Pacific Journal of

Mathematics

R-ENDOMORPHISMS OF R[[X]] ARE ESSENTIALLY

CONTINUOUS
PAUL M. E AKIN , J R . AND AVINASH M ADHAV S ATHAYE

Vol. 66, No. 1 November 1976

 PACIFIC JOURNAL OF MATHEMATICS
Vol. 66, No. 1, 1976

1?-ENDOMORPHISMS OF R[[X]] ARE ESSENTIALLY

CONTINUOUS

P A U L EAKIN AND AVINASH SATHAYE

Let R be a commutative ring with identity, A = R[[X]]

and B = R[[Y]] with X and Y finite sets of indeterminates.
Consider A and B as topological rings with the respective X
and Y-adic topologies. If σ: A —• B is any R -homomorphism
then there are R -automorphisms s and ί of Λ and B re-
spectively, so that t°σ°s: A —>B is continuous. As a corollary
we see that an R -endomorphism of A is surjective only if it is an
automorphism.

Let X = {Xu , Xn} be a set of indeterminates over R. R [X] and

R [[X]] denote as usual the polynomial ring and the formal power series
ring respectively over R in the variables X. A number of authors have
studied and applied automorphisms and endomorphisms of R [[X]] over
R\ [3], [4], [5], [6], [7] and [1]. A common feature of many of the
arguments seems to be the complexity resulting from the fact that
JR-endomorphisms of i?[[X]] need not be continuous in X-adic
topology. In this note we show that they are essentially continuous, i.e.
differ from a continuous one by an automorphism. Precisely, we make
the following

DEFINITION 1. If A, B are topological rings and σ\ A—»B is a

homomorphism, then σ is said to be essentially continuous if, for some
automorphisms s and t of A and B respectively, we get that
t°σ°s:A-+B is continuous.
With this definition we get the main statement that "every R-
homomorphism between any two formal power series rings over R is
essentially continuous." (Corollary B)
As a corollary we get an easy proof of the statement that, "an
R-endomorphism of R[[X]] is surjective if and only if it is an R-
1
automorphism of R[[X]]" (Corollary C)
Finally, we make

DEFINITION 2. If Sί is a finitely generated ideal of R we say that R

is complete in the Vί-adic topology if there is a finite set of indeterminates
X and an JR-homomorphism σ: #[[X]]-»1? with σ(XR[[X]]) = Sί.
1
O'Malley had done the one variable case of this result in [3]. Gilmer and O'Malley have
independently given another proof of Corollary C in [2].

83
84 P. EAKIN AND A. SATHAYE

Let IC(R) denote the set of all aER such that there is an
R -homomorphism σ: ^[[X!]]-*!? with σ(Xι)= a.
Using the "essential continuity" we establish that IC(R) is an ideal
of R contained in the Jacobson radical of R and containing the
nil-radical of R. (Theorem E)
Once IC(R) is shown to be an ideal it is easy to show that IC(R) is
nothing but the union of all ideals 31 of R such that R is complete in the
Sl-adic topology. This fact is indeed the reason for the suffix " c " in
IC(R). This fact also answers some questions raised by Gilmer; see
remarks at the end.

A. Suppose R is a commutative ring with identity and

THEOREM
m
X = {X,}Γ=i and Y = {Y,}, =i are sets of indeterminates over R. Suppose
s a n
R]\X\[~* R]\YW i R-homomorphism and that for each ΐ, σ(Xt) =
d + / where c, G R and f G Yi?[[Y]]. Then there exists an automor-
2
phism t; R[[X]]-+ R[[X]] such that f(X.) = X, + c,.2

Proof Let β:R[[Y]]-*R be defined by β(Y) = 0. Then com-

posing β and σ we get a mapping σ*: R[[X]]-*R such that σ*(X,) =
c,. Let {Z,}Γ=i be n additional indeterminates. We extend σ* to a
mapping σ*: R[[X, Z]]—> R by σ*(Z) = 0. We now have a sequence

where α(Z I ) = Xι + Zl and γ is defined by regarding R[[X,Z]] as

1?[[X]][[Z]] and setting

l
γ(Σ/ι ( Z') = Σσ*(Λ l )Z where hx G R[[X]].

We define τ* = y°a and note that τ*^) = Z, + c(. Since

R[[Z]] by X->Z there is a mapping r: i?[[X]]-^JR[[X]] such that
τ(X/) = Xί + cJ. We must now see that τ is an automorphism of
R [[X]]. There is an automorphism δ of JR [[X]] which takes Xf to - X,.
T h e h o m o m o r p h i s m δ°τ°δ°τ: R[[X]]—>R[[X]] is a continuous
endomorphism carrying X, to X,. It is then clear that δ °τ°δ °τ is the
identity m a p and h e n c e r is an automorphism.

B. If R is a commutative ring with 1 and X = {X/}Γ=i,

COROLLARY
Y = {Y}Jlι are indeterminates over R, then any R-homomorphism
σ: R[[X]]->R[[Y]] is essentially continuous.
2
This result in the one-variable case appears in [1].
 R-ENDOMORPHISMS OF RUX]] ARE ESSENTIALLY CONTINUOUS 85

Proof. Let σ(Xt) = c, + /, with cx^R and /, E YR [[ Y]]. Then by

Theorem A, there is an automorphism τ of i?[[X]] such that τ(X,) =
Xι + c,. Thus T ^ X , ) = Xir — cf. The mapping σ ° r" 1 is continuous since

σ o T-^X, ) = σ(X, - c,) = c, + /, - c, = /,

and/,EYi?[[Y]].

COROLLARY C. If R is α commutative ring with 1 and {X,}Γ=i are

indeterminates, then an R-endomorphism σ: R[[X]]-+ R[[X]] is surjec-
tive if and only if it is an automorphism.

Proof One way is clear. By the proof of Corollary B we may

write
σ(Xi)=li+Fh
2
where /, is a linear form in X over R and F,E(XR[[X]]) .
Using the fact that X, can be expressed as σ(Gt) for some G, E
R [[X]] and comparing terms of degree one, it is easy to check that if L is
the matrix formed by the coefficients of /, (as the /th row) then L is
invertible and hence detL is a unit in R. Then a standard argument as
in Lemma 2, Corollary 2 [ZSΠ, p. 137] yields that σ is an automorphism.
Now we turn to proving the properties of Ic (R). We will write Ic
for IC(R), whenever there is no confusion.

THEOREM D. Let
Ix = {a E R I there exists an R-automorphism σ: R[[X\]]-+ R[[Xι\]
with σ(Xί) = X1 + a}
I2 = {a E R I there exists an R-homomorphism σ: R[[X]]-> R[[Y]]
where X, Y are finite sets of indeterminates over R such that σ(Xt) = a + f
for some Xf E X and fE(YR[[Y]])}.
Then Ic = Iλ = I2.

Proof. Ix CI2 is obvious. If a E I2 and σ and X, are as in the

definition, let σ* = the restriction of σ to i?[[X,]] and τ: R[[Y]]-+R
the unique R -homomorphism with τ(Y;) = 0 for all Y}GY. Then
r °σ*: ^ [ [ X J ] ^ ! ? carries Xx to a. Thus a E Ic and hence / 2 C
Ic. Finally, by Theorem A it is clear that Ic Clλ.

THEOREM E. IC is an ideal contained in the Jacobson radical of

R. Moreover, the nil-radical of R is contained in Ic.

Proof. Let a E Ic. Since X is in the Jacobson radical of R [[X]]

and by Theorem A there is an R -automorphism of R [[X]] carrying X to
86 P. EAKIN AND A. SATHAYE

X + a we get that X + a belongs to the Jacobson radical of

R [[X]]. Thus a belongs to the Jacobson radical of R [[X]] and hence of
R. The last remark is easy to prove, and is left to the reader.
Now let X, Y, Z be indeterminates over R. Let α, b E Ic. Hence
by definition we may assume that there exists an R -homomorphism
σ:R[[X,Y]]^>R with σ(X)=a and σ(Y)=b. Let r,s<ΞR. Let
T : ί?[[Z]]-^i?[[X, Y]] be the unique R -homomorphism defined by

T ( Z ) = Γ X + JCY.

Then σ°τ: JR[[Z]]—>R is an R-homomorphism with σ°τ(Z) =

ra 4- sb. Thus ra 4- sb E Ic and hence Ic is an ideal.

REMARKS. (1) The fact that Ic is an ideal shows that Theorem 3.4
of [1] is true with no restriction on the element " r " . Thus the
conjecture which follows that theorem is false.
(2) In his review of [5] (MR47 # 8532) Gilmer suggests a program
for simplifying some of the proofs. This would rest on whether a ring R
is a complete Hausdorff space in its (au , αn)-adic topology, if it is a
complete Hausdorff space in its (α,-)-adic topology for each /. However,
it is easy to give an example where this does not hold. For Gilmer's
example in [1] is a ring R and an element a such that R is complete, but
not Hausdorff in its (α)-adic topology. On the other hand, by Theorem
D there is an automorphism of JR [[X]] which takes X to X 4 a. Since
JR[[X]] is a complete Hausdorff space in its X-adic topology, it is also a
complete Hausdorff space in its ( X + α)-adic topology. However, since
R is not Hausdorff in its (α)-adic topology, neither is R [[X]]. So, since
α E ( X , X + α)jR[[X]] we see that R[[X]] is not Hausdorff in its
(X, X 4- α)-adic topology.
(3) Ic may be properly contained in the Jacobson radical of R and
it may properly contain the nil-radical of R. For example if Rf =
Z/4[X], M = (2,X)R' and R = R$[Y]]. Then the nil-radical of R is
21?, Ic in this case is (2, Y) and the Jacobson radical is (2, Y, X).
(4) It would be nice to have an intrinsic characterization of the
ideal Ic since it allows us to utilize the form of Nakayama's lemma for
complete local rings, namely

LEMMA. Suppose that M is an R-module and J CIC is a finitely

n
generated ideal with Π J M = {0}. // N is a finitely generated sub-
module of M with M = N + JM, then N = M

The proof would be the same as in the complete local ring case [8,
Th. 7, p. 259].
 K-ENDOMORPHISMS OF I?[[X]] ARE ESSENTIALLY CONTINUOUS 87

REFERENCES

1. R. Gilmer, R-automorphisms of R[[X]], Michigan J. Math., 17 (1970), 15-21.

2. R. Gilmer and M. J. O'Malley, R-endomorphisms of R[[Xι, , Xn]], to appear J. Algebra.
3. M. J. O'Malley, R-automorphismsofR[[X]], Proc. London Math. Soα, (3) 20 (1970), 60-78.
4. , Isomorphic Power Series Rings, Pacific J. Math., 41 (1972), 503-512.
5. , Finite Groups of R-automorphisms ofR[[X]], Michigan Math. J., 20 (1973), 277-284.
6. , Some remarks on the formal power series ring, Bull. Soc. Math. France, 99 (1971),
247-258.
7. M. J. O'Malley and C. Wood, R-endomorphisms of R[[X]], J. Algebra, 15 (1970), 314-327.

8. O. Zariski and P. Samuel, Commutative Algebra, volume II, Van Nostrand, Princeton, 1960.

Received July 28, 1975.

UNIVERSITY OF KENTUCKY
 Pacific Journal of Mathematics
Vol. 66, No. 1 November, 1976

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