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Non-Archimedean Smale Mean Value and Dubinin–Sugawa Dual Mean Value Problems

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Abstract

Motivated by the Smale mean value and the Dubinin–Sugawa dual mean value theorems, we formulate non-Archimedean Smale mean value and Dubinin–Sugawa dual mean value problems. We show that if a universal constant satisfying the non-Archimedean Smale mean value problem exists, it must be greater than or equal to one and if a universal constant satisfying the non-Archimedean Dubinin–Sugawa dual mean value problem exists, it must be less than or equal to one. We also derive other bounds whenever roots of unity exist in a non-Archimedean field.

Introduction

In 1981, Steve Smale proved the following result using the Koebe 1/4-theorem [27].

Theorem 1.1. [27] (Smale Mean Value Theorem) Let P(z):=a0+a1z+a2z2+⋯+anznP(z) := a_0 + a_1z + a_2z^2 + \cdots+ a_nz^n be a polynomial of degree n≥2n \ge2 over C\mathbb{C}. If z∈Cz \in\mathbb{C} is not a critical point of PP (i.e., P′(z)≠0P'(z) \ne0), then

min⁡w∈C,P′(w)=0∣P(z)−P(w)z−w∣≤4∣P′(z)∣.(1)\min_{\substack{w \in\mathbb{C},\,P'(w)=0}} \left|\frac{P(z)-P(w)}{z-w}\right| \le4|P'(z)|. \tag*{(1)}

Note that Theorem 1.1 can also be stated as follows.

Theorem 1.2. [27] (Smale Mean Value Theorem) Let P(z):=a0+a1z+a2z2+⋯+anznP(z) := a_0 + a_1z + a_2z^2 + \cdots+ a_nz^n be a polynomial of degree n≥2n \ge2 over C\mathbb{C}. If z∈Cz \in\mathbb{C} is not a critical point of PP, then there exists a critical point w∈Cw \in\mathbb{C} of PP such that

∣P(z)−P(w)z−w∣≤4∣P′(z)∣.(2)\left|\frac{P(z)-P(w)}{z-w}\right| \le4|P'(z)|. \tag*{(2)}

The proof of Theorem 1.2 can also be found in books [19, 24]. Inequality (1) led Smale to ask the following problem. What is the best constant 4>c>04 > c > 0 such that the Inequality (1) can be replaced by

min⁡w∈C,P′(w)=0∣P(z)−P(w)z−w∣≤c∣P′(z)∣?(3)\min_{\substack{w \in\mathbb{C},\,P'(w)=0}} \left|\frac{P(z)-P(w)}{z-w}\right| \le c|P'(z)|? \tag*{(3)}

Smale made the following conjecture with regard to Inequality (3), which remains open today.

Conjecture 1.3. [25, 26, 27, 28, 29, 30] (Smale Mean Value Conjecture) Let P(z):=a0+a1z+a2z2+⋯+anznP(z):=a_0+a_1z+a_2z^2+\cdots+a_nz^n be a polynomial of degree n≥2n\geq2 over C\mathbb{C}. If z∈Cz\in\mathbb{C} is not a critical point of PP, then

min⁡w∈C,P′(w)=0∣P(z)−P(w)z−w∣≤∣P′(z)∣\min_{\substack{w\in\mathbb{C},P'(w)=0}}\left|\frac{P(z)-P(w)}{z-w}\right|\leq|P'(z)|

or

min⁡w∈C,P′(w)=0∣P(z)−P(w)z−w∣≤n−1n∣P′(z)∣=deg⁡(P)−1deg⁡(P)∣P′(z)∣.(4)\min_{\substack{w\in\mathbb{C},P'(w)=0}}\left|\frac{P(z)-P(w)}{z-w}\right|\leq\frac{n-1}{n}|P'(z)|=\frac{\deg(P)-1}{\deg(P)}|P'(z)|. \tag*{(4)}

By taking polynomial P(z):=zn−nz∈C[z]P(z):=z^n-nz\in\mathbb{C}[z], we see that the constant (n−1)/n(n-1)/n in inequality (4) cannot be improved further. Conjecture 1.3 also appears as Problem 1 in the Addenda after the list of 18 open problems of Smale in Mathematical Problems for the Next Century [30]. Now for a polynomial PP of degree n≥2n\geq2, define

S(P):=sup⁡z∈C,P′(z)≠01∣P′(z)∣min⁡w∈C,P′(w)=0∣P(z)−P(w)z−w∣S(P):=\sup_{\substack{z\in\mathbb{C},P'(z)\neq0}}\frac{1}{|P'(z)|}\min_{\substack{w\in\mathbb{C},P'(w)=0}}\left|\frac{P(z)-P(w)}{z-w}\right|

and

M:=sup⁡P is a non linear polynomialS(P).M:=\sup_{P\text{ is a non linear polynomial}}S(P).

Smale conjecture then asks whether M=1M=1 or S(P)=deg⁡(P)−1deg⁡(P)S(P)=\frac{\deg(P)-1}{\deg(P)}? It is known that the Conjecture 1.3 holds for polynomials of degree 2, 3, 4, [19, 24, 31]. Through computer calculations, Smale conjecture is known to hold for polynomials of degree upto 10 [23].

Usually, the study of Smale mean value conjecture goes with the following conjecture which is known as normalization equivalence to Conjecture 1.3.

Conjecture 1.4. [19, 24, 27] (Normalized Smale Mean Value Conjecture) Let PP be a degree n≥2n\geq2 polynomial over C\mathbb{C} which is normalized, i.e., P(0)=0P(0)=0 and P′(0)=1P'(0)=1. Then

S0(P):=min⁡w∈C,P′(w)=0∣P(w)w∣=deg⁡(P)−1deg⁡(P)S_0(P):=\min_{\substack{w\in\mathbb{C},P'(w)=0}}\left|\frac{P(w)}{w}\right|=\frac{\deg(P)-1}{\deg(P)}

or

M0:=sup⁡P is a non linear polynomial,P(0)=0,P′(0)=1S0(P)=1.M_0:=\sup_{\substack{P\text{ is a non linear polynomial},P(0)=0,P'(0)=1}}S_0(P)=1.

In 1996, Andrievskii and Ruscheweyh showed that if critical points of a normalized polynomial PP lie on the unit circle, then S0(P)≤1S_0(P)\leq1 [1]. In 2009, Hinkkanen and Kayumov showed that if all the critical points of a normalized polynomial PP are real, then S0(P)≤23S_0(P)\leq\frac{2}{3} [12]. In 2010, Hinkkanen and Kayumov proved that if the critical points of normalized polynomial PP lie on the sector {reiθ:r>0,∣θ∣≤π/6}\{re^{i\theta}:r>0,|\theta|\leq\pi/6\}, then S0(P)≤12S_0(P)\leq\frac{1}{2} and if the critical points of normalized polynomial PP lie in the union of two rays {1+re±iθ:r≥0}\{1+re^{\pm i\theta}:r\geq0\} for each 0<θ≤π/20<\theta\leq\pi/2, then S0(P)≤23S_0(P)\leq\frac{2}{3} [13]. In [19] it is showed that if the critical points of a normalized polynomial are all real, then S0(P)≤deg⁡(P)deg⁡(P)[(deg⁡(P)−1deg⁡(P)−2)deg⁡(P)−1−2]S_0(P)\leq\frac{\deg(P)}{\deg(P)}\left[\left(\frac{\deg(P)-1}{\deg(P)-2}\right)^{\deg(P)-1}-2\right] and in [24] it is showed that S0(P)≤e−2S_0(P)\leq e-2.

In 2002, Beardon, Minda and Ng showed that S(P)≤4deg⁡(P)−2deg⁡(P)−1S(P)\leq4^{\frac{\deg(P)-2}{\deg(P)-1}} [2]. In 2006, Fijikawa and Sugawa proved that S(P)≤41+(deg⁡(P)−2)4deg⁡(P)−1deg⁡(P)+1deg⁡(P)+1S(P)\leq4^{\frac{1+(\deg(P)-2)4^{\frac{\deg(P)-1}{\deg(P)+1}}}{\deg(P)+1}} [11]. In 2007, Conte, Fujikawa and Lakic showed that S(P)≤4deg⁡(P)−1deg⁡(P)+1S(P)\leq4^{\frac{\deg(P)-1}{\deg(P)+1}} [3]. In 2007, Crane showed that there exists n0≥2n_0\geq2 such that for all n≥n0n\geq n_0, S(P)≤4−2deg⁡(P)S(P)\leq4-\frac{2}{\sqrt{\deg(P)}} [5] (also see [4]). In 2003, Ng proved that Conjecture 1.3 holds with M=2M=2 for all odd polynomials with nonzero linear terms [16]. In 2006, Dubinin proved that if the critical points of a normalized polynomial PP have equal modulus, then S0(P)≤deg⁡(P)−1deg⁡(P)S_0(P) \le\frac{\deg(P)-1}{\deg(P)} [10].

At the other side, in 2002, Sendov formulated a generalization of Conjecture 1.3 [21]. In 2003, Sendov and Nikolov gave some variations of Conjecture 1.3 [22]. In 2005, Tyson showed that Tischler’s strong form of Smale mean value conjecture [31, 32] fails [33]. One can interpret Conjecture 1.3 in the form of finite Blaschke products [17, 18, 24]. It is also possible to connect Conjecture 1.3 with electrostatics [6]. In 1981, Smale also derived the following higher order mean value theorem [27].

Theorem 1.5. [27] (Higher Order Smale Mean Value Theorem) Let P(z):=a0+a1z+a2z2+⋯+anznP(z) := a_0 + a_1z + a_2z^2 + \cdots+ a_nz^n be a polynomial of degree n≥2n \ge2 over C\mathbb{C}. If z∈Cz \in\mathbb{C} is not a critical point of PP, then there exists a critical point w∈Cw \in\mathbb{C} of PP such that

∣P(k)(z)∣k!∣P(z)−P(w)∣k−1∣P′(z)∣k≤4k−1,∀2≤k≤n.(5)\frac{|P^{(k)}(z)|}{k!}\frac{|P(z)-P(w)|^{k-1}}{|P'(z)|^k} \le4^{k-1}, \qquad\forall2 \le k \le n. \tag*{(5)}

In 2009, Dubinin and Sugawa derived the following striking result which is a dual result for Smale mean value theorem [9].

Theorem 1.6. [7, 9] (Dubinin-Sugawa Dual Mean Value Theorem) Let P(z):=a0+a1z+a2z2+⋯+anznP(z) := a_0 + a_1z + a_2z^2 + \cdots+ a_nz^n be a polynomial of degree n≥2n \ge2 over C\mathbb{C}. If z∈Cz \in\mathbb{C} is not a critical point of PP, then there exists a critical point w∈Cw \in\mathbb{C} of PP such that

∣P′(z)∣n4n≤∣P(z)−P(w)z−w∣.\frac{|P'(z)|}{n4^n} \le\left|\frac{P(z)-P(w)}{z-w}\right|.

In other words,

∣P′(z)∣n4n≤max⁡w∈C,P′(w)=0∣P(z)−P(w)z−w∣.\frac{|P'(z)|}{n4^n} \le\max_{w\in\mathbb{C},P'(w)=0}\left|\frac{P(z)-P(w)}{z-w}\right|.

Dubinin and Sugawa made the following conjecture in 2009 [9].

Conjecture 1.7. [7, 9] (Dubinin-Sugawa Dual Mean Value Conjecture) Let P(z):=a0+a1z+a2z2+⋯+anznP(z) := a_0 + a_1z + a_2z^2 + \cdots+ a_nz^n be a polynomial of degree n≥2n \ge2 over C\mathbb{C}. If z∈Cz \in\mathbb{C} is not a critical point of PP, then

∣P′(z)∣n≤max⁡w∈C,P′(w)=0∣P(z)−P(w)z−w∣.\frac{|P'(z)|}{n} \le\max_{w\in\mathbb{C},P'(w)=0}\left|\frac{P(z)-P(w)}{z-w}\right|.

For a polynomial PP of degree n≥2n \ge2, define

DS(P):=inf⁡z∈C,P′(z)≠01∣P′(z)∣max⁡w∈C,P′(w)=0∣P(z)−P(w)z−w∣.DS(P) := \inf_{z\in\mathbb{C},P'(z)\ne0}\frac{1}{|P'(z)|}\max_{w\in\mathbb{C},P'(w)=0}\left|\frac{P(z)-P(w)}{z-w}\right|.

Similar to Conjecture 1.4, we have the following normalized version of Conjecture 1.7.

Conjecture 1.8. [7, 9] (Normalized Smale Dubinin-Sugawa Dual Mean Value Conjecture) Let PP be a degree n≥2n \ge2 polynomial over C\mathbb{C} which is normalized, i.e., P(0)=0P(0)=0 and P′(0)=1P'(0)=1. Then

DS0(P):=max⁡w∈C,P′(w)=0∣P(w)w∣=1n=1deg⁡(P).DS_0(P) := \max_{w\in\mathbb{C},P'(w)=0}\left|\frac{P(w)}{w}\right| = \frac{1}{n} = \frac{1}{\deg(P)}.

In 2016, Ng and Zhang showed that if PP is a normalized polynomial, then DS0(P)≥14deg⁡(P)DS_0(P) \ge\frac{1}{4\deg(P)} [17]. In 2019 Dubinin showed that DS(P)≥14tan⁡(π4deg⁡(P))DS(P) \ge\frac{1}{4}\tan\left(\frac{\pi}{4\deg(P)}\right) [8]. In 2019, Hinkkanen, Kayumov and Khammatova showed that Conjecture 1.7 holds for polynomials of degree six [14]. In 2025, Hinkkanen, Kayumov and Khammatova showed that Conjecture 1.7 holds for polynomials of degree six [15].

Non-Archimedean Smale Mean Value Problem

Let K\mathbb{K} be a field. Recall that a map ∣⋅∣:K→[0,∞)|\cdot|:\mathbb{K}\to[0,\infty) is said to be a non-Archimedean valuation if the following conditions hold:

(i) If λ∈K\lambda\in\mathbb{K} satisfies ∣λ∣=0|\lambda|=0, then λ=0\lambda=0.

(ii) ∣λμ∣=∣λ∣∣μ∣|\lambda\mu|=|\lambda||\mu| for all λ,μ∈K\lambda,\mu\in\mathbb{K}.

(iii) (Ultratriangle inequality) ∣λ+μ∣≤max⁡{∣λ∣,∣μ∣}|\lambda+\mu|\le\max\{|\lambda|,|\mu|\} for all λ,μ∈K\lambda,\mu\in\mathbb{K}.

We say K\mathbb{K} is non-Archimedean complete valued field if it is complete w.r.t. the ultrametric d(λ,μ):=∣λ−μ∣d(\lambda,\mu):=|\lambda-\mu| for all λ,μ∈K\lambda,\mu\in\mathbb{K} [20]. Throughout the article we assume that K\mathbb{K} is algebraically closed.

We ask for non-Archimedean version of Theorem 1.2 as follows.

Problem 2.1. (Non-Archimedean Smale Mean Value Problem) Let K\mathbb{K} be a non-Archimedean (complete) valued field. Whether there is a universal constant SKS_{\mathbb{K}} (which may depend upon K\mathbb{K}) satisfying the following: Let P(z):=a0+a1z+a2z2+⋯+anznP(z):=a_0+a_1z+a_2z^2+\cdots+a_nz^n be a polynomial of degree n≥2n\ge2 over K\mathbb{K}. If z∈Kz\in\mathbb{K} is not a critical point of PP, then there exists a critical point w∈Kw\in\mathbb{K} of PP such that

∣P(z)−P(w)z−w∣≤SK∣P′(z)∣.\left|\frac{P(z)-P(w)}{z-w}\right|\le S_{\mathbb{K}}|P'(z)|.

In the following result we derive a constraint for non-Archimedean Smale mean value constant, if exists.

Theorem 2.2. Let K\mathbb{K} be a non-Archimedean valued field. The constant SKS_{\mathbb{K}} in Problem 2.1, if exists, satisfies SK≥1S_{\mathbb{K}}\ge1.

Proof. Let P(z):=(z−a)(z−b)∈K[z]P(z):=(z-a)(z-b)\in\mathbb{K}[z]. Then P′(z)=2z−(a+b)P'(z)=2z-(a+b) for all z∈Kz\in\mathbb{K}. Let z∈Kz\in\mathbb{K} be such that P′(z)≠0P'(z)\ne0. Note that P′P' has only one zero, namely c:=a+b2c:=\frac{a+b}{2}. Define x:=z−ax:=z-a and y:=z−by:=z-b. Then

z−c=z−a+b2=z−a+z−b2=x+y2,z-c=z-\frac{a+b}{2}=\frac{z-a+z-b}{2}=\frac{x+y}{2},
P′(z)=z−a+z−b=x+y,P'(z)=z-a+z-b=x+y,
P(c)=(a+b2−a)(a+b2−b)=−(b−a)24=−(x−y)24.P(c)=\left(\frac{a+b}{2}-a\right)\left(\frac{a+b}{2}-b\right)=-\frac{(b-a)^2}{4}=-\frac{(x-y)^2}{4}.

and

P(z)−P(c)=xy+(x−y)24=(x+y)24.P(z)-P(c)=xy+\frac{(x-y)^2}{4}=\frac{(x+y)^2}{4}.

Hence

∣P(z)−P(c)z−c∣=∣x+y2∣=1∣2∣∣P′(z)∣.\left|\frac{P(z)-P(c)}{z-c}\right|=\left|\frac{x+y}{2}\right|=\frac{1}{|2|}|P'(z)|.

Therefore

SK≥1∣2∣≥1.S_{\mathbb{K}}\ge\frac{1}{|2|}\ge1.

:::

Theorem 2.3. Let K\mathbb{K} be a non-Archimedean valued field. Assume that there is an n∈N∖{1,2}n\in\mathbb{N}\setminus\{1,2\} such that K\mathbb{K} has (n−1)(n-1)-th roots of unity. The constant SKS_{\mathbb{K}} in Problem 2.1, if exists, satisfies SK≥∣n−1∣∣n∣=∣1−1n∣S_{\mathbb{K}}\ge\frac{|n-1|}{|n|}=\left|1-\frac{1}{n}\right|.

Proof. We define the polynomial P(z):=zn−nz∈K[z]P(z) := z^n - nz \in\mathbb{K}[z]. The point z=0z = 0 is not a critical point of PP. Let w∈Kw \in\mathbb{K} be any critical point of PP. Then ww is a (n−1)(n-1)-th root of unity. We now see that

∣P(0)−P(w)∣∣0−w∣=∣P(w)∣∣w∣=∣wn−nw∣=∣wn−1−n∣=∣1−n∣=∣1−n∣∣n∣∣n∣=∣1−n∣∣n∣∣P′(0)∣.\begin{aligned} \frac{|P(0)-P(w)|}{|0-w|}=\frac{|P(w)|}{|w|}=|w^n-nw|=|w^{n-1}-n| \\ &=|1-n|=\frac{|1-n|}{|n|}|n|=\frac{|1-n|}{|n|}|P'(0)|. \end{aligned}

Hence SK≥∣n−1∣∣n∣=∣1−1n∣S_{\mathbb{K}} \ge\frac{|n-1|}{|n|}=\left|1-\frac{1}{n}\right|.

Based on Theorem 1.5 we formulate the following higher order problem.

Problem 2.4. (Higher Order Non-Archimedean Smale Mean Value Problem) Let K\mathbb{K} be a non-Archimedean (complete) valued field. Whether there is a universal constant RKR_{\mathbb{K}} (which may depend upon K\mathbb{K}) satisfying the following: Let P(z):=a0+a1z+a2z2+⋯+anznP(z):=a_0+a_1z+a_2z^2+\cdots+a_nz^n be a polynomial of degree n≥2n\ge2 over K\mathbb{K}. If z∈Kz\in\mathbb{K} is not a critical point of PP, then there exists a critical point w∈Kw\in\mathbb{K} of PP such that

∣P(k)(z)∣k!∣P(z)−P(w)∣k−1∣P′(z)∣k≤RKk−1,∀2≤k≤n.\frac{|P^{(k)}(z)|}{k!}\frac{|P(z)-P(w)|^{k-1}}{|P'(z)|^k}\le R_{\mathbb{K}}^{k-1},\qquad\forall2\le k\le n.

Theorem 2.5. Let K\mathbb{K} be a non-Archimedean valued field. The constant RKR_{\mathbb{K}} in Problem 2.4, if exists, satisfies RK≥1/(2∣2∣)R_{\mathbb{K}}\ge1/(2|2|).

Proof. We continue from the proof of Theorem 2.2. Let z∈Kz\in\mathbb{K} be not a zero of P′P'. We have P′′(z)=2P''(z)=2. Hence

∣P′′(z)∣=∣2∣,∣P′(z)∣=∣x+y∣,∣P(z)−P(c)∣=∣x+y∣2∣4∣.|P''(z)|=|2|,\qquad|P'(z)|=|x+y|,\qquad|P(z)-P(c)|=\frac{|x+y|^2}{|4|}.

We find

∣P(2)(z)∣2!∣P(z)−P(c)∣2−1∣P′(z)∣2=∣2∣2(∣x+y∣2∣4∣)∣x+y∣2=12∣2∣.\frac{|P^{(2)}(z)|}{2!}\frac{|P(z)-P(c)|^{2-1}}{|P'(z)|^2} =\frac{|2|}{2}\frac{\left(\frac{|x+y|^2}{|4|}\right)}{|x+y|^2} =\frac{1}{2|2|}.

Therefore

RK≥12∣2∣.R_{\mathbb{K}}\ge\frac{1}{2|2|}.

Non-Archimedean Dubinin-Sugawa Dual Mean Value Problem

We ask non-Archimedean version of Theorem 1.6 as follows.

Problem 3.1. (Non-Archimedean Dubinin-Sugawa Dual Mean Value Problem) Let K\mathbb{K} be a non-Archimedean (complete) valued field. Whether there is a universal constant DKD_{\mathbb{K}} (which may depend upon K\mathbb{K}) satisfying the following: Let P(z):=a0+a1z+a2z2+⋯+anznP(z):=a_0+a_1z+a_2z^2+\cdots+a_nz^n be a polynomial of degree n≥2n\ge2 over K\mathbb{K}. If z∈Kz\in\mathbb{K} is not a critical point of PP, then there exists a critical point w∈Kw\in\mathbb{K} of PP such that

DK∣P′(z)∣≤∣P(z)−P(w)∣∣z−w∣.D_{\mathbb{K}}|P'(z)|\le\frac{|P(z)-P(w)|}{|z-w|}.

Theorem 3.2. Let K\mathbb{K} be a non-Archimedean valued field. The constant DKD_{\mathbb{K}} in Problem 3.1, if exists, satisfies DK≤1D_{\mathbb{K}}\le1.

Proof. From the proof of Theorem 2.2, we get that DK≤∣2∣≤1D_{\mathbb{K}}\le|2|\le1.

Theorem 3.3. Let KK be a non-Archimedean valued field. Assume that there is an n∈N∖{1,2}n \in\mathbb{N} \setminus\{1,2\} such that KK has (n−1)(n-1)-th roots of unity. The constant DKD_K in Problem 3.1, if exists, satisfies DK≤∣n∣∣n−1∣D_K \le\frac{|n|}{|n-1|}.

Proof. By defining polynomial P(z):=zn−nz∈K[z]P(z) := z^n - nz \in K[z] we get that DK≤∣n∣∣n−1∣D_K \le\frac{|n|}{|n-1|}.

Conclusion

For 45 years, the Smale mean value theorem has remained a cornerstone result in the theory of polynomials, while the Dubinin–Sugawa dual mean value theorem has served a similar vital role for 17 years. In this article, we asked for non-Archimedean versions of both theorems. We established explicit bounds for these constants, conditioning on their existence.

References

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