Prime Ideals in Polynomial Rings in Several Indeterminates
Prime Ideals in Polynomial Rings in Several Indeterminates
MIGUEL FERRERO
Introduction
Let K be a field and K[x] the polynomial ring over K in an indeterminate x. If
P is a prime ideal of K[x], then there exists an irreducible polynomial f in K[x]
such that P = K[x]f . This result is quite old and basic; however no corresponding
result seems to be known for a polynomial ring in n indeterminates x1 , ..., xn over
K. Actually, it seems to be very difficult to find some system of generators for a
prime ideal of K[x1 , ..., xn ].
Now, K[x1 , ..., xn ] is a Noetherian ring and by a converse of the principal ideal
theorem for every prime ideal P of K[x1 , ..., xn ] there exist n polynomials f1 , ..., fn
such that P is minimal over (f1 , ..., fn ), the ideal generated by {f1 , ..., fn } ([4],
Theorem 153). Also, as a consequence of ([1], Theorem 1) it follows that any prime
ideal of K[x1 , ..., xn ] is determined by n polynomials. However it is not clear in [1]
how to find these polynomials and no converse result is proved. The purpose of
this paper is to show a result which in particular implies that every prime ideal of
K[x1 , ..., xn ] is determined by a sequence of n polynomials which is in some sense
irreducible, and such that the converse is also true.
In general, let R be any prime ring. If P is a nonzero prime ideal of the polyno-
mial ring R[x] with P ∩ R = 0 (an R-disjoint prime ideal), then P = Q[x]f0 ∩ R[x]
where Q is a ring of right quotients of R and f0 ∈ C[x] is an irreducible polynomial,
C being the extended centroid of R ([2], Corollary 2.7). This characterization has
the problem that we have to compute Q to have a prime ideal determined. A better
way (an intrinsic one) to determine an R-disjoint prime ideal has been given in [3].
We proved that every R-disjoint prime ideal P of R[x] is determined by just one
polynomial in P which is in some sense irreducible ([3], Theorem 1.4).
Received by the editors March 15, 1995 and, in revised form, July 28, 1995.
1991 Mathematics Subject Classification. Primary 16D30, 16S36; Secondary 12E05.
This research was supported by a grant given by Conselho Nacional de Desenvolvimento
Cientı́fico e Tecnológico (CNPq), Brazil.
67
68 MIGUEL FERRERO
The purpose of this paper is to extend the above result. We show that any prime
ideal P in a polynomial ring in n indeterminates is determined by its intersection
with R plus n polynomials in P . Moreover, these polynomials define a sequence
which has some irreducibility property and will be called completely irreducible
(mod P ∩ R). The converse is also true, i.e., for any prime ideal Q of R and
any completely irreducible sequence (mod Q), there exists a unique prime ideal
determined by them. It turns out that there exists a one-to-one correspondence
between prime ideals of R[x1 , ..., xn ] and equivalence classes of tuples (Q, f1 , ..., fn ),
where Q is a prime ideal of R and (f1 , ..., fn ) is a completely irreducible sequence
(mod Q).
Throughout this paper R is any ring with an identity element. If f ∈ R[x], then
δf (resp. lc(f )) denotes the degree (resp. leading coefficient) of f . The leading
coefficient of the zero polynomial will be defined as the identity of R. Finally, the
notation ⊃ means strict inclusion.
We can easily see that [Q, f ] is an ideal of R[x] containing f and Q[x].
In the rest of the section we denote by a and b the leading coefficients of f and
g, respectively. We begin with the following.
Lemma 1.1 (cf. [2, Lemma 1.1]). Assume that f ∈ ΓQ . If g ∈ [Q, f ] and δg < δf ,
then g ∈ Q[x]. In particular, [Q, f ] ∩ R = Q.
Note that the definition [f ]R in [2] also looks different than our definition here
of [0, f ], for f ∈ Γ0 . However we see they coincide. In fact, put
I = {g ∈ R[x] : there exists H R, H 6⊆ Q, such that gHa ⊆ R[x]f + Q[x]}.
Lemma 1.2. [Q, f ] = I.
Proof. If f = 0, then [Q, f ] = Q[x] as well as I = Q[x], since Q[x] is a prime ideal.
In general, it is clear that [Q, f ] ⊆ I. Assume that g ∈ I, δg = m. If m < δf = n
we prove as in Lemma 1.1 that g ∈ Q[x] ⊆ [Q, f ]. Suppose δg = n. We have
gra − brf ∈ I, for any r ∈ R, and δ(gra − brf ) < n. Hence gra − brf ∈ Q[x]
and it follows that gRa ⊆ R[x]f + Q[x]. Finally, assume by induction that m > n
and for any h ∈ I with δh < m we have h(Ra)m−n ⊆ R[x]f + Q[x]. For r ∈ R
put l = gra − xm−n rbf ∈ I. Applying the induction assumption to l we easily get
g(Ra)m−n+1 ⊆ R[x]f + Q[x]. The result follows.
Remark 1.4. We can define [Q, f ] in a dual way. In fact, denote by [Q, f ]0 the ideal
of R[x] defined as [Q, f ], but with the condition (aR)e g ⊆ f R[x] + Q[x] instead
of the condition g(Ra)e ⊆ R[x]f + Q[x]. As in Lemma 1.1 we can prove that if
g ∈ [Q, f ]0 and δg < δf , then g ∈ Q[x]. Actually, it is not hard to show that
[Q, f ] = [Q, f ]0 .
Corollary 1.5 (cf. [2, Corollary 1.3]). Assume that f, g ∈ ΓQ . Then [Q, f ] =
[Q, g] if and only if gra − brf ∈ Q[x] for every r ∈ R.
Proof. If [Q, f ] = [Q, g] we have δf = δg by Proposition 1.3. Hence we easily obtain
gra − brf ∈ Q[x] for all r ∈ R. Conversely, if gra − brf ∈ Q[x], for every r ∈ R, we
have gRa ⊆ R[x]f + Q[x] and so g ∈ [Q, f ]. In particular, δg ≥ δf since g 6∈ Q[x].
Also, bRf ⊆ gR[x] + Q[x] and it follows that f ∈ [Q, g]0 . Hence δf ≥ δg by Remark
1.4. It follows that δf = δg and Proposition 1.3 gives [Q, f ] = [Q, g].
The following is well-known (or can easily be obtained by factoring out Q and
Q[x] from R and R[x], respectively).
Lemma 1.6. Let P be an ideal of R[x]. Then P is prime if and only if P ∩ R is
a prime ideal of R and either P = (P ∩ R)[x] or P is maximal amongst ideals I of
R[x] such that I ∩ R = P ∩ R.
Now we extend the definition of Γ-completely irreducibility (see [3], Definition
1.2).
70 MIGUEL FERRERO
Note that the above definition is vacuously true for f = 0. So we may consider
the zero polynomial as a ΓQ -completely irreducible polynomial.
Remark 1.8. Assume that f ∈ ΓQ . Then we can easily see that if b 6∈ Q we have
f b ∈ ΓQ and [Q, f ] = [Q, f b] (use Proposition 1.3).
Theorem 1.9 (cf. [3, Theorem 1.4]). Let R be any ring. Then an ideal P of R[x]
is prime if and only if Q = P ∩ R is prime and there exists a ΓQ -completely
irreducible polynomial f ∈ R[x] such that P = [Q, f ]. Moreover, the polynomial f
can be chosen to be any polynomial in P which is of minimal degree with respect to
the condition lc(f ) 6∈ Q.
Let P be the set of all the pairs (Q, f ) where Q is a prime ideal of R and f ∈ ΓQ
is a ΓQ -completely irreducible polynomial. We define an equivalence relation by
saying that (Q, f ) ∼ (Q0 , g) if and only if Q = Q0 and f rb − arg ∈ Q[x], for every
r ∈ R, where a = lc(f ) and b = lc(g). By Corollary 1.5, (Q, f ) ∼ (Q0 , g) if and only
if [Q, f ] = [Q0 , g]. We clearly have
Theorem 1.10. Let R be any ring and let P be the set of all the pairs as above.
Then the mapping sending (Q, f ) to [Q, f ] defines a one-to-one correspondence
between the set of all the equivalence classes in P and the set of all the prime ideals
of R[x].
PRIME IDEALS IN POLYNOMIAL RINGS 71
By the construction in Theorem 2.3 and the results of Section 1, the sequence
f ∈ F such that P = [Q, f1 , ..., fn ] is completely irreducible (mod Q). Therefore,
for every prime ideal P of S with P ∩ R = Q there exists a sequence in F which
is completely irreducible (mod Q) and which determines P . The converse is also
true.
Theorem 2.5. Let Q be a prime ideal of R and (f1 , ..., fn ) ∈ F a completely
irreducible sequence (mod Q). Then P = [Q, f1 , ..., fn ] is a prime ideal of S such
that P ∩ R = Q.
Proof. By Definition 2.4, Pi = [Pi−1 , fi ] is a prime ideal of Ri with Pi ∩Ri−1 = Pi−1 ,
for 1 ≤ i ≤ n, where R0 = R and P0 = Q. So P = Pn is a prime ideal of S with
P ∩ Ri = Pi , for 1 ≤ i ≤ n. Also, by Lemma 1.1, fi ∈ Pi is either zero or
a polynomial of minimal degree in Pi with respect to the condition ai 6∈ Pi−1 ,
according to Pi = Pi−1 [xi ] or Pi ⊃ Pi−1 [xi ], respectively. It follows as in Theorem
2.3 that P = [Q, f1 , ..., fn ].
Denote by I the set of all the sequences (Q, f1 , ..., fn ), where Q is a prime ideal of
R and (f1 , ..., fn ) ∈ F is a completely irreducible sequence (mod Q). Two sequences
(Q, f1 , ..., fn ) and (L, h1 , ..., hn ) of I are said to be equivalent if and only if Q = L
0
and (Pi−1 , fi ) ∼ (Pi−1 , hi ) in the sense defined in Section 1, for every 1 ≤ i ≤ n,
0 0 0
where P0 = P0 = Q, Pi−1 = [Pi−2 , fi−1 ], and Pi−1 = [Pi−2 , hi−1 ], for i ≥ 2. It is
clear that (Q, f1 , ..., fn ) ∼ (L, h1 , ..., hn ) if and only if [Q, f1 , ..., fn ] = [L, h1 , ..., hn ].
Therefore we have the following.
Theorem 2.6. There is a one-to-one correspondence between the set of all the
prime ideals of S and the set of all the equivalence classes of I module the equiva-
lence relation ∼.
Remark 2.7. Perhaps is useful to point out that if R = K is a field, then for every
prime ideal P of S = K[x1 , ..., xn ] there exists a sequence (f1 , ..., fn ) of polynomials
in P such that P = [f1 , ..., fn ], where
[f1 , ..., fn ] = {g ∈ S : there exist e1 , ..., en ≥ 0 with gae11 ...aenn ⊆ P }.
It should be convenient to find an algorithm to determine 0-completely irreducible
sequences in this case.
Example 2.8. Assume that R is a ring and Q is a prime ideal of R. Let f1 be
a polynomial of degree one in Z(R)[x1 ] with lc(f1 ) 6∈ Q, where Z(R) denotes the
center of R. Then f1 is a polynomial in ΓQ which is ΓQ -completely irreducible.
Thus P1 = [Q, f1 ] is a prime ideal of R[x1 ]. Take a polynomial f2 of degree one
in Z(R)[x1 , x2 ] such that its leading coefficient with respect to x2 is not in P1 .
Repeating the argument we determine a completely irreducible sequence (mod Q)
(f1 , ..., fn ) in R[x1 , ..., xn ] and a prime ideal P = [Q, f1 , ..., fn ].
We give a concrete example (cf., [3], Example 4.1). Let R be the integral domain
of all the power series of Q[[t]] having the coefficient of t equal to zero. Consider
the polynomials fi = t2 xi − ti+2 , 1 ≤ i ≤ n. Then P = [0, f1 , ..., fn ] is a prime ideal
of R[x1 , ..., xn ] which is not generated by the polynomials f1 , ..., fn (in general, if
every fi is monic, then [Q, f1 , ..., fn ] equals the ideal Q[x] + (f1 , ..., fn ) generated
by Q and {f1 , ..., fn }).
74 MIGUEL FERRERO
Remark 2.9. The method given in this paper can easily be extended to describe
prime ideals of polynomial rings in any number of indeterminates. In fact, choosing
a well order for the indeterminates we can proceed by transfinite induction. Thus
prime ideals will be described by sequences corresponding to the number of indeter-
minates. Finally, since every centred extension of a ring R which has a commuting
centralizing generator set is a factor ring of a polynomial ring over R, this gives
also a description of prime ideals in this kind of centred extensions.
Acknowledgement
This paper was written while the author visited the Department of Mathematics
of University of Southern California. The author is grateful for the hospitality given
by the members of the Department. He is also grateful to the referee for suggestions
that helped to improve the presentation of the paper.
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