A Computational Introduction to Number Theory and Algebra Version 2 Victor Shoup

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A Computational Introduction to Number Theory and Algebra Version 2 Victor Shoup


Preface page x
Preliminaries xiv
1 Basic properties of the integers 1
1.1 Divisibility and primality 1
1.2 Ideals and greatest common divisors 5
1.3 Some consequences of unique factorization 10
2 Congruences 15
2.1 Equivalence relations 15
2.2 Definitions and basic properties of congruences 16
2.3 Solving linear congruences 19
2.4 The Chinese remainder theorem 22
2.5 Residue classes 25
2.6 Euler’s phi function 31
2.7 Euler’s theorem and Fermat’s little theorem 32
2.8 Quadratic residues 35
2.9 Summations over divisors 45
3 Computing with large integers 50
3.1 Asymptotic notation 50
3.2 Machine models and complexity theory 53
3.3 Basic integer arithmetic 55
3.4 Computing in Zn 64
3.5 Faster integer arithmetic () 69
3.6 Notes 71
4 Euclid’s algorithm 74
4.1 The basic Euclidean algorithm 74
4.2 The extended Euclidean algorithm 77
4.3 Computing modular inverses and Chinese remaindering 82
4.4 Speeding up algorithms via modular computation 84
4.5 An eective version of Fermat’s two squares theorem 86
4.6 Rational reconstruction and applications 89
4.7 The RSA cryptosystem 99
4.8 Notes 102
5 The distribution of primes 104
5.1 Chebyshev’s theorem on the density of primes 104
5.2 Bertrand’s postulate 108
5.3 Mertens’ theorem 110
5.4 The sieve of Eratosthenes 115
5.5 The prime number theorem . . . and beyond 116
5.6 Notes 124
6 Abelian groups 126
6.1 Definitions, basic properties, and examples 126
6.2 Subgroups 132
6.3 Cosets and quotient groups 137
6.4 Group homomorphisms and isomorphisms 142
6.5 Cyclic groups 153
6.6 The structure of finite abelian groups () 163
7 Rings 166
7.1 Definitions, basic properties, and examples 166
7.2 Polynomial rings 176
7.3 Ideals and quotient rings 185
7.4 Ring homomorphisms and isomorphisms 192
7.5 The structure of Zn
8 Finite and discrete probability distributions 207
8.1 Basic definitions 207
8.2 Conditional probability and independence 213
8.3 Random variables 221
8.4 Expectation and variance 233
8.5 Some useful bounds 241
8.6 Balls and bins 245
8.7 Hash functions 252
8.8 Statistical distance 260
8.9 Measures of randomness and the leftover hash lemma () 266
8.10 Discrete probability distributions 270
8.11 Notes 275
9 Probabilistic algorithms 277
9.1 Basic definitions 278
9.2 Generating a random number from a given interval 285
9.3 The generate and test paradigm 287
9.4 Generating a random prime 292
9.5 Generating a random non-increasing sequence 295
9.6 Generating a random factored number 298
9.7 Some complexity theory 302
9.8 Notes 304
10 Probabilistic primality testing 306
10.1 Trial division 306
10.2 The Miller–Rabin test 307
10.3 Generating random primes using the Miller–Rabin test 311
10.4 Factoring and computing Euler’s phi function 320
10.5 Notes 324
11 Finding generators and discrete logarithms in Zp
11.1 Finding a generator for Zp
11.2 Computing discrete logarithms in Zp
11.3 The Die–Hellman key establishment protocol 334
11.4 Notes 340
12 Quadratic reciprocity and computing modular square roots 342
12.1 The Legendre symbol 342
12.2 The Jacobi symbol 346
12.3 Computing the Jacobi symbol 348
12.4 Testing quadratic residuosity 349
12.5 Computing modular square roots 350
12.6 The quadratic residuosity assumption 355
12.7 Notes 357
13 Modules and vector spaces 358
13.1 Definitions, basic properties, and examples 358
13.2 Submodules and quotient modules 360
13.3 Module homomorphisms and isomorphisms 363
13.4 Linear independence and bases 367
13.5 Vector spaces and dimension 370
14 Matrices 377
14.1 Basic definitions and properties 377
14.2 Matrices and linear maps 381
14.3 The inverse of a matrix 386
14.4 Gaussian elimination 388
14.5 Applications of Gaussian elimination 392
14.6 Notes 398
15 Subexponential-time discrete logarithms and factoring 399
15.1 Smooth numbers 399
15.2 An algorithm for discrete logarithms 400
15.3 An algorithm for factoring integers 407
15.4 Practical improvements 414
15.5 Notes 418
16 More rings 421
16.1 Algebras 421
16.2 The field of fractions of an integral domain 427
16.3 Unique factorization of polynomials 430
16.4 Polynomial congruences 435
16.5 Minimal polynomials 438
16.6 General properties of extension fields 440
16.7 Formal derivatives 444
16.8 Formal power series and Laurent series 446
16.9 Unique factorization domains () 451
16.10 Notes 464
17 Polynomial arithmetic and applications 465
17.1 Basic arithmetic 465
17.2 Computing minimal polynomials in F[X]=(f)(I) 468
17.3 Euclid’s algorithm 469
17.4 Computing modular inverses and Chinese remaindering 472
17.5 Rational function reconstruction and applications 474
17.6 Faster polynomial arithmetic () 478
17.7 Notes 484
18 Linearly generated sequences and applications 486
18.1 Basic definitions and properties 486
18.2 Computing minimal polynomials: a special case 490
18.3 Computing minimal polynomials: a more general case 492
18.4 Solving sparse linear systems 497
18.5 Computing minimal polynomials in F[X]=(f)(II) 500
18.6 The algebra of linear transformations () 501
18.7 Notes 508
19 Finite fields 509
19.1 Preliminaries 509
19.2 The existence of finite fields 511
19.3 The subfield structure and uniqueness of finite fields 515
19.4 Conjugates, norms and traces 516
20 Algorithms for finite fields 522
20.1 Tests for and constructing irreducible polynomials 522
20.2 Computing minimal polynomials in F[X]=(f)(III) 525
20.3 Factoring polynomials: square-free decomposition 526
20.4 Factoring polynomials: the Cantor–Zassenhaus algorithm 530
20.5 Factoring polynomials: Berlekamp’s algorithm 538
20.6 Deterministic factorization algorithms () 544
20.7 Notes 546
21 Deterministic primality testing 548
21.1 The basic idea 548
21.2 The algorithm and its analysis 549
21.3 Notes 558
Appendix: Some useful facts 561
Bibliography 566
Index of notation 572
Index 574


Number theory and algebra play an increasingly significant role in computing
and communications, as evidenced by the striking applications of these subjects
to such fields as cryptography and coding theory. My goal in writing this book
was to provide an introduction to number theory and algebra, with an emphasis
on algorithms and applications, that would be accessible to a broad audience. In
particular, I wanted to write a book that would be appropriate for typical students in
computer science or mathematics who have some amount of general mathematical
experience, but without presuming too much specific mathematical knowledge.
Prerequisites. The mathematical prerequisites are minimal: no particular mathematical
concepts beyond what is taught in a typical undergraduate calculus
sequence are assumed.
The computer science prerequisites are also quite minimal: it is assumed that the
reader is proficient in programming, and has had some exposure to the analysis of
algorithms, essentially at the level of an undergraduate course on algorithms and
data structures.
Even though it is mathematically quite self contained, the text does presuppose
that the reader is comfortable with mathematical formalism and also has
some experience in reading and writing mathematical proofs. Readers may have
gained such experience in computer science courses such as algorithms, automata
or complexity theory, or some type of “discrete mathematics for computer science
students” course. They also may have gained such experience in undergraduate
mathematics courses, such as abstract or linear algebra. The material in these mathematics
courses may overlap with some of the material presented here; however,
even if the reader already has had some exposure to this material, it nevertheless
may be convenient to have all of the relevant topics easily accessible in one place;
moreover, the emphasis and perspective here will no doubt be dierent from that
in a traditional mathematical presentation of these subjects.
Structure of the text. All of the mathematics required beyond basic calculus
is developed “from scratch.” Moreover, the book generally alternates between
“theory” and “applications”: one or two chapters on a particular set of purely
mathematical concepts are followed by one or two chapters on algorithms and
applications; the mathematics provides the theoretical underpinnings for the applications,
while the applications both motivate and illustrate the mathematics. Of
course, this dichotomy between theory and applications is not perfectly maintained:
the chapters that focus mainly on applications include the development
of some of the mathematics that is specific to a particular application, and very
occasionally, some of the chapters that focus mainly on mathematics include a
discussion of related algorithmic ideas as well.
In developing the mathematics needed to discuss certain applications, I have
tried to strike a reasonable balance between, on the one hand, presenting the absolute
minimum required to understand and rigorously analyze the applications, and
on the other hand, presenting a full-blown development of the relevant mathematics.
In striking this balance, I wanted to be fairly economical and concise, while at
the same time, I wanted to develop enough of the theory so as to present a fairly
well-rounded account, giving the reader more of a feeling for the mathematical
“big picture.”
The mathematical material covered includes the basics of number theory
(including unique factorization, congruences, the distribution of primes, and
quadratic reciprocity) and of abstract algebra (including groups, rings, fields, and
vector spaces). It also includes an introduction to discrete probability theory—this
material is needed to properly treat the topics of probabilistic algorithms and cryptographic
applications. The treatment of all these topics is more or less standard,
except that the text only deals with commutative structures (i.e., abelian groups and
commutative rings with unity)—this is all that is really needed for the purposes of
this text, and the theory of these structures is much simpler and more transparent
than that of more general, non-commutative structures.
The choice of topics covered in this book was motivated primarily by their
applicability to computing and communications, especially to the specific areas
of cryptography and coding theory. Thus, the book may be useful for reference
or self-study by readers who want to learn about cryptography, or it could also be
used as a textbook in a graduate or upper-division undergraduate course on (computational)
number theory and algebra, perhaps geared towards computer science
Since this is an introduction, and not an encyclopedic reference for specialists,
some topics simply could not be covered. One such, whose exclusion will undoubtedly
be lamented by some, is the theory of lattices, along with algorithms for and
applications of lattice basis reduction. Another omission is fast algorithms for
integer and polynomial arithmetic—although some of the basic ideas of this topic
are developed in the exercises, the main body of the text deals only with classical,
quadratic-time algorithms for integer and polynomial arithmetic. However, there
are more advanced texts that cover these topics perfectly well, and they should be
readily accessible to students who have mastered the material in this book.
Note that while continued fractions are not discussed, the closely related problem
of “rational reconstruction” is covered, along with a number of interesting
applications (which could also be solved using continued fractions).
Guidelines for using the text.
 There are a few sections that are marked with a “(),” indicating that the
material covered in that section is a bit technical, and is not needed elsewhere.
 There are many examples in the text, which form an integral part of the
book, and should not be skipped.
 There are a number of exercises in the text that serve to reinforce, as well
as to develop important applications and generalizations of, the material
presented in the text.
 Some exercises are underlined. These develop important (but usually simple)
facts, and should be viewed as an integral part of the book. It is highly
recommended that the reader work these exercises, or at the very least, read
and understand their statements.
 In solving exercises, the reader is free to use any previously stated results
in the text, including those in previous exercises. However, except where
otherwise noted, any result in a section marked with a “(),” or in §5.5,
need not and should not be used outside the section in which it appears.
 There is a very brief “Preliminaries” chapter, which fixes a bit of notation
and recalls a few standard facts. This should be skimmed over by the reader.
 There is an appendix that contains a few useful facts; where such a fact is
used in the text, there is a reference such as “see §An,” which refers to the
item labeled “An” in the appendix.
The second edition. In preparing this second edition, in addition to correcting
errors in the first edition, I have also made a number of other modifications (hopefully
without introducing too many new errors). Many passages have been rewritten
to improve the clarity of exposition, and many new exercises and examples
have been added. Especially in the earlier chapters, the presentation is a bit more
leisurely. Some material has been reorganized. Most notably, the chapter on probability
now follows the chapters on groups and rings—this allows a number of
examples and concepts in the probability chapter that depend on algebra to be
more fully developed. Also, a number of topics have been moved forward in the
text, so as to enliven the material with exciting applications as soon as possible;
for example, the RSA cryptosystem is now described right after Euclid’s algorithm
is presented, and some basic results concerning quadratic residues are introduced
right away, in the chapter on congruences. Finally, there are numerous changes
in notation and terminology; for example, the notion of a family of objects is
now used consistently throughout the book (e.g., a pairwise independent family
of random variables, a linearly independent family of vectors, a pairwise relatively
prime family of integers, etc.).