535 Internat. J. Math. & Math. Sci. Vol. i0, No. 3 (1987) 535-544 ON PERMUTATION POLYNOMIALS OVER FINITE FIELDS R.A. MOLLIN and C. SMALL Department of Mathematics and Statistics University of Calgary Calgary, Alberta, Canada, T2N IN4 Department of Mathematics and Statistics Queen’s University Kingston, Ontario, Canada K7L 3N6 (Received July 31, 1986 and in revised form October 3, 1986) ABSTRACT. A polynomial if poIFnomial f finite over a the mapping F F F field consider the problem of characterizing permutation polynomials; conditions for it to represent a of conjecture permutat,on that seek we is, coefficients of a polynomial which are necessary and sufficient the on a In this paper we is one-to-one. f defined by called is We permutation. Carlitz which also give some bearing results essentially that for any even integer says cardinality of finite fields admitting permutation polynomials of degree on a m, the m is bounded. KEY WORDS AND PHRASES. Polynomials, Irreduclbilit F, factorization, distribution of values. 1980 llathematlcs Subject Classification. I. INTROION. A polynomial elements, is f(x) called known f(a) see (eg. where GF(q) where GF(q) [x], permtatlon a one-to-one; i.e. the well lIT06. a polynomial q. given a polynomial conditions on the coefficients d q since f f(x) a0,al, y- a. x there is a d i 1 for surprisingly (e.g. little see with a’s. is given by q f is It is a unique difficult to what are necessary and sufficient f to be a permutation? has a unique such representation). literature on permutation polynomials references), field GF(q) GF(q) A natural question to ask (albeit i=0 assume finite are a permutation of the GF(q) d is" a the mapping defined by [I]) that any mapping polynomial of degree less than answer) is if [I] which for deals an (We may Despite an extensive extensive list of with the classification problem as posed above. However some very special cases are known. For example the are I) cases d < 2 are trivial since polynomials of degree 0 (respectively never (respectively always) permutation polynomials; whereas in the quadratic case 2 0), f is a permutation polynomial on GF(q) if and only ax + bx + c (a f(x) 2. The latter is a trivial consequence of one of the 0 and char GF(’q) if b R.A. MOLLIN AND C. SMALL 536 results in this paper (see Corollary 2.3 below). has There been also Z (k/(k-.)) j:O ntural nber. g.c.d. (k,q Some of is a permutation gk(x,a) <_ t < 7 with p -= GF(q of is a permutation of f(x) where GF(p), 0 b I, + x n m+ As g(x) form the x I. r if and only if 2 (mod 5), +/- for f(x) with polynomials considered g(x) GF(7 n) but not GF(7) is suitably chosen then but not on GF(q) GF(q) N, E the , pp. 355-357, if and only if x p + 5c -= x 4 + 3x is shows that if permutation a 2m + q and is a permutation polynomial on example, S. Chowla [5] + bx 2 + cx, and proved that final 3 a 5 a is and Carlitz [3], in an attempt to odd. t mid generalize Dickson’s result. [4] that the quartic For" k and specialized results toward our characterization problem have also For" example S.R. Cavior [2] investigated octics of the form been established. t 8 x + ax f(x) a E GF(q) form I. I) other- polynomial GF(q) a Dickson the of 0 where so-called For such a description the reder is referred to where it is proved that. 2 the polynomials (-a) J of characterization a those i.e., polynomials gk(x,a) such ax sufficiently 2 with prime large (mod p). a paper we completely settle the characterization problem for at least (x) (x). We prove that one class of polynomials" viz., cyclotomic polynomials m m In this is a permutation polynomial on and are powers of m GF(q) if and only if either m 2, or both q 2. Dickson (e.g. see [6] or [7]) classified all permutation polynomials of degree In fact, Dickson (eg. see [I] p. 349] where it is called Hermite’s condition since Dickson [6], [7] attributed the prime field case to Hermite) gave necessary and sufficient conditions for a pol)qaomial to be a permutation polynomial. However the characterization is not explicit in the sense less 6 over than above, outlined GF[q]. and Dickson’s theorem is easy to use in the sense that is not extremely difficult to extract results from the theorem which give concrete criteria in terms of the polynomial’s coefficients. to provide One of the major tasks of this paper For example + bx J + c GF(q) certain polynomials to be permutations. precisely when glance terms of a, b and is and sufficient conditions, in terms of the coefficients, for necessary f(x) ex we are able to determine at a is a permutation polynomial in c. There is a relative scarcity of permutation polynomials as may be seen by the fact that they are necessarily polynomials with exactly one root. However this obvious necessary condition is far from sufficient as the example 2 3(x) x + x + over GF(3) illustrates. Another reason for the scarcity of permutation polynomials may be seen GF(q) GF(q), only q! by the fact that, of them are permutations. of the The fact that qq lim q mappings q!/gq means therefore that permutations get increasingly scarce in large fields, and points to the difficulty in our characterization problem. 0 this A second major goal of this paper (the first being progress in the characterization problem) is to make advances in establishing Carlitz’s conjecture, PERMUTATION POLYNOMIALS OVER FINITE FIELDS namely for a given even integer that m, q may be chosen sufficiently large such that there are no permutation polynomials of degree m [8] Hayes GF(q). on conjecture when the characteristic of the field does not divide m. the established 537 However he used the deep Lang-Weil Theorem [9] which is closely cohnected to the Rieman, hy-,thesls for curves over finite fields (eg. see [I, p. 331] for an Our tec[uniques and .thod of proof exqlanation of the connection). less are complicated. GF(q) over degree exist this in of a certain polynomial, no permutation polynaials of any given even on GF(q) for sufficiently large q. Of course there are infinitely GF(q) many permutation polynomials of a given odd degree on infinitely many will be seen in term of paper We establish that, subject to the absolute irreducibility f(x) :mx by our characterization of such polynomials as a, and b %2). (see c The latter as J + bx + c work the generalizes of I0]. Niederreiter and Robinson conjecture follows from one of our main results provlded that any one of several conditions (which we will outline) can be shown to We note It should that Carlitz’s hold. monograph ], connection with (that is, the be the finite rich a source that F) of groups, it was is polynomials permutation their The linear groups over finite fields full linear group of all F linear invertible were already well known (at least in the prime-field case) simple liberation of groups from their matrix 1896 thesis [4] and his 1901 Dickson’s studying groups. the of both in for simple subgroups transformations over ms noted motivation groups. Indeed, representations while this may have delayed the groups of substitutions and as doubtless the route by which, primarily thanks to Dickson, the prime finite fields entered mathematics in a serious way, except of course for fields, which had arrived on the scene centuries earlier via number theory. Dickson wanted to know which polynomials represented permutations because he wanted to study linear groups (which are after all groups of permutations) by computations with applications to the linear groups, and his methods did lead him to previously unknown classes of simple groups (see [4], part II, 17, as well as pert II of [6]). generators for them. Finally, the reader is referred to the well-written Niederreiter 1, the The context, in both [4] and [6], is always 7 Chapter for an outline of compendium basic results polynomials, and to Schmidt [II] for some results on equations over by Lidl and on permutation finite fields which we will need in %3. 2. THE CHARACTERIZATION PROBLEM. We begin by observing that the composition of two polynomials is a permutation polynomial if and only if each constituent is one. This leads to the following useful fact. LE 2.1. Let f(x) m. n i E c.x i i=l GF(q) where m n m m n-I n and i:l on GF(q) c. 0. Suppose e g.c.d. l<i.<n if and only if g.c.d. (e,q {mi}. I) Then I f(x) and is a permutation polynomial m./e n 1 E c.x 1 is a permutation R.A. MOLLIN AND C. SMALL 538 polynomial. only if result following x The proof is immediate is a permutation polynnial of if GF(q) and I, (see [I, Theorem 7.8 (ii), p. 351]). g.c.d. (e,q- I) The [I0, Lemma 5, p. 210]. generalizes e observation This from the fact that the monomial characterizes polynomials of class certain a as permutation polynomials in terms of their coefficients. THEOREM 2.2. j Suppose that k and are positive integers such that I) .j >_ and g.c.d. (k I. Then ax k + bx o + c with a 0 is k j,q q a permutation of PROOF. x k + bx 0 + ax a- IbxJ if and only if GF(q) k + c is a permutation pol,omial if -lb. a f(x) g.c.d. (k ax J x k is then I) j,q Therefore f(x) x j(xk-j a u I. permutation polynomial GF(q )k-j say x j(x a) If k-j u yk-j), 0. b and -a Let a g.c.d. (k,q I) is a permutation polynomial. a permutation polynomial if and only if and I) g.c.d. (k,q and 0 only k x Assume that 0 Since 0. f(0), a Q.E.D. contradiction. COROLLARY 2.3. if 0 y with f(y) so is # GF(q). on y if then and only if ax + bx + 0) (a c The following advances Cavior GF(q) is a permutation polynomial on and the characteristic of 0 b 2 GF(q) is 2. 2 ]. is not divisible by 3, 5 or 7. Then Suppose q- I t < 8, is a permutation polynomial on GF(q) if and 0 and GF(q) has characteristic 2. only if a g.c.d. (8- t,q- I) PRDOF. Therefore Theorem 2.2 by hypothesis. 0 and g.c.d. (8,q I; i.e., q must be even. I) applies and forces a COROLLARY x 8 + ax t 2.4. t for odd and @.E.D. is necessary for Note that the restriction q modulo 3, 5, or 7 8 Corollary 2.4 to hold since it is known for example that x + 4x permutes GF(29), 5 8 3 8 Moreover it is open as to whether x + x and GF(II). x + ax permutes permutes GF(13 n) or GF(7 n) for odd n. For details see Cavior [2]. In the next section we will make headway on the question left at the end Cavior’s paper, of degree We 2k on note conjectured to be true by Carlitz, namely that for a given and there exists a bound N k GF(q), furthermore there is no permutation N k 4 as above. in particular for k such that if that if we z-emove the condition j)th power f() f(0) GF(13), f(5) 0. yet f(-3) g.c.d. (k- must m I) for new 0, GF(q). One simple observation is that cannot be a permutation polynomial unless a fails to be. a @k-j for some ] m GF(q) then for if a GF(q)" However this is not a sufficient condition" 3 is not a cube in 4 since GF(13) f(x) 3x is not a permutation of x in I. Furthermore, Dickson [4, p. 77] (see also [I]), proved that degree ,q- search to be a permutation of criteria for f(x) j k ax f(x) a x (k we k polynomial q from the hypothesis of Theorem 2.2 then, as noted above, of over GF(q) cannot permute immediately gets from this discussion" GF(q) if q a (mod m). polynomial of Therefore one PERMUTATION POLYNOMIALS OVER FINITE FIELDS a # 0 THEOREM 2.5. -I eund -ha nd only if b Let f(x) 0 in ax + bx th {k j) GF(q) and is a k j + 539 be a polynomial over c power in Then GF(q). g.c.d. (k,q GF(q) with permutes GF(q) if f I. i) -ha -I j)th power is further to fail to be a (k 4 demonstrated by the following example" x + 3x permutes GF(7) although 3 $ 0 in GF(7) and g.c.d. (4,6) I. 2 The clear necessity for An immediate corollary of Theorem 2.5 is" COROLLARY 2.6 If f is as in Theorem 2.5 and -ha -I where d g.c.d. (q GF(q) j) then f permutes l,k b 0 and g.c.d. (k,q 1) 1. Theorem g.c.d. (k k j 2.2 other divides with + a for 0 and is a ax x Since Thus GF(q). k’-I k’-2 y Thus x k’ y g.c.d, 0 a(x contradiction. I) q GF(q), I. $ @ if and only if x k ax permutes f then if and only if x GF(q) I. j if and only if permutes k/j ax GF(q) if and only if GF(q) then by Le,a 2.1 0) $ b, a, and g.c.d. (j,q I) (k/j)-I z + z (k/j)-2 + permutes f Then (equivalently a . d, where k; divides j permutes -I have we GF(q). Let Yk’-I dth k’-I y where c 1 0 GF(q) + yk’-I k’ $ is a a + + x b permutes E x If z b If -I + bx j + GF(q) permutes 1. j k GF(q), I. I) z -I. 1) ax g.c.d. ((k/j) th d power in some -ha a k/j 0; $ f(x) g.c.d. (k,q k that x y f(x) g.c.d. (k,q F. were Let -ba-l-I Suppose k’ condition is odd and k. GF(q) b in condition (replacing it thereby allowing us to make headway in such cases where j conditions) THEOREM 27. c power if and only if unsatisfying that in the does not allow us to touch the case where q is even. The following result relaxes the with GF(q) somewhat is I) j,q th d is a for some power in GF(q) we have t@ I. Then y since z yz where x Now let x k’-I k’-2 k’-I k’-I a. y 1) z + + + y + z (z k’ k’ sx with x $ y, a y ay : x and so y) Q.E.D. We note that as a straightforward application the reader may use Theorem 2.7 degree 3. This requires reducing of to characterize polynomials 3 3 2 x. If a is a square there is no f(x) ax + bx + cx + d to the form x 2 2 x + xy + y When a is not a square one shows it can be written as a problem. 2 is a non-square. for which z + z + with x $ y by finding an element z $ The result is Corollary 2.9 below. However 2.7 Theorem may be to difficult technical condition must be satisfied. However when apply in general since a rather k j 2 we have a simpler 0 and k > 2) result. THEORE permutes 2.8. GF(q) where a -I -ha Thus we assne n (q +/- then either As before, PRf)OF. f(x) If f l)/k. and the fact that We is It f a f k ax + bxk-2 + q m +I (mod k) permutes (where c b or if and only if GF(q) a 0. x k -ax k-2 does, assume the conclusion is false and reach a contradiction is clear that n is a permutation we + q permutation, q I. have (mod k and a 0. Let Hence, using [i, Lemma 7.3, p. 349] r. xGF q (xk-oxk-2) n R.A. MOLLIN AND C. SMALL 540 therefore" 0 -a Z Z this only for occur can 0 i n kn-2i x xGF q (when nk (-) i In the former case we get (-a) Z i=O x xGF(q) i=O by the same lemma from [I] we have unless 0 q- I) But q + I). contradicting E x Z xGF (q) xGF (q) i:O I. nk (when i or Now x xGF(q) kn 2i q Q.E.D. [I, ibid], and similarly in the remaining case. This completes the proof. have characteristic different from 3. Then Let GF(q) COROLLARY 2.9. 2 3 2 3ac and ax + bx + cx + d (a # O) permutes GF(q) if and only if b f(x) 2 (mod 3). q + ba-lx + ca-1) does. Put y3 + c’y + d’ with ca1, ba-lx + .x (x + then y x + b(3a) 3 b2)(3a2) -I. Thus f permutes GF(q) if and only if x ax does (3ac c’ 2 3ac)(3a2) -1 Observe that a 0 means b 2 3ac. By Theorem (b where a x(x if and only if permutes GF(q) f PRfX)F. 2 2 2.8, a # 0 if perg,utation is not a permutation polynomial. f then I, 1,3) g.c.d. (q polynomial if and only if If is a 2 (mod 3). q i.e., f then 0 a Q.E.D. Now we consider the case where the degree of the polynomial is a power of the characteristic. PROPOSITION p Let 2.10. GF(q) 0. Then" a GF(q) and s l)th power in permutes GF(q) if and only if a is not a (pS I) I, 8xl I, pS If f permutes GF(q) then g.c d. (q is a primitive root in GF(q) then g.c.d. (q l,ps- I) If only if f permutes GF(q). x f(x) (I) ux 0 with If PRfF. has both 0 a and as roots, hence 0 @ th (pS is a S I a # c c2 If since )ps-I GF(q). If i. GF (q), power in not is a say f then @ Conversely permutation. if S S c2P ac ps-1, a and if ac then 2 c2)P (c a(c c2), and This proves (I) s g.c.d. (q aq-I only if that c P I such 2 (c let $ f (2) (3) c and p, characteristic have S l,p I) then This secures (2). s l,p g.c.d. (q a(q-l)/g I. I) However a g is a a then 1 l)th (pS is a Thus, is primitive. a power l)th (pS is not in GF(q) power if and (pS a l)th @. E. D. power. We note that an immediate consequence of Proposition 2.10 is [I0, Theorem I0, p. 209 ]. we Finally polynomials @ m close (x) 2.1 I. polynomial on of 2. GF(q) this section with a characterization of cyclotomic which are permutations. The m th cyclotomic if and only if either m polynomial 2, or both m m (x) and is a permutation q are powers PERMUTATION POLYNOMIALS OVER FINITE FIELDS POOF If 2 m a polynomial if and only if then x and permutation polynomial, g.c.d. (2,q I) I; i.e., (i)" If m CASE CASE (ii) b, for a 2 + then a it Conversely if m the twice a permutation which is 2a-I x is one if and x is m (I) of power @ m a only if (0); odd an always then: 2 is not a power of m an odd prime, then not is m x If p (-I) (x) is one. 2. p 2p If m 3. 2a-I m 541 a-I and then prime Q.E.D. (0). CARLITZ CONJE AND E%N DEGREE PERKrATIONS. We begin with a characterization of permutatation polynomials in terms of solutions of certain 0. f(x,y) The equivalence of (I) and (2) in what follows is a natural generalization of [I0, Lemm 4, p. 210], whereas the equivalence of (2) and (3) is the central idea of Hayes [8]. We later use this result to make headway towards the Carlitz conjectu’e will mentioned previously. Let THEOREM 3 i. n i Z c. x I i=l f(x) GF(q)[x] E with c 0. n Then the following are equivalent: (I) f(x) (2) The is a permutation polynomial on GF(q); n -I n-i Z c equation + + n ciY i=l xi-I xi-2 GF(q) x GF(q), (x0,Y0) (3) The (x0,Y0) PIF. GF(q) x GF(q) First we with f(a) loss of generality that 0. n Then b n i Z c .b [(ab- i=l i=iCiYoE -i y 0. f(b) 0. and Conversel.r, suppose that and 0 has with It follows that -I n-i n Z c i i:l x0Y0 Cn cyn This establishes the equivalence of b, a Now, let -I hencei=lE Cn n Z i=l solutions no Y0" n O, 1] 0; Y0 y) x0 I] I Ix 0 i or 0 only has solutions 0 the equivalence of (I) and (2). prove permutation polynomial then Thus x f(y) )/(x (f(x) equation E with either + I] x CiYO i-I [x 0 -I i and we ,y ab 0 n-i Ix0 is not a assume without aKl i + x n,,,i-2 +...+1] n ric i (Y0 -I i b Y0 O, for with x0Y0 2 ), and the equivalence of xr, -I 2 Y0 and is clear. m g.c.d. f(x,y) -i 3 .E.D. THEOREM 0 0 O. 1) ll/Ix 0 i= and f(x) If m Let 3.2. ran, 2 g q Z c n i:l c_y 1 with I. n Put 0 c. GF(q) g.c.d. {m i} for g 1 i and ,n; assume <_ i_<_n Suppose that 1. n m. n 1 Z c.x i:l f(x) x + x + + is absolutely irreducible 542 R.A. HOLLIN AND C. SMALL GF(q), over m.’ 1 where Then, whenever mi/g. permutation polynomial over 250(m q 1) n 5 f(x) is not a GF(q}. if and By Lemma 2.1, f(x} is a permutation polynomial on GF(q) m.’ n 1 is one. Now let N be the number of zeros of f(x,y) in only if Z c.x i i:l 5/2 1/2 I) q N GF(q) x GF(q). By [II, Theorem IA, p. 92] we have ql j(mn PROOF. Now N let $ mn’-mi’ m n Z c n i=l we have x0 the number of zeros of be ciY0 polynomial of degree Y0 0 n m "-I n have we x0 values for N 2(m be a n 0 with Since the m and there are at most 1 m i f(x,y) m ’-2 n + x0 + + ..... I)5/2 I) N since q J(mn unless polynomial permutation N q 1/2 N*. N are i $ or 0 $ 0 n this and again there n’ 2(m I) and by Theorem 3.1 Hence f(x) ex’e For 0. Y0 \’alues for m 0, In total then we have x0 x is a If Y0’ at ,st But clearly f x cannot is not a permutation Q.E.D. polynomial on OF(q). Note that as special cases of Theorem 3.2 we recover Theorem 9, Lemm 7 and Theorem II of [I0]. Now we state one final result which links the results of %2 and %3. k fX)ROLLARY 3.3. ax + bx + c (a $ 0) with k not a power of Let f(x) Then f permutes 1) 250 (k the characteristic of GF(q), and suppose q I. 0 and g.c.d. (k,q- I) GF(q) if and only if b of Theorem 3.2 is absolutely f(x,y) By PROOF. I0, Lemma 3, p. 208 irreducible in this case. Thus by Theorem 3.2 f is not a permutation polynomial 5. GF(q) on b unless polynomial if and only if to q 0. But once we know b g.c.d. (k,q- I) 0 then f is a permutation I, as before. 250 (k I) In fact, the hypothesis q see [I0, Theorem 9]. > (k2 4k + 5 Q.E.D. in Corollary 3.3 can be weakened 6)2; AEMENT. The research for this paper was supported by N.S.E.R.C. Canada. NIEDERREITER, H., Finite Fields, Addison-Wesley, Reading, Mass. 1. LIDL, 2. CAVIOR, S., A Note on Octie Permutation Polynomials, Math. 450-452. 3. CARLITZ, L., Permutations in Finite Fields, Acta Sci. Math. Szeded, 2._4 (1963), 196-203. 4. DICKSON, L.E., The Analytic Representation of Substitutions, Ann. of Math., (1896-97), 65-120 and 161-183. I__I 5. CHOWLA, S., On Substitution Polynomials (mod p), Norske Vid. Selsk. Fordh., (1968), 4-6. 4./1 R. and (1983). Comp., 17 (1963) PERMUTATION POLYNOMIALS OVER FINITE FIELDS 543, 6. DICKSON, L.E., Linear Groups with an Exposition of Teubner (Leipzig), 1901. 7. DICKSON, L.E., Linear Groups, Dover, New York, (1958). 8. HAYES, 9. LANG, S. and WEIL, A., Number of Points of Varieties in Finite Fields, Amer. J. Math., 7_6 (1953), 819-827. the Galois Field ’rheory, D.R., A Geometric Approach to Permutation Polynomials over a Finite Field, Duke Math. J., 34 (1967), 293-305. I0. NIEDERREITER, H. and I%OBINSON, K.H., Complete Mappings of Austral. Math. Soc. (Series A), 3._3 (1982), 197-212. II. SCHMIDT, W.M., Equations Over Finite Fields, An Elementary Approach, Springer Lecture Notes, 536 (1976). Finite Fields, J.