . . . 11
4. Modules . . . . . . . . . . . . . . . . . . . . . . . 17
5. Exact Sequences . . . . . . . . . . . . . . . . . . . . 24
Appendix: Fitting Ideals . . . . . . . . . . . . . . . . . 30
6. Direct Limits . . . . . . . . . . . . . . . . . . . . . 35
7. Filtered Direct Limits . . . . . . . . . . . . . . . . . . 42
8. Tensor Products . . . . . . . . . . . . . . . . . . . . 48
9. Flatness . . . . . . . . . . . . . . . . . . . . . . . 54
10. Cayley–Hamilton Theorem . . . . . . . . . . . . . . . . 60
11. Localization of Rings . . . . . . . . . . . . . . . . . . 66
12. Localization of Modules . . . . . . . . . . . . . . . . . 72
13. Support . . . . . . . . . . . . . . . . . . . . . . 77
14. Krull–Cohen–Seidenberg Theory . . . . . . . . . . . . . . 84
15. Noether Normalization . . . . . . . . . . . . . . . . . 88
Appendix: Jacobson Rings . . . . . . . . . . . . . . . . 93
16. Chain Conditions . . . . . . . . . . . . . . . . . . . 96
17. Associated Primes . . . . . . . . . . . . . . . . . . . 101
18. Primary Decomposition . . . . . . . . . . . . . . . . . 106
19. Length . . . . . . . . . . . . . . . . . . . . . . . 112
20. Hilbert Functions . . . . . . . . . . . . . . . . . . . 116
Appendix: Homogeneity . . . . . . . . . . . . . . . . . 122
21. Dimension . . . . . . . . . . . . . . . . . . . . . 124
22. Completion . . . . . . . . . . . . . . . . . . . . . 130
23. Discrete Valuation Rings . . . . . . . . . . . . . . . . 138
Appendix: Cohen–Macaulayness . . . . . . . . . . . . . . 143
24. Dedekind Domains . . . . . . . . . . . . . . . . . . 148
25. Fractional Ideals . . . . . . . . . . . . . . . . . . . 152
26. Arbitrary Valuation Rings . . . . . . . . . . . . . . . . 157
Solutions . . . . . . . . . . . . . . . . . . . . . . . 162
1. Rings and Ideals . . . . . . . . . . . . . . . . . . 162
2. Prime Ideals . . . . . . . . . . . . . . . . . . . 164
3. Radicals . . . . . . . . . . . . . . . . . . . . . 166
4. Modules . . . . . . . . . . . . . . . . . . . . . 173
5. Exact Sequences . . . . . . . . . . . . . . . . . . 175
6. Direct Limits . . . . . . . . . . . . . . . . . . . 179
7. Filtered direct limits . . . . . . . . . . . . . . . . . 182
8. Tensor Products . . . . . . . . . . . . . . . . . . 185
9. Flatness . . . . . . . . . . . . . . . . . . . . . 188
10. Cayley–Hamilton Theorem . . . . . . . . . . . . . . 191
11. Localization of Rings . . . . . . . . . . . . . . . . 194

iii
iv Contents

12. Localization of Modules . . . . . . . . . . . . . . . 198

13. Support . . . . . . . . . . . . . . . . . . . . . 201
14. Krull–Cohen–Seidenberg Theory . . . . . . . . . . . . 211
15. Noether Normalization . . . . . . . . . . . . . . . 214
16. Chain Conditions . . . . . . . . . . . . . . . . . 218
17. Associated Primes . . . . . . . . . . . . . . . . . 220
18. Primary Decomposition . . . . . . . . . . . . . . . 221
19. Length . . . . . . . . . . . . . . . . . . . . . 224
20. Hilbert Functions . . . . . . . . . . . . . . . . . 226
21. Dimension . . . . . . . . . . . . . . . . . . . . 229
22. Completion . . . . . . . . . . . . . . . . . . . 232
23. Discrete Valuation Rings . . . . . . . . . . . . . . . 236
24. Dedekind Domains . . . . . . . . . . . . . . . . . 241
25. Fractional Ideals . . . . . . . . . . . . . . . . . . 243
26. Arbitrary Valuation Rings . . . . . . . . . . . . . . 245
Bibliography . . . . . . . . . . . . . . . . . . . . . . 249
Disposition of the Exercises in [3] . . . . . . . . . . . . . . . 250
Index . . . . . . . . . . . . . . . . . . . . . . . . . 253
 ✰❒❅❆❁❃❅
There is no shortage of books on Commutative Algebra, but the present book is
different. Most books are monographs, with extensive coverage. But there is one
notable exception: Atiyah and Macdonald’s 1969 classic [3]. It is a clear, concise,
and efficient textbook, aimed at beginners, with a good selection of topics. So it
has remained popular. However, its age and flaws do show. So there is need for an
updated and improved version, which the present book aims to be.
Atiyah and Macdonald explain their philosophy in their introduction. They say
their book “has the modest aim of providing a rapid introduction to the subject.
It is designed to be read by students who have had a first elementary course in
general algebra. On the other hand, it is not intended as a substitute for the more
voluminous tracts on Commutative Algebra. . . . The lecture-note origin of this book
accounts for the rather terse style, with little general padding, and for the condensed
account of many proofs.” They “resisted the temptation to expand it in the hope
that the brevity of [the] presentation will make clearer the mathematical structure
of what is by now an elegant and attractive theory.” They endeavor “to build up to
the main theorems in a succession of simple steps and to omit routine verifications.”
Their successful philosophy is wholeheartedly embraced below (it is a feature,
not a flaw!), and also refined a bit. The present book also “grew out of a course of
lectures.” That course was based primarily on their book, but has been offered a
number of times, and has evolved over the years, influenced by other publications
and the reactions of the students. Their book comprises eleven chapters, split into
forty-two sections. The present book comprises twenty-six sections; each represents
a single lecture, and is self-contained.
Atiyah and Macdonald “provided . . . exercises at the end of each chapter.” They
“provided hints, and sometimes complete solutions, to the hard” exercises. More-
over, they developed a significant amount of the main content in the exercises. By
contrast, in the present book, the exercises are integrated into the development,
and complete solutions are given at the end of the book. Doing so lengthened the
book considerably. In particular, it led to the addition of appendices on Fitting
Ideals and on Cohen–Macaulayness. (All four appendices elaborate on important
issues arising in the main text.)
There are 324 exercises below. They include about half the exercises in Atiyah
and Macdonald’s book; eventually, all will be handled. The disposition of those
exercises is indicated in a special index preceding the main index. The 324 also
include many exercises that come from other publications and many that originate
here. Here the exercises are tailored to provide a means for students to check, to
solidify, and to expand their understanding of the material. The exercises are inten-
tionally not difficult, tricky, or involved. Rarely do they introduce new techniques,
although some introduce new concepts and many statements are used later.
Students are encouraged to try to solve each and every exercise, and to do so
before looking up its solution. If they become stuck, then they should review the
relevant material; if they remain stuck, then they should change tack by studying
the given solution, possibly discussing it with others, but always making sure they
can eventually solve the whole exercise entirely on their own. In any event, students
v
vi Preface

should read the given solution, even if they think they already know it, just to make
sure; also, some exercises provide enlightening alternative solutions.
Instructors are encouraged to examine their students, possibly orally at a black-
board, possibly via written tests, on a small, randomly chosen subset of all the
exercises that have been assigned over the course of the term for the students to
write up in their own words. For use during each exam, instructors should provide
students with a special copy of the book that does include the solutions.
Atiyah and Macdonald explain that “a proper treatment of Homological Algebra
is impossible within the confines of a small book; on the other hand, it is hardly
sensible to ignore it completely.” So they “use elementary homological methods —
exact sequence, diagrams, etc. — but . . . stop short of any results requiring a deep
study of homology.” Again, their philosophy is embraced and refined in the present
book. Notably, below, elementary methods are used, not Tor’s as they do, to prove
the Ideal Criterion for flatness, and to relate flat modules and free modules over
local rings. Also, projective modules are treated below, but not in their book.
In the present book, Category Theory is a basic tool; in Atiyah and Macdonald’s,
it seems like a foreign language. Thus they discuss the universal (mapping) property
(UMP) of localization of a ring, but provide an ad hoc characterization. They also
prove the UMP of tensor product of modules, but do not name it this time. Below,
the UMP is fundamental: there are many standard constructions; each has a UMP,
which serves to characterize the resulting object up to unique isomorphism owing
to one general observation of Category Theory. For example, the Left Exactness of
Hom is viewed simply as expressing in other words that the kernel and the cokernel
of a map are characterized by their UMPs; by contrast, Atiyah and Macdonald
prove the Left Exactness via a tedious elementary argument.
Atiyah and Macdonald prove the Adjoint-Associativity Formula. They note it
says that Tensor Product is the left adjoint of Hom. From it and the Left Exactness
of Hom, they deduce the Right Exactness of Tensor Product. They note that this
derivation shows that any “left adjoint is right exact.” More generally, as explained
below, this derivation shows that any left adjoint preserves arbitrary direct limits,
ones indexed by any small category. Atiyah and Macdonald consider only direct
limits indexed by a directed set, and sketch an ad hoc argument showing that tensor
product preserves direct limit. Also, arbitrary direct sums are direct limits indexed
by a discrete category (it is not a directed set); hence, the general result yields that
Tensor Product and other left adjoints preserve arbitrary Direct Sum.
Below, left adjoints are proved unique up to unique isomorphism. Therefore,
the functor of localization of a module is canonically isomorphic to the functor of
tensor product with the localized base ring, as both are left adjoints of the same
functor, Restriction of Scalars from the localized ring to the base ring. There is an
alternative argument. Since Localization is a left adjoint, it preserves Direct Sum
and Cokernel; whence, it is isomorphic to that tensor-product functor by Watts
Theorem, which characterizes all tensor-product functors as those linear functors
that preserve Direct Sum and Cokernel. Atiyah and Macdonald’s treatment is ad
hoc. However, they do use the proof of Watts Theorem directly to show that,
under the appropriate conditions, Completion of a module is Tensor Product with
the completed base ring.
Below, Direct Limit is also considered as a functor, defined on the appropriate
category of functors. As such, Direct Limit is a left adjoint. Hence, direct limits
 Preface vii

preserve other direct limits. Here the theory briefly climbs to a higher level of
abstraction. The discussion is completely elementary, but by far the most abstract
in the book. The extra abstraction can be difficult, especially for beginners.
Below, filtered direct limits are treated too. They are closer to the kind of limits
treated by Atiyah and Macdonald. In particular, filtered direct limits preserve
exactness and flatness. Further, they appear in the following lovely form of Lazard’s
Theorem: in a canonical way, every module is the direct limit of free modules of
finite rank; moreover, the module is flat if and only if that direct limit is filtered.
Atiyah and Macdonald treat primary decomposition in a somewhat dated fashion.
First, they study primary decompositions of ideals in rings. Then, in the exercises,
they indicate how to translate the theory to modules. The decompositions need not
exist, as the rings and modules need not be Noetherian. Associated primes play a
secondary role: they are defined as the radicals of the primary components, and then
characterized as the primes that are the radicals of annihilators of elements. Finally,
they prove that, when the rings and modules are Noetherian, decompositions exist
and the associated primes are annihilators. To prove existence, they use irreducible
modules. Nowadays, associated primes are normally defined as prime annihilators
of elements, and studied on their own at first; sometimes, as below, irreducible
modules are not considered at all in the main development.
There are several other significant differences between Atiyah and Macdonald’s
treatment and the one below. First, the Noether Normalization Lemma is proved
below in a stronger form for nested sequences of ideals; consequently, for algebras
that are finitely generated over a field, dimension theory can be developed directly
without treating Noetherian local rings first. Second, in a number of results below,
the modules are assumed to be finitely presented over an arbitrary ring, rather than
finitely generated over a Noetherian ring. Third, there is an elementary treatment
of regular sequences below and a proof of Serre’s Criterion for Normality. Fourth,
below, the Adjoint-Associativity Formula is proved over a pair of base rings; hence,
it yields both a left and a right adjoint to the functor of restriction of scalars.
The present book is a second beta edition. Please do the community a service
by sending the authors comments and corrections. Thanks!

Allen B. Altman and Steven L. Kleiman

31 August 2013
This page is intentionally blank!
 ✑✎ ✲❉■❇▲ ❁■❄ ✩❄❅❁●▲
We begin by reviewing basic notions and conventions to set the stage. Through-
out this book, we emphasize universal mapping properties (UMPs); they are used
to characterize notions and to make constructions. So, although polynomial rings
and residue rings should already be familiar in other ways, we present their UMPs
immediately, and use them extensively. We close this section with a brief treatment
of idempotents and the Chinese Remainder Theorem.
(1.1) (Rings). | Recall that a ring R is an abelian group, written additively,
with an associative multiplication that is distributive over the addition.
Throughout this book, every ring has a multiplicative identity, denoted by 1.
Further, every ring is commutative (that is, xy = yx in it), with an occasional
exception, which is always marked (normally, it’s a ring of matrices).
As usual, the additive identity is denoted by 0. Note that, for any x in R,
x · 0 = 0;
indeed, x · 0 = x(0 + 0) = x · 0 + x · 0, and x · 0 can be canceled by adding −(x · 0).
We allow 1 = 0. If 1 = 0, then R = 0; indeed, x = x · 1 = x · 0 = 0 for any x.
A unit is an element u with a reciprocal 1/u such that u·1/u = 1. Alternatively,
1/u is denoted u−1 and is called the multiplicative inverse of u. The units form
a multiplicative group, denoted R× .
For example, the ordinary integers form a ring Z, and its units are 1 and −1.
A ring homomorphism, or simply a ring map, φ : R → R′ is a map preserving
sums, products, and 1. Clearly, φ(R× ) ⊂ R′× . We call φ an isomorphism if it is
bijective, and then we write φ : R −→ ∼ R′ . We call φ an endomorphism if R′ = R.

We call φ an automorphism if it is bijective and if R′ = R.

If there is an unnamed isomorphism between rings R and R′ , then we write
R = R′ when it is canonical; that is, it does not depend on any artificial choices,
so that for all practical purposes, R and R′ are the same — they are just copies of
each other. For example, the polynomial rings R[X] and R[Y ] in variables X and
Y are canonically isomorphic when X and Y are identified. (Recognizing that an
isomorphism is canonical can provide insight and obviate verifications. The notion
is psychological, and depends on the context.) Otherwise, we write R ≃ R′ .
A subset R′′ ⊂ R is a subring if R′′ is a ring and the inclusion R′′ ,→ R a ring
map. For example, given a ring map φ : R → R′ , its image Im(φ) := φ(R) is a
subring of R′ .
An R-algebra is a ring R′ that comes equipped with a ring map φ : R → R′ ,
called the structure map. An R-algebra homomorphism, or R-algebra map,
R′ → R′′ is a ring map between R-algebras compatible with their structure maps.
(1.2) (Boolean rings). | The simplest nonzero ring has two elements, 0 and 1. It
is unique, and denoted F2 .
Given any ring R and any set X, let RX denote the set of functions f : X → R.
Then RX is, clearly, a ring under valuewise addition and multiplication.
For example, take R := F2 . Given f : X → R, put S := f −1 {1}. Then f (x) = 1
if x ∈ S, and f (x) = 0 if x ∈
/ S; in other words, f is the characteristic function
χS . Thus the characteristic functions form a ring, namely, FX 2 .

1
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2 Rings and Ideals (1.4)

Given T ⊂ X, clearly χS · χT = χS∩T . Further, χS + χT = χS△T , where S△T

is the symmetric difference:
S△T := (S ∪ T ) − (S ∩ T ) = (S − T ) ∪ (T − S);
here S − T denotes, as usual, the set of elements of S not in T . Thus the subsets
of X form a ring: sum is symmetric difference, and product is intersection. This
ring is canonically isomorphic to FX2 .
A ring B is said to be Boolean if f 2 = f for all f ∈ B. Clearly, FX
2 is Boolean.
Suppose X is a topological space, and give F2 the discrete topology; that is,
every subset is both open and closed. Consider the continuous functions f : X → F2 .
Clearly, they are just the χS where S is both open and closed. Clearly, they form
a Boolean subring of FX 2 . Conversely, Stone’s Theorem (13.25) asserts that every
Boolean ring is canonically isomorphic to the ring of continuous functions from a
compact Hausdorff topological space X to F2 , or equivalently, isomorphic to the ring
of open and closed subsets of X.

(1.3) (Polynomial rings). | Let R be a ring, P := R[X1 , . . . , Xn ] the polynomial

ring in n variables (see [2, pp. 352–3] or [8, p. 268]). Recall that P has this Uni-
versal Mapping Property (UMP): given a ring map φ : R → R′ and given an
element xi of R′ for each i, there is a unique ring map π : P → R′ with π|R = φ
and π(Xi ) = xi . In fact, since π is a ring map, necessarily π is given by the formula:
(∑ ) ∑
π a(i1 ,...,in ) X1i1 · · · Xnin = φ(a(i1 ,...,in ) )xi11 · · · xinn .

In other words, P is universal among R-algebras equipped with a list of n elements:

P is one, and it maps uniquely to any other.
Similarly, let P ′ := R[{Xλ }λ∈Λ ] be the polynomial ring in an arbitrary list of
variables: its elements are the polynomials in any finitely many of the Xλ ; sum and
product are defined as in P . Thus P ′ contains as a subring the polynomial ring
in any finitely many Xλ , and P ′ is the union of these subrings. Clearly, P ′ has
essentially the same UMP as P : given φ : R → R′ and given xλ ∈ R′ for each λ,
there is a unique π : P ′ → R′ with π|R = φ and π(Xλ ) = xλ .

(1.4) (Ideals). | Let R be a ring. Recall that a subset a is called an ideal if

(1) 0 ∈ a,
(2) whenever a, b ∈ a, also a + b ∈ a, and
(3) whenever x ∈ R and a ∈ a, also xa ∈ a.
Given elements aλ ∈ R for λ ∈ Λ, by the ideal ⟨aλ ⟩λ∈Λ they generate, we mean
the smallest ideal containing them all. If Λ = ∅, then this ideal consists just of 0.
∑
Any ideal containing all the aλ contains any (finite) linear
∑ combination xλ aλ
with xλ ∈ R and almost all 0. Form the set a, or Raλ , of all such linear
combinations; clearly, a is an ideal containing all aλ . Thus a is the ideal generated
by the aλ .
Given a single element a, we say that the ideal ⟨a⟩ is principal. By the preceding
observation, ⟨a⟩ is equal to the set of all multiples xa with x ∈ R.
Similarly,
∑ given ideals aλ of R, by the ideal∑they generate, we mean the smallest
ideal aλ that contains
∑ them all. Clearly, aλ is equal to the set of all finite
linear combinations xλ aλ with xλ ∈ R and aλ ∈ aλ .
 Rings and Ideals (1.6) 3

Given two ideals a and b, consider these three nested sets:

a + b := {a + b | a ∈ a and b ∈ b},
a ∩ b := {a | a ∈ a and a ∈ b},
∑
ab := { ai bi | ai ∈ a and bi ∈ b}.
They are clearly ideals. They are known as the sum, intersection, and product
of a and b. Further, for any ideal c, the distributive law holds: a(b + c) = ab + ac.
Let a be an ideal. Then a = R if and only if 1 ∈ a. Indeed, if 1 ∈ a, then
x = x · 1 ∈ a for every x ∈ R. It follows that a = R if and only if a contains a
unit. Further, if ⟨x⟩ = R, then x is a unit, since then there is an element y such
that xy = 1. If a ̸= R, then a is said to be proper.
Let φ : R → R′ be a ring map. Let aR′ denote the ideal of R′ generated by φ(a);
we call aR′ the extension of a. Let a′ be an ideal of R′ . Clearly, the preimage
φ−1 (a′ ) is an ideal of R; we call φ−1 (a′ ) the contraction of a′ .
Exercise (1.5). | Let φ : R → R′ be a map of rings, a an ideal of R, and b an
ideal of R′ . Set ae := φ(a)R′ and bc := φ−1 (b). Prove these statements:
(1) Then aec ⊃ a and bce ⊂ b. (2) Then aece = ae and bcec = bc .
c
(3) If b is an extension, then b is the largest ideal of R with extension b.
(4) If two extensions have the same contraction, then they are equal.
(1.6) (Residue rings). | Let φ : R → R′ be a ring map. Recall its kernel Ker(φ)
is defined to be the ideal φ−1 (0) of R. Recall Ker(φ) = 0 if and only if φ is injective.
Conversely, let a be an ideal of R. Form the set of cosets of a:
R/a := {x + a | x ∈ R}.
Recall that R/a inherits a ring structure, and is called the residue ring (or
quotient ring or factor ring) of R modulo a. Form the quotient map
κ : R → R/a by κx := x + a.
The element κx ∈ R/a is called the residue of x. Clearly, κ is surjective, κ is a
ring map, and κ has kernel a. Thus every ideal is a kernel!
Note that Ker(φ) ⊃ a if and only if φa = 0.
Recall that, if Ker(φ) ⊃ a, then there is a ring map ψ : R/a → R′ with ψκ = φ;
that is, the following diagram is commutative:
R
κ / R/a
ψ
φ
$
R′
Conversely, if ψ exists, then Ker(φ) ⊃ a, or φa = 0, or aR′ = 0, since κa = 0.
Further, if ψ exists, then ψ is unique as κ is surjective.
Finally, as κ is surjective, if ψ exists, then ψ is surjective if and only if φ is so.
In addition, then ψ is injective if and only if a = Ker(φ). Hence then ψ is an
isomorphism if and only if φ is surjective and a = Ker(φ). Therefore, always
∼ Im(φ).
R/ Ker(φ) −→ (1.6.1)
In practice, it is usually more productive to view R/a not as a set of cosets,
but simply as another ring R′ that comes equipped with a surjective ring map
φ : R → R′ whose kernel is the given ideal a.
Finally, R/a has, as we saw, this UMP: κ(a) = 0, and given φ : R → R′ such that
4 Rings and Ideals (1.10)

φ(a) = 0, there is a unique ring map ψ : R/a → R′ such that ψκ = φ. In other

words, R/a is universal among R-algebras R′ such that aR′ = 0.
Above, if a is the ideal generated by elements aλ , then the UMP can be usefully
rephrased as follows: κ(aλ ) = 0 for all λ, and given φ : R → R′ such that φ(aλ ) = 0
for all λ, there is a unique ring map ψ : R/a → R′ such that ψκ = φ.
The UMP serves to determine R/a up to unique isomorphism. Indeed, say R′ ,
equipped with φ : R → R′ , has the UMP too. Then φ(a) = 0; so there is a unique
ψ : R/a → R′ with ψκ = φ. And κ(a) = 0; so there is a unique ψ ′ : R′ → R/a with
ψ ′ φ = κ. Then, as shown, (ψ ′ ψ)κ = κ, but 1 ◦ κ = κ where 1

7 R/a
κ
 ψ
R
φ
/ R′ 1
ψ′

'  
κ

R/a
is the identity map of R/a; hence, ψ ′ ψ = 1 by uniqueness. Similarly, ψψ ′ = 1 where
1 now stands for the identity map of R′ . Thus ψ and ψ ′ are inverse isomorphisms.
The preceding proof is completely formal, and so works widely. There are many
more constructions to come, and each one has an associated UMP, which therefore
serves to determine the construction up to unique isomorphism.
Exercise (1.7). | Let R be a ring, a an ideal, and P := R[X1 , . . . , Xn ] the
polynomial ring. Prove P/aP = (R/a)[X1 , . . . , Xn ].
Proposition (1.8). | Let R be a ring, P := R[X] the polynomial ring in one
variable, a ∈ R, and π : P →
/ R the R-algebra map defined by π(X) := a. Then
∼ R.
Ker(π) = ⟨X − a⟩, and R[X] ⟨X − a⟩ −→
Proof: Given F (X) ∈ P , the Division Algorithm yields F (X) = G(X)(X−a)+b
with G(X) ∈ P and/b ∈ R. Then π(F (X)) = b. Hence Ker(π) = ⟨X − a⟩. Finally,
∼ R.
(1.6.1) yields R[X] ⟨X − a⟩ −→ □
(1.9) (Nested ideals). | Let R be a ring, a an ideal, and κ : R → R/a the quotient
map. Given an ideal b ⊃ a, form the corresponding set of cosets of a:
b/a := {b + a | b ∈ b} = κ(b).
Clearly, b/a is an ideal of R/a. Also b/a = b(R/a).
Clearly, the operations b 7→ b/a and b′ 7→ κ−1 (b′ ) are inverse to each other, and
establish a bijective correspondence between the set of ideals b of R containing a and
the set of all ideals b′ of R/a. Moreover, this correspondence preserves inclusions.
Given an ideal b ⊃ a, form the composition of the quotient maps
/
φ : R → R/a → (R/a) (b/a).
Clearly, φ is surjective, and Ker(φ) = b. Hence, owing to (1.6), φ factors through
the canonical isomorphism ψ in this commutative diagram:
R −−−−−→ R/b
 
 
y ψ y≃
/
R/a −→ (R/a) (b/a)
 Rings and Ideals (1.17) 5

Exercise (1.10). | Let R be ring, and P := R[X1 , . . . , Xn ] the polynomial ring.

Let m ≤ n and a1 , . . . , am ∈ R. Set p := ⟨X1 − a1 , . . . , Xm − am ⟩. Prove that
P/p = R[Xm+1 , . . . , Xn ].

(1.11) (Idempotents). | Let R be a ring. Let e ∈ R be an idempotent; that is,

e2 = e. Then Re is a ring with e as 1, because (xe)e = xe. But Re is not a subring
of R unless e = 1, although Re is an ideal.
Set e′ := 1 − e. Then e′ is idempotent and e · e′ = 0. We call e and e′ comple-
mentary idempotents. Conversely, if two elements e1 , e2 ∈ R satisfy e1 + e2 = 1
and e1 e2 = 0, then they are complementary idempotents, as for each i,
ei = ei · 1 = ei (e1 + e2 ) = e2i .

We denote the set of all idempotents by Idem(R). Let φ : R → R′ be a ring map.

Then φ(e) is idempotent. So the restriction of φ to Idem(R) is a map
Idem(φ) : Idem(R) → Idem(R′ ).

Example (1.12). | Let R := R′ × R′′ be a product of two rings: its operations

are performed componentwise. The additive identity is (0, 0); the multiplicative
identity is (1, 1). Set e := (1, 0) and e′ := (0, 1). Then e and e′ are complementary
idempotents. The next proposition shows this example is the only one possible.

Proposition (1.13). | Let R be a ring with complementary idempotents e and

e′ . Set R′ := Re and R′′ := Re′ , and form the map φ : R → R′ × R′′ defined by
φ(x) := (xe, xe′ ). Then φ is a ring isomorphism.

Proof: Define a map φ′ : R → R′ by φ′ (x) := xe. Then φ′ is a ring map since

xye = xye2 = (xe)(ye). Similarly, define φ′′ : R → R′′ by φ′′ (x) := xe′ ; then φ′′ is a
ring map. So φ is a ring map. Further, φ is surjective, since (xe, x′ e′ ) = φ(xe+x′ e′ ).
Also, φ is injective, since if xe = 0 and xe′ = 0, then x = xe + xe′ = 0. Thus φ is
an isomorphism. □

Exercise (1.14) (Chinese Remainder Theorem). | Let R be a ring.

(1) Let a and b be comaximal ideals; that is, a + b = R. Prove
(a) ab = a ∩ b and (b) R/ab = (R/a) × (R/b).

(2) Let a be comaximal to both b and b′ . Prove a is also comaximal to bb′ .

(3) Let a, b be comaximal, and m, n ≥ 1. Prove am and bn are comaximal.
(4) Let a1 , . . . , an be pairwise comaximal. Prove
(a) a1 and a2 · · · an are comaximal;
(b) a1 ∩ · · · ∩ an = a1∏· · · an ;
∼
(c) R/(a1 · · · an ) −→ (R/ai ).

Exercise (1.15). | First, given a prime number p and a k ≥ 1, find the idempo-
tents in Z/⟨pk ⟩. Second, find the idempotents in Z/⟨12⟩. Third, find the number
∏N
of idempotents in Z/⟨n⟩ where n = i=1 pni i with pi distinct prime numbers.

Exercise (1.16). | Let R := R′ × R′′ be a product of rings, a ⊂ R an ideal.

Show a = a′ × a′′ with a′ ⊂ R′ and a′′ ⊂ R′′ ideals. Show R/a = (R′ /a′ ) × (R′′ /a′′ ).
6 Rings and Ideals (1.17)

Exercise (1.17). | Let R be a ring, and e, e′ idempotents. (See (10.7) also.)

(1) Set a := ⟨e⟩. Show a is idempotent; that is, a2 = a.
(2) Let a be a principal idempotent ideal. Show a⟨f ⟩ with f idempotent.
(3) Set e′′ := e + e′ − ee′ . Show ⟨e, e′ ⟩ = ⟨e′′ ⟩ and e′′ is idempotent.
(4) Let e1 , . . . , er be idempotents. Show ⟨e1 , . . . , er ⟩ = ⟨f ⟩ with f idempotent.
(5) Assume R is Boolean. Show every finitely generated ideal is principal.
 ✒✎ ✰❒❉❍❅ ✩❄❅❁●▲
Prime ideals are the key to the structure of commutative rings. So we review the
basic theory. Specifically, we define prime ideals, and show their residue rings are
domains. We show maximal ideals are prime, and discuss examples. Finally, we
use Zorn’s Lemma to prove the existence of maximal ideals in every nonzero ring.
Definition (2.1). | Let R be a ring. An element x is called a zerodivisor if
there is a nonzero y with xy = 0; otherwise, x is called a nonzerodivisor. Denote
the set of zerodivisors by z.div(R).
A subset S is called multiplicative if 1 ∈ S and if x, y ∈ S implies xy ∈ S.
An ideal p is called prime if its complement R − p is multiplicative, or equiva-
lently, if 1 ∈
/ p and if xy ∈ p implies x ∈ p or y ∈ p.
Exercise (2.2). | Let a and b be ideals, and p a prime ideal. Prove that these
conditions are equivalent: (1) a ⊂ p or b ⊂ p; and (2) a ∩ b ⊂ p; and (3) ab ⊂ p.
(2.3) (Fields, Domains). | A ring is called a field if 1 ̸= 0 and if every nonzero
element is a unit. Standard examples include the rational numbers Q, the real
numbers R, and the complex numbers C.
A ring is called an integral domain, or simply a domain, if ⟨0⟩ is prime, or
equivalently, if R is nonzero and has no nonzero zerodivisors.
Every domain R is a subring of its fraction field Frac(R), which consists of the
fractions x/y with x, y ∈ R and y ̸= 0. Conversely, any subring R of a field K,
including K itself, is a domain; indeed, any nonzero x ∈ R cannot be a zerodivisor,
because, if xy = 0, then (1/x)(xy) = 0, so y = 0. Further, Frac(R) has this UMP:
the inclusion of R into any field L extends uniquely to an inclusion of Frac(R) into
L. For example, the ring of integers Z is a domain, and Frac(Z) = Q ⊂ R ⊂ C.
Let R be a domain, and R[X] the polynomial ring in one variable. Then R[X]
is a domain too. In fact, given two nonzero polynomials f and g, not only is their
product f g nonzero, but its leading term is the product of those of f and g; so
deg(f g) = deg(f ) deg(g). (2.3.1)
By induction, the polynomial ring in n variables R[X1 , . . . , Xn ] is a domain, since
R[X1 , . . . , Xn ] = R[X1 , . . . , Xn−1 ][Xn ].
Hence the polynomial ring in an arbitrary set of variables R[{Xλ }λ∈Λ ] is a domain,
since any two elements lie in a polynomial subring in finitely many of the Xλ .
Similarly, if f, g ∈ R[X] with f g = 1, then f, g ∈ R, because the product of the
leading terms of f and g is constant. So by induction, if f, g ∈ R[X1 , . . . , Xn ] with
f g = 1, then f, g ∈ R. This reasoning can fail if R is not a domain. For example,
if a2 = 0 in R, then (1 + aX)(1 − aX) = 1 in R[X].
The fraction field Frac(R[{Xλ }λ∈Λ ]) is called the field of rational functions,
and is also denoted by K({Xλ }λ∈Λ ) where K := Frac(R).
Exercise (2.4). | Given a prime number p and an integer n ≥ 2, prove that the
residue ring Z/⟨pn ⟩ does not contain a domain as a subring.
Exercise (2.5). | Let R := R′ × R′′ be a product of two rings. Show that R is
a domain if and only if either R′ or R′′ is a domain and the other is 0.
7
8 Prime Ideals (2.16)

(2.6) (Unique factorization). | Let R be a domain, p a nonzero nonunit. We call

p prime if, whenever p | xy (that is, there exists z ∈ R such that pz = xy), either
p | x or p | y. Clearly, p is prime if and only if the ideal ⟨p⟩ is prime.
We call p irreducible if, whenever p = yz, either y or z is a unit. We call R a
Unique Factorization Domain (UFD) if every nonzero element is a product of
irreducible elements in a unique way up to order and units.
In general, prime elements are irreducible; in a UFD, irreducible elements are
prime. Standard examples of UFDs include any field, the integers Z, and a poly-
nomial ring in n variables over a UFD; see [2, p. 398, p. 401], [8, Cor. 18.23, p. 297].
Lemma (2.7). | Let φ : R → R′ be a ring map, and T ⊂ R′ a subset. If T is
multiplicative, then φ−1 T is multiplicative; the converse holds if φ is surjective.
Proof: Set S := φ−1 T . If T is multiplicative, then 1 ∈ S as φ(1) = 1 ∈ T , and
x, y ∈ S implies xy ∈ S as φ(xy) = φ(x)φ(y) ∈ T ; thus S is multiplicative.
If S is multiplicative, then 1 ∈ T as 1 ∈ S and φ(1) = 1; further, x, y ∈ S implies
φ(x), φ(y), φ(xy) ∈ T . If φ is surjective, then every x′ ∈ T is of the form x′ = φ(x)
for some x ∈ S. Thus if φ is surjective, then T is multiplicative if φ−1 T is. □
Proposition (2.8). | Let φ : R → R′ be a ring map, and q ⊂ R′ an ideal. If q
is prime, then φ−1 q is prime; the converse holds if φ is surjective.
Proof: By (2.7), R − p is multiplicative if and only if R′ − q is. So the assertion
results from Definitions (2.1). □
Corollary (2.9). | Let R be a ring, p an ideal. Then p is prime if and only if
R/p is a domain.
Proof: By (2.8), p is prime if and only if ⟨0⟩ ⊂ R/p is. So the assertion results
from the definition of domain in (2.3). □
Exercise (2.10). | Let R be a domain, and R[X1 , . . . , Xn ] the polynomial ring
in n variables. Let m ≤ n, and set p := ⟨X1 , . . . , Xm ⟩. Prove p is a prime ideal.
Exercise (2.11). | Let R := R′ × R′′ be a product of rings, p ⊂ R an ideal.
Show p is prime if and only if either p = p′ × R′′ with p′ ⊂ R′ prime or p = R′ × p′′
with p′′ ⊂ R′′ prime.
Exercise (2.12). | Let R be a domain, and x, y ∈ R. Assume ⟨x⟩ = ⟨y⟩. Show
x = uy for some unit u.
Definition (2.13). | Let R be a ring. An ideal m is said to be maximal if m is
proper and if there is no proper ideal a with m ⫋ a.
Example (2.14). | Let R be a domain. In the polynomial ring R[X, Y ] in two
variables, ⟨X⟩ is prime by (2.10). However, ⟨X⟩ is not maximal since ⟨X⟩ ⫋ ⟨X, Y ⟩.
Moreover, ⟨X, Y ⟩ is maximal if and only if R is a field by (1.10) and by (2.17)
below.
Proposition (2.15). | A ring R is a field if and only if ⟨0⟩ is a maximal ideal.
Proof: Suppose R is a field. Let a be a nonzero ideal, and a a nonzero element
of a. Since R is a field, a ∈ R× . So (1.4) yields a = R.
Conversely, suppose ⟨0⟩ is maximal. Take x ̸= 0. Then ⟨x⟩ ̸= ⟨0⟩. So ⟨x⟩ = R.
So x is a unit by (1.4). Thus R is a field. □
 Prime Ideals (2.28) 9

Exercise (2.16). | Let k be a field, R a nonzero ring, φ : k → R a ring map.

Prove φ is injective.
Corollary (2.17). | Let R be a ring, m an ideal. Then m is maximal if and
only if R/m is a field.
Proof: Clearly, m is maximal in R if and only if ⟨0⟩ is maximal in R/m by
(1.9). Hence the assertion results from (2.15). □
Exercise (2.18). | Let R be a ring, p a prime ideal, R[X] the polynomial ring.
Show that pR[X] and pR[X]+⟨X⟩ are prime ideals of R[X], and that if p is maximal,
then so is pR[X] + ⟨X⟩.
Exercise (2.19). | Let B be a Boolean ring. Show that every prime p is maximal,
and B/p = F2 .
Exercise (2.20). | Let R be a ring. Assume that, given x ∈ R, there is n ≥ 2
with xn = x. Show that every prime p is maximal.
Example (2.21). | Let k be a field, a1 , . . . , an ∈ k, and P := k[X1 , . . . , Xn ] the
polynomial ring in n variables. Set m := ⟨X1 − a1 , . . . , Xn − an ⟩. Then P/m = k
by (1.10); so m is maximal by (2.17).
Exercise (2.22). | Prove the following statements or give a counterexample.
(1) The complement of a multiplicative subset is a prime ideal.
(2) Given two prime ideals, their intersection is prime.
(3) Given two prime ideals, their sum is prime.
(4) Given a ring map φ : R → R′ , the operation φ−1 carries maximal ideals of
R′ to maximal ideals of R.
(5) In (1.9), an ideal n′ ⊂ R/a is maximal if and only if κ−1 n′ ⊂ R is maximal.
Exercise (2.23). | Let k be a field, P := k[X1 , . . . , Xn ] the polynomial ring,
f ∈ P nonzero. Let d be the highest power of any variable appearing in f .
(1) Let S ⊂ k have at least d + 1 elements. Proceeding by induction on n, find
a1 , . . . , an ∈ S with f (a1 , . . . , an ) ̸= 0.
(2) Using the algebraic closure K of k, find a maximal ideal m of P with f ∈
/ m.
Corollary (2.24). | In a ring, every maximal ideal is prime.
Proof: A field is a domain by (2.3). So (2.9) and (2.17) yield the result. □
(2.25) (PIDs). | A domain R is called a Principal Ideal Domain (PID) if
every ideal is principal. Examples include a field k, the polynomial ring k[X] in
one variable, and the ring Z of integers. Every PID is a UFD by [2, (2.12), p. 396],
[8, Thm. 18.11, p. 291].
Let R be a PID, and p ∈ R irreducible. Then ⟨p⟩ is maximal; indeed, if ⟨p⟩ ⫋ ⟨x⟩,
then p = xy for some nonunit y, and so x must be a unit since p is irreducible. So
(2.17) implies that R/⟨p⟩ is a field.
Exercise (2.26). | Prove that, in a PID, elements x and y are relatively prime
(share no prime factor) if and only if the ideals ⟨x⟩ and ⟨y⟩ are comaximal.
Example (2.27). | Let R be a PID, and p ∈ R a prime. Set k := R/⟨p⟩. Let
P := R[X] be the polynomial ring in one variable. Take g ∈ P , let g ′ be its image
in k[X], and assume g ′ is irreducible. Set m := ⟨p, g⟩. Then P/m −→∼ k[X]/⟨g ′ ⟩ by
′
(1.7) and (1.9), and k[X]/⟨g ⟩ is a field by (2.25); hence, m is maximal by (2.17).
10 Prime Ideals (2.31)

Theorem (2.28). | Let R be a PID. Let P := R[X] be the polynomial ring in

one variable, and p a prime ideal of P .
(1) Then p = ⟨0⟩, or p = ⟨f ⟩ with f prime, or p is maximal.
(2) Assume p is maximal. Then either( p = ⟨f) ⟩ with f prime, or p = ⟨p, g⟩ with
p ∈ R prime and g ∈ P with image g ′ ∈ R/⟨p⟩ [X] prime.
Proof: Assume p ̸= ⟨0⟩. Take a nonzero f1 ∈ p. Since p is prime, p contains
a prime factor f1′ of f1 . Replace f1 by f1′ . Assume p ̸= ⟨f1 ⟩. Then there is a
prime f2 ∈ p − ⟨f1 ⟩. Set K := Frac(R). Gauss’s Lemma [2, p. 401], [8, Thm.
18.15, p. 295] implies that f1 and f2 are also prime in K[X]. So f1 and f2 are
relatively prime in K[X]. So (2.25) and (2.26) yield g1 , g2 ∈ P and c ∈ R with
(g1 /c)f1 + (g2 /c)f2 = 1. So c = g1 f1 + g2 f2 ∈ R ∩ p. Hence R ∩ p ̸= 0. But R ∩ p
is prime, and R is a PID; so R ∩ p = ⟨p⟩ where p is prime by (2.6).
Set k := R/⟨p⟩. Then k is a field by (2.25). Set q := p/⟨p⟩ ⊂ k[X]. Then
k[X]/q = P/p by (1.7) and (1.9). But P/p is a domain as p is prime. Hence
q = ⟨g ′ ⟩ where g ′ is prime in k[X] by (2.6). Then q is maximal by (2.25). So p is
maximal by (1.9). Take g ∈ p with image g ′ . Then p = ⟨p, g⟩ as p/⟨p⟩ = ⟨g ′ ⟩. □
Exercise (2.29). | Preserve the setup of (2.28). Let f := a0 X n + · · · + an be a
polynomial of positive degree n. Assume that R has infinitely many prime elements
p, or simply that there is a p such that p ∤ a0 . Show that ⟨f ⟩ is not maximal.
Theorem (2.30). | Every proper ideal a is contained in some maximal ideal.
Proof: Set S := {ideals b | b ⊃ a and b ̸∋ 1}. Then a ∈ S, and S ∪ is partially
ordered by inclusion. Given a totally ordered subset {bλ } of S, set b := bλ . Then
b is clearly an ideal, and 1 ∈
/ b; so b is an upper bound of {bλ } in S. Hence by
Zorn’s Lemma [11, pp. 25, 26], [10, p. 880, p. 884], S has a maximal element, and it
is the desired maximal ideal. □
Corollary (2.31). | Let R be a ring, x ∈ R. Then x is a unit if and only if x
belongs to no maximal ideal.
Proof: By (1.4), x is a unit if and only if ⟨x⟩ is not proper. Apply (2.30). □
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