Singular value decomposition of complexes

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1 Singular value decomposition of complexes Danielle A. Brake, Jonathan D. Hauenstein, Frank-Olaf Schreyer, Andrew J. Sommese, and Michael E. Stillman April 24, 2018 Abstract Singular value decompositions of matrices are widely used in numerical linear algebra with many applications. In this paper, we extend the notion of singular value decompositions to finite complexes of real vector spaces. We provide two methods to compute them and present several applications. 1 Introduction For a matrix A R m k, a singular value decomposition (SVD) of A is A = UΣV t where U R m m and V R k k are orthogonal and Σ R m k is diagonal with nonnegative real numbers on the diagonal. The diagonal entries of Σ, say σ 1 σ min{m,k} 0 are called the singular values of A and the number of nonzero singular values is equal to the rank of A. Many problems in numerical linear algebra can be solved using a singular value decomposition such as pseudoinversion, least squares solving, and low-rank matrix approximation. A matrix A R m k defines a linear map A : R k R m via x Ax denoted R m A R k. Hence, matrix multiplication simply corresponds to function composition. For example, if B R l m, then B A : R k R l is defined by x BAx denoted R l B R m A R k. 1

2 If B A = 0, then this composition forms a complex denoted 0 R l B R m A R k 0. In general, a finite complex of finite dimensional R-vector spaces 0 C 0 A 1 C 1 A 2... A n 1 C n 1 An C n 0 consists of vector spaces C i = R c i and differentials given by matrices A i so that A i A i+1 = 0. We denote such a complex by C and its i th homology group as H i = H i (C ) = ker A i image A i+1 with h i = dim H i. Complexes are standard tools that occur in many areas of mathematics including differential equations, e.g., [AFW06,AFW10]. One of the reasons for developing a singular value decomposition of complexes is to compute the dimensions h i efficiently and robustly via numerical methods when each A i is only known approximately, say B i. For example, if we know that rank A i = r i, then h i could easily be computed via c i = r i + r i+1 + h i. One option would be to compute the singular value decomposition of each B i in order to compute the rank r i of A i since the singular value decomposition is an excellent rank-revealing numerical method. However, simply decomposing each B i ignores the important information that the underlying matrices A i form a complex. The key point of this paper is that we can utilize information about the complex to provide more specific information that reflects the structure it imposes. Theorem 1.1 (Singular value decomposition of complexes). Let A 1,..., A n be a sequence of matrices A i R c i 1 c i which define a complex C, i.e. A i A i+1 = 0. Let r i = rank A i and h i = c i (r i +r i+1 ). Then, there exists sequences U 0,..., U n and Σ 1,..., Σ n of orthogonal and diagonal matrices, respectively, such that U t i 1 A i U i = r i r i+1 h i r i r i Σ i 0 0 := Σ i h i where all diagonal entries of Σ i are strictly positive. Moreover, if every r i > 0 and at least one h i > 0, then the orthogonal matrices U i can be chosen such that det U i = 1, i.e., each U i is a special orthogonal matrix. 2

3 The diagonal entries of Σ 1,..., Σ n are the singular values of the complex. We develop two methods that utilize the complex structure to compute a singular value decomposition of C. The successive projection method described in Algorithm 3.1 uses the orthogonal projection P i 1 : C i 1 ker A i 1 together with the singular value decomposition of P i 1 A i. The second method, described in Algorithm 3.4, is based on the Laplacians i = A t i A i + A i+1 A t i+1. Both methods can be applied to numerical approximations B i of A i. Organization of this paper is as follows. Section 2 proves Theorem 1.1 and collects a number of basic facts along with defining the pseudoinverse of a complex. Section 3 describes the algorithms mentioned above and illustrates them on an example. Section 4 considers projecting an arbitrary sequence of matrices onto a complex. Section 5 provides an application to computing Betti numbers of minimal free resolutions of graded modules over the polynomial ring Q[x 0,..., x n ] which combines our method with ideas from [EMSS16]. Acknowledgement. DAB and JDH was supported in part by NSF grant ACI JDH was also supported by Sloan Research Fellowship BR TR14. AJS was supported in part by NSF ACI FOS is grateful to Notre Dame for its hospitality when developing this project. This work is a contribution to his Project 1.6 of the SFB-TRR 195 Symbolic Tools in Mathematics and their Application of the German Research Foundation (DFG). MES was supported in part by NSF grant DMS and is grateful to Saarland University for its hospitality during a month of intense work on this project. 2 Basics We start with a proof of our main theorem. Proof of Theorem 1.1. For convenience, we set A 0 = A n+1 = 0 to compliment A 1,..., A n that describe the complex. By the homomorphism theorem (ker A i ) = image Ai. The singular value decomposition for a complex follows by applying singular value decomposition to this isomorphism and extending an orthonormal basis of 3

4 these spaces to orthonormal basis of R c i 1 and R c i. Since image A i+1 ker A i we have an orthogonal direct sum with (ker A i ) image A i+1 R c i H i := ((ker A i ) image A i+1 ) = ker A i image A i+1 = With respect to these subspaces, we can decompose A i as (ker A i ) image A i+1 H i (ker A i 1 ) image A i Σ i 0 0. H i ker A i image A i+1. Indeed, A i has no component mapping to (image A i ), which explains six of the zero blocks, and ker A i = (ker A i ) = image A i+1 H i explains the remaining two. Take U i to be the orthogonal matrix whose column vectors form the orthonormal basis of the spaces (ker A i ) and image A i+1 induced from the singular value decomposition of (ker A i ) image A i and (ker A i+1 ) image A i+1 extended by an orthogonal basis of H i in the decomposition (ker A i ) image A i+1 H i = R c i. The linear map A i has, in terms of these bases, the description Ui 1 t A i U i which has the desired shape. Finally, to achieve det U i = 1, we may, for 1 k r i, change signs of the k th column in U i and (r i 1 + k) th column of U i 1 without changing the result of the conjugation. If h i > 0, then changing the sign of any of the last h i columns of U i does not affect the result either. Thus, this gives us enough freedom to reach det U i = 1 for all i = 0,..., n. Corollary 2.1 (Repetition of eigenvalues). Suppose that A 1,... A n define a complex with A 0 = A n+1 = 0. Let i = A t i A i + A i+1 A t i+1 be the corresponding Laplacians. Then, using the orthonormal bases described by the U i s from Theorem 1.1, the Laplacians have the shape i = r i r i+1 h i r i Σ 2 i 0 0 r i+1 0 Σ 2 i+1 0. h i

5 In particular, 1. if r i = rank A i and σ i 1 σ i 2... σ i r i > 0 are the singular values of A i, then each (σ i k )2 is both an eigenvalue i and i 1 ; 2. ker i = H i. Proof. The structure of i follows immediately from the structure described in Theorem 1.1. The remaining assertions are immediate consequences. Let A + i denote the Moore-Penrose pseudoinverse of the A i. Thus, a singular value decomposition Σ 1 A i = U i 1 Σ i 0 0 Ui t yields A + i 0 i = U i Ui 1. t Proposition 2.2. Suppose that A 1,..., A n define a complex with A 0 = A n+1 = 0. Then, A + i+1 A+ i = 0 and id R c i (A + i A i + A i+1 A + i+1 ) defines the orthogonal projection of R c i onto the homology H i. Proof. We know that A + i A i defines the projection onto (ker A i ) and A i+1 A + i+1 defines the projection onto image A i+1. The result follows immediately since these spaces are orthogonal and H i = ((ker A i ) image A i+1 ). We call 0 R c 0 A + 1 R c 1 A A + n R cn 0. the pseudoinverse complex of 0 R c 0 A 1 R c 1 A 2... An R cn 0. Remark 2.3. If the matrices A i have entries in a subfield K R, then the pseudoinverse complex is also defined over K. This follows since the pseudoinverse is uniquely determined by the Penrose relations [Pen55]: A i A + i A i = A i, A i A + i = (A i A + i )t, 5

6 A + i A i A + i = A + i, A+ i A i = (A + i A i ) t, which form an algebraic system of equations for the entries of A + i with a unique solution whose coefficients are in K. In particular, this holds for K = Q. If the entries of the matrices are in the finite field F q, the pseudoinverse of A i is well defined over F q with respect to the dot-product on F c i q and F c i 1 q if ker A i (ker A i ) = 0 F c i q and image A i (image A i ) = 0 F c i 1 q. We have implemented the computation of the pseudoinverse complex for double precision floating-point numbers R 53, the rationals Q, and finite fields F q in our Macaulay2 package SVDComplexes. 3 Algorithms We present two algorithms for computing a singular value decomposition of a complex followed by an example. Algorithm 3.1 (Successive projection method). INPUT: Matrices A 1,..., A n that define a complex. OUTPUT: Matrices U 0,..., U n and numbers r 1,... r n yielding a singular value decomposition of the corresponding complex. 1. Set r 0 = 0, Q 0 = 0, and P 0 = id C0. 2. For i = 1,..., n a. Compute the (c i 1 r i 1 ) c i matrix Ãi = P i 1 A i. b. Compute a singular value decomposition of Ãi yielding a diagonal matrix Σ i of the singular values and orthogonal matrices Ũi 1, Ṽ i t such that à i = Ũi 1 Σ i Ṽ t i. c. Let r i be the number of nonzero singular values, i.e., diagonal entries of Σ i. d. Partition Ṽ t i = ( Qi into submatrices consisting of the first r i and last c i r i rows of Ṽ t i. 6 P i )

7 e. Partition U t i 1 = ) Ũi 1 t. P i 1 ( Qi 1 f. If i = n, set U n = Ṽ t n. 3. Return U 0,..., U n and r 1,..., r n. Remark 3.2. The key step in applying Algorithm 3.1 to numerical approximations B 1,..., B n of A 1,..., A n is Step 2c for deciding which singular values are truly nonzero. To have more confidence in the correctness of the numerical computation of the ranks r 1,..., r n, a natural approach is to utilize two approximations B 1,..., B n and B 1,..., B n in different precisions. The nonzero singular values should be approximately the same value in both computations. Theorem 3.3. Algorithm 3.1 computes a singular value decomposition of the complex defined by A 1,..., A n. Proof. By induction on i, we will show that P i defines the orthogonal projection C i ker A i. Since Vi t is orthogonal, ( ) Qi ( ( ) ) Q P t i Pi t idri 0 i 0 id ci r i where id k denotes a k k identity matrix, we additionally conclude that Q i is the orthogonal projection C i (ker A i ). This is trivial for i = 0 where A 0 = 0. For the induction step from i 1 to i, we note that image A i ker A i 1 implies that Q i 1 A i = 0. Hence, A i and P i 1 A i = Ãi have the same nonzero singular values. From ( ) Ã i = Ũi Σ i Ṽ i t and Ṽi t Qi =, we conclude the assertion that P i defines the orthogonal projection C i ker A i. P i 7

8 Moreover, ( ) Ui 1 t Qi 1 ( A i U i = Ũi 1 t A i Q P t i i 1 ( ) 0 ( ) = Ũi 1 t Q t Ãi i Pi t Ũi 0 ( ) = Ũi 1 t Ũi 1 Σ Qi i P i ( 0 ) = idri 0 Σ i 0 id ci r i Ũ i 0 0 = Σ i ) Pi t Ũi ( Q t i ) Pi t Ũi Our second algorithm is based on the Laplacians i = A t i A i + A i+1 A t i+1. for which ker i = Hi, i.e., h i = dim ker i, which assumes that the nonzero eigenvalues for each Laplacian are distinct. Algorithm 3.4 (Laplacian method). INPUT: Matrices A 1,..., A n that define a complex such that the nonzero eigenvalues for each Laplacian are distinct. OUTPUT: Matrices U 0,..., U n and numbers r 1,... r n yielding a singular value decomposition of the corresponding complex. 1. Compute a diagonalization for each i, say i = U i D i U i t where D i are diagonal and U i are orthogonal. 8

9 2. Let r i be the number of nonzero values that appear in both D i 1 and D i. 3. Compute c i c i permutation matrices P i that reorder the diagonal entries of D i so that the common r i + r i+1 are in leading position. Set U i = U i P i. 4. Compute U i 1 t A i U i Σ i where the r i r i matrix Σ i is a diagonal matrix. 5. Let Σ i be the diagonal matrix whose entries are the absolute values of the diagonal entries of Σ i. 6. Inductively, for i = 1,..., n, change the signs of the eigenvectors given by the columns of U i to obtain orthogonal matrices U i such that Σ i = Ui 1 t A i U i = Σ i Return U 0,..., U n and r 1,..., r n. Remark 3.5. When applying Algorithm 3.4 with numerical approximations, the key numerical step is to determine the common nonzero values in Step 2. Theorem 3.6. Algorithm 3.4 computes a singular value decomposition of the complex defined by A 1,..., A n. Proof. This follows immediately from Corollary 2.1. Example 3.7. We consider the complex 0 R 3 A 1 R 5 A 2 R 5 A 3 R 3 0 defined, respectively, by the matrices , ,

10 For presentation purposes, we list the orthogonal matrices U 0,..., U 3 in the singular value decomposition to four digits: , , , which yield the following Σ 1, Σ 2, Σ 3 : , , Hence, each matrix A i has rank 2 and all homology groups H i are 1-dimensional. Moreover, the diagram A 1 A 2 0 R 3 R 5 R 5 R 3 0 U 0 0 R 3 Σ 1 U 1 R 5 commutes. The matrix A + 1 in the pseudoinverse complex to 6 valid digits is Σ 2 R 5 U 2 A 3 Σ 3 R 3 U

11 which is a numerical approximation of 5978/ / / / / / / / / / / / / / / Remark 3.8. This simple example is relatively stable against errors. For example, if we perturb the entries of the matrices in the complex arbitrarily with relative error on the order of 10 3, then using a threshold of 10 2 in the rank computations predict the correct dimension of the homology groups, see SVDComplexes. 4 Projection One application of using the singular value decomposition of a complex is to compute the pseudoinverse complex as described in Section 2. In this section, we consider projecting a sequence of matrices onto a complex. Algorithm 4.1 (Projection to a complex). INPUT: A sequence B 1,..., B n of c i 1 c i matrices and a sequence h 0,..., h n of desired dimension of homology groups. OUTPUT: A sequence A 1,..., A n of matrices which define a complex with desired homology, if possible. 1. Set r 0 = 0 and compute r 1,..., r n+1 from c i = r i + r i+1 + h i recursively. If r i < 0 for some i or r n+1 0, then return the error message: The rank conditions cannot be satisfied. 2. Set Q 0 = 0 and P 0 = id C0. 3. For i = 1,..., n a. Compute the (c i 1 r i 1 ) c i matrix B i = P i 1 B i. b. Compute the singular value decomposition B i = Ũi 1 Σ i Ṽ t i. 11

12 c. Define Σ i = r i r i+1 h i r i r i Σ i 0 0 h i as a block matrix where Σ i is a diagonal matrix with entries the largest r i singular values of B i. d. Decompose Ṽ t i = ( Qi into submatrices consisting of the first r i and last c i r i rows of Ṽ t i. e. Define f. If i = n, then U n = Ṽ t n. U t i 1 = P i ) ) Ũi 1 t. P i 1 ( Qi 1 4. Set A i = U i 1 Σ i U t i and return A 1,..., A n. Remark 4.2. By construction, it is clear that Algorithm 4.1 computes a complex. We leave it as an open problem to compute the closest complex to the given matrices B 1,..., B n. Example 4.3. In our package RandomComplexes, we have implemented several methods to produce complexes over the integers. Since numerical computations with this implementation are currently limited to double precision floatingpoint numbers R 53, it is best suited for complexes with c i Larger examples would require higher precision, enhancement from the use of the LLL algorithm [LLL82], and possible parallel computations to improve the performance. After first building examples using Algorithm 4.1, we test Algorithms 3.1 and 3.4 to verify the desired dimension of the homology groups. Table 1 compares the timings of these two algorithms on various examples. Example 4.4. Our second series of examples is constructed from Stanley-Reisner simplicial complexes of randomly chosen square free monomial ideals. In the specific cases below, we selected N square free monomials at random in a polynomial ring with k variables which are summarized in Table 2. Algorithm 3.4 does not apply to these examples since repeated eigenvalues occur. 12

13 c 0,... c 3 h 0,..., h 3 Alg. 3.1 (sec) Alg. 3.4 (sec) 7, 21, 28, 14 2, 3, 2, , 27, 35, 17 3, 6, 4, , 33, 42, 20 4, 9, 6, , 39, 49, 23 5, 12, 8, , 45, 56, 26 6, 15, 10, , 51, 63, 29 7, 18, 12, Table 1: Comparison of timings using Algorithms 3.1 and 3.4. k N c 0 c 1 c 2... Alg 3.1 h 0 h 1 h 2... (sec) Table 2: Comparison of timings using Algorithm

14 5 Application to syzygies We conclude with an application concerning the computation of Betti numbers in free resolutions. Let S = K[x 0,..., x n ] be the standard graded polynomial ring and M a finitely generated graded S-module. Then, by Hilbert s syzygy theorem, M has a finite free resolution: 0 M F 0 ϕ 1 F 1 ϕ 2... ϕc F c 0 by free graded S-modules F i = j S( i j)b ij of length c n + 1. Here S( l) denotes the free S-module with generator in degree l. If we choose in each step a minimal number of homogenous generators, i.e., if ϕ i (F i ) (x 0,... x n )F i 1, then the free resolution is unique up to an isomorphism. In particular, the Betti numbers b ij of a minimal resolution are numerical invariants of M. On the other hand, for basic applications of free resolutions such as the computation of Ext and Tor-groups, any resolution can be used. Starting with a reduced Gröbner basis of the submodule ϕ 1 (F 1 ) F 0 there is, after some standard choices on orderings, a free resolution such that at each step the columns of ϕ i+1 form a reduced Gröbner basis of ker ϕ i. This resolution is uniquely determined however, in most cases, highly nonminimal. An algorithm to compute this standard nonminimal resolution was developed in [EMSS16] which turned out to be much faster then the computation of a minimal resolution by previous methods. The following forms the examples which we use as test cases. Proposition 5.1 (Graded Artinian Gorenstein Algebras). Let f Q[x 0,..., x n ] be a homogeneous polynomial of degree d. In S = Q[ 0,..., n ], consider the ideal I = D S D(f) = 0 of constant differential operators which annihilate f. Then, A f := S/I is an artinian Gorenstein Algebra with socle in degree d. For more information on this topic see, e.g., [RS00]. Example 5.2. Let f = l l 4 18 Q[x 0,..., x 7 ] be the sum of 4 th powers of 18 sufficiently general chosen linear forms l s. The Betti numbers b ij of the minimal resolution M = A f as an S-module are zero outside the range i = 0,..., 8, j = 0,..., 4. In this range, they take the values: 14

15 j \ i which, for example, says that F 2 = S( 3) 42 S( 4) 63. We note that the symmetry of the table is a well-known consequence of the Gorenstein property. On the other hand the Betti numbers of the uniquely determined nonminimal resolution are much larger: j \ i To deduce from this resolution the Betti numbers of the minimal resolution, we can use the formula b ij = dim Tor S i (M, Q) i+j. For example, to deduce b 3,2 = 288, we have to show that the 5 th constant strand of the nonminimal resolution 0 Q 1 Q 49 Q 390 Q 54 0 has homology only in one position. The matrices defining the differential in the nonminimal resolution have polynomial entries whose coefficients in Q can have very large height such that the computation of the homology of the strands becomes infeasible. There are two options, how we can get information about the minimal Betti numbers: Pick a prime number p which does not divided any numerator of the normalized reduced Gröbner basis and then reduce modulo p yielding a module M(p) with the same Hilbert function as M. Moreover, for all but finitely many primes p, the Betti numbers of M as an Q[x 0,..., x n ]-module and of M(p) as F p [x 0,..., x n ]-module coincide. 15

16 Pass from a normalized reduced Gröbner basis of ϕ 1 (F 1 ) F 0 to a floatingpoint approximation of the Gröber basis. Since in the algorithm for the computation of the uniquely determined nonminimal resolution [EMSS16], the majority of ground field operations are multiplications, we can hope that this computation is numerically stable and that the singular value decompositions of the linear strands will detect the minimal Betti numbers correctly. Example 5.3. We experimented with artinian graded Gorenstein algebras constructed from randomly chosen forms f Q[x 0,..., x 7 ] in 8 variables which were the sum of n 4 th powers of linear forms where 11 n 20. This experiment showed that roughly 95% the Betti table computed via floating-point arithmetic coincided with one computed over a finite field. The reason for this was that the current implementation uses only double precision floating-point computations which caused difficulty in detecting zero singular values correctly. This would be improved following Remark 3.2. We now consider a series of examples related to the famous Green s conjecture on canonical curves which was proved in a landmark paper [Voi05] for generic curves. In S = Q[x 0,..., x a, y 0,..., y b ], consider the homogeneous ideal J e generated by the 2 2 minors of ( ) ( ) x0 x 1... x a 1 y0 y and 1... y b 1 x 1 x 2... x a y 1 y 2... y b together with the entries of the (a 1) (b 1) matrix x 0 x 1 x 2 x 1 x 2 x e 2 y 0 y 1... y b 2 0 e 1 0 y 1 y 2... y b y 2 y 3... y b x a 2 x a 1 x a for some parameters e 1, e 2 Q. Then, by [ES18], J e is the homogeneous ideal of an arithmetically Gorenstein surface X e (a, b) P a+b+1 with trivial canonical bundle. Moreover, the generators of J e form a Gröbner basis. To verify the generic Green s conjecture for curves of odd genus g = 2a + 1, it suffices to prove, for some values e = (e 1, e 2 ) Q 2, that X e (a, a) has a natural Betti table, i.e., for each k there is at most one pair (i, j) with i + j = k and b ij (X e (a, a)) 0. For special values of e = (e 1, e 2 ), e.g., e = (0, 1), it is known that the resolution is not natural, see [ES18]. 16

17 Example 5.4. For a = b = 6, our implementation computes the following Betti numbers for the nonminimal resolution: as For e = (2, 1) and e = (0, 1), our implementation correctly computes the following Betti numbers, respectively, of the minimal resolutions: Each of these computations took several minutes. To consider larger examples, more efficient algorithms and/or implementations for computing the singular value decomposition of a complex are needed. References [AFW06] D.N. Arnold, R.S. Falk, and R. Winther, Finite element exterior calculus, homological techniques, and applications, Acta Numer. 15 (2006), [AFW10], Finite element exterior calculus: from Hodge theory to numerical stability, Bull. Amer. Math. Soc. (N.S.) 47 (2010), no. 2, [EMSS16] B. Eröcal, O. Motsak, F.-O. Schreyer, and A. Steenpaß, Refined algorithms to compute syzygies, J. Symbolic Comput. 74 (2016), [ES18] D. Eisenbud and F.-O. Schreyer, Equation and syzygies of K3 carpets and union of scrolls, preprint, arxiv: (2018). [LLL82] A.K. Lenstra, H.W. Lenstra Jr., and L. Lovász, Factoring polynomials with rational coefficients, Math. Ann. 261 (1982), no. 4,

18 [M2] D.R. Grayson and M.E. Stillman, Macaulay2, a software system for research in algebraic geometry. Available at [Pen55] R. Penrose, A generalized inverse for matrices, Proc. Cambridge Philos. Soc. 51 (1955), [RS00] K. Ranestad and F.-O. Schreyer, Varieties of sums of powers, J. Reine Angew. Math. 525 (2000), [Voi05] C. Voisin, Green s canonical syzygy conjecture for generic curves of odd genus, Compos. Math. 141 (2005), no. 5, Author Addresses: Danielle A. Brake Department of Mathematics, University of Wisconsin - Eau Claire, Eau Claire WI brakeda@uwec.edu Jonathan D. Hauenstein Department of Applied and Computational Mathematics and Statistics, University of Notre Dame, Notre Dame IN hauenstein@nd.edu Frank-Olaf Schreyer Mathematik und Informatik, Universität des Saarlandes, Campus E2 4, D Saarbrücken, Germany schreyer@math.uni-sb.de Andrew J. Sommese Department of Applied and Computational Mathematics and Statistics, University of Notre Dame, Notre Dame IN sommese@nd.edu Michael E. Stillman Department of Mathematics, Cornell University, Ithaca NY mike@math.cornell.edu 18

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