Week 1 Notes
Week 1 Notes
DAVID SMYTH
Linear Equations (n = 1). I know that you know how to solve a linear equation, but humor
me. Consider the equation:
f (x) = a0 x + a1 = 0.
• If a0 and a1 are rational numbers, then our solution −a1 /a0 is still a rational num-
ber. Similarly, if a0 and a1 are real numbers, then our solution is still a real number.
You probably remember from high school that simple quadratic polynomials sometimes
have complex solutions, but nothing like that happens here. In modern terminology, we
can say that no field extension is necessary in order to find solutions of linear equations.
• Our first bit of algebra - dividing through by the leading coefficient a0 - is actually a
completely general recipe for reducing an arbitrary polynomial to a monic polynomial,
i.e. a polynomial with a0 = 1. If we can solve monic polynomials, we can solve all poly-
nomials. Thus, from now on, I’ll simply assume our polynomial is monic to begin with.
Cubic Equations (n = 3). Applying our previous two tricks, we may assume that we have an
equation of the form:
f (x) = x3 + a2 x + a3 = 0
Any ideas? As with the quadratic equations, it’s easy to see that if we could cancel the a2 -
term we’d be in business - we could simply take cube roots. The new trick is to recognize the
possibility of a non-linear substitution:
a2
x=y−
3y
Let’s see what happens when we plug this in:
a2 3
a2
y− + a2 y − + a3 = 0
3y 3y
a2 a3 a22
y 3 − a2 y + 2 − 2 3 + a2 y − + a3 = 0.
3y 27y 3y
a3
y 3 + a3 − 2 3 = 0
27y
3
What lessons can we draw from the cubic? The good news is that we are beginning to
see what it means to “write down a number α such that f (α) = 0.” What we would like to
do is find some formula for α in terms of the given coefficients a0 , a1 , . . . , an . Based on the
pattern we’ve seen so far, we would expect this formula to involve nothing more than the usual
operations of addition/subtraction, multiplication/division, and also taking roots.
4 DAVID SMYTH
Now let us assume for the time being that f (x) actually has n distinct roots, so that we can
factor
Yn
f (x) = (x − αi )
i=1
Then we can view the roots αi as variables, and the coefficients of the polynomial as giving
equations involving these variables. At least in the case n = 2, this idea should be familiar
from high school, i.e. if we write
(x − α1 )(x − α2 ) = x2 + a1 x + a2 ,
where a1 and a2 are given to begin with, then we see the the problem of finding the roots of
f is just the same as finding two numbers α1 , α2 such that
−(α1 + α2 ) = a1
α1 α2 = a2 .
2. Symmetric Functions
Definition 2.1 (Elementary Symmetric Functions). Let k[x1 , . . . , xn ] be a polynomial ring in
n variables. For i = 1, . . . , n, we define the following special polynomials si ∈ k[x1 , . . . , xn ]:
s 1 = x1 + x2 + · · · + xn
s2 = x1 x2 + x1 x3 + . . . + xn−1 xn
..
.
X
sk = xi1 xi2 . . . xik
1≤i1 ≤i2 ≤...≤ik ≤n
..
.
sn = x1 x2 · · · xn
In words, we can say that the k th symmetric function is simply the sum of all degree k
monomials with no repeated variables.
The point of this definition is that the functions si precisely encode the relationship between
the roots of a polynomial and its coefficients. By some straight-forward high school algebra,
you can check:
n
Y
(x − αi ) = xn − s1 (α1 , . . . , αn )xn−1 + s2 (α1 , . . . , αn )xn−2 − . . . + (−1)n sn (α1 , . . . , αn ),
i=1
This means that finding the roots of a given polynomial f (x) = xn + a1 xn−1 + . . . + an (at
least under the assumption that f (x) has n distinct roots - later we’ll see this assumption is
6 DAVID SMYTH
can work our way up the lexicographic ordering until there are monomials left! At that point,
we have expressed f as a polynomial in the symmetric functions.
Proof. First, we reduce to the case that f is homogenous. We claim that if we know the
fundamental theorem for homogenous symmetric functions, then we know the fundamental
theorem for all symmetric functions. To see this, let f be any symmetric function and write
f = f1 + . . . + fm , where each fi is homogenous of degree i. If f is symmetric, then each fi
must be as well (because the action of Sn preserves the degree of each monomial of f ). If we
know the fundamental theorem for homogenous symmetric functions, then we can write each
fi as a polynomial in elementary symmetric function. But then we clearly get a representation
of f as a polynomial in elementary symmetric functions as desired.
Now let f be a homogeneous symmetric function and let L(f ) = cxk1 . . . xkn . By Lemma
2.10, we know that k1 ≥ k2 ≥ . . . ≥ kn . We claim that there exists a monomial in the
symmetric functions, say csl11 sl22 . . . slnn such that
L(f ) = L(csl11 sl22 . . . slnn ).
To check this, we need to investigate the lowest monomials of the elementary symmetric
functions. By the definition of the elementary symmetric functions, one easily checks that:
L(si ) = x1 x2 . . . xi .
It follows that
l +l2 +...+ln−1
L(csl11 sl22 . . . slnn ) = cxl11 +l2 +...+ln x21 . . . xlnn .
Thus, in order to get L(f ) = L(csl11 sl22 . . . slnn ), we simply need to find non-negative integers
l1 , l2 , . . . , ln such that
l1 + . . . + ln = k1
l1 + . . . + ln−1 = k2
..
.
ln = kn .
Happily, the condition k1 ≥ k2 ≥ . . . ≥ kn guarantees that we can do this. Indeed, we
simply set ln = kn and li = ki − ki+1 for i = 1, . . . , n − 1. With this choice of li , we have
L(f ) = L(csl11 sl22 . . . slnn ) as desired.
Now we are basically done. If we let f 0 := f − csl11 sl22 . . . slnn , then f 0 is a symmetric function
with L(f 0 ) > L(f ). Thus, we can simply replace f by f 0 and repeat this procedure. As we do
this, we will subtract off multiples of monomials of the symmetric functions to get a sequence
of functions f, f 0 , f 00 , . . . with higher and higher lowest monomials. The only way this process
can terminate is to have f k = 0 for some k. At that point, we have an equation expressing f
as a sum of monomials of elementary symmetric functions, i.e. a polynomial in the elementary
symmetric functions.
Lemma 3.1. Let f1 ∈ k[α1 , . . . , αn ] be any polynomial, and let f1 , . . . , fk be the orbit of f1
under the action of Sn , i.e. the set of all functions you get by acting on f1 with elements of
Sn . If s(x1 , . . . , xk ) is any symmetric function in k variables, then s(f1 , . . . , fk ) is a symmetric
function in α1 , . . . , αn .
Example 3.2. Let f1 = (α1 + α2 )(α3 + α4 ) ∈ k[α1 , α2 , α3 , α4 ]. One can easily check that the
orbit of f1 is:
f1 = (α1 + α2 )(α3 + α4 )
f2 = (α1 + α3 )(α2 + α4 )
f3 = (α1 + α4 )(α2 + α3 )
According to the theorem, any symmetric function of f1 , f2 , f3 must give a symmetric function
of the αi . In particular, one can verify by inspection that f1 + f2 + f3 , f1 f2 + f1 f3 + f2 f3 , f1 f2 f3
are all symmetric in α1 , . . . , α4 . It follows of course that they can be expressed as polynomials
in the elementary symmetric functions, and indeed one can easily check:
f1 + f2 + f3 = 2s2 (α1 , . . . , α4 )
f1 f2 + f1 f3 + f2 f3 = (Exercise!)
f1 f2 f3 = (Exercise!)
How does Lagrange use this to solve the quartic polynomial? Given an equation
f (x) = x4 + a2 x + a3 + a4 = 0,
Lagrange starts by assuming that f (x) has 4 distinct roots α1 , α2 , α3 , α4 . (It is not true of
course that all degree 4 polynomials have 4 distinct roots - this extra assumption is a weakness
of Lagrange’s method, and later in the course we will have the technical machinery to get
around it.) As we discussed in the last lecture, these roots must satisfy the four equations:
s1 (α1 , α2 , α3 , α4 ) = α1 + α2 + α3 + α4 = −a1 = 0.
s2 (α1 , α2 , α3 , α4 ) = a2
s3 (α1 , α2 , α3 , α4 ) = −a3
s4 (α1 , α2 , α3 , α4 ) = a4
Thus, we are given three complex numbers a2 , a3 , a4 , and we want to find four complex numbers
α1 , α2 , α3 , α4 satisfying the above equations. Though we don’t know what α1 , α2 , α3 , α4 are,
Lagrange begins by defining f1 , f2 , f3 to be the expressions in Example 3.2. In other words, we
have used four unknown complex numbers to define three more unknown complex numbers.
The key point, however, is that we have a way to find formulas for f1 , f2 , f3 in terms of
a2 , a3 , a4 . Here comes Lagrange’s stroke of genius - consider the cubic polynomial:
(x − f1 )(x − f2 )(x − f3 ) = x3 − (f1 + f2 + f3 )x2 + (f1 f2 + f1 f3 + f2 f3 )x − f1 f1 f3
As we argued in Example 3.2, the coefficients of this polynomial are symmetric functions in
α1 , α2 , α3 , α4 . By the fundamental theorem of symmetric functions, we can therefore write
the coefficients of this function as polynomials in a2 , a3 , a4 . But this means that we can use
10 DAVID SMYTH
our solution for the cubic to solve for f1 , f2 , f3 in terms of a2 , a3 , a4 ! Needless to say, actually
writing down the formula would be a rather tedious affair, but the key point is that we know
one exists.
Once we have solved for f1 , f2 , f3 , it is easy to see that we can solve for α1 , α2 , α3 , α4 .
Indeed, using the equation
α1 + α2 + α3 + α4 = 0,
we see that
f1 = (α1 + α2 )(α3 + α4 ) = −(α1 + α2 )2 ,
and we conclude that
p
α1 + α2 = −f1 ,
p
α3 + α4 = − −f1 .
Similarly, we have
p
α1 + α3 = −f2 ,
p
α2 + α4 = − −f2 ,
p
α1 + α4 = −f3 ,
p
α2 + α3 = − −f3 .
From here, one can solve for each of the αi individually. For example,
√ √ √
(α1 + α2 ) + (α1 + α3 ) − (α2 + α3 ) −f1 + −f2 + −f3
α1 = = .
2 2
We have solved the quartic!
Now, let us step back from the particulars of this example, and consider Lagrange’s overall
strategy. If we are trying to solve a polynomial of degree n, Lagrange’s strategy is to find a
function of the roots f1 (α1 , . . . , αn ) whose orbit f1 , . . . , fk under Sn is less than n. Assuming
we know how to solve equations of degree less than n, we can solve for f1 , . . . , fk by considering
the polynomial
Yk
(x − fi ).
i=1
As in the example of the quartic, the fundamental theorem of symmetric functions implies that
the coefficients of this polynomial will be polynomials in the original coefficients a1 , . . . , an , so
we can solve.
Of course, as someone pointed out in class, if we take the orbit of f1 to be too small, e.g.
if we simply take f1 to be a symmetric function, then knowing the value of f1 won’t help us
much in our quest to solve for the αi ’s. The idea, therefore, is to find a function which has
a small enough orbit that you can solve for it, but is also a useful bridge to solving for the
αi ’s. In fact, Lagrange spent the last years of his life looking for a function f (α1 , α2 , α3 , α4 , α5 )
which would allow him to solve the quintic. Alas, we now know that solving the quintic is
impossible.
Let us now step back and consider the overall idea of Galois Theory. The problem with
polynomials is that they are really not very transparent. When we solved the cubic in Lecture
1, we found that we could essentially reduce the cubic equation to a quadratic equation. In
some sense, therefore, there was a quadratic equation “hidden” inside the cubic equation.
Similarly, Lagrange found a cubic equation “hidden” inside a quartic equation. We need
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to switch to a kind of mathematical structure in which this hidden structure becomes more
transparent.
In the following weeks, we will see how to associate to any polynomial f (x) ∈ K[x] a certain
algebraic object L/K, called a field extension. While the field extension contains, in some
sense, all the relevant information about f , it is much easier to deal with. For example,
the fact that solving the cubic involves a hidden quadratic equation, will appear as the fact
the associated field extension L/K has an intermediate extension associated to a quadratic
equation, i.e. we have a picture like this:
L
x3 +a2 x+a3 K0