Mathematical Notes, Vol. 68, No.

6, 2000

On the Complexity Functions for T -Ideals of Associative Algebras

V. M. Petrogradskii UDC 512.55

Abstract. Let cn (V) be the sequence of
codimensionn growth for a variety V of associative algebras. We
study the complexity function C(V, z) = ∞ n=0 cn (V)z /n! , which is the exponential generating function for
the sequence of codimensions. Earlier, the complexity functions were used to study varieties of Lie algebras.
The objective of the note is to start the systematic investigation of complexity functions in the associative case.
These functions turn out to be a useful tool to study the growth of varieties over a field of arbitrary characteristic.
In the present note, the Schreier formula for the complexity functions of one-sided ideals of a free associative
algebra is found. This formula is applied to the study of products of T -ideals. An exact formula is obtained for
the complexity function of the variety Uc of associative algebras generated by the algebra of upper triangular
matrices, and it is proved that the function cn (Uc ) is a quasi-polynomial. The complexity functions for proper
identities are investigated. The results for the complexity functions are applied to study the asymptotics of
codimension growth. Analogies between the complexity functions of varieties and the Hilbert–Poincaré series of
finitely generated algebras are traced.

Key words: variety of associative algebras, complexity function, growth of a variety, Schreier formula, Hilbert–
Poincaré series of a finitely generated algebra, T -ideal.

1. Introduction: codimension growth and complexity functions

Let K be the ground field, which is assumed to be arbitrary unless otherwise stated. Let us consider
a variety of (associative) algebras V , i.e., the class of all algebras satisfying a set of identical relations.
Let F (V, X) be a free algebra of this variety generated by a countable set of free generators X = {xi |
i ∈ N} . We denote the subspace of all multilinear elements of degree n on the set {x1 , . . . , xn } by
Pn (V) ⊂ F (V, X) and consider the dimension of this subspace,


cn (V) = cn F (V, X), X = dimK Pn (V), n = 0, 1, 2, . . . .

Thus, a sequence of codimensions arises, cn (V) , n = 0, 1, 2, . . . , which is an important characteristic of

the variety V . We denote by var B the variety given by the identities of the algebra B and by T (V) the
ideal of identities of the variety V .
In the case of a nontrivial variety of associative algebras, the sequence cn (V) is bounded by an expo-
nential function; this fact was substantially used by Regev to prove that the tensor product of PI algebras
is always a PI algebra as well [1]. In the case of a variety V of Lie algebras, Razmyslov suggested
considering the complexity function
∞
cn (V) n
C(V, z) = z , z ∈ C.
n=0
n!

If V is a nontrivial variety of Lie algebras, then C(V, z) is an entire function of a complex variable [2] and,
in contrast to the associative case, the growth can be superexponential here [3]. The complexity functions
for the varieties of Lie algebras were fruitfully used and led to the classification of growth types [4, 5].
The results concerning the growth of varieties of associative algebras are mainly related to fields of
characteristic zero. For instance, exact asymptotics for the so-called primary varieties are known [6]. The
principal approach here is in the use of the representation theory of the symmetric group. However, little
is known on the growth over a field of positive characteristic.

Translated from Matematicheskie Zametki, Vol. 68, No. 6, pp. 887–897, December, 2000.
Original article submitted May 7, 1999.
0001–4346/2000/6856–0751$25.00 
c 2000 Kluwer Academic/Plenum Publishers 751
 In fact, complexity functions were not used in the study of the growth of associative varieties. The
objective of the note is to start the systematic investigation of complexity functions in the associative
case. These functions turn out to be a useful tool for studying the growth of varieties over a field of
arbitrary characteristic. The main results of the paper are as follows. The Schreier formula for the
complexity functions of one-sided ideals of a free associative algebra is found (Theorem 2.1), and this
formula is applied to the study of products of T -ideals. As an application, an exact formula is obtained
for the complexity function of the variety Uc of associative algebras generated by the algebra of upper
triangular matrices over an arbitrary field (Theorem 3.1). This made it possible to prove that the function
cn (Uc ) , n = 0 , 1 , 2 , . . . , is a quasi-polynomial. The complexity functions for proper identities are
investigated. An application of the complexity functions to the study of the asymptotics of codimension
growth is given. Throughout the paper, strict analogies between the complexity functions of varieties and
the Hilbert–Poincaré series of finitely generated algebras are traced.
Let us first recall the main properties of complexity functions. A complexity function is an exam-
ple of an exponential generating function, which are extensively used in combinatorics [7]. We consider
these functions in a somewhat more general setting, namely, for subsets of a countably generated algebra
(groupoid).
Let an algebra (a groupoid) generated by a set X = {xi | i ∈ N} be given. Let A be a subspace (a
subset) of this algebra. For any set X  we denote
 = {xi , . . . , xi } ⊂ X of distinct elements, by Pn (A, X)
1 n

the linear span (the subset) of all multilinear elements of degree n among the elements X  in A . Assume
that the dimension of this linear span (the number of elements, respectively) cn (A, X)  does not depend
 
on X and depends on n only. In this case we write cn (A) = cn (A, X) and say that A is X -uniform and
that, for A , the complexity function with respect to X is defined, which can be written as follows:
∞
cn (A) n
C(A, z) = CX (A, z) = z , z ∈ C.
n=0
n!
Note that the set A need not be composed of homogeneous elements.
The next lemma explains the use of complexity functions, see [7, 4, 5].
Lemma 1.1 [5]. Let Γ be a groupoid (an algebra) generated by the set X = {xi | i ∈ N} and let ∗
stand for the product in Γ . Assume that subsets (subspaces) A ⊂ Γ and B ⊂ Γ are X -uniform.
1) Let C = A ∪ B be the disjoint union ( C = A ⊕ B is the direct sum). Then C is X -uniform, and
C(C , z) = C(A, z) + C(B , z) .
2) Assume that all multilinear elements of the set a ∗ b , a ∈ A , b ∈ B , are distinct (all multilinear
elements in the set {ai ∗ bj | i ∈ I , j ∈ J} are linearly independent under the assumption that
the sets {ai | i ∈ I} ⊂ A and {bj | j ∈ J} ⊂ B are linearly independent). Then A ∗ B is
also X -uniform, and C(A ∗ B , z) = C(A, z) · C(B , z) .
Let f (z) be an entire function. Write Mf (r) = max|z|=r |f (z)| . If Mf (r) ≤ exp(µr) for any sufficiently
large r > 0 , then f (z) is said to be of exponential type. By the Regev Theorem [1], so are the complexity
∞
functions of associative varieties. By the definition of the exponential function exp(αz) = n=0 αn z n /n! ,
the following fact can readily be prove.
Lemma 1.2 [8]. Let
∞
an n
f (z) = z
n=0
n!
be an entire function of exponential type. Then
 ln Mf (r)
lim n |an | = lim .
n→∞ r→∞ r
Let us define the (upper ) exponent and the lower exponent of the variety by the formulas
 
Exp V = lim n cn (V), Exp V = lim n cn (V).
n→∞ n→∞
If f (z) is a complexity function, then its coefficients are nonnegative, and Mf (r) = f (r) for r > 0 . We
obtain the following assertion.

752
 Corollary 1.1. Let V be a variety of associative algebras. In this case,
ln C(V, r)
Exp V = lim .
r→∞ r
We warn the reader that the replacement of lim by lim in the lemma gives a wrong formula, and we
cannot write a similar expression for Exp V .

2. Application of complexity functions for T -ideals

In the theory of free groups, the following Schreier formula holds. If G is a free group of rank n , then
any subgroup H of it is free, and, if |G : H| < ∞ and if H is of rank m , then m − 1 = (n − 1)|G : H| .
As is known, a free associative algebra is an F I ring, i.e., a ring in which any one-sided ideal is a free
module [9]. Let A = Kx1 , . . . . . . , xk  be a free associative algebra of rank k and let J be a one-sided
ideal such that dim A/J < ∞ . By m we denote the rank of the ideal J . Then the following analog of
the Schreier formula holds [10]: m − 1 = (k − 1) dim A/J .
A generalization of this formula in terms of series can be given. For an element a ∈ A , let us define the
degree deg a as the maximum of the degrees of all monomials that enter in the representation of a . For a
subset V ⊂ A , we use the notation Vn = {a ∈ V | deg a = n} and V n = {a ∈ V | deg a ≤ n} for n ≥ 0 .
Assume now that the set of free generators Y for A J is infinite. Let us consider the Hilbert–Poincaré
series,
∞
 ∞

H(Y , t) = |Yn |tn , H(J , t) = dim(J n /J n−1 )tn ,
n=0 n=0
1
H(A/J , t) = H(A, t) − H(J , t) = − H(J , t).
(1 − t)k
The desired generalization can be expressed as follows [9]:
H(Y , t) − 1 = (kt − 1)H(A/J , t).
By A = KX , where X = {xi | i ∈ N} , wedenote a free associative algebra of countable rank. In
∞
what follows, we use the equation CX (A, z) = n=0 z n = (1 − z)−1 without special comments. Let us
prove the “exponential Schreier formula” for the complexity functions.
Theorem 2.1. Let A = KX , where X = {xi | i ∈ N} . An arbitrary X -uniform left (or right)
ideal J is a free A -module A J = y∈Y Ay , where the set Y can be chosen X -uniform, and

C(Y , z) − 1 = (z − 1)C(A/J , z).

Proof. As is known, any one-sided ideal J of A is free [9]. Recall the construction of a free gen-
erating set Y . Assume that the components Yi , i < n , have already been constructed. Then, for the
component Yn , we take a basis of a complement of the vector subspace,

J n = (AY n−1 ∩ J n ) ⊕ Yn K , Y n−1 = Yi . (1)
i<n

According to the “weak algorithm” [9], Y = i≥0 Yi is a free generating set for the module A J .
Let us show by induction that one can construct Y to be X -uniform. Let Y n−1 be uniform; since the
module AY n−1 is free, it follows from Lemma 1.1 that this module is also uniform. It remains to note
that the basis of the complement in (1) can also be chosen uniform.

Let us complete J to a uniform basis of the entire algebra A = y∈Y Ay ⊕ bi | i ∈ IK and, applying
Lemma 1.1, calculate the complexity function
C(A, z) = C(A, z)C(Y , z) + C(I , z), C(Y , z) = 1 + (z − 1)C(A/J , z),
as was to be proved.

753
 Lemma 2.1. Let I and J be T -ideals in A = KX , where X = {xi | i ∈ N} . Write C1 (z) =
C(A/I , z) and C2 (z) = C(A/J , z) . Then

C(A/IJ , z) = C1 (z) + C2 (z) + (z − 1)C1 (z)C2 (z). (2)


Proof. By Theorem 2.1, the ideal A J has an X -uniform free generating set AJ = y∈Y Ay such
that
C(Y , z) = 1 + (z − 1)C(A/J , z) = 1 + (z − 1)C2 (z).

Hence, I · J = y∈Y Iy ; let us calculate the corresponding complexity functions,

C(IJ , z) = C(I , z) · C(Y , z),


1 1 1 1

C(A/IJ , z) = − C(IJ , z) = − C(I , z)C(Y , z) = − − C1 (z) 1 + (z − 1)C2 (z)
1−z 1−z 1−z 1−z
= C1 (z) + C2 (z) + (z − 1)C1 (z)C2 (z).

Corollary 2.1. Let Ii , i = 1, . . . , c , be T -ideals in A = KX , and let Ci = Ci (z) = C(A/Ii , z) .

Then the following relation holds:

 
C A/(I1 · · · Ic ), z = C1 + · · · + Cc + · · · + (z − 1)j−1 Ci1 · · · Cij + · · · + (z − 1)c−1 C1 · · · Cc
i1 <···<ij

(1 + (z − 1)C1 ) · · · (1 + (z − 1)Cc ) − 1
= .
z−1

Proof. The proof is derived from the previous lemma by induction.

By Nc we denote the variety of all nilpotent algebras of degree c , i.e., the family of all algebras B such
that B c = 0 . If U and V are varieties, then UV stands for their product.
Corollary 2.2. Let M be a variety of associative algebras with complexity function f (z) = C(M , z) .
Then
(1 + (z − 1)f (z))c − 1
C(Nc M , z) = .
z−1

Proof. Let us consider the T -ideal I = T (M ) ⊂ KX . Then T (Nc M ) = I c , and the desired relation
follows from Corollary 2.1.

Corollary 2.3. Let I and J be T -ideals in A = KX , where X = {xi | i ∈ N} , that define
varieties A and B , respectively, and let an = cn (A) and bn = cn (B) , n = 0, 1, 2, . . . . Then the
following assertions hold:

n − 1
n−1 n

n
1) cn (A/IJ) = an + bn + n ai bn−1−i − ai bn−i ,
i=0
i i=0
i
2) if an ≈ λna αn and bn ≈ µnb β n and if λ , µ , a , b , α , β ∈ R , then

αa β b
cn (A/IJ) ≈ λµ na+b+1 (α + β)n ,
(α + β)a+b+1

3) the estimate Exp(A/IJ) ≤ Exp A + Exp B holds,

4) if Exp A = Exp A and Exp B = Exp B , then

Exp(A/IJ) = Exp (A/IJ) = Exp A + Exp B.

754
 Proof. 1) We can multiply the generating functions (2) and equate the coefficients on both sides of
the relation.
2) Let us consider an auxiliary sequence

n

n
dn = ai bn−i , n = 0, 1, 2, . . . .
i=0
i

As is known [11, 6], the following asymptotics hold under the above conditions:

αa β b
dn ≈ λµ na+b (α + β)n .
(α + β)a+b

Then cn (A/IJ) = an + bn + ndn−1 − dn , n ∈ N , and easy manipulations give the desired result.
3) The growth of the complexity function C(A/IJ , z) is determined by the last summand in (2). Using
Corollary 1.1, we obtain

ln C(A/IJ , r) ln((r − 1)C(A, r)C(B, r))

Exp(A/IJ) = lim = lim ≤ Exp A + Exp B.
r→∞ r r→∞ r

4) The desired relation can be derived by simple arguments from 1); see, for instance, [11, 6].

Remark 1. If the characteristic is equal to zero, then the assertion of Corollary 2.3 is known [11, 6],
and the proof is based on an explicit formula for the character χn (A/IJ) .
Remark 2. Relation (2) is an analog of the following well-known formula [12]. Let I and J be T -ideals
of a finitely generated free associative algebra A = Kx1 , . . . , xk  . Then the Hilbert–Poincaré series satisfy
the equation
H(A/IJ , t) = H(A/I , t) + H(A/J , t) + (kt − 1)H(A/I , t)H(A/J , t). (3)

3. Generating functions for the algebra of upper triangular matrices

Theorem 3.1. Let Uc be the variety of associative algebras generated by the algebra of upper triangular
matrices of size c × c . Then the complexity function of this variety is equal to

(1 + (z − 1) exp z)c − 1
C(Uc , z) = .
z−1

Proof. Over a field of characteristic zero, the variety Uc is defined by a single identity of the form [13]

[X1 , X2 ] · [X3 , X4 ] · · · [X2c−1 , X2c ] ≡ 0.

c
Over an arbitrary field K , we have the relation T (Uc ) = T (K) , where T (K) is the ideal of identities
of the variety var K . In the case of infinite field, this ideal is generated by the identity [X , Y ] ≡ 0 ; for
|K| = q , the identity X q − X ≡ 0 is added [14]. In nany case, Pn (K) = x1 x2 · · · xn K and cn (K) = 1
for n = 0, 1, 2, . . . , and hence C(var K , z) = ∞
n=0 z /n! = exp(z) . It remains to apply Corollary 2.2 to
Uc = Nc var K .

In the space of polynomials, instead of the basis ni , i = 0, 1, 2, . . . , we consider the following basis
(n)i , i = 0, 1, 2, . . . :

(n)0 = 1, (n)i = n(n − 1) · · · (n − i + 1), i = 1, 2, . . . .

The functions of the form f (n) = λn na , where λ, a ∈ R and n = 0, 1, 2, . . . , and the linear combinations
of such functions are referred to as quasi-polynomials.

755
 Corollary 3.1. The codimension growth function for the algebra of upper triangular matrices is the
quasi-polynomial of the form
c s−1



n c s − 1 −i
cn (Uc ) = s λsi (n)i , n = 0, 1, 2, . . . , where λsi = s (−1)s−i−1 .
s=1 i=0
s i

Proof. Let us represent the complexity function in the form

c

c
C(Uc , z) = (z − 1)s−1 exp(sz) (4)
s=1
s

and expand the summands as follows:

s−1

  ∞
s−1 z n sn
(z − 1)s−1 exp(sz) = z i (−1)s−1−i = (n + i = m)
i=0
i n=0
n!
∞ min{m,s−1}


 zm 
s−1 m!
= (−1)s−1−i sm−i
m=0
m!
i=0
i (m − i)!
∞
s−1
 
zm m  s − 1 s−1−i −i
= s (−1) s · (m)i .
m=0
m! i=0
i

Substituting this expression into (4), we obtain

∞
c s−1

 
zm  m  c s − 1 s−1−i −i
C(Uc , z) = s (−1) s · (m)i .
m=0
m! s=1 i=0
s i

Here we used the relations (m)i = 0 for i ≥ m + 1 . The bracketed coefficients are precisely the desired
values cm (Uc ) .



We also consider the ordinary generating function for the sequence of codimensions, H cn (V), t =
∞ n
n=0 cn (V)t .


Corollary 3.2. The ordinary generating function H cn (Uc ), t is rational, and it is equal to
c 
s−1

  tk
H cn (Uc ), t = µsk ,
s=1 k=0
(1 − st)k+1

where the coefficients are given by the formula


c
µsk = (s − 1)k (−1)s−1−k .
s

Proof. Let ∞
 an n
E(z) = z
n=0
n!

be an entire function of exponential
∞ type and let σ = limn→∞ n |an | . We also consider the ordinary
generating function H(t) = n=0 an tn for the sequence an , n = 0, 1, 2, . . . . The radius of convergence
for the function H(t) is |t| < 1/σ . The following formal transformation is valid [15]:
 ∞  ∞ ∞

 −x −x an n n
B E(z) (t) = e E(tx) dx = e t x dx
0 0 n=0
n!
∞  ∞
an n ∞ −x n 1
= t e x dx = an tn = H(t), |t| < .
n=0
n! 0 n=0
σ

756
The validity of the transformations can be verified similarly to [16, Sec. 519]. For the function Eks (z) =
z k exp(sz) we obtain
 ∞  ∞

 −x k stx k
B Eks (z) (t) = e
(tx) e dx = t xk e−x(1−st) dx
0 0
 ∞
tk k −y tk k! 1
= y e dy = , |t| < .
(1 − st)k+1 0 (1 − st)k+1 s

Applying (4), we obtain

c
 s−1
  s−1


c  
c s−1 k s−1−k c s−1
C(Uc , z) = z (−1) exp(sz) = (−1)s−1−k Eks (z),
s=1
s k s=1 k=0
s k
k=0
c s−1



 c s−1 t k
B C(Uc , z) (t) = k!(−1)s−1−k ,
s=1
s k (1 − st)k+1
k=0

which gives the desired formula.


In [17] it is proved that the Hilbert–Poincaré series H F (V, k), t of a free algebra of finite rank is
rational for any subvariety V ⊂ Uc if the field is infinite. For Uc , we can give the following exact formula.

 ∞ n
Lemma 3.1. Let H F (Uc , k), t = n=0 an t be the Hilbert–Poincaré series of a free algebra of
rank k over an infinite field. Then the following assertions hold:

c 

 1 kt − 1 (k − 1)c−1
1) H F (Uc , k), t = 1+ − 1 ≈ , t → 1 − 0,
kt − 1 (1 − t)k (1 − t)kc
2) the function an is a polynomial, and an ≈ (k − 1)c−1 nkc−1 /(kc − 1)! .

c
Proof. In this case, T (Uc ) = T (K) and H(A/I , t) = (1 − t)−k , where A = Kx1 , . . . , xk  and
I = T (K) . We further apply (3) to I c and prove the desired formula by induction. The other assertion
follows from the properties of rational functions.

Remark 3. The analogy with Theorem 3.1 is obvious. In contrast with the paper [17], here we find
an exact formula for the series for Uc and prove that an is a polynomial.

4. Proper identities
The following assertions on proper identities are known in the case of characteristic zero [18–20], al-
though the use of both the characters and the characteristic zero is excessive. Let us show that, in terms
of complexity functions and characteristics of their growth, the following facts become transparent.
In a free algebra of countable rank F (V, X) of an associative variety V , we consider the subspace
spanned by the products of the commutators and by the identity element. Let Pnp (V) be the intersection
of this subspace with the space of multilinear elements Pn ({x1 , . . . , xn }, V) . The growth function of
proper identities, the corresponding complexity function, and the exponential functions arise,

∞
cpn (V) n
cpn (V) = dim Pnp (V), n = 0, 1, 2, . . . , C p (V, z) = z ,
n=0
n!
 
Expp V = lim n
cpn (V), Exp p V = lim n cpn (V).
n→∞ n→∞

In a free algebra of finite rank F (V, k) we also consider the subspace F p (V, k) spanned by the products
of commutators and by the identity element. The corresponding function Hkp (V, t) arises.

757
 Lemma 4.1 [18]. Let V = var M , where M is an associative algebra with identity element. Then
1) C(V, z) = exp(z)C p (V, z) ,
2) Hk (V, t) = (1/(1 − t)k )Hkp (V, t) if the variety V is polyhomogeneous (in particular, if the field
is infinite).
Proof. Let an algebra F (V, k) be generated by the elements x1 , . . . , xk . Using the transformations
axi xj b = axj xi b + a[xi xj ]b , we transfer separate letters to the beginning of the monomials in an ordered
way and preserve the commutators on the right,

xi1 · · · xis · · · [xj1 , . . . ] · · · [xjm , . . . ], xi1 ≤ · · · ≤ xis .

Let us consider the linear mapping

ϕ : K[x1 , . . . , xk ] ⊗ F p (V, k) → F (V, k)

given by the formula

mk mk
ϕ(xm m1
1 · · · xk ⊗ w) = x1 · · · xk w,
1
w ∈ F p (V, k).

We claim that ϕ is a vector space isomorphism

F (V, k) ∼
= K[x1 , . . . , xk ] ⊗ F p (V, k). (5)

By assumption, we canconsider a homogeneous basis {wj | j ∈ J} for F p (V, k) and suppose that
α1 αk
there is a dependence α,j µα,j x1 · · · xk wj = 0 , where µα,j ∈ K . Let ws be an element of minimal
degree that enters the sum with a nonzero coefficient. Under the substitution xi = xi + 1 , i = 1, . . . , k ,
the elements wj are preserved because they are  composed of commutators. Considering a homogeneous
component of degree m = deg ws , we see that α,i µα,i wi = 0 , where deg wi = m , which contradicts
the choice of wj as a basis for F p (V, k) .
Let P (B) be the linear span of all multilinear components of the degrees n = 0, 1, 2, . . . in B . We
can similarly prove that, for a free algebra of countable rank, an isomorphism of multilinear components
holds,



P F (X , V) ∼ = P K[X] ⊗ F p (X , V) , X = {xi | i ∈ N}. (6)

Now the desired relations follow from (5) and (6), from the properties of ordinary and exponential
generating functions (Lemma 1.1), and from the relations

H(K[x1 , . . . , xk ], t) = (1 − t)−k , C(K[X], z) = exp(z)

where X = {xi | i ∈ N} .

Corollary 4.1 [20]. Let V = var M , where M is an associative algebra with identity element. Then
Exp(V) = Expp (V) + 1 .
Proof. By Corollary 1.1 and by its analog for Expp (V) , we obtain

ln C(V, r) ln(exp(r)C p (V, r))

Exp V = lim = lim = Expp (V) + 1.

r→∞ r r→∞ r

This research was financially supported in part by the Russian Foundation for Basic Research under
grant No. 98-01-01-20, by the Program “Universities of Russia” under grant No. 1357, and by a grant of
the Ministry of Education of Russia.

758
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Ulyanovsk State University

E-mail: vmp@mmf.univ.simbirsk.su

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