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1 30 3. RINGS, IDEALS, AND GRÖBNER BASES 3.1. Polynomial rings and ideals The main object of study in this section is a polynomial ring in a finite number of variables R = k[x 1,..., x n ], where k is an arbitrary field. The abstract concept of a ring (R, +, ) assumes that (1) operations + (addition) and (multiplication) are defined for pairs of ring elements, (2) both (R, +) and (R, ) are abelian groups, i.e., both addition and multiplication are commutative, (3) multiplication distributes over addition: (a + b)c = ac + bc, a, b, c R, (4) there exist an additive identity, denoted by 0, and a multiplicative identity, denoted by 1, such that 1 a = a, (5) there exists an additive inverse a for every a R: a + ( a) = 0. The ring of polynomials possesses a natural addition and multiplication satisfying the above ring axioms. Moreover, it enjoys many other nice properties: for instance, the multiplication is cancellative: fg = fh = g = h, f, g, h R, f 0, which follows from the fact that a polynomial ring is an integral domain, i.e., a ring with no zero divisors: for f, g R, fg = 0 = f = 0 or g = 0. Sometimes a polynomial ring R = k[x 1,..., x n ] is referred to as a polynomial algebra (over k) when one needs to emphasize that R is a vector space over the field of coefficients k equipped with a bilinear product; note that bilinearity here follows from the distributivity of multiplication in the definition of a ring. Note: A field is a ring where each nonzero element has a multiplicative inverse. In this text we mostly use fields such as Q, R, and C as coefficient fields in polynomial rings. However, one other field closely related to a polynomial ring R = k[x 1,..., x n] is the field of rational functions, denoted by k(x 1,..., x n), the elements of which are of the form f, where f, g R; g f g = f g «fg = f g. Every nonzero element f/g has (f/g) 1 = g/f as its multiplicative inverse Ideals. An ideal of R is a nonempty k-subspace I R closed under multiplication by elements of R: gi = { gf f I } I, g R. Two trivial ideals of I are the zero ideal {0} (denoted by 0) and the whole ring R. One way to construct an ideal is to generate one using a finite set of polynomials. For f 1,..., f r R, we define f 1,..., f r = { g 1 f g r f r g i R } R,

2 3.1. POLYNOMIAL RINGS AND IDEALS 31 the set of all linear combinations of generators f i with polynomial coefficients g i. The fact that the set I = f 1,..., f r is an ideal follows straightforwardly from the definition. The set I = f = { gf g R } for an element f R is called a principal ideal and f is called a principal generator of I. Note that R = 1. Exercise A ring, each ideal of which is principal, is called a principal ideal domain (PID). Show that the ring of univariate polynomials is a PID. We can construct an ideal using an arbitrary (possibly infinite) set of generators G R: G = F. F G, F < However, every ideal I R is finitely generated, i.e., I = f 1,, f r for some finite number r of polynomials f i R (see Theorem ). This is yet another nice property of R: a ring with such property is called Noetherian. Exercise A ring is said to satisfy the ascending chain condition (ACC) if every chain of ideals I 1 I 2 I 3 stabilizes, i.e., there is i 0 such that I i = I i0 for all i > i 0. For an arbitrary ring, show that this condition is equivalent to the condition of all ideals being finitely generated. Example Consider an ideal I = x + y, x 2 k[x, y]. However, we can pick another set of generators of I; for instance, I = x + y, y 2. The polynomials in the second set of generators belong to I as y 2 = x 2 + (y x) (x + y). This shows the containment y 2, x + y I. Since, in a similar way, the reverse containment can be shown, the ideals are equal. Exercise Determine whether the following subsets of R are ideals: (1) k, the field of coefficients; (2) a subring k[x 1,..., x m ] R = k[x 1,..., x n ], where 0 < m < n; (3) polynomials with no constant term; (4) R d, polynomials of degree at most d; (5) homogeneous polynomials, i.e., polynomials with all terms of the same degree Sum, product, and intersection of ideals. The sum of two ideals I and J (as k-subspaces), is an ideal. So is the intersection I + J = { f + g f I, g J }, I J = { f f I, f J }. Exercise Prove that I+J is the smallest ideal containing I and J. Show that, if I = f 1,..., f r and J = g 1,..., g s, then I + J = f 1,..., f r, g 1,..., g s.

3 32 3. RINGS, IDEALS, AND GRÖBNER BASES Exercise Show that the ideal generated by products of elements in I and J, IJ = fg f I, g J, is contained in I J. (Exercise shows that IJ I J in general.) Exercise Consider the univariate polynomial ring R = k[x]. (1) How would one find a principal generator of f g? (2) How would one find a principal generator of f g? (3) Give an example of f and g where the ideals above (the intersection and the product) are not the same Ring maps amd quotient rings. Let R and S be rings, a map R S is called a ring map if it respects both additive and multiplicative structure of the rings. Example The following ring maps involving polynomial rings are frequently used: specialization of a variable ( ) xi=a i : k[x 1,..., x n ] k[x 1,..., x i 1, x i+1,..., x n ], a i k, f = f(x 1,..., x n ) f xi=a = f(x 1,..., x i 1, a i, x i+1,..., x n ); evaluation a point a = (a 1,..., a n ) k n, variable substitution: e a : k[x 1,..., x n ] k, f(x 1,..., x n ) f(a 1,..., a n ); k[x 1,..., x n ] k[y 1,..., y m ], f(x 1,..., x n ) f(g 1 (y 1,..., y m ),..., g n (y 1,..., y m )), where g 1,..., g n are polynomials in the ring k[y 1,..., y m ]. Every polynomial ring map can be defined as the last map in Example 3.1.8, since every ring map is determined by its action on the ring generators of the domain, which in case of a polynomial ring are the variables. A map φ : R S is called an isomorphism, if there is a map ψ : S R (called the inverse map of φ) such ψφ = id R and φψ = id S, where id R : R R denotes the identinity map on R. Exercise Let R = k[x 1,..., x n ]. A matrix A k (n+1) n defines a linear substitution g 1. = A g n x 1. x n R n that can be used to make an endomorphism (the source and target of the map coincide) φ A : R R using the recipe of last map in Example If the ring map φ A is an automorphism (endomorphism that is an isomorphism), it is commonly referred to as a linear change of coordinates.

4 3.1. POLYNOMIAL RINGS AND IDEALS 33 (1) Find a condition on A for φ A to be an automorphism (endomorphism that is an isomorphism). (2) If φ A is an automorphism, find B such that φ B is its inverse. Exercise Prove that the kernel of a polynomial ring map, i.e., the set of elements tha map to zero, is an ideal. Given an ideal I R we introduce the quotient ring R/I. The elements of R/I are equivalence classes [f] = { g R f g I } R where f R. Two elements f, g R are equivalent modulo I if [f] = [g]; that, in turn, holds iff f g I. The ring structure of R/I is induced by that of the ring R: [f] + [g] = [f + g]; [f][g] = [fg]; [0] is the additive and [1] is the multiplicative identities. The addition above is well defined: if f [f], g [g] are alternative representatives then [f + g ] = [f + g], since f + g (f + g) = (f f) + (g g) I. Exercise Show that the product in a quotient ring is well defined. There is a natural surjective ring map φ : R R/I f [f] Proposition Let I be an ideal in an arbitrary ring R. There is a oneto-one correspondence between ideals of R/I are ideals of R containing I. Sums, intersections, and products of ideals are preserved under this correspondence. Proof. We claim that the ring map φ above establishes a one-to-one correspondence. Take an ideal J R, then φ(j) is an ideal of J; in fact, this is true for any map φ. This follows from the definition of an ideal and the fact that φ respects the ring addition and multiplication. Similarly, if J is an ideal of R/I then φ 1 ( J) is an ideal of R; it contains the preimage of zero φ 1 ([0]) = I. Exercise Let R = k[x 1,..., x n ] and I = x m+1,..., x n. Show that the rings R/I and S = k[x 1,..., x m ] are isomorphic via a natural ring map ψ : R/I S, ψ([f]) = f(x 1,..., x m, 0,..., 0) S, f R. Exercise Consider ideal I = x Q[x]. Prove that the quotient ring Q[x]/I is a field; it is called the field of Gaussian rational numbers. (Hint: For each element of Q[x]/I find a small representatitive in Q[x] and then determine its inverse.)

5 34 3. RINGS, IDEALS, AND GRÖBNER BASES 3.2. Gröbner bases It has been pointed out (e.g., in Example 3.1.3) that the same nonzero ideal can be generated by different sets of generators. In this section we develop a theory and algorithms to convert any generating sets into a Gröbner basis, a generating set with helpful special properties Monomial orders. A monomial order is a recipe for comparing two monomials in a polynomial ring R = k[x 1,..., x n ] with the following properties: (1) It is a total order: for every pair of distinct monomials x α and x β, α, β N n, either x α > x β or x α < x β. (2) It is a multiplicative order: x α > x β = x α+γ = x α x γ > x β x γ = x β+γ, α, β, γ N n. (3) It is a well-order: every nonempty set (of monomials) has a minimal element. Together with being a total order, this implies that x 0 = 1 < x α, α N n {0}. Exercise Show that there is only one monomial order for monomials of a univariate polynomial ring. Example A lexicographic order on k[a, b, c,..., z] compares monomials as words in a dictionary: a 3 b 2 c = aaabbc > aabbbcccc = a 2 b 3 c 4 as aaabbc comes before aabbbcccc in the dictionary. This can be used with any alphabet: for k[x 1,..., x n ], we have x α > lex x β α 1 > β 1 or (α 1 = β 1 and x (0,α2,...,αn) > lex x (0,β2,...,βn) ). One important class of monomial orders is graded monomial orders, the ones that refine the (non-total) order by degree. Example The graded lexicographic order compares the degrees of monomials first and breaks the tie, if necessary, using the lexicographic order: x α > glex x β α > β or ( α = β and x α > lex x β ). Note: The default monomial order used by many computer algebra systems is graded reverse lexicographic order. Exercise For a polynomial f = x 3 y + 2x 2 y 2 + xy 3 + x + y 2 + y + 1 find LM(F ), where (1) >=> lex, x > y; (2) >=> lex, y > x; (3) >=> glex, x > y; (4) >=> glex, y > x. Another useful class of monomial orders are block orders that compare monomials according to a fixed partition of the sets of variables into blocks.

6 3.2. GRÖBNER BASES 35 Let > 1 be an order on the on monomials in x 1,..., x m and > 2 be and order on monomials in x m+1,..., x n. The 2-block order > 2,1 on monomials in x 1,..., x n is x α > 1,2 x β x αm+1 m+1 xαn n > 2 x βm+1 m+1 xβn n or (x αm+1 m+1 xαn n = x βm+1 m+1 xβn n and x α1 1 xαm m > 1 x β1 1 xβm m ). Note that > lex is a 2-block order with respect to the blocks {x 1,..., x m } and {x m+1,..., x n } Normal form algorithm. In we have introduced NF f the normal form function that maps a polynomial g k[x] to its remainder after division by the polynomial f k[x]. We would like to define the normal form NF F : R R, where R = k[x 1,..., x n ], with respect to a system of polynomials F R r. Algorithm h = NF (g, F ) Require: g R; F R r, r > 0; Ensure: h R, such that r (3.2.1) g = h + q i f i, i=1 q i R, deg q i + deg f i deg g and either h = 0 or LM(h) is not divisible by LM(f) for all f F. h g while h 0 and LM(h) is divisible by LM(f) for some f F do f first polynomial in the set F such that LM(f) LM(h) end while h h LT(h) LT(f) f The leading monomials and leading terms in Algorithm are taken with respect to a fixed monomial order >. If this needs to be emphasized, we write NF (>) F ; normal forms for the same input, but different monomial orders are not the same, in general. Proof of termination and correctness of Algorithm Let h i be the contents of h at the i-th iteration. Then LM(h 1 ) > LM(h 2 ) > LM(h 3 ) > Since a monomial order is a well-order, the descending sequence of monomials terminates, so does the algorithm. The condition (3.2.1) holds for all h = h i by construction. When the algorithm terminates h is either 0 or LM(h) is not divisible by LM(f) for all f F. Exercise Let f 1,..., f r I, where I R is an ideal. Show that NF (f1,...,f r)(g) I iff g I. Note: As its univariate analoque, Algorithm can be modified to compute not only the remainder, but also the quotients, i.e., polynomial coefficients q i R in (3.2.1). Note that, in general, the normal form also depends on the order of polynomials in the system.

7 36 3. RINGS, IDEALS, AND GRÖBNER BASES Example Consider two polynomials in k[x, y, z], f 1 = x y, f 2 = x z 2. Fix the monomial order >=> lex, x > y > z. Then NF (f1,f 2)(x) = y and NF (f2,f 1)(x) = z 2. Exercise For f 1 = x 3 + y 2, f 2 = xy + 1, and g = x 3 y + 2x 2 y 2 + xy 3 + x + y 2 + y + 1, polynomials in k[x, y] with the lexicographic order such that x > y, find (1) NF (f1,f 2)(g) (2) NF (f2,f 1)(g) Initial ideal, Dickson s Lemma, Noetherianity. For a polynomial ideal I R, the ideal generated by the leading monomials of all polynomials of I is called the initial ideal and denoted in(i) = LM(f) f I. Again, if we need to emphasize the (usually fixed) monomial order > that is used, we would write in > (I). Exercise For the ideal I = x y, x z 2 k[x, y, z] find (1) the initial ideal in >lex (I) with respect to the lexicographic ordering; (2) the initial ideal in >glex (I) with respect to the graded lexicographic ordering. We need the following lemma to show that every ideal I of a polynomial ring R can be finitely generated; this is one of the ways to say that R is Noetherian. (We refered to this fact in without a proof.) Lemma (Dickson s Lemma). Every monomial ideal (i.e., ideal generated by monomials) is finitely generated. Theorem A polynomial ring R is Noetherian. Proof. Let I R be a nonzero ideal of R, then, by Dickson s Lemma, its initial ideal is finitely generated: in(i) = m 1,..., m r, r > 0. Pick f i I such that LM(f i ) = m i and let J = f 1,..., f r, J I. Take g I and compute h = NF (f1,...,f r)(g). On one hand, by Exercise 3.2.5, h I. On the other, if h 0, then LM(h) / in(i) as it is not divisible by monomials m i, which leads to a contradiction. Therefore, h = 0 and g J; we conclude that J = I. Proof of Dickson s Lemma. Let G be a (possibly infinite) set monomials generating the ideal J = G. Without a loss of generality we may assume G consists of minimal elements with respect to divisibility: if two monomials x α, x β G are such that x α divides x β, then the latter can be excluded from G. First, we can see a monomial ideal J k[x 1,..., x n ] generated as follows J = J 0 x 1 J 1 x 2 1J 2,

8 3.2. GRÖBNER BASES 37 where J i k[x 2,..., x n ] are monomial ideals (in a ring with one fewer variable) such that { x i 1x β2 βn x β2 βn in(j i ) } = { x α1α2 αn in(j) α 1 = i }. Using induction on the number of variables in a polynomial ring, we may assume that k[x 2,..., x n ] is Noetherian. The base of induction is the case R = k, a polynomial ring with no variables, which has only trivial ideals. Observe that J 1 J 2 is an ascending chain of ideals. By Noetherianity it stabilizes; we also may pick finite generating sets of monomials G i for J i. Now the infinite union above becomes finite: for some s > 0, J = J 0 x 1 J 1 x 2 1J 2 x s 1J s = J 0 x 1 G 1 x 2 1G 2 x s 1G s, which shows that J is generated by a finite number of monomials Gröbner bases and their properties. Fix a polynomial ring R and a monomial order. A set G R is a Gröbner basis of an ideal I R if I = G, and in(i) = in(g), where in(g) = { in(g) g G }. Example The set G = { x y, x z 2} k[x, y, z] is not a Gröbner basis of I = G with respect to > lex(x,y,z), since in(i) y = in(y z 2 ), however in(g) = x y; a Gröbner basis of I = G with respect to > lex(z,y,x) : one can show that in lex(z,y,x) (I) = y, z 2. Proposition Let G be a Gröbner basis of an ideal I and consider a polynomial f R. (1) NF G (f) = 0 f I. Proof. Let h = NF G (f); note that h I f I, by Exercise However, either h = 0 or LM(h) / in(i), since the leading monomials of elements in G generate in(i).the conclusion is that h I h = 0. Given a fixed monomial order, define the normal form NF I (f) of f R with respect to an ideal I to be the output of Algorithm Corollary (of Proposition ). A polynomial f R belongs to an ideal I R iff NF I (f) = 0. Proposition There is a unique h R, such that h f (mod I) and all monomials of h are not in in(i). Proof. Suppose two distinct h, h R satisfy the hypotheses. On one hand, h h = (h f) (h f) I; on the other, monomials of h h do not belong to in(i), hence, h h = NF I (h h ). We conclude that h h = 0 by Corollary Corollary For any polynomial f R and any ideal I R, the normal form NF I (f) does not depend neither on the choice of the Gröbner basis G in Algorithm nor on the order of reductions in Algorithm

9 38 3. RINGS, IDEALS, AND GRÖBNER BASES Algorithm h = NF(f, I) Require: f R = k[x 1,..., x n ] with a fixed monomial order; I R, an ideal (given by a finite set of generators); Ensure: h R, such that h f (mod I) and all monomials of h are not in in(i). G a Gröbner basis of I h 0 t f -- This is the tail that we reduce. while t 0 and LM(t) is divisible by LM(g) for some g G do t NF G (t) if h 0 then h h + LT(t) t t LT(t) end if end while A Gröbner basis G of an ideal I is called reduced if LC(g) = 1 for all g G (g is monic), LM(g), g G, are distinct, NF I (g LM(g)) = g LM(g) (no other monomials in in(i)). Exercise Show that (provided a fixed monomial order) the reduced Gröbner basis is unique for any ideal. Exercise Fix the monomial order > glex. Knowing that G = { 2x 2 2y 2, y3 xy 2 + xy x 2, xy 2 3xy + 2x } is a Gröbner basis of the ideal I = G, find the reduced Gröbner basis of I Buchberger s algorithm. Now we are ready to provide the missing piece of Algorithm is a subroutine that would compute a Gröbner basis for an ideal generated by a finite set of polynomials. For two nonzero polynomials f, g R. Define the s-polynomial of f and g S f,g = LT(g) gcd(lm(f), LM(g)) f LT(f) gcd(lm(f), LM(g)) g R. Theorem (Buchberger s criterion). Let G R be a finite set of polynomials, then G is a Gröbner basis of the ideal I = G (with respect to a fixed monomial order) iff NF G (S f,g ) = 0 for all f, g G. Proof. If G is a Gröbner basis, then S f,g I implies NF G (S f,g ) = 0 by Proposition To prove the statement in the other direction, we will show that, when every s-polynomial reduces to zero, every element f I also reduces to zero with respect to G. This is sufficient, since it implies in(i) = in(g). Let G = {g 1,..., g r }. If f = r i=1 h ig i for h i R, we shall call the sequence h = (h 1,..., h r ) a representation of f I. Define the leading monomial λ of a representation to be λ = λ(h) = max LM(h i g i ) i and the multiplicity µ of the representation to be the number of times the equality LM(h i g i ) = λ(h 1,..., h r ) holds for i = 1,..., r.

10 3.2. GRÖBNER BASES 39 Let f = NF G (f) be a (reduced) polynomial in I and suppose it is nonzero. Suppose (h 1,..., h r ) is a representation of f with the smallest possible leading monomial λ and multiplicity µ. If µ = 1, then LM(f) = LM(h i g i ) for some i, which contradicts our assumption (that f is reduced). For µ > 1, take 1 i < j r such that LM(h i g i ) = LM(h j g j ). This means that for the monomial m = λ/lcm(lm(g i ), LM(g j )) and some c k, LT(h i ) g i = c m lcm(lm(g i ), LM(g j )). Since NF G (S gi,g j ) = 0, there are ĥi such that S gi,g j = r ĥ i g i i=1 ) and LM (ĥi g i < lcm(lm(g i ), LM(g j )). One can check that representation h of f (obtained by adding a representation of 0 corresponding to the above), h l = h l + cm ĥl, ( ) if l / {i, j}, h LT(g i = h i cm j) gcd(lm(g + i),lm(g j)) ĥi, ( ) = h j + cm, h j LT(g i) gcd(lm(g i),lm(g j)) + ĥj has either λ(h ) < λ(h) (this happens if µ(h) = 2) or λ(h ) = λ(h) but µ(h ) < µ(h). This contradicts the minimality of representation h. Hence, NF G (f) = 0 for every f I. The criterion translates into Buchberger s algorithm for finding a Gröbner basis (Algorithm 3.2.3). Algorithm G = Buchberger(I) Require: I = F R, an ideal given by a finite set of generators F ; Ensure: G R, a Gröbner basis of I (with respect to a fixed monomial order). G F S G G -- The queue of s-pairs. while S do Pick (f 1, f 2 ) S. S S {(f 1, f 2 )} g NF G (S f1,f 2 ) if g 0 then S S {g} G G G {g} end if end while Proof of termination and correctness of Algorithm Let G i be an intermediate set of generators at step i of the algorithm. The sequence G 1 G 2

11 40 3. RINGS, IDEALS, AND GRÖBNER BASES has a property that either G i+1 = G i or LM(G i ) LM(G i+1 ), which which mirrors in the sequence LM(G 1 ) LM(G 2 ) Since the latter sequence has to stabilize due to Noetherianity of the polynomial ring, the former one stabilizes too. This means that no new elements are appended to the set G = G final after some step and the algorithm runs through the remaining s-pairs reducing each of them to zero and stops. The s-polynomials of s-pairs that resulted in a new element g G reduce to zero, since g G final. Therefore, every s-pair considered during the run reduces to zero and the algorithm goes through all pairs G final G final by construction.

12 3.3. BASIC COMPUTATIONS IN POLYNOMIAL RINGS Basic computations in polynomial rings Here we discuss basic computations in polynomial rings that Gröbner bases enable. Proposition already provides us with a way to test if a polynomial belongs to an ideal: the so-called ideal membership test Computations in a quotient ring. Given an ideal I R consider the quotient ring R/I. Proposition and Corollary give a way to pick a canonical representative for [f] R/I: take the normal form of the representative f R: [NF I (R)] = [f]. Note that representation with normal forms gives a one-to-one correspondence between polynomials involving only standard monomials (i.e., monomials outside in(i)) and R/I. Example The set { } G = x 2 y 2, y 3 2xy y 2 + 2x, xy 2 3xy + 2x is a Gröbner basis of I = G with respect to > glex. The S = { 1, x, y, xy, y 2} is the set of standard monomials. Therefore, as a k-space, R/I is finite-dimensional. (This is equivalent to saying that ideal I and the system of polynomials G are 0-dimensional in the ring-theoretic sense.) We used this fact in Chapter 1 to construct the multiplication map M f : R/I R/I, [g] [fg] and applied it to solving the polynomial system G via eigenvalues of operators M f where f is set equal to one of the variables Elimination. Another fundamental problem is that of elimination: given and ideal I k[x, y] = k[x 1,..., x n, y 1,..., y m ] find J = I k[x] (an ideal of k[x]), i.e., eliminate y i. Fix a block order > 2,1 (see 3.2.1) constructed from some monomial orders > 1 on k[x] and > 2 on k[y]. We say that such order eliminates the variables y i and sometimes write y i x j for all i, j. One can show that if G is a Gröbner basis of I with respect to > 2,1, then G k[x] is not only a generating set, but also a Gröbner basis of J with respect to > 1. Example Fix the elimination order with y x on R = k[x, y] and consider the ideal I of Example The set G = { x 4 2x 3 x 2 + 2x, 3yx x 3 2x, y 2 x 2} is a Gröbner basis of I with respect to this order. Therefore, J = I k[x] = x 4 2x 3 x 2 + 2x. Now solving the univariate equation and substituting the values of x in the other equations gives a solving method that was also discussed in Chapter 1.

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