10.17 The spectrum of a ring
We arbitrarily decide that the spectrum of a ring as a topological space is part of the algebra chapter, whereas an affine scheme is part of the chapter on schemes.
Definition 10.17.1. Let R be a ring.
The spectrum of R is the set of prime ideals of R. It is usually denoted \mathop{\mathrm{Spec}}(R).
Given a subset T \subset R we let V(T) \subset \mathop{\mathrm{Spec}}(R) be the set of primes containing T, i.e., V(T) = \{ \mathfrak p \in \mathop{\mathrm{Spec}}(R) \mid \forall f\in T, f\in \mathfrak p\} .
Given an element f \in R we let D(f) \subset \mathop{\mathrm{Spec}}(R) be the set of primes not containing f.
Lemma 10.17.2. Let R be a ring.
The spectrum of a ring R is empty if and only if R is the zero ring.
Every nonzero ring has a maximal ideal.
Every nonzero ring has a minimal prime ideal.
Given an ideal I \subset R and a prime ideal I \subset \mathfrak p there exists a prime I \subset \mathfrak q \subset \mathfrak p such that \mathfrak q is minimal over I.
If T \subset R, and if (T) is the ideal generated by T in R, then V((T)) = V(T).
If I is an ideal and \sqrt{I} is its radical, see basic notion (27), then V(I) = V(\sqrt{I}).
Given an ideal I of R we have \sqrt{I} = \bigcap _{I \subset \mathfrak p} \mathfrak p.
If I is an ideal then V(I) = \emptyset if and only if I is the unit ideal.
If I, J are ideals of R then V(I) \cup V(J) = V(I \cap J).
If (I_ a)_{a\in A} is a set of ideals of R then \bigcap _{a\in A} V(I_ a) = V(\bigcup _{a\in A} I_ a).
If f \in R, then D(f) \amalg V(f) = \mathop{\mathrm{Spec}}(R).
If f \in R then D(f) = \emptyset if and only if f is nilpotent.
If f = u f' for some unit u \in R, then D(f) = D(f').
If I \subset R is an ideal, and \mathfrak p is a prime of R with \mathfrak p \not\in V(I), then there exists an f \in R such that \mathfrak p \in D(f), and D(f) \cap V(I) = \emptyset .
If f, g \in R, then D(fg) = D(f) \cap D(g).
If f_ i \in R for i \in I, then \bigcup _{i\in I} D(f_ i) is the complement of V(\{ f_ i \} _{i\in I}) in \mathop{\mathrm{Spec}}(R).
If f \in R and D(f) = \mathop{\mathrm{Spec}}(R), then f is a unit.
Proof.
We address each part in the corresponding item below.
This is a direct consequence of (2) or (3).
Let \mathfrak {A} be the set of all proper ideals of R. This set is ordered by inclusion and is non-empty, since (0) \in \mathfrak {A} is a proper ideal. Let A be a totally ordered subset of \mathfrak A. Then \bigcup _{I \in A} I is in fact an ideal. Since 1 \notin I for all I \in A, the union does not contain 1 and thus is proper. Hence \bigcup _{I \in A} I is in \mathfrak {A} and is an upper bound for the set A. Thus by Zorn's lemma \mathfrak {A} has a maximal element, which is the sought-after maximal ideal.
Since R is nonzero, it contains a maximal ideal which is a prime ideal. Thus the set \mathfrak {A} of all prime ideals of R is nonempty. \mathfrak {A} is ordered by reverse-inclusion. Let A be a totally ordered subset of \mathfrak {A}. It's pretty clear that J = \bigcap _{I \in A} I is in fact an ideal. Not so clear, however, is that it is prime. Let xy \in J. Then xy \in I for all I \in A. Now let B = \{ I \in A | y \in I\} . Let K = \bigcap _{I \in B} I. Since A is totally ordered, either K = J (and we're done, since then y \in J) or K \supset J and for all I \in A such that I is properly contained in K, we have y \notin I. But that means that for all those I, x \in I, since they are prime. Hence x \in J. In either case, J is prime as desired. Hence by Zorn's lemma we get a maximal element which in this case is a minimal prime ideal.
This is the same exact argument as (3) except you only consider prime ideals contained in \mathfrak {p} and containing I.
(T) is the smallest ideal containing T. Hence if T \subset I, some ideal, then (T) \subset I as well. Hence if I \in V(T), then I \in V((T)) as well. The other inclusion is obvious.
Since I \subset \sqrt{I}, V(\sqrt{I}) \subset V(I). Now let \mathfrak {p} \in V(I). Let x \in \sqrt{I}. Then x^ n \in I for some n. Hence x^ n \in \mathfrak {p}. But since \mathfrak {p} is prime, a boring induction argument gets you that x \in \mathfrak {p}. Hence \sqrt{I} \subset \mathfrak {p} and \mathfrak {p} \in V(\sqrt{I}).
Let f \in R \setminus \sqrt{I}. Then f^ n \notin I for all n. Hence S = \{ 1, f, f^2, \ldots \} is a multiplicative subset, not containing 0. Take a prime ideal \bar{\mathfrak {p}} \subset S^{-1}R containing S^{-1}I. Then the pull-back \mathfrak {p} in R of \bar{\mathfrak {p}} is a prime ideal containing I that does not intersect S. This shows that \bigcap _{I \subset \mathfrak p} \mathfrak p \subset \sqrt{I}. Now if a \in \sqrt{I}, then a^ n \in I for some n. Hence if I \subset \mathfrak {p}, then a^ n \in \mathfrak {p}. But since \mathfrak {p} is prime, we have a \in \mathfrak {p}. Thus the equality is shown.
I is not the unit ideal if and only if I is contained in some maximal ideal (to see this, apply (2) to the ring R/I) which is therefore prime.
If \mathfrak {p} \in V(I) \cup V(J), then I \subset \mathfrak {p} or J \subset \mathfrak {p} which means that I \cap J \subset \mathfrak {p}. Now if I \cap J \subset \mathfrak {p}, then IJ \subset \mathfrak {p} and hence either I of J is in \mathfrak {p}, since \mathfrak {p} is prime.
\mathfrak {p} \in \bigcap _{a \in A} V(I_ a) \Leftrightarrow I_ a \subset \mathfrak {p}, \forall a \in A \Leftrightarrow \mathfrak {p} \in V(\bigcup _{a\in A} I_ a)
If \mathfrak {p} is a prime ideal and f \in R, then either f \in \mathfrak {p} or f \notin \mathfrak {p} (strictly) which is what the disjoint union says.
If a \in R is nilpotent, then a^ n = 0 for some n. Hence a^ n \in \mathfrak {p} for any prime ideal. Thus a \in \mathfrak {p} as can be shown by induction and D(a) = \emptyset . Now, as shown in (7), if a \in R is not nilpotent, then there is a prime ideal that does not contain it.
f \in \mathfrak {p} \Leftrightarrow uf \in \mathfrak {p}, since u is invertible.
If \mathfrak {p} \notin V(I), then \exists f \in I \setminus \mathfrak {p}. Then f \notin \mathfrak {p} so \mathfrak {p} \in D(f). Also if \mathfrak {q} \in D(f), then f \notin \mathfrak {q} and thus I is not contained in \mathfrak {q}. Thus D(f) \cap V(I) = \emptyset .
If fg \in \mathfrak {p}, then f \in \mathfrak {p} or g \in \mathfrak {p}. Hence if f \notin \mathfrak {p} and g \notin \mathfrak {p}, then fg \notin \mathfrak {p}. Since \mathfrak {p} is an ideal, if fg \notin \mathfrak {p}, then f \notin \mathfrak {p} and g \notin \mathfrak {p}.
\mathfrak {p} \in \bigcup _{i \in I} D(f_ i) \Leftrightarrow \exists i \in I, f_ i \notin \mathfrak {p} \Leftrightarrow \mathfrak {p} \in \mathop{\mathrm{Spec}}(R) \setminus V(\{ f_ i\} _{i \in I})
If D(f) = \mathop{\mathrm{Spec}}(R), then V(f) = \emptyset and hence fR = R, so f is a unit.
\square
The lemma implies that the subsets V(T) from Definition 10.17.1 form the closed subsets of a topology on \mathop{\mathrm{Spec}}(R). And it also shows that the sets D(f) are open and form a basis for this topology.
Definition 10.17.3. Let R be a ring. The topology on \mathop{\mathrm{Spec}}(R) whose closed sets are the sets V(T) is called the Zariski topology. The open subsets D(f) are called the standard opens of \mathop{\mathrm{Spec}}(R).
It should be clear from context whether we consider \mathop{\mathrm{Spec}}(R) just as a set or as a topological space.
Lemma 10.17.4.slogan Suppose that \varphi : R \to R' is a ring homomorphism. The induced map
\mathop{\mathrm{Spec}}(\varphi ) : \mathop{\mathrm{Spec}}(R') \longrightarrow \mathop{\mathrm{Spec}}(R), \quad \mathfrak p' \longmapsto \varphi ^{-1}(\mathfrak p')
is continuous for the Zariski topologies. In fact, for any element f \in R we have \mathop{\mathrm{Spec}}(\varphi )^{-1}(D(f)) = D(\varphi (f)).
Proof.
It is basic notion (41) that \mathfrak p := \varphi ^{-1}(\mathfrak p') is indeed a prime ideal of R. The last assertion of the lemma follows directly from the definitions, and implies the first.
\square
If \varphi ' : R' \to R'' is a second ring homomorphism then the composition
\mathop{\mathrm{Spec}}(R'') \longrightarrow \mathop{\mathrm{Spec}}(R') \longrightarrow \mathop{\mathrm{Spec}}(R)
equals \mathop{\mathrm{Spec}}(\varphi ' \circ \varphi ). In other words, \mathop{\mathrm{Spec}} is a contravariant functor from the category of rings to the category of topological spaces.
Lemma 10.17.5. Let R be a ring. Let S \subset R be a multiplicative subset. The map R \to S^{-1}R induces via the functoriality of \mathop{\mathrm{Spec}} a homeomorphism
\mathop{\mathrm{Spec}}(S^{-1}R) \longrightarrow \{ \mathfrak p \in \mathop{\mathrm{Spec}}(R) \mid S \cap \mathfrak p = \emptyset \}
where the topology on the right hand side is that induced from the Zariski topology on \mathop{\mathrm{Spec}}(R). The inverse map is given by \mathfrak p \mapsto S^{-1}\mathfrak p = \mathfrak p(S^{-1}R).
Proof.
Denote the right hand side of the arrow of the lemma by D. Choose a prime \mathfrak p' \subset S^{-1}R and let \mathfrak p the inverse image of \mathfrak p' in R. Since \mathfrak p' does not contain 1 we see that \mathfrak p does not contain any element of S. Hence \mathfrak p \in D and we see that the image is contained in D. Let \mathfrak p \in D. By assumption the image \overline{S} does not contain 0. By basic notion (54) \overline{S}^{-1}(R/\mathfrak p) is not the zero ring. By basic notion (62) we see S^{-1}R / S^{-1}\mathfrak p = \overline{S}^{-1}(R/\mathfrak p) is a domain, and hence S^{-1}\mathfrak p is a prime. The equality of rings also shows that the inverse image of S^{-1}\mathfrak p in R is equal to \mathfrak p, because R/\mathfrak p \to \overline{S}^{-1}(R/\mathfrak p) is injective by basic notion (55). This proves that the map \mathop{\mathrm{Spec}}(S^{-1}R) \to \mathop{\mathrm{Spec}}(R) is bijective onto D with inverse as given. It is continuous by Lemma 10.17.4. Finally, let D(g) \subset \mathop{\mathrm{Spec}}(S^{-1}R) be a standard open. Write g = h/s for some h\in R and s\in S. Since g and h/1 differ by a unit we have D(g) = D(h/1) in \mathop{\mathrm{Spec}}(S^{-1}R). Hence by Lemma 10.17.4 and the bijectivity above the image of D(g) = D(h/1) is D \cap D(h). This proves the map is open as well.
\square
Lemma 10.17.6. Let R be a ring. Let f \in R. The map R \to R_ f induces via the functoriality of \mathop{\mathrm{Spec}} a homeomorphism
\mathop{\mathrm{Spec}}(R_ f) \longrightarrow D(f) \subset \mathop{\mathrm{Spec}}(R).
The inverse is given by \mathfrak p \mapsto \mathfrak p \cdot R_ f.
Proof.
This is a special case of Lemma 10.17.5.
\square
It is not the case that every “affine open” of a spectrum is a standard open. See Example 10.27.4.
Lemma 10.17.7. Let R be a ring. Let I \subset R be an ideal. The map R \to R/I induces via the functoriality of \mathop{\mathrm{Spec}} a homeomorphism
\mathop{\mathrm{Spec}}(R/I) \longrightarrow V(I) \subset \mathop{\mathrm{Spec}}(R).
The inverse is given by \mathfrak p \mapsto \mathfrak p / I.
Proof.
It is immediate that the image is contained in V(I). On the other hand, if \mathfrak p \in V(I) then \mathfrak p \supset I and we may consider the ideal \mathfrak p /I \subset R/I. Using basic notion (51) we see that (R/I)/(\mathfrak p/I) = R/\mathfrak p is a domain and hence \mathfrak p/I is a prime ideal. From this it is immediately clear that the image of D(f + I) is D(f) \cap V(I), and hence the map is a homeomorphism.
\square
Lemma 10.17.8.slogan Let R be a ring. The space \mathop{\mathrm{Spec}}(R) is quasi-compact.
Proof.
It suffices to prove that any covering of \mathop{\mathrm{Spec}}(R) by standard opens can be refined by a finite covering. Thus suppose that \mathop{\mathrm{Spec}}(R) = \cup D(f_ i) for a set of elements \{ f_ i\} _{i\in I} of R. This means that \cap V(f_ i) = \emptyset . According to Lemma 10.17.2 this means that V(\{ f_ i \} ) = \emptyset . According to the same lemma this means that the ideal generated by the f_ i is the unit ideal of R. This means that we can write 1 as a finite sum: 1 = \sum _{i \in J} r_ i f_ i with J \subset I finite. And then it follows that \mathop{\mathrm{Spec}}(R) = \cup _{i \in J} D(f_ i).
\square
Lemma 10.17.9. Let R be a ring. The topology on X = \mathop{\mathrm{Spec}}(R) has the following properties:
X is quasi-compact,
X has a basis for the topology consisting of quasi-compact opens, and
the intersection of any two quasi-compact opens is quasi-compact.
Proof.
The spectrum of a ring is quasi-compact, see Lemma 10.17.8. It has a basis for the topology consisting of the standard opens D(f) = \mathop{\mathrm{Spec}}(R_ f) (Lemma 10.17.6) which are quasi-compact by the first remark. The intersection of two standard opens is quasi-compact as D(f) \cap D(g) = D(fg). Given any two quasi-compact opens U, V \subset X we may write U = D(f_1) \cup \ldots \cup D(f_ n) and V = D(g_1) \cup \ldots \cup D(g_ m). Then U \cap V = \bigcup D(f_ ig_ j) which is quasi-compact.
\square
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