text:
# Why Polyhedra Matter in Non-Linear Equation Solving

## 1. Introduction

In a perfect world, a scientist or engineer who wishes to solve a system of polynomial equations arising from some important application would simply pick up a book on algebraic geometry, look through the table of contents, and find a well-explained, provably fast algorithm which solves his or her problem. (Algebraic geometry began 2000 years ago as the study of polynomial equations, didn’t it?) He or she would then surf the web to download a good (free) implementation which would run quickly enough to be useful.

Once one stops laughing at how the real world compares, one realizes what is missing: the standard classical algebraic geometry texts (e.g., \[EGA1, EGA2, EGA3.1, EGA3.2, EGA4.1, EGA4.2, EGA4.3, SGA1, SGA2, SGA3.1, SGA3.2, SGA3.3, SGA4.1, SGA4.2, SGA4.3, SGA4$`\frac{1}{2}`$, SGA5, SGA6, SGA7, Mum95, Mum99, Har77, Sha94, GH94\]111In fairness, it should be noted that the major thrust of 20$`^{\underset{¯}{\mathrm{th}}}`$ century algebraic geometry was understanding the topological nature of zero sets of polynomials, rather than efficiently approximating the location of these zeros.) rarely contain algorithms and none contains a complexity analysis of any algorithm. Furthermore, one soon learns from experience that the specific structure underlying one’s equations is rarely if ever exploited by a general purpose computational algebra package.

Considering the ubiquity of polynomial equations in applications such as geometric modelling \[Man98, Gol03\], control theory \[Sus98, NM99\], cryptography \[Dod01\], radar imaging \[FH95\], learning theory \[Vid97, VR02\], chemistry \[GH99, Gat01\], game theory \[McL97, Roj97\], and kinematics \[Can93, EM99\] (just to mention a few applications), it then becomes clear that we need an algorithmic theory of algebraic geometry that is practical as well as rigourous. One need only look at the active research in numerical linear algebra (e.g., eigenvalue problems for large sparse matrices) to see how far we are from a completely satisfactory theory for the numerical solution of general systems of multivariate polynomial equations.

More recently, the introduction of algorithmic and combinatorial ideas has invigorated computational algebraic geometry. Here we give an elementary introduction to one recent aspect of computational algebraic geometry: polyhedral methods for solving systems of multivariate polynomial equations. The buzz-word for the cognicenti is toric varieties \[Ful93, Cox03, Sot03\]. However, rather than deriving algorithms from toric variety theory as an afterthought, we will begin directly with concrete examples and see how convex geometry naturally arises from solving equations.

Simply put, polyhedral methods are a first step toward a new class of algorithms which adapt themselves to the intrinsic nature of the underlying system of equations. For the purposes of this paper, this means that our polynomial equations will be expressed as sums of monomial terms, and the techniques we describe will exploit the combinatorial structure of which monomial terms appear.

###### Example 1.0.1.

Suppose one has the following $`3`$ equations in $`3`$ unknowns $`x`$, $`y`$, and $`z`$:

$`c_{1,1}+c_{1,2}x+c_{1,3}y^2+c_{1,4}z^3+c_{1,5}x^5y^6z^7+c_{1,6}x^6y^7x^5+c_{1,7}x^7y^5z^6+c_{1,8}x^8y^9z^9+c_{1,9}x^{10}y^9z^9+c_{1,10}x^9y^8z^9+c_{1,11}x^9y^{10}z^9+c_{1,12}x^9y^9z^{10}=0`$

$`c_{2,1}+c_{2,2}x+c_{2,3}y^2+c_{2,4}z^3+c_{2,5}x^5y^6z^7+c_{2,6}x^6y^7x^5+c_{2,7}x^7y^5z^6+c_{2,8}x^8y^9z^9+c_{2,9}x^{10}y^9z^9+c_{2,10}x^9y^8z^9+c_{2,11}x^9y^{10}z^9+c_{2,12}x^9y^9z^{10}=0`$

$`c_{3,1}+c_{3,2}x+c_{3,3}y^2+c_{3,4}z^3+c_{3,5}x^5y^6z^7+c_{3,6}x^6y^7x^5+c_{3,7}x^7y^5z^6+c_{3,8}x^8y^9z^9+c_{3,9}x^{10}y^9z^9+c_{3,10}x^9y^8z^9+c_{3,11}x^9y^{10}z^9+c_{3,12}x^9y^9z^{10}=0`$,

where the $`c_{i,a}`$ are any given complex numbers. One may reasonably guess that such a system of equations, being neither over-determined or under-determined, will have only finitely many roots $`(x,y,z)^3`$ with probability $`1`$, for any continuous probability distribution on the coefficient space $`^{36}`$. In fact, with probability $`1`$, the number of roots will always be the same number (cf. Theorems 3.2.1 and 3.2.2 of Section 3.2). What then is this “generic” number of roots?

Noting that the maximum of the sum of the exponents in any summand of the first, second, or third equation is $`28`$ (i.e., our polynomials each have total degree $`28`$), a classical theorem of Bézout \[Sha94, Ex. 1, Pg. 198\] gives us an upper bound of $`21952=28^3`$. A slightly more refined variant which uses degrees with respect to different variables, the multi-graded version of Bézout’s Theorem \[MS87\], yields a sharper upper bound of $`6000=610^3`$.

However, the true generic number of roots is $`\mathrm{𝟑𝟐𝟏}`$. This number was calculated by using the correct concept in our setting: the convex hulls222 Recall that a set $`B^n`$ is convex iff for all $`x,yB`$, the line segment connecting $`x`$ and $`y`$ is also contained in $`B`$. The convex hull of $`B`$, $`\mathrm{Conv}(B)`$, is then simply the smallest convex set containing $`B`$, and the computational complexity of convex hulls of finite point sets is fairly well-understood \[PS85\].  of the exponent vectors (also known as the Newton polytopes) of our polynomials. In this case, all our Newton polytopes are identical, and the volume (suitably normalized) of any one serves as the correct generic number of complex roots.
Figure 1. Several views of the Newton polytope shared by our three equations

The key idea to keep in mind is that the complexity of solving a system of polynomial equations, or even approximating a single root, depends strongly on the total number of complex roots. Since one does not usually know this number a priori, the algorithm one uses ultimately makes implicit use of some upper bound on this number, usually one of the three we just mentioned. So, much as how our preceding comparison of bounds turned out, algorithms which take monomial term structure into account are preferable over those that do not. $``$

A natural question, especially relevant to geometric modelling, then arises: Is there an analogous theory for systems of equations expressed in other bases? In particular, the systems of equations arising from $`B`$-splines are expressed in the so-called Bernstein-Bezier basis which uses sums of terms like $`_i(1x_i)^{j_i}x_i^{k_i}`$. The short answer is that an analogous theory for such bases does not yet exist. However, the philosophies of fewnomial theory \[Kho91, LRW03, Roj03\], straight-line programs \[Roj02, JKSS03\], not to mention polyhedral methods \[Roj94, HS95, Li97, Roj99b, Ver00, EP02, McD02, MR03\], are bringing us closer to a theory that can efficiently handle such questions.

We now outline the main results we explain in our paper. The second result below is new, while the first is older. (Related earlier results will be reviewed throughout this paper.) However, we emphasize that the statement and proof of the first result has been considerably simplified, we provide many more illustrations and examples than what is usually found in the earlier literature (e.g., \[Ber75, Kus75, Kus76, Ful93, HS95\]), and we have made an effort to keep all prerequisites explicit and contained in this paper.

###### Notation 1.0.1.

Let $`𝐎`$ denote the origin in  $`^n`$ and let $`e_1,\mathrm{},e_n`$ denote the standard basis vectors    $`\left[\begin{array}{c}1\\ 0\\ \mathrm{}\\ 0\end{array}\right],\mathrm{},\left[\begin{array}{c}0\\ \mathrm{}\\ 0\\ 1\end{array}\right]`$  $`^n`$. Also, for any $`B^n`$, let $`\mathrm{Conv}(B)`$   denote the smallest convex set containing $`B`$. Also,   we let $`\mathrm{Vol}()`$ denote the usual $`n`$-dimensional volume   in $`^n`$, renormalized so that $`\mathrm{Vol}(\mathrm{Conv}(\{𝐎,e_1,\mathrm{},e_n\})=1`$.  Finally, we will abuse notation slightly by setting $`\mathrm{Vol}(A):=\mathrm{Vol}(\mathrm{Conv}(A))`$ whenever $`A`$ is a finite subset of $`^n`$. $``$

###### Notation 1.0.2.

For any $`c^{}:=\{0\}`$ and $`a=(a_1,\mathrm{},a_n)^n`$, let $`x^a:=x_1^{a_1}\mathrm{}x_n^{a_n}`$ and call $`cx^a`$ a monomial term. Also, for any polynomial of the form $`f(x):=_{aA}c_ax^a`$, we call $`\mathrm{Supp}(f):=\{a|c_a0\}`$ the support of $`f`$, and define $`\mathrm{Newt}(f):=\mathrm{Conv}(\mathrm{Supp}(f))`$ to be the Newton polytope of $`f`$. We will assume henceforth that $`F:=(f_1,\mathrm{},f_k)`$ where, for all $`i`$, $`f_i[x_1,\mathrm{},x_n]`$ and $`\mathrm{Supp}(f_i)A_i`$. We call $`F`$ a $`𝐤\mathbf{\times }𝐧`$ polynomial system (over $``$) with support $`\mathbf{(}𝐀_\mathrm{𝟏}\mathbf{,}\mathbf{}\mathbf{,}𝐀_𝐤\mathbf{)}`$. Finally, we let $`Z_{}(F)`$ denote  the set of $`x^n`$ with $`f_1(x)=\mathrm{}=f_k(x)=0`$. $``$

Theorem 1. (Special Case (full version in Sec. 6)) Following the notation above, the number of connected components of $`Z_{}(F)`$ is no more than $`\mathrm{Vol}(B)`$, where $`B:=\{𝐎,e_1,\mathrm{},e_n\}_{i=1}^kA_i`$. In particular, if the number of complex roots of $`F`$ is finite, then it is no more than $`\mathrm{Vol}(B)`$.

As might be expected, a sharper estimate on the generic number of complex roots comes at a price: the resulting formula is more difficult to evaluate. However, one can get an explicit and optimal complexity estimate for the case of a pair of bivariate equations.

Theorem 2. Following the notation of Theorem 1.0.1, suppose $`k=n=2`$. Then the generic number of complex roots of a polynomial system $`F=(f_1,f_2)`$ with support $`(A_1,A_2)`$ can be computed within $`O(b\overline{N}+\overline{N}\mathrm{log}\overline{N})`$ bit operations, and takes at least $`\mathrm{\Omega }(b\overline{N})`$ bit operations in the worst case, where $`\overline{N}`$ denotes the sum of the cardinalities of the $`A_i`$, and $`b`$ is the maximum bit-length of any coordinate of any $`A_i`$.

Numerous examples of our two main theorems will appear as we review some of the background necessary for the applications and proofs of our theorems. Theorem 1.0.1 is proved three times: the simplified version above is proved in Section 3 and then two proofs of the full version appear respectively in Sections 4 and 5. The last proof uses the main combinatorial construction detailed in this paper: the mixed subdivision of $`n`$ polytopes in $`n`$ dimensions. Theorem 2 is proved in Section 5 as a simple consequence of mixed subdivisions in the plane.

## 2. From Binomial Systems to Volumes of Pyramids

Perhaps the best and simplest place to begin to understand the connection between polytopes and polynomials is the special case of binomial systems, i.e., polynomial systems where each polynomial has exactly $`2`$ monomial terms. For such systems, there is an immediate connection to linear algebra over the integers.

###### Example 2.0.1.

Suppose we want to find all the complex solutions of

$`xy^7z^7w^4`$ $`=`$ $`c_1`$
$`x^6y^4z^9w^6`$ $`=`$ $`c_2`$
$`x^2y^3z^2w^6`$ $`=`$ $`c_3`$
$`x^6y^4z^8w^5`$ $`=`$ $`c_4`$
where the $`c_{i,j}`$ are given nonzero complex numbers. Note in particular that this implies that any root of our system must satisfy $`xyzw0`$. A particularly elegant trick we’ll generalize shortly is the following: Consider the $`4\times 4`$ matrix $`E:=`$  $`\left[\begin{array}{cccc}1& 7& 7& 4\\ 6& 4& 9& 6\\ 2& 3& 2& 6\\ 6& 4& 8& 5\end{array}\right]`$  whose $`i^{\underset{¯}{\mathrm{th}}}`$ row vector is the exponent vector of the $`i^{\underset{¯}{\mathrm{th}}}`$ equation above. Then multiplying and dividing the equations above is easily seen to be equivalent to performing row operations on $`E`$. For example, doing a pivot operation to zero out all but the top entry of the first column of $`E`$ is just the computation of the matrix factorization  $`\left[\begin{array}{cccc}1& 0& 0& 0\\ 6& 1& 0& 0\\ 2& 0& 1& 0\\ 6& 0& 0& 1\end{array}\right]\left[\begin{array}{cccc}1& 7& 7& 4\\ 6& 4& 9& 6\\ 2& 3& 2& 6\\ 6& 4& 8& 5\end{array}\right]=\left[\begin{array}{cccc}1& 7& 7& 4\\ 0& 38& 33& 18\\ 0& 11& 12& 2\\ 0& 38& 34& 19\end{array}\right]`$ , which is in turn equivalent to observing that
Equation 1 is… $`x`$ $`y^7`$ $`z^7`$ $`w^4`$ $`=c_1`$    $`\text{(Equation 2)}/\text{(Equation 1)}^6\text{ is…}`$  $`y^{38}`$ $`z^{33}`$ $`w^{18}`$ $`=c_1^6c_2`$  $`\text{(Equation 3)}/\text{(Equation 1)}^2\text{ is…}`$  $`y^{11}`$ $`z^{12}`$ $`w^2`$ $`=c_1^2c_3`$  $`\text{(Equation 4)}/\text{(Equation 1)}^6\text{ is…}`$  $`y^{38}`$ $`z^{34}`$ $`w^{19}`$ $`=c_1^6c_4`$
Note also that this new binomial system has exactly the same roots as our original system. (This follows easily from the fact that our left-most matrix above is invertible, and the entries of the inverse are all integers.) So we can solve the last $`3`$ equations for $`(y,z,w)`$ and then substitute into the first equation to solve for $`x`$ and be done. $``$

Note, however, that if we wish to complete the solution of our example above, we must continue to use row operations on $`E`$ that are invertible over the integers.333While one could simply use rational operations on $`E`$, and thus radicals on our equations, this quickly introduces some unpleasant ambiguities regarding choices of $`d^{\underset{¯}{\mathrm{th}}}`$ roots. Hence the need for our integrality restriction. This can be done by performing a simple variant of Gauss-Jordan444Recall that Gaussian elimination is what one does to reduce a matrix to upper triangular form (see Definition 2.0.1 below), while Gauss-Jordan elimination is what one does to reduce a matrix to diagonal form \[Str98\]. elimination where one uses no divisions. In essence, one uses elementary integer row operations to minimize the absolute value of the entries in a given column, instead of reducing them to zero.

###### Example 2.0.2.

Let us consider the lower right $`3\times 3`$ block of our last matrix from our last example. The variant of Gauss-Jordan elimination we propose is easily depicted below.

Proceding with the same strategy on the lower $`2\times 2`$ block of the last matrix, and then continuing recursively, one finally obtains that our system of equations from Example 2.0.1 is equivalent to the following simpler system:

| $`x`$ |  |  | $`w^{62}`$ | $`=`$ | $`c_1^3`$ | $`c_2^{23}`$ | $`c_3^{11}`$ | $`c_4^{26}`$ |
| --- | --- | --- | --- | --- | --- | --- | --- | --- |
|  | $`y`$ |  | $`w^{175}`$ | $`=`$ | $`c_1^8`$ | $`c_2^{66}`$ | $`c_3^{31}`$ | $`c_4^{75}`$ |
|  |  | $`z`$ | $`w`$ | $`=`$ |  | $`c_2^1`$ |  | $`c_4^1`$ |
|  |  |  | $`w^{215}`$ | $`=`$ | $`c_1^{10}`$ | $`c_2^{82}`$ | $`c_3^{38}`$ | $`c_4^{93}`$ |

Note in particular that the exponent vectors above correspond exactly to the third and first matrices in the identity below:

$`\left[\begin{array}{cccc}3& 23& 11& 26\\ 8& 66& 31& 75\\ 0& 1& 0& 1\\ 10& 82& 38& 93\end{array}\right]\left[\begin{array}{cccc}1& 7& 7& 4\\ 6& 4& 9& 6\\ 2& 3& 2& 6\\ 6& 4& 8& 5\end{array}\right]=\left[\begin{array}{cccc}1& 0& 0& 62\\ 0& 1& 0& 175\\ 0& 0& 1& 1\\ 0& 0& 0& 215\end{array}\right]`$

,

and that the left-most matrix $`U`$ has determinant $`1`$ (and thus the entries of $`U^1`$ are all integral). One should of course note that our system is now very easy to solve: since the roots of $`w^d=c`$ are $`\{|c|^{1/d},|c|^{1/d}e^{2\pi i/d},\mathrm{},|c|^{1/d}e^{2\pi i(d1)/d}\}`$, we can simply substitute the $`215`$ resulting values for $`w`$ into the first, second, and third
equations to solve for $`x`$, $`y`$, and $`z`$, thus finding all $`215`$ complex roots of our system. $``$

This motivates the following definition from 19$`^{\underset{¯}{\mathrm{th}}}`$ century algebra.

###### Definition 2.0.1.

Let $`^{n\times n}`$ denote the set of all $`n\times n`$ matrices with all entries integral, and let $`𝔾𝕃_n()`$ denote the set of all matrices in $`^{n\times n}`$ with determinant $`\pm 1`$ (the set of unimodular matrices). Recall that any $`m\times n`$ matrix $`[u_{ij}]`$ with $`u_{ij}=0`$ for all $`i>j`$ is called upper triangular. Then, given any $`M^{n\times n}`$, we call any identity of the form $`UM=H`$, with $`H=[h_{ij}]^{n\times n}`$ upper triangular and $`U𝔾𝕃_n()`$, a Hermite factorization of $`M`$. Also if, in addition, we have:

1. $`h_{ij}0`$ for all $`i,j`$.
2. for all $`i`$, if $`j`$ is the smallest $`j^{}`$ such that $`h_{ij^{}}0`$ then $`h_{ij}>h_{i^{}j}`$ for all $`i^{}i`$.

then we call $`H`$ the Hermite normal form of $`M`$. $``$

###### Lemma 2.0.1.

\[Ili89\] For any $`M^{n\times n}`$, a Hermite factorization can be computed within $`O((n+h_M)^{6.376})`$ bit operations, where $`h_M:=\mathrm{log}(2n+\underset{i,j}{\mathrm{max}}|m_{ij}|)`$ and $`M=[m_{ij}]`$. Furthermore, the Hermite normal form exists uniquely for $`M`$, and can also be computed within the preceding bit complexity bound. $`\mathrm{}`$

By extending the tricks from our last examples, we can easily obtain the following lemma.

###### Lemma 2.0.2.

Suppose $`a_1,\mathrm{},a_n^n`$ and $`c_1,\mathrm{},c_n^{}:=\{0\}`$. Let $`E`$ denote the $`n\times n`$ matrix whose $`i^{\underset{¯}{\mathrm{th}}}`$ row is the vector $`a_i`$. Then the complex roots of the binomial system $`F:=(x^{a_1}c_1,\mathrm{},x^{a_n}c_n)`$ are exactly the complex solutions of the binomial system

| $`x_1^{u_{11}}`$ | $`\mathrm{}`$ | $`x_n^{u_{1n}}`$ | $`=`$ | $`c_1^{u_{11}}`$ | $`\mathrm{}`$ | $`c_1^{u_{1n}}`$ |
| --- | --- | --- | --- | --- | --- | --- |
|  | $`\mathrm{}`$ | $`\mathrm{}`$ | $`\mathrm{}`$ |  | $`\mathrm{}`$ |  |
|  |  | $`x_n^{u_{nn}}`$ | $`=`$ | $`c_1^{u_{n1}}`$ | $`\mathrm{}`$ | $`c_1^{u_{nn}}`$, |

where $`[u_{ij}]E=[h_{ij}]`$ is any Hermite factorization of $`E`$. In particular, the complex roots of $`F`$ can be expressed explicitly as monomials in $`\sqrt[h]{c_1},\mathrm{},\sqrt[h]{c_n}`$, where $`h:=_{i=1}^nh_{ii}`$. $`\mathrm{}`$

Letting $`(^{})^n:=(\{0\})^n`$, we then easily obtain the following corollary.

###### Definition 2.0.2.

Given any $`k\times n`$ polynomial system $`F`$, its Jacobian matrix is $`\mathrm{Jac}(F):=`$  $`\left[\begin{array}{ccc}\frac{f_1}{x_1}& \mathrm{}& \frac{f_1}{x_n}\\ \mathrm{}& \mathrm{}& \mathrm{}\\ \frac{f_k}{x_1}& \mathrm{}& \frac{f_k}{x_n}\end{array}\right]`$ . We then say that a root $`\zeta ^n`$ of $`F`$ is degenerate iff $`\mathrm{rank}\mathrm{Jac}(F)|_{x=\zeta }<k`$, and smooth otherwise. $``$

###### Corollary 2.0.1.

Suppose $`F=(f_1,\mathrm{},f_n)`$ is any $`n\times n`$ binomial system and, for all $`i`$, $`v_i`$ is either vector defined by the difference of the exponent vectors of $`f_i`$. Then $`F`$ has only finitely many roots in $`(^{})^nF`$ has exactly $`|detM|`$ many, where $`M`$ is the $`n\times n`$ matrix whose $`i^{\underset{¯}{\mathrm{th}}}`$ row is $`v_i`$. In particular, the last quantity is exactly
$`\mathrm{Vol}(\{𝐎,v_1,\mathrm{},v_n\})`$.

Also, every root of $`F`$ in $`(^{})^n`$ is non-degenerate iff $`F`$ has exactly $`\mathrm{Vol}(\{𝐎,v_1,\mathrm{},v_n\})`$ roots in $`(^{})^n`$. Finally, fixing the support of $`F`$, there is an algebraic hypersurface $`\mathrm{\Delta }`$ in the coefficient space $`^{2n}`$ such that for all coefficient specializations specializations outside of $`\mathrm{\Delta }`$, $`F`$ has exactly $`\mathrm{Vol}(\{𝐎,v_1,\mathrm{},v_n\})`$ roots in $`(^{})^n`$. $`\mathrm{}`$

We illustrate the last portion of our corollary with the following example.

###### Example 2.0.3.

Let us find all $`(c_{1,1},c_{1,2},c_{2,1},c_{2,2},c_{3,1},c_{3,2})^6`$ such that

$`c_{1,1}x^2y^7z^5`$ $`=`$ $`c_{1,2}`$
$`c_{2,1}x^4y^{14}z^{10}`$ $`=`$ $`c_{2,2}`$
$`c_{3,1}x^8y^{10}z^{14}`$ $`=`$ $`c_{3,2}`$
has infinitely many solutions in $`(^{})^3`$. In particular, by Lemma 2.0.2, the roots of our system are exactly those of

$`x^2y^7z^5`$ $`=`$ $`{\displaystyle \frac{c_{1,2}}{c_{1,1}}}`$
$`y^{18}z^6`$ $`=`$ $`\left({\displaystyle \frac{c_{1,2}}{c_{1,1}}}\right)^4\left({\displaystyle \frac{c_{3,2}}{c_{3,1}}}\right)^1`$
$`1`$ $`=`$ $`\left({\displaystyle \frac{c_{1,2}}{c_{1,1}}}\right)^2{\displaystyle \frac{c_{2,2}}{c_{2,1}}}`$
Clearly then, our system has infinitely roots in $`(^{})^3`$ iff $`c_{1,2}^2c_{2,1}=c_{2,2}c_{1,1}^2`$ (and no roots whatsoever if $`c_{1,2}^2c_{2,1}c_{2,2}c_{1,1}^2`$). So in this example, we can take

$$\mathrm{\Delta }=\left\{(c_{1,1},c_{1,2},c_{2,1},c_{2,2},c_{3,1},c_{3,2})^6\right|c_{1,2}^2c_{1,2}=c_{2,2}c_{1,1}^2\}.\text{ }$$

We conclude this section with a similar result for a slightly more complicated class of polynomial systems.

###### Definition 2.0.3.

Let $`F`$ be any $`k\times n`$ polynomial system with support $`(A_1,\mathrm{},A_k)`$. Then we say that $`F`$ is of type $`\mathbf{(}m_\mathrm{𝟏}\mathbf{,}\mathbf{}\mathbf{,}m_k\mathbf{)}`$ iff $`\mathrm{\#}A_i=m_i`$ for all $`i`$. Also, we that $`F`$ is unmixed iff $`A_1=\mathrm{}=A_k`$. Finally, writing $`f_i(x)=_{aA_i}c_{i,a}`$ for all $`i`$, we say a property $`𝒫`$ regarding $`F`$ holds generically iff there is an algebraic hypersurface $`^{_i\mathrm{\#}A_i}`$ such that $`(c_{i,a}|i\{1,\mathrm{},n\},aA_i)^{_i\mathrm{\#}A_i}𝒫`$ holds. $``$

###### Proposition 2.0.1.

Following the notation above, if $`𝒫_1,\mathrm{},𝒫_{\mathrm{}}`$ are properties of $`F`$ that hold generically, then their conjunction $`𝒫_1\mathrm{}𝒫_{\mathrm{}}`$ holds generically as well. $`\mathrm{}`$

###### Corollary 2.0.2.

Given any unmixed $`n\times n`$ polynomial system $`F=(f_1,\mathrm{},f_n)`$ of type $`(n+1,\mathrm{},n+1)`$, let $`A`$ be the support of any $`f_i`$. Then $`F`$ either has exactly $`\mathrm{Vol}(A)`$ roots in $`(^{})^n`$, no roots in $`(^{})^n`$, or infinitely many roots in $`(^{})^n`$. Furthermore, the first possibility holds generically and implies that all the roots of $`F`$ in $`(^{})^n`$ are non-degenerate. Finally, however many roots $`F`$ has in $`(^{})^n`$, they can always be expressed explicitly as monomials in $`\mathrm{Vol}(A)^{\underset{¯}{\mathrm{th}}}`$-roots of linear combinations of the coefficients of $`F`$ (and possibly some additional free parameters).

Proof: By Gauss-Jordan elimination, $`F`$ is equivalent to a binomial system (i.e., one considers the monomials of $`F`$ as new variables, thus obtaining a linear system that we can place into reduced row echelon form). So by Corollary 2.0.1, and some additional care with the Hermite normal when $`F`$ has infinitely many roots, we are done. $`\mathrm{}`$

Corollary 2.0.2 will be the cornerstone of our proof of the special case of Theorem 1.0.1 where $`k=n`$ and $`F`$ is unmixed (also known as Kushnirenko’s Theorem). Note in particular that any Newton polytope from a polynomial system as in Corollary 2.0.2, when $`\mathrm{Vol}(A)>0`$, is an $`n`$-simplex in $`^n`$, i.e., the $`n`$-dimensional analogue of a $`3`$-dimensional pyramid with a triangular base.

## 3. Subdividing Polyhedra and Kushnirenko’s Theorem

Here we prove the following central result which gives a strong connection between polytope volumes and the number of complex roots of polynomial systems.

###### Theorem 3.0.1 (Kushnirenko’s Theorem).

Following the notation of Definition 2.0.3 of Section 2, suppose $`F=(f_1,\mathrm{},f_n)`$ is $`n\times n`$ polynomial system with $`\mathrm{Supp}(f_i)A`$ for all $`i`$. Then $`F`$ has only finitely many roots in $`(^{})^nF`$ has $`\mathrm{Vol}(A)`$ roots in $`(^{})^n`$. Furthermore, for fixed $`A`$, $`F`$ generically has exactly $`\mathrm{Vol}(A)`$ roots in $`(^{})^n`$.

This result is originally due to Anatoly Georievich Kushnirenko \[Kus75, Kus76\]. So while we certainly claim no originality in our proof, we have strived to simplify the known proofs from the literature and include as much of the necessary background as reasonably possible.

Before laying the technical foundations for our proof, let us first see a concrete illustration of the main ideas. In essence, one proves Kushnirenko’s Theorem by deforming $`F`$ (preserving the number of roots along the way) into a collection of simpler systems. Making this rigourous and efficient then provides a natural motivation for a new space (containing an embedded copy of $`(^{})^n`$) in which our roots will live.

###### Example 3.0.1.

Consider the special case $`n=2`$ with

$$f_1(x,y):=2+x^23y+5x^7y^5+4x^6y^7$$

$$f_2(x,y):=3+2x^2+y+4x^7y^5+2x^6y^7.$$

The Newton polygon boundary and support appear below:
According to Theorem 3.0.1, $`F`$ either has $`35`$ roots in $`(^{})^2`$ or infinitely many. (The standard and multi-graded Bézout bounds respectively reduce to $`169=13^2`$ and $`98=277`$.) The true number of roots for our example turns out to be exactly $`35`$, and these roots are all non-degenerate.

To see why this is so, let us define a toric deformation $`\widehat{F}:=(\widehat{f}_1,\widehat{f}_2)`$ as follows:

$$\widehat{f}_1(x,y,t):=2𝒕+x^23y+5x^7y^5+4x^6y^7𝒕$$

$$\widehat{f}_2(x,y,t):=3𝒕+2x^2+y+4x^7y^5+2x^6y^7𝒕,$$

and $`\widehat{A}:=\mathrm{Supp}(\widehat{f}_1)=\mathrm{Supp}(\widehat{f}_2)=`$  $`\{\left[\begin{array}{c}0\\ 0\\ 1\end{array}\right],\left[\begin{array}{c}2\\ 0\\ 0\end{array}\right],\left[\begin{array}{c}0\\ 1\\ 0\end{array}\right],\left[\begin{array}{c}7\\ 5\\ 0\end{array}\right],\left[\begin{array}{c}6\\ 7\\ 1\end{array}\right]\}`$ . (We will see later in Lemma 3.1.1 that most choices of powers of $`t`$ for each monomial would have worked just as well for proving Kushnirenko’s Theorem for our example.) Note that $`\widehat{F}(1,x,y)=F(x,y)`$. Intuitively, one would expect $`2`$ equations in $`3`$ unknowns to generically define a curve (cf. Theorem 3.2.1 and the Implicit Function Theorem from calculus), and this turns out to be the case for our example. More to the point, the number of roots of $`\widehat{F}`$ in $`(^{})^2`$ is constant for all $`t\mathrm{\Sigma }`$, where $`\mathrm{\Sigma }`$ is a finite set not containing $`1`$.555 This crucial fact is elaborated a bit later in this section — specifically, Lemma 3.2.1. So to show that $`F`$ has $`35`$ roots in $`(^{})^2`$, it suffices to show that the number of roots of $`\widehat{F}`$ in $`(^{})^2`$ is $`35`$ for some suitable fixed $`t`$. At least initially, this seems no easier than counting the roots of $`F`$.

The key trick then is to count something else which, for fixed $`t`$ sufficiently close to $`0`$, is easily provable to be the same as the number of roots of $`\widehat{F}`$ in $`(^{})^2`$. This is where polyhedral subdivisions come into play almost magically. First, note that our new system is still unmixed but now has a $`3`$-dimensional Newton polytope:

$`\begin{array}{c}\text{The }\text{Lower Hull}\text{ of }\mathrm{Conv}\left(\widehat{A}\right)\\ \text{(View from }(0,0,t)\text{ with }t0\text{)}\end{array}`$ $`\begin{array}{c}\text{The }\text{Upper Hull}\text{ of }\mathrm{Conv}(\widehat{A})\\ \text{(View from }(0,0,t)\text{ with }t0\text{)}\end{array}`$
Next, note that any root $`(x,y,t)(^{})^3`$ of $`\widehat{F}`$ lies on a parametric curve of the form $`C_{(x_0,y_0,w)}:=\{(s^{w_1}x_0,s^{w_2}y_0,s^{w_3})|s^{}\}`$. However, we will see momentarily that the set of $`w^n`$ for which the roots of $`\widehat{F}_t`$ in $`(^{})^3`$ approach a $`C_{\mathbf{(}x_\mathrm{𝟎}\mathbf{,}y_\mathrm{𝟎}\mathbf{,}w\mathbf{)}}`$ as $`t\mathbf{}\mathrm{𝟎}`$ is dictated by the face structure of $`\mathrm{Conv}(\widehat{A})`$, and all the roots of $`\widehat{F}`$ in $`(^{})^3`$ approach some $`C_{(x_0,y_0,w)}`$ as $`t0`$. $``$

Let us pause now to review some basic convex geometric definitions.

###### Definition 3.0.1.

A (closed) half-space (with (inner) normal $`a\mathbf{=}\mathbf{(}a_\mathrm{𝟏}\mathbf{,}\mathbf{}\mathbf{,}a_n\mathbf{)}`$), $`H_a^n`$, is any set of the form $`\{(y_1,\mathrm{},y_n)^n|a_1y_1+\mathrm{}+a_ny_nc\}`$ for some real number $`c`$. A polyhedron is any finite intersection of half-spaces. Also, a $`𝐝`$-flat in $`^n`$ is any translate of a $`d`$-dimensional subspace of $`^n`$. Finally, a (convex) polytope in $`^n`$ is the convex hull of any finite point set in $`^n`$, and an $`𝐧`$-simplex is the convex hull of any $`n+1`$ points which do not lie in an $`(n1)`$-flat. $``$

###### Definition 3.0.2.

For any $`w:=(w_1,\mathrm{},w_n)^n`$ and any compact set $`B^n`$, we let $`B^w`$ — the face of $`B`$ with (inner) normal $`w`$ — be the set of all $`y:=(y_1,\mathrm{},y_n)B`$ minimizing the inner product $`wy:=w_1y_1+\mathrm{}+w_ny_n`$. We call a face $`Q`$ of $`B`$ lower (resp. upper) iff the last coordinate of any inner normal of $`Q`$ is positive (resp. lower). Also, the dimension of a face $`Q`$ of $`B`$, $`dimQ`$, is the dimension of the smallest flat containing $`Q`$. Finally, for any $`d`$-dimensional polytope, its faces of dimension $`0`$, $`1`$, $`d2`$, $`d1`$, or $`d`$ are respectively called vertices, edges, ridges, facets, or improper. $``$

The most important thing we’ll do with polytopes, after taking their faces, is to subdivide them.

###### Definition 3.0.3.

A subdivision of a polytope $`P`$ is a collection of polytopes $`\{Q_i\}_{i=1}^𝒩`$ called cells satisfying the following conditions.

1. $`\underset{i=1}{\overset{n}{}}Q_i=P`$
2. For any $`w^n`$ and $`j\{1,\mathrm{},𝒩\}`$, we have $`Q_j^w\{Q_i\}_{i=1}^𝒩`$

In particular, if all the $`Q_i`$ are simplices then we say that $`\{Q_i\}_{i=1}^𝒩`$ is a triangulation.

Finally, we call a cell $`Q_j`$ of $`\{Q_i\}_{i=1}^𝒩`$ full-dimensional iff $`dimQ_j=dimP`$. $``$

In particular, it is clear that one way to compute the volume of a polytope is to take any triangulation and add the volumes of all its full-dimensional cells. From basic linear algebra, we know that this reduces to a finite sum of absolute values of determinants of matrices of edge vectors.

###### Example 3.0.1 (Continued).

Let us now examine the lower hull of $`\widehat{A}`$, projected onto the $`(x,y)`$-plane, and its inner lower facet normals.
In particular, the projections of the faces of the lower hull of $`\widehat{A}`$ onto $`A`$ induce a triangulation $`\{Q_i\}`$ of $`\mathrm{Conv}(A)`$.

Picking $`w=(1,2,2)`$ to examine the curves $`C_{(x_0,y_0,w)}`$, we see that $`\widehat{F}(s^{w_1}x_0,s^{w_2}y_0,s^{w_3})`$ is exactly

$$s^2(2+x_0^23y_0)+\text{Higher Order Terms in }s$$

$$s^2(3+2x_0^2+y_0)+\text{Higher Order Terms in }s.$$

In particular, the $`(x_0,y_0)(^{})^2`$ which tend to a well-defined limit as $`s0`$ while satisfying $`\widehat{F}(s^1x_0,s^2y_0,s^2)=0`$ must also satisfy

$$2+x_0^23y_0$$

$$3+2x_0^2+y_0.$$

(This follows easily from the Implicit Function Theorem upon observing that the roots of $`(2+x_0^23y_0,3+2x_0^2+y_0)`$ are all non-degenerate.) So by Corollary 2.0.2 of the last section, there are exactly $`\mathrm{Vol}(\{(0,0),(2,0),(0,1)\})=2`$ such points. Put another way, the number of $`(x_0,y_0)(^{})^2`$ for which $`\widehat{F}`$ has roots in $`(^{})^3`$ approaching $`C_{(x_0,y_0,(1,2,2))}`$ as $`t0`$ is exactly $`2`$.

Let us call the last system an initial term system and observe that its Newton polytope is exactly the cell of $`\{Q_i\}`$ corresponding to $`w=(1,2,2)`$. Proceeding similarly with the other inner lower facet normals of $`\widehat{A}`$, there are exactly $`\mathrm{Vol}(\{(0,1),(7,5),(6,7)\})=18`$ curves of the form $`C_{(x_0,y_0,(4,7,18))}`$, and exactly
$`\mathrm{Vol}(\{(2,0),(0,1),(7,5)\})=15`$ curves of the form $`C_{(x_0,y_0,(0,0,1))}`$, approached by roots of $`\widehat{F}`$ in $`(^{})^3`$ as $`t0`$. Also, the last two initial term systems have Newton polytope respectively equal to the cell of $`\{Q_i\}`$ with inner lower facet normal $`(4,7,18)`$ or $`(0,0,1)`$.

To conclude, note that $`w`$ not a multiple of $`(1,2,2)`$, $`(4,7,18)`$, or $`(0,0,1)`$ the resulting initial term system has a Newton polytope of dimension $`1`$. Since $`C_{(x_0,y_0,w)}=C_{(x_0,y_0,\alpha w)}`$ for any $`\alpha `$ and $`w^3`$, another application of Corollary 2.0.2 then tells us that we have found all $`C_{(x_0,y_0,w)}`$ (with $`(x_0,y_0)(^{})^2`$ and $`w^3`$) that are approached by roots of $`\widehat{F}`$ in $`(^{})^3`$ as $`t0`$. Since there are $`35=\mathrm{Vol}(A)`$ such curves, and since they don’t intersect at any fixed $`t`$, this implies that $`\widehat{F}_t`$ has exactly $`35`$ roots in $`(^{})^2`$ for any $`t`$ with $`|t|`$ sufficiently small. So, assuming every root of $`\widehat{F}`$ in $`(^{})^3`$ converges to some $`C_{(x_0,y_0,w)}`$ as $`t0`$, $`F`$ has exactly $`35`$ roots and we are done. $``$

The preceding argument can be made completely general (not to mention rigourous) with just a little more work. In particular, we can prove our last assumption by constructing a space in which the roots of $`\widehat{F}`$ all converge to well-defined limits as $`t0`$. This is one of the main motivations behind toric varieties, which provide a useful and elegant way to compactify $`(^{})^n`$.

###### Remark 3.0.1.

The idea of examining the behavior of the zero set of $`F`$ along a monomial curve is really not so far-fetched. In many practical computations (see, e.g., \[LW91, Li97\]), some roots of polynomial systems depending on parameters tend to have unbounded coordinates, even if the parameters are all finite. So monomial curves are a natural approach to formalize what it means for a root to “approach infinity.” $``$

### 3.1. Enter Toric Varieties Corresponding to Point Sets

Before going further, let us first give a more succinct definition of initial term systems and formalize our constructions of $`\widehat{A}`$ and $`\widehat{F}`$.

###### Definition 3.1.1.

For any $`f[x_1,\mathrm{},x_n]`$ of the form $`_{aA}c_ax^a`$, let its initial term polynomial with respect to the weight $`w`$ be $`\mathrm{Init}_w(f):=_{aA^w}c_ax^a`$. $``$

###### Definition 3.1.2.

Given any $`A^n`$, a lifting function for $`A`$ is any function $`\omega :A^n`$ and we let $`\widehat{A}:=\{(a,\omega (a))|aA\}`$. Also, letting $`\pi :^{n+1}^n`$ denote the natural projection which forgets the last coordinate, we call $`A_\omega :=\left\{\mathrm{Conv}(\pi (\widehat{A}^w))\right|w^n\{𝐎\}\}`$ the subdivision of $`\mathrm{𝐂𝐨𝐧𝐯}\mathbf{(}A\mathbf{)}`$ induced by $`\omega `$. Finally, we say that $`\omega `$ is a generic lifting iff $`A_\omega `$ is a triangulation of $`\mathrm{Conv}(A)`$. $``$

###### Definition 3.1.3.

Following the notation above, if we have in addition that $`\omega (A)^n`$, then for any polynomial $`f(x)=_{aA}c_ax^a`$, it’s lift with respect to $`\omega `$ is the polynomial $`\widehat{f}(x,t):=_{aA}c_ax^at^{\omega (a)}`$. Finally, the lift with respect to $`\mathbf{(}\omega _\mathrm{𝟏}\mathbf{,}\mathbf{}\mathbf{,}\omega _n\mathbf{)}`$ of a $`k\times n`$ polynomial system $`F:=(f_1,\mathrm{},f_k)`$ is simply $`\widehat{F}:=(\widehat{f}_1,\mathrm{},\widehat{f}_k)`$, where $`\widehat{f}_i`$ is the lift of $`f_i`$ with respect to $`\omega _i`$ for all $`i`$. $``$

###### Lemma 3.1.1.

Following the notation of Definition 3.1.2, we have that for any fixed $`A`$, generic lifting functions occur generically. More precisely, there is a finite union, $`_A`$, of proper flats in $`^{\mathrm{\#}A}`$ such that $`\omega (A)^{\mathrm{\#}A}\omega `$ is a generic lifting for $`A`$. $`\mathrm{}`$

We will now refine the approach of Example 3.0.1 as follows: After building $`\widehat{A}`$ and $`\widehat{F}`$ via a generic lifting function, we will build a new point set $`\stackrel{~}{A}`$ and a space $`Y_{\stackrel{~}{A}}`$ with the following properties:

1. $`Y_{\stackrel{~}{A}}`$ is compact
2. There is an $`h`$-to-$`1`$ map from $`(^{})^n`$ to a dense open subset of $`Y_{\stackrel{~}{A}}`$, for some positive integer $`h`$.
3. $`\widehat{F}`$ has a well-defined complex zero set $`\stackrel{~}{Z}`$ in $`Y_{\stackrel{~}{A}}`$.
4. There is a natural map $`\pi :Y_{\stackrel{~}{A}}_{}^1`$, where $`_{}^1=\{\mathrm{}\}`$ is the usual complex projective line, such that for all $`t_0^{}`$, $`h\mathrm{\#}(\pi ^1(t_0)\stackrel{~}{Z})`$ is exactly the number of roots of $`\widehat{F}`$ in $`(^{})^n`$ with $`t`$-coordinate $`t_0`$.

Our proof of Kushnirenko’s Theorem will then focus instead on (a) showing that $`\mathrm{\#}(\pi ^1(1)\stackrel{~}{Z})=\mathrm{\#}(\pi ^1(0)\stackrel{~}{Z})`$ generically, and (b) computing $`\mathrm{\#}\pi ^1(t)`$ at $`t=0`$ to avoid the use of limits. We’ve actually already seen an example of (b), from an elementary point of view, in Example 3.0.1 of the last section. So let us now elaborate the framework needed for (a).

###### Definition 3.1.4.

Let $`N:=\mathrm{\#}A`$ and let

$$_{}^N:=\{[x_0:\mathrm{}:x_N]|x_0,\mathrm{},x_N\text{ not }\text{all}\text{ }0\}$$

denote complex $`N`$-dimensional projective space. Then, given any finite subset $`A^n`$, we let $`\phi _A:(^{})^n_{}^{N1}`$ — the generalized Veronese map — be the map defined by $`x[x^{a_1}:\mathrm{}:x^{a_N}]`$, where $`\{a_1,\mathrm{},a_N\}=A`$. We then let $`Y_A`$ — the toric variety corresponding to the point set $`A`$ — denote the closure of $`\phi _A\left((^{})^n\right)`$ in $`_{}^{N1}`$. $``$

Being a closed subset of a compact space, we thus see that $`Y_A`$ is compact as a topological space and this will be important later for guaranteeing that certain limits of curves exist. However, one may wonder if $`Y_A`$ actually compactifies $`(^{})^n`$ in any reasonable way and what the closure above really means. Here’s one way to make this precise.

###### Lemma 3.1.2.

Following the notation of Definition 3.1.4, let $`[a_{i1},\mathrm{},a_{in}]=a_i`$ for all $`i`$. Also let $`E`$ (resp. $`\overline{E}`$) be the $`N\times n`$ (resp. $`N\times (n+1)`$) matrix whose $`i^{\underset{¯}{\mathrm{th}}}`$ row is $`(a_{i1},\mathrm{},a_{in})`$ (resp. $`(a_{i1},\mathrm{},a_{in},1)`$). Finally, let $`H`$ be the Hermite normal form of $`E`$, let $`\overline{U}\overline{E}=\overline{H}`$ be any Hermite factorization of $`\overline{E}`$, and let $`\overline{u}_i`$ (resp. $`h`$) denote the $`i^{\underset{¯}{\mathrm{th}}}`$ row of $`\overline{U}`$ (resp. the product of the diagonal elements of $`H`$). Then $`Y_A=\{[p_1:\mathrm{}:p_N]_{}^{N1}|p^{\overline{u}_{r+1}^+}=p^{\overline{u}_{r+1}^{}},\mathrm{},p^{\overline{u}_N^+}=p^{\overline{u}_N^{}}\}`$, where $`r`$ is the rank of $`\overline{H}`$ and, for all $`i`$, $`\overline{u}_i^+\overline{u}_i^{}=\overline{u}_i`$ and $`\overline{u}_i^\pm _+^n`$. Furthermore, $`\phi _A`$ is an $`h`$-to-$`1`$ map, i.e., $`\mathrm{\#}\phi _A^1(p)=h`$ for all $`p\phi _A\left((^{})^n\right)`$. $`\mathrm{}`$

The $`p_i`$ above are sometimes called toric coordinates. The proof of Lemma 3.1.2 is a routine application of the Hermite normal form we introduced in the last section. Let us see an example of $`Y_A`$ now.

###### Example 3.1.1.

Taking $`A`$ as in our last example, we obtain

$$\phi _A(x,y)=[1:x^2:y:x^7y^5:x^6y^7],E=\left[\begin{array}{cc}0& 0\\ 2& 0\\ 0& 1\\ 7& 5\\ 6& 7\end{array}\right],\text{and }\overline{E}=\left[\begin{array}{ccc}0& 0& 1\\ 2& 0& 1\\ 0& 1& 1\\ 7& 5& 1\\ 6& 7& 1\end{array}\right].$$

Using the ihermite command in Maple, we then easily obtain that $`H=`$  $`\left[\begin{array}{cc}1& 0\\ 0& 1\\ 0& 0\\ 0& 0\\ 0& 0\end{array}\right]`$  is the Hermite normal form for $`E`$ and  $`\left[\begin{array}{ccccc}7& 3& 5& 1& 0\\ 1& 0& 1& 0& 0\\ 1& 0& 0& 0& 0\\ 15& 7& 10& 2& 0\\ 9& 3& 7& 0& 1\end{array}\right]`$ $`\overline{E}=`$  $`\left[\begin{array}{ccc}1& 0& 0\\ 0& 1& 0\\ 0& 0& 1\\ 0& 0& 0\\ 0& 0& 0\end{array}\right]`$  is a Hermite factorization for $`\overline{E}`$. So Lemma 3.1.2 tells us that our $`Y_A`$ here can also be defined as the zero set in $`_{}^4`$ of the following collection of binomials:

$$p_1^{15}p_4^2p_2^7p_3^{10},p_1^9p_5p_2^3p_3^7.$$

(Note, for instance, that $`1^{15}(x^7y^5)^2(x^2)^7y^{10}=x^{14}y^{10}x^{14}y^{10}=0`$.) Furthermore, since $`h=111=1`$, our map $`\phi _A`$ here is thus a bijection. $``$

The most relevant combinatorial/geometric properties of $`Y_A`$ can be summarized as follows (see the companion tutorials \[Cox03, Sot03\] in this volume for other aspects and points of view).

###### Definition 3.1.5.

Following the notation above, let $`N=\mathrm{\#}A`$ and $`\{a_1,\mathrm{},a_N\}=A`$. Then, for any face $`Q`$ of $`\mathrm{Conv}(A)`$, the orbit $`O_Q`$ is the subset

$$\{[p_1:\mathrm{}:p_N]Y_A|p_i=0a_iQ\}.$$

Also, for any $`pO_Q`$ with $`Q`$ a proper face, we say that $`p`$ lies at toric infinity. Finally, given any $`f_1,\mathrm{},f_k[x_1,\mathrm{},x_n]`$ of the form $`f_i(x)=_{aA}c_{i,a}x^a`$ for all $`i`$, the zero set of $`F\mathbf{=}\mathbf{(}f_\mathrm{𝟏}\mathbf{,}\mathbf{}\mathbf{,}f_k\mathbf{)}`$ in $`Y_A`$ is simply the set of all $`[p_1:\mathrm{}:p_N]Y_A`$ with $`_{j=1}^Nc_{i,a_j}p_j=0`$ for all $`i`$. $``$

Just as a polytope can be expressed as a disjoint union of the relative interiors of its faces, $`Y_A`$ can always be expressed as disjoint union of the $`O_Q`$. The lemma below follows routinely from Lemma 3.1.2 and Definition 3.1.5. Recall that a (complex) algebraic set is simply a subset of $`^N`$ or $`_{}^N`$ defined by the zero set of a system of polynomial equations.

###### Lemma 3.1.3.

Following the notation of Definition 3.1.5, $`O_Q`$ is a dense open subset of a $`d`$-dimensional algebraic subset of $`_{}^{N1}`$, where $`d=dimQ`$. Also, $`Y_A`$ is the disjoint union

$$\underset{Q\text{ a face of }\mathrm{Conv}(A)}{}O_Q$$

and

$$Y_A\phi _A\left((^{})^n\right)=\underset{Q\text{ a }\text{proper}\text{ face of }\mathrm{Conv}(A)}{}O_Q.$$

Finally, $`F`$ has a root in $`O_{\mathrm{Conv}(A)^w}`$ iff $`\mathrm{Init}_w(F)`$ has a root in $`(^{})^n`$. $`\mathrm{}`$

Since all faces of $`\mathrm{Conv}(A)`$ have a well-defined inner normal, Lemma 3.1.3 thus gives a complete characterization of when a root of $`F`$ lies at toric infinity, as well as which piece of toric infinity. This is what will allow us to replace the cumbersome curves $`C_{(x_0,y_0,w)}`$ mentioned earlier in Example 3.0.1 with a single algebraic curve in $`Y_A`$.

### 3.2. The Smooth Case of Kushnirenko’s Theorem

Let us now review the last tool we’ll need to start our proof of Kushnirenko’s Theorem: Simplified characterizations of the $`𝑨`$-discriminant and Cayley trick, and some basic facts on algebraic curves.

###### Definition 3.2.1.

Given any $`k\times n`$ polynomial system $`F`$, the toric Jacobian matrix of $`F`$ is $`\mathrm{ToricJac}(F)=`$  $`\left[\begin{array}{cccc}x_1& 0& \mathrm{}& 0\\ 0& x_2& & \\ \mathrm{}& & & \mathrm{}\\ & & \mathrm{}& 0\\ 0& \mathrm{}& 0& x_n\end{array}\right]`$ $`\mathrm{Jac}(F)`$. Assuming $`F`$ is unmixed, we then say that $`F`$ has a degenerate root at $`p\mathbf{=}\mathbf{[}p_\mathrm{𝟏}\mathbf{:}\mathbf{}\mathbf{:}p_N\mathbf{]}\mathbf{}Y_A`$ iff $`p`$ is a root of $`F`$ and $`\mathrm{rank}\mathrm{ToricJac}(F)|_p<k`$. We then let the discriminant variety, $`\mathrm{\Delta }_{(\underset{𝑘}{\underset{}{A,\mathrm{},A}})}`$, denote the set of all

$$(c_{1,a_1},\mathrm{},c_{1,a_N})\times \mathrm{}\times (c_{k,a_1},\mathrm{},c_{k,a_N})(^N)^k$$

such that $`F`$ has a degenerate root in $`Y_A`$. Finally, given any $`k`$-tuple of point sets from $`^n`$, $`(A_1,\mathrm{},A_k)`$, its Cayley configuration is the point set

$$\mathrm{Cay}(A_1,\mathrm{},A_k):=(A_1\times (\underset{k1}{\underset{}{0,\mathrm{},0}}))(A_2\times e_{n+1})\mathrm{}(A_k\times e_{n+k1})^{n+k1}.\text{ }$$

###### Example 3.2.1.

Returning to Example 3.0.1 one last time, consider the root $`q=[1:\sqrt{1}:1:0:0]Y_{\widehat{A}}`$ of

$$f_1(x,y):=2t+x^23y+5x^7y^5+4x^6y^7t$$

$$f_2(x,y):=3t+2x^2+y+4x^7y^5+2x^6y^7t,$$

where $`\widehat{A}:=\mathrm{Supp}(\widehat{f}_1)=\mathrm{Supp}(\widehat{f}_2)=`$  $`\{\left[\begin{array}{c}0\\ 0\\ 1\end{array}\right],\left[\begin{array}{c}2\\ 0\\ 0\end{array}\right],\left[\begin{array}{c}0\\ 1\\ 0\end{array}\right],\left[\begin{array}{c}7\\ 5\\ 0\end{array}\right],\left[\begin{array}{c}6\\ 7\\ 1\end{array}\right]\}`$ . Note in particular that $`qO_{(1,2,2)}`$ and thus lies at the portion of toric infinity corresponding to the smallest triangular cell of $`A_\omega `$. The toric Jacobian matrix, in toric coordinates, is then  $`\left[\begin{array}{ccc}2p_2+35p_4+24p_5& 3p_3+25p_4+28p_5& 2p_1+4p_5\\ 4p_2+28p_4+12p_5& p_3+20p_4+14p_5& 3p_1+2p_5\end{array}\right]`$ . Evaluating at $`q`$, our matrix then becomes  $`\left[\begin{array}{ccc}2\sqrt{1}& 3& 2\\ 4\sqrt{1}& 1& 3\end{array}\right]`$ , which clearly has rank $`2`$, so $`q`$ is a non-degenerate root. $``$

###### Theorem 3.2.1.

Following the notation of Definition 3.2.1, there is a homogeneous polynomial $`D_A[c_{a_1},\mathrm{},c_{a_N}]`$ such that

$$D_A(c_{a_1},\mathrm{},c_{a_N})0(c_{a_1},\mathrm{},c_{a_N})\mathrm{\Delta }_A,$$

i.e., $`\mathrm{\Delta }_A`$ is always contained in an algebraic hypersurface in $`^N`$. In particular,

$$D_{\mathrm{Cay}(\underset{𝑘}{\underset{}{A,\mathrm{},A}})}0(c_{1,a_1},\mathrm{},c_{1,a_N})\times \mathrm{}\times (c_{k,a_1},\mathrm{},c_{k,a_N})\mathrm{\Delta }_{A^k}.\text{ }\mathrm{}$$

###### Corollary 3.2.1.

Suppose $`F`$ is an $`n\times n`$ polynomial system with support $`(A_1,\mathrm{},A_n)`$ and that there is an $`(n1)`$-flat containing translates of $`A_1,\mathrm{},A_n`$. Then for fixed $`(A_1,\mathrm{},A_n)`$, $`F`$ generically has no roots in $`(^{})^n`$. In particular, in the unmixed case, $`F`$ generically has no roots in $`Y_A`$. $`\mathrm{}`$

Obtaining the discriminant of a system of equations via the discriminant of a single larger equation via the Cayley configuration is sometimes called the Cayley trick \[GKZ94\]. Theorem 3.2.1 can actually be derived directly from our framework here via the toric resultant (see, e.g., \[Mou02\] in this volume or \[EP02\]). However, for the sake of brevity we omit the proof. The final additional fact we’ll need follows easily from the Implicit Function Theorem.

###### Definition 3.2.2.

If $`X_{}^{N_1}`$ and $`Ysubseteq_{}^{N_2}`$ are algebraic curves, then a morphism $`\psi :XY`$ is simply a well-defined map of the form $`[p_1:\mathrm{}:p_{N_2}][\varphi _1(p_1,\mathrm{},p_{N_2}):\mathrm{}:\varphi _{N_1}(p_1,\mathrm{},P_{N_2})]`$, where $`\varphi _1,\mathrm{},\varphi _{N_2}`$ are homogeneous polynomials of the same degree. $``$

###### Lemma 3.2.1.

Suppose $`C_{}^N`$ is a smooth algebraic curve (not necessarily connected) and $`\psi :C_{}^1`$ is any morphism. Then either $`\mathrm{\#}\psi (X)<\mathrm{}`$ or $`\psi (X)=_{}^1`$. In the latter case, there is a positive integer $`m`$ and a finite set $`\mathrm{Crit}_\psi _{}^1`$, the critical values of $`\psi `$, such that $`\mathrm{\#}psi^1(t)=mt_{}^1\mathrm{\Sigma }`$.

Finally, in the special case where $`C`$ is the zero set in $`Y_{\stackrel{~}{A}}`$ of an $`n\times (n+1)`$ polynomial system $`\widehat{F}(x_1,\mathrm{},x_n,t)`$ with $`\mathrm{Supp}(\widehat{f})\widehat{A}`$ for all $`i`$, $`\widehat{A}\stackrel{~}{A}`$, and $`\psi (\phi _{\widehat{A}}(x_1,\mathrm{},x_n,t))=[1:t]`$ for all $`t^{}`$, we have that $`t_0`$ lies in $`\mathrm{Crit}_\psi (\widehat{F},tt_0)`$ has a degenerate root in $`Y_{\stackrel{~}{A}}`$.

###### Theorem 3.2.2.

Following the notation of Theorem 3.0.1, fix $`A`$. Then $`F`$ generically has exactly $`\mathrm{Vol}(A)`$ roots in $`(^{})^n`$, all of which are non-degenerate.

Proof of Theorem 3.2.2: Let $`N:=\mathrm{\#}A`$ and $`\{a_1,\mathrm{},a_N\}:=A`$ as before and pick any generic lifting function $`\omega `$ with integral range. Following the notation of Definition 3.1.2, let us then define $`\stackrel{~}{A}:=\widehat{A}\{(a,\omega (a)+1)|aA\}`$ and order the coordinates $`p=[p_1:\mathrm{}:p_{2N}]`$ of $`_{}^{2N}`$ so that

$$\phi _{\stackrel{~}{A}}(x,t)=[x^{a_1}t^{\omega (a_1)}:\mathrm{}:x^{a_N}t^{\omega (a_N)}:x^{a_1}t^{\omega (a_1)+1}:\mathrm{}:x^{a_N}t^{\omega (a_N)+1}].$$

Note in particular that $`\widehat{F}`$ has a well-defined zero set in $`Y_{\stackrel{~}{A}}`$, as well as $`Y_{\widehat{A}}`$: since the coordinates $`p_1,\mathrm{},p_N`$ of $`Y_{\widehat{A}}`$ can be identified with an obvious subset of the coordinates of $`Y_{\stackrel{~}{A}}`$.

We can now at last define our promised map $`\pi :Y_{\stackrel{~}{A}}_{}^1`$ by $`p[p_1:p_{N+1}]`$. Defining $`\stackrel{~}{Z}`$ (resp. $`Z`$) to be the zero set of $`\widehat{F}`$ in $`Y_{\stackrel{~}{A}}`$ (resp. $`F`$ in $`Y_A`$), note that there is an isomorphism (an algebraic bijection) between $`\pi ^1(1)\stackrel{~}{Z}`$ and $`Z`$ defined by $`[p_1:\mathrm{}:p_{2N}][p_1:\mathrm{}:p_N]`$. (This is easily checked since Lemma 3.1.2 tells us that the binomials that define $`Y_{\stackrel{~}{A}}`$ are exactly those defining $`Y_A`$ union $`p_{N+1}p_2p_1p_{N+2},\mathrm{},p_{N+1}p_Np_1p_{2N}`$.)

Now note that $`\pi `$ also induces a natural morphism from $`\stackrel{~}{Z}`$ to $`_{}^1`$. Let $`H`$ be the Hermite normal form of $`A`$ and $`h`$ the product of the diagonal elements of $`H`$. Since the first $`n`$ columns of the Hermite normal forms of $`A`$ and $`\stackrel{~}{A}`$ are the same, Lemma 3.1.2 then tells us that the number of roots of $`F`$ is exactly $`h\mathrm{\#}(\pi ^1(1)\stackrel{~}{Z})`$. By applying Theorem 3.2.1 to $`(A,\mathrm{},A)`$ (and Proposition 2.0.1) it thus suffices to show that $`𝒉\mathbf{\#}\mathbf{(}𝝅^\mathbf{}\mathrm{𝟏}\mathbf{(}\mathrm{𝟏}\mathbf{)}\mathbf{}\stackrel{\mathbf{~}}{𝒁}\mathbf{)}\mathbf{=}\mathrm{𝐕𝐨𝐥}\mathbf{(}𝑨\mathbf{)}`$ generically.

Next, note that by construction, all the initial term systems of $`F`$ will be unmixed and have Newton polytopes of volume $`0`$. In particular, by Corollary 3.2.1, any particular initial term system will generically have no roots. Similarly, by Corollary 2.0.2, the initial term systems of $`\widehat{F}`$ will have each have smooth zero set generically. So by Lemma 3.1.3 and Proposition 2.0.1, it will be generically true that $`F`$ will have no roots at toric infinity in $`Y_A`$, and all the roots of $`\widehat{F}`$ at toric infinity in $`Y_{\stackrel{~}{A}}`$ will be non-degenerate. Furthermore, by applying Theorem 3.2.1 to $`(\widehat{A},\mathrm{},\widehat{A})`$, we know that $`\stackrel{~}{Z}`$ is generically smooth. So by Proposition 2.0.1 again, it thus suffices to show that \[$`\stackrel{\mathbf{~}}{Z}`$, $`Z`$, and $`\stackrel{\mathbf{~}}{Z}\mathbf{}\text{(Toric Infinity in }Y_{\stackrel{\mathbf{~}}{A}}\text{)}`$ smooth and $`Z\mathbf{}\phi _{\stackrel{\mathbf{~}}{A}}\mathbf{(}\mathbf{(}^{\mathbf{}}\mathbf{)}^n\mathbf{)}`$\] $`\mathbf{}h\mathbf{\#}\mathbf{(}\pi ^\mathbf{}\mathrm{𝟏}\mathbf{(}\mathrm{𝟏}\mathbf{)}\mathbf{}\stackrel{\mathbf{~}}{Z}\mathbf{)}\mathbf{=}\mathrm{𝐕𝐨𝐥}\mathbf{(}A\mathbf{)}`$.

So let us now assume the hypothesis of the last implication. By Lemma 3.2.1, $`Z`$ (resp. $`\stackrel{~}{Z}\pi ^1(0)`$) smooth $`1`$ (resp. $`0`$) is not a critical value of $`\pi `$. Also, by the Implicit Function Theorem, the smoothness of $`\stackrel{~}{Z}`$ implies that $`\pi (\widehat{Z})`$ contains a small open ball about $`1`$. So by the first part of Lemma 3.2.1, $`\pi (\stackrel{~}{Z})=_{}^1`$.

Clearly, $`_{}^1`$ remains path-connected even after a finite set of points is removed, so let $`L`$ be any continuous path connecting $`0`$ and $`1`$ in $`_{}^1\mathrm{Crit}(\pi |_{\stackrel{~}{Z}})`$. By the Implicit Function Theorem once more, and the fact that $`L`$ is compact (by virture of the compactness of $`_{}^1`$), we must have that $`\mathrm{\#}(\pi ^1(t)\stackrel{~}{Z})`$ is constant on $`L`$. So we now need only show that $`h\mathbf{\#}\mathbf{(}\pi ^\mathbf{}\mathrm{𝟏}\mathbf{(}\mathrm{𝟎}\mathbf{)}\mathbf{}\stackrel{\mathbf{~}}{Z}\mathbf{)}\mathbf{=}\mathrm{𝐕𝐨𝐥}\mathbf{(}A\mathbf{)}`$.

To conclude, note that $`\stackrel{~}{A}`$ and $`\widehat{A}`$ have the same lower hull, so Lemmata 3.1.3 and 3.1.2 then imply that $`\pi ^1(0)\stackrel{~}{Z}`$ is nothing more than

$$\{[p_1:\mathrm{}:p_{2N}]Y_{\stackrel{~}{A}}|\underset{a_jQ}{}c_{i,a_j}p_j=0\text{ for all }i\{1,\mathrm{},n\}\text{ for some cell }Q\text{ of }A_\omega \}.$$

In particular, by our smoothness assumption on $`\pi ^1(0)\stackrel{~}{Z}`$, Corollary 2.0.2 tells us that $`\pi ^1(0)\stackrel{~}{Z}`$ is actually
$`\{[p_1:\mathrm{}:p_{2N}]Y_{\stackrel{~}{A}}|{\displaystyle \underset{a_jQ}{}}c_{i,a_j}p_j=0\text{ for all }i\{1,\mathrm{},n\}\text{ for some full-dimensional cell }Q\text{ of }A_\omega \}`$.  Since $`A_\omega `$ is a triangulation, Corollary 2.0.2 and Lemma 3.1.2 (along with another application Hermite factorization) tells us that

$$\mathrm{\#}\pi ^1(0)\stackrel{~}{Z}=\underset{Q\text{ a full-dimensional cell of }A_\omega }{}\frac{\mathrm{Vol}(Q)}{h}=\frac{\mathrm{Vol}(A)}{h},$$

so we are done. $`\mathrm{}`$

###### Remark 3.2.1.

Our proof generalizes quite easily to arbitrary algebraically closed fields and positive characterstic, e.g., the algebraic closure of a finite field. One need only use a little algebra to extend Lemma 3.2.1 to algebraically closed fields and then one can use the same proof above almost verbatim. $``$

### 3.3. Path Following, Compactness, and the Degenerate Case of Kushnirenko

Let us now allow degeneracies for the zero set of $`F`$ and arrive at a strengthening of Kushnirenko’s Theorem.

###### Theorem 3.3.1.

Following the notation of Theorem 3.0.1, let $`Z_A`$ be the zero set of $`F`$ in $`Y_A`$, and let $`\{Z_i\}`$ be the collection of path-connected components of $`Z_A`$. Then there is a natural, well-defined positive intersection multiplicity $`\mu :\{Z_i\}`$ such that $`_i\mu (Z_i)=\mathrm{Vol}(A)`$ and $`\mu (Z_i)=1`$ if $`Z_i`$ is a non-degenerate root.

We actually have all the technical preliminaries we’ll need, except for one last simple proposition on path-connectedness.

###### Proposition 3.3.1.

If $``$ is any algebraic hypersurface in $`^N`$ then $`B`$ is path-connected for any open ball $`B`$ in $`^N`$. $`\mathrm{}`$

Proof of Theorem 3.3.1: Let $`N:=\mathrm{\#}A`$ as usual and let $`P(A)`$ denote the space of all polynomials in $`[x_1,\mathrm{},x_n]`$ with support contained in $`A`$. Clearly, we can naturally identify $`P(A)`$ with $`^N`$. Since zero sets of polynomials are unchanged under scaling of the coefficients, we will then let $`(\underset{𝑛}{\underset{}{A,\mathrm{},A}}):=(_{}^{N1})^n`$ be the space we’ll use to consider our possible $`F`$.

Note now that if $`F(_{}^{N1})^n\mathrm{\Delta }_{(\underset{𝑛}{\underset{}{A,\mathrm{},A}})}`$ then we are done by Theorem 3.2.2 (simply setting $`\mu (Z_i)=1`$ for every root $`Z_i`$). Indeed, since $`(_{}^{N1})^n\mathrm{\Delta }_{(\underset{𝑛}{\underset{}{A,\mathrm{},A}})}`$ is path-connected by Proposition 3.3.1, the Implicit Function Theorem tells us that $`F`$ had better have the same number of roots in $`Y_A`$ as an $`F`$ which has smooth zero set and no roots at toric infinity.

Essentially the same idea can be used for $`F\mathrm{\Delta }_{(\underset{𝑛}{\underset{}{A,\mathrm{},A}})}`$. In particular, for such $`F`$, let $`F^{(i)}`$ be any sequence such that $`F^{(i)}F`$. Then, letting $`Z^{(i)}`$ be the zero set of $`F^{(i)}`$ in $`Y_A`$, define $`\zeta `$ to be any limit point of $`\{Z^{(i)}\}`$. We must then have $`F(\zeta )=0`$ and thus $`Z_A`$ must be non-empty.

Now let $`\{U_i\}`$ be disjoint open sets with $`Z_iU_i`$ for all $`i`$. (Such a set of open sets must exist since $`Y_A`$ is compact and the $`Z_i`$ must be of positive distance from each other, using the usual distance in $`_{}^{N1}`$.) Note then that $`Y_A_iU_i`$ must be compact. By the continuity of $`F`$ as a function of its variables and coefficients, there must then be a ball $`B`$ about $`F`$ in $`(_{}^{N1})^n`$ such that the roots of any $`G`$ are contained in $`_iU_i`$.

We may now define $`\mu (Z_i)`$ as follows: Take any $`GB\mathrm{\Delta }_{(\underset{𝑛}{\underset{}{A,\mathrm{},A}})}`$ and define $`\mu (Z_i)`$ to be the number of roots of $`G`$ in $`U_i`$. Since $`B\mathrm{\Delta }_{(\underset{𝑛}{\underset{}{A,\mathrm{},A}})}`$ is path-connected by Proposition 3.3.1, the Implicit Function Theorem tells us that the number of roots is independent of whatever $`GB\mathrm{\Delta }_{(\underset{𝑛}{\underset{}{A,\mathrm{},A}})}`$ we picked.

###### Remark 3.3.1.

Essentially the same argument was used Mike Shub in \[Shu93\] to prove an extended version of Bézout’s Theorem (see also \[BCSS98, Pg. 199\]). Note that neither theorem generalizes the other, but the theorems overlap in the special case where $`A`$ is the set of integral points in a scaled standard simplex. On the other hand, our next theorem will generalize both Kushnirenko’s Theorem and Bézout’s Theorem. The elegance of Shub’s approach is that it gives a rigourous and simple approach to intersection theory for a broad class of polynomial systems. $``$

###### Remark 3.3.2.

Combining Theorems 3.3.1 and 3.2.2 we immediately obtain our earlier simpler statement of Kushnirenko’s Theorem (Theorem 3.0.1). $``$

## 4. Multilinearity and Reducing Bernstein’s Theorem to Kushnirenko’s Theorem

The big question now is how to count the roots of a mixed polynomial system, since being unmixed is such a strong restriction. Toward this end, let us consider another consequence of the basic properties of discriminant varieties.

###### Lemma 4.0.1.

Let $`F`$ and $`G`$ be any $`n\times n`$ polynomial systems with support contained in $`(A_1,\mathrm{},A_n)`$ component-wise. Then, generically, $`F`$ and $`G`$ share no roots in $`(^{})^n`$. Furthermore, the number of roots of $`F`$ is generically a fixed constant. $`\mathrm{}`$

As an immediate consequence, we obtain the following preliminary answer to our big question.

###### Definition 4.0.1.

Let $`S_1,\mathrm{},S_k`$ be any subsets of $`^n`$. Then their Minkowski sum is simply $`S_1+\mathrm{}+S_k:=\{y_1+\mathrm{}+y_k|y_iS_i\text{ for all }i\}`$. $``$

It is easily proved that $`\mathrm{Newt}(fg)=\mathrm{Newt}(f)+\mathrm{Newt}(g)`$ (once one observes that the vertices of $`\mathrm{Newt}(fg)`$ are themselves Minkowski sums of vertices of $`\mathrm{Newt}(f)`$ and $`\mathrm{Newt}(g)`$). So it should come as no surprise that Minkowksi sums will figure importantly in our discussion relating polyhedra and polynomials.

###### Lemma 4.0.2.

Let $`𝒩(A_1,\mathrm{},A_n)`$ denote the generic number of roots in $`(^{})^n`$ of an $`n\times n`$ polynomial system $`F`$ with support $`(A_1,\mathrm{},A_n)`$. Then $`𝒩(A_1,\mathrm{},A_n)`$ is a non-negative symmetric function of $`\mathrm{Conv}(A_1),\mathrm{},\mathrm{Conv}(A_n)`$ which is multilinear with respect to Minkowski sum.

Proof: That $`𝒩(A_1,\mathrm{},A_n)`$ is a well-defined non-negative symmetric function of $`A_1,\mathrm{},A_n`$ is clear (thanks in part to the last part of Lemma 4.0.1). The formula for $`𝒩(A_1,\mathrm{},A_n)`$ in the unmixed case then follows immediately from Theorem 3.2.2. Translation invariance follows easily since the roots of $`F`$ in $`(^{})^n`$ are the same as the roots of $`(x^{a_1}f_1,\mathrm{},x^{a_n}f_n)`$ in $`(^{})^n`$. Defining $`x^[u_{ij}]:=(x_1^{u_{11}}\mathrm{}x^{u_{n1}},\mathrm{},x_1^{u_{1n}}\mathrm{}x^{u_{nn}})`$ for any $`n\times n`$ matrix $`[u_{ij}]`$, it is then easily checked that $`\mathrm{Supp}(F(x^U))=(UA_1,\mathrm{},UA_n)`$ and $`U`$ unimodular (cf. Definition 2.0.1) $``$ the map $`xx^U`$ is an analytic bijection of $`(^{})^n`$ into itself. So it is clear that $`𝒩(UA_1,\mathrm{},UA_n)=𝒩(A_1,\mathrm{},A_n)`$.

We thus need only show that $`𝒩`$ is a multilinear function of the convex hulls. To see the multilinearity, note that the zero set of $`(f_1\overline{f}_1,f_2,\mathrm{},f_n)`$ in $`(^{})^n`$ is exactly the union of the zero sets of $`(f_1,f_2,\mathrm{},f_n)`$ $`(\overline{f}_1,f_2,\mathrm{},f_n)`$. So by the first part of Lemma 4.0.1, and the symmetry of $`𝒩`$, multlinearity follows.

Recall now the polarization identity:

$$m(x_1,\mathrm{},x_n)=\underset{\mathrm{}I\{1,\mathrm{},n\}}{}(1)^{n\mathrm{\#}I}\left(\begin{array}{c}n\\ \mathrm{\#}I\end{array}\right)m(\underset{iI}{}x_i,\mathrm{},\underset{iI}{}x_i),$$

valid for any symmetric multilinear function. (The identity is not hard to prove via inclusion-exclusion \[GKP94\]. See also \[Gol03\] in this volume for another point of view.) Therefore, we must have

$$𝒩(A_1,\mathrm{},A_n)=\underset{\mathrm{}I\{1,\mathrm{},n\}}{}(1)^{n\mathrm{\#}I}\left(\begin{array}{c}n\\ \mathrm{\#}I\end{array}\right)𝒩(\underset{iI}{}A_i,\mathrm{},\underset{iI}{}A_i),$$

and thus $`𝒩(A_1,\mathrm{},A_n)`$ depends only the convex hulls of $`A_1,\mathrm{},A_n`$. $`\mathrm{}`$

So we have answered our big question, assuming we know a function $`(P_1,\mathrm{},P_n)`$, defined on $`n`$-tuples $`(P_1,\mathrm{},P_n)`$ of polytopes in $`^n`$, that satisfies the obvious analogues of the properties of $`𝒩(A_1,\mathrm{},A_n)`$ specified in Lemma 4.0.2. However, such a function indeed exists: it is called the mixed volume and we denote it by $`()`$. Abusing notation slightly by setting $`(A_1,\mathrm{},A_n):=(\mathrm{Conv}(A_1),\mathrm{},\mathrm{Conv}(A_n))`$, we immediately obtain the following result.

###### Theorem 4.0.1 (Bernstein’s Theorem).

Suppose $`F`$ is any $`n\times n`$ polynomial system with fixed support $`A_1,\mathrm{},A_n`$. Then $`F`$ generically has exactly $`(A_1,\mathrm{},A_n)`$ roots in $`(^{})^n`$.

Of course, we now appear to have an even bigger question: what is mixed volume? This we now answer.

Remark 4.0.1

David N. Bernstein was the first to prove Theorem 4.0.1 in a slightly stronger form, along with an algebraic condition for when $`F`$ would have exactly mixed volume many roots \[Ber75\]. Interestingly, Felix Minding appears to have been the first to prove the special case $`n=2`$ in 1841, and mixed volume wasn’t even defined until near the end of the $`19^{\underset{¯}{\mathrm{th}}}`$ century by Hermann Minkowski. $``$

We also point out that Minkowski was born on 22 June, 1864, in a town named Alexotas. This town used to belong to what was the Russian empire at the time but is now the Lithuanian city of Kaunas.

## 5. Mixed Subdivisions and Mixed Volumes from Scratch

Let us begin with an illustration of one of the simplest non-trivial examples of a Minkowski sum:
$`\mathbf{+}`$    $`\mathbf{=}`$    $`\mathbf{=}`$

There are many different defintions of mixed volume but the two most important use Minkowski sums in an essential way. More to the point, if one can subdivide $`P_1+\mathrm{}+P_n`$ in a special way, then one is well on the way to computing mixed volume. This is where mixed subdivisions enter.

###### Definition 5.0.1.

\[HS95\] Given polytopes $`P_1,\mathrm{},P_k^n`$, a subdivision of $`\mathbf{(}P_\mathrm{𝟏}\mathbf{,}\mathbf{}\mathbf{,}P_k\mathbf{)}`$ is a finite collection of $`k`$-tuples $`\{(C_1^\alpha ,\mathrm{},C_k^\alpha )\}_{\alpha S}`$ satisfying the following axioms:

1. $`_{\alpha S}C_i^\alpha =P_i`$ for all $`i`$
2. $`C_i^\alpha C_i^\beta `$ is a face of both $`C_i^\alpha `$ and $`C_i^\beta `$ for all $`\alpha ,\beta ,i`$.
3. $`C_i^\beta `$ a face of $`C_i^\alpha `$ for all $`iC_1^\beta ,\mathrm{},C_n^\beta `$ have a common inner normal.

Furthemore, if we have in addition that $`_idimC_i^\alpha =dim_iC_i^\alpha `$ for all $`\alpha `$, then we call $`\{(C_1^\alpha ,\mathrm{},C_k^\alpha )\}_{\alpha S}`$ a mixed subdivision. $``$

###### Example 5.0.1.

Here we see a very special kind of subdivision $`\{Q_i\}`$ of the Minkowski sum of two polygons $`P_1`$ and $`P_2`$, each with many vertices. In particular, the subdivision of $`P_1+P_2`$ above is built in such a way as to encode a mixed subdivision $`\{(C_1^\alpha ,C_2^\alpha )`$ of $`(P_1,P_2)`$. In particular, we see that each $`P_i`$ has a distinguished vertex $`v_i`$, and that we can read off a mixed subdivision of $`(P_1,P_2)`$ as follows: there are two cells $`(P_1,v_2)`$ and $`(v_1,P_2)`$, corresponding to the two cells $`P_1+v_2`$ and $`v_1+P_2`$ of $`\{Q_i\}`$. The remaining cells of $`\{(C_1^\alpha ,C_2^\alpha )`$ are parallelograms of the form $`(E_1,E_2)`$ where $`E_i`$ is an edge of $`P_i`$ for all $`i`$. $``$

It is easily verified that any subdivision of $`(P_1,\mathrm{},P_k)`$ immediately induces a subdivision of $`(\lambda P_1,\mathrm{},\lambda P_k)`$, for any $`\lambda _1,\mathrm{},\lambda _k0`$.

###### Example 5.0.2.

Note in particular that the areas of the cells of our induced subdivision of $`\lambda P_1+\mu P_2`$ scale according to their type. In particular, it is clear that for our above example, $`\mathrm{Area}(\lambda P_1+\mu P_2)=\mathrm{Area}(P_1)\lambda ^2+M\lambda \mu +\mathrm{Area}(P_2)\mu ^2`$, where $`M`$ is the sum of the areas of all the mixed cells (the parallelograms). $``$

###### Definition 5.0.2.

Following the notation above, the type of a cell $`(C_1^\alpha ,\mathrm{},C_k^\alpha )`$ of a subdivision of $`(P_1,\mathrm{},P_n)`$ is simply the vector $`(dimC_1^\alpha ,\mathrm{},dimC_k^\alpha )`$. In particular, the cells of type $`(1,\mathrm{},1)`$ are called mixed cells. $``$

The following two lemmata are then immediate. The first follows from a slight modification of the proof of Lemma 3.1.1, while the second follows almost immediately from the first.

###### Lemma 5.0.1.

Following the notation of Definition 3.1.2, recall that

$$\pi :^{n+1}^n$$

is the natural projection which forgets the last coordinate. Then, given finite point sets $`A_1,\mathrm{},A_n^n`$ and lifting functions $`\omega _i`$ for $`A_i`$ for all $`i`$, the collection $`(A_1,\mathrm{},A_n)_\omega :=\{(\pi (\mathrm{Conv}(\widehat{A}_1)^w),\mathrm{},\pi (\mathrm{Conv}(\widehat{A}_n)^w))|w^n\{𝐎\}\}`$ always forms a subdivision of $`(\mathrm{Conv}(A_1),\mathrm{},\mathrm{Conv}(A_n))`$ — the subdivision of $`\mathbf{(}\mathrm{𝐂𝐨𝐧𝐯}\mathbf{(}A_\mathrm{𝟏}\mathbf{)}\mathbf{,}\mathbf{}\mathbf{,}\mathrm{𝐂𝐨𝐧𝐯}\mathbf{(}A_n\mathbf{)}\mathbf{)}`$ induced by $`\mathbf{(}\omega _\mathrm{𝟏}\mathbf{,}\mathbf{}\mathbf{,}\omega _n\mathbf{)}`$. In particular, for fixed $`(A_1,\mathrm{},A_n)`$, $`(A_1,\mathrm{},A_n)_\omega `$ will generically be a mixed subdivision. $`\mathrm{}`$

###### Lemma 5.0.2.

For $`\lambda _1\mathrm{},\lambda _n0`$, and any polytopes $`P_1,\mathrm{},P_n^n`$, the quantity $`Q(\lambda _1,\mathrm{},\lambda _n):=\mathrm{Vol}\left(_{i=1}^n\lambda _iP_i\right)`$ is a homogeneous polynomial of degree $`n`$ with nonnegative coefficients. $`\mathrm{}`$

We then at last arrive at the following definition of the mixed volume.

###### Definition 5.0.3.

Given any polytopes $`P_1,\mathrm{},P_n^n`$, their mixed volume is the coefficient of $`\lambda _1\lambda _2\mathrm{}\lambda _n`$ in the above polynomial $`Q(\lambda _1,\mathrm{},\lambda _n)`$. $``$

###### Example 5.0.3 (The Unmixed Case).

It is easily checked that $`(P,\mathrm{},P)=\mathrm{Vol}(P)`$. Note also that the multilinearity of $`()`$ with respect to Minkowski sum also follows immediately from the preceding definition. $``$

###### Example 5.0.4 (Line Segments).

It is also easily checked that $`(\{0,a_1\},\mathrm{},\{0,a_n\})=|det[a_1,\mathrm{},a_n]|`$, where $`a_1,\mathrm{},a_n`$ are any points in $`^n`$ and $`[a_1,\mathrm{},a_n]`$ is the matrix whose columns are $`a_1,\mathrm{},a_n`$. $``$

The next two characterizations follow easily from the last two lemmata, and inclusion-exclusion \[GKP94\].

###### Lemma 5.0.3.

For any mixed subdivision $`\{(C_1^\alpha ,\mathrm{},C_n^\alpha )\}`$ of $`(P_1,\mathrm{},P_n)`$,

$$(P_1,\mathrm{},P_n):=\underset{\begin{array}{c}(C_1,\mathrm{},C_n)\\ \text{ a cell of type }(1,\mathrm{},1)\end{array}}{}\mathrm{Vol}\left(\underset{i}{}C_i\right).$$

Furthermore, we have $`(P_1,\mathrm{},P_n):={\displaystyle \underset{\mathrm{}I\{1,\mathrm{},n\}}{}}(1)^{n\mathrm{\#}I}\mathrm{Vol}\left({\displaystyle \underset{iI}{}}P_i\right)`$. $``$

###### Example 5.0.5 (Cornered Spikes).

A less trivial puzzle is the following formula: $`(\{𝐎,a_{11}e_1,a_{1n}e_n\},\mathrm{},\{𝐎,a_{11}e_1,a_{1n}e_n\})=\underset{\sigma }{\mathrm{max}}\left\{\underset{i=1}{\overset{n}{}}a_{i\sigma (i)}\right\}`$, where $`a_{ij}`$ are any non-negative real numbers and $`\sigma `$ ranges over all permutations of $`\{1,\mathrm{},n\}`$. This gives some indication that mixed volume includes many simple functions as a special case. However, our next example shows that mixed volume includes rather non-trivial functions as well. $``$

###### Example 5.0.6 (Bricks, a.k.a. the fine multigraded case).

Via multilinearity, it easily follows that $`([0,d_{11}]\times \mathrm{}\times [0,d_{1n}],\mathrm{},[0,d_{n1}]\times \mathrm{}\times [0,d_{nn}])=\mathrm{Perm}[d_{ij}]`$, where $`\mathrm{Perm}`$ denotes the permanent.666Recall that this function can be defined as the variant of the determinant where all alternating signs in the full determinant expansion are replaced by $`+1`$’s. In particular, this immediately shows that computing mixed volume is $`\mathrm{\#}𝐏`$-hard \[Pap95, DGH98\]. $``$

Let us now finally prove Theorem 2.
Proof of Theorem 2: Note that by Bernstein’s Theorem, it suffices to find an algorithm for computing $`(A_1,A_2)`$ with bit complexity $`𝒪(b\overline{N}+\overline{N}\mathrm{log}\overline{N})`$. The main idea of the proof can then already be visualized in the first mixed subdivision we illustrated: one computes the mixed area of $`(A_1,A_2)`$ by first efficiently computing the convex hulls of $`A_1`$ and $`A_2`$, and then expressing the sum of the areas of the mixed cells compactly without building the entire mixed subdivision. This is not a contradiction, provided one views the mixed cells in the right way.

More precisely, first recall that the convex hulls of $`A_1`$ and $`A_2`$ can be computed within $`O(\overline{N}\mathrm{log}\overline{N})`$ bit operations, via the usual well-known $`2`$-dimensional convex hull algorithms \[PS85\]. In particular, with this much work, we can already assume we know the inner edge normals of $`P_1:=\mathrm{Conv}(A_1)`$ and $`P_2:=\mathrm{Conv}(A_2)`$, and the vertices of $`P_1`$ and $`P_2`$ in counter-clockwise order.

Let us then pick a vertices $`v_1P_1`$ and $`v_2P_2`$ such that their angle cones are disjoint. Then there is a mixed subdivison (which we will never calculate explicitly!) with exactly $`2`$ non-mixed cells — $`(P_1,v_2)`$ and $`(v_1,P_2)`$ — and several other mixed cells. (This is easily seen by picking a lifting function $`\omega _1`$ for $`P_1`$ that is identically zero, and a linear lifting function $`\omega _2`$ for $`P_2`$ that is minimized at $`v_2`$ and is constant on a line that intersects the angle cones of $`v_1`$ and $`v_2`$ only at the origin.)

Note then that the union of the mixed cells can be partition into a union of strips. In particular, by construction, there are disjoint contiguous sequences of edges $`(E_1^{(i)},\mathrm{},E_{a_i}^{(i)})`$ and $`(E_1^{(i^{})},\mathrm{},E_{a_i^{}}^{(i^{})})`$, with $`E_1^{(i)}`$ and $`E_1^{(i^{})}`$ incident to $`v_i`$, for all $`i`$. Furthermore, every mixed cell of $`(A_1,A_2)_\omega `$ is of the form $`(E_i^{(1)},E_j^{(2)})`$ or $`(E_i^{(1^{})},E_j^{(2^{})})`$, and every $`E_j^{(i)}`$ and $`E_j^{(i^{})}`$ is incident to some mixed cell.

The partition into strips then arises as follows: the mixed cells of $`(A_1,A_2)_\omega `$ can be partitioned into lists of one of the following two forms:

$$(E_j^{(1)},E_{m_j}^{(2)}),\mathrm{},(E_1^{(1)},E_{n_j}^{(2)})$$

$$(E_j^{(1^{})},E_{m_j}^{(2^{})}),\mathrm{},(E_1^{(1^{})},E_{n_j}^{(2^{})})$$

where $`j\{1,\mathrm{},a_1\}`$ (resp. $`j\{1,\mathrm{},a_1^{}\}`$), $`m_jn_j`$, and $`n_ja_2`$ (resp. $`n_ja_2^{}`$. In particular, the union of the mixed cells in any such list is simply the Minkowski sum of a continuous portion of the boundary of $`P_2`$ and an edge of $`P_1`$, and its area can thus be expressed as the absolute value of a determinant of differences of vertices of the $`P_i`$. Furthermore, each formula can easily be found by a binary search on the sorted edge normals using $`O(\overline{N}\mathrm{log}\overline{N})`$ comparisons.

Since there are no more than $`\overline{N}`$ such strips, the total work we do is bounded above by the specified complexity bound, so our upper bound is proved.

To obtain our lower bound, note that the mixed area of $`(A_1,A_2)`$ is zero iff \[\[$`P_1`$ or $`P_2`$ is a point\] or \[$`P_1`$ and $`P_2`$ are parallel line segments\]. So just knowing whether the mixed area is positive or not amounts to a rank computation on a matrix of size $`O(\overline{N})`$ and thus can take no less than $`\mathrm{\Omega }(bN)`$ bit operations in the worst case \[BCS97\]. $`\mathrm{}`$

## 6. A Stronger Bernstein Theorem Via Mixed Subdivisions

Here we prove the following generalization of Theorem 3.3.1. It is at this point that we will use a slightly more high-brow type of toric variety: the toric variety $`X_P`$ corresponding to a polytope $`P`$. In essence, the key properties that we needed from $`Y_A`$ (that it compactify $`(^{})^n`$ and have a partition into orbits corresonding to the faces of a polytope) continue to hold for $`X_P`$. We make this change to avoid technicalities in defining the zero set of $`F`$ in $`Y_{A_1+\mathrm{}+A_n}`$ when $`F`$ is mixed. Since $`X_P`$ is discussed elsewhere in this volume at greater length \[Cox03, Sot03\], we proceed with the statement of our theorem.

###### Theorem 6.0.1.

Following the notation of Theorem 4.0.1, let $`P:=\mathrm{Conv}(A_1)+\mathrm{}+\mathrm{Conv}(A_n)`$, let $`Z_P`$ be the zero set of $`F`$ in $`X_P`$, and let $`\{Z_i\}`$ be the collection of path-connected components of $`Z_P`$. Then there is a natural, well-defined positive intersection multiplicity $`\mu :\{Z_i\}`$ such that $`_i\mu (Z_i)=\mathrm{Vol}(A)`$ and $`\mu (Z_i)=1`$ if $`Z_i`$ is a non-degenerate root.

The proof will be almost exactly the same as that of our extended version of Kushnirenko’s Theorem, so let us first see an illustration of a toric deformation for a mixed system.

###### Example 6.0.1.

Take $`n=2`$ and

$$f_1(x,y):=c_{1,𝐎}+c_{1,(\alpha ,0)}x^\alpha +c_{1,(0,\beta )}y^\beta +c_{1,(\alpha ,\beta )}x^\alpha y^\beta $$

$$f_2(x,y):=c_{2,𝐎}+c_{2,(\gamma ,0)}x^\gamma +c_{2,(0,\delta )}y^\delta +c_{2,(\gamma ,\delta )}x^\gamma y^\delta .$$

By Bernstein’s Theorem, the number of roots should be $`\alpha \delta +\beta \gamma `$, so let us try to prove this.

Let us take the following lifting of $`F`$:

$$\widehat{f}_1(x,y,t):=c_{1,𝐎}+c_{1,(\alpha ,0)}x^\alpha t+c_{1,(0,\beta )}y^\beta t+c_{1,(\alpha ,\beta )}x^\alpha y^\beta $$

$$\widehat{f}_2(x,y):=c_{2,𝐎}t+c_{2,(\gamma ,0)}x^\gamma +c_{2,(0,\delta )}y^\delta +c_{2,(\gamma ,\delta )}x^\gamma y^\delta t$$

In particular, we see that there will be exactly one mixed cell for $`(A_1,A_2)_\omega `$ and its corresponding initial term system will be

$$\mathrm{Init}_{(0,0,1)}(\widehat{F})(x,y,t)=(c_{1,𝐎}+c_{1,(\alpha ,\beta )}x^\alpha y^\beta ,c_{2,(\gamma ,0)}x^\gamma +c_{2,(0,\delta )}y^\delta )$$

The lifted Newton polytopes and induced subdivisions appear below.

The idea of our proof of Bernstein’s Theorem then mimics our earlier proof of Kushnirenko’s Theorem: our lifting induces a lifted version $`\widehat{P}=\mathrm{Conv}(\widehat{A}_1)+\mathrm{Conv}(\widehat{A}_2)`$ of $`P`$ and we’ll then try to build a map from our lifted zero set to the projective line. To do so, we’ll define $`\stackrel{~}{P}:=\widehat{P}\times [0,1]`$ and this is illustrated below.

In particular, the only portion of the lower hull of $`\stackrel{~}{P}`$ (i.e., the “lower portion” of toric infinity on $`X_{\stackrel{~}{P}}`$) which is touched by zero set of $`\widehat{F}`$ in $`X_{\stackrel{~}{P}}`$ is the parallelogram facet, and the projection of this facet has area exactly $`\alpha \delta +\beta \gamma `$. $``$

Proof of Theorem 6.0.1: We will first prove the generic case, and then derive the degenerate case, just as we did for the unmixed case.

At this point, we could just use Theorem 4.0.1 to get the generic case and proceed with our proof of the degenerate case. However, let us observe that we could instead use mixed subdivisions to directly obtain Theorem 4.0.1 without reducing to the unmixed case. The proof proceeds exactly like the proof of Theorem 3.0.1, except for the following differences:

1. We work with $`X_{\stackrel{~}{P}}`$ instead of $`Y_{\stackrel{~}{A}}`$, where $`\stackrel{~}{P}=(\widehat{P}_1+\mathrm{}+\widehat{P}_n)\times [0,1]`$.
2. The map $`\pi `$ is essentially the same but is instead defined via the Cox coordinate ring \[Cox03\].
3. The only portions of toric infinity in $`X_{\stackrel{~}{P}}`$ that intersect $`\pi ^1(0)\stackrel{~}{Z}`$ are those corresponding to facets on the lower hull of $`\stackrel{~}{P}`$ that project to mixed cells of $`(P_1,\mathrm{},P_n)_\omega `$.
4. The final count of roots becomes a sum of roots of a collection of binomial systems.

To prove the degenerate case, we proceed exactly as in the proof of Theorem 3.3.1, except with the following minor modifications:

1. We use the notational changes above.
2. The space of $`F`$ we work with is instead $`_{}^{N_11}\times \mathrm{}\times _{}^{N_n1}`$, where $`N_i=\mathrm{\#}A_i`$ for all $`i`$. $`\mathrm{}`$

We are now finally ready to state and prove the full version of Theorem 1:

Theorem 1 (Full Version) Suppose $`F`$ is any $`k\times n`$ polynomial system with $`\mathrm{Supp}(f_i)A_i(\{0\})^n`$ for all $`i`$ and let $`Z_{}(F)`$ denote the zero set of $`F`$ in $`^n`$. Then the number of connected components of $`Z_{}(F)`$ is no more than $`\mathrm{Vol}\left(\{𝐎,e_1,\mathrm{},e_n)_{i=1}^kA_i\right)`$ or $`(\{𝐎,e_1\}A_1,\mathrm{},\{𝐎,e_k\}A_k)`$, according as $`k<n`$ or $`kn`$.

Proof: Let $`B:=\{𝐎,e_1,\mathrm{},e_n)_{i=1}^kA_i`$. If $`k<n`$ then we can simply set $`f_{k+1}=\mathrm{}=f_n=f_1`$ and then apply Theorem 3.3.1, noting that the $`\mathrm{Supp}(f_i)B`$ for all $`i`$. In particular, it is easily checked that $`Y_B`$ actually contains an embedded copy of $`^n`$.

To prove the case $`k>n`$, note that we can reconsider such an $`F`$ as a $`k\times k`$ polynomial system with $`\mathrm{Supp}(f_i)\{0,e_i\}A_i`$ for all $`i`$. Once again, by virtue of the fact that $`\overline{P}:=\mathrm{Conv}(A_1)+\mathrm{}+\mathrm{Conv}(A_k)`$ contains the non-negative orthant as one of the cones in its normal fan \[Cox03\], we have that our underlying toric variety (this time, $`X_{\overline{P}}`$) has an embedded copy of $`^n`$. So by Theorem 6.0.1, we’re done. $`\mathrm{}`$