Journal of Algebra 376 (2013) 123–138

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Journal of Algebra
www.elsevier.com/locate/jalgebra

Diagonalization of matrices over rings

Dan Laksov
Department of Mathematics, KTH, S-100 44 Stockholm, Sweden

a r t i c l e i n f o a b s t r a c t

Article history: We propose a method for diagonalizing matrices with entries

Received 3 September 2012 in commutative rings. The point of departure is to split the
Available online 6 December 2012 characteristic polynomial of the matrix over a (universal) splitting
Communicated by Luchezar L. Avramov
algebra, and to use the resulting universal roots to construct
MSC:
eigenvectors of the matrix. A crucial point is to determine when
13B25 the determinant of the eigenvector matrix, that is the matrix
13B05 whose columns are the eigenvectors, is regular in the splitting
13B30 algebra. We show that this holds when the matrix is generic, that
15A09 is, the entries are algebraically independent over the base ring.
15A15 It would have been desirable to have an explicit formula for the
15A54 determinant in the generic case. However, we have to settle for
13M10
such a formula in a special case that is general enough for proving
14M12
regularity in the general case. We illustrate the uses of our results
by proving the Spectral Mapping Theorem, and by generalizing a
Keywords:
Matrices
fundamental result from classical invariant theory.
Determinant © 2012 Elsevier Inc. All rights reserved.
Diagonalization
Eigenvector
Eigenvalue
Symmetric function
Splitting algebra
Universal root
Regularity
Spectral mapping

Introduction

Diagonalization of matrices is one of the most useful, and used, techniques in mathematics. As a
consequence every serious textbook in linear algebra contains a thorough treatment of eigenvalues
and eigenvectors of linear maps. Diagonalization is typically discussed for real or complex matrices.

E-mail address: laksov@math.kth.se.

0021-8693/$ – see front matter © 2012 Elsevier Inc. All rights reserved.
http://dx.doi.org/10.1016/j.jalgebra.2012.10.029
124 D. Laksov / Journal of Algebra 376 (2013) 123–138

However, a surprisingly large part of linear algebra can be performed over arbitrary commutative rings
(see [M]). It is therefore natural to ask how the theory can be extended from the real or complex case
to arbitrary commutative rings. The purpose of this article is to give an answer to this question in the
sense that we propose a method for diagonalization of matrices with entries in commutative rings.
Our point of departure is the result that every monic polynomial in one variable with coefficients
in a commutative ring can be split into linear factors over a (universal) splitting algebra, each factor
corresponding to a universal root of the polynomial. In particular we can split the characteristic poly-
nomial of a matrix with entries in a commutative ring into linear factors, and consider the universal
roots as formal eigenvalues. To each formal eigenvalue we associate a canonical formal eigenvector,
and thus obtain an eigenvector matrix whose columns are the formal eigenvectors.
In this setting a reasonable condition for a given matrix with entries in a commutative ring to
be diagonalizable is that the determinant of the corresponding eigenvector matrix is regular in the
splitting algebra. We prove that this condition is fulfilled for a generic matrix, that is, a matrix whose
entries are algebraically independent over the base ring. It follows in particular, that most matrices
with entries in a given commutative ring are diagonalizable.
In order to prove that the determinant of the eigenvector matrix of a generic matrix is regular in
the corresponding splitting algebra, it would be extremely convenient to have an explicit expression
for this determinant. Unfortunately we have not been able to determine such a formula. Instead we
have to resort to a special case where we can give an explicit formula, and that is sufficiently general
to prove regularity of the determinant in the generic case.
We give two examples illustrating how our results can be used. One is the Spectral Mapping
Theorem (for different proofs see [EL1] and [LST]). The other is a generalization of a fundamental
result from classical invariant theory, and states that a polynomial in the entries of a generic matrix
that is invariant under the general linear group can be expressed as a polynomial in the coefficients
of the characteristic polynomial of the generic matrix.

1. Matrices with entries in rings

In this section we introduce some notation, and recall some of the results from linear algebra over
rings that we shall use.

1.1. Notation. We denote by A a commutative ring with unity and by M = (a pq ) an n × n matrix with
entries in A. For an ordered collection of elements a1 , . . . , an in A we denote the corresponding diagonal
matrix by diag(a1 , . . . , an ). The identity matrix we denote by I n = (δ pq ) = diag(1, 1, . . . , 1), where δ pq ,
as usual, is 1 when p = q and 0 otherwise.
The element in A that we obtain by taking the determinant of the (n − 1) × (n − 1) matrix gotten
by deleting row q and column p in M we denote by (−1) p +q acpq , and the n × n matrix with entries
acpq we denote by

⎛ ⎞
ac11 . . . ac1n
  ⎜ . ⎟
M c = acpq = ⎝ ... ..
. .. ⎠ .
c c
an1 . . . ann

The matrix M c is called the cofactor matrix, or the adjoint matrix of M and satisfies the relations

M M c = det( M ) I n = M c M . (1.1.1)

An element a in A is called regular if it is neither 0 nor a zero divisor. For a regular element t in A
we write A [ 1t ] for the localization of A in the multiplicative system {1, t , t 2 , . . .}. We will consider A
as the subset of A [ 1t ] consisting of the elements a
1
.
 D. Laksov / Journal of Algebra 376 (2013) 123–138 125

When det( M ) is regular in A then M c is the only n × n matrix such that M M c = det( M ) I n = M c M,
and the matrix M has the inverse

1
M −1 = Mc
det( M )

with coefficients in the ring A [ det1( M ) ]. We say that M is invertible in A [ det1( M ) ].

2. Diagonalization of matrices

We introduce some more notation and give the basic result on diagonalization of matrices over
rings.

2.1. Notation. As always A is a commutative ring with unity. An A algebra B is a homomorphism

A → B of commutative rings.
For each A algebra B we denote by B [ T ] the algebra of polynomials in the variable T with coeffi-
cients in B. We say that a polynomial

p ( T ) = T n − p 1 T n−1 + · · · + (−1)n pn

in A [ T ] splits completely over the algebra ϕ : A → B if

(ϕ p )( T ) = T n − ϕ ( p 1 ) T n−1 + · · · + (−1)n ϕ ( pn ) = ( T − ρ1 ) · · · ( T − ρn )

with ρ1 , . . . , ρn in B. When it can cause no confusion we simply write

p ( T ) = T n − p 1 T n−1 + · · · + (−1)n pn = ( T − ρ1 ) · · · ( T − ρn )

for the splitting over B.

An n × n matrix M = (ai j ) with entries in A we say is diagonizable over an A algebra ϕ : A → B, if
there exists an invertible n × n matrix N with coefficients in B such that

 
N −1 ϕ ( M ) N = N −1 ϕ (ai j ) N

is diagonal. Again, when it can cause no confusion, we simply write

 
N −1 M N = N −1 ϕ (ai j ) N

as matrices with entries in B.

We write

⎛a −T ⎞ ⎛ a( T ) ⎞
11 ... a1n 11 . . . a( T )1n
.. . ⎠ = ⎝ .. .. ⎠
M (T ) = M − T In = ⎝ .
..
. .. .
..
. . .
an1 . . . ann − T a( T )n1 . . . a( T )nn

The polynomial

 
p M ( T ) = (−1)n det M ( T )
126 D. Laksov / Journal of Algebra 376 (2013) 123–138

in the ring A [ T ] of polynomials in T with coefficients in A is the characteristic polynomial of M. We

denote the cofactor matrix of M ( T ) by

⎛ ⎞
a( T )c11 . . . a( T )c1n
⎜ .. .. .. ⎟ .
M ( T )c = ⎝ . . . ⎠
c c
a( T )n1 . . . a( T )nn

From Eqs. (1.1.1) we obtain

⎛a ⎛ c ⎞ ⎞ ⎛ a( T )c ⎞ ⎛ ⎞
11 . . . a1n ⎞ a( T )1q ⎛ a( T )
11 . . . a( T )1n 1q a( T )c1q
⎝ .. . ⎜ . ⎟ . .. ⎠ ⎜ . ⎟ + T ⎜ . ⎟
. .. ⎠ ⎝ .. ⎠ = ⎝ ..
.. ..
. . . ⎝ .. ⎠ ⎝ .. ⎠
an1 . . . ann c a ( T ) . . . a ( T ) c c
a( T )nq n1 nn a( T )nq a( T )nq
⎛ ⎞ ⎛ c ⎞
δ1q a( T )1q
 ⎜ . ⎟ ⎜ . ⎟
= det M ( T ) ⎝ .. ⎠ + T ⎝ .. ⎠ . (2.1.1)
δnq c
a( T )nq

2.2. Theorem. Assume that the characteristic polynomial of M splits completely as

p M ( T ) = ( T − ρ1 ) · · · ( T − ρn )

over an A algebra B, and write

⎛ ⎞
a(ρ1 )c11 . . . a(ρn )c1n
⎜ .. .. .. ⎟
M ( T )c (ρ1 , . . . , ρn ) = ⎝ . . . ⎠.
c c
a(ρ1 )n1 . . . a(ρn )nn

Then

M M ( T )c (ρ1 , . . . , ρn ) = M ( T )c (ρ1 , . . . , ρn ) diag(ρ1 , . . . , ρn ).

In particular, if d = det( M ( T )c (ρ1 , . . . , ρn )) is regular in B, then the matrix M is diagonalizable over B [ d1 ]

and

 − 1
M ( T )c (ρ1 , . . . , ρn ) M M ( T )c (ρ1 , . . . , ρn ) = diag(ρ1 , . . . , ρn ).

Proof. The first assertion of the theorem follows from Eqs. (2.1.1) by substituting T = ρq in column q
for q = 1, . . . , n. Then the second assertion follows from the observations of Notation 1.1. 2

2.3. Remark. The first assertion of the theorem asserts that the qth column of M ( T )c (ρ1 , . . . , ρn ) is
an eigenvector of M corresponding to the eigenvalue ρq . We shall say that M ( T )c (ρ1 , . . . , ρn ) is the
eigenvector matrix corresponding to the splitting p ( T ) = ( T − ρ1 ) · · · ( T − ρn ), or simply corresponding
to the roots ρ1 , . . . , ρn .

 a11 a12   a11 −T a12 

2.4. Example. When M = a21 a22
we have M ( T ) = a21 a22 − T
and

p M ( T ) = T 2 − (a11 + a22 ) T + a11 a22 − a12 a21 .

 D. Laksov / Journal of Algebra 376 (2013) 123–138 127

 a22 −T−a12 
We obtain M ( T )c = −a21 a11 − T
and, if p M ( T ) splits as

p M ( T ) = ( T − ρ1 )( T − ρ2 )

over an A algebra B, we have

a22 − ρ1 −a12
M ( T )c (ρ1 , ρ2 ) = .
−a21 a11 − ρ2

Using the relations ρ1 + ρ2 = a11 + a22 and ρ1 ρ2 = a11a22 − a12 a21 a calculation shows that
   
det M ( T )c (ρ1 , ρ2 ) det M ( T )c (ρ2 , ρ1 ) = −a12 a21 (ρ1 − ρ2 )(ρ2 − ρ1 ),

and that

(ρ1 − ρ2 )2 = (a11 − a22 )2 + 4a12a21 .

In most cases we have

   
det M ( T )c (ρ1 , ρ2 ) = det M ( T )c (ρ2 , ρ1 ) .

This is because equality means that

(a22 − ρ1 )(a11 − ρ2 ) − a12a21 = (a22 − ρ2 )(a11 − ρ1 ) − a12a21 ,

that is, a11 ρ1 + a22 ρ2 = a22 ρ1 + a11 ρ2 , or ρ1 (a11 − a22 ) = ρ2 (a11 − a22 ), and the latter equation does
not hold when a11 − a22 is regular and ρ1 = ρ2 in B.

2.5. Example. When M is diagonal, M = diag(a1 , . . . , an ), we have

M ( T )c = diag (ai − T ), . . . , (ai − T ) ,

i =1 i =n

and if p M ( T ) splits completely as p M ( T ) = ( T − ρ1 ) · · · ( T − ρn ) in some A algebra B we obtain

M ( T )c (ρ1 , . . . , ρn ) = diag (ai − ρ1 ), . . . , (ai − ρn ) ,

i =1 i =n

and thus
 
det M ( T )c (ρ1 , . . . , ρn ) = (ai − ρ j ).
i = j

If we choose ρi = ai for i = 1, . . . , n we obtain

 
det M ( T )c (ρ1 , . . . , ρn ) = (ρi − ρ j ),
i = j

whereas det( M ( T )c (ρ2 , ρ1 , ρ3 , . . . , ρn )) = 0. Thus, when we choose the roots, the result depends on
the order of the roots.
128 D. Laksov / Journal of Algebra 376 (2013) 123–138

It follows from Theorem 2.2 that in order to diagonalize a matrix it is desirable to decide when
det( M ( T )c (ρ1 , . . . , ρn )) is regular in the A algebra B. To this end it would be convenient to have an
explicit expression for this determinant in the generic case. Unfortunately we have not been able to
obtain such a formula. However, in the following example, we obtain an explicit expression in a case
that is sufficiently general that we can conclude that the determinant is regular in the generic case.

2.6. Example. Let a, a1 , . . . , an be elements in the ring A and let b i = ai − T in the algebra A [ T ] of
polynomials in the variable T with coefficients in A. Write

⎛ ⎞ ⎛ ⎞
a1 0 0 ... 0 0 a b1 0 0 ... 0 0 a
⎜1 a2 0 ... 0 0 0 ⎟ ⎜1 b2 0 ... 0 0 0 ⎟
⎜ ⎟ ⎜ ⎟
⎜0 1 a3 ... 0 0 0 ⎟ ⎜0 1 b3 ... 0 0 0 ⎟
⎜ ⎟ ⎜ ⎟
M= ⎜
⎜
0 0 1 ... 0 0 0 ⎟ , and thus M ( T ) = ⎜ 0 0 1 ... 0 0 0 ⎟.
⎜ .. .. .. .. .. .. .. ⎟
⎟
⎜ .
⎜ . .. .. .. .. .. .. ⎟
⎟
⎜ . . . . . . . ⎟ ⎜ . . . . . . . ⎟
⎝ 0 0 0 . . . 1 an−1 0⎠ ⎝0 0 0 . . . 1 b n −1 0 ⎠
0 0 0 ... 0 1 an 0 0 0 ... 0 1 bn

By Laplace expansion of the determinant of M according to the last column we see that

 
det M ( T ) = (a1 − T ) · · · (an − T ) + (−1)n+1 a, and thus

p M ( T ) = ( T − a1 ) · · · ( T − an ) − a. (2.6.1)

Write
⎛ ⎞
b 2 · · · bn (−1)n+1 a . . . ab2 · · · bn−2 −ab2 · · · bn−1
⎜ −b3 · · · bn b 1 b 3 · · · bn . . . −ab3 . . . bn−2 ab3 · · · bn−1 ⎟
⎜ ⎟
⎜ b 4 · · · bn −b1 b4 · · · bn . . . ab4 · · · bn−2 −ab4 · · · bn−1 ⎟
⎜ ⎟
N =⎜ ⎟.
.. .. .. .. ..
⎜ . . . . . ⎟
⎜ ⎟
⎜ (−1)n−1 bn−1 bn (−1)n−2 b1 bn−1 bn ··· (−1)n+1 a (−1)n abn−1 ⎟
⎝ ⎠
(−1)n bn (−1)n−1 b1 bn . . . b 1 · · · b n −2 b n (−1)n+1 a
(−1)n+1 (−1)n b1 . . . −b1 · · · bn−2 b 1 · · · b n −1

A calculation gives

 
M ( T ) N = det M ( T ) I n .

Since det( M ( T )) is regular in A [ T ] we obtain, as noted in Notation 1.1

M ( T )c = N .

We now assume that p M ( T ) splits completely in an A algebra B as

p M ( T ) = ( T − ρ1 ) · · · ( T − ρn ). (2.6.2)

When we substitute in M ( T )c the root ρq for T in column q for q = 1, . . . , n, and note that by (2.6.1)
a = (−1)n (a1 − ρq ) · · · (an − ρq ), we see that we can extract the term

(−1)q+1 (a1 − ρq ) · · · (aq−1 − ρq )

 D. Laksov / Journal of Algebra 376 (2013) 123–138 129

from the determinant of M ( T )c (ρ1 , . . . , ρn ) for q = 2, . . . , n. Thus we find that the determinant
det( M ( T )c (ρ1 , . . . , ρn )) is the element

n n n
n(n−1)
(−1) 2 (a1 − ρi ) (a2 − ρi ) · · · (an−1 − ρi )
i =2 i =3 i =n

times the determinant of the matrix

⎛ b (ρ ) · · · b (ρ ) b2 (ρ2 ) · · · bn (ρ2 ) . . . b2 (ρn−1 ) · · · bn (ρn−1 ) b2 (ρn ) · · · bn (ρn )

⎞
2 1 n 1
⎜ −b3 (ρ1 ) · · · bn (ρ1 ) −b3 (ρ2 ) · · · bn (ρ2 ) . . . −b3 (ρn−1 ) . . . bn (ρn−1 ) −b3 (ρn ) · · · bn (ρn ) ⎟
⎜ ⎟
⎜ .. .. .. .. .. ⎟.
⎜ . . . . . ⎟
⎝ ⎠
(−1)n bn (ρ1 ) (−1)n bn (ρ2 ) ... (−1)n bn (ρn−1 ) (−1)n bn (ρn )
(−1)n+1 (−1)n+1 ... (−1) n +1
(−1) n +1

The latter determinant is equal to the determinant of the matrix

⎛ (ρ − a ) · · · (ρ − a ) (ρ − a ) · · · (ρ − a ) · · · (ρn − a2 ) · · · (ρn − an ) ⎞
1 2 1 n 2 2 2 n
⎜ (ρ1 − a3 ) · · · (ρ1 − an ) (ρ2 − a3 ) · · · (ρ2 − an ) . . . (ρn − a3 ) · · · (ρn − an ) ⎟
⎜ ⎟
⎜ .. .. .. .. ⎟ . (2.6.3)
⎜ . . . . ⎟
⎝ ⎠
ρ1 − an ρ2 − an ... ρn − an
1 1 ... 1

Let c j (ai , . . . , an ) for i = 1, . . . , n and j = 1, . . . , n − i + 1 be elements of A such that

(ρ j − ai ) · · · (ρ j − an ) = ρ nj −i +1 − c 1 (ai , . . . , an )ρ nj −i + · · · + (−1)n−i +1 cn−i +1 (ai , . . . , an ).

Then the matrix (2.6.3) can be written as a product

⎛ ⎞⎛ ⎞
1 −c 1 (a2 , . . . , an ) c 2 (a2 , . . . , an ) . . . (−1)n−1 cn−1 (a2 , . . . , an ) ρ1n−1 ρ2n−1 . . . ρnn−1
⎜0 1 c 1 (a3 , . . . , an ) . . . (−1)n−2
cn−2 (a3 , . . . , an ) ⎟ ⎜ ρ1n−2 ρ2n−2 . . . ρnn−2 ⎟
⎟ ⎜
⎜ ⎟.
⎝ .. .. .. .. .. ⎠⎝ . .. . .. ⎠
. . . . . .
. . . . .
0 0 0 ... 1 1 1 ... 1

The determinant of the last of the latter matrices is the Vandermonde determinant which is equal to
i < j (ρi − ρ j ). We have thus shown that

n n
  n(n−1)
det M ( T )c (ρ1 , . . . , ρn ) = (−1) 2 (a j −1 − ρi ) (ρi − ρ j ).
j =2 i = j i< j

When we take the product over all permutations Sn of ρ1 , . . . , ρn we get

 
det M ( T )c (ρσ (1) , . . . , ρσ (n) )
σ ∈Sn
n n n
n!
= (a1 − ρi )(n−1)!(n−1) (a2 − ρi )(n−1)!(n−2) · · · (an−1 − ρi )(n−1)! (ρi − ρ j ) 2 .
i =1 i =1 i =1 i = j
130 D. Laksov / Journal of Algebra 376 (2013) 123–138

From the equalities (2.6.1) and (2.6.2) we get

(ρ1 − T ) · · · (ρn − T ) = (a1 − T ) · · · (an − T ) + (−1)n+1 a,

and we obtain

(a j − ρ1 ) · · · (a j − ρn ) = (a j − a1 ) · · · (a j − an ) − a = −a

for j = 1, . . . , n. Hence we have

n!
  2
det M ( T )c (ρσ (1) , . . . , ρσ (n) ) = (−a)n−1 (ρi − ρ j ) . (2.6.4)
σ ∈Sn i = j

3. Splitting algebras

In order to diagonalize a matrix we have assumed that the characteristic polynomial of the matrix
splits into linear factors over an algebra. Fortunately, associated with every polynomial is a universal
splitting algebra over which the polynomial splits into linear factors. In this section we recall the
definition of these algebras and their main properties; see [Ba,Bo,EL2,L,LT1,LT2,LT3,PZ,T].

3.1. Notation. We denote the algebra of polynomials in the independent variables T 1 , . . . , T n over A by
A [ T 1 , . . . , T n ]. The elementary symmetric functions c i ( T 1 , . . . , T n ) in the variables T 1 , . . . , T n are defined
by

T n − c 1 ( T 1 , . . . , T n ) T n−1 + · · · + (−1)n cn ( T 1 , . . . , T n ) = ( T − T 1 ) · · · ( T − T n ).

3.2. An alternative form of the Main Theorem of Symmetric Functions

If p ( T ) is a polynomial with coefficients in A that splits over an A algebra ϕ : A → B as

(ϕ p )( T ) = T n − ϕ ( p 1 ) T n−1 + · · · + (−1)n ϕ ( pn ) = ( T − ρ1 ) · · · ( T − ρn ),

and f ( T 1 , . . . , T n ) is a polynomial that is symmetric in the variables T 1 , , . . . , T n , then

 
f (ρ1 , . . . , ρn ) ∈ A ϕ ( p 1 ), . . . , ϕ ( pn ) ⊆ B .

The alternative version follows from the Main Theorem of Symmetric Functions because the latter
asserts that f ( T 1 , . . . , T n ) = g (c 1 ( T 1 , . . . , T n ), . . . , cn ( T 1 , . . . , T n )) for some polynomial g, and we have
ϕ ( p i ) = c i (ρ1 , . . . , ρn ) ∈ A for i = 1, . . . , n.

3.3. Definition. A (universal) splitting algebra for a polynomial

p ( T ) = T n − p 1 T n−1 + · · · + (−1)n pn

with coefficients in A is an A algebra ν : A → Split A ( p ) with an ordered collection of elements ξ1 , . . . , ξn

such that:

(1) p splits completely over Split A ( p ), that is,

(ν p )( T ) = T n − ν ( p 1 ) T n−1 + · · · + (−1)n ν ( pn ) = ( T − ξ1 ) · · · ( T − ξn ),

and
 D. Laksov / Journal of Algebra 376 (2013) 123–138 131

(2) for every A algebra ϕ : A → B such that p ( T ) splits completely over B as

(ϕ p )( T ) = T n − ϕ ( p 1 ) T n−1 + · · · + (−1)n ϕ ( pn ) = ( T − ρ1 ) · · · ( T − ρn ),

with ρ1 , . . . , ρn in B, there is a unique homomorphism of A algebras

ψ : Split A ( p ) → B

such that ψ(ξi ) = ρi for i = 1, . . . , n.

We call the ordered set ξ1 , . . . , ξn the universal roots of p ( T ).

3.4. Properties

For each polynomial p ( T ) in A [ T ] a splitting algebra Split A ( p ) exists and is unique up to A algebra
isomorphisms. Moreover, the splitting algebras are generated by the universal roots ξ1 , . . . , ξn . We
write the corresponding splitting algebra as A [ξ1 , . . . , ξn ]. The splitting algebra A [ξ1 , . . . , ξn ] is free as
a module over A with basis

ξ1i 1 ξ2i 2 · · · ξnin with 0  i j  n − j for j = 1, . . . , n.

3.5. Action of the symmetric group

It follows from the definition of splitting algebras of a polynomial p ( T ) in A [ T ] that the symmetric
group Sn acts on the splitting algebra A [ξ1 , . . . , ξn ] as

(σ f )(ξ1 . . . , ξn ) = f (ξσ (1) , . . . , ξσ (n) )

for all f in A [ξ1 , . . . , ξn ], where ξ1 , . . . , ξn are the universal roots.

Since σ ∈Sn f ( T σ (1) , . . . , T σ (n) ) is symmetric in T 1 , . . . , T n it follows from the alternative form of
the Main Theorem of Symmetric Functions that the elements σ ∈Sn f (ξσ (1) , . . . , ξσ (n) ) lie in A. The
resulting map

N p : A [ξ1 , . . . , ξn ] → A (3.5.1)

is called the norm of the splitting algebra.

3.6. Example. Let X 1 , . . . , X n and Z 1 , . . . , Z n be two sets of algebraically independent elements over A,
and let A [ X 1 , . . . , X n ][ξ1 , . . . , ξn ] be a splitting algebra of the polynomial

p ( T ) = T n − X 1 T n−1 + · · · + (−1)n X n

over A [ X 1 , . . . , X n ] with universal roots ξ1 , . . . , ξn . Then the A algebra homomorphism

ϕ : A [ Z 1 , . . . , Z n ] → A [ X 1 , . . . , Xn ][ξ1 , . . . , ξn ]

defined by ϕ ( Z i ) = ξi for i = 1, . . . , n is an isomorphism.

We obtain the inverse homomorphism by noting that, since we have a splitting

T n − c 1 ( Z 1 , . . . , Z n ) T n−1 + · · · + (−1)n cn ( Z 1 , . . . , Z n ) = ( T − Z 1 ) · · · ( T − Z n ),
132 D. Laksov / Journal of Algebra 376 (2013) 123–138

it follows from the universal property of splitting algebras that the A algebra homomorphism
 
ψ : A [ X 1 , . . . , Xn ] → A c 1 ( Z 1 , . . . , Z n ), . . . , cn ( Z 1 , . . . , Z n )

given by ψ( X i ) = c i ( Z 1 , . . . , Z n ) for i = 1, . . . , n, has an extension

A [ X 1 , . . . , X n ][ξ1 , . . . , ξn ] → A [ Z 1 , . . . , Z n ]

that maps ξi to Z i for i = 1, . . . , n. This extension is the inverse of ϕ.

4. Generic matrices

We have shown how to diagonalize a matrix M with entries in A when we have a splitting
p M ( T ) = ( T − ρ1 ) · · · ( T − ρn ) of the characteristic polynomial over an A algebra B and the deter-
minant of the corresponding eigenvector matrix M ( T )c (ρ1 , . . . , ρn ) is regular in B. Moreover, we have
seen that all polynomials with coefficients in A have a universal splitting in a splitting algebra. It is
therefore important to show that for nearly all matrices M the determinant of M ( T )c (η1 , . . . , ηn ) is
regular in the splitting algebra A [η1 , . . . , ηn ] for p M ( T ), where η1 , . . . , ηn are the universal roots. To
this end we next treat the case of a generic matrix X and show that the corresponding eigenvec-
tor matrix X ( T )c (ξ1 , . . . , ξn ) has a determinant that is regular in the splitting algebra A [ξ1 , . . . , ξn ]
of p X ( T ) over A.

4.1. Notation. We denote by

⎛X X 1n
⎞
11 . . .
⎝ .. .. .. ⎠
X= . . .
X n1 . . . X nn

an n × n matrix whose n2 entries X i j are algebraically independent over A, and we denote the poly-
nomial ring over A in these variables by A [ X ]. Moreover we write
⎛ ⎞
X 11 0 0 ... 0 0 X 1n
⎜ 1 X 22 0 ... 0 0 0 ⎟
⎜ ⎟
⎜ 0 1 X 33 ... 0 0 0 ⎟
⎜ ⎟
Y =⎜
⎜
0 0 1 ... 0 0 0 ⎟,
⎜ .. .. .. .. .. .. .. ⎟
⎟
⎜ . . . . . . . ⎟
⎝ 0 0 0 . . . 1 Xn−1n−1 0 ⎠
0 0 0 ... 0 1 X nn

and let A [Y ] = A [ X 11 , . . . , X nn , X 1n ]. Then there is an algebra homomorphism

ϕ : A [ X ] → A [Y ]

that maps the entries of X to the corresponding entries of Y . If

p X ( T ) = T n − p 1 ( X ) T n−1 + · · · + (−1)n pn ( X ) and

n n −1 n
p Y ( T ) = T − p 1 (Y ) T + · · · + (−1) pn (Y )

are the characteristic polynomials of X and Y , we have

 
ϕ p i ( X ) = p i (Y ) for i = 1, . . . , n.
 D. Laksov / Journal of Algebra 376 (2013) 123–138 133

Consequently, when A [ X ][ξ1 , . . . , ξn ] and A [Y ][η1 , . . . , ηn ] are splitting algebras for p X ( T ) and p Y ( T )
with universal roots ξ1 , . . . , ξn and η1 , . . . , ηn , we obtain a homomorphism

ψ : A [ X ][ξ1 , . . . , ξn ] → A [Y ][η1 , . . . , ηn ]

determined by ψ(ξi ) = ηi for i = 1, . . . , n, and such that the diagram

ψ
A [ X ][ξ1 , . . . , ξn ] A [Y ][η1 , . . . , ηn ]

NpX N pY (4.1.1)

A[ X ] A [Y ]
ϕ

commutes, where N p X and N p Y are the norms defined in (3.5.1).

4.2. Lemma. The element η − η j ) is in A [Y ] and is regular there.

i = j ( i

Proof. To show regularity we recall that by (2.6.1) with M = Y we have

p Y ( T ) = T n − p 1 (Y ) T n−1 + · · · + (−1)n pn (Y ) = ( T − X 11 ) · · · ( T − X nn ) − X 1n .

Since X 11 , . . . , X nn are algebraically independent over A it follows from the Main Theorem of Sym-
metric Functions that c 1 ( X 11 , . . . , X nn ), . . . , cn ( X 11 , . . . , X nn ) are algebraically independent over A.
However, X 1n is algebraically independent of X 11 , . . . , X nn over A and hence even the coefficients

p 1 (Y ) = c 1 ( X 11 , . . . , X nn ), . . . , pn−1 (Y ) = cn−1 ( X 11 , . . . , X nn ),

pn (Y ) = cn ( X 11 , . . . , X nn ) + (−1)n+1 X 1n

are algebraically independent over A. It follows from Example 3.6 that we have an isomorphism

 
A [ Z 1 , . . . , Z n ] → A p 1 (Y ), . . . , pn (Y ) [η1 , . . . , ηn ]

from a polynomial ring A [ Z 1 , . . . , Z n ] in independent variables Z 1 , . . . , Z n over A, that maps Z i

to ηi , and thus maps c i ( Z 1 , . . . , Z n ) to p i (Y ) for i = 1, . . . , n. In particular it maps i = j ( Z i − Z j ) to
i = j (ηi − η j ). The element i = j ( Z i − Z j ) is regular in A [ Z 1 , . . . , Z n ] and is symmetric in Z 1 , . . . , Z n
and thus, by the Main Theorem on Symmetric Functions, lies in A [c 1 ( Z 1 , . . . , Z n ), . . . , cn ( Z 1 , . . . , Z n )].
It follows that the element i = j (ηi − η j ) lies in the ring A [ p 1 ( Y ), . . . , pn ( Y )] and is regular there.
However, it must also be regular in the polynomial ring A [Y ] since an element f in A [Y ] is not
regular if and only if there is an a = 0 in A such that af = 0. 2

4.3. Theorem. The element d = det( X ( T )c (ξ1 , . . . , ξn )) is regular in the algebra A [ X ][ξ1 , . . . , ξn ].
In particular, X ( T )c (ξ1 , . . . , ξn ) is invertible in A [ X ][ξ1 , . . . , ξn ][ d1 ], and X can be diagonalized over this
localization as

 − 1
X ( T )c (ξ1 , . . . , ξn ) X X ( T )c (ξ1 , . . . , ξn ) = diag(ξ1 , . . . , ξn ).
134 D. Laksov / Journal of Algebra 376 (2013) 123–138

Proof. The element g = N p Y (det(Y ( T )c (η1 , . . . , ηn ))) is regular in A [Y ] because, by Eq. (2.6.4) applied
to the matrix M = Y , we get
n!
  2
g= det Y ( T )c (ησ (1) , . . . , ησ (n) ) = (− X 1n )n−1 (ηi − η j ) , (4.3.1)
σ ∈Sn i = j

and by Lemma 4.2 the right hand side of (4.3.1) is in A [Y ] and is regular there.
It follows from diagram (4.1.1) that ϕ ( N p X (d)) = N p Y (ψ(d)) = g. Thus, f = N p X (d) is regular
in A [ X ]. This is because if N p X (d) is not regular in the polynomial ring A [ X ], then there is an a = 0
in A such that aN p X (d) = 0. However, then 0 = ϕ (aN p X (d)) = aϕ ( N p X (d)) = ag, which contradicts
regularity of g in A [Y ].
As mentioned in Section 3.4 we have that A [ X ][ξ1 , . . . , ξn ] is free as an A [ X ] module so that
 
N p X (d) = det X ( T )c (ξ1 , . . . , ξn )
σ ∈Sn

is regular in A [ X ][ξ1 , , . . . , ξn ] too. Hence each factor, and in particular the factor
det( X ( T )c (ξ1 , . . . , ξn )) is regular in A [ X ][ξ1 , . . . , ξn ]. We have proved the first part of the theorem.
The last part of the theorem follows from the first part together with Theorem 2.2. 2

5. The Spectral Mapping Theorem

One of the many reasons why the generic matrices are interesting is that, using the techniques
of localization and specialization, it is often possible to obtain results about arbitrary matrices from
properties of the generic matrix. We illustrate this by using localization and specialization techniques
to prove the Spectral Mapping Theorem; for other proofs see [EL1] and [LST].

5.1. Notation. We use Notation 4.1. In particular, we denote by X a generic n × n matrix, by A [ X ] the
polynomial ring in the entries of X , and by A [ X ][ξ1 , . . . , ξn ] a splitting algebra for the characteristic
polynomial p X ( T ) over A [ X ] with universal roots ξ1 , . . . , ξn , so that

p X ( T ) = ( T − ξ1 ) · · · ( T − ξn )

over A [ X ][ξ1 , . . . , ξn ].

By specialization of the generic matrix X to an n × n matrix M with entries in an A algebra B

we mean that we replace the entries of X with the corresponding entries of M. This corresponds to
giving an A algebra homomorphism ϕ : A [ X ] → B that maps the entries of X to the corresponding
entries of M in B.
If f ( X ) is a polynomial in A [ X ] we also say that f ( X ) is specialized to f ( M ) = ϕ ( f ( X )).

5.2. Generic Spectral Mapping Theorem. For every polynomial f ( T ) in A [ T ] we have

n
 
det f ( X ) = f (ξi ). (5.2.1)
i =1

Proof. We obtain from Theorem 4.3 the equations

     −1 
det f ( X ) = det f X ( T )c (ξ1 , . . . , ξn ) X X ( T )c (ξ1 , . . . , ξn )
n
  
= det f diag(ξ1 , . . . , ξn ) = f (ξi )
i =1
 D. Laksov / Journal of Algebra 376 (2013) 123–138 135

in the localization A [ X ][ξ1 , . . . , ξn ][ d1 ], with d = det( X ( T )c (ξ1 , . . . , ξn )). However, the terms det( f ( X ))
n
and i =1 f (ξi ) are both in A [ X ][ξ1 , . . . , ξn ], and since the localization map A [ξ1 , . . . , ξn ] →
A [ξ1 , . . . , ξn ][ d1 ] is injective since d is regular by Theorem 4.3, they are equal in A [ X ][ξ1 , . . . , ξn ]. 2

The proof of the preceding result illustrates the technique of localization; the next proof illustrates
the technique of specialization.

5.3. Spectral Mapping Theorem. Let M be an n × n matrix with entries in a ring A. If the characteristic
polynomial of M splits completely over an A algebra B as

p M ( T ) = ( T − ρ1 ) · · · ( T − ρn ),

then

n
 
det f ( M ) = f (ρi ).
i =1

Proof. When we specialize X to M we obtain an A algebra homomorphism ϕ : A [ X ] → B that maps

the entries of X to the corresponding entries of M. We then have
   
(ϕ p X )( T ) = T n − ϕ p 1 ( X ) T n−1 + · · · + (−1)n ϕ pn ( X ) = p M ( T ).

By the definition of splitting algebras the homomorphism ϕ can be uniquely extended to an A algebra
homomorphism

ψ : A [ X ][ξ1 , . . . , ξn ] → B

such that ψ(ξi ) = ρi for i = 1, . . . , n. Take the image by ψ of both sides of Eq. (5.2.1) to obtain
 n
 n
    
det f ( M ) = ψ det f ( X ) = ψ f (ξi ) = f (ρi ),
i =1 i =1

which is what we wanted to prove. 2

6. Invariants under the general linear group

In this section we give another example of how our main result can be used together with the
techniques of localization and specialization. The example is from classical invariant theory, and states
that if a polynomial in the entries of a generic matrix with coefficients in any ring is invariant under
the action of the general linear group, then it can be expressed as a polynomial in the coefficients of
the characteristic polynomial of the generic matrix (see [KP] for the case of infinite fields).

6.1. Notation. We use Notation 4.1. In particular, X is a generic n × n matrix and A [ X ] is the poly-
nomial ring over A in the entries of X . The characteristic polynomial of X is denoted p X ( T ) =
T n − p 1 ( X ) T n−1 + · · · + (−1)n pn ( X ), and we denote by A [ X ][ξ1 , . . . , ξn ] a splitting algebra of p X ( T )
over A with universal roots ξ1 , . . . , ξn .

6.2. Definition. We say that a polynomial f ( X ) in A [ X ] is invariant under the action of an invertible
n × n matrix M with entries in an A algebra B if
 
f M −1 X M = f ( X )
136 D. Laksov / Journal of Algebra 376 (2013) 123–138

in the polynomial ring B [ X ]. Moreover, we say that f ( X ) is invariant under the general linear group if it
is invariant under M for every A algebra B and every invertible n × n matrix M with entries in B.
To be invariant under the general linear group is the same as having

 
f Z −1 X Z = f ( X )

in the localization A [ X ][ Z ][ det1( Z ) ] for a generic n × n matrix Z over A [ X ], that is, the entries of Z are
algebraically independent over A [ X ]. This is because we can specialize Z to M over A [ X ], and then
det( Z ) specializes to det( M ) and Z −1 X Z to M −1 X M.

6.3. Remark. Our definition of invariance under the general linear group is somewhat different from
the usual one, which requires only that f ( M −1 X M ) = f ( X ) for all invertible n × n matrices M with
entries in A. Below we give an example to show that the definitions are different. However, we also
prove that the two definitions coincide when A is an infinite field.

6.4. Example. We consider 2 × 2 matrices over the field A = Z/2Z with two elements. The invertible
matrices with entries in A are

1 0 0 1 0 1 1 1 1 0 1 1
, , , , , .
0 1 1 0 1 1 0 1 1 1 1 0

 x11x12 
These transform the matrix x21 x22
to

x11 x12 x22 x21 x21 + x22 x21

, , ,
x21 x22 x12 x11 x11 + x12 + x21 + x22 x11 + x21

x11 + x21 x11 + x12 + x21 + x22 x11 + x12 x12

, ,
x21 x21 + x22 x11 + x12 + x21 + x22 x12 + x22

x12 + x22 x11 + x12 + x21 + x22

,
x12 x11 + x12

respectively. A calculation shows that these transformations leave the polynomial

(x11 + x12 + x21 )(x22 + x12 + x21 ) (6.4.1)

invariant.  ρ1 
0
If ρ1 and ρ2 are roots of the polynomial T 2 + T + 1 in some A algebra then the matrix 0 ρ2
 x11 x12   x11 ρ1−1 ρ2 x12 
transforms the matrix to . The latter matrix transforms the element (6.4.1)
x21 x22 ρ1 ρ2−1 x21 x22
to

  
x11 + ρ1−1 ρ2 x12 + ρ1 ρ2−1 x21 x22 + ρ1−1 ρ2 + ρ1 ρ2−1 x21 , (6.4.2)

which is not equal to the polynomial (6.4.1) because the latter polynomial takes the value 1 on the
, whereas the polynomial (6.4.2) takes the value (ρ1−1 ρ2 )2 = (ρ22 )2 = (ρ2 + 1)2 = ρ22 +
01
matrix
00
1 = ρ2 .

6.5. Proposition. Let A be an infinite field. A polynomial f ( X ) in A [ X ] is invariant under the general linear
group if it is invariant under all invertible matrices with coefficients in A.
 D. Laksov / Journal of Algebra 376 (2013) 123–138 137

Proof. We denote by Z a generic n × n matrix with coefficients that are algebraically independent
over A [ X ]. Since f ( X ) is invariant under all invertible matrices with entries in A, the function
 
f Z −1 X Z − f ( X )

in A [ X ][ Z ][ det1(z) ] takes the value zero when Z is specialized to an invertible matrix with coefficients
in A. There is a natural number m such that the function
   
g X ( Z ) = det( Z )m f Z −1 X Z − f ( X )

lies in A [ X ][ Z ], and g X ( Z ) takes the value zero on all invertible n × n matrices with entries in A.
By induction on the number of variables, we can prove that if a polynomial f (Y 1 , . . . , Y p ) defined
over an integral domain B that contains an infinite subset E is not equal to zero as an element of
B [Y 1 , . . . , Y p ] then there are elements b1 , . . . , b p in E such that f (b1 , . . . , b p ) = 0. Since A is infinite
there is thus an n × n matrix M with entries in A such that g X ( M ) = 0. It follows that g X ( Z ) = 0, and
since A [ X ][ Z ] is an integral domain we must have f ( Z −1 X Z ) = f ( X ). 2

6.6. Permutation matrices

For every permutation σ in the symmetric group Sn we denote by P σ the n × n matrix with entry
(σ (q), q) equal to one for q = 1, . . . , n, and the remaining entries equal to zero. A computation reveals
that

P σ−1 diag(a1 , . . . , an ) P σ = diag(aσ (1) , . . . , aσ (n) ).

6.7. Lemma. Suppose that f ( X ) in A [ X ] is invariant under the action of the permutation matrices, that is
 
f P σ−1 X P σ = f ( X )

for all σ ∈ Sn . Then

 
f (ξ1 , . . . , ξn ) ∈ A p 1 ( X ), . . . , pn ( X ) .

Proof. If T 1 , . . . , T n are independent variables over A we obtain from Section 6.6 by specialization of
X to diag( T 1 , . . . , T n ) that
     
f diag( T 1 , . . . , T n ) = f P σ−1 diag( T 1 , . . . , T n ) P σ = f diag( T σ (1) , . . . , T σ (n) ) ,

for all σ ∈ Sn . That is, f (diag( T 1 , . . . , T n )) is symmetric in T 1 , . . . , T n . The lemma thus follows from
the alternative form of the Main Theorem of Symmetric Functions. 2

6.8. Theorem. We denote by A [ X ]Gl the A algebra in A [ X ] of polynomials that are invariant under the general
linear group. Then
 
A p 1 ( X ), . . . , pn ( X ) = A [ X ]Gl .

Proof. One checks that p 1 ( X ), . . . , pn ( X ) are invariant under the general linear group, and thus
A [ p 1 ( X ), . . . , pn ( X )] ⊆ A [ X ]Gl .
Conversely, take f ( X ) ∈ A [ X ]Gl . It follows from Theorem 4.3 that

  −1   
f (X) = f X ( T )c (ξ1 , . . . , ξ ) X X ( T )c (ξ1 , . . . , ξn ) = f diag(ξ1 , . . . , ξn )
138 D. Laksov / Journal of Algebra 376 (2013) 123–138

in A [x][ξ1 , . . . ξn ][ d1 ] with d = det( X ( T )c (ξ1 , . . . , ξn )), and the localization homomorphism A [ X ][ξ1 ,
. . . , ξn ] → A [ X ][ξ1 , . . . , ξn ][ d1 ] is injective since d is regular by Theorem 4.3. Thus we have f ( X ) =
f (diag(ξ1 , . . . , , ξn )) in A [ X ][ξ1 , . . . , ξn ].
However, the function f ( X ) is invariant under the permutation matrices, and thus we obtain from
Lemma 6.7 that f ( X ) = f (diag(ξ1 , . . . , ξn )) is in the algebra A [ p 1 ( X ), . . . , pn ( X )]. 2

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