ConceptComplete

The Spectrum of a Ring

The spectrum SpecA\operatorname{Spec} A is the fundamental construction bridging commutative algebra and geometry. It turns any commutative ring into a topological space with a structure sheaf, making it the basic building block of scheme theory.


Definition and points

Definition2.5Spectrum of a ring

Let AA be a commutative ring with 11. The spectrum of AA is

SpecA={pAp is a prime ideal}\operatorname{Spec} A = \{\mathfrak{p} \subseteq A \mid \mathfrak{p} \text{ is a prime ideal}\}

as a set. Each prime ideal p\mathfrak{p} is a point of SpecA\operatorname{Spec} A. The residue field at p\mathfrak{p} is κ(p)=Frac(A/p)\kappa(\mathfrak{p}) = \operatorname{Frac}(A/\mathfrak{p}).

ExampleSpec ℤ

SpecZ={(0),(2),(3),(5),(7),(11),}.\operatorname{Spec} \mathbb{Z} = \{(0), (2), (3), (5), (7), (11), \ldots\}.

  • The closed points are (p)(p) for primes pp, with residue field κ((p))=Fp\kappa((p)) = \mathbb{F}_p.
  • The generic point (0)(0) has residue field κ((0))=Q\kappa((0)) = \mathbb{Q}.

The closure {(0)}=SpecZ\overline{\{(0)\}} = \operatorname{Spec} \mathbb{Z} (the generic point is dense). Think of SpecZ\operatorname{Spec} \mathbb{Z} as a "curve" whose points are the primes, with a fat generic point spread over the whole space.

ExampleSpec k (a field)

If kk is a field, then Speck={(0)}\operatorname{Spec} k = \{(0)\}: a single point. This is the terminal object in the category of affine schemes (over kk, Speck\operatorname{Spec} k plays the role of a point).

ExampleSpec k[x] — the affine line

Speck[x]\operatorname{Spec} k[x] for kk algebraically closed:

  • Closed points: (xa)(x - a) for each aka \in k, with κ=k\kappa = k. These correspond to the "classical" points of A1\mathbb{A}^1.
  • Generic point: (0)(0), with κ=k(x)\kappa = k(x) (the function field).

So Speck[x]=A1{generic point}\operatorname{Spec} k[x] = \mathbb{A}^1 \cup \{\text{generic point}\}. The generic point is dense; its closure is the entire space.

For k=Rk = \mathbb{R} (not algebraically closed): SpecR[x]\operatorname{Spec} \mathbb{R}[x] has additional closed points like (x2+1)(x^2 + 1) with residue field C\mathbb{C}. These "non-rational points" correspond to conjugate pairs ±i\pm i.

ExampleSpec k[x, y] — the affine plane

Speck[x,y]\operatorname{Spec} k[x, y] for k=kˉk = \bar{k} has three types of points:

| Type | Prime ideal | Residue field | Dimension | |---|---|---|---| | Closed points | (xa,yb)(x - a, y - b) | kk | 00 | | Generic points of curves | (f(x,y))(f(x,y)), ff irred. | k(x,y)/(f)=k(C)k(x,y)/(f) = k(C) | 11 | | Generic point | (0)(0) | k(x,y)k(x,y) | 22 |

The point (yx2)(y - x^2) is the "generic point of the parabola" — its closure {(yx2)}=V(yx2)\overline{\{(y-x^2)\}} = V(y - x^2) is the parabola. Every irreducible subvariety has a unique generic point.

ExampleSpec k[ε]/(ε²) — the dual numbers

Speck[ε]/(ε2)\operatorname{Spec} k[\varepsilon]/(\varepsilon^2) has a single point (ε)({\varepsilon}), but the ring is not a field: it has a nilpotent element ε0\varepsilon \neq 0 with ε2=0\varepsilon^2 = 0.

This is a "fat point" or "point with tangent direction." A morphism Speck[ε]/(ε2)X\operatorname{Spec} k[\varepsilon]/(\varepsilon^2) \to X corresponds to a point pXp \in X together with a tangent vector at pp. This is why scheme theory is more flexible than classical algebraic geometry: nilpotents carry infinitesimal information.

ExampleSpec of a local ring

For a local ring (R,m)(R, \mathfrak{m}), SpecR\operatorname{Spec} R has a unique closed point m\mathfrak{m}. Examples:

  • Speck[[x]]\operatorname{Spec} k[[x]] has two points: the closed point (x)(x) and the generic point (0)(0). Think of it as a "formal neighborhood of a point on a curve."
  • SpecZ(p)\operatorname{Spec} \mathbb{Z}_{(p)} has two points: (p)(p) (closed) and (0)(0) (generic). This is the "local picture of SpecZ\operatorname{Spec} \mathbb{Z} at the prime pp."
  • Speck\operatorname{Spec} k is the special case where m=(0)\mathfrak{m} = (0).
ExampleSpec of a product ring

Spec(A×B)SpecASpecB\operatorname{Spec}(A \times B) \cong \operatorname{Spec} A \sqcup \operatorname{Spec} B (disjoint union). For example:

Spec(k×k)={(1,0),(0,1)}=two points.\operatorname{Spec}(k \times k) = \{(1,0), (0,1)\} = \text{two points}.

More interesting: by CRT, SpecZ/6ZSpec(Z/2×Z/3)={(2),(3)}\operatorname{Spec} \mathbb{Z}/6\mathbb{Z} \cong \operatorname{Spec}(\mathbb{Z}/2 \times \mathbb{Z}/3) = \{(2), (3)\}, two points.

But SpecZ/4Z\operatorname{Spec} \mathbb{Z}/4\mathbb{Z} is a single point (2)(2) with nilpotent structure (2ˉ2=0ˉ\bar{2}^2 = \bar{0}). Topologically it's the same as SpecF2\operatorname{Spec} \mathbb{F}_2, but the scheme structure remembers the multiplicity.


The Zariski topology

Definition2.6Zariski topology on Spec A

For an ideal IAI \subseteq A, define the vanishing set

V(I)={pSpecApI}.V(I) = \{\mathfrak{p} \in \operatorname{Spec} A \mid \mathfrak{p} \supseteq I\}.

The sets V(I)V(I) are the closed sets of the Zariski topology on SpecA\operatorname{Spec} A. Properties:

  • V(A)=V(A) = \emptyset, V(0)=SpecAV(0) = \operatorname{Spec} A.
  • V(I)V(J)=V(IJ)=V(IJ)V(I) \cup V(J) = V(IJ) = V(I \cap J).
  • αV(Iα)=V(αIα)\bigcap_\alpha V(I_\alpha) = V(\sum_\alpha I_\alpha).

The distinguished (basic) open sets D(f)=SpecAV(f)={pfp}D(f) = \operatorname{Spec} A \setminus V(f) = \{\mathfrak{p} \mid f \notin \mathfrak{p}\} for fAf \in A form a basis for the topology.

ExampleZariski topology on 𝔸¹

Speck[x]\operatorname{Spec} k[x]: the closed sets are V(f(x))V(f(x)) for fk[x]f \in k[x]. Since k[x]k[x] is a PID, every closed set is either all of Speck[x]\operatorname{Spec} k[x] or a finite set of closed points. So the topology is the cofinite topology on the closed points, plus the generic point whose closure is everything.

This is highly non-Hausdorff: any two nonempty open sets intersect.

ExampleTopology of Spec ℤ

The closed sets of SpecZ\operatorname{Spec} \mathbb{Z} are: \emptyset, SpecZ\operatorname{Spec} \mathbb{Z}, and finite sets of closed points {(p1),,(pn)}=V(p1pn)\{(p_1), \ldots, (p_n)\} = V(p_1 \cdots p_n). Same cofinite topology on the closed points.

The open set D(6)=SpecZ{(2),(3)}D(6) = \operatorname{Spec} \mathbb{Z} \setminus \{(2), (3)\} consists of primes p2,3p \neq 2, 3 plus the generic point. As a scheme: D(6)SpecZ[1/6]D(6) \cong \operatorname{Spec} \mathbb{Z}[1/6].

ExampleZariski topology on 𝔸²

Speck[x,y]\operatorname{Spec} k[x,y]: closed sets include V(f)V(f) for irreducible ff (curves), V(xa,yb)V(x-a, y-b) (points), and intersections/unions. The topology is much richer than in dimension 1:

  • V(yx2)V(y - x^2) is a closed parabola.
  • V(xy)V(xy) is the union of the two axes.
  • V(xa,yb)={(a,b)}V(x - a, y - b) = \{(a,b)\} is a closed point.

The generic point of V(yx2)V(y - x^2) is the prime (yx2)(y - x^2); its closure is the parabola. The generic point (0)(0) is dense in everything.


The structure sheaf

Definition2.7Structure sheaf

On SpecA\operatorname{Spec} A, the structure sheaf OSpecA\mathcal{O}_{\operatorname{Spec} A} is defined on the basis of distinguished opens by:

O(D(f))=Af(localization of A at f).\mathcal{O}(D(f)) = A_f \quad (\text{localization of } A \text{ at } f).

In particular, O(SpecA)=A\mathcal{O}(\operatorname{Spec} A) = A (global sections recover the ring).

The stalk at a prime p\mathfrak{p} is the local ring:

OSpecA,p=Ap={asaA, sp}.\mathcal{O}_{\operatorname{Spec} A, \mathfrak{p}} = A_\mathfrak{p} = \left\{\frac{a}{s} \mid a \in A, \ s \notin \mathfrak{p}\right\}.

The pair (SpecA,OSpecA)(\operatorname{Spec} A, \mathcal{O}_{\operatorname{Spec} A}) is an affine scheme.

ExampleStructure sheaf of Spec ℤ
  • O(SpecZ)=Z\mathcal{O}(\operatorname{Spec} \mathbb{Z}) = \mathbb{Z} (global sections).
  • O(D(p))=Z[1/p]\mathcal{O}(D(p)) = \mathbb{Z}[1/p] (integers with pp inverted).
  • O(D(6))=Z[1/6]=Z[1/2,1/3]\mathcal{O}(D(6)) = \mathbb{Z}[1/6] = \mathbb{Z}[1/2, 1/3].
  • Stalk at (p)(p): OSpecZ,(p)=Z(p)\mathcal{O}_{\operatorname{Spec}\mathbb{Z}, (p)} = \mathbb{Z}_{(p)} (integers localized at pp).
  • Stalk at (0)(0): OSpecZ,(0)=Q\mathcal{O}_{\operatorname{Spec}\mathbb{Z}, (0)} = \mathbb{Q} (the function field).
ExampleStructure sheaf of 𝔸¹

For k[x]k[x]:

  • O(A1)=k[x]\mathcal{O}(\mathbb{A}^1) = k[x].
  • O(D(x))=k[x,1/x]\mathcal{O}(D(x)) = k[x, 1/x] — polynomials in xx and 1/x1/x.
  • O(D(x(x1)))=k[x,1/(x(x1))]\mathcal{O}(D(x(x-1))) = k[x, 1/(x(x-1))] — rational functions regular away from 00 and 11.
  • OA1,(xa)=k[x](xa)\mathcal{O}_{\mathbb{A}^1, (x-a)} = k[x]_{(x-a)} — rational functions regular at aa.
ExampleStructure sheaf of a nodal curve

Let A=k[x,y]/(y2x2(x+1))A = k[x,y]/(y^2 - x^2(x+1)) (nodal cubic). Then SpecA\operatorname{Spec} A is the affine nodal curve. At the node m=(x,y)\mathfrak{m} = (x, y):

OSpecA,m=Am\mathcal{O}_{\operatorname{Spec} A, \mathfrak{m}} = A_\mathfrak{m}

is a local ring that is not a domain (the completion A^mk[[u,v]]/(uv)\hat{A}_\mathfrak{m} \cong k[[u,v]]/(uv), two branches). The local ring detects the singularity: dimkm/m2=2>dim=1\dim_k \mathfrak{m}/\mathfrak{m}^2 = 2 > \dim = 1, so the point is singular.


Functoriality: ring homomorphisms become continuous maps

Definition2.8Induced map on spectra

A ring homomorphism φ:AB\varphi : A \to B induces a continuous map

φ=aφ:SpecBSpecA,qφ1(q).\varphi^* = {}^a\varphi : \operatorname{Spec} B \to \operatorname{Spec} A, \quad \mathfrak{q} \mapsto \varphi^{-1}(\mathfrak{q}).

(The preimage of a prime ideal is prime.) This gives a contravariant functor Spec:CRingopTop\operatorname{Spec} : \mathbf{CRing}^{\mathrm{op}} \to \mathbf{Top}.

Moreover, φ\varphi induces a morphism of structure sheaves φ#:OSpecA(φ)OSpecB\varphi^\# : \mathcal{O}_{\operatorname{Spec} A} \to (\varphi^*)_*\mathcal{O}_{\operatorname{Spec} B}, making (φ,φ#)(\varphi^*, \varphi^\#) a morphism of locally ringed spaces.

ExampleSurjection → closed immersion

The surjection k[x,y]k[x,y]/(yx2)k[x]k[x,y] \twoheadrightarrow k[x,y]/(y - x^2) \cong k[x] induces

Speck[x]Speck[x,y]=A2\operatorname{Spec} k[x] \hookrightarrow \operatorname{Spec} k[x,y] = \mathbb{A}^2

which is the inclusion of the parabola y=x2y = x^2 into the plane. In general, surjections AA/IA \twoheadrightarrow A/I correspond to closed immersions V(I)SpecAV(I) \hookrightarrow \operatorname{Spec} A.

ExampleLocalization → open immersion

The localization k[x]k[x,1/x]k[x] \to k[x, 1/x] induces

Speck[x,1/x]Speck[x]=A1\operatorname{Spec} k[x, 1/x] \hookrightarrow \operatorname{Spec} k[x] = \mathbb{A}^1

which is the inclusion of D(x)=A1{0}D(x) = \mathbb{A}^1 \setminus \{0\}. Localization maps AS1AA \to S^{-1}A correspond to open immersions into distinguished opens.

ExampleFrobenius in characteristic p

In characteristic p>0p > 0, the Frobenius φ:AA\varphi : A \to A, aapa \mapsto a^p induces SpecASpecA\operatorname{Spec} A \to \operatorname{Spec} A. On A1=SpecFp[x]\mathbb{A}^1 = \operatorname{Spec} \mathbb{F}_p[x]:

φ:SpecFp[x]SpecFp[x],(xa)(xap)=(xa)\varphi^* : \operatorname{Spec} \mathbb{F}_p[x] \to \operatorname{Spec} \mathbb{F}_p[x], \quad (x - a) \mapsto (x - a^p) = (x - a)

since ap=aa^p = a in Fp\mathbb{F}_p (Fermat's little theorem). So on Fp\mathbb{F}_p-points, the Frobenius is the identity! But on the scheme level it's a nontrivial degree-pp morphism. The fixed points of Frobenius on Fp\overline{\mathbb{F}_p}-points are exactly the Fp\mathbb{F}_p-rational points — this is the foundation of the Weil conjectures.

ExampleSpec 𝔽ₚ → Spec ℤ — a fiber of the arithmetic curve

The quotient ZFp\mathbb{Z} \twoheadrightarrow \mathbb{F}_p induces SpecFpSpecZ\operatorname{Spec} \mathbb{F}_p \hookrightarrow \operatorname{Spec} \mathbb{Z}, the inclusion of the closed point (p)(p). Think of this as the fiber of the "arithmetic curve" SpecZ\operatorname{Spec} \mathbb{Z} over the "prime pp." The inclusion ZQ\mathbb{Z} \hookrightarrow \mathbb{Q} gives SpecQSpecZ\operatorname{Spec} \mathbb{Q} \hookrightarrow \operatorname{Spec} \mathbb{Z}: the generic fiber.

An equation like y2=x3xy^2 = x^3 - x over Z\mathbb{Z} gives a scheme over SpecZ\operatorname{Spec} \mathbb{Z} whose fibers are:

  • Over (0)(0): the elliptic curve E/QE/\mathbb{Q}.
  • Over (p)(p): the reduction E/FpE/\mathbb{F}_p (smooth for p2p \neq 2, singular at p=2p = 2).

This "spreading out" perspective is central to arithmetic geometry.


Generic points and specialization

Definition2.9Generic point

A point ηX\eta \in X is a generic point of an irreducible closed subset ZZ if {η}=Z\overline{\{\eta\}} = Z. In SpecA\operatorname{Spec} A, every irreducible closed subset V(p)V(\mathfrak{p}) has a unique generic point, namely p\mathfrak{p} itself:

{p}=V(p).\overline{\{\mathfrak{p}\}} = V(\mathfrak{p}).

We say p\mathfrak{p} specializes to q\mathfrak{q} (written pq\mathfrak{p} \leadsto \mathfrak{q}) if q{p}\mathfrak{q} \in \overline{\{\mathfrak{p}\}}, i.e., pq\mathfrak{p} \subseteq \mathfrak{q}.

ExampleSpecialization in 𝔸²

In Speck[x,y]\operatorname{Spec} k[x,y]:

(0)(yx2)(x1,y1)(0) \leadsto (y - x^2) \leadsto (x - 1, y - 1)

The generic point (0)(0) specializes to the generic point of the parabola, which specializes to the point (1,1)(1,1) on the parabola. This chain corresponds to the inclusion of primes:

(0)(yx2)(x1,y1).(0) \subset (y - x^2) \subset (x-1, y-1).

The chain length is 2=dimA22 = \dim \mathbb{A}^2, illustrating that the Krull dimension equals the maximal chain length.

ExampleGeometric meaning of the generic point

The generic point η=(0)Speck[x]\eta = (0) \in \operatorname{Spec} k[x] is the "point in general position." Evaluating a polynomial f(x)f(x) at η\eta gives ff itself in k(x)k(x). So:

  • f(η)=0f(\eta) = 0 in κ(η)=k(x)\kappa(\eta) = k(x)     \iff f=0f = 0 as a polynomial     \iff ff vanishes everywhere.
  • f(η)0f(\eta) \neq 0     \iff f0f \neq 0     \iff ff vanishes on only finitely many closed points.

A property holds "at the generic point" iff it holds "on a dense open set." This is the scheme-theoretic formulation of "a general polynomial of degree dd has dd distinct roots."


Spec and classical varieties

RemarkFrom varieties to schemes

For kk algebraically closed, the closed points of Speck[x1,,xn]/I\operatorname{Spec} k[x_1, \ldots, x_n]/I are in bijection with V(I)AnV(I) \subseteq \mathbb{A}^n (by the Nullstellensatz: maximal ideals =(x1a1,,xnan)= (x_1 - a_1, \ldots, x_n - a_n) with (a1,,an)V(I)(a_1, \ldots, a_n) \in V(I)).

So Spec\operatorname{Spec} extends classical algebraic geometry by adding:

  1. Generic points of irreducible subvarieties (one for each prime ideal).
  2. Non-closed-field points (primes with residue field k\neq k, relevant over non-algebraically-closed fields).
  3. Nilpotent structure (e.g., Speck[x]/(x2)\operatorname{Spec} k[x]/(x^2) vs. Speck\operatorname{Spec} k).
ExampleSpec of a non-reduced ring: double point

Speck[x]/(x2)\operatorname{Spec} k[x]/(x^2) and Speck[x]/(x)\operatorname{Spec} k[x]/(x) have the same underlying topological space (a single point (x)(x)). But as schemes they differ:

  • Speck\operatorname{Spec} k has ring kk (reduced).
  • Speck[x]/(x2)\operatorname{Spec} k[x]/(x^2) has ring k[ε]k[\varepsilon] with ε2=0\varepsilon^2 = 0 (non-reduced, "double point").

The scheme V(x2)A1V(x^2) \subseteq \mathbb{A}^1 remembers that the origin has multiplicity 2. Similarly, V(xn)=Speck[x]/(xn)V(x^n) = \operatorname{Spec} k[x]/(x^n) is the origin with multiplicity nn.

ExampleIntersection multiplicity via Spec

In A2\mathbb{A}^2, consider the intersection of y=0y = 0 and y=x2y = x^2:

Speck[x,y]/(y,yx2)=Speck[x]/(x2).\operatorname{Spec} k[x,y]/(y, y - x^2) = \operatorname{Spec} k[x]/(x^2).

This is a double point — the intersection has multiplicity 22 at the origin because the parabola is tangent to the xx-axis. Compare with y=0y=xy = 0 \cap y = x:

Speck[x,y]/(y,yx)=Speck[x]/(x)=Speck.\operatorname{Spec} k[x,y]/(y, y - x) = \operatorname{Spec} k[x]/(x) = \operatorname{Spec} k.

A simple (reduced) point — transverse intersection has multiplicity 11. Scheme theory naturally computes intersection multiplicities via the tensor product of rings.


Key properties of Spec

RemarkProperties

SpecA\operatorname{Spec} A satisfies:

  1. Quasi-compact: Every open cover has a finite subcover (SpecA=D(fi)    (f1,,fn)=A\operatorname{Spec} A = \bigcup D(f_i) \implies (f_1, \ldots, f_n) = A).
  2. Sober: Every irreducible closed subset has a unique generic point.
  3. T0T_0 but not T1T_1: Points can be distinguished by open sets, but not every singleton is closed.
  4. Connected     \iff AA has no nontrivial idempotents.
  5. Irreducible     \iff nil(A)\operatorname{nil}(A) is prime (    \iff AredA_{\mathrm{red}} is a domain).
  6. Noetherian     \iff AA is Noetherian (= every open is quasi-compact).

The functor Spec:CRingopAffSch\operatorname{Spec} : \mathbf{CRing}^{\mathrm{op}} \to \mathbf{AffSch} is an equivalence of categories (with quasi-inverse Γ\Gamma: global sections). This is the affine analogue of the equivalence between affine varieties and finitely generated reduced kk-algebras — but now with no restrictions on the ring.


Summary: dictionary Algebra ↔ Geometry

RemarkThe algebra-geometry dictionary for Spec
Algebra (AA)Geometry (SpecA\operatorname{Spec} A)
Prime ideal p\mathfrak{p}Point of SpecA\operatorname{Spec} A
Maximal ideal m\mathfrak{m}Closed point
Minimal primeGeneric point of irreducible component
pq\mathfrak{p} \subseteq \mathfrak{q}p\mathfrak{p} specializes to q\mathfrak{q}
Quotient AA/IA \twoheadrightarrow A/IClosed subscheme V(I)SpecAV(I) \hookrightarrow \operatorname{Spec} A
Localization AAfA \to A_fOpen immersion D(f)SpecAD(f) \hookrightarrow \operatorname{Spec} A
AA reduced (nil(A)=0\operatorname{nil}(A) = 0)No embedded nilpotent structure
AA domainSpecA\operatorname{Spec} A irreducible
AA localUnique closed point
AA fieldSingle point (reduced)
AA NoetherianNoetherian topological space
Krull dimA\operatorname{Krull\,dim} AdimSpecA\dim \operatorname{Spec} A
AkBA \otimes_k BSpecA×kSpecB\operatorname{Spec} A \times_k \operatorname{Spec} B (fiber product)
ApA_\mathfrak{p} regular localSpecA\operatorname{Spec} A smooth at p\mathfrak{p}