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2 The prime spectrum of a ring

References: [ GW1 ] (2.1)–(2.4) (or other books that cover scheme theory, e.g., [ Mu ] Ch. II §1; [ Ha ] II.2).

Nov. 4, 2025

(2.1) Motivation: Hilbert’s Nullstellensatz

One piece of motivation for the theory we are going to work out is Hilbert’s Nullstellensatz. To start the discussion, we start with a simple observation.

Proposition 2.1
Let \(k\) be a field, \((t_1, \dots , t_n)\in k^n\). Then
\[ (T_1-t_1, \dots , T_n-t_n) \subset k[T_1, \dots , T_n] \]
is a maximal ideal. This ideal is the kernel of the evaluation homomorphism
\[ k[T_1, \dots , T_n]\to k,\quad T_i\mapsto t_i, \]
i.e., a polynomial \(f\) lies in the above ideal if and only if \(f(t_1, \dots , t_n) = 0\).

Proof

All statements are easy to check.

Theorem 2.2
Let \(k\) be a field, and \(\mathfrak m \subset k[T_1,\dots , T_n]\) a maximal ideal. Then the field extension \(k \subset k[T_1, \dots , T_n]/\mathfrak m\) is finite.

Proof

See  [ GW1 ] Section (1.3), or  [ Mu ] Ch. I §1, or  [ Alg2 ] 4.3 for proofs based on Noether Normalization, or, for instance, [ AM ] Ch. 5, Ch. 7 for (somewhat) different proofs.

Corollary 2.3
Let \(k\) be an algebraically closed field. Then the maximal ideals of the ring \(k[T_1, \dots , T_n]\) are precisely the ideals of the form
\[ (T_1 - t_1, \dots , T_n-t_n),\quad (t_1, \dots , t_n)\in k^n, \]
and we obtain a bijection between \(k^n\) and the set of maximal ideals of \(k[T_1, \dots , T_n]\).

Proof

Let \(\mathfrak m\subset k[T_1,\dots , T_n]\) be a maximal ideal. By the theorem, the inclusion \(k\to k[T_1,\dots , T_n]/\mathfrak m\) is a finite field extension, hence – since \(k\) is algebraically closed by assumption – an isomorphism. We define \(t_i\) as the image of (the residue class of) \(T_i\) under its inverse. Then clearly \((T_1-t_1, \dots , T_n-t_n) \subset \mathfrak m\), and since the left hand side is a maximal ideal, equality follows.

Under the bijection of the corollary (for \(k\) algebraically closed), a vanishing set \(V(f_1, \dots , f_m)\) corresponds to the set of all maximal ideals that contain \(f_1, \dots , f_m\).

(2.2) The spectrum of a ring

Following Grothendieck, and in view of Hilbert’s Nullstellensatz, we start a general theory of algebraic geometry by replacing polynomial rings over (algebraically closed) fields by arbitrary ring, and defining for a ring \(R\), its prime spectrum

\[ \operatorname{Spec}(R) = \left\{ \mathfrak p \subset R\ \text{prime ideal} \right\} . \]

(It is better to work with prime ideals than with maximal ideals. One reason is that otherwise the following definition of the map between spectra induced by a ring homomorphism would not work, since in general preimages of maximal ideals under a ring homomorphism are not maximal ideals.)

For an element \(f\in R\), we denote by \(f(\mathfrak p)\) the image of \(f\) under the ring homomorphism

\[ R \longrightarrow R/\mathfrak p \longrightarrow \operatorname{Frac}(R/\mathfrak p). \]

In particular, we have \(f(\mathfrak p) = 0\) if and only if \(f\in \mathfrak p\). (Compare the situation for polynomial rings over fields, and polynomials \(f\).)

Proposition/Definition 2.4
[Zariski topology on \(\operatorname{Spec}(R)\)] Let \(R\) be a ring.
  1. For a subset \(M\subseteq R\), we define the “vanishing set”

    \[ V(M) = \left\{ {\mathfrak p}\in \operatorname{Spec}(R);\ M\subseteq {\mathfrak p}\right\} . \]

    If \({\mathfrak a}\) is the ideal generated by \(M\), then \(V(M) = V(\mathfrak a)\). For \(M \subseteq M'\), we have \(V(M') \subseteq V(M)\). For an element \(f\in R\) we also write \(V(f)\) for \(V(\left\{ f \right\} )\).

  2. We have \(V(0) = \operatorname{Spec}(R)\), \(V(1) = \emptyset \).

  3. For a family \({\mathfrak a}_i\) of ideals of \(R\), we have

    \[ \bigcap _i V({\mathfrak a}_i) = V \left( \sum _i {\mathfrak a}_i \right). \]
  4. For ideals \({\mathfrak a}_1, {\mathfrak a}_2 \subseteq R\) we have

    \[ V({\mathfrak a}_1)\cup V({\mathfrak a}_2) = V({\mathfrak a}_1 \cap {\mathfrak a}_2) = V({\mathfrak a}_1 {\mathfrak a}_2). \]
In particular, the subsets of \(\operatorname{Spec}(R)\) of the form \(V({\mathfrak a})\) for ideals \({\mathfrak a}\subseteq R\) form the closed sets of a topology on \(\operatorname{Spec}(R)\), the so-called Zariski topology.

Proof

Assertions (1), (2) and (3) are easy to check. For (4) note that

\[ {\mathfrak a}_1 {\mathfrak a}_2 \subseteq {\mathfrak a}_1 \cap {\mathfrak a}_2 \cap {\mathfrak a}_1, \]

and likewise for \({\mathfrak a}_2\), so that we have

\[ V({\mathfrak a}_1)\cup V({\mathfrak a}_2) \subseteq V({\mathfrak a}_1 \cap {\mathfrak a}_2) \subseteq V({\mathfrak a}_1 {\mathfrak a}_2). \]

Now let \({\mathfrak p}\in V({\mathfrak a}_1{\mathfrak a}_2)\) and assume that \({\mathfrak p}\not \in V({\mathfrak a}_1)\), say \(f\in {\mathfrak a}_1\setminus {\mathfrak p}\). But then for every \(g\in {\mathfrak a}_2\), we have \(fg\in {\mathfrak a}_1{\mathfrak a}_2 \subseteq {\mathfrak p}\), and since \({\mathfrak p}\) is a prime ideal and \(f\not \in {\mathfrak p}\), we get \(g\in {\mathfrak p}\). We have shown that \({\mathfrak a}_2 \subseteq {\mathfrak p}\), i.e., that \({\mathfrak p}\in V({\mathfrak a}_2)\).

With the notation introduced above, we can also write

\[ V(M) = \left\{ {\mathfrak p}\in \operatorname{Spec}(R);\ f({\mathfrak p})=0\ \text{for all}\ f\in M \right\} . \]

This in particular shows the analogy with the notation \(V(M)\) introduced in Chapter 1. But note that this is only an analogy; we really redefine the notation \(V(M)\) and from now on will use it only with the new meaning.

We have attached to every ring \(R\) a topological space \(\operatorname{Spec}(R)\). We extend this definition to a contravariant functor from the category of rings to the category of topological spaces, as follows. (This means simply that to each ring homomorphism \(\varphi \colon R\to S\) we attach a continuous map \(\operatorname{Spec}(S)\to \operatorname{Spec}(R)\) (note that it goes “in the other direction”, whence the term contravariant), and this is compatible with composition of homomorphisms, and for the identity map an rings we get the identity map on topological spaces. For more on categories, see, e.g., [ Alg2 ] Section 3.1 or  [ GW1 ] Appendix A.)

Recall that the inverse image of a prime ideal under a ring homomorphism is a prime ideal.

Definition 2.5
Let \(\varphi \colon R\to S\) be a ring homomorphism. We define a map
\[ {}^a \varphi \colon \operatorname{Spec}(S)\to \operatorname{Spec}(R),\quad {\mathfrak q}\mapsto \varphi ^{-1}({\mathfrak q}). \]
This map is also denoted by \(\operatorname{Spec}(\varphi )\).

It is immediate that this construction is compatible with composition of homomorphisms, and for the identity map an rings we get the identity map on topological spaces. Continuity is also easy to check:

Lemma 2.6
Let \(\varphi \colon R\to S\) be a ring homomorphism. Then the map \({}^a \varphi \) is continuous. More precisely, for every ideal \({\mathfrak a}\subseteq R\), we have
\[ ({}^a \varphi )^{-1}(V({\mathfrak a})) = V(\varphi ({\mathfrak a})). \]

Proof

The second statement implies that for every closed subset of \(\operatorname{Spec}(R)\) the inverse image under \({}^a \varphi \) is again closed, and hence that the map \({}^a \varphi \) is continuous. To prove it, note that for \({\mathfrak q}\in \operatorname{Spec}(S)\) we have

\begin{align*} {\mathfrak q}\in ({}^a \varphi )^{-1}(V({\mathfrak a})) & \Longleftrightarrow {}^a \varphi ({\mathfrak q}) \in V({\mathfrak a}) \Longleftrightarrow {\mathfrak a}\subseteq \varphi ^{-1}({\mathfrak q})\\ & \Longleftrightarrow \varphi ({\mathfrak a}) \subseteq {\mathfrak q}\Longleftrightarrow {\mathfrak q}\in V(\varphi ({\mathfrak a})). \end{align*}

Example 2.7
  1. \(\operatorname{Spec}(k)\) for \(k\) a field,

  2. \(\operatorname{Spec}(\mathbb {Z})\),

  3. \(\operatorname{Spec}(k \times k)\) for \(k\) a field,

    Nov. 5, 2025

  4. for \(R\) a principal ideal domain, the prime ideals are \((0)\) (with closure all of \(\operatorname{Spec}(R)\)) and the ideals \((f)\) for \(f\) irreducible (the latter being maximal ideals and hence corresponding to closed points). This applies in particular to \(\operatorname{Spec}(k[T])\) for \(k\) a field. If \(k\) is assumed to be algebraically closed then the irreducible polynomials are precisely the linear polynomials and \(\operatorname{Spec}(k[T]) = \left\{ (X-a);\ a\in k \right\} \cup \{ (0)\} \). For \(k = \mathbb R\), in addition to the linear polynomials, there are irreducible polynomials of degree \(2\), as well, namely all polynomials that decompose in \(\mathbb {C}[T]\) as \((X-a)(X-\overline{a})\) for some \(a\in \mathbb {C}\setminus \mathbb {R}\). The map \(\operatorname{Spec}(\mathbb {C}[T])\to \operatorname{Spec}(\mathbb {R}[T])\) corresponding to the inclusion \(\mathbb {R}[T] \subset \mathbb {C}[T]\) maps \((0)\mapsto (0)\) and

    \[ (X-a)\mapsto (X-a)\ (a\in \mathbb {R}),\qquad (X-a)\mapsto ((X-a)(X-\overline{a}))\ (a\in \mathbb {C}\setminus \mathbb {R}). \]

Proposition 2.8
Let \(R\) be a ring and \({\mathfrak a}\subseteq R\) an ideal. Denote by \(\pi \colon R \to R/{\mathfrak a}\) the canonical projection. Then the map \({}^a\pi \) induces a homeomorphism (i.e., a bijective continuous map with continuous inverse map)
\[ \operatorname{Spec}(R/{\mathfrak a}) \to V({\mathfrak a}). \]

Proof

Since (prime) ideals in the quotient correspond bijectively to (prime) ideals in \(R\) which contain \({\mathfrak a}\), the map \(\operatorname{Spec}(R/{\mathfrak a})\to \operatorname{Spec}(R)\) has image \(V({\mathfrak a})\) and is injective. Since we know that it is continuous, it only remains to show that the inverse map is continuous, as well. In other words, we need to check that \({}^a\pi \) maps closed sets to closed sets. But one checks easily that

\[ {}^a\pi (V(\overline{{\mathfrak b}}) = V({\mathfrak a})\cap V(\pi ^{-1}(\overline{{\mathfrak b}})) \]

which is closed in \(V({\mathfrak a})\), as desired.

Note that it is easy (i.e., you should do it …) to construct examples of a ring \(R\) and ideals \({\mathfrak a}\ne {\mathfrak b}\) with \(V({\mathfrak a}) = V({\mathfrak b})\). The following result clarifies the situation. Recall the notion of radical of an ideal; for \({\mathfrak a}\subseteq R\) its radical is

\[ \sqrt{{\mathfrak a}} = \left\{ f\in R;\ \exists n\ge 1: f^n \in {\mathfrak a}\right\} = \bigcap _{{\mathfrak p}\in V({\mathfrak a})} {\mathfrak p}, \]

an ideal containing \({\mathfrak a}\). For the second equality, see  [ Alg2 ] Satz 2.59. We call an ideal \({\mathfrak a}\subseteq R\) a radical ideal, if \(\sqrt{{\mathfrak a}}={\mathfrak a}\).

Proposition 2.9

Let \(R\) be a ring. For \(Y\subseteq \operatorname{Spec}(R)\), write \(I(Y) = \bigcap _{\mathfrak p \in Y} \mathfrak p\).

The maps \({\mathfrak a}\mapsto V({\mathfrak a})\) and \(Y\mapsto I(Y)\) satisfy

  1. \(V(I(Y)) = \overline{Y}\),

  2. \(I(V({\mathfrak a})) = \sqrt{{\mathfrak a}}\),

and in particular induce a bijection between the set of all radical ideals of \(R\) and the set of all closed subsets of \(\operatorname{Spec}(R)\).

Proof

It is clear that both \(V(-)\) and \(I(-)\) are inclusion reversing. Furthermore, \(I(Y)\), being an intersection of radical ideals, is itself a radical ideal for every \(Y\). Since \(V({\mathfrak a})\) is closed for every \({\mathfrak a}\), the final statement follows from (1) and (2).

Let us show that \(V(I(Y)) = \overline{Y}\) for every subset \(Y \subseteq \operatorname{Spec}(R)\). Clearly the left hand side is closed and contains \(Y\), so we have \(\supseteq \). To show \(\subseteq \) we need to show that \(V(I(Y))\) is the smallest closed subset containing \(Y\), i.e., that whenever \(Y \subseteq V({\mathfrak a})\), then \(V(I(Y)) \subseteq V({\mathfrak a})\). But if \(Y \subseteq V({\mathfrak a})\), then \({\mathfrak a}\subseteq {\mathfrak p}\) for all \({\mathfrak p}\in Y\), so \({\mathfrak a}\subseteq I(Y)\), and hence \(V(I(Y)) \subset V({\mathfrak a})\) as desired.

Now we show that \(I(V({\mathfrak a})) = \sqrt{{\mathfrak a}}\) for every ideal \({\mathfrak a}\subset R\). But the radical of \({\mathfrak a}\) can be described as

\[ \sqrt{{\mathfrak a}} = \bigcap _{{\mathfrak p}\in \operatorname{Spec}(R),\ {\mathfrak a}\subseteq {\mathfrak p}}{\mathfrak p}, \]

and this is precisely \(I(V({\mathfrak a}))\).

In particular, for every \({\mathfrak p}\in \operatorname{Spec}(R)\),

\[ \overline{\left\{ {\mathfrak p}\right\} } = V({\mathfrak p}). \]

From this we see that a point \({\mathfrak p}\in \operatorname{Spec}(R)\) is closed (i.e., \(\left\{ {\mathfrak p}\right\} \) is a closed subset of \(\operatorname{Spec}(R)\)) if and only if \({\mathfrak p}\) is a maximal ideal.

Definition 2.10
Let \(R\) be a ring. For \(f\in R\) we define
\[ D(f) = \operatorname{Spec}(R)\setminus V(f) \]
and call the subsets of \(\operatorname{Spec}(R)\) of this form principal open subsets.

With the notation introduced above we may write

\[ D(f) = \left\{ {\mathfrak p}\in \operatorname{Spec}(R);\ f({\mathfrak p})\ne 0 \right\} , \]

and correspondingly we sometimes think of \(D(f)\) as the non-vanishing set of \(f\).

Proposition 2.11
Let \(R\) be a ring.
  1. The sets \(D(f)\) for \(f\in R\) form a basis of the topology of \(\operatorname{Spec}(R)\), i.e., every open subset of \(\operatorname{Spec}(R)\) can be written as a union of subsets of this form.

  2. The family of sets \(D(f)\) is stable under taking finite intersections.

Proof

For (1) take \(U \subseteq \operatorname{Spec}(R)\) open, say \(U = \operatorname{Spec}(R)\setminus V({\mathfrak a})\). Then \(V({\mathfrak a}) = \bigcap _{f\in {\mathfrak a}} V(f)\), hence \(U=\bigcup _{f\in {\mathfrak a}} D(f)\). For (2) note that \(D(f)\cap D(g) = D(fg)\) and that the intersection with empty index set, \(\operatorname{Spec}(R)\) equals \(D(f)\).

Proposition 2.12
Let \(R\) be a ring and let \(f\in R\). Denote by \(R_f\) the localization of \(R\) with respect to \(f\). Then the ring homomorphism \(\tau \colon R\to R_f\), \(x\mapsto \frac{x}{1}\), induces a homeomorphism
\[ \operatorname{Spec}(R_f)\to D(f). \]

Proof

The set of prime ideals in a localization \(S^{-1}R\) of \(R\) is in bijection to the set of prime ideals \({\mathfrak p}\) in \(R\) with \({\mathfrak p}\cap S=\emptyset \), via \({\mathfrak P}\mapsto \tau ^{-1}({\mathfrak P})\) and \({\mathfrak p}\mapsto {\mathfrak p}S^{-1}R = \left\{ \frac{a}{s};\ a\in {\mathfrak p}, s\in S \right\} \). This implies that the continuous map \(\operatorname{Spec}(R_f)\to \operatorname{Spec}(R)\) restricts to a bijective (and, of course, still continuous) map \(\operatorname{Spec}(R_f)\to D(f)\). To check that it is a homeomorphism, we need to check that open sets in \(\operatorname{Spec}(R_f)\) have opens in \(D(f)\) as their image. It is enough to check this for principal open subsets \(D(g/f^i)\), because those are a basis of the topology, and such a set has image \(D(fg)=D(f)\cap D(g)\) in \(\operatorname{Spec}(R)\), which is open in \(D(f)\). (Equivalently, one could check that closed sets have closed image in \(D(f)\). This is also easy: for an ideal \({\mathfrak a}\subseteq R_f\), the image of \(V({\mathfrak a})\) in \(\operatorname{Spec}(R)\) is \(D(f)\cap V(\tau ^{-1}({\mathfrak a}))\cap D(f)\) which is closed in \(D(f)\).)

Proposition 2.13
Let \(R\) be a ring and \(f\in R\). Then \(D(f)\) (with the induced topology) is quasi-compact 1 (i.e., for every cover \(D(f) = \bigcup _{i\in I} U_i\) by open subsets there exists a finite subset \(I' \subseteq I\) with \(D(f) = \bigcup _{i\in I'} U_i\)). In particular, \(\operatorname{Spec}(R) = D(1)\) is quasi-compact.

Proof

Exercise (Problem Sheet 3).

(2.3) Generic points

Nov. 11, 2025

Recall from Problem Sheet 1 the notion of irreducible topological space. (A topological space \(X\) is called irreducible, if \(X\ne \emptyset \) and \(X\) cannot be written as the union of two proper closed subsets, or equivalently, if \(X\ne \emptyset \) and any two non-empty open subsets of \(X\) have non-empty intersection.)

Clearly, if \(X\) is a topological space and \(x\in X\), then the closure \(\overline{\{ x\} }\) is irreducible (because any non-empty open of this set contains \(x\)). Topological spaces that arise as spectra of ring have a sort of converse property:

Proposition 2.14
Let \(R\) be a ring, \(X = \operatorname{Spec}(R)\), and \(Z \subseteq X\) a closed subset.
  1. The set \(Z\) (with the induced topology) is irreducible if and only if \(I(Z)\) is a prime ideal.

  2. If the closed subset \(Z\) is irreducible, then there exists a unique \(\eta \in Z\) such that \(\overline{\left\{ \eta \right\} } = Z\), and we call \(\eta \) the generic point of \(Z\).

Proof

Let \({\mathfrak a}= I(Z)\), so \({\mathfrak a}\subseteq R\) is a radical ideal with \(Z= V({\mathfrak a})\). If \({\mathfrak a}={\mathfrak p}\) is a prime ideal, then \(Z = V({\mathfrak p}) = \overline{ \left\{ {\mathfrak p}\right\} }\) as we have seen above, and in particular \(Z\) is irreducible with generic point \({\mathfrak p}\). Since for prime ideals, \(V({\mathfrak p})=V({\mathfrak q})\) if and only if \({\mathfrak p}= {\mathfrak q}\) (because prime ideals are radical ideals) this argument also shows the uniqueness statement of (2).

Thus it only remains to show that whenever \(Z\) is irreducible, then \(I(Z)\) is prime. First note that \(Z\ne \emptyset \) implies \(I(Z)\ne R\). Now for \(f, g\in R\) with \(fg\in I(Z)\), we have \(Z \subseteq V(fg) = V(f)\cup V(g)\), and if \(Z\) is irreducible, it follows that \(Z \subseteq V(f)\) or \(Z \subseteq V(g)\). Without loss of generality, we have \(Z \subseteq V(f)\), say. But then \(f \in \sqrt{(f)} = I(V(f)) \subseteq I(Z)\).

More precisely, one can show that for any subset \(Y \subseteq \operatorname{Spec}(R)\) (not necessarily closed), \(Y\) is irreducible if and only if \(I(Y)\) is a prime ideal. (But \(Y\) need not contain a generic point!) This follows from the following lemma.

Lemma 2.15
Let \(X\) be a topological space, and \(Y \subseteq X\) a subset with closure \(\overline{Y}\). Then \(Y\) is irreducible if and only if \(\overline{Y}\) is irreducible.

Proof

Use that for any open \(U \subseteq X\), we have \(Y\cap U = \emptyset \) if and only if \(\overline{Y}\cap U=\emptyset \).

  1. The terminology here follows the French/Bourbaki convention, which also became the standard in algebraic geometry, that a compact space is quasi-compact in the sense explained here and Hausdorff (which \(\operatorname{Spec}(R)\) typically is not).