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LATTICES, VARIETIES
VOLUME I
RALPH N. MCKENZIE
GEORGE F. MCNULTY
WALTER F. TAYLOR
Algebras,
Lattices, Varieties
Volume I
Ralph N. McKenzie
George F. McNulty
Walter F. Taylor
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10 9 8 7 6 5 4 3 2 1 23 22 21 20 19 18
This volume is dedicated to our parents—
Annie Laurie and Milton, Helen and George, Portia and John
Preface
This is the first of four volumes devoted to the general theory of algebras and
the closely related subject of lattice theory. This area of mathematics has grown
very rapidly in the past twenty years. Not only has the literature expanded
rapidly, but also the problems have become more sophisticated and the results
deeper. The tendency toward specialization and fragmentation accompanying
this growth has been countered by the emergence of new research themes (such
as congruence class geometry, Maltsev classification, and congruence classifica
tion of varieties) and powerful new theories (such as general commutator theory
and tame congruence theory), giving the field a degree of unity it never had before.
Young mathematicians entering this field today are indeed fortunate, for there
are hard and interesting problems to be attacked and sophisticated tools to be
used. Even a casual reader of these volumes should gain an insight into the
present-day vigor of general algebra.
We regard an algebra as a nonempty set equipped with a system of finitary
operations. This concept is broad enough to embrace many familiar mathemat-
ical structures yet retains a concrete character. The general theory of algebras
borrows techniques and ideas from lattice theory, logic, and category theory
and derives inspiration from older, more specialized branches of algebra such as
the theories of groups, rings, and modules. The connections between lattice
theory and the general theory of algebras are particularly strong. The most
productive avenues to understanding the structure of algebras, in all their diver-
sity, generally involve the study of appropriate lattices. The lattice of congruence
relations and the lattice of subalgebras of an individual algebra often contain (in
a highly distilled form) much information about the internal structure of the
algebra and the essential relations among its elements. In order to compare
algebras, it is very useful to group them into varieties, which are classes defined
by equations. Varieties can in turn be organized in various ways into lattices (e.g.,
the lattice of varieties, the lattice of interpretability types). The study of such
lattices reveals an extraordinarily rich structure in varieties and helps to organize
our knowledge about individual algebras and important families of algebras.
Varieties themselves are elementary classes in the sense of logic, which affords
an entry to model-theoretic ideas and techniques.
vii
Vlll Preface
Within each volume, chapters and sections within a chapter are numbered
by arabic numerals; thus, §4.6 is the sixth section of Chapter 4 (in Volume 1).
Important results, definitions, and exercise sets are numbered in one sequence
throughout a chapter; for example, Lemma 4.50, Theorem 4.51, and Definition
4.52 occur consecutively in Chapter 4 (actually in §4.6). A major theorem may
have satellite lemmas, corollaries, and examples clustered around it and numbered
1, 2, 3 ,.... A second sequence of numbers, set in the left-hand margins, is used
for a catch-all category of statements, claims, minor definitions, equations, etc
(with the counter reset to 1 at the start of each chapter). Exercises that we regard
as difficult are marked with an asterisk. (Difficult exercises are sometimes ac-
companied by copious hints, which may make them much easier.)
The beautiful edifice that we strive to portray in these volumes is the product
of many hundreds of workers who, for over fifty years, have been tirelessly
striving to uncover and understand the fundamental structures of general algebra.
In the course of our writing, we have returned again and again to the literature,
especially to the books of Birkhoff [1967], Burris and Sankappanavar [1981],
Crawley and Dilworth [1972], Gratzer [1978, 1979], Jonsson [1972], Maltsev
[1973], and Pierce [1968].
We wish to thank all of our friends, colleagues, and students who offered
support, encouragement, and constructive criticism during the years when this
volume was taking shape. It is our pleasure to specifically thank Clifford Bergman,
Joel Berman, Stanley Burris, Wanda Van Buskirk, Ralph Freese, Tom Harrison,
David Hobby, Bjarni Jonsson, Keith Kearnes, Renato Lewin, Jan Mycielski,
Richard Pierce, Ivo Rosenberg, and Constantin Tsinakis. Thanks to Deberah
Craig and Burt Rashbaum for their excellent typing. Our editor at Wadsworth
& Brooks/Cole, John Kimmel, and Production Editor S. M. Bailey, Designer
Victoria Van Deventer, and Art Coordinator Lisa Torri at Brooks/Cole have all
taken friendly care of the authors and the manuscript and contributed greatly
to the quality of the book. Don Pigozzi’s contribution to the many long sessions
in which the plan for these volumes was forged is greatly appreciated. We regret
that he was not able to join us when it came time to write the first volume;
nevertheless, his collaboration in the task of bringing this work to press has been
extremely valuable to us.
We gladly acknowledge the support given us during the writing of this
volume by the National Science Foundation, the Alexander von Humboldt
Foundation, and the Philippine-American Educational Foundation through a
Fulbright-Hays grant. Apart from our home institutions, the University
of Hawaii, the University of the Philippines, and die Technische Hochschule
Darmstadt have each provided facilities and hospitality while this project was
underway. Finally, we are deeply grateful for the solid support offered by our
wives and children over the past five years.
Ralph N. McKenzie
George F. McNulty
Walter F. Taylor
Contents
Introduction 1
Preliminaries 5
Chapter 2 Lattices 36
2.1 Fundamental Concepts 36
2.2 Complete Lattices and Closure Systems 44
2.3 Modular Lattices: The Rudiments 53
2.4 Modular Lattices wit the Finite Chain Condition 61
2.5 Distributive Lattices 78
2.6 Congruence Relations on Lattices 90
Bibliography 337
Table of Notation 342
Index of Names 348
Index of Terms 350
G. Birkhoff [1933]. On the combination of subalgebras, Proc. Cambridge Philos. Soc. 29,
441-464.
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748.
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Math. Soc., Providence, R.I.
--------- [1944]. Subdirect unions in universal algebra, Bull. Amer. Math. Soc. 5 0 ,764-768.
--------- [1946]. Sobre grupos de automorfîsmos, Rev. Un. Math. Argentina 11, 155-157.
--------- [1948]. Lattice theory, Second Edition, Colloquium Publications, Vol. 25, Amer.
Math. Soc., Providence, R.I.
--------- [1967]. Lattice theory, Third Edition, Colloquium Publications, Vol. 25, Amer.
Math. Soc., Providence, R.I.
G. Birkhoff and O. Frink [1948]. Representations of lattices by sets, Trans. Amer. Math.
Soc. 64, 299-316.
W. Blok and D. Pigozzi [1982]. O n the structure of varieties with equationally definable
principal congruences I, Algebra Universalis 15, 195-227.
W. Blok, P. Kohler, and D. Pigozzi [1984]. On the structure of varieties with equationally
definable principal congruences II, Algebra Universalis 18, 334-379.
G. Boole [1854]. An investigation o f the laws o f thought, W alton and Maberly, London.
S. Burris and H. P. Sankappanavar [1981]. A course in universal algebra. G raduate Texts
in Mathematics, Springer-Verlag, New York.
337
338 Bibliography
J. M. G. Fell and A. Tarski [1952]. On algebras whose factor algebras are Boolean, Pacific
J. Math. 2, 297-318.
I. Fleischer [1955]. A note on subdirect products, Acta Math. Acad. Sci. Hungar. 6,
463-465.
R. Freese [1980]. Free m odular lattices, Trans. Amer. Math. Soc. 261, 81-91.
R. Freese and R. McKenzie [forthcoming]. Commutator theory for congruence modular
varieties. London M athematical Society Lecture-Note Series.
O. Frink. (See G. Birkhoff and O. Frink)
Frobenius and Stickelberger [1879]. Ueber G ruppen von vertauschbaren Elementen,
J. reine angew. Math. 89, 217-262.
G. Fuhrken [1973]. O n automorphisms of algebras with a single binary operation,
Portugal. Math. 32, 49-52.
N. Funayam a and T. N akayam a [1942]. On the distributivity of a lattice of lattice-
congruences, Proc. Imp. Acad. Tokyo 18, 553-554.
J. Hagemann and C. H errm ann [1979]. A concrete ideal multiplication for algebraic
systems and its relation to congruence distributivity, Arch. Math. (Basel) 3 2 ,234-245.
P. Halmos [I960]. Naive set theory, D. Van N ostrand, Princeton.
W. H anf [1957]. On some fundamental problems concerning isomorphism of Boolean
algebras, Math. Scand. 5, 205-217.
J. Hashimoto [1951]. On direct product decomposition of partially ordered sets, Ann.
Math. 54,315-318.
L. Henkin, D. Monk, and A. Tarski [1971]. Cylindric algebras, Part I, N orth-H olland,
Amsterdam-New York-Oxford.
--------- [1985]. Cylindric algebras, Part II, North-H olland, Amsterdam-New York-
Oxford.
C. H errm ann [1979]. Affine algebras in congruence modular varieties, Acta Sci. Math.
(Szeged) 41, 119-125.
--------- [1983]. O n the word problem for the m odular lattice with four free generators,
Math. Ann. 265, 513-527.
--------- (See also. J. Hagemann and C. Herrmann)
Bibliography 339
N. Jacobson [1945]. Structure theory for algebraic algebras of bounded degree, Ann.
Math. 46, 695-707.
--------- [1980]. Basic algebra II, W. H. Freeman, San Francisco.
--------- [1985]. Basic algebra I, Second Edition, W. H. Freeman, New York.
Ju. I. Janov and A. A. Mucnik [1959]. Existence of k-valued closed classes without a finite
basis (Russian), Doklady Akad. Nauk. SSSR 127, 44-46.
B. Jônsson [1953]. On the representation of lattices, Math. Scand. 1, 193-206.
--------- [1957]. On direct decompositions of torsion-free Abelian groups, Math. Scand.
5, 230-235.
--------- [1959]. Lattice-theoretic approach to projective and affine geometry, The axio-
matic method with special reference to geometry and physics (Henkin, Suppes, and
Tarski, Eds.), N orth-H olland, Amsterdam, pp. 188-203.
--------- [1966]. The unique factorization problem for finite relational structures, Colloq.
Math. 14, 1-32.
--------- [1967]. Algebras whose congruence lattices are distributive, M ath. Scand. 21,
110-121.
--------- [1972]. Topics in universal algebra, Lecture Notes in M athematics, Vol. 250,
Springer-Verlag. New York.
--------- [1982]. Varieties of relation algebras, Algebra universalis 15, 273-298.
--------- (See also C. C. Chang, B. Jônsson, and A. Tarski)
B. Jônsson and A. Tarski [1947]. Direct decompositions o f finite algebraic systems. N otre
Dame M athematical Lectures, no. 5. South Bend, IN.
A. I. Maltsev [1936]. U ntersuchungen aus dem Gebiete der mathematische Logik, Mat.
Sb. 1, 323-336.
--------- [1954]. On the general theory of algebraic systems (Russian), M at. Sb. (N.S.) 35
(77), 3-20.
--------- [1970]. The metamathematics o f algebraic systems, collected papers 1936-1967
(Translated and edited by B. F. Wells III), N orth-Holland, Amsterdam.
--------- [1973]. Algebraic systems. Grundlehren der mathematischen Wissenschaften,
340 Bibliography
A. Ju. Ol’shanskii [1980]. An infinite group with subgroups of prime orders (Russian),
Izv. Akad. Nauk SSSR Ser. Mat. 44, No. 2, 309-321, 479.
O. Ore [1935]. O n the foundations of abstract algebra, I, Ann. Math. 36, 406-437.
[1936]. O n the foundations of abstract algebra, II, Ann. Math. 37, 265-292.
P. P. Pâlfy and P. Pudlâk [1980]. Congruence lattices of finite algebras and intervals in
subgroup lattices of finite groups, Algebra Universalis 11, 22-27.
C. S. Peirce [1880]. On the algebra of logic, Amer. J. Math. 3, 15-57.
R. S. Pierce [1968]. Introduction to the theory o f abstract algebra, Holt, Rinehart and
Winston, New York.
--------- [1982]. Associative algebras, G raduate Texts in Mathematics, Vol. 88, Springer-
Verlag, New York.
D. Pigozzi [1972]. On some operations on classes of algebras, Algebra Universalis 2,
346-353.
--------- (See also W. Blok and D. Pigozzi; W. Blok, P. Kohler, and D. Pigozzi)
A. F. Pixley [1963]. Distributivity and permutability of congruences in equational classes
of algebras, Proc. Amer. Math. Soc. 14, 105-109.
E. L. Post [1941]. The two-valued iterative systems o f mathematical logic. Annals of Math.
Studies, no. 5. Princeton University Press, N.J.
P. Pudlâk [1976]. A new proof of the congruence lattice characterization theorem, Algebra
Universalis 6, 269-275.
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P. Pudlâk and J. Tûma [1980]. Every finite lattice can be embedded into a finite partition
lattice, Algebra Universalis 10, 74-95.
A. Pultr and V. Trnkovâ [1980]. Combinatorial, algebraic and topological representations
o f categories, N orth-H olland Publ. Co., Amsterdam.
R. Remak [1911]. Über die Zerlegung der endliche Gruppen in direkte unzerlegbare
Faktoren, J. reine angew. Math. 139, 293-308.
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A. Tarski [1930]. Une contribution à la théorie de la mesure, Fund. M ath. 15, 42-50.
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210-239.
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L. Henkin, D. M onk, and A. Tarski; B. Jônsson and A. Tarski)
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E. A. W alker [1956]. Cancellation in direct sums of groups, Proc. Amer. Math. Soc. 7,
898-902.
D. L. Webb [1936]. Definition of Post’s generalized negative and maximum in terms of
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bände, Arch. Math. (Basel) 28, 557-560.
Table of Notation
Set-Theoretical Notation
O ur elementary set-theoretical notation is standard. It is described fully in the Preliminaries
and only the less commonly encountered features are recalled here.
342
Table of Notation 343
Generally, we have used boldface to indicate algebras, or sets equipped with additional
structure. For example, Aut A is the set of all permutations of the set A, Aut A is the group
of all permutations of A, and Aut A is the set of all automorphisms of the algebra A.
N O T A T IO N PAGES D E S C R IP T IO N
IND(L) 66 the family of all directly join independent
subsets of L.
a© b 66 the direct join of a and b.
<K, and i/zt 56-57 the perspectivity maps.
I [a, 6] z I[a ',b '] 56-57 h] transposes up to /[ a ', h'].
I[a,b] \ I[ a ',b ’J 56-57 I[a,b] transposes down to I[a ',b '].
/[a , 6] Z wI [ a ',b '] 91 transposes weakly up into I[a ',b '].
I[a,b] \ 91 I[a,b] transposes weakly down into
I[a',b'J.
h(a) 64 the height of an element a of a lattice,
d(a) 65 the dimension of an element a of a lattice
with dimension function d.
m3 39, 79 the five element nondistributive m odular
lattice.
n5 39, 55 the five element nonm odular lattice,
F®(3) 39, 241 the free distributive lattice on three free
generators.
39, 241 the free m odular lattice on three free gener-
ators.
7i = <P, A>, L" 207 a projective plane and its associated lattice
of subspaces.
r = <P,A>, Lr 209 a projective geometry and its associated
lattice of subspaces.
dim T 210 the dimension of a projective geometry T.
BC(A) 187 the set of cardinalities of finite bases of X
with respect to the closure operator C.
Ba (A) 187 the set of cardinalities of finite bases of X
with respect to the closure operator SgA,
where X A.
N O T A T IO N PAG ES D E S C R IP T IO N
N, 118 the normal subgroup that is the coset of the
unit element of a group modulo the con-
gruence 3 on the group.
[>,y] 121 the com m utator of elements x and y of a
group.
StabK(r) 132 the stabilizer of t in K.
171 the infinite quasi-cyclic group.
F ^X ), F ^ X ) 120, 240 the free group generated by the free generat-
ing set X.
X 122 the variety of n-nilpotent groups.
122 the (Burnside) variety of groups of expo-
nent n.
ann(R), ann(x) 176, 251 the annihilator of the ring R; the annihila-
tor of the element x of R.
Index of Names
Erdös, P., 109 Jonsson, B., 3, 18, 66, 70, 109-110,190,206, 248,
259, 261, 262, 263, 264, 266, 268, 276,
Fano, G., 208 278, 280, 283, 290, 291, 295, 299, 305,
Feit, W., 102 318
Fell, J. M .G .,317,318 Jacobson, N., 16, 175
Fitting, H., 286 Janov, Ju. L, 148
Fleischer, I., 203 Johnson, O. J., 110
Foster, A. L., 3 Jordan, C., 15, 52, 58, 62, 75, 281-282
Fraenkel, A., 18
Freese, R., 4, 77, 241, 250 Köhler, P., 4
Frink, O., 3, 183 Keisler, H. J., 110
Frobenius, G., 16 Ketonen, J , 116, 261
Fuhrken, G., 132 Kirkman, T., 124
Funayama, N., 78 Kronecker, L., 66, 259
348
Index of Names 349
350
Index of Terms 351
Selected Articles
[1] Clifford Bergman, Universal algebra, Pure and Applied Mathematics (Boca Raton), vol. 301,
CRC Press, Boca Raton, FL, 2012. Fundamentals and selected topics. MR2839398
[2] George M. Bergman, An invitation to general algebra and universal constructions, 2nd ed.,
Universitext, Springer, Cham, 2015. MR3309721
[3] David M. Clark and Brian A. Davey, Natural dualities for the working algebraist, Cambridge
Studies in Advanced Mathematics, vol. 57, Cambridge University Press, Cambridge, 1998.
MR1663208
[4] B. A. Davey and H. A. Priestley, Introduction to lattices and order, 2nd ed., Cambridge
University Press, New York, 2002. MR1902334
[5] Ralph Freese, Jaroslav Ježek, and J. B. Nation, Free lattices, Mathematical Surveys and
Monographs, vol. 42, American Mathematical Society, Providence, RI, 1995. MR1319815
[6] Ralph Freese and Ralph McKenzie, Commutator theory for congruence modular varieties,
London Mathematical Society Lecture Note Series, vol. 125, Cambridge University Press,
Cambridge, 1987. MR909290
363
364 ADDITIONAL BIBLIOGRAPHY
[7] Bernhard Ganter and Rudolf Wille, Formale Begriffsanalyse (German, with German sum-
mary), Springer-Verlag, Berlin, 1996. Mathematische Grundlagen. [Mathematical founda-
tions]. MR1715047
[8] Bernhard Ganter and Rudolf Wille, Formal concept analysis, Springer-Verlag, Berlin, 1999.
Mathematical foundations; Translated from the 1996 German original by Cornelia Franzke.
MR1707295
[9] O. C. Garcı́a and W. Taylor, The lattice of interpretability types of varieties, Mem. Amer.
Math. Soc. 50 (1984), no. 305, v+125, DOI 10.1090/memo/0305. MR749524
[10] Viktor A. Gorbunov, Algebraic theory of quasivarieties, Siberian School of Algebra and Logic,
Consultants Bureau, New York, 1998. Translated from the Russian. MR1654844
[11] George Grätzer, Lattice theory: foundation, Birkhäuser/Springer Basel AG, Basel, 2011.
MR2768581
[12] , The congruences of a finite lattice, second edition ed., Birkhäuser/Springer (Cham.),
2016, A “proof-by-picture” approach. MR3495851
[13] David Hobby and Ralph McKenzie, The structure of finite algebras, Contemporary Mathe-
matics, vol. 76, American Mathematical Society, Providence, RI, 1988. MR958685
[14] Peter Jipsen and Henry Rose, Varieties of lattices, Lecture Notes in Mathematics, vol. 1533,
Springer-Verlag, Berlin, 1992. MR1223545
[15] Kalle Kaarli and Alden F. Pixley, Polynomial completeness in algebraic systems, Chapman
& Hall/CRC, Boca Raton, FL, 2001. MR1888967
[16] Keith A. Kearnes and Emil W. Kiss, The shape of congruence lattices, Mem. Amer. Math.
Soc. 222 (2013), no. 1046, viii+169, DOI 10.1090/S0065-9266-2012-00667-8. MR3076179
[17] Ralph McKenzie and Matthew Valeriote, The structure of decidable locally finite varieties,
Progress in Mathematics, vol. 79, Birkhäuser Boston, Inc., Boston, MA, 1989. MR1033992
[18] Jane Pitkethly and Brian Davey, Dualisability, Advances in Mathematics (Springer), vol. 9,
Springer, New York, 2005. Unary algebras and beyond. MR2161626
[19] M. V. Volkov, Lev Naumovich Shevrin: fifty years in the service of mathematics, Semigroup
Forum 76 (2008), no. 2, 185–191, DOI 10.1007/s00233-007-9035-3. MR2377582
[20] W. Taylor, The clone of a topological space, Research and Exposition in Mathematics, vol. 13,
Heldermann Verlag, Berlin, 1986. MR879120
List of Errata
Page 15:
The display in the upper half of the page describes the equations that
must be added to those for Abelian groups to define the class of (unitary)
R-modules. The following equations should be added:
Page 27:
In Exercise 1.13.3 Replace the sentence “Let A be an algebra.” by “Let
A be an algebra and let B be a subuniverse of A.”
Page 35:
In Exercise 1.25.5, change “join” to “union”.
Page 46:
On lines 18–19, in Theorem 2.14 add the word “nonempty” so that it
reads “. . . the union of any nonempty collection . . ..”
Page 53:
The sentence on lines 5–7 needs to be expanded to read “The Dedekind-
MacNeille completion of the ordered set of rational numbers is (isomorphic
to) the ordered set of real numbers with +∞ and −∞ adjoined.”
Exercise 2.23.2 should read as follows:
Prove that the Dedekind-MacNeille completion of the rationals
in the open interval (0, 1) with their usual order is isomorphic
to the closed interval [0, 1] of real numbers with its usual order.
Page 60:
At the bottom of the page, replace the long sentence beginning with “L is
said to be . . .” and ending at “is a complemented lattice.” by: “A lattice
K is said to be complemented iff K is bounded and every element of K
has a complement; K is said to be relatively complemented iff every
interval I[a, b] in K, when construed as a sublattice, is a complemented
lattice.”
Page 61:
In Exercise 2.35.5, add the word “non-zero” so that it reads “Prove that
the non-zero join irreducible elements of a . . . ”
Page 86:
On the line just below CLAIM 3. Delete “ρa (h)”.
Page 97:
On lines 15–16 add the word “modular” and add two commas, so that it
reads “ G. Birkhoff [1935b] and K. Menger [1936] had earlier established
365
366 LIST OF ERRATA
Page 239:
In the last sentence before the line of bold type, at the middle of the page,
replace “three” by “two”.
Page 248:
The equations listed in Theorem 4.144 that provide a Maltsev charac-
terization of varieties that are congruence distributive are not actually
those framed by Bjarni Jónsson in the paper cited. The difference is
that the two cases when i is even and when it is odd have been reversed.
Theorem 4.144, in effect, provides a second Maltsev characterization of
congruence distributive varieties.
Page 250:
On lines −8, −9 change “R. Freese and R. McKenzie [forthcoming]” to
“R. Freese and R. McKenzie [1987].”
Page 333:
The two words in the roman typeface, “countable and” in COROL-
LARY 2 should be italicized like the rest of the statement.
Page 343:
On line 14 we are defining 0A which first occurs on page 151. Replace
“{a, a} :” by “{a, a :”.
Page 357:
On line 14 in the left-hand column, remove “defined, 16”.
This book presents the foundations of a general theory of algebras. Often
called “universal algebra,” this theory provides a common framework for
all algebraic systems, including groups, rings, modules, fields, and
lattices. Each chapter is replete with useful illustrations and exercises
that solidify the reader’s understanding.
The book begins by developing the main concepts and working tools of
algebras and lattices, and continues with examples of classical algebraic
systems like groups, semigroups, monoids, and categories. The essence
of the book lies in Chapter 4, which provides not only basic concepts and
results of general algebra, but also the perspectives and intuitions shared
by practitioners of the field. The book finishes with a study of possible
uniqueness of factorizations of an algebra into a direct product of
directly indecomposable algebras.
There is enough material in this text for a two semester course sequence,
but a one semester course could also focus primarily on Chapter 4, with
additional topics selected from throughout the text.
CHEL/383.H