Nullstellensatz

Joseph Sullivan

July 2022

Introduction

These notes are a paraphrase/clarification/obfuscation of Gathmann’s notes on Commutative Algebra, covering most of the essentials to proving Hilbert’s Nullstellensatz.

Definition 1. Let K be a field. We define

  • AKn=An=Kn.

  • I(a)=(x1a1,,xnan)K[x1,,xn],

  • For SK[x1,,xn], V(S)={aAnf(a)=0 for all fS}

  • For XKn, I(X)={fK[x1,,xn]f(a)=0 for all aX}

In words, V(S) is the set of points where all of S is zero, and I(X) are the functions that are zero on at least X.

Cayley-Hamilton

Theorem 2 (Cayley-Hamilton). Let M be a finitely generated R-module, I an ideal of R, and φ:MM an R-module homomorphism with φ(M)IM. Then there is a monic polynomial χ=xn+an1xn1++a0R[x] with a0,,an1I and χ(φ):=φn+an1φn1++a0id=0HomR(M,M) where φi denotes the i-fold composition of φ with itself.

Proof. Let m1,,mn be generators of M. We can then represent φ in this generating set, i.e., write φ(mi)=j=1nai,jmi for some ai,jI, so we can write [φ(m1)φ(mn)]=[a1,1a1,nan,1an,n][m1mn]. We denote this matrix by AMn(R), and we denote our column of mi by mMn. Upgrading our module M to an R[x]-module by defining xm=φ(m), we also get [φ(m1)φ(mn)]=[x00x][m1mn]=xInm Thus, we have (xInA)m=0. Multiplying by the adjugate matrix in Mn(R[x]), we get det(xInA)m=0. Expanding the determinant, we get that det(xInA) is a monic polynomial in R[x] with non-leading coefficients in ai,jI. Then, since it annihilates m1,,mn which are generators for M, so it annihilates all of M. Thus, χ:=det(xInA) is the zero homomorphism in HomR(M,M). ◻

Remark 3. If we take R=K a field and I=K, M=V a finite dimensional K vector space, and mi=ei a K-basis for V—then we get the classical Cayley-Hamilton with χ=pφ(λ)=det(λIφ).

Localization

Proposition 4. Let S be a multiplicative subset in a ring R, and let IR be an ideal with IS=. Then, there exists a prime ideal P of R containing I with PS= and S1P is a maximal ideal in S1R.

When we take S={1,f,f2,}, we can interpret this theorem geometrically in scheme language. It tells us in particular that D(f)V(I) is nonempty.

Proof. The ideal S1IS1R is proper because IS=. In more detail, otherwise we would have 1S1I, so there exists aI,sS so that as=1. Then, this implies there exists vS such that va=vs. However, this element would be in IS.

Then, since S1I is proper, it can be extended to a maximal ideal in S1R. The contraction P will then be a prime (not necessarily maximal) ideal disjoint from S. ◻

Integrality

Definition 5 (Integral and finite ring extensions).

  • If RR, we call R an extension ring of R, and we call RR a ring extension.

  • An element aRR is called integral over R if there is a monic polynomial fR[x] with f(a)=0. We say R is integral over R if every elements of R is integral over R.

  • A ring extension RR is called finite if R is finitely generated as an R-module.

Remark 6. For integrality, we require the existence of a monic polynomial because for purposes of finite generation we want to be able to write an in terms of lower powers of a for sufficiently large n. In a field, we can always make polynomials monic to accomplish this, but for rings we need the monic condition.

Proposition 7. An extension ring R is finite over R if and only if R=R[a1,,an] for integral elements a1,,anR over R.

Moreover, in this case the whole ring extension RR is integral.

Proof. Assume R=a1,,an (is finitely generated) as an R-module. In particular, R=R[a1,,an]. We now just need to show that R is integral over R to get the “moreover” and that a1,,an are integral over R. Let aR. Applying Cayley-Hamltion theorem 2 to the R-module homomorphism ma:RRxax to get a monic polynomial equation mak+ck1mak1++c0=0, for some c0,,ck1R, which applied to 1R gives us ak+ck1ak1++c0=0. Thus, a is integral over R.

Now, assume R=R[a1,,an] with a1,,an integral over R. Thus, each ai satisfies a monic relation of degree di. Therefore, we can write every element of R as a sum 0kidick1,,kna1k1ankn since the homomorphism R[x1,,xn]R[a1,,an] is surjective and we can rewrite any higher degree terms in terms of lower degrees using our monic relation. Thus, R=a1k1ankn for ki=0,,n as an R-module. Therefore, R is a finitely generated module over R. ◻

Lemma 8. Let RRR be ring extensions.

  1. If RR and RR are finite, then so is RR.

  2. If RR and RR are integral, then so is RR.

Proof of (a).. By proposition 7, we can write R=R[a1,,an] and R=R[b1,,bm]. Then, we can write R=R[aibji=1,,n,j=1,,m], so R is finite over R. ◻

Proof of (b).. Let aR. Since R is integral over R, there exists monic polynomial an+cn1an1++c1a1+c0=0, for c0,,cn1R, so aR[c0,,cn1]. Since R is integral over R, each of c0,,cn1 are integral over R. Therefore, R[c0,,cn1] is a finite extension of R, so aR[c0,,cn1] is integral over R. Thus, R is integral over R. ◻

Lemma 9. Let RR be an integral ring extension. If IR, then R/I is an integral ring extension of R/I.

Proof. Let aR. Then, aR satisfies some monic relation an+cn1an1++c1a+c0=0 for c0,,cn1R, so a satisfies the relation an+cn1an1++c1a+c0=0 for c0,,cn1R/(IR) (identified with subring of R/I), so a is integral over R/(IR). ◻

Proposition 10 (Lying Over). Let RR be a ring extension, and PR prime.

  1. There is a prime ideal PR with PR=P if and only if PRRP.

  2. If RR is integral, then this is always the case.

We say in this case that P is lying over P.

The condition in (a) is saying that the extension Pe isn’t too large, i.e., that when we contract to get Pec we are bounded by P. Geometrically, (b) says that the map SpecRSpecR is surjective when RR is integral.

Proof of (a).. Assume there exists PR such that PR=P. Then, PRR=(PR)RRPRRRR=PRR=P (watch out that product and intersection need not commute exactly).

Now, assume that PRRP. We are looking for a prime ideal PR containing PR and not much more. By proposition 4, since for S=RP, we have PRS=PRRP=, there exists a prime ideal PR containing PRP with PS=. This means P(RP)=, and since PP, this means PR=P. ◻

Proof of (b).. We show that PRRP. Let aPRR. In particular, aPR, so we have R-module homomoprhism ma:RPRxax. By Cayley Hamilton theorem 2, there exist c0,,cn1P such that man+cn1man1++c1ma+c0=0an=(cn1an1++c1a+c0). Since aR, the left hand expression is in RP=P, so anP. Since P is prime, anP implies aP. Thus, PRRP. ◻

Proposition 11 (Incomparability). Let RR be an integral ring extension. If P and Q are distinct prime ideals in R with PR=QR then PQ and QP.

Geometrically, we are saying that for the map SpecRSpecR, if points P,Q are mapped to the same point, then neither is contained in each other—i.e., P doesn’t correspond to an irreducible closed subscheme containing Q and vice versa. In particular, the fiber of a closed point does not contain a closed subscheme, so we have some sort of finite fiber condition here.

Proof. Assume PR=QR and PQ. We prove that QP so that P=Q.

Suppose, to the contrary, that there exists aQP. Then, we consider aR/P, which is integral over R/(PR) by lemma 9. Our strategy is to show that this relation on a has to be trivial, so a=0 and aP.

Take a relation of minimal degree, and since aP the degree is at least 2. We have an+cn1an1++c1a+c0=0an+cn1an1++c1a=c0 for some c0,,cn1R. Since aQ, the left hand side is in Q/P, so c0Q/P. Since c0R, we get c0(RQ)/(RP)=0 (by our original assumption). Thus, we have no constant term in the relation, but since we are in an integral domain R/P, we can cancel out a factor of a to get a monic relation of strictly smaller degree.

Thus, we have a contradiction, so aP and P=Q. ◻

Corollary 12. Let RR be an integral ring extension of integral domains. Then, R is a field if and only if R is a field.

Proof. Assume that R is a field. Let PR be a maximal ideal. Then, P must contract to the 0 ideal, since the contraction is a prime ideal. Therefore, 0R=PR, so by incomparability, P=0. Thus, R has only maximal ideal 0, so it is a field.

Now, assume that R is not a field, so there exists a non-zero maximal ideal mR. By Lying Over proposition 10, there exists a prime ideal PR with PR=m. In particular, P0, so R has a nontrivial proper ideal and is not a field. ◻

Normalization

Remark 13. The idea of Noether Normalization is very nice. In one sentence, for any affine variety, we can pick coordinates z1,,zr such that projection is a finite morphism. See Gathmann’s Example 10.1.

Proposition 14 (Noether Normalization). Let R be a finitely generated algebra over a field K with generators x1,,xnR. Then there is an injective K-algebra homomorphisms K[z1,,zr]R from a polynomial ring over K to R that makes R into a finite extension ring of K[z1,,zr].

Moreover, if K is an infinite field the images of z1,,zr in R can be chosen to be K-linear combinations of x1,,xn.

We first give the proof idea, before going to some necessary lemmas and the actual detailed proof. The idea is as follows: Pick generators x1,,xn. Check if there is an algebraic relation among x1,,xn, i.e., a nonzero polynomial f in x1,,xn over K with f(x1,,xn)=0. If there is no algebraic relation, then R is isomorphic the polynomial ring K[z1,,zn]. Otherwise, we use some lemmas to choose new coordinates y1,,yn such that yn is redundant, in the sense that yn is integral over K[y1,,yn1]R. We keep adjusting our coordinates until y1,,yr have no algebraic relations, in which case we have found our copy of the polynomial ring K[z1,,zr] inside R.

We give two lemmas to showcase two strategies for picking new coordinates—one that is linear but only works for infinite fields, and one that works in general.

Lemma 15 (Linear Coordinate Change for Infinite Fields). Let fK[x1,,xn] be a nonzero polynomial over an infinite field K. Then there exists λK (to get rid of scalar) and a1,,an1K such that λf(y1+a1yn,y2+a2yn,,yn1+an1yn,yn)K[y1,,yn] is monic in yn (i.e., as an element of (K[y1,,yn1])[yn]).

Proof. Let λ,a1,,anK be arbitrary. We compute f written in our new coordinates, and then we determine how to choose our parameters. Writing f=k1,,knck1,,knx1k1xnkn, we get λf(y1+a1yn,y2+a2yn,,yn1+an1yn,yn)=λk1,,knck1,,kn(y1+a1yn)k1(yn1+an1yn)kn1ynkn. Let d=degf. Then, the maximum yn degree is d. Compute an expression for the yn degree d part, we get λk1,,knk1++kn=dck1,,kna1k1an1kn1ynk1++kn=λfd(a1,,an1,1)yd, where fd is the degree d part of f. We can therefore guarantee f in the new coordinates to be monic, as long as we can choose fd(a1,,an1,1)K nonzero and λ to be the inverse. The next lemma guarantees such a choice of a1,,an1 is possible. ◻

Lemma 16. Let fK[x1,,xn] be a nonzero homogeneous polynomial over an infinite field K. Then, there are a1,,an1K such that f(a1,,an1,1)0.

Proof. We prove the lemma by induction on n. If n=1, then f=cx for cK nonzero, so f(1)=c. Now, assume n>1. We can view f as a polynomial in (K[x2,,xn])[x1] and write f=i=0dfix1i, where d is the degree of f, and the (potentially zero) fi are homogeneous degree di polynomials in K[x2,,xn]. At least one fi is nonzero because f is nonzero. Then, by induction we can choose a2,,an1K such that for this i, fi(a2,,an1,1)0. Fixing these a2,,an1K, we get f(x1,a2,,an1,1)K[x1] a nonzero polynomial. It has at most finitely many roots (i.e., bounded by degree), and since K is infinite, we can choose x1=a1 to not be a root. ◻

Lemma 17 (Coordinate Change for Arbitrary Fields). Let fK[x1,,xn] be a nonzero polynomial over an arbitrary field K. Then there exists λK and a1,,an1N such that λf(y1+yna1,y2+yna2,,yn1+ynan1,yn)K[y1,,yn] is monic in yn (i.e., as an element of (K[y1,,yn1])[yn]).

Proof. We prove the claim by induction on n. For n=1, f=cnxn++c1x+c0. We can then choose λ=1cn.

Now, assume that degf>1. Let d=degx1f. Then, we can write f=gx1d+h, where gK[x2,,xn] and hK[x1,,xn] with degx1hd1. By our induction hypothesis, we can choose λK and a2,,an1N such that λg(y2+yna2,,yn1+ynan,yn) is monic in yn. Denote its leading yn term by ynk. Fix a1, we will see how to choose it later. We write f~ to denote the evaluation of f at our new coordinates, i.e., the image of f under the homomorphism φ:K[x1,,xn]K[y1,,yn]xiyi+ynaiinxnyn. Then, we have f~=g~(y1+yna1)d+h~. The leading yn term of g~(y1+yna1) is just 1λynk+a1d. On the other hand, writing the yn degree of h~ is bounded a function of a2,,an1 plus a term a1(d1). Therefore, we can choose a1 sufficiently large so 1λynk+a1d dominates h~ in yn degree (e.g., choose a1>a2an1degf), giving us a choice of a1,,an1N and λK. ◻

Finally, with our two strategies for picking coordinates, we are in a position to prove Noether Normalization.

Proof of Noether Normalization 14. By induction on the given number of generators, n. For n=0, we get R=K and we are done.

Otherwise, assume n>0. Consider the map K[z1,,zn]Rzixi from the polynomial ring to R. If the map is injective (i.e., no algebraic relations among the xi), then RK[z1,,zr] for r=n, and we are done.

Otherwise, the map is not injective and there is a nonzero relation fK[z1,,zn], i.e., f(x1,,xn)=0. Using either lemma 15 or lemma 17 (depending on the size of K), pick new generators y1,,yn, i.e.,

  • For lemma 15, choose yi:=xiaixn for in, and yn:=xn.

  • For lemma 17, choose yi:=xixnai for in, and yn:=xn.

Now, these new generators satisfy the algebraic relation guaranteed by the lemmas, which is monic in yn. This shows that yn is integral over the subalgebra K[y1,,yn1]. Therefore, R=K[y1,,yn1][yn] is finite over the subalgebra K[y1,,yn1]. By induction, there exists rN and an injective homomorphism K[z1,,zr]K[y1,,yn1] such that K[y1,,yn1] is finite over the image. Since finiteness is transitive by proposition 8, we get that R is finite over the image. This completes the induction.

If K is infinite, we will always do linear coordinate changes to get the images of z1,,zr to be K-linear combinations of x1,,xn. ◻

Nullstellensatz

Corollary 18 (Zariski’s Lemma). Let K be a field, and let R be a finitely generated K-algebra which is also a field. Then, KR is a finite field extension. In particular, if K is algebraically closed, then R=K.

Proof. By Noether Normalization in proposition 14, we know R is finite over a polynomial ring K[z1,,zn], so it is in particular integral over K[z1,,zn] by proposition 7. Since R is a field and the extension is integral, by corollary 12, K[z1,,zn] must be field. Thus, r=0 for K[z1,,zr] to be a field (e.g., for z1 to be invertible).

Thus, KR is a finite field extension, and if K is algebraically closed, this implies R=K. ◻

Corollary 19 (Weak Nullstellensatz). Let K be an algebraically closed field. Then all maximal ideals of the polynomial ring K[x1,,xn] are of the form I(a)=(x1a1,,xnan) for some a=(a1,,an)AKn.

Proof. Let mK[x1,,xn] be a maximal ideal. Then, K[x1,,xn]/m is a field as well as a finitely generated K-algebra (use cosets x1,,xn). Thus, by Zariski’s lemma 18, K[x1,,xn]/m=K, i.e. identifying K with the image of KK[x1,,xn] under the quotient map. Then, taking ai to be the image of xi under quotienting, we get (x1a1,,xnan)m, and since the left hand ideal is already maximal, we must have m=I(a)=(x1a1,,xnan). ◻

Corollary 20. For every ideal I in a finitely generated algebra R over a field K, we have I=m maximalmIm.

This is an upgraded version of a theorem about prime ideals instead of maximal ideals. In the language of schemes, we can now figure out if a function is nilpotent by only looking at closed points.

Proof. The inclusion is immediate because maximal ideals are prime, so they are radical, so Im implies Im=m.

Now, we prove the inclusion. Let fI. We want to find mI (a closed point in V(I)) such that fm (f is nonzero at m). Thus, we want to find a closed point in D(f)V(I). Taking S={1,f,f2,}, equivalently we are looking for m such that mS= and fm.

Since fI, we know SI=, so by proposition 4, we can at least find a prime ideal P with PS=, fP, and Pf maximal. We now try to show P is in fact maximal anyways.

We consider the field extension which is the composition KR/P(R/P)f=Rf/Pf. This is indeed a field extension (i.e., not the zero map) because the second map is injective, since R/P is an integral domain.

Then, by construction Rf/Pf is a field, and it is a finitely generated K-algebra because it has generators consisting of those of RRf together with 1f. Therefore, by Zariski’s lemma 18, the extension is finite and in particular integral by proposition 7. Thus, R/PRf/Pf is integral as well, so R/P is a field by corollary 12. Therefore, P is maximal. ◻

Theorem 21 (Hilbert’s Nullstellensatz). Let K be algebraically closed. Then for every ideal IK[x1,,xn] we have I(V(I))=I.

In particular, there is a bijection {affine varieties in AKn}{radical ideals in K[x1,,xn]}YI(Y)V(I)I.

Proof. Hard Part. We prove I(V(I))I. Assume that fI. We want to find a point aV(I) such that f(a)0. By corollary 20, I=m maximalmIm, so there exists m maximal such that fm. By corollary 19, this maximal ideal is I(a) for some aKn. Since II(a), we have aV(I). Since fI(a), we have f(a)0. Therefore, fI.

Easy Part. Let fI, so fnI. Let aV(I). Since fnI, we know fn(a)=0. Thus, f(a)=0, so fI(V(I)).

This gives us I(V(I))=I. We also have V(I(X))=X for any affine variety in AKn because clearly XV(I(X)). Then conversely, we know that since X is an affine variety, X=V(J), so then we want to show V(J)V(I(V(J))). By our previous discussion, JJI(V(J)), and applying V we get our desired subset relation.

Therefore, for radical ideals I and affine varieties X, we have I(V(I))=I and V(I(X))=X. Therefore, V(),I() are inverse bijections. ◻