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# Almost regularity conditions of spectral problems for a second order equation

## 1 Introduction

It is well known that spectral problems for ordinary differential equations (O.D.E) begin with G.D.Birkhoff’s work , where the reqular boundary conditions were determined, it was established an expansion formula of function in series on eigen and joint elements (E.J.E) of relative operators, when the coefficionts of equation and boundary conditions don’t depend on the complex parameter $`\lambda `$.

The following more general result belongs to Ya.D.Tamarkin , where a class of regular and strong regular spectral problems was studied,the theorems on expansion of functions in series on their root elements (i.e. on E.J.E) are proved, when the coefficients of equation and boundary conditions depend on the complex parameter $`\lambda `$.

In \[4-6\] for a spectral problem considered in  , but for multipoint with discontinuous coofficients, the notion of regularity is given by M.L.Rasulov, distinct from  multiple expansion formula is obtained shat it’s extremely important with point of view of solving of corresponding mixed problems for partial differential equations.

In M.V.Keldyshs article  it was introducted the theorem on multiple completeness of a system E.J.E. of a spectral problem which covers some non-regular cases. But in A.A.Shkalikov sarticle  the wide subclass of non-regular problems (called almost regular) for which the system of root elements has a block-basisness property in determined spaces, is chosen. However, in  the almost regularity conditions of a spectral problems are connected with geometry of dominating addends of asymptotical expansion of characteristic determinant of Green’s function that doesn’t allows in the form of the problem to clearify, if it’s almost regular and if it’s , then of which order?

The laborionus and cumbersome calculations of coefficients of asymptotical expansion of characteristic determinant in the case of variabls of coefficients of equation, be practically impossible. Therefore, this question was open.

In this paper for a spectral problem of second order equation we obtained a necessary and sufficient condition of almost regularity of $`m`$ (arbitrary) order, distinct from  , allowiny immediately and elementarily to answer to the question of almost regularity of a spectral problem and determine order of almost regularity. It’s proved that for equations with variable coefficients the almost regular problems of any order exist.

## 2 Statement of a problem and some preliminary remarks

Consider the spectral problem

$$l(\frac{d}{dx},\lambda )yy^{\prime \prime }+q\left(x\right)y=\lambda ^2y,\mathrm{\hspace{0.17em}\hspace{0.17em}\hspace{0.17em}\hspace{0.17em}\hspace{0.17em}\hspace{0.17em}\hspace{0.17em}\hspace{0.17em}\hspace{0.17em}\hspace{0.17em}0}<x<1$$
(1)
$$U_i\left(y\right)\underset{j=0}{\overset{1}{}}\alpha _{ij}y^{\left(j\right)}\left(0\right)+\beta _{ij}y^{\left(j\right)}\left(1\right)=0$$
(2)
where $`q\left(x\right)`$ is a complex-valued function, $`\alpha _{ij}`$, $`\beta _{ij}`$ are complex numbers such that
$`\alpha _{11}\alpha _{12}\beta _{11}\beta _{12}\alpha _{21}\alpha _{22}\beta _{21}\beta _{22}=2`$, $`\lambda `$ is a spectral parameter.

It’s known  that if $`\alpha _{11}\beta _{21}\beta _{11}\alpha _{21}0`$, then the conditions (2) are regular by Birkhoff. If $`\alpha _{11}\beta _{21}\beta _{11}\alpha _{21}=0`$, then without loss of generality we can assume that $`\alpha _{21}=\beta _{21}=0`$. Where in the last case, the boundary conditions (2) will be regular by Birkhoff only on fulfilment of one of the conditions $`\alpha _{11}\beta _{20}+\beta _{11}\alpha _{20}0`$, $`\alpha _{11}=\beta _{11}=0`$, $`\alpha _{10}\beta _{20}\beta _{10}\alpha _{20}0`$.

This, among the various boundary conditions of the form (2) which are only non-regular by Birkhoff that they may be led to the form

$$\begin{array}{c}U_1\left(y\right)=\alpha _{11}y^{}\left(0\right)+\alpha _{10}y\left(0\right)+\beta _{11}y^{}\left(1\right)+\beta _{10}y\left(1\right)=0,\\ U_2\left(y\right)=\alpha _{20}y\left(0\right)+\beta _{20}y\left(1\right)=0\end{array}$$
(3)
and for whose coefficients

$$\alpha _{11}\beta _{20}+\beta _{11}\alpha _{20}=0,\left|\alpha _{11}\right|+\left|\beta _{11}\right|>0,\left|\alpha _{20}\right|+\left|\beta _{20}\right|>0$$
(4)
is satisfied.

Thus, we’ll consider the problem (1), (3) on fulfilment of the condition (4).

## 3 Connection between periodic properties of the potential $`q(x)`$ of equation and almost regularity of any order of a spectral problem

Here under definite conditions on smoothness of the function $`q\left(x\right)`$ , we obtain a formula allowing us to calculate the coefficients of any member of asymptotic expansion on power $`\lambda `$ (when $`\left|\lambda \right|\mathrm{}`$) of fundamental system of particular solutions (f.s.p.s) of the equation (1).

Let, $`q\left(x\right)C^m[0,1]`$ , by the method of reduction to the systems of integral equations  , it’s shown that for sufficiently large $`R>0`$ at each of the domains $`C_R^+=\left\{\lambda ^{}Re\lambda >0,\left|\lambda \right|>R\right\},C_R^{}=\left\{\lambda ^{}Re\lambda <0,\left|\lambda \right|>R\right\}`$ of the equation has f.s.p.s, allowing the asymptotical representations

$$\frac{d^\nu y_i(x,\lambda )}{dx^\nu }=\lambda ^\nu \mathrm{exp}\left[\left(1\right)^i\lambda x\right]\left[\underset{s=0}{\overset{m}{}}\lambda ^sg_{i\nu }^{\left(s\right)}\left(x\right)+\eta _{i\nu }(x,\lambda )\right],\left(i=1,2;\nu =0,1\right)$$
(5)
where the functions $`\eta _{i\nu }(x,\lambda )`$ are continuous at $`x[0,1]`$, analitical by $`\lambda C_R^\pm `$ and satisfy the inequality

$$\left|\eta _{i\nu }(x,\lambda )\right|M\left|\lambda \right|^{m1}$$
(6)
and $`g_{i\nu }^{\left(S\right)}\left(x\right)`$ are determined by the recursion relations

$$g_{i\nu }^{\left(0\right)}\left(x\right)=\left(1\right)^\nu ,g_{i\nu }^{\left(1\right)}\left(x\right)=\left(\frac{1}{2}\right)^{i\left(\nu +1\right)1}_0^xq\left(\xi \right)𝑑\xi ,\left(i=1,2;\nu =0,1\right)$$

$$g_{i\nu }^{\left(s\right)}\left(x\right)=\left(\frac{1}{2}\right)^{i\left(\nu +1\right)1}_0^xq\left(\xi \right)g_{i0}^{\left(s1\right)}\left(\xi \right)𝑑\xi +\underset{j=0}{\overset{s2}{}}\left(\frac{1}{2}\right)^{\left(i1\right)\left(\nu +sj\right)}\frac{d^{sj2}}{dx^{sj2}}$$

$$\times \left[q\left(x\right)g_{i0}^{\left(j\right)}\left(x\right)\right],$$

$$(i=1,2;\nu =0,1;s=\overline{2,m)}$$
(7)
Further, using the formula (5) and estimation (6) for characteristic determinant of Green’s problem (1),(3) we obtain the expression

$$\mathrm{}\left(\lambda \right)=\delta _1\left(\lambda \right)e^\lambda +\delta _0\left(\lambda \right)+\delta _1\left(\lambda \right)e^\lambda ,$$
(8)
$$\delta _k\left(\lambda \right)=\underset{i=0}{\overset{m}{}}\lambda ^{1i}\delta _k^{\left(1i\right)}+O\left(\frac{1}{\lambda ^m}\right),\left(k=1,0,1\right)$$
(9)
where $`\delta _k^{\left(1i\right)}\left(k=1,0,1;i=0,1,\mathrm{}m\right)`$ are constants given by the formulas

$$\delta _1^{\left(1i\right)}=\underset{j=0}{\overset{i}{}}\left[\alpha _{20}\beta _{11}g_{20}^{\left(j\right)}\left(0\right)g_{11}^{\left(ij\right)}\left(1\right)\beta _{20}\alpha _{11}g_{21}^{\left(j\right)}\left(0\right)g_{10}^{\left(ij\right)}\left(1\right)\right]+$$

$$+\left(\alpha _{20}\beta _{10}\beta _{20}\alpha _{10}\right)\underset{j=0}{\overset{i1}{}}g_{20}^{\left(j\right)}\left(0\right)g_{10}^{\left(ij1\right)}\left(1\right),$$

$$\delta _0^{\left(1i\right)}=\underset{j=0}{\overset{i}{}}[\alpha _{20}\alpha _{11}(g_{20}^{\left(j\right)}\left(0\right)g_{11}^{\left(ij\right)}\left(0\right)g_{10}^{\left(j\right)}\left(0\right)g_{21}^{\left(ij\right)}\left(0\right))+$$

$$+\beta _{20}\beta _{11}(g_{20}^{\left(j\right)}\left(1\right)g_{11}^{\left(ij\right)}\left(1\right)g_{10}^{\left(j\right)}\left(1\right)g_{21}^{\left(ij\right)}\left(1\right))],$$

$$\delta _1^{\left(1i\right)}=\underset{j=0}{\overset{i}{}}\left[\beta _{20}\alpha _{11}g_{11}^{\left(j\right)}\left(0\right)g_{20}^{\left(ij\right)}\left(1\right)\alpha _{20}\beta _{11}g_{10}^{\left(j\right)}\left(0\right)g_{21}^{\left(ij\right)}\left(1\right)\right]+$$

$$+\left(\alpha _{10}\beta _{20}\beta _{10}\alpha _{20}\right)\underset{j=0}{\overset{i1}{}}g_{10}^{\left(j\right)}\left(0\right)g_{20}^{\left(ij1\right)}\left(1\right),$$
(10)
$$\left(i=0,1,2\mathrm{},m\right)$$

From the formula ((10) and (7)) we find:

$$\delta _1^{\left(1i\right)}=\left(1\right)^i\delta _1^{\left(1i\right)},\left(i=1,1,2,\mathrm{}m\right)$$
(11)
From the formulas (11), (8), (9) according to A.A.Shkalikov’s definition  we have Definition 1. Let $`q\left(x\right)C^m[0,1]`$, the boundary forms $`U_i\left(i=1,2\right)`$ have the form (3) and $`\left|\alpha _{11}\right|+\left|\beta _{11}\right|>0,\left|\alpha _{20}\right|+\left|\beta _{20}\right|>0`$. Then the spectral problem (1), (2) is called almost regular of the order $`m0`$, if

$$\delta _1^{\left(1\right)}=\delta _1^{\left(0\right)}=\mathrm{}=\delta _1^{\left(2m\right)}=0,\delta _1^{\left(2m\right)}0$$
(12)
Remark 1. The almost regular problem of zero order ($`m=0,\delta _1^{\left(1\right)}=0`$) is regular by Tamarkin-Rasulov and corresponding to it the boundary conditions (2) are regular by Birkhoff. This follows from the expansion

$$\delta _1^{\left(1\right)}=\left(\alpha _{20}\beta _{11}+\beta _{20}\alpha _{11}\right),$$
(13)
that is obtained by the substitution of (7) in (11). Substituting (7) in (11) when $`i=1`$ we obtain

$$\delta _1^{\left(0\right)}=\frac{1}{2}\left(\alpha _{20}\beta _{11}+\beta _{20}\alpha _{11}\right)_0^1q\left(\xi \right)𝑑\xi \left(\alpha _{10}\beta _{20}\beta _{10}\alpha _{20}\right)$$
(14)
from (13), (14) and definition 1 it’s obvious that the problem (1), (2) will be almost regular of the first order, iff

$$\alpha _{20}\beta _{11}+\beta _{20}\alpha _{11}=0,\alpha _{10}\beta _{20}\beta _{10}\alpha _{20}0$$
(15)
at the same time for almost regularity of this problem, of the order $`m2`$, it’s necessary that

$$\alpha _{20}\beta _{11}+\beta _{20}\alpha _{11}=0,\alpha _{10}\beta _{20}\beta _{10}\alpha _{20}=0$$
(16)
But on fulfilment of (16), the expression for the number $`\delta _1^{\left(1i\right)}(`$ $`i2)`$is simplified and takes the form

$$\delta _1^{\left(1i\right)}=\alpha _{20}\beta _{11}\underset{j=0}{\overset{i}{}}\left(1\right)^j\left[g_{10}^{\left(j\right)}\left(0\right)g_{11}^{\left(ij\right)}\left(1\right)g_{11}^{\left(j\right)}\left(0\right)g_{10}^{\left(ij\right)}\left(1\right)\right]$$
(17)
$$\left(i=2,3,\mathrm{}\right),$$

where it must be $`\alpha _{20}\beta _{11}0`$. Since it’s easy to see that on non-fulfilment of this inequality, the problem (1), (2) becomes to the cauchy problem and isn’t normal in sense of . As it’s obvious from (17) the order of almost regularity higher than first, doesn’t depend on coefficients of the boundary conditions (2) and may be connected only with the coefficient $`q\left(x\right)`$ of the equation (1). From (17) after simple transformations we obtain

$$\delta _1^{\left(1\right)}=\frac{1}{2}\alpha _{20}\beta _{11}\left[q\left(1\right)q\left(0\right)\right],$$

$$\delta _1^{\left(2\right)}=\frac{1}{4}\alpha _{20}\beta _{11}\left\{\left[q^{}\left(1\right)+q^{}\left(0\right)\right]+\left[q\left(1\right)q\left(0\right)\right]_0^1q\left(\xi \right)𝑑\xi \right\},$$

$$\delta _1^{\left(3\right)}=\frac{1}{8}\alpha _{20}\beta _{11}\{[q^{\prime \prime }\left(1\right)q^{\prime \prime }\left(0\right)][q^{}\left(1\right)+q^{}\left(0\right)]_0^1q\left(\xi \right)d\xi +$$

$$+2\left[q\left(1\right)q\left(0\right)\right]_0^1q\left(\xi \right)g_{10}^{\prime \prime }\left(\xi \right)𝑑\xi +2\left[q^2\left(1\right)q^2\left(0\right)\right],$$
(18)
and so on. The regularity which we can note from these formulas, is generalized in the the following proposition:
Lemma 1. Let (16) be satisfied, $`\alpha _{20}\beta _{11}0`$ and $`\delta _1^{\left(1\right)}=\delta _1^{\left(2\right)}=\mathrm{}=\delta _1^{\left(k\right)}=0`$. Then in order to be $`\delta _1^{\left(k1\right)}=0`$, it’s necessary and sufficient that

$$q^{\left(k\right)}\left(0\right)=\left(1\right)^kq^{\left(k\right)}\left(1\right),\left(k0\right)$$
(19)
For the proof of this statement we must establish the following lemma, which has an independent value in sense of simplification of the recursion relations (7).
Lemma 2. For any natural $`s`$ for the function $`g_{10}^{\left(s\right)}\left(x\right)`$ the following representation is valid.

$$g_{10}^{\left(s\right)}\left(x\right)=2^s\underset{\nu =1}{\overset{s_0}{}}[k_1+\mathrm{}+k_\nu =s+12\nu \alpha _{s,k_1,\mathrm{}k_\nu }^{\left(\nu \right)}q^{\left(k_1\right)}\left(x\right)\mathrm{}\mathrm{}q^{\left(k_\nu \right)}\left(x\right)+$$

$$+k_1+\mathrm{}+k_\nu =s+12\nu \alpha _{s,k_1,\mathrm{}k_{\nu 1}}^{\left(\nu \right)}q^{\left(k_1\right)}\left(x\right)q^{\left(k_{\nu 1}\right)}\left(x\right)$$

$$q^{\left(s2\nu k_1\mathrm{}k_{\nu 1}\right)}\left(x\right)]$$
(20)
where $`s_0=\left[\frac{s+1}{2}\right]`$ is real part of $`\frac{s+1}{2}`$,

$$q_i\left(x\right)=2^i_0^xq\left(\xi \right)g_{10}^{\left(i\right)}\left(\xi \right)𝑑\xi ,\left(i=0,1\mathrm{}\right)$$
(21)
and the natural numbers $`\alpha _s^{\left(\nu \right)}\mathrm{}`$, are determined by the formulas

$$\alpha _{s,k_1,\mathrm{},k_\nu }^{\left(\nu \right)}=\underset{j=k_\nu +1}{\overset{s2\left(\nu 1\right)k_1\mathrm{}k_{\nu 1}}{}}C_{s2\left(\nu 1\right)k_1\mathrm{}k_{\nu 2}j}^{k_\nu 1}\alpha _{s,k_1,\mathrm{}k_{\nu 2},j},$$
(22)
$$\alpha _{s,k_1}^{\left(1\right)}=1$$

Proof: It’s obvious that under the designation of (21) we can represent (7) (when $`\nu =0`$) in the form of

$$g_{10}^{\left(s\right)}\left(x\right)=2^s\underset{i=0}{\overset{s1}{}}q_i^{\left(s1i\right)}\left(x\right),$$
(23)
whence we have

$$q_s\left(x\right)=2^sq\left(x\right)g_{10}^{\left(s\right)}\left(x\right)=q\left(x\right)\underset{i=0}{\overset{s1}{}}q_i^{\left(s1i\right)}\left(x\right).$$
(24)
From (23) subject to (24) we obtain

$$g_{10}^{\left(s\right)}\left(x\right)=2^s\left\{\left[q_{s1}\left(x\right)+q_0^{\left(s1\right)}\left(x\right)\right]+\underset{i_1=0}{\overset{s1}{}}\left[q_{i_1}^{}\left(x\right)\right]^{\left(s2i_1\right)}\right\}=$$

$$=2^s\left\{\left[q_{s1}\left(x\right)+q_0^{\left(s1\right)}\left(x\right)\right]+\underset{i_1=0}{\overset{s1}{}}q\left(x\right)\underset{i_2=0}{\overset{i_11}{}}\left[q_{i_2}^{\left(i_11i_2\right)}\left(x\right)\right]^{\left(s2i_1\right)}\right\}=$$

$$=2^s\left\{\left[q_{s1}\left(x\right)+q_0^{\left(s1\right)}\left(x\right)\right]+\underset{i_1=0}{\overset{s1}{}}\underset{i_2=0}{\overset{i_11}{}}\underset{k_1=0}{\overset{si_12}{}}C_{si_12}^{k_1}q^{\left(k_1\right)}\left(x\right)\times q_{i_2}^{\left(s3i_2k_1\right)}\left(x\right)\right\}$$

$$=2^s\left\{\left[q_{s1}\left(x\right)+q_0^{\left(s1\right)}\left(x\right)\right]+\underset{k_1=0}{\overset{s3}{}}\underset{i_2=0}{\overset{s3k_1}{}}\underset{i_1=i_2+1}{\overset{s3k_1}{}}C_{si_12}^{k_1}q^{\left(k_1\right)}\left(x\right)q_{i_2}^{\left(s3i_2k_1\right)}\left(x\right)\right\}$$

denoting

$$\alpha _{s,s1}^{\left(1\right)}=\alpha _{s,0}^{\left(1\right)}=1,\alpha _{s,k_1,i_2}^{\left(2\right)}=\underset{i_1=i_2+1}{\overset{s2k_1}{}}C_{si_12}^{k_1}\alpha _{s,i_1}^{\left(1\right)}=\underset{i_1=i_2+1}{\overset{s2k_1}{}}C_{si_12}^{k_1}=C_{si_12}^{k_1+1}$$

from the last formula we have

$$g_{10}^{\left(s\right)}\left(x\right)=2^s\{[\alpha _{s,s1}^{\left(1\right)}q_{s1}\left(x\right)+\alpha _{s,0}^{\left(1\right)}q_0^{\left(s1\right)}\left(x\right)]+\underset{k1+i_2s3}{}\alpha _{s,k_1,i_2}^{\left(2\right)}q^{\left(k_1\right)}\left(x\right)$$

$$q_{i_2}^{\left(s3i_2k_1\right)}\left(x\right)\}=2^s\{[\alpha _{s,s1}^{\left(1\right)}q_{s1}\left(x\right)+\alpha _{s,0}^{\left(1\right)}q_0^{\left(s1\right)}\left(x\right)]+$$

$$[\underset{k_1+i_2=s3}{}\alpha _{s,k_1,i_2}^{\left(2\right)}q^{\left(k_1\right)}\left(x\right)q_{i_2}\left(x\right)+\underset{k_1=0}{\overset{s4}{}}\alpha _{s,k_1,0}^{\left(2\right)}q^{\left(k_1\right)}\left(x\right)$$

$$\times q_0^{\left(s3k_1\right)}\left(x\right)]\underset{k_1+i_2S4}{}\alpha _{s,k_1,i_2}^{\left(2\right)}q^{\left(k_1\right)}\left(x\right)q_{i_2}^{\left(s3i_2k_1\right)}\left(x\right)\}$$
(25)
using the formulas (23),(24) we transform the last addend in the right hand side of (25)

$$\underset{k_1+i_2S4}{}\alpha _{s,k_1,i_2}^{\left(2\right)}q^{\left(k_1\right)}\left(x\right)q_{i_2}^{\left(s3i_2k_1\right)}\left(x\right)=$$

$$=\underset{k_1+i_2S4}{}\alpha _{s,k_1,i_2}^{\left(2\right)}q^{\left(k_1\right)}\left(x\right)\left[q\left(x\right)\underset{i_3=0}{\overset{i_21}{}}q_{i_3}^{\left(i_21i_3\right)}\left(x\right)\right]^{\left(s4k_1i_2\right)}=$$

$$=\underset{k_1=0}{\overset{s5}{}}\underset{i_2=1}{\overset{s4k_1}{}}\underset{i_3=0}{\overset{i_21}{}}\underset{k_2=0}{\overset{s4k_1i_2}{}}C_{s4k_1i_2}^{k_2}\alpha _{s,k_1,i_2}^{\left(2\right)}q^{\left(k_1\right)}\left(x\right)q^{\left(k_2\right)}\left(x\right)\times $$

$$\times q_{i_3}^{\left(s5k_1k_2i_3\right)}\left(x\right)=\underset{k_1=0}{\overset{s5}{}}\underset{k_2=0}{\overset{s5k_1}{}}\underset{i_3=0}{\overset{s5k_1k_2}{}}\underset{i_2=i_3+1}{\overset{s4k_1k_2}{}}C_{s4k_1i_2}^{k_2}\times $$

$$\times \alpha _{s,k_1,i_2}^{\left(2\right)}q^{\left(k_1\right)}\left(x\right)q^{\left(k_2\right)}\left(x\right)q_{i_3}^{\left(s5k_1k_2i_3\right)}\left(x\right)=$$

$$=\underset{k_1+k_2+i_3S5}{}\alpha _{s,k_1k_2,i_3}^{\left(3\right)}q^{\left(k_1\right)}\left(x\right)q^{\left(k_2\right)}\left(x\right)q_{i_3}^{\left(s5k_1k_2i_3\right)}\left(x\right)$$
(26)
where

$$\alpha _{s,k_1,k_2,i_3}^{\left(3\right)}=\underset{i_2=i_3+1}{\overset{s4k_1k_2}{}}C_{s4k_1i_2}^{k_2}\alpha _{s,k_1,i_2}^{\left(2\right)}.$$

substituting (26) in (25) we obtain

$$g_{10}^{\left(s\right)}\left(x\right)=2^s\{[\alpha _{s,s1}^{\left(1\right)}q_{s1}\left(x\right)+\alpha _{s,0}^{\left(1\right)}q_0^{\left(s1\right)}\left(x\right)]+$$

$$+\left[\underset{k_1+i_2=s3}{}\alpha _{s,k_1,i_2}^{\left(2\right)}q^{\left(k_1\right)}\left(x\right)q_{i_2}\left(x\right)+\underset{k_1s4}{}\alpha _{s,k_1,0}^{\left(2\right)}q^{\left(k_1\right)}\left(x\right)q_0^{\left(s3k_1\right)}\left(x\right)\right]+$$

$$+[\underset{k_1+k_2+i_3=s5}{}\alpha _{s,k_1,k_2,i_3}^{\left(s\right)}q^{\left(k_1\right)}\left(x\right)q^{\left(k_2\right)}\left(x\right)q_{i_3}\left(x\right)+$$

$$+\underset{k_1+k_2s6}{}\alpha _{s,k_1,k_2,0}^{\left(3\right)}q^{\left(k_1\right)}\left(x\right)q^{\left(k_2\right)}\left(x\right)q_0^{\left(s5k_1k_2\right)}\left(x\right)]+$$

$$+\underset{k_1+k_2+i_3s6}{}\alpha _{s,k_1,k_2,i_3}^{\left(3\right)}q^{\left(k_1\right)}\left(x\right)q^{\left(k_2\right)}\left(x\right)q_{i_3}^{\left(s5k_1k_2i_3\right)}\left(x\right)\}$$

By repeating the above mentioned transformation once more $`S_03`$ times, it’s evident that we obtain the formulas (20),(22) that it’s easily confirmed also by induction. Remark 2. The natural numbers $`\alpha _{s,k_1,\mathrm{},k_\nu }^{\left(\nu \right)}`$ appearing in the formula (20), have the propety

$$\alpha _{s,k_1,\mathrm{},k_\nu }^{\left(\nu \right)}=\alpha _{sk_\nu ,k_1,\mathrm{},k_{\nu 1},0}^{\left(\nu \right)}$$
(27)
which will be usefull to prove lemma 1. Proof of lemma 1. We use the mathematical induction method. When $`k=0`$ and $`n=1`$ the validity of statement of lemma follows from the first two equalities of the formula (18). Let for some $`i4`$ it be valid for all $`ki3`$. We proof the validity of statement of lemma when $`k=i2`$ , i.e. let the conditions (16) be satisfied, $`\alpha _{20}\beta _{11}0`$ and

$$\delta _1^{\left(1\right)}=\mathrm{}=\delta _1^{\left(2i\right)}$$
(28)
and we establish that $`\delta _1^{\left(1i\right)}=0`$, iff the following equality holds

$$q^{\left(i2\right)}\left(1\right)=\left(1\right)^{i2}q^{\left(i2\right)}\left(0\right),$$
(29)
from the fulfilment of (28) by virtue of our supposition it follows that

$$q^{\left(k\right)}\left(1\right)=\left(1\right)^kq^{\left(k\right)}\left(0\right),\left(k=0,1,\mathrm{},i3\right).$$
(30)
It’s lasy to see that by using the designation (21) we can represent in the form of

$$\left(\alpha _{20}\beta _{11}\right)^1\delta _1^{\left(1i\right)}=2\left[g_{10}^{\left(i\right)}\left(1\right)+\left(1\right)^{i+1}g_{10}^{\left(i\right)}\left(0\right)\right]+$$

$$+\underset{j=0}{\overset{i1}{}}\left(1\right)^{j+1}2^{1+ji}g_{10}^{\left(j\right)}\left(0\right)q_{ij1}\left(1\right),$$
(31)
substituting (20) in (31) we find

$$2^{i1}\left(\alpha _{20}\beta _{11}\right)^1\delta _1^{\left(1i\right)}=\underset{\nu =1}{\overset{i_0}{}}\{\underset{k_1+\mathrm{}k_\nu =i+12\nu }{}\alpha _{i,k_1,\mathrm{}k_{\nu 1}}^{\left(\nu \right)}\times $$

$$\times \left[q^{\left(k_1\right)}\left(1\right)\mathrm{}q^{\left(k_{\nu 1}\right)}\left(1\right)q_{k\nu }\left(1\right)+\left(1\right)^{i+1}q^{\left(k_1\right)}\left(0\right)\mathrm{}q^{\left(k_{\nu 1}\right)}\left(0\right)\times q_{k\nu }\left(0\right)\right]+$$

$$+\underset{k_1+\mathrm{}+k_\nu 12\nu }{}\alpha _{i,k_1,\mathrm{}k_{\nu 1,}0}^{\left(\nu \right)}[q^{\left(k_1\right)}\left(1\right)\mathrm{}q^{\left(k_{\nu 1}\right)}\left(1\right)q^{\left(12\nu k_1\mathrm{}k_{\nu 1}\right)}\left(1\right)+$$

$$q^{\left(k_1\right)}\left(0\right)\mathrm{}q^{\left(k_{\nu 1}\right)}\left(0\right)q^{\left(12\nu k_1\mathrm{}k_{\nu 1}\right)}\left(0\right)]\}q_{i1}(1)+$$

$$\underset{j=2}{\overset{i1}{}}(1)^{j+1}q_{ij1}\left(1\right)\underset{\nu =1}{\overset{i_0}{}}[\underset{k_1+\mathrm{}+k_\nu }{\overset{j+12\nu }{}}\alpha _{j,k_1,\mathrm{}k_\nu }^{\left(\nu \right)}\times $$

$$q^{\left(k_1\right)}\left(0\right)\mathrm{}q^{\left(k_{\nu 1}\right)}\left(0\right)q_{k\nu }\left(0\right)+$$

$$+\underset{k_1+\mathrm{}k_\nu j2\nu }{}\alpha _{j,k_1,\mathrm{}k_{\nu 1},0}^{\left(\nu \right)}q^{\left(k_1\right)}\left(0\right)\mathrm{}q^{\left(k_{\nu 1}\right)}\left(0\right)q^{\left(j2\nu k_1\mathrm{}k_{\nu 1}\right)}\left(0\right)],$$
(32)
where we denote by $`i_0`$ and $`j_0`$, integer parts of the numbers $`\frac{i+2}{2}`$ and $`\frac{j+1}{2}`$,
respectively. Subject to (30) and (21) $`q_{k\nu }\left(0\right)=0`$ (see (21)) from (32)
we have

$$2^{i1}\left(\alpha _{20}\beta _{11}\right)^1\delta _1^{\left(1i\right)}=\underset{\nu =1}{\overset{i_0}{}}\underset{k_1+\mathrm{}+k_\nu =i+12\nu }{}\alpha _{i,k_1,\mathrm{}k_{\nu 1}}^{\left(\nu \right)}\times $$

$$\times q^{\left(k_1\right)}\left(1\right)\mathrm{}q^{\left(k_{\nu 1}\right)}\left(1\right)q_{k\nu }\left(1\right)+\underset{\nu =2}{\overset{i_0}{}}\underset{k_1+\mathrm{}k_\nu =i+12\nu }{}\alpha _{i,k_1,\mathrm{}k_\nu ,0}^{\left(\nu \right)}\times $$

$$\times q^{\left(k_1\right)}\left(1\right)\mathrm{}q^{\left(k_{\nu 1}\right)}\left(1\right)q^{\left(i2\nu k_1\mathrm{}k_{\nu 1}\right)}\left(1\right)\times $$

$$\times \left[1+\left(1\right)^{i+1}\left(1\right)^{12\nu }\right]+\alpha _{i,0}^{\left(1\right)}\left[q^{\left(i2\right)}\left(1\right)+\left(1\right)^{i+1}q^{\left(i2\right)}\left(0\right)\right]$$

$$q_{i1}\left(1\right)+\underset{j=2}{\overset{i1}{}}(1)^{j+1}q_{ij1}^{\left(1\right)}\underset{\nu =1}{\overset{j_0}{}}\underset{k_1+\mathrm{}+k_{\nu 1}j2\nu }{}\alpha _{j,k_1,\mathrm{}k_\nu ,0}^{\left(\nu \right)}\times $$

$$\times q^{\left(k_1\right)}\left(0\right)\mathrm{}q^{\left(k_{\nu 1}\right)}\left(0\right)q^{\left(j2\nu k_1\mathrm{}k_{\nu 1}\right)}\left(0\right)=$$

$$=\alpha _{i,0}^{\left(1\right)}\left[q^{\left(i2\right)}\left(1\right)+\left(1\right)^{i+1}q^{\left(i2\right)}\left(0\right)\right]+$$

$$+\underset{\nu =2}{\overset{i_0}{}}\underset{k_1+\mathrm{}k_\nu =i+12\nu }{}\alpha _{i,k_1,\mathrm{}k_\nu }^{\left(\nu \right)}q^{\left(k_1\right)}\left(1\right)\mathrm{}q^{\left(k_{\nu 1}\right)}\left(1\right)q_{k\nu }\left(1\right)+$$

$$+\underset{j=2}{\overset{i1}{}}(1)^{j+1}q_{ij1}^{\left(1\right)}\underset{\nu =1}{\overset{j_0}{}}\underset{k_1+\mathrm{}k_\nu j2\nu }{}(1)^{j+2\nu }\alpha _{j,k_1,\mathrm{}k_{\nu 1},0}^{\left(\nu \right)}\times $$

$$\times q^{\left(k_1\right)}\left(1\right)\mathrm{}q^{\left(k_{\nu 1}\right)}\left(1\right)q^{\left(j2\nu k_1\mathrm{}k_{\nu 1}\right)}\left(1\right)$$
(33)
By virtue of the formula (22), $`\alpha _{i,0}^{\left(1\right)}=0`$ and when $`k_1+\mathrm{}+k_\nu =i+12\nu `$ we have;

$$\alpha _{i,k_1,\mathrm{}k_\nu }^{\left(\nu \right)}=\underset{j=i+22\nu k_1\mathrm{}k_{\nu 1}}{\overset{i2\left(\nu 1\right)k_1\mathrm{}k_{\nu 1}}{}}C_{i2\left(k1\right)k_1\mathrm{}k_{\nu 1}j}^{k_{\nu 1}}\times $$

$$\times \alpha _{i,k_1,\mathrm{}k_{\nu 2},j}^{\left(\nu 1\right)}=C_{k_{\nu 1}}^{k_{\nu 1}}\alpha _{i,k_1,\mathrm{}k_{\nu 2},i2\left(\nu 1\right)k_1\mathrm{}k_{\nu 1}}=$$

$$=\alpha _{i,k_1,\mathrm{}k_{\nu 2},i2\left(\nu 1\right)k_1\mathrm{}k_{\nu 1}}^{\left(\nu 1\right)},$$

substituting these values in the right Land side of (33) we obtain

$$2^{i1}\left(\alpha _{20}\beta _{11}\right)^1\delta _1^{\left(1i\right)}=\left[q^{\left(i2\right)}\left(1\right)+\left(1\right)^{i+1}q^{\left(i2\right)}\left(0\right)\right]+$$

$$+\underset{\nu =2}{\overset{i_0}{}}\underset{k_1+\mathrm{}k_\nu =i+12\nu }{}\alpha _{i,k_1,\mathrm{}k_{\nu 2},i2\left(\nu 1\right)k_1\mathrm{}k_{\nu 1}}^{\left(\nu 1\right)}\times $$

$$\times q^{\left(k_1\right)}\left(1\right)\mathrm{}q^{\left(k_{\nu 1}\right)}\left(1\right)q_{k\nu }\left(1\right)\underset{j=2}{\overset{i1}{}}q_{ij1}\left(1\right)\times $$
(34)
$$\times \underset{\nu =1}{\overset{j_0}{}}\underset{k_1+\mathrm{}+k_{\nu 1}j2\nu }{}\alpha _{j,k_1,\mathrm{}k_{\nu 1},0}^{\left(\nu \right)}q^{\left(k_1\right)}\left(1\right)\mathrm{}q^{\left(k_{\nu 1}\right)}\left(1\right)\times $$

$$\times q^{\left(j2\nu k_1\mathrm{}k_{\nu 1}\right)}\left(1\right)$$

we prove that

$$\underset{\nu =2}{\overset{i_0}{}}\underset{k_1+\mathrm{}k_\nu =i+12\nu }{}\alpha _{i,k_1,\mathrm{}k_{\nu 2},i2\left(\nu 1\right)k_1\mathrm{}k_{\nu 1}}^{\left(\nu 1\right)}\times $$

$$\times q^{\left(k_1\right)}\left(1\right)\mathrm{}q^{\left(k_{\nu 1}\right)}\left(1\right)q_{k\nu }\left(1\right)=$$

$$=\underset{j=2}{\overset{i1}{}}q_{ij1}\left(1\right)\underset{\nu =1}{\overset{j_0}{}}\underset{l_1+..+l_{\nu 1}}{\overset{j2\nu }{}}\alpha _{j,l_1,\mathrm{}l_{\nu 1},0}^{\left(\nu \right)}\times $$
(35)
$$\times q^{\left(l_1\right)}\left(1\right)\mathrm{}q^{\left(l_{\nu 1}\right)}\left(1\right)q^{\left(j2\nu l_1\mathrm{}l_{\nu 1}\right)}\left(1\right)$$

It’s easy to see that the orders of derivatives and the indices $`q\left(1\right)`$ in left and right hand sides of the equality (35) takes the same values. Therefore it’s sufficient to show the equality of correspanding coefficients. Let’s fix some numbers $`\nu =m`$ and $`k_1=p_1,\mathrm{},k_\mu =p_\mu `$ such that $`2\mu i_0,p_1+\mathrm{}+p_\mu =i+12\mu `$. In the left hand side of (35) the coefficient of production $`q^{\left(p_1\right)}\left(1\right)\mathrm{}q^{\left(p_{\mu 1}\right)}\left(1\right)q_{p_\mu }\left(1\right)`$ will be the number

$$\alpha _{i,p_1,\mathrm{}p_{\mu 2},i2\left(\mu 1\right)p_1\mathrm{}p_{\mu 1}}^{\left(\mu 1\right)},$$
(36)
and in the right hand side, such production arises when $`j=ip_m1,\nu ==\mu 1,l_1=p_1,\mathrm{},l_{\mu 2}=p_{\mu 2},j2(\mu 1)l_{\mu 1}\mathrm{}l_{\mu 2}=p_{\mu 1}`$(i.e. $`p_{\mu 1}=ip_\mu 12\left(\mu 1\right)p_1\mathrm{}p_{\mu 2}`$). In addition, the coefficient of this production will be the number

$$\alpha _{ip_\mu 1,p_1,\mathrm{},p_{\mu 2},0}=\alpha _{2\left(\mu 1\right)+p_1+\mathrm{}+p_{\mu 1},p_1,\mathrm{},p_{\mu 2},0}^{\left(\mu 1\right)}$$
(37)
The last equality is valid in connection with fact that $`p_1+\mathrm{}+p_{\mu 1}=i+12\mu `$ and the right hand side of (35) are equal to the number (36) by virtue of Remark 1. Then from (34) we have

$$2^{i1}\left(\alpha _{20}\beta _{11}\right)^1\delta _1^{\left(1i\right)}=q^{\left(i2\right)}\left(1\right)+\left(1\right)^{i+1}q^{\left(i2\right)}\left(0\right)$$
(38)
from (38) it follaws the validity of statement that $`\delta _1^{\left(1i\right)}=0`$iff (29) satisfied Lemma 1 is proved. From lemma1, definition 1 and the formulas (13), (14) the validity of the following basic statement immediately follows.

Theorem. Let $`q\left(x\right)C^m[0,1]`$, the boundary forms $`U_i\left(i=1,2\right)`$ have the form (3) and $`\left|\alpha _{11}\right|+\left|\beta _{11}\right|>0,\left|\alpha _{20}\right|+\left|\beta _{20}\right|>0`$. Then for almost regularity of the order $`m0`$ of the spectral problem (1), (2), it’s necessery and sufficient that: $`\alpha _{11}\beta _{20}+\beta _{11}\alpha _{20}0,`$ when $`m=0`$ (regularity) $`\alpha _{11}\beta _{20}+\beta _{11}\alpha _{20}=0,\alpha _{10}\beta _{20}\beta _{10}\alpha _{20}0,`$when $`m=1;`$ $`\alpha _{11}\beta _{20}+\beta _{11}\alpha _{20}=0,\alpha _{10}\beta _{20}\beta _{10}\alpha _{20}=0,\alpha _{11}\beta _{20}0,`$ $`q^{\left(i\right)}\left(0\right)=\left(1\right)^iq^{\left(i\right)}\left(1\right),q^{\left(m2\right)}\left(0\right)=\left(1\right)^{m2}q^{\left(m2\right)}\left(1\right),m2`$.


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Computations with Frobenius powers

Susan M. Hermiller ** The first author acknowledges support from NSF grant DMS-0071037 and Irena Swanson\**\** The second author acknowledges support from NSF grant DMS-9970566

  2000 Mathematics Subject Classification. 13P10, 13A35   Key words and phrases. Frobenius powers, Gröbner bases, tight closure, binomial ideals.
Abstract. It is an open question whether tight closure commutes with localization in quotients of a polynomial ring in finitely many variables over a field. Katzman \[K\] showed that tight closure of ideals in these rings commutes with localization at one element if for all ideals $`I`$ and $`J`$ in a polynomial ring there is a linear upper bound in $`q`$ on the degree in the least variable of reduced Gröbner bases in reverse lexicographic ordering of the ideals of the form $`J+I^{[q]}`$. Katzman conjectured that this property would always be satisfied. In this paper we prove several cases of Katzman’s conjecture. We also provide an experimental analysis (with proofs) of asymptotic properties of Gröbner bases connected with Katzman’s conjectures.

1. Introduction

Throughout this paper $`F`$ is a field of positive prime characteristic $`p`$, $`R`$ is a finitely generated polynomial ring $`F[x_1,\mathrm{},x_n]`$ over $`F`$, $`J`$ and $`I`$ denote ideals of $`R`$, and $`q=p^e`$ denotes a power of $`p`$, where $`e`$ is a non-negative integer. Then $`I^{[q]}`$ is the $`e`$th Frobenius power of $`I`$, defined by

$$I^{[q]}:=(i^q|iI).$$

It follows that if $`I`$ is generated by $`f_1,\mathrm{},f_r`$, then $`I^{[q]}`$ is generated by $`f_1^q,\mathrm{},f_r^q`$.

The main motivation for our work in this paper is the theory of tight closure, in which Frobenius powers of ideals play a central role. In particular, we address the question of whether tight closure commutes with localization. The basics of tight closure can be found in the first few sections of \[HH\]; however, in the following paper no knowledge of tight closure will be needed.

The polynomial ring $`R`$ is a regular ring, so every ideal in $`R`$, and in the localizations of $`R`$, is tightly closed \[HH, Theorem 4.4\], and hence tight closure commutes with localization in $`R`$. However, it is not known if tight closure commutes with localization in quotient rings $`R/J`$ of $`R`$, even for the special case of localization at a multiplicatively closed set $`\{1,r,r^2,r^3,\mathrm{}\}`$, generated by one element $`rR/J`$. Katzman \[K\] showed that for this special case it suffices to consider the case $`r=x_n`$ (by possibly modifying $`R`$, $`I`$, and $`J`$). Katzman also proved that a positive answer to the question of tight closure commuting with localization at $`x_n`$ would be provided by a positive answer to the following conjecture.

Conjecture: (Katzman \[K, Conjecture 4\]) Let $`R=F[x_1,\mathrm{},x_n]`$ where $`F`$ is a field of characteristic $`p`$, and let $`I`$ and $`J`$ be ideals of $`R`$. Let $`G_q`$ be the reduced Gröbner basis for the ideal $`J+I^{[q]}`$ with respect to the reverse lexicographic ordering. Then there exists an integer $`\alpha `$ such that the degrees in $`x_n`$ of the elements of $`G_q`$ are bounded above by $`\alpha q`$.

The (graded) reverse lexicographic ordering on monomials in $`x_1,\mathrm{},x_n`$ is defined by $`x_1^{a_1}x_2^{a_2}\mathrm{}x_n^{a_n}<x_1^{b_1}x_2^{b_2}\mathrm{}x_n^{b_n}`$ if $`_ia_i<_ib_i`$, or if $`_ia_i=_ib_i`$ and $`a_i>b_i`$ for the last index $`i`$ at which $`a_i`$ and $`b_i`$ differ. For background on reduced Gröbner bases, and Buchberger’s algorithm for finding these bases, see for example \[CLO\].

Katzman’s conjecture holds trivially when $`J=(0)`$, since Frobenius powers commute with sums in rings of characteristic $`p`$, and hence the reduced reverse lexicographic Gröbner basis for $`I^{[q]}`$ consists of the $`q`$th powers of elements of the reduced Gröbner basis for $`I`$. The other known cases are due to Katzman, who proved that the conjecture also holds whenever $`J`$ is generated by monomials \[K, Theorem 8\], and whenever $`J`$ is generated by binomials and simultaneously $`I`$ is generated by monomials \[K, Corollary 11\]. There are classes of examples for which it is known that tight closure commutes with localization but for which Katzman’s conjecture has not been proved; in particular, one such class, due to Smith \[S\], consists of ideals $`I`$ and $`J`$ for which $`J`$ is a binomial ideal and $`I`$ is arbitrary. Since the question of whether tight closure commutes with localization has so far defied proof for quotient rings of polynomial rings, accordingly the proof of Katzman’s conjecture is expected to be hard. Difficulties in finding a general proof include the dependence of Gröbner bases on the characteristic of the field $`F`$ and the dependence of Gröbner bases on raising a subset of the generators to powers.

In this paper we study the asymptotic behavior of three functions of $`q`$ associated to the family of reduced reverse lexicographic Gröbner bases $`G_q`$ for the ideals $`J+I^{[q]}`$, namely

(1) the maximum of the $`x_n`$-degrees of the elements of $`G_q`$ (as in Katzman’s conjecture), also written as the $`x_n`$-degree of $`G_q`$ and denoted $`\delta (q)`$;

(2) the maximum of the total degrees of the elements of $`G_q`$, also referred to as the total degree of $`G_q`$ and denoted $`\mathrm{\Delta }(q)`$; and

(3) the cardinality $`c(q)`$ of $`G_q`$.

Since for any ideals $`I`$ and $`J`$, $`\delta (q)\mathrm{\Delta }(q)`$ for all $`q`$, a linear upper bound for $`\mathrm{\Delta }(q)`$ also implies Katzman’s conjecture. In the special cases mentioned above for which Katzman’s conjecture is known to be true, namely in which $`J=(0)`$, or $`J`$ is generated by monomials (with arbitrary ideal $`I`$), or $`J`$ is generated by binomials and $`I`$ by monomials, Katzman’s proof also shows a linear upper bound for the function $`\mathrm{\Delta }(q)`$ \[K\].

In Section 2 of this paper we prove (Theorem 2.1) that Katzman’s conjecture holds for polynomial rings in one or two variables with arbitrary ideals $`I`$ and $`J`$, and find a linear upper bound for $`\mathrm{\Delta }(q)`$ and a constant upper bound for $`c(q)`$ as well. (As part of the proof of this theorem, we include a review of the steps of the Buchberger algorithm for reduced Gröbner basis computation.)

In Sections 3 and 4 we provide further information about the specific form of the functions $`\delta (q)`$ and $`\mathrm{\Delta }(q)`$, as well as the function $`c(q)`$, in the more restrictive case in which $`I`$ and $`J`$ are both principal binomial (and not monomial) ideals, both to gain better understanding of these functions and to find (constructive) proofs of special cases of Katzman’s conjecture with potential for application in more general cases. In Section 3 we compute (in Theorem 3.2) Gröbner bases for the ideals $`J+I^{[q]}`$ for ideals $`I=(x^u(x^vgx^w))`$ and $`J=(x^a(x^bhx^c))`$ whenever $`g`$ and $`h`$ are units, $`\mathrm{gcd}(x^u,x^w)=1=\mathrm{gcd}(x^b,x^c)`$, and $`(x^vgx^w,x^bhx^c)=R`$, and hence obtain a constructive proof of upper bounds for $`\delta (q)`$, $`\mathrm{\Delta }(q)`$, and $`c(q)`$ in this case.

In Theorem 3.3 we prove that for “most” principal binomial ideals $`I`$ and $`J`$, there is a change of variables that converts $`I`$ and $`J`$ into monoidal ideals, i.e., ideals generated by binomials of the form $`uv`$, where $`u`$ and $`v`$ are (monic) terms, so that the coefficients are restricted to $`+1`$ and $`1`$. This change of variables preserves both the reverse lexicographic ordering on the monomials and all three of the functions $`\delta (q)`$, $`\mathrm{\Delta }(q)`$, and $`c(q)`$. When $`I`$ and $`J`$ are monoidal ideals, the quotient rings $`R/(J+I^{[q]})`$ are monoid rings over $`F`$ for finitely presented commutative monoids, and the Gröbner bases for the ideals $`J+I^{[q]}`$ can also be considered to be finite complete rewriting systems in the category of commutative monoids.

In Section 4 we study the asymptotic behavior of the three functions $`\delta (q)`$, $`\mathrm{\Delta }(q)`$, and $`c(q)`$ for constructions of the reduced Gröbner bases $`G_q`$ for a wide range of examples of principal monoidal ideals $`I`$ and $`J`$. We give examples illustrating that the three functions can be linear, periodic, or have linear expressions holding only for $`q`$ sufficiently large; in addition, we show examples in which the cardinality and the $`x_n`$-degree of the Gröbner bases can be bounded above by a constant for all $`q`$. We also discuss the dependence of the three functions on the characteristic $`p`$ of the field $`F`$ for several of the examples. Section 4 ends with a table summarizing the range of types of behavior of the Gröbner bases we computed. Finally, in the Appendix we include a sample of the Macaulay2 \[GS\] code we used to generate Gröbner bases for small values of $`q`$ as an aid to our proofs.

2. Katzman’s conjecture for one and two variables

In this section we prove the special case of Katzman’s conjecture for $`n2`$.

Theorem 2.1:  Katzman’s conjecture holds when $`R`$ is a polynomial ring in one or two variables over $`F`$. Moreover, for any ideals $`I`$ and $`J`$ in $`R`$ and reduced Gröbner basis $`G_q`$ for the ideal $`J+I^{[q]}`$ with respect to the reverse lexicographic ordering, there exist integers $`\alpha `$ and $`\beta `$ such that the $`x_n`$-degree and total degree functions satisfy $`\delta (q)\mathrm{\Delta }(q)\alpha q`$ and the cardinality function satisfies $`c(q)\beta `$ for all $`q`$.

Proof: If $`R`$ is a polynomial ring in one variable, then $`R`$ is a principal ideal domain, so $`I=(f)`$ and $`J=(g)`$ for some $`f,gR`$. In this case $`J+I^{[q]}`$ is also a principal ideal, and the reduced Gröbner basis of $`J+I^{[q]}`$ consists of the element $`\mathrm{gcd}(g,f^q)`$, whose total degree is bounded above by $`q\mathrm{deg}f`$. Then if we define $`\alpha :=\mathrm{deg}f`$ and $`\beta :=1`$, we obtain $`\delta (q)\mathrm{\Delta }(q)\alpha q`$ and $`c(q)=\beta `$ for all $`q`$.

Next suppose that $`R`$ is a polynomial ring in two variables $`x`$ and $`y`$ over $`F`$. By earlier observations, we may assume that $`I`$ and $`J`$ are non-zero ideals. Let $`S`$ be a generating set for the ideal $`J`$, and $`T`$ a generating set for $`I`$; choose $`S`$ and $`T`$ so that the leading coefficients of all of their elements are $`1`$. Define $`T_q:=\{t^q|tT\}`$ to be the corresponding generating set for $`I^{[q]}`$.

We apply the Buchberger algorithm with the reverse lexicographic ordering to compute a Gröbner basis of $`J+I^{[q]}`$, starting with the generating set $`ST_q`$. At each step, a partial Gröbner basis $`B_{i1}:=ST_q\{p_1,\mathrm{},p_{i1}\}`$ has been found, and an $`S`$-polynomial of a pair of elements in $`B_{i1}`$ is computed and reduced with respect to all of the elements in this basis. If the result is non-zero, the polynomial is divided by its leading coefficient and the resulting monic polynomial is added as the element $`p_i`$ to form the basis $`B_i`$. When there are no non-zero reduced $`S`$-polynomials remaining, this creates a Gröbner basis $`B:=ST_q\{p_1,\mathrm{},p_k\}`$ for $`J+I^{[q]}`$ with respect to the reverse lexicographic ordering, where each element of $`B`$ is a monic polynomial, and for each $`1ik`$, all of the terms of the polynomial $`p_i`$ are reduced with respect to $`ST_q\{p_1,\mathrm{},p_{i1}\}`$.

In order to compute the reduced Gröbner basis $`G_q`$ of $`J+I^{[q]}`$, we need to reduce the Gröbner basis $`B`$. For each polynomial $`rB`$, replace $`r`$ in the basis with the monic polynomial obtained by reducing all of the terms of $`r`$ with respect to the elements of $`B\{r\}`$, and dividing by the resulting leading coefficient. Repeat this process for all of the polynomials in the basis, removing any zero polynomials that result, until no more reduction can be done. This gives the reduced Gröbner basis $`G_q`$ for $`J+I^{[q]}`$ \[CLO, Prop. 2.7.6\].

The total degree of the reduced Gröbner basis $`G_q`$ for $`J+I^{[q]}`$ will be at most the total degree for the basis $`B`$. To compute bounds on these degrees, we first need to describe the polynomials $`p_i`$ more carefully.

Let $`x^ay^b`$ be the leading term of a non-zero element $`p`$ of $`S`$. In particular, since $`J=(S)(0)`$, there is a non-zero monic polynomial $`p^{}J`$, and by adding the element $`xyp^{}J`$ to the set $`S`$ if necessary, we may assume (for ease of notation) that both $`a`$ and $`b`$ are non-zero. For each $`1ik`$, let $`x^{a_i}y^{b_i}`$ be the leading term of the polynomial $`p_i`$ in $`B`$. Since $`p_i`$ is reduced with respect to $`S`$, either $`0a_i<a`$ or $`0b_i<b`$, or both. If $`i>j`$, then $`p_i`$ is also reduced with respect to $`p_j`$. More specifically, at each step of the algorithm described above, when $`p_i`$ is computed, (at least) one of four possible cases occurs. Either

(1) $`0a_i<a`$ and $`a_ia_j`$ for all $`1ji1`$,

(2) $`0a_i<a`$ and for some $`j<i`$, $`a_i=a_j`$ and $`b_i<b_j`$,

(3) $`0b_i<b`$ and $`b_ib_j`$ for all $`1ji1`$, or

(4) $`0b_i<b`$ and for some $`j<i`$, $`b_i=b_j`$ and $`a_i<a_j`$.

In cases (2) and (4), the total degree of $`p_i`$ is strictly less than the maximal total degree of the previous basis $`ST_q\{p_1,\mathrm{},p_{i1}\}`$. In cases (1) and (3), the total degree of the polynomial $`p_i`$, which is a reduction of an $`S`$-polynomial of a pair of elements in the previous basis, can be at most twice the maximal total degree of the previous basis (by definition of S-polynomials). Note that cases (1) and (3) can occur at most $`a+b`$ times during the algorithm. The maximal total degree of elements in $`ST_q`$ satisfies

$$\begin{array}{cc}\hfill \mathrm{deg}(ST_q)& =max\{\mathrm{deg}(S),\mathrm{deg}(T_q)\}=max\{\mathrm{deg}(S),q\mathrm{deg}(T)\}\hfill \\ & qmax\{\mathrm{deg}(S),\mathrm{deg}(T)\}.\hfill \end{array}$$

Thus the total degree of the basis $`B`$ is at most $`2^{a+b}qmax\{\mathrm{deg}(S),\mathrm{deg}(T)\}`$. If we define the constant $`\alpha :=2^{a+b}max\{\mathrm{deg}(S),\mathrm{deg}(T)\}`$, then this proves that $`\mathrm{\Delta }(q)\alpha q`$. Since for all $`q`$, $`\delta (q)\mathrm{\Delta }(q)\alpha q`$, therefore Katzman’s conjecture holds in the case in which the polynomial ring has two variables.

Finally, to get the bound on the cardinality of the reduced Gröbner basis $`G_q`$ of $`J+I^{[q]}`$, note that although the element $`pS`$ with leading term $`x^ay^b`$ may have been reduced or removed in the reduction process to construct $`G_q`$ from $`B`$, no polynomial that remains in $`G_q`$ may have leading term divisible by $`x^ay^b`$. For each number $`0a^{}<a`$ and $`0b^{}<b`$, there can be at most one polynomial in $`G_q`$ with leading term of the form $`x^a^{}y^{}`$ for any number $``$, and at most one polynomial in $`G_q`$ with leading term $`x^{}y^b^{}`$. Then the cardinality of $`G_q`$ satisfies $`|G_q|a+b`$. By defining the constant $`\beta :=a+b`$, we obtain $`c(q)\beta `$.

3. Principal binomial ideals: General constructions

For the remainder of the paper we direct our attention to the case in which the ideals $`I`$ and $`J`$ are principal and binomial, and obtain more detailed information about the specific form of the degree functions $`\delta (q)`$ and $`\mathrm{\Delta }(q)`$, as well as the cardinality function $`c(q)`$. We begin by considering arbitrary monoidal binomials which generate the whole ring.

Lemma 3.1:  Let $`F`$ be a field and let $`R=F[x_1,\mathrm{},x_n]`$ be a polynomial ring in $`n`$ variables over $`F`$. Let $`x^vgx^w,x^bhx^cR`$, where $`v,w,b,c`$ are $`n`$-tuples of non-negative integers, $`g,h`$ are units in $`F`$, $`\mathrm{gcd}(x^v,x^w)=1=\mathrm{gcd}(x^b,x^c)`$, and in reverse lexicographic ordering, $`x^v>x^w`$ and $`x^b>x^c`$. Assume that $`(x^vgx^w,x^bhx^c)=R`$. Then $`w=c=\underset{¯}{0}`$, and there is a positive rational number $`l`$ such that $`v_i=lb_i`$ for all $`i`$.

Proof: If the conclusion holds after tensoring with the algebraic closure $`\overline{F}`$ of $`F`$ over $`F`$, then it also holds in $`R`$. So without loss of generality we may assume that $`F`$ is algebraically closed.

The hypothesis on the ordering implies that $`v`$ and $`b`$ are both non-zero. If both $`w`$ and $`c`$ are also both non-zero, then $`R=(x^vgx^w,x^bhx^c)(x_1,\mathrm{},x_n)R`$, which is a contradiction. So either $`w`$ or $`c`$ is zero; without loss of generality suppose that $`w=\underset{¯}{0}`$.

Choose any $`(k_1,\mathrm{},k_n)F^n`$ such that $`k^v=g`$. Choose $`i`$ such that $`v_i>0`$. Since $`v_i>0`$, then $`k_i0`$, and $`k_i`$ depends on the choices of the other $`k_j`$ by the relation

$$k_i=g^{1/v_i}\underset{ji,v_j0}{}k_j^{v_j/v_i}$$

(for some choice of the $`v_i`$th roots). Since $`k^vgk^w=gg=0`$, the assumption that $`(x^vgx^w,x^bhx^c)=R`$ implies that $`k^bhk^c`$ is a unit in $`F`$. In particular, for all indices $`j`$ with $`v_j=0`$, any choice of $`x_j=k_jF`$ for these indices makes

$$k^bhk^c=g^{b_i/v_i}\underset{ji,v_j0}{}k_j^{b_jb_i(v_j/v_i)}\underset{v_j=0}{}x_j^{b_j}hg^{c_i/v_i}\underset{ji,v_j0}{}k_j^{c_jc_i(v_j/v_i)}\underset{v_j=0}{}x_j^{c_j}$$

a unit in $`F`$.

Suppose that $`m`$ is an index such that $`mi`$ and $`v_m=0`$. If $`b_m>0`$ and $`c_m>0`$, then for the choice of $`x_m=0`$ the displayed expression above is $`k^bhk^c=0`$, which is not a unit, giving a contradiction. If $`b_m=0`$ and $`c_m0`$, then with the choice of $`k_j=1`$ and $`x_j=1`$ for all $`ji,m`$, $`k_i=g^{1/v_i}`$, and $`x_m=(h^1g^{(b_ic_i)/v_i})^{1/c_m}`$, the expression is again zero and not a unit, giving a contradiction. Similar choices show that the case in which $`b_m0`$ and $`c_m=0`$ cannot occur. Therefore when $`v_m=0`$, we have that $`b_m=c_m=0`$. Thus $`b_mc_m=0=(b_ic_i)(v_m/v_i)`$ for all indices $`mi`$ with $`v_m=0`$.

Next let $`m`$ be any index such that $`mi`$ and $`v_m0`$. If in addition $`k_1,\mathrm{},k_n`$ are all chosen to be non-zero, then

$$k^{bc}h=g^{(b_ic_i)/v_i}\underset{ji}{}k_j^{b_jc_j(b_ic_i)(v_j/v_i)}h$$

is also a unit in $`F`$. If $`b_mc_m(b_ic_i)(v_m/v_i)0`$, then for the choice of $`k_j=1`$ for all $`ji,m`$, and the choice of $`k_m=[hg^{(b_ic_i)/v_i}]^{1/(b_mc_m(b_ic_i)(v_m/v_i))}`$, the expression above is $`k^{bc}h=0`$, giving a contradiction. So $`b_mc_m(b_ic_i)(v_m/v_i)=0`$, or $`b_mc_m=(b_ic_i)(v_m/v_i)`$, when $`v_m0`$ also.

Thus for all $`ji`$, we have that $`b_jc_j=(b_ic_i)(v_j/v_i)`$ and $`v_j/v_i`$ is non-negative. By hypothesis $`x^b>x^c`$ in the reverse lexicographic ordering, so we must have $`b_ic_i>0`$ and $`b_jc_j`$ for all $`j`$. By the assumption that $`\mathrm{gcd}(x^b,x^c)=1`$, it follows that $`c=\underset{¯}{0}`$. Then $`b_iv_j=b_jv_i`$ for all $`j`$, and since $`v_i0`$ and $`b\underset{¯}{0}`$, $`b_i0`$ as well. Therefore if we define the positive rational number $`l:=v_i/b_i`$, then $`v_j=lb_j`$ for all $`j`$.

This result leads to the following definition. Two binomials $`x^u(x^vgx^w)`$ and $`x^a(x^bhx^c)`$ with $`x^v>x^w`$ and $`x^b>x^c`$ are of the same type if there are non-negative integers $`l`$ and $`m`$ and $`n`$-tuples $`B`$ and $`C`$ of non-negative integers with $`x^B>x^C`$ such that $`v=lB`$, $`w=lC`$, $`b=mB`$, and $`c=mC`$; in this case, we say the binomials are of type $`(B,C)`$. With this notation the Lemma above says that if the ideal generated by two non-monomial binomials is the whole ring, then the two binomials are both of type $`(B,(0,\mathrm{},0))`$ for some $`B`$, and neither binomial is a multiple of any variable. The corresponding result fails for a $`3`$-generated binomial ideal; for example, the three binomials $`x_11`$, $`x_21`$, $`x_1x_22`$ generate the whole ring, yet no two of the three binomials are of the same type.

The following theorem shows that for the ideals considered in Lemma 3.1, one can bound the number of elements in the reduced Gröbner bases, as well as give constructive upper bounds for the $`x_n`$-degree and total degree.

Theorem 3.2:  Let $`F`$ be a field of positive prime characteristic $`p`$ and $`R=F[x_1,\mathrm{},x_n]`$ a polynomial ring in $`n`$ variables over $`F`$. Let $`I=(x^u(x^vgx^w))`$ and $`J=(x^a(x^bhx^c))`$ be ideals in $`R`$, where $`u,v,w,a,b,c`$ are $`n`$-tuples of non-negative integers, $`g,h`$ are units in $`F`$, $`\mathrm{gcd}(x^v,x^w)=1=\mathrm{gcd}(x^b,x^c)`$, and in reverse lexicographic ordering, $`x^v>x^w`$ and $`x^b>x^c`$. Assume that $`(x^vgx^w,x^bhx^c)=R`$. Then for $`q`$ sufficiently large, the maximal $`x_n`$-degree of the Gröbner basis of $`J+I^{[q]}`$ is $`\delta (q)\mathrm{max}((u_n+v_n)q,a_n+b_n)`$, the maximal total degree is $`\mathrm{\Delta }(q)\mathrm{max}((|u|+|v|)q,|a|+|b|)`$, and the cardinality of the Gröbner basis is $`c(q)4`$.

Proof: By Lemma 3.1, $`w=c=0`$ and the generators of $`I`$ and $`J`$ have the same type. Then $`I^{[q]}=(x^{qu}(x^{qv}g^q))`$ and $`J=(x^a(x^bh))`$. We will explicitly compute a Gröbner basis for $`J+I^{[q]}`$.

The hypothesis that $`(x^vg,x^bh)=R`$ implies that there are polynomials $`r,sR`$ with $`r(x^vgx^w)+s(x^bhx^c)=1`$. Taking $`q`$th powers of both sides and then multiplying by $`\text{lcm}\text{ }(x^{qu},x^a)`$ yields

$$r^q\frac{\text{lcm}\text{ }(x^{qu},x^a)}{x^{qu}}x^{qu}(x^{qv}g^q)+[s^q(x^bhx^c)^{q1}]\frac{\text{lcm}\text{ }(x^{qu},x^a)}{x^a}x^a(x^bhx^c)=\text{lcm}\text{ }(x^{qu},x^a).$$

Thus $`J+I^{[q]}`$ contains $`\text{lcm}\text{ }(x^{qu},x^a)`$. Computation of the S-polynomials of this monomial with the two generators of $`J+I^{[q]}`$ shows that

$$\frac{1}{g^q}S(x^{q(u+v)}g^qx^{qu},\text{lcm}\text{ }(x^{qu},x^a))=\frac{1}{g^q}\frac{\text{lcm}\text{ }(x^{q(u+v)},x^a)}{x^{q(u+v)}}g^qx^{qu}=\frac{\text{lcm}\text{ }(x^{q(u+v)},x^a)}{x^{qv}}\text{ and }$$

$$\frac{1}{h}S(x^{a+b}hx^a,\text{lcm}\text{ }(x^{qu},x^a))=\frac{1}{h}\frac{\text{lcm}\text{ }(x^{a+b},x^{qu})}{x^{a+b}}hx^a=\frac{\text{lcm}\text{ }(x^{a+b},x^{qu})}{x^b}$$

are also in $`J+I^{[q]}`$.

Let $`E_j:=\frac{\text{lcm}\text{ }(x^{a+jb},x^{qu})}{x^{jb}}`$. By the $`S`$-polynomial calculation above, $`E_1J+I^{[q]}`$. If $`E_jJ+I^{[q]}`$, then so is

$$\frac{1}{h}S(x^a(x^bh),E_j)=\frac{\text{lcm}\text{ }(x^{a+b},\frac{\text{lcm}\text{ }(x^{a+jb},x^{qu})}{x^{jb}})}{x^b}.$$

The exponent of $`x_i`$ in this equals $`\mathrm{max}(a_i+b_i,\mathrm{max}(a_i+jb_i,qu_i)jb_i)b_i`$ $`=\mathrm{max}(a_i,\mathrm{max}(a_ib_i,qu_i(j+1)b_i))`$ $`=\mathrm{max}(a_i,qu_i(j+1)b_i)`$, which is the same as the exponent of $`x_i`$ in $`E_{j+1}`$. Thus the monic S-polynomial above is $`\frac{1}{h}S(x^a(x^bh),E_j)=E_{j+1}`$. Therefore all the $`E_j`$ are in $`J+I^{[q]}`$. Note that the exponent $`\mathrm{max}(a_i,qu_ijb_i)`$ of $`x_i`$ in $`E_j`$ is at least as large as the exponent of $`x_i`$ in $`E_{j+1}`$ for all $`i`$, so $`E_j`$ is a multiple of $`E_{j+1}`$ for each $`j`$. Thus for sufficiently large $`j`$, $`E_j=E_{j+1}=E_{j+2}=\mathrm{}`$, and we denote this eventual monomial as $`E_{\mathrm{}}`$. All of the $`E_j`$ are multiples of $`E_{\mathrm{}}`$.

Define the set

$$B:=\{x^{qu}(x^{qv}g^q),x^a(x^bh),\frac{\text{lcm}\text{ }(x^{q(u+v)},x^a)}{x^{qv}},E_{\mathrm{}}\};$$

then $`B`$ is a basis of $`J+I^{[q]}`$. The S-polynomial of the first two elements is $`\frac{\text{lcm}\text{ }(x^{q(u+v)},x^{a+b})}{x^{qv}}g^q\frac{\text{lcm}\text{ }(x^{q(u+v)},x^{a+b})}{x^b}h`$, which reduces modulo the third element in $`B`$ and modulo $`E_1`$ (i.e. modulo $`E_{\mathrm{}}`$) to zero. The S-polynomial of the first and the third elements in $`B`$ is

$$S(x^{qu}(x^{qv}g^q),\frac{\text{lcm}\text{ }(x^{q(u+v)},x^a)}{x^{qv}})=\frac{\text{lcm}\text{ }(x^{q(u+v)},\frac{\text{lcm}\text{ }(x^{q(u+v)},x^a)}{x^{qv}})}{x^{qv}}g^q.$$

The exponent of $`x_i`$ in this equals

$$\mathrm{max}(qu_i+qv_i,\mathrm{max}(qu_i+qv_i,a_i)qv_i)qv_i=\mathrm{max}(qu_i,a_i2qv_i).$$

For sufficiently large $`q`$, if $`v_i0`$ then $`\mathrm{max}(qu_i,a_i2qv_i)=qu_i=\mathrm{max}(qu_i,a_iqv_i)`$, and if $`v_i=0`$ then $`\mathrm{max}(qu_i,a_i2qv_i)=\mathrm{max}(qu_i,a_i)=\mathrm{max}(qu_i,a_iqv_i)`$. Since $`\mathrm{max}(qu_i,a_iqv_i)`$ also equals the exponent of $`x_i`$ in the third element of the basis $`B`$, this shows that the S-polynomial of the first and the third element of $`B`$ reduces to $`0`$. The S-polynomial of the first and the fourth elements in $`B`$ is

$$S(x^{qu}(x^{qv}g^q),E_{\mathrm{}}))=\frac{\text{lcm}\text{ }(x^{q(u+v)},E_{\mathrm{}})}{x^{qv}}g^q.$$

The exponent of $`x_i`$ in this equals, for $`j`$ sufficiently large,

$$\mathrm{max}(qu_i,\mathrm{max}(a_iqv_i,qu_ijb_iqv_i))=\mathrm{max}(qu_i,a_iqv_i),$$

which is the same as the exponent of $`x_i`$ in the third element of $`B`$. Thus the S-polynomial of the first element of $`B`$ with any other element of $`B`$ reduces to 0. The S-polynomial of the second and third elements is the monomial

$$\frac{\text{lcm}\text{ }(x^{a+b},\frac{\text{lcm}\text{ }(x^{q(u+v)},x^a)}{x^{qv}})}{x^b}h,$$

for which the exponent of $`x_i`$ is $`\mathrm{max}(a_i,\mathrm{max}(qu_ib_i,a_iqv_ib_i))=\mathrm{max}(a_i,qu_ib_i)`$, so that this S-polynomial is a multiple of $`E_1`$ and thus of $`E_{\mathrm{}}`$, and hence reduces to zero. We have previously established that the S-polynomial of the second and the fourth elements reduces to 0 modulo the given basis. The last two elements of the basis $`B`$ are both monomials, so their S-polynomial is 0 as well. This proves that for $`q`$ sufficiently large the set $`B`$ is a Gröbner basis of $`J+I^{[q]}`$ with respect to the reverse lexicographic ordering.

Although the Gröbner basis $`B`$ may not be reduced, the reduced reverse lexicographic Gröbner basis $`G_q`$ for $`J+I^{[q]}`$ will have cardinality and degrees at most those of $`B`$. Thus we can read off upper bounds for the three functions for $`q`$ sufficiently large, and find that $`\delta (q)\mathrm{max}((u_n+v_n)q,a_n+b_n)`$, $`\mathrm{\Delta }(q)\mathrm{max}((|u|+|v|)q,|a|+|b|)`$, and $`c(q)4`$.

Next we use Lemma 3.1 to show that the principal monoidal ideals cover “most” of the possibilities for principal binomial ideals.

Theorem 3.3:  For any principal binomial (non-monomial) ideals $`I`$ and $`J`$ which are generated by binomials that are not of the same type, there is a change of variables under which $`I`$ and $`J`$ become principal monoidal ideals. Furthermore, this change of variables preserves the reverse lexicographic ordering and the three functions $`\delta (q)`$, $`\mathrm{\Delta }(q)`$, and $`c(q)`$.

Proof: Let $`F`$ be a field of positive prime characteristic $`p`$ and $`R=F[x_1,\mathrm{},x_n]`$ a polynomial ring in $`n`$ variables over $`F`$. Since Gröbner bases are unchanged if we pass to $`\overline{F}[x_1,\mathrm{},x_n]`$, where $`\overline{F}`$ is the algebraic closure of $`F`$, without loss of generality we may assume that $`F`$ is algebraically closed.

Let $`I`$ and $`J`$ be arbitrary principal binomial (non-monomial) ideals that are not of the same type. We can write $`I=(x^u(x^vgx^w))`$ and $`J=(x^a(x^bhx^c))`$, where $`u,v,w,a,b`$, and $`c`$ are $`n`$-tuples of non-negative integers, $`g`$ and $`h`$ are units in $`F`$, $`x^v>x^w`$ and $`x^b>x^c`$ in the reverse lexicographic ordering, and $`\mathrm{gcd}(x^v,x^w)=1=\mathrm{gcd}(x^b,x^c)`$.

Case I. Suppose there exist non-zero elements $`k_1`$, $`\mathrm{}`$, $`k_n`$ in $`F`$ such that $`k^vgk^w=0=k^bhk^c`$. In this case under the variable change $`x_ik_ix_i`$ for all $`i`$, the reverse lexicographic ordering is preserved, and the generator of the image $`\stackrel{~}{I}`$ of $`I`$ under this ring automorphism is $`k^ux^u(k^vx^vgk^wx^w)`$. After dividing through by the non-zero element $`k^uk^v=k^ugk^w`$ of $`F`$, this generator becomes $`x^u(x^vx^w)`$. A similar computation holds for the generator of the image $`\stackrel{~}{J}`$ of $`J`$; hence the generators of $`\stackrel{~}{I}`$ and $`\stackrel{~}{J}`$ are monoidal. As this ring automorphism preserves the reverse lexicographic ordering, it maps Gröbner bases to Gröbner bases. Since this change of variables is linear, the functions $`\delta (q)`$, $`\mathrm{\Delta }(q)`$, and $`c(q)`$ will also be preserved.

Case II. Suppose that there do not exist non-zero elements $`k_1`$, $`\mathrm{}`$, $`k_n`$ in $`F`$ such that $`k^vgk^w=0=k^bhk^c`$.

Case IIa. Suppose Case II holds and also that $`v_i+w_i>0`$ and $`b_i+c_i=0`$ for some index $`i`$. There is another index $`j`$ for which either $`b_j>0`$ or $`c_j>0`$, but not both, since $`x^b>x^c`$ and $`\mathrm{gcd}(x^b,x^c)=1`$. By performing the change of variables $`x_jh^{1/b_j}`$ (respectively $`x_j(h^1)^{1/c_j}`$) and $`x_mx_m`$ for all $`mj`$, the generator $`x^a(x^bhx^c)`$ of $`J`$ is mapped to a scalar multiple of $`x^a(x^b\stackrel{~}{h}x^c)=x^a(x^bx^c)`$ with unit $`\stackrel{~}{h}=1`$. At the same time, the generator of $`I`$ changes to a scalar multiple of $`x^u(x^v\stackrel{~}{g}x^w)`$ for another unit $`\stackrel{~}{g}`$ in $`F`$. Since either $`v_i>0`$ or $`w_i>0`$, we can similarly replace $`x_i`$ by an appropriate scalar multiple of itself so that $`x^u(x^v\stackrel{~}{g}x^w)`$ is mapped to a scalar multiple of $`x^u(x^vx^w)`$. Since $`b_i=c_i=0`$, the unit $`\stackrel{~}{h}=1`$ remains unchanged under this second map. As in Case I, this change of variables preserves the ordering and the three functions associated to the Gröbner bases.

Case IIb. Suppose Case II holds and $`v_i+w_i=0`$ and $`b_i+c_i>0`$ for some index $`i`$. An argument similar to Case IIa shows this case as well.

Case IIc. Suppose Case II holds and that for all indices $`i`$, $`v_i+w_i>0`$ if and only if $`b_i+c_i>0`$. Let $`T`$ be the set of indices $`m`$ for which $`v_m>0`$, let $`U`$ be the set of indices $`m`$ for which $`w_m>0`$, and let $`S:=TU`$. Let

$$b_+:=\{\begin{array}{cc}b_j\hfill & \text{if }jT\hfill \\ 0\hfill & \text{if }jT\hfill \end{array}andb_{}:=\{\begin{array}{cc}b_j\hfill & \text{if }jU\hfill \\ 0\hfill & \text{if }jU\text{,}\hfill \end{array}$$

and define $`c_+`$ and $`c_{}`$ similarly. Then $`b=b_++b_{}`$ and $`c=c_++c_{}`$.

Define new variables $`y_m`$ over $`F`$, where $`m`$ varies over the set $`S`$. We will denote the restrictions of the tuples $`v`$, $`w`$, $`b_+`$, $`b_{}`$, $`c_+`$, and $`c_{}`$ to tuples in the indices of $`S`$ by the same notation. Consider the ideal $`(y^{v+w}g,y^{b_++c_{}}hy^{b_{}+c_+})`$ in $`F[y_m|mS]`$.

Since the non-leading (monic) term of the first generator is $`1`$, it follows directly that $`y^{v+w}>1`$ and $`\mathrm{gcd}(y^{v+w},1)=1`$. For the second generator, the indices $`m`$ for which $`(b_+)_m>0`$ satisfy that both $`(b_{})_m=0=(c_+)_m`$, and similarly for $`c_{}`$, so the supports of the two terms are disjoint. Then $`\mathrm{gcd}(y^{b_++c_{}},y^{b_{}+c_+})=1`$ and either $`y^{b_++c_{}}>y^{b_{}+c_+}`$ or $`y^{b_{}+c_+}>y^{b_++c_{}}`$.

Suppose that $`\underset{¯}{\overset{~}{k}}`$ is a tuple with entries in $`F`$ (and indices in $`S`$) for which $`\stackrel{~}{k}^{v+w}g=0=\stackrel{~}{k}^{b_++c_{}}h\stackrel{~}{k}^{b_{}+c_+}`$. Since the product of all of the $`\stackrel{~}{k}_m`$ divides $`\stackrel{~}{k}^{v+w}`$, the first equation shows that all of the entries of $`\underset{¯}{\overset{~}{k}}`$ are non-zero. Define the $`n`$-tuple $`\underset{¯}{k}F^n`$ by $`k_j:=\stackrel{~}{k}_j`$ for $`jT`$, $`k_j:=\stackrel{~}{k}_j^1`$ for $`jU`$, and $`k_j:=1`$ for $`jS`$. Then $`k_1,\mathrm{},k_n`$ are non-zero elements in $`F`$ for which $`0=k^w(\stackrel{~}{k}^{v+w}g)=k^w(k^{vw}g)=k^vgk^w`$ and $`0=k^{b_{}+c_{}}(\stackrel{~}{k}^{b_++c_{}}h\stackrel{~}{k}^{b_{}+c_+})=k^{b_{}+c_{}}(k^{b_+c_{}}hk^{b_{}+c_+})=k^bhk^c`$, contradicting the hypothesis of Case II. Therefore the equations $`y^{v+w}g=0=y^{b_++c_{}}hy^{b_{}+c_+}`$ have no solutions over $`F`$. Then Hilbert’s Nullstellensatz says that $`(y^{v+w}g,y^{b_++c_{}}hy^{b_{}+c_+})=F[y_m|mS]`$.

Applying Lemma 3.1, we get that either $`b_++c_{}=0`$ or $`b_{}+c_+=0`$, and we can write $`y^{b_++c_{}}hy^{b_{}+c_+}`$ as a scalar multiple of $`y^{\widehat{b}+\widehat{c}}\widehat{h}`$ where $`\widehat{b}+\widehat{c}`$ is either $`b_++c_{}`$ or $`b_{}+c_+`$, and $`\widehat{h}`$ is $`h`$ or $`h^1`$, respectively. The last conclusion of Lemma 3.1 says there is a positive rational number $`l`$ such that $`v+w=l(\widehat{b}+\widehat{c})`$. If $`b_++c_{}=0`$, then $`b=b_{}`$, $`c=c_+`$, and $`v+w=l(b_{}+c_+)`$, so $`v=lc_+`$ and $`w=lb_{}`$, which contradicts the assumption that both $`x^v>x^w`$ and $`x^b>x^c`$. Therefore $`b_{}+c_+=0`$, so $`b=b_+`$, $`c=c_{}`$, $`v=lb`$, and $`w=lc`$. Therefore the generator $`x^u(x^vgx^w)`$ of the ideal $`I`$ is of the same type as the generator $`x^a(x^bhx^c)`$ of $`J`$. But this contradicts the hypothesis that the generators of $`I`$ and $`J`$ are of distinct types, so Case IIc cannot occur.

Motivated by the preceding theorem, for the remainder of the paper we consider the case in which the ideals $`I`$ and $`J`$ are principal and monoidal.

4. Principal monoidal ideals: Examples

In this section we report on our calculations of reduced reverse lexicographic Gröbner bases, together with the functions $`\delta (q)`$, $`\mathrm{\Delta }(q)`$, and $`c(q)`$, for ideals of the form $`J+I^{[q]}`$, where $`I`$ and $`J`$ are fixed principal monoidal ideals and $`q`$ varies over powers of the characteristic of the base field $`F`$. In every example, the three functions either are eventually (for $`q>>0`$) linear or constant functions, or else eventually vary periodically between linear or constant functions. For several of the examples, we also explore in more detail the dependence of the three functions on the characteristic $`p`$ of the field $`F`$. The examples included in this Section were chosen from among all of our computations to illustrate all of the possible behaviors we observed for the three functions.

In the process of finding each of the following examples, we used the symbolic computer algebra program Macaulay2 \[GS\] to generate Gröbner bases for ideals $`J+I^{[q]}`$ for small values of $`q`$ (usually three or four values), and studied the patterns in these bases to guide us in proving the structure of the Gröbner bases for all values of $`q`$. A sample of the Macaulay2 code used in our calculations is provided in the Appendix.

We begin with an example in which the degree functions are linear functions and the cardinality is a constant.

Proposition 4.1:  Let $`R=\text{}/3\text{}[x,y,z]`$, $`I=(y^2zx^2)`$, $`J=(y^3xy)`$, $`p=3`$, and $`q=3^e`$. Then the Gröbner basis of $`J+I^{[q]}`$ with respect to the reverse lexicographic ordering (with $`x_1=x`$, $`x_2=y`$, and $`x_3=z`$, so that $`z<y<x`$) is

$$\{y^3xy,x^{q1}y^2z^qx^{2q},x^{2q}yx^qyz^q,x^{3q+1}x^{2q+1}z^q\}.$$

Therefore the maximal $`z`$-degree of the Gröbner basis elements for $`J+I^{[q]}`$ is $`\delta (q)=q`$, the maximal total degree of the elements is $`\mathrm{\Delta }(q)=3q+1`$, and the number of elements in the Gröbner basis is $`c(q)=4`$ for all $`q`$.

Proof: Define $`f:=y^3xy`$ and $`g:=y^{2q}z^qx^{2q}`$, so that $`f`$ and $`g`$ generate $`J`$ and $`I^{[q]}`$, respectively. Before computing $`S`$-polynomials, we reduce $`g`$ modulo $`(y^3xy)`$. Note that for any monomial $`x^ay^bz^c`$ with $`b3`$, the monomial reduces to $`x^{a+1}y^{b2}z^c`$. Then the normal form of $`x^ay^bz^c`$ modulo $`f`$ is $`x^{a+k}y^{b2k}z^c`$, where $`b2(k1)3`$ and $`b2k<3`$; that is, $`(b3)/2<k(b1)/2`$. Then to find the normal form for $`y^{2q}z^q`$, where $`b=2q`$, we need $`q\frac{3}{2}<kq\frac{1}{2}`$, so $`k=q1`$, and the normal form is $`x^{q1}y^2z^q`$. Therefore the polynomial $`g`$ reduces to $`g^{}:=x^{q1}y^2z^qx^{2q}`$.

The polynomials $`f`$ and $`g^{}`$ are a basis for $`J+I^{[q]}`$. Let $`h`$ denote their S-polynomial

$$h:=S(f,g^{})=x^{q1}z^qfyg^{}=x^qyz^q+x^{2q}y.$$

The $`S`$-polynomial

$$\begin{array}{cc}\hfill S(g^{},h)& =x^{q+1}g^{}yz^qh=x^{3q+1}+x^qy^2z^{2q}\hfill \\ & x^{3q+1}+x^{2q+1}z^q,\hfill \end{array}$$

where $``$ denotes a reduction using $`g^{}`$; let $`i:=x^{3q+1}x^{2q+1}z^q`$ denote the monic scalar multiple of this polynomial. All of the remaining $`S`$-polynomials in the basis $`\{f,g^{},h,i\}`$ reduce to $`0`$. Therefore the four elements indeed generate a Gröbner basis, and since no element of the basis may be reduced by any other, this Gröbner basis is also reduced. This proves that the maximal $`z`$-degree is of the elements of the Gröbner basis $`\delta (q)=q`$, the maximal total degree is $`\mathrm{\Delta }(q)=3q+1`$, and the cardinality is $`c(q)=4`$.

Note: Let $`R=\text{}/p\text{}[x,y,z]`$, with $`x,y,z`$ variables over $`\text{}/p\text{}`$, where $`p`$ is any prime and $`q`$ varies over powers of $`p`$. Let $`I=(y^2zx^2)`$ and $`J=(y^3xy)`$ be the same ideals as in the example above. In this case, the same sets as in Proposition 4.1 above are the reduced Gröbner bases of the ideals $`J+I^{[q]}`$ in characteristic $`p`$ also. Indeed, the proof above applies, since the hypothesis that $`p=3`$ was never used in the proof.

The number of elements in the Gröbner bases need not remain constant, as we prove next with the ideals $`I`$ and $`J`$ from Proposition 4.1, but with their roles switched.

Proposition 4.2:  Let $`R=\text{}/3\text{}[x,y,z]`$, $`I=(y^2zx^2)`$, $`J=(y^3xy)`$, and $`q=3^e`$. Then the Gröbner basis of $`I+J^{[q]}`$ (roles of $`I`$ and $`J`$ exchanged) with respect to the reverse lexicographic ordering (with $`z<y<x`$) is

$$\begin{array}{cc}\hfill \{& y^2zx^2,y^{3q}x^qy^q,x^{2k}y^{3q2k}x^{q+2k}y^{q2k}|1k(q1)/2\}\hfill \\ & \{x^{q1+2j}y^{2q+12j}x^{2q1}yz^j|1jq\}\{x^{3q+1}x^{2q+1}z^q\}.\hfill \end{array}$$

The corresponding functions for these ideals are $`\delta (q)=q`$, $`\mathrm{\Delta }(q)=3q+1`$ and $`c(q)=(3q+5)/2`$ for all $`q`$.

Proof: Define the polynomials $`f:=y^2zx^2`$, $`g:=y^{3q}x^qy^q`$, $`h_k:=x^{2k}y^{3q2k}x^{q+2k}y^{q2k}`$ when $`1k(q1)/2`$, $`r_j:=x^{q1+2j}y^{2q+12j}x^{2q1}yz^j`$ when $`1jq`$, and $`s:=x^{3q+1}x^{2q+1}z^q`$. Since $`q=3^e`$, $`q`$ is odd, so $`(q1)/2`$ is an integer for all values of $`e`$.

Note that if $`q=1`$, there are no elements of the form $`h_k`$. In this case, the Gröbner basis is already included in the proof of Proposition 4.1.

Next assume that $`q>1`$. In this example each of the generators of both $`I`$ and $`J^{[q]}`$ is in normal form with respect to the other, giving the first two elements $`f`$ and $`g`$ of the basis. The $`S`$-polynomial

$$S(f,g)=y^{3q2}fzg=x^2y^{3q2}+x^qy^qzx^2y^{3q2}+x^{q+2}y^{q2}=h_1,$$

where $``$ denotes a reduction using $`f`$. Repeating this for $`1k(q3)/2`$, we get

$$\begin{array}{cc}\hfill S(f,h_k)& =x^{2k}y^{3q2k2}fzh_k=x^{2k+2}y^{3q2k2}+x^{q+2k}y^{q2k}z\hfill \\ & x^{2(k+1)}y^{3q2(k+1)}+x^{q+2(k+1)}y^{q2(k+1)}=h_{k+1},\hfill \end{array}$$

where $``$ denotes a reduction of the second term using $`f`$. Note that in this $`S`$-polynomial computation, we required that the first $`y`$-exponent $`3q2k20`$, and to do the later reduction by $`f`$, we needed that $`y^2`$ divides $`y^{q2k}`$. Then $`3q2k2`$ and $`q2k2`$, so the first inequality is redundant, and the second inequality says $`k(q2)/2`$. Since in this Proposition we are assuming that $`p=3`$, so $`q=3^e`$ is always odd, the largest value that $`k`$ can actually reach in this $`S`$-polynomial computation is $`(q3)/2`$. Then the largest value of $`k`$ for which a basis element $`h_k`$ is produced is $`(q1)/2`$. Thus the entire set of elements $`h_k`$ is generated in the Buchberger algorithm.

The last element generated this way is $`h_{(q1)/2}=x^{q1}y^{2q+1}x^{2q1}y`$. Computing the $`S`$-polynomial of this and $`f`$ gives $`S(f,h_{(q1)/2})=r_1`$. Again computing $`S`$-polynomials inductively for $`1jq1`$, we get $`S(f,r_j)=r_{j+1}`$. The last element generated in this latter step is $`r_q=x^{3q1}yx^{2q1}yz^q`$.

Finally, the $`S`$-polynomial $`S(f,r_q)`$ reduces (using $`f`$) to the polynomial $`s`$, resulting in the last element in the list of the basis elements. It is straightforward to check that with these basis elements all remaining $`S`$-polynomials reduce to 0, hence the set is a Gröbner basis, and that the Gröbner basis is reduced. The results on the three functions then follow directly.

Note: Let $`R=\text{}/2\text{}[x,y,z]`$, so that the characteristic is $`p=2`$, and let $`I=(y^2zx^2)`$ and $`J=(y^3xy)`$ be the same ideals as in the example above. In the proof above, in the computation of the $`S`$-polynomials $`S(f,h_k)`$, we noted that the number of polynomials of the form $`h_k`$ produced satisfies $`k(q2)/2`$. When the characteristic $`p`$ is even, then, the Gröbner basis computation can differ from the proof above at that point. In fact, a proof very similar to the one above shows that for $`p=2`$ the reduced Gröbner basis of $`I+J^{[q]}`$ is

$$\{y^2zx^2,x^{2k}y^{3q2k}x^{q+2k}y^{q2k},x^{q+2j}y^{2q2j}x^{2q}z^j|0k(q2)/2,0jq\}$$

when $`q>1`$. Then the functions $`\mathrm{\Delta }(q)=3q`$ and $`c(q)=\frac{3}{2}q+2`$ for $`q>1`$ associated to these Gröbner bases differ from the functions $`\mathrm{\Delta }(q)`$ and $`c(q)`$ computed in Proposition 4.2 with $`p=3`$. Thus, not surprisingly, the reduced Gröbner bases do depend on the characteristic of the underlying field in general. In this example, though, the $`x_n`$-degree $`\delta (q)=q`$ is the same function in both characteristics.

In part (a) of the next Proposition, we show that the function $`\delta (q)`$ also can equal a constant. In the Propositions above, the functions $`\delta (q)`$ and $`\mathrm{\Delta }(q)`$ are exactly equal to linear functions, and $`c(q)`$ equals either a linear or constant function, for all $`q`$. As mentioned earlier, these functions are not always this regular. Part (b) of the next Proposition illustrates functions $`\mathrm{\Delta }(q)`$ and $`c(q)`$ which are polynomials eventually but not at the start.

Proposition 4.3:  Let $`R=\text{}/2\text{}[x,y,z]`$, $`I=(x^2y^2)`$, $`J=(xyz^2)`$ and $`q=2^e`$. With the reverse lexicographic ordering (with $`z<y<x`$),

(a) the reduced Gröbner basis for $`J+I^{[q]}`$ is

$$\{xyz^2,x^{2q}y^{2q},y^{2q+1}x^{2q1}z^2\},$$

so that $`\delta (q)=2`$, $`\mathrm{\Delta }(q)=2q+1`$ and $`c(q)=3`$ for all $`q`$, and

(b) the reduced Gröbner basis for $`I+J^{[q]}`$ with $`q2`$ is

$$\{x^2y^2,y^{2q}z^{2q}\},$$

so that in this case $`\delta (q)=2q`$,

$$\mathrm{\Delta }(q)=\{\begin{array}{cc}3\hfill & \text{if }q=1\text{,}\hfill \\ 2q\hfill & \text{if }q2\hfill \end{array}\mathrm{and}c(q)=\{\begin{array}{cc}3\hfill & \text{if }q=1\text{,}\hfill \\ 2\hfill & \text{if }q2\text{.}\hfill \end{array}$$

for all $`q`$.

Proof: In the first part, the S-polynomial of the generators $`xyz^2`$ and $`x^{2q}y^{2q}`$ of $`J`$ and $`I^{[q]}`$, respectively, is $`y^{2q+1}x^{2q1}z^2`$. The S-polynomials of these three polynomials all reduce to zero. This verifies part (a). In part (b), when $`q2`$ the generator $`x^qy^qz^{2q}`$ of $`J^{[q]}`$ reduces modulo $`I`$ to $`y^{2q}z^{2q}`$. Since the leading terms $`x^2`$ and $`y^{2q}`$ of $`x^2y^2`$ and $`y^{2q}z^{2q}`$ have no common factors, their S-polynomial is zero.

The next example shows that the function $`\delta (q)`$ may also be a function that is eventually linear but not for small $`q`$.

Proposition 4.4:  Let $`R=\text{}/3\text{}[x,y,z,w]`$, $`I=(x^5y^2zwxy^3z^2w)`$, $`J=(xy^2z^3w^2x^3yzw^3)`$ and $`q=3^e`$. Then with the reverse lexicographic ordering (with $`w<z<y<x`$), the reduced Gröbner basis of $`J+I`$ is

$$\{xy^2z^3w^2x^3yzw^3,x^5y^2zwxy^3z^2w,x^7yzw^3x^3y^2z^2w^3\},$$

and for $`q3`$, the reduced Gröbner basis of $`J+I^{[q]}`$ is

$$\{xy^2z^3w^2x^3yzw^3,x^{6q1+2i}y^{\frac{3q+1}{2}i}zw^{\frac{3q1}{2}+i}x^{3q2+2i}y^{2q+1i}z^2w^{2q1+i}|0i\frac{3q1}{2}\}.$$

Thus

$$\delta (q)=\{\begin{array}{cc}3\hfill & \text{if }q=1\text{,}\hfill \\ \frac{7q3}{2}\hfill & \text{if }q3\text{,}\hfill \end{array}\mathrm{\Delta }(q)=\{\begin{array}{cc}12\hfill & \text{if }q=1\text{,}\hfill \\ 12q1\hfill & \text{if }q3\hfill \end{array}$$

and $`c(q)=\frac{3q+3}{2}`$ for all $`q`$.

Proof: The case $`q=1`$ can be computed directly by Macaulay2 and is left to the reader.

Now assume that $`q3`$. Define $`f:=xy^2z^3w^2x^3yzw^3`$, $`i_0:=\frac{3q1}{2}`$, and

$$g_i:=x^{6q1+2i}y^{\frac{3q+1}{2}i}zw^{\frac{3q1}{2}+i}x^{3q2+2i}y^{2q+1i}z^2w^{2q1+i}$$

for $`0ii_0`$. In particular, $`g_{i_0}=x^{9q2}yzw^{3q2}x^{6q3}y^{\frac{q+3}{2}}z^2w^{\frac{7q3}{2}}`$.

Observe that whenever $`a1`$, $`b2`$, $`c3`$ and $`d2`$, the monomial $`x^ay^bz^cw^d`$ reduces to $`x^{a+2}y^{b1}z^{c2}w^{d+1}`$ modulo $`J`$, so that the normal form of the monomial $`x^ay^bz^cw^d`$ modulo $`J`$ is $`x^{a+2k}y^{bk}z^{c2k}w^{d+k}`$, where $`k`$ is the largest integer such that $`b(k1)2`$ and $`c2(k1)3`$, i.e., $`bk+1`$ and $`c2k+1`$. In particular, as $`q3`$, the generator $`x^{5q}y^{2q}z^qw^qx^qy^{3q}z^{2q}w^q`$ of $`I^{[q]}`$ reduces to $`g_0=x^{6q1}y^{\frac{3q+1}{2}}zw^{\frac{3q1}{2}}x^{3q2}y^{2q+1}z^2w^{2q1}`$.

Computing the $`S`$-polynomials, we begin with $`S(f,g_i)`$ for $`i<i_0`$.

$$\begin{array}{ccc}\hfill S(f,g_i)& =x^{6q2+2i}y^{\frac{3q3}{2}i}w^{\frac{3q5}{2}+i}fz^2g_i,\hfill & \\ & =x^{6q1+2(i+1)}y^{\frac{3q+1}{2}(i+1)}zw^{\frac{3q1}{2}+(i+1)}+x^{3q2+2i}y^{2q+1i}z^4w^{2q1+i}\hfill & \\ & x^{6q1+2(i+1)}y^{\frac{3q+1}{2}(i+1)}zw^{\frac{3q1}{2}+(i+1)}+x^{3q2+2(i+1)}y^{2q+1(i+1)}z^2w^{2q1+(i+1)}\hfill & \\ & =g_{i+1},\hfill & \end{array}$$

where $``$ denotes reduction by $`f`$. Then for each $`i<i_0`$, the polynomial $`g_{i+1}`$ must be added to the basis. Computing the remaining $`S`$-polynomials,

$$\begin{array}{ccc}\hfill S(f,g_{i_0})& =x^{9q3}w^{3q3}fyz^2g_{i_0}\hfill & \\ & =x^{9q}yzw^{3q}+x^{6q3}y^{\frac{q+5}{2}}z^4w^{\frac{7q3}{2}}\hfill & \\ & x^{6q1}y^{\frac{q+3}{2}}z^2w^{\frac{7q1}{2}}+x^{6q1}y^{\frac{q+3}{2}}z^2w^{\frac{7q1}{2}}=0,\hfill & \end{array}$$

where $``$ denotes reduction by $`f`$ and $`g_{i_0}`$, and for $`i<j`$,

$$\begin{array}{ccc}\hfill S(g_i,g_j)& =x^{2(ji)}w^{ji}g_iy^{ji}g_j\hfill & \\ & =x^{3q2+2j}y^{2q+1i}z^2w^{2q1+j}+x^{3q2+2j}y^{2q+1i}z^2w^{2q1+j}=0.\hfill & \end{array}$$

Therefore $`\{f,g_0,\mathrm{},g_{i_0}\}`$ is a Gröbner basis of $`J+I^{[q]}`$; this basis is also reduced. Thus when $`q3`$, the maximal $`w`$-degree of the Gröbner basis is $`\delta (q)=\frac{7q3}{2}`$, the maximal total degree is $`\mathrm{\Delta }(q)=12q1`$, and the number of elements is $`c(q)=\frac{3q+3}{2}`$.

In the following example we again use the ideals $`I`$ and $`J`$ from the previous Proposition and exchange their roles, in order to exhibit periodic behavior of both the cardinality function $`c(q)`$ and the total degree function $`\mathrm{\Delta }(q)`$ of the elements of the reduced Gröbner basis of $`I+J^{[q]}`$, with periodic behavior starting not with $`q=1`$ but at the next level, at $`q=p`$.

Proposition 4.5:  Let $`R=\text{}/3\text{}[x,y,z,w]`$, $`I=(x^5y^2zwxy^3z^2w)`$, $`J=(xy^2z^3w^2x^3yzw^3)`$ and $`q=3^e`$. Using the reverse lexicographic ordering (with $`w<z<x<y`$) the reduced Gröbner basis of $`I+J`$ is

$$\{x^5y^2zwxy^3z^2w,xy^2z^3w^2x^3yzw^3,x^7yzw^3x^3y^2z^2w^3\};$$

the reduced Gröbner basis of $`I+J^{[q]}`$ for $`q`$ a positive even power of $`3`$ is

$$\{x^5y^2zwxy^3z^2w,xy^{\frac{9}{4}q\frac{1}{4}}z^{\frac{13}{4}q\frac{1}{4}}w^{2q}x^3y^{\frac{7}{4}q\frac{3}{4}}z^{\frac{7}{4}q\frac{3}{4}}w^{3q}\};$$

and the reduced Gröbner basis of $`I+J^{[q]}`$ for $`q`$ an odd power of $`3`$ is

$$\begin{array}{ccc}\hfill \{x^5y^2zwxy^3z^2w,& x^3y^{\frac{9}{4}q\frac{3}{4}}z^{\frac{13}{4}q\frac{3}{4}}w^{2q}xy^{\frac{7}{4}q\frac{1}{4}}z^{\frac{7}{4}q\frac{1}{4}}w^{3q},\hfill & \\ & xy^{\frac{9}{4}q+\frac{1}{4}}z^{\frac{13}{4}q+\frac{1}{4}}w^{2q}x^3y^{\frac{7}{4}q\frac{1}{4}}z^{\frac{7}{4}q\frac{1}{4}}w^{3q}\}.\hfill & \end{array}$$

The corresponding functions are given by $`\delta (q)=3q`$,

$$\mathrm{\Delta }(q)=\{\begin{array}{cc}12\hfill & \text{if }q=1\text{,}\hfill \\ \multicolumn{2}{c}{}\\ \frac{15}{2}q+\frac{3}{2}\hfill & \text{if }q=3^e\text{}e\text{ odd,}\hfill \\ \multicolumn{2}{c}{}\\ \frac{15}{2}q+\frac{1}{2}\hfill & \text{if }q=3^e\text{}e>0\text{ even}\hfill \end{array}\mathrm{and}c(q)=\{\begin{array}{cc}3\hfill & \text{if }q=1\text{ or }q=3^e\text{}e\text{ odd,}\hfill \\ 2\hfill & \text{if }q=3^e\text{}e>0\text{ even}\hfill \end{array}$$

for all $`q`$.

Proof: As in the proof of Proposition 4.4, the case $`q=1`$ can be computed directly by Macaulay2 and is left to the reader.

Assume that $`q3`$; write $`q=3^e`$, with $`e>0`$. Observe that whenever $`a5`$, $`b2`$, $`c1`$ and $`d1`$, the monomial $`x^ay^bz^cw^d`$ reduces to $`x^{a4}y^{b+1}z^{c+1}w^d`$ modulo $`I`$, so the normal form of $`x^ay^bz^cw^d`$ modulo $`I`$ is $`x^{a4k}y^{b+k}z^{c+k}w^d`$, where $`k`$ is the largest integer such that $`a4(k1)5`$, i.e., $`a4k+1`$. In reducing the generator $`x^qy^{2q}z^{3q}w^{2q}x^{3q}y^qz^qw^{3q}`$ of $`J^{[q]}`$ using the generator $`g=x^5y^2zwxy^3z^2w`$ of $`I`$, we need to consider the cases when $`e`$ is even and odd separately. If $`e`$ is even, then $`q1(\text{modulo}\text{ }4)`$, so the monomial $`x^qy^{2q}z^{3q}w^{2q}`$ can be reduced $`k=\frac{q1}{4}`$ times and the monomial $`x^{3q}y^qz^qw^{3q}`$ can be reduced $`k=\frac{3q3}{4}`$ times using $`g`$. Similarly, if $`e`$ is odd, then $`q3(\text{modulo}\text{ }4)`$, so the monomial $`x^qy^{2q}z^{3q}w^{2q}`$ can be reduced $`k=\frac{q3}{4}`$ times and the monomial $`x^{3q}y^qz^qw^{3q}`$ can be reduced $`k=\frac{3q1}{4}`$ times using $`g`$. In particular, when $`q3`$, the generator $`x^qy^{2q}z^{3q}w^{2q}x^{3q}y^qz^qw^{3q}`$ of $`J^{[q]}`$ reduces to $`f^{}`$, where

$$f^{}:=\{\begin{array}{cc}xy^{\frac{9}{4}q\frac{1}{4}}z^{\frac{13}{4}q\frac{1}{4}}w^{2q}x^3y^{\frac{7}{4}q\frac{3}{4}}z^{\frac{7}{4}q\frac{3}{4}}w^{3q},& \text{ }e\text{ even positive}\\ \\ x^3y^{\frac{9}{4}q\frac{3}{4}}z^{\frac{13}{4}q\frac{3}{4}}w^{2q}xy^{\frac{7}{4}q\frac{1}{4}}z^{\frac{7}{4}q\frac{1}{4}}w^{3q},& \text{ }e\text{ odd}.\end{array}$$

If $`e>0`$ is even, the S-polynomial of $`f^{}`$ and the generator $`g`$ of $`I`$ is

$$\begin{array}{ccc}\hfill S(g,f^{})& =y^{\frac{9}{4}q\frac{9}{4}}z^{\frac{13}{4}q\frac{5}{4}}w^{2q1}gx^4f^{}\hfill & \\ & =xy^{\frac{9}{4}q+\frac{3}{4}}z^{\frac{13}{4}q+\frac{3}{4}}w^{2q}+x^7y^{\frac{7}{4}q\frac{3}{4}}z^{\frac{7}{4}q\frac{3}{4}}w^{3q}\hfill & \\ & x^3y^{\frac{7}{4}q+\frac{1}{4}}z^{\frac{7}{4}q+\frac{1}{4}}w^{3q}+x^3y^{\frac{7}{4}q+\frac{1}{4}}z^{\frac{7}{4}q+\frac{1}{4}}w^{3q}=0,\hfill & \end{array}$$

where $``$ denotes one reduction using $`f^{}`$ on the first term, and one reduction using $`g`$ on the second term. For the case in which $`e`$ is positive and even, this proves that the basis in the Proposition is a Gröbner basis; this basis is reduced, and the three functions can be computed directly.

Finally assume that $`q`$ is an odd power of $`p=3`$. Then the S-polynomial of $`f^{}`$ and the generator $`g`$ of $`I`$ is

$$\begin{array}{ccc}\hfill S(g,f^{})& =y^{\frac{9}{4}q\frac{11}{4}}z^{\frac{13}{4}q\frac{7}{4}}w^{2q1}gx^2f^{}=xy^{\frac{9}{4}q+\frac{1}{4}}z^{\frac{13}{4}q+\frac{1}{4}}w^{2q}+x^3y^{\frac{7}{4}q\frac{1}{4}}z^{\frac{7}{4}q\frac{1}{4}}w^{3q},\hfill & \end{array}$$

which is non-zero and reduced with respect to the set $`\{f^{},g\}`$. So let

$$h:=xy^{\frac{9}{4}q+\frac{1}{4}}z^{\frac{13}{4}q+\frac{1}{4}}w^{2q}x^3y^{\frac{7}{4}q\frac{1}{4}}z^{\frac{7}{4}q\frac{1}{4}}w^{3q}$$

be added to $`f^{}`$ and $`g`$ in the procedure to form a Gröbner basis of $`I+J^{[q]}`$. Computing the remaining $`S`$-polynomials, we find that

$$\begin{array}{ccc}\hfill S(g,h)& =y^{\frac{9}{4}q\frac{7}{4}}z^{\frac{13}{4}q\frac{3}{4}}w^{2q1}gx^4h=xy^{\frac{9}{4}q+\frac{5}{4}}z^{\frac{13}{4}q+\frac{5}{4}}w^{2q}+x^7y^{\frac{7}{4}q\frac{1}{4}}z^{\frac{7}{4}q\frac{1}{4}}w^{3q}\hfill & \\ & x^3y^{\frac{7}{4}q+\frac{3}{4}}z^{\frac{7}{4}q+\frac{3}{4}}w^{3q}+x^3y^{\frac{7}{4}q+\frac{3}{4}}z^{\frac{7}{4}q+\frac{3}{4}}w^{3q}=0,\hfill & \end{array}$$

where $``$ denotes one reduction using $`h`$ on the first term and one reduction using $`g`$ on the second term, and the last $`S`$-polynomial

$$\begin{array}{ccc}\hfill S(f^{},h)& =yzf^{}x^2h=xy^{\frac{7}{4}q+\frac{3}{4}}z^{\frac{7}{4}q+\frac{3}{4}}w^{3q}+x^5y^{\frac{7}{4}q\frac{1}{4}}z^{\frac{7}{4}q\frac{1}{4}}w^{3q}\hfill & \\ & xy^{\frac{7}{4}q+\frac{3}{4}}z^{\frac{7}{4}q+\frac{3}{4}}w^{3q}+xy^{\frac{7}{4}q+\frac{3}{4}}z^{\frac{7}{4}q+\frac{3}{4}}w^{3q}=0,\hfill & \end{array}$$

where $``$ denotes one reduction using $`g`$ on the second term. Therefore $`\{f^{},g,h\}`$ is indeed a Gröbner basis of $`I+J^{[q]}`$ for $`q`$ an odd power of $`p`$. This basis is also reduced, so in this case the maximal $`w`$-degree of the Gröbner basis is $`\delta (q)=3q`$, the maximal total degree is $`\mathrm{\Delta }(q)=\frac{15q+3}{2}`$, and the number of elements is $`c(q)=3`$.

In the next example we show that the function $`\delta (q)`$ also can vary periodically. In the example in Proposition 4.5, $`c(q)`$ alternated between constant functions for the ideals $`J+I^{[q]}`$. The next example shows that the function $`c(q)`$ can vary periodically between linear functions as well. Moreover, the asymptotic patterns for all three functions of the ideals $`J+I^{[q]}`$ begin further along, at $`q=p^2`$.

Proposition 4.6:  Let $`R=\text{}/3\text{}[x,y,z]`$, $`I=(x^2y^2zxyz^2)`$, $`J=(xy^2z^5x^2yz)`$ and $`q=3^e`$. Then with the reverse lexicographic ordering (with $`z<y<x`$) the reduced Gröbner basis for $`J+I`$ is

$$\{xy^2z^5x^2yz,x^2y^2zxyz^2,xyz^6x^3yz\};$$

the reduced Gröbner basis for $`J+I^{[3]}`$ is

$$\{xy^2z^5x^2yz,x^6y^6z^3x^4y^2z^2,x^7y^5zx^4y^2z^4,x^8y^4zx^5yz^4,x^5yz^8x^9y^3z\};$$

if $`e2`$ is even the reduced Gröbner basis for $`J+I^{[q]}`$ is

$$\begin{array}{cc}\hfill \{& xy^2z^5x^2yz,x^{\frac{9}{4}q\frac{1}{4}+k}y^{\frac{7}{4}q+\frac{1}{4}k}zx^{\frac{3}{2}q\frac{1}{2}+k}y^{\frac{1}{2}q+\frac{1}{2}k}z^2,\hfill \\ & x^{\frac{11}{4}q+\frac{1}{4}+j}y^{\frac{5}{4}q\frac{1}{4}j}zx^{2q1}yz^{6+4j},x^{2q1}yz^{2q+4}x^{\frac{13}{4}q\frac{1}{4}}y^{\frac{3}{4}q+\frac{1}{4}}z\hfill \\ & |0k(q1)/2,0j(q3)/2\};\hfill \end{array}$$

and if $`e3`$ is odd then the reduced Gröbner basis for $`J+I^{[q]}`$ is

$$\begin{array}{cc}\hfill \{& xy^2z^5x^2yz,x^{\frac{9}{4}q\frac{3}{4}}y^{\frac{7}{4}q+\frac{3}{4}}z^3x^{\frac{3}{2}q\frac{1}{2}}y^{\frac{1}{2}q+\frac{1}{2}}z^2,x^{\frac{9}{4}q+\frac{1}{4}+k}y^{\frac{7}{4}q\frac{1}{4}k}zx^{\frac{3}{2}q\frac{1}{2}+k}y^{\frac{1}{2}q+\frac{1}{2}k}z^4,\hfill \\ & x^{\frac{11}{4}q+\frac{3}{4}+j}y^{\frac{5}{4}q\frac{3}{4}j}zx^{2q1}yz^{8+4j},x^{2q1}yz^{2q+6}x^{\frac{13}{4}q+\frac{1}{4}}y^{\frac{3}{4}q\frac{1}{4}}z\hfill \\ & |0k(q1)/2,0j(q3)/2\}.\hfill \end{array}$$

The associated functions are

$$\delta (q)=\{\begin{array}{cc}8\hfill & \text{if }q=3\text{,}\hfill \\ 2q+4\hfill & \text{if }q=3^e\text{}e0\text{ even,}\hfill \\ 2q+6\hfill & \text{if }q=3^e\text{}e3\text{ odd,}\hfill \end{array}\mathrm{\Delta }(q)=\{\begin{array}{cc}15\hfill & \text{if }q=3\text{,}\hfill \\ 4q+4\hfill & \text{if }q=3^e\text{}e0\text{ even,}\hfill \\ 4q+6\hfill & \text{if }q=3^e\text{}e3\text{ odd}\hfill \end{array}$$

$$\mathrm{and}c(q)=\{\begin{array}{cc}5\hfill & \text{if }q=3\text{,}\hfill \\ q+2\hfill & \text{if }q=3^e\text{}e0\text{ even,}\hfill \\ q+3\hfill & \text{if }q=3^e\text{}e3\text{ odd}\hfill \end{array}$$

for all $`q`$.

Proof: The Gröbner bases for $`J+I`$ and $`J+I^{[3]}`$ can be computed with Macaulay2, and are left to the reader. For the rest of the proof, assume $`q=p^e`$ with $`e2`$. Let $`g=xy^2z^5x^2yz`$ be the generator of the ideal $`J`$. We need to reduce the generator $`x^{2q}y^{2q}z^qx^qy^qz^{2q}`$ of $`I^{[q]}`$ to normal form modulo $`g`$. Observe that whenever $`a1`$, $`b2`$, and $`c5`$, then $`x^ay^bz^c`$ reduces to $`x^{a+1}y^{b1}z^{c4}`$, so the normal form of the monomial $`x^ay^bz^c`$ is the monomial $`x^{a+k}y^{bk}z^{c4k}`$, where $`k`$ is the largest integer such that $`b(k1)2`$ and $`c4(k1)5`$; i.e., $`bk+1`$ and $`c4k+1`$. For the monomial $`x^{2q}y^{2q}z^q`$, $`k`$ is the largest integer such that $`2qk+1`$ and $`q4k+1`$; in this case, if the latter inequality holds, then the former is true as well, so we only need to find the largest integer $`k`$ for which $`q4k+1`$. If $`e`$ is even, then $`q1\text{modulo}\text{ }4`$, so $`k=(q1)/4`$, and the normal form of $`x^{2q}y^{2q}z^q`$ is $`x^{\frac{9}{4}q\frac{1}{4}}y^{\frac{7}{4}q+\frac{1}{4}}z`$. If $`e`$ is odd, then $`q3\text{modulo}\text{ }4`$, so $`k=(q3)/4`$, and the normal form of $`x^{2q}y^{2q}z^q`$ is $`x^{\frac{9}{4}q\frac{3}{4}}y^{\frac{7}{4}q+\frac{3}{4}}z^3`$. Similarly, $`x^qy^qz^{2q}`$ reduces $`k`$ times using $`g`$ to its normal form when $`k`$ is the largest integer such that $`qk+1`$ and $`2q4k+1`$. As before we can ignore the first inequality. For all $`e2`$, we get $`k=(2q2)/4=(q1)/2`$, so the normal form of $`x^qy^qz^{2q}`$ is $`x^{\frac{3}{2}q\frac{1}{2}}y^{\frac{1}{2}q+\frac{1}{2}}z^2`$. The the normal form for the generator $`x^{2q}y^{2q}z^qx^qy^qz^{2q}`$ of $`I^{[q]}`$ is

$$f^{}:=\{\begin{array}{cc}x^{\frac{9}{4}q\frac{1}{4}}y^{\frac{7}{4}q+\frac{1}{4}}zx^{\frac{3}{2}q\frac{1}{2}}y^{\frac{1}{2}q+\frac{1}{2}}z^2,& \text{ }e\text{ even},\\ \\ x^{\frac{9}{4}q\frac{3}{4}}y^{\frac{7}{4}q+\frac{3}{4}}z^3x^{\frac{3}{2}q\frac{1}{2}}y^{\frac{1}{2}q+\frac{1}{2}}z^2,& \text{ }e\text{ odd}.\end{array}$$

Suppose that $`e2`$ is even. Define the polynomials

$$\begin{array}{cc}\hfill f_k& :=x^{\frac{9}{4}q\frac{1}{4}+k}y^{\frac{7}{4}q+\frac{1}{4}k}zx^{\frac{3}{2}q\frac{1}{2}+k}y^{\frac{1}{2}q+\frac{1}{2}k}z^2\mathrm{for}0k(q1)/2,\hfill \\ \hfill h_j& :=x^{\frac{11}{4}q+\frac{1}{4}+j}y^{\frac{5}{4}q\frac{1}{4}j}zx^{2q1}yz^{6+4j}\mathrm{for}0j(q3)/2,\mathrm{and}\hfill \\ \hfill r& :=x^{2q1}yz^{2q+4}x^{\frac{13}{4}q\frac{1}{4}}y^{\frac{3}{4}q+\frac{1}{4}}z.\hfill \end{array}$$

Note that $`f^{}=f_0`$. When $`0k(q3)/2`$, the $`S`$-polynomial

$$\begin{array}{cc}\hfill S(g,f_k)& =x^{\frac{9}{4}q\frac{5}{4}+k}y^{\frac{7}{4}q\frac{7}{4}k}gz^4f_k\hfill \\ & =x^{\frac{9}{4}q\frac{1}{4}+(k+1)}y^{\frac{7}{4}q+\frac{1}{4}(k+1)}z+x^{\frac{3}{2}q\frac{1}{2}+k}y^{\frac{1}{2}q+\frac{1}{2}k}z^6\hfill \\ & x^{\frac{9}{4}q\frac{1}{4}+(k+1)}y^{\frac{7}{4}q+\frac{1}{4}(k+1)}z+x^{\frac{3}{2}q\frac{1}{2}+(k+1)}y^{\frac{1}{2}q+\frac{1}{2}(k+1)}z^2=f_{k+1},\hfill \end{array}$$

where $``$ denotes a reduction using $`g`$ on the second term. Therefore the polynomials $`f_k`$ for $`0k(q1)/2`$ are included with $`g`$ and $`f^{}`$ in the procedure to compute the Gröbner basis. The last polynomial in this family is $`f_{(q1)/2}=x^{\frac{11}{4}q\frac{3}{4}}y^{\frac{5}{4}q+\frac{3}{4}}zx^{2q1}yz^2`$. Then

$$\begin{array}{cc}\hfill S(g,f_{(q1)/2})& =x^{\frac{11}{4}q\frac{7}{4}}y^{\frac{5}{4}q\frac{5}{4}}gz^4f_{(q1)/2}\hfill \\ & =x^{\frac{11}{4}q+\frac{1}{4}}y^{\frac{5}{4}q\frac{1}{4}}z+x^{2q1}yz^6=h_0.\hfill \end{array}$$

Similarly, the $`S`$-polynomial $`S(g,h_j)=h_{j+1}`$ for all $`0j(q5)/2`$, so the polynomials $`h_j`$ for $`0j(q3)/2`$ are appended to the basis. The final polynomial in this list is $`h_{(q3)/2}=x^{\frac{13}{4}q\frac{5}{4}}y^{\frac{3}{4}q+\frac{5}{4}}zx^{2q1}yz^{2q}`$. Then

$$\begin{array}{cc}\hfill S(g,h_{(q3)/2})& =x^{\frac{13}{4}q\frac{9}{4}}y^{\frac{3}{4}q\frac{3}{4}}gz^4h_{(q3)/2}=x^{\frac{13}{4}q\frac{1}{4}}y^{\frac{3}{4}q+\frac{1}{4}}z+x^{2q1}yz^{2q+4}=r.\hfill \end{array}$$

Therefore $`r`$ is also added to the basis by the Buchberger algorithm. All of the remaining $`S`$-polynomials reduce to zero modulo this set of polynomials, so the set $`\{g,f_k,h_j,r|0k(q1)/2,0j(q3)/2\}`$ is a Gröbner basis for $`J+I^{[q]}`$ in the case that $`e2`$ is even.

Finally, suppose that $`e3`$ is odd. We have already shown that the polynomials $`g=xy^2z^5x^2yz`$ and $`f^{}=x^{\frac{9}{4}q\frac{3}{4}}y^{\frac{7}{4}q+\frac{3}{4}}z^3x^{\frac{3}{2}q\frac{1}{2}}y^{\frac{1}{2}q+\frac{1}{2}}z^2`$ are a basis for $`J+I^{[q]}`$. Define the polynomials

$$\begin{array}{cc}\hfill s_k& :=x^{\frac{9}{4}q+\frac{1}{4}+k}y^{\frac{7}{4}q\frac{1}{4}k}zx^{\frac{3}{2}q\frac{1}{2}+k}y^{\frac{1}{2}q+\frac{1}{2}k}z^4\mathrm{for}0k(q1)/2,\hfill \\ \hfill t_j& :=x^{\frac{11}{4}q+\frac{3}{4}+j}y^{\frac{5}{4}q\frac{3}{4}j}zx^{2q1}yz^{8+4j}\mathrm{for}0j(q3)/2,\mathrm{and}\hfill \\ \hfill u& :=x^{2q1}yz^{2q+6}x^{\frac{13}{4}q+\frac{1}{4}}y^{\frac{3}{4}q\frac{1}{4}}z.\hfill \end{array}$$

By an argument very similar to the proof above, we get that $`S(g,f^{})=s_0`$ and $`S(g,s_k)s_{k+1}`$ for all $`0k(q3)/2`$, where $``$ denotes a reduction by $`g`$. Then $`S(g,s_{(q1)/2})=t_0`$, and $`S(g,t_j)=t_{j+1}`$ when $`0j(q5)/2`$. Taking one further $`S`$-polynomial with $`g`$, $`S(g,t_{(q3)/2})=u`$. Finally, all of the remaining $`S`$ polynomials reduce to 0 modulo these polynomials, so the set $`\{g,f^{},s_k,t_j,u|0k(q1)/2,0j(q3)/2\}`$ is a Gröbner basis for $`J+I^{[q]}`$ when $`e3`$ is odd.

Since in each case the Gröbner basis we computed is also reduced, the results on the functions associated to these ideals then follow immediately from these bases.

If we change the characteristic in Proposition 4.6 to $`p=2`$, we find that the $`x_n`$-degree function $`\delta (q)`$ is dependent on the characteristic of the field $`F`$ as well; in fact, all three functions $`\delta (q)`$, $`\mathrm{\Delta }(q)`$ and $`c(q)`$ are altered, and the periodicity is lost.

Proposition 4.7:  Let $`R=\text{}/2\text{}[x,y,z]`$, $`I=(x^2y^2zxyz^2)`$, $`J=(xy^2z^5x^2yz)`$ and $`q=2^e`$. Then with the reverse lexicographic ordering (with $`z<y<x`$) the reduced Gröbner basis for $`J+I^{[q]}`$ with $`e3`$ is

$$\begin{array}{cc}\hfill \{& xy^2z^5x^2yz,x^{\frac{9}{4}q1}y^{\frac{7}{4}q+1}z^4x^{\frac{3}{2}q1}y^{\frac{1}{2}q+1}z^4,x^{\frac{9}{4}q+j}y^{\frac{7}{4}qj}zx^{\frac{3}{2}q+j}y^{\frac{1}{2}qj}z,\hfill \\ & x^{\frac{11}{4}q+k}y^{\frac{5}{4}qk}zx^{2q1}yz^{5+4k},x^{2q1}yz^{2q+5}x^{\frac{13}{4}q1}y^{\frac{3}{4}q+1}z^5\hfill \\ & |0j(q2)/2,0k(q2)/2\}.\hfill \end{array}$$

The associated functions satisfy $`\delta (q)=2q+5`$, $`\mathrm{\Delta }(q)=4q+5`$ and $`c(q)=q+3`$ for $`q2^3`$.

Proof: Assume that $`q=2^e`$ with $`e3`$. The main difference between the proof of this Proposition and that of Proposition 4.6 lies in the reduction of the generator $`x^{2q}y^{2q}z^qx^qy^qz^{2q}`$ of $`I^{[q]}`$ modulo the generator $`g=xy^2z^5x^2yz`$ of $`J`$. As in the earlier proof, if $`a1`$, $`b2`$, and $`c5`$, then the normal form of the monomial $`x^ay^bz^c`$ is the monomial $`x^{a+k}y^{bk}z^{c4k}`$, where $`k`$ is the largest integer such that $`bk+1`$ and $`c4k+1`$. For the monomial $`x^{2q}y^{2q}z^q`$, we get that $`k`$ is the largest integer such that $`q4k+1`$, i.e. $`k(q1)/4`$. Since $`q`$ is even, and moreover divisible by 4, this means that $`k=(q4)/4`$. Then the normal form of $`x^{2q}y^{2q}z^q`$ is $`x^{\frac{9}{4}q1}y^{\frac{7}{4}q+1}z^4`$. Similarly, to find the normal form of $`x^qy^qz^{2q}`$ we reduce the monomial $`k`$ times where $`k`$ is the largest integer satisfying $`2q4k+1`$, or $`k(2q1)/4`$. Then $`k=(2q4)/4`$. So the generator of $`I^{[q]}`$ reduces to the polynomial $`f^{}:=x^{\frac{9}{4}q1}y^{\frac{7}{4}q+1}z^4x^{\frac{3}{2}q1}y^{\frac{1}{2}q+1}z^4`$ modulo $`g`$.

Next define the polynomials $`f_j:=x^{\frac{9}{4}q+j}y^{\frac{7}{4}qj}zx^{\frac{3}{2}q+j}y^{\frac{1}{2}qj}z`$ for $`0j(q2)/2`$, $`h_k:=x^{\frac{11}{4}q+k}y^{\frac{5}{4}qk}zx^{2q1}yz^{5+4k}`$ for $`0k(q2)/2`$, and $`r=:x^{2q1}yz^{2q+5}x^{\frac{13}{4}q1}y^{\frac{3}{4}q+1}z^5`$. Following steps very similar to those in the proof of Proposition 4.6, we find that $`S(g,f^{})f_0`$ and $`S(g,f_j)f_{j+1}`$ for $`0j(q4)/2`$, where $``$ denotes a single reduction by $`g`$ in each case. Also, $`S(g,f_{(q2)/2})=h_0`$, $`S(g,h_k)=h_{k+1}`$ for $`0k(q4)/2`$, and $`S(g,h_{(q2)/2})=r`$. All other $`S`$-polynomials reduce to zero with this basis, and no element of this set can be reduced by any other, so the set $`\{g,f^{},f_j,h_k,r|0j(q2)/2,0k(q2)/2\}`$ is a reduced Gröbner basis.

In the final example we show that it need not be the case that the total degree of the Gröbner basis of $`J+I^{[q]}`$ is bounded above by $`q\mathrm{max}\{\mathrm{Gbdeg}I,\mathrm{Gbdeg}J\}`$, where $`\mathrm{Gbdeg}`$ denotes the total degree of the reduced Gröbner basis (with the reverse lexicographic ordering).

Proposition 4.8:  Let $`R=\text{}/3\text{}[x,y,z,w]`$. The ideal $`J+I^{[q]}`$ with $`I=(x^2y^2zw^5xyz^2w^2)`$, $`J=(xy^2z^3wxyzw^3)`$ and $`q=3^e`$ has the reduced Gröbner basis

$$\{xy^2z^3wxyzw^3,x^{2q}y^{(3q+12k)/2}zw^{6q1+2k}x^qyz^{2k+2}w^{4q2}|0k(3q1)/2\}$$

with respect to the reverse lexicographic ordering with $`w<z<y<x`$. Therefore the maximal $`w`$-degree of the Gröbner basis is $`\delta (q)=9q2`$, the maximal total degree is $`\mathrm{\Delta }(q)=11q`$, and the number of elements is $`c(q)=3(q+1)/2`$ for all $`q`$.

Therefore $`q\mathrm{max}\{\mathrm{Gbdeg}I,\mathrm{Gbdeg}J\}=q\mathrm{max}\{10,7\}<11q=\mathrm{Gbdeg}(J+I^{[q]})`$.

Proof: Define $`f:=xy^2z^3wxyzw^3`$ and for $`0k(3q1)/2`$, define

$$g_k:=x^{2q}y^{(3q+12k)/2}zw^{6q1+2k}x^qyz^{2k+2}w^{4q2}.$$

Note that in this example the generator $`x^{2q}y^{2q}z^qw^{5q}x^qy^qz^{2q}w^{2q}`$ of $`I^{[q]}`$ is not in normal form modulo $`J`$. The term $`x^{2q}y^{2q}z^qw^{5q}`$ reduces (after $`(q1)/2`$ reductions) to $`x^{2q}y^{(3q+1)/2}zw^{6q1}`$, and $`x^qy^qz^{2q}w^{2q}`$ reduces (using $`q1`$ reductions) to $`x^qyz^2w^{4q2}`$, resulting in the basis element $`g_0=x^{2q}y^{(3q+1)/2}zw^{6q1}x^qyz^2w^{4q2}.`$ The $`S`$-polynomial $`S(f,g_0)`$ is

$$S(f,g_0)=x^{2q}y^{(3q+12)/2}zw^{6q1+2}+x^qyz^{2+2}w^{4q2}=g_1.$$

Repeating this, when $`k<(3q1)/2`$, the $`S`$-polynomial $`S(f,g_k)`$ equals $`g_{k+1}`$. The remaining $`S`$-polynomials $`S(f,g_{(3q1)/2})`$ and $`S(g_j,g_k)`$ all reduce to 0. Thus the polynomials $`f`$ and $`g_k`$ for $`0k(3q1)/2`$ form a Gröbner basis. This Gröbner basis is reduced, giving the results on the functions.

Summary table

| Example | $`\delta (q)`$ | $`\mathrm{\Delta }(q)`$ | $`c(q)`$ |
| --- | --- | --- | --- |
| Prop. 4.1 | linear | linear | constant |
| Prop. 4.2 | linear | linear | linear |
| Prop. 4.3(a) | constant | linear | constant |
| Prop. 4.3(b) | linear | linear ($`qp`$) | constant ($`qp`$) |
| Prop. 4.4 | linear ($`qp`$) | linear ($`qp`$) | linear |
| Prop. 4.5 | linear | periodically | periodically |
|  |  | linear ($`qp`$) | constant ($`qp`$) |
| Prop. 4.6 | periodically | periodically | periodically |
|  | linear ($`qp^2`$) | linear ($`qp^2`$) | linear ($`qp^2`$) |
| Prop. 4.8 | linear | linear (high coeff.) | linear |

All of these examples satisfy Katzman’s conjecture that the $`x_n`$-degree $`\delta (q)`$ of the reduced Gröbner basis of $`J+I^{[q]}`$ is bounded above linearly in $`q`$. Furthermore, in all of these examples the total degree and cardinality of the Gröbner basis are also bounded above linearly in $`q`$. However, we are left with the open question of whether the behavior of the functions $`\delta (q)`$, $`\mathrm{\Delta }(q)`$ and $`c(q)`$ (eventually) follows one of the patterns in the table above, and whether linear upper bounds on $`\delta (q)`$, $`\mathrm{\Delta }(q)`$ and $`c(q)`$ hold, for all ideals $`I`$ and $`J`$ in a polynomial ring.

Acknowledgment

The authors thank Aldo Conca and Enrico Sbarra for helpful discussions on an earlier version of this paper.

Appendix: Macaulay2 code

We used variations of the following Macaulay2 code for our calculations, included for the readers interested in making further computations.

Input: polynomial ring $`R`$, ideals $`I`$, $`J`$
Output: fn(e) = Gröbner basis of $`𝐉+𝐈^{[𝐩^𝐞]}`$,
Output: df(e) = maximal total degree of an element of the Gröbner basis.
p = 3
R = ZZ/p\[x,y,z,MonomialSize=\>16\];
I = ideal(y^2\*z-x^2);
J = ideal(y^3-x\*y);
fn = e -\> (transpose gens gb (J+I^(p^e)))
df = e -\> (L = $`\{\}`$; i = 0;
G = gens gb (J + I^(p^e));
l = rank source G;
while i \< l do (
L = prepend (degree G\_(0,i), L);
i = i + 1; );
max L)

References

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Department of Mathematics and Statistics, University of Nebraska, Lincoln, Nebraska 68588-0323, USA, E-mail: smh@math.unl.edu

Department of Mathematical Sciences, New Mexico State University, Las Cruces, New Mexico 88003-8001, USA, E-mail: iswanson@nmsu.edu