Surv122 Endmatter
Surv122 Endmatter
1090/surv/122
Polynomial Identities
and Asymptotic Methods
Mathematical
Surveys
and
Monographs
Volume 122
Polynomial Identities
and Asymptotic Methods
Antonio Giambruno
Mikhail Zaicev
A m e r i c a n M a t h e m a t i c a l Society
*WDED
EDITORIAL COMMITTEE
Jerry L. Bona Peter S. Landweber
Michael G. Eastwood Michael P. Loss
J. T. Stafford, Chair
2000 Mathematics Subject Classification. Primary 16R10, 16R20, 16R30, 16R40, 16R50,
16P90, 16W22, 16W55, 17B01.
Preface ix
Index 349
Preface
One of the main objectives of this book is to show how one can combine methods
of ring theory, combinatorics, and representation theory of groups with an analytical
approach in order to study the polynomial identities satisfied by a given algebra.
The idea of applying analytical methods to the theory of polynomial identities
appeared in the early 1970s and nowadays this approach is one of the most powerful
tools of the theory.
A polynomial identity of an algebra A is a polynomial in non-commuting in-
determinates vanishing under all evaluations in A and the algebras having at least
one such nontrivial relation are called PI-algebras. For instance, xy — yx = 0 is a
polynomial identity for any commutative algebra. Hence, in particular, the polyno-
mial ring in one or several variables is an example of a Pi-algebra. Another natural
example is given by the exterior algebra of a vector space, or Grassmann algebra G
which appears in algebra, analysis, geometry and other branches of modern mathe-
matics. It is easy to see that G satisfies the polynomial identity [[x, y],z] = 0 where
[x, y] — xy — yx is the Lie commutator of x and y. Any nilpotent algebra A such
that An = 0 is a Pi-algebra since it satisfies the polynomial identity X1X2 • • • xn = 0.
All subalgebras, homomorphic images and direct products of algebras satisfying
a given identity / = 0 still satisfy / = 0. Hence the PI-algebras form a quite
wide class including commutative algebras, finite dimensional algebras, algebraic
algebras of bounded exponent and many more.
Non commutative polynomials vanishing on an algebra can be found in the
early papers of Dehn ([De]) and Wagner ([Wa]). The general interest in Pi-theory
started after a paper of Kaplansky ([Kl]) in 1948. In that paper it was proved
that any primitive Pi-algebra is a finite dimensional simple algebra suggesting that
satisfying a polynomial identity is some finiteness condition on a given algebra.
Most of the structure theory of PI-algebras was developed in the 1960s and the
1970s and an account of it can be found in the early books of Jacobson ([JaJ) and
Procesi ([Pr3]). A comprehensive collection of the results on the structure theory
of PI-algebras can be found in the book of Rowen ([Ro2]).
Two years after Kaplansky's theorem, Amitsur and Levitsky proved by purely
combinatorial methods that a certain polynomial, called the standard polynomial of
degree 2/c, is an identity of minimal degree for the algebra of k x k matrices ([AL]).
This theorem was the beginning of a new approach to Pi-theory, the main objective
being the description of the polynomial identities satisfied by a given algebra. A few
years later, Kostant ([Ks]) related the Amitsur-Levitsky theorem to cohomology
theory and to the invariant theory of k x k matrices. In the 1970s the theory of
Pi-algebras was related to the more general theory of trace identities as developed
by Procesi ([Pr2]) via invariant theory and independently by Razmyslov ([R2]).
ix
x PREFACE
For the reader interested in the general theory of polynomial identities, the
first monographs devoted to the subject were published in the 1970s ([Pr3], [Ja],
([Ro2]). In several books concerning ring theory or other areas of algebra one can
find some parts dedicated to the theory of polynomial identities. Among them we
cite the books of Herstein [H], Cohn [C], Rowen [Ro3], Passman [P], Zhevlakov,
Slinko, Shestakov and Shirshov [ZSSS], Formanek [F4] and Beidar, Martindale and
Mikhalev [BMM]. Polynomial identities of Lie algebras are treated extensively in
the books by Bahturin [Bl] and Razmyslov [R4]. The solution of the Specht
problem is contained in the important monograph by Kemer [Ke7]. The book by
Drensky [D10] is a very good source for a first year graduate course in Pi-theory.
The recent achievements in Pi-theory have also stimulated the appearance of new
monographs and surveys devoted to polynomial identities ([GRZ2], [DF], [BR]).
The book by Belov and Rowen [BR] appeared but there seems to be no significant
overlap between the two books.
Xll PREFACE
The general scheme of the book is as follows. The core of the book is Chapter
6 where we prove the integrality of the exponential growth of any proper variety or
T-ideal. All the previous chapters contain the material needed for this purpose.
In the first chapter, we introduce the basic definitions and we give an ac-
count of the main results of the structure theory of PI-algebras. One of the main
tools for computing the asymptotic behavior of the codimensions is the represen-
tation theory of the symmetric group and we give an account of this theory in
Chapter 2. We present most of the classical results including the branching rules,
the hook formula and the Littlewood-Richardson rule. We then study the permu-
tation action of the symmetric group on the space of multilinear polynomials in a
fixed number of variables and we derive most of the properties of this action that
we shall use throughout.
In Chapter 3 we deal with group gradings and group actions. Group graded
algebras and, in particular, superalgebras play an important role in different areas
of mathematics and theoretical physics. The reason for studying superalgebras and
their identities is twofold. It is an interesting fast growing subject. More impor-
tant, there is a well understood connection between superidentities and ordinary
identities that allows one to reduce some problems to the finite dimensional case,
and this is one of the basic reductions in this book. In this chapter we generalize
Wedderburn theorems to the case of superalgebras and algebras with involution.
We also introduce the Grassmann envelope and the superenvelope of an algebra
and prove their basic properties.
In Chapter 4 we define the basic notions of the theory, namely the sequences
of codimensions and colengths and we prove the most important properties of their
asymptotic behaviour. We also prove a basic structure theorem concerning the
Grassmann envelope of a superalgebra and the well-known hook theorem and strip
theorem.
Chapter 5 is devoted to the introduction of the invariant theory o f n x n matrices
and the consequent theory of trace polynomial identities. This subject is interesting
on its own and is an important area of modern mathematics. In this chapter we
apply results of invariant theory in order to prove the existence of suitable central
polynomials f o r n x n matrices. Such polynomials are used in the subsequent chapter
for finding the precise lower bound of the codimension growth. We also give the
asymptotics of the codimensions of the algebra of n x n matrices.
Chapter 6 is the central chapter of the book and we prove that the sequence
of codimensions of any Pi-algebra (or proper variety) has an integral exponential
growth, called the Pi-exponent of the algebra. We also give a constructive way for
determining it.
In the following chapters we apply the results obtained in order to further
develop the theory. Chapter 7 is mainly devoted to the characterization of varieties
having polynomial growth (or Pi-exponent < 1). The Grassmann algebra and its
properties play a basic role in this description.
In Chapter 8 we classify all varieties minimal of given exponent. This leads to
the notion of minimal superalgebra. We prove that such varieties have an ideal of
identities which is the product of verbally prime T-ideals and are strictly related
to the algebras of block triangular matrices. The classification of minimal varieties
gives an effective way for computing the exponent of a variety. In fact in Chapter 9
we define the exponent of a polynomial, or set of polynomials, as the exponent of the
PREFACE xm
A . l . The Theorem
We deal with the so-called hyperbolic (or super) integers B, that is the elements
of Z x Z with coordinatewise addition and the following multiplication:
(a, 6)(c, d) = (ac + bd, ad + be).
We start with the following definition.
DEFINITION A. 1.1. The set of the generalized squares is
V = {(r 2 , r 2 ), (r 2 + s 2 , 2rs) | r, s G N}.
Here N = {0, 1, 2, . . . } . Note that in particular, (r 2 ,0), (2r 2 ,2r 2 ) as well as
(y2 + {y + k)2, 2y(y + k)) are in V.
Let r, s > 0. If (r, s) is a sum of generalized squares (namely, of elements of
P), then r > s.
It can be shown that for instance (10, 3) is not a sum of 5 generalized squares.
The following is the generalized-six-square theorem.
THEOREM A.1.2. Given r > s > 0 in N, the pair (r, 5) is always a sum of at
most six elements in V.
The basic tool for proving Theorem A. 1.2 is the following classical theorem due
to Legendre and Lagrange (see [D, vol. 2, chapters VII, VIII]).
THEOREM A.1.3.
(1) Every positive integer m G N is a sum of at most four squares.
(2) Every positive integer m G N ; which is not of the form 4u(8/c + 7) with
u, k G N, is a sum of three squares. Moreover, if m G N is not divisible
by 4i then m is a sum of three squares with no common factor: m —
x2 + y2 + z2 and gcd(x, y,z) = 1.
We shall also make use of the following theorem.
THEOREM A. 1.4. Every positive odd integer m G N can be written in the form
m = a2 + b2 + 2c2.
Here we may assume that a is odd (hence a > 1) and that b is even. In addition, if
m > 1, then it has such a presentation with either b > 0 or c > 0.
333
334 A. T H E G E N E R A L I Z E D - S I X - S Q U A R E T H E O R E M
A.2. Basics
(r, s) = (y 2 + (y + /c) 2 , 2y(y + ^)) + (^2 + (^ + ^ ) 2 , 2^(^ + ^)) + (^?, 0) + • • • + (gl, 0).
= ( ^ W ) + (^2 + ( y + £ ) 2 ^ ^
•
Note that if M < 4, then Af is a sum of three squares in N.
LEMMA A.2.3. Let 5 < M G N and assume that none of Af, Af - 1 and Af - 4
is a sum of three squares in N. Then M = 4U(8£ + 7) m£/i 0 < £ and 3 < u, hence
M > 4 3 7 = 448. (Note: at a crucial point in the proof of Theorem A. 1.2 we shall
use the fact that that number is > 149; see the case a > 7 in the last section here).
PROOF.By Theorem A.1.3 Af = 4U(8^ + 7) with 0 < £, u. Similarly, Af - 1 =
4 (8k + 7), hence 4W(8^ + 7) = 4v(8fe + 7) + 1. If 1 < v, we must have u = 0
v
(otherwise 4 divides 1), hence l.h.s. is congruent to 3 modulo 4 while the r.h.s.
is congruent to 1, a contradiction. Thus v = 0, so Au(8£ + 7) = 8(k + 1), which
implies that 2 < u. Similarly, we have Af = Af - 4 + 4 = Aw(8m + 7) + 4, therefore
4U(8£ + 7) = 4w(8m + 7) + 4; since 0 < n, deduce that 1 < w. By cancellation,
4"" 1 (8^ + 7) = 4 W - 1 (8m + 7) + 1 and since 2 < n, this implies that w-l = 0. Thus
4U~1(8£ + 7) = 8(ra + 1) which implies that 2 < u - 1. D
LEMMA A.2.4. Let 5 < Af G N and assume none of Af, Af - 1 and Af - 4 is a
simz 0/ £/iree squares. Let t > 0 be an integer that modulo 8 is congruent to either
2 or b. Then M — t is a sum of three squares.
PROOF. If M-t is not a sum of three squares, then Af = 4 n (8^+7) = A f - t + t =
9
4 (8r + 7) +t for some 0 < £, g, r and with 3 < u. Deduce a contradiction as follows.
If q = 0, it implies that t = l(mod8), a contradiction. If q = 1, then modulo 8,
t is congruent to 4, a contradiction. Finally, if 2 < g, then t = 0(mod8), again a
contradiction. •
Note that the proof implies more: if modulo 8 t is not congruent to 0, 1 or 4
(hence, if modulo 8 t is congruent to 2, 3, 5, 6 or 7), then Af — t is a sum of three
squares.
LEMMA A.2.5. Let 9 < Af G N and assume none of Af, Af - 1 and M - 4 is a
sum of three squares. Then Af — 8 is a sum of three squares.
PROOF. Again, assume this is not the case and deduce a contradiction. Thus
Af - 4U{8£ + 7) = A f - 8 + 8 = 4^(8s + 7) + 8
where 3 < u and 0 < £,k, s. Since both sides are even, 1 < y. Dividing by 4 we
have
4u-\8£ + 7) = 4 ^ (8s + 7) + 2.
336 A. T H E G E N E R A L I Z E D - S I X - S Q U A R E THEOREM
Since 3 < u, by parity we must have 2 < y. Now reducing this equation modulo 4
yields 0 = 2(mod 4), a contradiction. •
8A; + 4 = i ((a - l ) 2 + (a + l ) 2 + (6 - c) 2 + (6 + c) 2 ) .
Thus
hence
as desired. •
LEMMA A.3.3. Every s G N can be represented as s = ex2 + y2 + 2z(z -f- 2),
w/iere x,y,z eN and e G {0,1, 2}.
PROOF. The proof is divided into several cases and subcases, and in each we
show that s has the desired form.
Case 1. s is odd. By Theorem A. 1.4 s + 2 = a2 + b2 + 2c2 with a odd, 6 even,
and either b > 0 or c > 0.
Subcase 1.1: c ^ 0. It follows that s — a2 + £>2 + 2(c — l)(c + 1) and we are done.
Subcase 1.2: c = 0, so 5 + 2 = a2 + 62 and 6 > 0. Thus b = 2k, k > 1, so
5 + 2 = a2 + (2/c)2 = a 2 + 2k2 + 2/c2,
which implies that
5 = a 2 + 2/c2 + 2(/c- l)(fc + l),
and we are done.
Case 2: s is even, hence 5 + 2 = 2*v where £ > 1 and v odd. By Theorem A.1.4,
v — p2 + g2 + 2r 2 where, say, p is odd, so p ^ 0. Write
2 2e i; = (2 e p) 2 + (2eq)2 + 2(2 e r) 2 = A2 + B2 + 2C 2
where A — (2ep)2 etc., and A ^ 0 since p ^ 0 .
Subcase 2.1: £ = 2e + 1, i.e., odd. Then
5 + 2 = 2- 22ev = 2A2 + 2 £ 2 + (2C) 2
with A > 0, so
5 = 2(A - 1)(A + 1) + 2B2 + (2C) 2
as desired.
Subcase 2.2: £ = 2e, is even, with e > 1. Now
s + 2 = 2 % = (2 e p) 2 + (2 e g) 2 + 2(2 e r) 2 .
Subcase 2.2.1: r / 0 . In that case
s = (2ep)2 + (2 e ^) 2 + 2(2 e r - l)(2 e r + 1)
is the desired presentation.
Subcase 2.2.2: r = 0. In that case v = p2+q2 with p > 0. Here 5+2 = (2 e p) 2 + (2 e 4) 2
and e > 1. With w = 2e~1p ^ 0 and w = 2eq we have
8 + 2 = 2u2 + 2 w 2 + w 2 ,
hence
5 = 2(u - l)(u + 1) + 2ix2 + w 2 ,
as required. •
COROLLARY A.3.4. Let r > s > 0 be integers and let M = r — s. If at least
one of M, M — 1, M — A is a sum of three squares in N, £/ien (r, 5) 25 a 5tira of
six generalized squares. In particular, if r — s < 448, then (r, 5) is a 5tm?, of six
generalized squares.
338 A. T H E G E N E R A L I Z E D - S I X - S Q U A R E T H E O R E M
therefore
which implies t h a t
+
as required.
">(^)(^MH(H *
A.5. T H E P R O O F O F T H E O R E M A.1.2 339
2s + 6 = ^ ((a - l ) 2 + (a + l ) 2 + 4c 2 )
it follows t h a t
and we conclude t h a t
s .2(^)(^)+2(£_l)(£ + l)+2(£)=,
Recall t h a t we want t o prove t h a t given r > s > 0 in N, the pair (r, s) is always
a sum of a t most six elements in V.
341
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Index
349
350 INDEX
minimal, 45 consequence, 7
minimal graded, 194 equivalent, 7
indecomposable monomial, 259 homogeneous, 5
induced module, 46 linear, 7
involution, 69 multialternating, 138
exchange, 77 multihomogeneous, 5
symplectic, 77 multihomogeneous component, 6
transpose, 77 multilinear, 7
polynomial growth, 171
Jacobson, 29 polynomial identity, 2
Posner's Theorem, 34
Kaplansky, 27
power sums symmetric function, 15
Kaplansky's Theorem, 31
prime ring, 34
Kasparian, 28
primitive ring, 29
Kemer, 20, 83, 110, 112, 113, 169
Procesi, 27, 40, 123, 125
Koshlukov, 20
product of varieties, 327
Kostant, 120
pure trace polynomial, 122
Krull dimension, 39
Razmyslov, 19, 20, 27, 28, 123
lattice permutation, 51
Razmyslow-Kemer-Braun Theorem, 35
Latyshev, 94
Regev, 94-96, 108, 117, 128, 141, 184, 212
Lewin Theorem, 21
relatively free algebra, 4
Lie algebra, 307
representation, 43
abelian, 308
completely reducible, 44
adjoint representation, 309
equivalent, 44
center, 309
irreducible, 44
nilpotent, 308
left regular, 44
representation, 309
Robinson-Schensted Correspondence, 102
simple, 308
Rosset, 18
solvable, 308
row insertion algorithm, 101
universal enveloping algebra, 309
row-stabilizer, 49
Lie commutator, 2
Rowen, 33
Lie ideal, 9
Lie identity, 310 Schur, 120
Littlewood-Richardson rule, 51 Schur's Lemma, 29
lower exponent, 144 Second Fundamental Theorem, 125
semiprime ring, 32
Maschke's Theorem, 44
semistandard tableau, 51
Mishchenko, 184, 268, 289
Sibirskii, 125
mixed trace polynomial, 122
skew-tableau, 51
monomial, 1
Skolem-Noether Theorem, 78
multilinearization process, 7
SPI-algebra, 314
multipartition, 264
splitting field, 30, 45
Newton's formulas, 15 stable identity, 10
Noether Normalization Theorem, 39 standard Lie polynomial, 311
standard polynomial, 13
outer tensor product, 50 standard tableau, 47
Strip Theorem, 107
partition, 46 subdirect product, 33
conjugate, 47 superalgebra, 65
permutation minimal, 194
d-bad, 94 reduced, 240
d-good, 94 superenvelope, 84
Pi-algebra, 2 supervariety, 80
Pi-exponent, 144 symmetric algebra, 124
polynomial symmetric function, 15
G-polynomial, 66 symmetric polynomial, 15
alternating, 12
central, 26 T-ideal, 3
352 INDEX
verbally prime, 82
trace identity, 122
trace polynomial, 122
transcendence degree, 39
trivial grading, 62
unirational, 40
unordered partition, 50
upper exponent, 144
Wedderburn, 29
Wedderburn-Artin Theorem, 29
Wedderburn-Malcev Theorem, 71
Weyl, 120
wreath product, 257
Young diagram, 47
Young tableau, 47
Young's Rule, 50
Young-Frobenius Formula, 48
Zorn, 30
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