Math Discreta

Discrete mathematics and algebra
R. Simon
MT3170, 2790170
2011
Undergraduate study in
Economics, Management,
Finance and the Social Sciences
This is an extract from a subject guide for an undergraduate course offered as part of the
University of London International Programmes in Economics, Management, Finance and
the Social Sciences. Materials for these programmes are developed by academics at the
London School of Economics and Political Science (LSE).
For more information, see: www.londoninternational.ac.uk
This guide was prepared for the University of London International Programmes by:
Dr R.Simon, Lecturer, Department of Mathematics, London School of Economics and
Political Science.
This is one of a series of subject guides published by the University. We regret that due
to pressure of work the author is unable to enter into any correspondence relating to, or
arising from, the guide. If you have any comments on this subject guide, favourable or
unfavourable, please use the form at the back of this guide.
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Contents
Contents
1 Introduction
1.1
This course . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1.1.1
Relationship to previous mathematics courses . . . . . . . . . . .
1.1.2
Aims . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1.1.3
Learning outcomes . . . . . . . . . . . . . . . . . . . . . . . . . .
1.1.4
Topics covered . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Recommended books . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1.2.1
Essential reading . . . . . . . . . . . . . . . . . . . . . . . . . . .
1.2.2
Further reading . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Online study resources . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1.3.1
The VLE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1.3.2
Making use of the Online Library . . . . . . . . . . . . . . . . . .
1.4
Examination advice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1.5
Basic notation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1.2
1.3
2 Elementary counting
Essential reading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Further reading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
2.1
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
2.2
Selections . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
2.2.1
Number of functions . . . . . . . . . . . . . . . . . . . . . . . . .
2.2.2
Functions with restrictions and equivalence relations
. . . . . . .
2.2.3
Pascals triangle . . . . . . . . . . . . . . . . . . . . . . . . . . . .
12
Exercises for section 2.2 . . . . . . . . . . . . . . . . . . . . . . . . . . .
14
Inclusion-exclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
14
2.3.1
The theorem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
15
2.3.2
Applications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
17
2.3.3
Surjective functions . . . . . . . . . . . . . . . . . . . . . . . . . .
18
22
Partitions and permutations . . . . . . . . . . . . . . . . . . . . . . . . .
23
2.3
2.4
Contents
2.4.1
Partitions of an integer . . . . . . . . . . . . . . . . . . . . . . . .
23
2.4.2
Partition and cycle types . . . . . . . . . . . . . . . . . . . . . . .
23
2.4.3
Number of partitions . . . . . . . . . . . . . . . . . . . . . . . . .
24
2.4.4
Permutations . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
26
2.4.5
Ferrers diagrams . . . . . . . . . . . . . . . . . . . . . . . . . . .
29
30
The Stirling numbers . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
31
2.5.1
Stirling numbers of the first kind . . . . . . . . . . . . . . . . . .
31
2.5.2
Stirling numbers of the second kind . . . . . . . . . . . . . . . . .
32
2.5.3
Number of permutations . . . . . . . . . . . . . . . . . . . . . . .
34
37
Learning outcomes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
38
Solutions to exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
38
Solutions to section 2.2 exercises . . . . . . . . . . . . . . . . . . . . . . .
38
39
42
43
2.5
3 Generating functions
47
Further reading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
47
3.1
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
47
3.2
The basic theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
47
3.2.1
What is a generating function? . . . . . . . . . . . . . . . . . . .
47
3.2.2
Making change . . . . . . . . . . . . . . . . . . . . . . . . . . . .
48
3.2.3
The Fibonacci numbers . . . . . . . . . . . . . . . . . . . . . . . .
49
3.2.4
A way to find the generating function . . . . . . . . . . . . . . . .
51
3.2.5
Algebraic manipulations . . . . . . . . . . . . . . . . . . . . . . .
52
3.2.6
Calculus manipulations . . . . . . . . . . . . . . . . . . . . . . . .
53
3.2.7
How to find the explicit solution . . . . . . . . . . . . . . . . . . .
56
59
Recurrence relations . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
59
3.3.1
What is a recurrence relation? . . . . . . . . . . . . . . . . . . . .
59
3.3.2
Equivalences . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
60
3.3.3
Tables and long division . . . . . . . . . . . . . . . . . . . . . . .
62
3.3.4
Composite linear recurrence relations . . . . . . . . . . . . . . . .
65
3.3
ii
47
Contents
3.3.5
Initial conditions . . . . . . . . . . . . . . . . . . . . . . . . . . .
66
70
Non-linear recurrence relations . . . . . . . . . . . . . . . . . . . . . . . .
71
3.4.1
The Catalan numbers . . . . . . . . . . . . . . . . . . . . . . . . .
72
3.4.2
Partitions of an integer . . . . . . . . . . . . . . . . . . . . . . . .
73
3.4.3
A theorem of Euler . . . . . . . . . . . . . . . . . . . . . . . . . .
74
76
77
77
77
79
84
3.4
4 Graph theory
87
87
Further reading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
87
4.1
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
87
4.1.1
Basic definition and examples . . . . . . . . . . . . . . . . . . . .
87
4.1.2
Adjacency, distance, and connectivity . . . . . . . . . . . . . . . .
91
4.1.3
Degree . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
91
4.1.4
Minors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
92
4.1.5
Directed graphs . . . . . . . . . . . . . . . . . . . . . . . . . . . .
93
93
Walks and cycles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
95
4.2.1
Eulerian walks
. . . . . . . . . . . . . . . . . . . . . . . . . . . .
95
4.2.2
Hamiltonian cycles . . . . . . . . . . . . . . . . . . . . . . . . . .
96
98
Trees and forests . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
98
4.3.1
Numbers of edges, vertices, and components . . . . . . . . . . . .
99
4.3.2
Cycles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
100
4.3.3
Spanning trees and forests . . . . . . . . . . . . . . . . . . . . . .
102
4.3.4
Greedy algorithm . . . . . . . . . . . . . . . . . . . . . . . . . . .
103
104
Vertex colouring
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
104
4.4.1
Chromatic number and polynomial . . . . . . . . . . . . . . . . .
104
4.4.2
A-cyclic orientations . . . . . . . . . . . . . . . . . . . . . . . . .
106
4.2
4.3
4.4
iii
Contents
108
Matching . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
109
4.5.1
Halls theorem . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
109
4.5.2
Vertex covering . . . . . . . . . . . . . . . . . . . . . . . . . . . .
111
4.5.3
Permutation matrices . . . . . . . . . . . . . . . . . . . . . . . . .
111
112
Directed graphs and flows . . . . . . . . . . . . . . . . . . . . . . . . . .
113
4.6.1
Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
113
4.6.2
Tournaments . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
113
4.6.3
Network flows . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
117
119
120
120
120
122
123
124
126
127
4.5
4.6
5 Group theory
129
Further reading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
129
5.1
Permutations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
129
5.1.1
Basic properties . . . . . . . . . . . . . . . . . . . . . . . . . . . .
129
5.1.2
Transpositions . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
130
5.1.3
Even or odd . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
133
135
Group axioms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
136
5.2.1
Definition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
136
5.2.2
Cancellation law . . . . . . . . . . . . . . . . . . . . . . . . . . .
136
5.2.3
Examples of groups . . . . . . . . . . . . . . . . . . . . . . . . . .
137
5.2.4
Subgroups . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
138
5.2.5
Examples of subgroups . . . . . . . . . . . . . . . . . . . . . . . .
139
140
Cosets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
141
5.2
5.3
iv
129
Contents
5.3.1
Equivalence relation . . . . . . . . . . . . . . . . . . . . . . . . .
141
5.3.2
Homomorphisms . . . . . . . . . . . . . . . . . . . . . . . . . . .
142
5.3.3
Normal subgroups
. . . . . . . . . . . . . . . . . . . . . . . . . .
142
144
Group action . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
145
5.4.1
Definition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
145
5.4.2
Examples . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
145
5.4.3
Orbits and stabilisers . . . . . . . . . . . . . . . . . . . . . . . . .
147
5.4.4
More on homomorphisms . . . . . . . . . . . . . . . . . . . . . . .
149
5.4.5
Commuting permutations . . . . . . . . . . . . . . . . . . . . . .
150
153
Counting orbits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
154
5.5.1
Burnsides lemma . . . . . . . . . . . . . . . . . . . . . . . . . . .
154
5.5.2
Examples of Burnsides lemma . . . . . . . . . . . . . . . . . . . .
155
5.5.3
Automorphisms and conjugacy . . . . . . . . . . . . . . . . . . .
156
157
158
158
158
159
161
162
165
5.4
5.5
6 Ring and field theory
169
169
Further reading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
169
6.1
Introduction to rings . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
169
6.1.1
Axioms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
169
6.1.2
Elementary results . . . . . . . . . . . . . . . . . . . . . . . . . .
170
6.1.3
Examples of rings . . . . . . . . . . . . . . . . . . . . . . . . . . .
170
6.1.4
Ideals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
171
172
Commutative rings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
173
6.2.1
Zero divisors and integral domains . . . . . . . . . . . . . . . . .
173
6.2.2
Fields . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
174
6.2
Contents
6.2.3
Polynomials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
174
6.2.4
Factoring . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
177
178
Polynomial factor rings . . . . . . . . . . . . . . . . . . . . . . . . . . . .
179
6.3.1
Basic structure . . . . . . . . . . . . . . . . . . . . . . . . . . . .
179
6.3.2
Examples . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
180
6.3.3
Factoring by an irreducible . . . . . . . . . . . . . . . . . . . . . .
181
6.3.4
Field extensions . . . . . . . . . . . . . . . . . . . . . . . . . . . .
182
184
185
185
185
186
187
6.3
7 Finite geometry
189
Further reading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
189
7.1
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
189
7.2
Finite fields . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
189
7.2.1
Basic construction . . . . . . . . . . . . . . . . . . . . . . . . . .
189
7.2.2
Characteristic . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
190
7.2.3
Cyclic groups . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
190
7.2.4
Existence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
192
195
Finite linear algebra . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
195
7.3.1
Basis and dimension . . . . . . . . . . . . . . . . . . . . . . . . .
196
7.3.2
Determinant . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
197
7.3.3
Linear transformations . . . . . . . . . . . . . . . . . . . . . . . .
198
7.3.4
Inner product . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
198
7.3.5
Diagonalisation . . . . . . . . . . . . . . . . . . . . . . . . . . . .
199
201
Designs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
201
7.4.1
Definition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
202
7.4.2
Example . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
202
7.4.3
Existence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
203
7.3
7.4
vi
189
Contents
7.4.4
t-designs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
204
7.4.5
Difference sets . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
205
207
Planes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
207
7.5.1
Affine planes . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
207
7.5.2
Projective planes . . . . . . . . . . . . . . . . . . . . . . . . . . .
208
7.5.3
Matrix action . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
211
214
214
215
215
216
218
220
7.5
8 Coding theory
223
223
Further reading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
223
8.1
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
223
8.1.1
The problem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
223
8.1.2
Binary spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
224
8.1.3
Distance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
224
8.1.4
Error correcting . . . . . . . . . . . . . . . . . . . . . . . . . . . .
226
227
Linear codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
227
8.2.1
Definition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
227
8.2.2
Generator matrices . . . . . . . . . . . . . . . . . . . . . . . . . .
228
8.2.3
Parity check matrices . . . . . . . . . . . . . . . . . . . . . . . . .
228
8.2.4
Minimal distance . . . . . . . . . . . . . . . . . . . . . . . . . . .
229
8.2.5
Correcting one error . . . . . . . . . . . . . . . . . . . . . . . . .
230
231
Special codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
232
8.3.1
Hamming codes . . . . . . . . . . . . . . . . . . . . . . . . . . . .
232
8.3.2
Cyclic codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
233
8.3.3
Cyclic parity check matrices . . . . . . . . . . . . . . . . . . . . .
234
8.3.4
Irreducible polynomials . . . . . . . . . . . . . . . . . . . . . . . .
235
8.2
8.3
vii
Contents
236
237
237
237
238
239
A Sample examination paper
241
B Solutions, comments and marking scheme to the Sample examination

paper
251
viii
List of Figures
List of Figures
2.1
2.2
|Y ||X| = |Y | |Y ||X | . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Flip and rotate. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
10
2.3
Examples. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
10
2.4
How many people are watching? . . . . . . . . . . . . . . . . . . . . . . .
15
2.5
The Christmas lottery. . . . . . . . . . . . . . . . . . . . . . . . . . . . .
17
2.6
How permutations change functions. . . . . . . . . . . . . . . . . . . . .
19
2.7
Surjective selections: (a) permuting the range, (b) permuting the domain.
21
2.8
A permutation in S18 with type [6 42 2 12 ]. . . . . . . . . . . . . . . .
26
2.9
Matching cycles.
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
28
2.10 Equivalent cycles. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
29
2.11 k is not alone. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
33
2.12 k is not alone. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
35
3.1
The Fibonacci numbers. . . . . . . . . . . . . . . . . . . . . . . . . . . .
50
3.2
A cut of n objects into j objects and n j objects. . . . . . . . . . . . .
73
4.1
The graph C8 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
88
4.2
The graph K5 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
88
4.3
The Peterson graph. . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
89
4.4
A bipartite graph. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
89
4.5
The complete bipartite graph K3,4 . . . . . . . . . . . . . . . . . . . . . .
90
4.6
Isomorphic graphs. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
90
4.7
A subgraph. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
90
4.8
Complementary graphs. . . . . . . . . . . . . . . . . . . . . . . . . . . .
91
4.9
The 3-dimensional cube. . . . . . . . . . . . . . . . . . . . . . . . . . . .
91
4.10 Three connected components. . . . . . . . . . . . . . . . . . . . . . . . .
92
4.11 Every vertex has degree 3. . . . . . . . . . . . . . . . . . . . . . . . . . .
92
4.12 Minors of a graph. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
93
4.13 A directed graph. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
94
4.14 An oriented directed graph. . . . . . . . . . . . . . . . . . . . . . . . . .
94
4.15 A walk and the unused edges. . . . . . . . . . . . . . . . . . . . . . . . .
96
ix
List of Figures
4.16 No Hamiltonian cycle? . . . . . . . . . . . . . . . . . . . . . . . . . . . .
97
4.17 Adding edge {u, v} to a tree. . . . . . . . . . . . . . . . . . . . . . . . . .
99
4.18 Some cycle contains e. . . . . . . . . . . . . . . . . . . . . . . . . . . . .
100
4.19 All vertices with even degree. . . . . . . . . . . . . . . . . . . . . . . . .
101
4.20 Two paths from x to y. . . . . . . . . . . . . . . . . . . . . . . . . . . . .
102
4.21 G0 : different colours. . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
106
4.22 G0 : same colour. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
106
4.23 Two a-cyclic orientations. . . . . . . . . . . . . . . . . . . . . . . . . . .
107
4.24 A proper critical set. . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

eB
e vertex cover. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
4.25 A
110
4.26 A network. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
117
5.1
A transposition. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
131
5.2
Combining transpositions. . . . . . . . . . . . . . . . . . . . . . . . . . .
132
5.3
Two cycles from one cycle. . . . . . . . . . . . . . . . . . . . . . . . . . .
133
5.4
One cycle from two cycles. . . . . . . . . . . . . . . . . . . . . . . . . . .
134
5.5
The order of g is l. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
137
5.6
Cyclic groups. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
138
5.7
The kernel. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
142
5.8
and generate D4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
146
5.9
Orbits. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
148
5.10 and commute. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
151
7.1
Looking for a larger cycle. . . . . . . . . . . . . . . . . . . . . . . . . . .
191
7.2
An affine plane. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
208
7.3
Projective space: opposite points identified. . . . . . . . . . . . . . . . . .
209
7.4
Planes and lines are one-to-one. . . . . . . . . . . . . . . . . . . . . . . .
210
7.5
Representing projective space. . . . . . . . . . . . . . . . . . . . . . . . .
211
7.6
A translation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
213
112
Chapter 1
Introduction
In this very brief introduction, I aim to give you an idea of the nature of this course and
to advise on how best to approach it. I also give general information about the contents
and use of this subject guide, on recommended reading, and on how to use the
textbooks.
1.1
1.1.1
This course
Relationship to previous mathematics courses
If you are taking this course as part of a BSc degree, you will already have taken the
prerequisite mathematics course 116 Abstract mathematics. In 116 Abstract
mathematics you will have learned about the fundamentals of mathematical
reasoning, in addition to some background in discrete mathematics and algebra.
After studying this course, you should be equipped with a knowledge of concepts which
are central not only to advanced mathematics courses, but to applications of
mathematics in many areas. You may also discover that some concepts appear in many
different contexts, so that the course material will at times appear to be interwoven.
More generally, a course of this nature, with the emphasis on abstract reasoning and
proof, will help you to think in an analytical way and formulate mathematical
arguments in a precise, logical manner.
1.1.2
Aims
The course is designed to enable you to:

obtain general knowledge about the areas of discrete mathematics and algebra
understand a variety of methods used to construct mathematical proofs
acquire an insight into applications such as coding and designs.
1.1.3
Learning outcomes
At the end of the course, and having completed the Essential reading and activities you
should be able to:
demonstrate knowledge of the definitions, concepts, and methods in the topics
covered, and how to apply these
find and formulate simple proofs
model situations in a mathematical way and derive useful results.
1. Introduction
1.1.4
Topics covered
We study the formal mathematical theory of:

counting
generating functions
graphs
group theory
ring and field theory
finite geometry
coding theory.
1.2
1.2.1
Recommended books
Essential reading
This is just a course guide and not a textbook. Almost all of the theoretical material
covered in this guide can be found in the two books by Peter Cameron, Introduction to
Algebra and Combinatorics, and the book Discrete Mathematics by Norman Biggs. The
connections to these books will be mentioned throughout the guide. Additionally, you
should look at Part I (Foundations) of Discrete Mathematics as a summary of the
prerequisite mathematical knowledge for this course.
Unfortunately, there is no single book that covers all the material of this course.
Furthermore, some of the material of these books is too advanced for this course. You
would do well to read the chapters of these books that are mentioned as reading at the
start of each chapter of this guide. Almost all of the theoretical material of this guide is
to be found in these three books. However, some of the theoretical material of this guide
are variations on themes presented in these three books. When the material cannot be
found explicitly in any of these three books, the connections to the appropriate sections
in these books will, nevertheless, be mentioned. It may prove useful also to work
through examples and exercises presented in these books as well as the exercises and
examples of this guide. The proofs in this guide are my proofs. Sometimes they are
essentially the same as those presented in these three books and sometimes they are
quite different. Also, sometimes the proofs by Biggs and Cameron of the same result
will differ significantly. It is usually an advantage to understand how the same result
can be proven in different ways, and it is recommended that you read both the proofs in
this guide and the proofs in the three textbooks.
R
R
R
The full information on these three books is given below:
N. Biggs. Discrete Mathematics. (Oxford: Oxford University Press, 2002) [ISBN

9780198507178].
P.J. Cameron. Introduction to Algebra. (Oxford: Oxford University Press, 2008)
[ISBN 9780198527930].
P.J. Cameron. Combinatorics. (Cambridge: Cambridge University Press, 1994)
[ISBN 9780521457613].
1.3. Online study resources
When cited in this guide, I will refer to them as Discrete Mathematics, Algebra and
Combinatorics respectively.
Detailed reading references in this subject guide refer to the editions of the set
textbooks listed above. New editions of one or more of these textbooks may have been
published by the time you study this course. You can use a more recent edition of any
of these books; use the detailed chapter and section headings and the index to identify
relevant readings. Also check the virtual learning environment (VLE) regularly for
updated guidance on readings.
1.2.2
Further reading
Please note that as long as you read the Essential reading you are then free to read
around the subject area in any text, paper or online resource. You will need to support
your learning by reading as widely as possible. To help you read extensively, you have
free access to the VLE and University of London Online Library (see below).
There are many additional books that might be useful for this course. Some are listed
below:
R
R
R
R
R
R
R
M. Artin. Algebra. (Englewood Cliffs, NJ: Prentice Hall, 1991) [ISBN

9780130047632].
J.A. Bondy and U.S.R Murty. Graph Theory with Applications. (Berlin: Springer
Verlag, 2010) [ISBN 9781849966900].
D.S. Dummit and R.M. Foote. Abstract Algebra. (Hoboken, NJ: Wiley, 2003)
[ISBN9780471433347].
I.N. Herstein. Topics in Algebra. (Hoboken, NJ: Wiley, 1975) [ISBN
9780471010906].
R. Stanley. Enumerative Combinatorics, Volume 1 (Cambridge: Cambridge
University Press, 1997) [ISBN 9780521663519].
D.J.A. Welsh. Codes and Cryptography. (Oxford: Clarendon Press, 1988) [ISBN
9780198532873].
D.B. West. Introduction to Graph Theory. (Englewood Cliffs, NJ: Prentice Hall,
2001) [ISBN 9780130144003].
1.3
Online study resources
In addition to the subject guide and the Essential reading, it is crucial that you take
advantage of the study resources that are available online for this course, including the
VLE and the Online Library.
You can access the VLE, the Online Library and your University of London email
account via the Student Portal at:
http://my.londoninternational.ac.uk
You should have received your login details for the Student Portal with your official
offer, which was emailed to the address that you gave on your application form. You
1. Introduction
have probably already logged in to the Student Portal in order to register! As soon as
you registered, you will automatically have been granted access to the VLE, Online
Library and your fully functional University of London email account. If you forget your
login details at any point, please email uolia.support@london.ac.uk quoting your
student number.
1.3.1
The VLE
The VLE, which complements this subject guide, has been designed to enhance your
learning experience, providing additional support and a sense of community. It forms an
important part of your study experience with the University of London and you should
access it regularly.
The VLE provides a range of resources for EMFSS courses:
Self-testing activities: Doing these allows you to test your own understanding of
subject material.
Electronic study materials: The printed materials that you receive from the
University of London are available to download, including updated reading lists
and references.
Past examination papers and Examiners commentaries: These provide advice on
how each examination question might best be answered.
A student discussion forum: This is an open space for you to discuss interests and
experiences, seek support from your peers, work collaboratively to solve problems
and discuss subject material.
Videos: There are recorded academic introductions to the subject, interviews and
debates and, for some courses, audio-visual tutorials and conclusions.
Recorded lectures: For some courses, where appropriate, the sessions from previous
years Study Weekends have been recorded and made available.
Study skills: Expert advice on preparing for examinations and developing your
digital literacy skills.
Feedback forms.
Some of these resources are available for certain courses only, but we are expanding our
provision all the time and you should check the VLE regularly for updates.
1.3.2
Making use of the Online Library
The Online Library contains a huge array of journal articles and other resources to help
you read widely and extensively.
To access the majority of resources via the Online Library you will either need to use
your University of London Student Portal login details, or you will be required to
register and use an Athens login:
http://tinyurl.com/ollathens
The easiest way to locate relevant content and journal articles in the Online Library is
to use the Summon search engine.
If you are having trouble finding an article listed in a reading list, try removing any
punctuation from the title, such as single quotation marks, question marks and colons.
1.4. Examination advice
For further advice, please see the online help pages:

http://www.external.shl.lon.ac.uk/summon/about.php
1.4
Examination advice
Important: the information and advice given here are based on the examination
structure used at the time this guide was written. Please note that subject guides may
be used for several years. Because of this we strongly advise you to always check both
the current Regulations for relevant information about the examination, and the VLE
where you should be advised of any forthcoming changes. You should also carefully
check the rubric/instructions on the paper you actually sit and follow those instructions.
A Sample examination paper is given at the end of this guide. There are no optional
topics in this course: you should study them all. The examination paper will provide
some element of choice as to which questions you attempt: see the Sample examination
paper at the end of the guide for an indication of the structure of the examination
paper.
Please do not assume that the questions in a real examination will necessarily be very
similar to these sample questions. An examination is designed (by definition) to test
you. You will get examination questions unlike questions in this guide and each year
there will be examination questions different from those in previous years. The whole
point of examining is to see whether you can apply knowledge in familiar and unfamiliar
settings. For this reason, it is important that you try as many examples as possible,
from the guide and from the textbooks. This is not so that you can cover every possible
type of question the Examiners can think of! It is so that you get used to confronting
unfamiliar questions, grappling with them, and finally coming up with the solution.
Do not panic if you cannot completely solve an examination question. There are many
marks to be awarded for using the correct approach or method.
The examination covers the material in this guide. The three textbooks used in this
course do contain material that is too advanced for this course, and therefore I would
not expect you to have mastered all the material covered in these books. However, if
you do, it would not hurt your performance in the examination! It would be very helpful
to study the Sample examination paper at the end of this guide to understand the level
of difficulty, the format and the types of topics covered. As a general rule, you will not
be expected to reproduce long or complicated proofs that are contained in this guide.
However, knowledge of shorter and simpler proofs may be requested and certainly it is
desirable that you know something of the significance and application of all the
theorems covered in this guide.
You will not be permitted to use calculators of any type in the examination. This is not
something that you should panic about: the Examiners are interested in assessing that
you understand the key concepts, ideas, methods and techniques, and will therefore set
questions which do not require the use of a calculator.
1. Introduction
Remember it is important to check the VLE for:

up-to-date information on examination and assessment arrangements for this course
where available, past examination papers and Examiners commentaries for the
course which give advice on how each question might best be answered.
1.5
Basic notation
We often use the symbol to denote the end of a proof, where we have finished
explaining why a particular result is true. This is just to make it clear where the proof
ends and the following text begins.
Chapter 2
Elementary counting
RR
Essential reading
Biggs, Norman. Discrete Mathematics. Chapters 10, 11 and 12.

Cameron, Peter J. Combinatorics. Chapters 3 and 5.
Further reading
2.1
Stanley, Richard. Enumerative Combinatorics I.
Introduction
In this chapter, we look at elementary counting, the ways to determine the size of a
finite set. In later chapters, we introduce ways to count that involve more sophisticated
algebraic methods.
2.2
Selections
The relevant reading here will be Sections 10.l to 10.4 of Discrete Mathematics and
Section 3 of Combinatorics.
The following definition is in Section 6.2 of Discrete Mathematics.
Definition 2.1 The cardinality of a non-empty finite set A is its number of elements,
equivalently the positive integer n such that there is a one-to-one matching of every
element of A with every element of {1, 2, . . . , n}. The cardinality of the empty set is
zero.
If X is a finite set, |X| stands for the cardinality of X.
2.2.1
Number of functions
A function f from a set X to another set Y is a way of assigning to each element of X a

single element of Y , and f : X Y denotes a function from X to Y .
If X and Y are finite, how many functions are there from X to Y ?
The following lemma is Theorem 10.4 of Discrete Mathematics.
2. Elementary counting
Lemma 2.1 The number of functions from X to Y is |Y ||X| .
Proof
The proof is by induction on the size of X. If |X| = 1, then there are exactly |Y |
functions. Given X = X 0 {x} with x 6 X 0 , by induction assume that there are
0
|Y ||X | = |Y ||X|1 functions from X 0 to Y . See Figure 2.1. For every function from X 0 to
Y we have Y choices of where to send x, for a total of |Y ||X|1 |Y | = |Y ||X| .
X0
Y
x
0
Figure 2.1: |Y ||X| = |Y | |Y ||X | .
The following lemma is also proven in Section 3.1 of Combinatorics and given as an
example following Theorem 10.4 of Discrete Mathematics.
Lemma 2.2 The number of subsets of a finite set X (including the empty set and
the full set X) is 2|X| .
Proof
Let Y = {0, 1}. For every function f : X Y = {0, 1} from X to the set {0, 1} of size
two define a subset Af of X by Af = {x | f (x) = 1}, the subset that gets mapped to 1
by f . Notice that every subset is Af for some function f : X Y = {0, 1} and f = g if
and only if Af = Ag . Therefore the number of subsets of X is 2|X| by Lemma 2.1.
2.2.2
Functions with restrictions and equivalence relations
The four most common selections determined by restrictions and equivalence relations
are discussed in Section 3.7 of Combinatorics and Section 10.5 of Discrete Mathematics.
The number of all functions from some set X to some set Y may not be interesting, for
two reasons:
(1) what may be interesting is only some subset of all functions: we call this
Restriction to a subset of the functions
(2) some pairs of functions may be essentially the same: we call this
Equivalence relation on the functions
2.2. Selections
Equivalence relations are also defined in Section 3.8 of Combinatorics and Section 7.2 of
Discrete Mathematics and you will have studied them in 116 Abstract mathematics.
A relation on A is a subset of A A. It is an equivalence relation if

i) a a for all a A (symmetric)
ii) a b b a for all a, b A (reflexive)
iii) a b, b c a c for all a, b, c A (transitive).
A partition of a finite set A is a collection {A1 , A2 , . . . , Ak } of subsets of A such that

A = A1 A2 Ak and Ai Aj = if i 6= j. Every equivalence relation on some
finite set A defines a partition {A1 , A2 , . . . , Ak } of that set A through a b if and only
if a and b belong to the same member Ai of the partition. Conversely, any partition
{A1 , A2 , . . . , Ak } of A will define an equivalence relation in the same way. An
equivalence class of the relation is any one Ai of the sets A1 , . . . , Ak , and the number of
equivalence classes is k, which is the number of sets in the partition.
Examples
To illustrate when a restriction to a subset of functions is important, rather than all the
functions, consider the selection of a five-member basketball team from 20 possible
players. Basketball teams have five different positions, the centre, the right forward, the
left forward, the right guard, and the left guard. A team selection could be seen as a
function from {1, 2, . . . , 5} to {p1 , p2 , . . . p20 }, where the set {1, 2, . . . , 5} stands for the
five different positions on the team and p1 , p2 , . . . , p20 are the players. There are 205
possibilities for such functions. However, there is no reason to be interested in the
function that assigns two different positions i and j to the same player pk , as then we
would get less than five players on the team (and one player covering two different
positions). We are only interested in the subset of functions such that exactly five
players are chosen. The number we really want is 20 19 18 17 16 = 1, 860, 480.
To illustrate how an equivalence relation may be relevant, we may not care in which
order or to which position the players are chosen, only that five players are chosen. This
is a combination of a restriction to a subset and an equivalence relation. The number
1, 860, 480 must be divided by 120 = 5 4 3 2 1, the number of ways to order the five
players, for the answer 19 17 16 3 = 15, 504.
Also possible, though strange to the game of basketball, is concern for the equivalence
relation without the restriction that five players should be chosen. We do not care in
which order the players are chosen, but a player could be chosen twice (or more often).
Determining the number of equivalence classes of this equivalence relation may be
tricky, due to the different possibilities for functions to choose the same player more
than once. We return to this problem later when we show that there is a simple
mathematical solution.
Another example of when the number of equivalence classes of functions are more
interesting than the number of functions concerns the number of ways to create a
necklace of beads with different colours. Suppose we wanted to create necklaces with
twelve beads using the three colours red, blue, and yellow. The number of ways to
assign the three colours to six positions would be 36 . However, rotating or flipping the
necklace results in the same necklace. For example, the necklace defined by the sequence
y, y, b, r, b, r is the same necklace as that defined by the sequences r, b, r, b, y, y
(flipping between beads) and is the same as that defined by the sequence y, r, b, r, b, y
(rotating by one). All three of these functions define the same necklace. See Figure 2.2.
Counting the number of necklaces is a problem of counting the number of equivalence
classes, where two functions are equivalent if they define the same necklace. An effective
method for determining this number will be presented in a later chapter.
r
Figure 2.2: Flip and rotate.
In general, given a subset A of all the functions and an equivalence relation defined by
we will want to know the number k such that there is a partition {A1 , A2 , . . . , Ak } of
A such that for all a, b A it holds that a b if and only if a, b Ai for some i.
The following definitions are given in Section 5.2 of Discrete Mathematics and in 116
Abstract mathematics.
A function f : X Y is injective if f (x) = f (y) implies that x = y.
The image of a function f : X Y (im (f )) is the subset of all points in Y that are
f (x) for some x in X.
A function f : X Y is surjective if the image of f is the whole set Y .
A function that is both injective and surjective is called a bijection.
A bijective function from a set X to itself is called a permutation of X. See Figure 2.3.
Injective
Surjective
Bijective
Figure 2.3: Examples.
There are many types of subset restrictions and equivalence relations. But there are two
pairs that are most commonly used. They are the same as those presented in Chapter
10
2.2. Selections
3.7 of Combinatorics and in Sections 10.5 and 11.2 of Discrete Mathematics. We

consider the functions from a set X to a set Y .
1. Subsets of functions:
With repetitions: all functions from X to Y are relevant.
Without repetitions: only injective functions from X to Y are relevant.
2. Equivalence relations:
Ordered: no two distinct functions from X to Y are considered to be equivalent.
Unordered: permutations on X yield equivalent functions.
Permutations on Y yielding equivalent functions define a different equivalence relation.
We deal with this later.
Four most common selections
Ordered with repetitions: this is the most inclusive. These are all the functions from
a k-set to an n-set.
The best example is the number of different keys that can be made to open a lock. At
every depth of the key there are finitely many positions. The width of the key has to
match that of the lock for every position, otherwise the key will not work.
Ordered without repetitions: This is the subset of injective functions.
Suppose there is a cricket team of 20 players. The manager must choose not only 11
players from the 20 on the team to bat, but also determine the batting order. For the
first on the batting order, one of 20 can be chosen. For the second, one of 19 can be
chosen, and so on. The number of such functions is 20 19 10.
The number n (n 1) (n k + 1) is called n falling k and is denoted by (n)k . It is

the number of injective functions from a k-set to an n-set.
Obviously if k is larger than n then there can be no injective function, and then (n)k is
defined to be zero.
Unordered without repetitions: Only the injective functions are used, and all
functions with the same image are equivalent.
For example, the above example of choosing 5 players from 20 to make a basketball
team is such a selection, where their positions or the order of their selection is not
important nor considered.
The number (k)k = k (k 1) 1 is denoted by k!. It is the number of bijective

(n)k
functions from a k-set to itself. The number
is called n choose k, and is written
k!

n
n!
as
or as
. This is also the number of k subsets of an n-set. If n is smaller
k
k!(n k)!

n
would be 0 (as there would be no injective functions from a
than k then (n)k and
k
n
n
0
k-set to an n-set) and
=
=
= 1. This is also presented in Section 3.2 of
0
n
0
Combinatorics.
11
Unordered with repetitions: There is a total of k objects and n different types or

colours. What matters is how many objects there are of each type or colour, but the
objects themselves have no identity.
Example 2.1 In a population of k = 7, there are people of the n = 4 blood types,
A, B, C, and D. What are the possible distributions?
We can represent a distribution as a total of n 1 dividers | between the k objects
that are to be labelled (representing the division into n different classes). If there are
two of type A, three of type B, none of type C, and two of type D, we can represent
this as AA|BBB||DD.
There are n 1 dividers and a distribution is determined by the location of these
dividers in a set of n + k 1 positions. Therefore the number of distributions is

n+k1
n+k1
=
.
n1
k
This argument is made in Section 3.7 of Combinatorics and it is Theorem 11.2 of
Discrete Mathematics.
Define n(k) to be n (n + 1) (n + 2) (n + k 1). n(k) is called
n rising
and it is

k,(k)
n+k1
n
.
the same as (n + k 1)k . We also have the simple identity
=
k!
n1
In the above example we distributed people into blood types where the people had no
identities. We could also distribute coins or money to people where the coins or money
had no identity but the people do. This would be the same mathematical problem, but
one must remember that the people play different roles; in the former they are in the
domain of the function and have no identities while in the latter they are in the range of
the function and do have identities. We deal in more detail with this problem in a later
chapter.
2.2.3
Pascals triangle

n
Now we look in more detail at
and its properties. This can also be found in
k
Section 11.1 of Discrete Mathematics and Section 3.3 of Combinatorics.
The following lemma is Theorem 11.1.1 of Discrete Mathematics.
Lemma 2.3 For n k > 0

n
n1
n1
=
+
.
k
k
k1
Proof
Choose any number i from 1 to n. The k subsets of {1, 2, . . . , n}can be
made including
n1
the number i or excluding the number i. By including we have
ways and by
k1

n1
excluding we have
ways.
k
12
2.2. Selections

n
Lemma 2.3 gives one way to calculate
known as Pascals Triangle.
k
1
1 1
1 2 1
1 3 3 1
1 4 6 4 1
1 5 10 10 5 1
1 6 15 20 15 6 1
The following is proven in Section 3.3 of Combinatorics and Section 11.3 of Discrete
Mathematics. It is known as the Binomial Theorem.
n
X
n k nk
n
Lemma 2.4 (a + b) =
a b .
k
k=0

Proof (1)
0
When n = 0 then
= 1 and we get 1 on both sides of the equation. By induction,
0
we can assume that

n1
X
n 1 k nk1
n1
(a + b)
=
a b
.
k
k=0
It follows that
(a + b)(a + b)
n1

n1
n1
X
n 1 k nk X n 1 k+1 nk1
=
a b
+
a b
.
k
k
k=0
k=0
The latter sum can be re-written as

n
X
n 1 k nk
a b .
k
1
k=1
Collecting together the terms for k 1 one gets the coefficient

n1
n1
n
+
=
k1
k
k
(from Lemma 2.3). And for k = 0 one simply gets the coefficient

n
and equal to
.
0

n1
which is 1
0
Proof (2)
The number of unordered ways
and without repetition to select k times the letter a and
n
n k times the letter b is
. This is exactly the coefficient for ak bnk in the
k
expression (a + b)(a + b) (a + b) repeated n times, which counts the number of k
choices for a with n k choices for b.
13
Proof (3)
Let D be the differential operator on the polynomials, meaning that Df of the
df
polynomial f (x) is the function
. From elementary calculus there is Taylors formula,
dx
which states that for all polynomials f
f (x + y) = f (x) + [Df ](x)y +
n
[Dk f ](x)y k
+ .
k!
Letting f (t) be t , it follows by substitution, as [D f ](x) = (n)k x
nk

n
(n)k
and
=
.
k
k!
Exercises for section 2.2

Exercise 2.1
How many results are possible when throwing 6 identical 6-sided dice?
Exercise 2.2
How many ways are there to roll two identical dice for a sum that is divisible by three?
Likewise for a sum divisible by two?
Exercise 2.3
Assume that there are nine billiard balls, five of them are black and the other four are
coloured blue, yellow, red, and green. In how many ways can one choose five balls out of
these nine (so that with respect to the black balls only their number is relevant)?
Exercise 2.4
Prove the formula for any integers n and k:
k
X
k
k
n =
(n 1)j .
j
j=0
We proved using induction on the number k that nk is the number of functions from a
k-set to an n-set. How can this formula be used to prove the same result using
induction on the number n?
Exercise 2.5
Prove the formula for n 1 and s 1:

s+n
s1
s
s+1
s+n1
=
+
+
+ +
.
n
0
1
2
n
2.3
Inclusion-exclusion
If in a room there are 17 adult men and 22 adult women then there are 39 adults. Why?
14
2.3. Inclusion-exclusion
First, all adults are either men or women, and second, nobody is both a man and a
woman.
The North London football teams Arsenal and Tottenham are playing and people are
watching the game on TV in a pub. If 13 fans of Arsenal are watching and 8 fans of
Tottenham are watching, how many people are watching? See Figure 2.4.
The Old White Lion
Tottenham
fans
Arsenal fans
TV
Figure 2.4: How many people are watching?
The equation 13 + 8 = 21 might be the wrong answer. First, there may be some people
watching who are not fans of either team. Second, some people may be fans of both
teams. If everyone is indeed a fan of one of the two teams and two of them are fans of
both teams, then we know that 19 people are watching. We can calculate this in two
ways. We can break things down into three categories: exclusive fans of Arsenal,
exclusive fans of Tottenham, and fans of both, with 13 2 = 11 of the first, 8 2 = 6 of
the second, and 2 of the third, and then add up for 11 + 6 + 2 = 19. Another way is to
add the 13 and 8 together, and then subtract the 2, the people who were counted twice.
The second way is of greater mathematical sophistication.
2.3.1
The theorem
Proofs of the following theorem are in Sections 11.4 and 11.5 of Discrete Mathematics
and Section 5.1 of Combinatorics.
Theorem 2.5 (Inclusion-Exclusion) Let A1 , A2 , . . . , An be finite sets.

n
[

\
X

(1)|K|+1
Ai .
Ai =

i=1
6=K{1,2,...,n}
iK
15
Proof
The proof is by induction on n. If n = 1 then there is only one non-empty subset of {1}
and on the right side 1 is put to the power of 2 for (1)2 |A1 | = |A1 |. If n = 2 then on
the right side we have |A1 | + |A2 | |A1 A2 |.
Now assume it is true for n 1 and define A to be the set

Using only the two sets An and A ,
n1
[
Ai .
i=1

n
[

Ai = |A | + |An | |A An |.

i=1
1. By induction
|A | =
2. With A An =

\

Ai .
(1)|K|+1

n1
[
i=1
iK
6=K{1,2,...,n1}
(Ai An ) by induction
|A An | =

\

|K|+1
Ai An .
(1)

Rewrite
|An | |A An | = |An |
= |An |
=
iK
6=K{1,2,...,n1}
(1)|K|+1
iK
6=K{1,2,...,n1}

\

Ai

(1)|K|
nK,K6={n}
(1)|K|+1

\

A
A

i
n

iK

\

Ai .

iK
nK{1,2,...,n}
Now put both parts together.
The following is a corollary of the inclusion-exclusion theorem that is easy to apply in

many situations, some of which we will present below.
Corollary 2.6 If for every 1 j n there is a\
number bj such that for every subset
K {1, . . . , n} with |K| = j the cardinality of
Ai is bj then
iK

n
n
[
X

j+1 n
(1)
bj .
Ai =

j
i=1
16
j=1
2.3.2
Applications
Application to co-primes
For any positive integer n the number (n) is defined to be the number of positive
integers k less than n such that the greatest common divisor of k and n is 1, meaning
that the only positive integer that divides both k and n is the number 1. The following
application is presented in Section 11.5 of Discrete Mathematics.
Assume that n breaks down to n = p1 1 p2 2 pq q , where p1 , p2 , . . . , pq are distinct prime

integers.
To apply inclusion-exclusion, we need to determine first for every subset of prime
numbers that divides the number n how many numbers less than or equal to n are
divided by this subset. Let A be any subset of {1, 2, . . . , q}. It is easy to calculate that
the number of positive integers less than n divisible by all the primes in A is
Q
n
iA
pi
the same as the number of positive integers less than or equal to n divided by
pi .
iA
Apply the inclusion-exclusion theorem to get

X
n
(n) = n
(1)|A|+1 Q
A{1,2,...,q}
1
=n 1
p1
iA
pi

1
1
1
1
.
p2
pq
Application to derangement
A company has the idea of its employees giving random Christmas presents to each
other. Each person brings a present for somebody else, and a number is attached to it.
The numbers are written on folded pieces of paper which are placed in a box. The
employees take turns removing a number from the box. An employee receives the
present corresponding to the number on the selected piece of paper. See Figure 2.5.
Employees
Induced bijection
Box
Employees
Figure 2.5: The Christmas lottery.
17
The only problem with this idea is the possibility that somebody gives their present to
themselves. If there are only two employees, this probability is one-half. If there are
three employees then this probability is 32 (4 out of the six permutations).
What is the probability of somebody getting their own present if n is large? Will this
probability converge, and if so to 0, 1, or something in between as n goes to infinity?
This problem is treated in Section 11.4 of Discrete Mathematics.
Let N be the set of employees, and n = |N | its size. For every A N the number of
permutations of N such that all in A get their own presents is exactly the number of
permutations
of N \A, namely (n |A|)!. For every k the number of subsets of N of size

n
k is
.
k
By the inclusion-exclusion formula the number of permutations of N such that at least
one element is mapped to itself is

n
n
X
X
(1)k+1
k+1 n
.
(n k)! = n!
(1)
k!
k
k=1
k=1
After dividing by n!, the total number of permutations, the probability that nobody
gets their own present is
n
n
X
(1)k+1 X (1)k
1
=
.
k!
k!
k=1
k=0
This is also presented in Theorem 5.1.3 of Combinatorics.
n
X
X
xk
(1)k
x
The Taylor formula for e is
. It follows that lim
is e1 . Therefore the
n
k!
k!
k=0
k=0
1
probability that nobody gets their own present is e in the limit, or about 0.368. If the
company is big then the probability that somebody gets their own present is over 60 per
cent. Interestingly this probability is not monotone in the variable n. Even numbers of
elements give a slightly greater tendency for avoiding the situation where somebody
gives a present to themselves.
2.3.3
Surjective functions
How many surjective functions are there from a k-set to an n-set? We can use the
inclusion-exclusion method to get an answer.
We calculate the number of surjective functions from a k-set to an n-set by calculating
first the number of non-surjective functions. A function that is not surjective avoids
some subset of the n-set. The number of functions that avoids a subset of size j is
(n j)k , the total number of functions from a k-set to the other elements excluding the
chosen set of size j. By inclusion-exclusion the number of non-surjective functions is

n
X
j+1 n
(1)
(n j)k .
j
j=1
Therefore, the number of surjective functions is

n
n
X
X
k
j+1 n
k
j n
n
(1)
(n j) =
(1)
(n j)k .
j
j
j=1
j=0
18
This is presented in Theorem 5.1.2 in Combinatorics.
Surjective selections
1
f
1
2
3
1
f
1
2
2
3
f
1
2
2
3
Figure 2.6: How permutations change functions.
With regard to surjective functions from a k-set to an n-set there are at least two ways
to define equivalence relations. One can permute the domain, the k-set. This is what we
have done so far. Also one can permute the range, the n-set. We count the number of
surjective selections using both approaches. We discover that the solutions are not that
different from the solutions when one does not require surjectivity.
What do we mean by the equivalence relationships defined by permuting the domain
and permuting the range? Take the function f : {1, 2, 3} {1, 2} defined by f (1) = 2,
19
f (2) = 2, f (3) = 1. Let be the permutation of the domain {1, 2, 3} represented by the
cycle (1 2 3) and the permutation of the range represented by the cycle (1 2). If
permutations in the domain defined equivalent functions then f would be equivalent to
the function f which takes 1 to 2, 2 to 1, and 3 to 2. If permutations in the range
defined equivalent functions then f would be equivalent to the function f which
takes 1 to 1, 2 to 1, and 3 to 2. See Figure 2.6.
Permuting the k-set
How many ways are there to map k non-distinct (equivalent) objects surjectively to n
distinct positions?
The method is virtually the same as when surjectivity is not required. We reserve in
each of the n positions at least one object. Only the distribution of the rest of the
objects matters. The answer is the same for the distributing
ofk n objects into n

k1
positions without the surjectivity requirement, namely
.
n1
Permuting the n-set
How many ways are there to map k distinct objects surjectively to n non-distinct
(equivalent) positions?
Divide the number of surjective functions by the number of permutations of n, namely

n
1 X
j n
n!. Define S(k, n) to be the number
(1)
(n j)k . This is also the number of
n! j=0
j
ways to partition k distinct objects into n different parts. The numbers S(k, n) are
called the Stirling Numbers of the Second Kind. We look at them in more detail later,
also in relation to the Stirling Numbers of the First Kind.
Why are the answers to the above two questions so different? When the equivalence
relation is defined by permuting the set X (of size k) why do we not divide the number
of surjective functions by k!, as we do by n! when the equivalence relation is defined by
permuting the set of size n?
Fix any two objects, a and b, in the set X. Some of the functions will take both a and b
to the same position and some will not, which explains the difference and why one does
not divide by k!. If k = 3 and n = 2 there will be 6 different surjective functions (23 = 8
functions in all but two that are not surjective). There are 2 rather than 1 = 3!6
equivalence classes when permuting the k-set, as can be easily checked. See Figure 2.7.
With regard to permuting the n-set we notice that the surjective solution gives us the
answer for when we do not require surjectivity. Simply, we add up all the possibilities
for different sizes of sets that can be hit for the answer S(k, 1) + S(k, 2) + + S(k, n).
Permuting both the k-set and the n-set
How many ways are there to map k non-distinct (equivalent) objects into n non-distinct
(equivalent) positions? This topic concerns the partitions of an integer, something that
we consider in more depth later.
20
(a)
1
2
(b)
Figure 2.7: Surjective selections: (a) permuting the range, (b) permuting the domain.
Example 2.2 (Cards)

When playing with a standard deck of 52 cards, in how many ways can a card player
receive a hand of five cards with at least one card from each suit?

52
The total number of hands is
. We count the number of possibilities of
5

52
receiving only cards from 3 or fewer suits, and subtract the result from
.
5
Assuming the suits are numbered 1 through 4, for every proper subset
A {1, 2, 3, 4} let HA be the set of hands that uses only the suits in A and let nA be
the
number
of hands which are made from only suits in the set A. This number nA is
13|A|
, and is determined only by the size of A. We need to calculate the size of
5
[
HA . By inclusion-exclusion this number is
A{1,2,3,4}

39
26
13
0
4
6
+4
.
5
5
5
5

52
Subtracting from
gives the answer
5

52
39
26
13
4
+6
4
= 685, 464.
5
5
5
5

52
With the total number of hands being
= 2, 598, 960, we see that only about 26
5
per cent of all hands have all four suits.
There is another way to count this number. One of the suits must be represented by
two cards, the rest by one. We choose one
of four
suits to be represented twice, and
13
then two representatives can be chosen in
= 78 ways. For each of the other
2
three suits we have a choice of one of 13 representatives. The answer is
4 78 133 = 685, 464. It is valuable to look at both of these methods.
21

Exercise 2.6
How many integers from 1 to 106 (inclusive) are either squares or cubes?
Exercise 2.7
What is the number of surjective functions from a 6-set to a 4-set?
What is the number if the selection is unordered, meaning that only the number of
elements reaching each member of the 4-set is relevant?
Exercise 2.8
Define two functions from a 6-set to a 4-set to be equivalent if a permutation of the
4-set transforms one function into the other function. There are 46 such functions, but
how many equivalence classes?
Exercise 2.9
Consider the functions from a k-set to an n-set and let two functions f, g be equivalent
if f = g where is any permutation of the k-set. Find numbers k and n such that
more than two-thirds of the functions are surjective however less than one-third of the
equivalent classes contain surjective functions.
Exercise 2.10
In a standard deck of 52 cards, there are four suits and each suit has the numbers 1 to
13 (with King=13 and Ace=1). A 4-hand is a set of 4 different cards from this deck.
(a) How many different 4-hands can a player receive?
(b) How many different 4-hands can a player receive such that all 4 cards are of the
same suit?
(c) How many different 4-hands can a player receive where there are exactly two
numbers present with two cards of each number?
A game is played with four players, each receiving a 4-hand. Player One holds in his
hand all four cards of the number eight. The last three parts concern this situation of
Player Ones unusual 4-hand. Two ways are different if and only if some player holds a
different hand.
(d) In how many different ways can the rest of the cards be distributed to the other
three players?
(e) Of those ways from question (d), for how many will all three other players receive
hands that contain four cards of the same suit?
(f) Of those ways from question (d) how many involve at least one of the other three
players also having four cards of the same number? Hint: use inclusion-exclusion.
22
2.4. Partitions and permutations
Exercise 2.11
How many ways are there to distribute 6 black balls (indistinguishable objects) and 6
coloured balls (distinguishable objects with 6 distinct colours) to five distinguishable
people so that three people get 2 objects and two people get 3 objects?
2.4
Partitions and permutations
Relevant to this section are Sections 3.5, 13.1 and 13.2 of Combinatorics and Sections
12.1 to 12.5 of Discrete Mathematics.
2.4.1
Partitions of an integer
A partition of a positive integer k is a way to write k as a sum of positive integers. For

example, the partitions of 5 are the following:
5
4+1
3+1+1
3+2
2+2+1
2+1+1+1
1+1+1+1+1
The above listing of the partitions of 5 are grouped according to the size of the
partition. 3 + 1 + 1 and 2 + 2 + 1 are the partitions of 5 into three parts. For every
positive integer n there will be only one partition into one part, namely n itself, and
only one partition into n parts, namely 1 + 1 + + 1.
The partitions of an integer k are the equivalence classes of the functions from a k-set
to a k-set when permutations of both the domain and the range of the function result in
equivalent functions.
2.4.2
Partition and cycle types
The conventional notation for a partition of an integer k uses the form

[r1m1 r2m2 rlml ]
where k =
l
X
i=1
ri mi and r1 > r2 > > rl and dropping the exponent means that it
should be 1. This is presented in Section 13.1 of Combinatorics and Section 12.4 of

The partition 3 + 1 + 1 of 5 is written as [3 12 ].
The partition 5 + 3 + 3 + 2 + 2 + 2 + 1 + 1 + 1 of 20 is written as [5 32 23 13 ].
A partition [r1m1 r2m2 rlml ] of an integer k is also called a type. To every such type and
every set A of size k there belong partitions and permutations of the set A. We present
the relationship to partitions first.
23
2.4.3
Number of partitions
Every partition of a set A of cardinality k must come in the form

1
1
2
ml
1
2
m2
1
Ar1 , A2r1 , . . . , Am
r1 , . . . Ar2 , Ar2 , . . . , Ar2 . . . Arl , Arl , . . . , Arl
Aij
l
X
is rj , k =
ri mi and r1 > r2 > > rl .
i=1
i
h
This structure uniquely defines a type, namely r1m1 r2m2 rlml . For example, the
i
h
partition {{1, 3, 4}, {2, 5, 9}, {6, 7}, {8}, {10}} belongs to the type 32 2 12 .
where for any pair i, j the cardinality of
The following lemma can be deduced from Proposition 13.1.5 of Combinatorics.
Lemma 2.7 The number of partitions of a set of cardinality k belonging to the type
[r1m1 r2m2 rlml ] is
k!
.
(r1 !)m1 (rl !)ml m1 ! ml !
Proof
We proceed by induction on l. Assume that l = 1 (and therefore k = r1 m1 ). Let us
k
choose the partition members. For the first partition member we have a choice of
r1

k r1
objects. For the second partition member we have a choice of
objects. The
r1
total number of possibilities is

k
k r1
r1
k! (k r1 )! r1 !
=
r1
r1
r1
(k r1 )! (k 2r1 )! 0! (r1 !)m1
=
k!
.
(r1 !)m1
But any permutation on the m1 sets of size r1 yields the same partition, and therefore
the number of partitions is
k!
.
(r1 !)m1 m1 !
Now assume that the lemma holds for the quantity l 1. Every partition of k
corresponding to the type [r1m1 r2m2 rlml ] defines a partition of a set of size r1 m1
according to the type [r1m1 ] and a partition of a set of size k r1 m1 belonging to the
type [r2m2 rlml ]. Vice-versa, due to r1 6= ri for all i > 1, distinct choices for a set of size
r1 m1 (determining a complementary choice of a set of size k r1 m1 ) followed by
distinct choices for the partitions of the r1 m1 -set and partitions of the (k r1 m1 )-set
corresponding to the types [r1 m1 ] and [r2m2 rlml ] respectively generate distinct
partitions of the k-set. Therefore the number of partitions of the k-set is

k
r1 m1 !
k r1 m1 !
k!
=
.
m
m
m
m
1
2
1
l
r1 m1
(r1 !) m1 ! (r2 !) (rl !) m2 ! ml !
(r1 !) (rl !)ml m1 ! ml !
24
We have a formula for the number of surjective functions from a k-set to an n-set and
therefore also a formula for the number of partitions of a k-set into n parts. For every
type of a k-set partitioned into n parts we know from Lemma 2.7 the number of
partitions belonging to it. These numbers should match up.
Example 2.3 Consider the surjective functions from a 5-set to a 3-set.
By the formula the number of surjective functions is

3
3
5
5
3
(3 1) +
(3 2)5 = 243 96 + 3 = 150.
1
2
150
150
=
= 25.
3!
6
Now consider the same task using the formula from Lemma 2.7 . A 5-set can be
partitioned into three parts in two ways, as the type [3 12 ] or as the type [22 1]. For
5!
the first our formula gives
= 10 partitions and for the second our formula
3! 2!
5!
gives
= 15 partitions.
(2!)2 2!
The number of partitions of a 5-set into 3 parts is therefore
The same classification scheme can be applied to the set of all functions of a k-set to an
n-set.
We can break down these functions:
1. according to the sizes m = 1, 2, . . . , n of the image
2. then according to a set for that image
3. then according to the types, and finally
4. to the corresponding partitions for each type.
Example 2.4 Consider the set of all functions from a 5-set to a 3-set.
We have already considered the types with 3 parts. Next, consider the types with 2
parts. These are [4 1] and [3 2]. According to Lemma 2.7:
the number of partitions corresponding to type [4 1] should be
5!
= 5, and
4! 1!
5!
= 10.
3! 2!
The total number of partitions should be 15, meaning that the corresponding
number of functions should be 30 (multiplying by 2!). According to the formula the
number of surjective functions from a 5-set to a 2-set should be 25 2 = 30.
the number of partitions corresponding to type [3 2] should be
Now consider the only type [5] of length 1. The number of partitions corresponding
to this type is one. The number of surjective functions (from a 5-set to a 1-set) is
likewise 1.
25
Now add up all the results. The number of functions from a 5-set to a 3-set should be

3
3
3
150 +
30 +
1 = 150 + 90 + 3 = 243 = 35 .
3
2
1
2.4.4
Permutations
Permutations are bijective functions from a finite set to itself. There are k!
permutations of a k-set.
We could express a permutation as a function, with (i) = ai and then list the results
in the proper order:
1 a1 , 2 a2 , , k ak .
But there is a much more efficient way of expressing a permutation. Look at where the
first element 1 goes, namely (1). Then look at where this goes, ( )(1) = 2 (1). We
could continue until some number i = j (1) = j+l (1) is repeated for the first time, and
from then on cyclic repetition would rule:
1,
(1),
2 (1),
...,
j (1) = i,
j+1 (1) = (i),
...,
j+l (1) = i.
But because the permutation is a bijection, we could move backwards with its inverse
1 and show that j+l1 (1) = j1 (1) and so on backwards to 1 = l (1). So starting
from any element we get a cycle of elements returning to this first element. This allows
us to write down any permutation of a k-set as a partition of the k-set plus a cyclic
orientation of each partition. See Figure 2.8.
Figure 2.8: A permutation in S18 with type [6 42 2 12 ].
For example, with k = 9, the following expression for a permutation

(1 5 3) (2 9) (8) (7 4 6)
means that 1 is mapped to 5, 5 is mapped to 3, 3 is mapped to 1, and so on, with 8
mapped to itself. This is presented in Section 3.5 of Combinatorics and Section 10.6 of
26
Because any permutation of the k-set is based on a partition of the k-set, the
permutations are also classified according to their types.
A permutation 2 is conjugate to 1 if there exists another permutation such that

1 1 = 2 .
Conjugacy is an equivalence relation,
(i) reflexive: use the identity permutation itself
(ii) symmetric: 1 = 1 2 2 = 1 1
(iii) transitive: 1 = 1 2 , 2 = 1 3 implies that 1 = 1 1 3 .
Conjugating a permutation by the permutation is a way to represent the same
permutation but with the names of the elements changed according to . A
conjugation is the same concept as a basis change in linear algebra. Therefore the
following lemma, also Proposition 13.1.4 of Combinatorics and Theorem 12.5 of Discrete
Mathematics, should not be surprising.
Lemma 2.8 Any two permutations are conjugate if and only if they have the same
type.
Proof
Assume that permutations 1 and 2 have the same type and we pair cycles from both
of the same size. Choose any pairing of cycles with size m, the first a cycle of 1 and the
second a cycle of 2 :
(i1 , i2 , , im )
(j1 , j2 , , jm ).
Define a function from the members of the first cycle to those of the second by
(im ) = jm . See Figure 2.9. Extend this function by doing the same for all pairs of
cycles, to a permutation on the whole set. We see that 1 2 (il ) will be
il+1 = 1 (il ) (or, if l = m, then i1 ).
On the other hand, assuming a conjugacy between 1 and 2 with 1 2 = 1 , we
choose any cycle (j1 , j2 , , jm ) of 2 and define i1 to be 1 (j1 ). By 1 2 = 1 it
follows that
1m (i1 ) = (1 2 )m (i1 ) = 1 2m (i1 ) = 1 2m (j1 ) = 1 (j1 ) = i1
(because 2m (j1 ) = j1 ). On the other hand, if 1n (i1 ) = i1 for some n strictly smaller than
m, we would have
i1 = 1n (i1 ) = (1 2 )n (i1 ) = 1 2n (i1 ) = 1 2n (j1 ).
But could be applied on the left side for j1 = (i1 ) = 2n (j1 ), a contradiction.
Therefore 1 maps the cycle (j1 , , jm ) to a cycle (i1 , , im ), both of size m.
Repeating the argument for all the cycles shows that they have the same cycle type.
The following lemma is also Proposition 13.1.5 of Combinatorics and is presented in
Section 12.5 of Discrete Mathematics.
27
i2
i1
i3
2
im
i4
j2
j1
j3
jm
j4
2
Figure 2.9: Matching cycles.
Lemma 2.9 The number of permutations of a k-set corresponding to a type

[r1m1 r2m2 rlml ] is
k!
.
ml
m1
r1 rl m1 ! ml !
Proof
Every permutation of {1, . . . , k} generates a partition of {1, . . . , k} defined by the
cycles. For every partition member of size ri , by fixing any element to come first, there
are (ri 1)! ways to define a cycle using the rest of the elements. See Figure 2.10.
Therefore to go from the number of partitions to the number of cycles corresponding to
the type we must multiply by ((r1 1)!)m1 ((rl 1)!)ml .
Just as above, we can check this formula.
Example 2.5 Consider the permutations of a 5-set. We list the types and the
corresponding number of permutations.
[5]
[4 1]
[3 2]
[3 12 ]
28
5!
5
5!
4
5!
32
5!
3 2!
= 24
= 30
= 20
= 20
5!
= 15
2!
5!
= 10
2 3!
5!
=1
5!
[22 1]
22
[2 13 ]
[15 ]
The total number of permutations is then 24 + 30 + 20 + 20 + 15 + 10 + 1 = 120 = 5!.
a1
ar
a2
(a1 a2 a3 . . . ar1
ar )
(a2 a3 a4 . . .
..
.
a1 )
ar
(ar a1 a2 . . . ar2 ar1 )

Figure 2.10: Equivalent cycles.
2.4.5
Ferrers diagrams
Ferrers diagrams are presented in Section 13.1 of Combinatorics and Sections 26.1 and
26.2 of Discrete Mathematics. There is a convenient way to express a particular partition
of k (a type), called a Ferrers diagram. We express [1 22 4 6], a partition of 15.
29
Notice the similarity to another partition of 15:
This is the partition [12 22 4 5].
The Ferrers diagram obtained by interchanging the rows and the columns is called the
conjugate diagram. The conjugate of the conjugate is the original diagram, a concept
called conjugate duality.
Ferrers diagrams provide intriguing equalities, such as the following:
Lemma 2.10 The number of partitions of k into j parts is equal to the number of
partitions of k such that the largest part has size j.
Proof
Partitions of the former are defined by having j rows and partitions of the latter are
defined by having j columns. There is a bijection between these two types of partitions,
by applying conjugate duality.
Lemma 2.11 The number of partitions of k such that no two parts have the same size
is equal to the number of partitions of k such that no size is skipped from 1 to some
maximal size j.
Proof
A partition with no two parts of the same size has a Ferrers diagram where each row is
of a different size. A partition with no size skipped (starting from size one) has a Ferrers
diagram where each column is of a different size. A bijection between the two types of
partitions follows from conjugate duality.

Exercise 2.12
An employer divides 100 pounds among three employees as Christmas presents, and all
quantities must be multiples of 10.
(a) In how many ways can the 100 pounds be distributed?
(b) in how many ways if every employee must receive at least 10 pounds?
(c) in how many ways if no two employees get the same quantity?
(d) How are the answers to the above different if the employees are not distinguished
(meaning that the distribution (20, 30, 50) to employees one, two and three is the
same as (30, 50, 20))?
30
2.5. The Stirling numbers
Exercise 2.13
Show that the number of partition of an integer n into distinct and odd parts is equal
to the number of partitions of the integer n that are self-conjugate (meaning that the
Ferrers diagram and its conjugate are the same).
Exercise 2.14
Let n and r be positive integers. Show that the number of partitions of n in which the
number of parts is r or less is equal to the number of partitions of n + r with exactly r
parts.
2.5
The Stirling numbers
In the previous section we looked at the number of partitions and permutations

belonging to the various types of a partition of an integer. One can aggregate this count
according to the number of sets in the partition and the number of parts in the
permutation. The result is a surprising relationship between these numbers and certain
polynomials that are created in a very natural way.
The Stirling numbers are presented in Sections 5.3 and 15.6 of Combinatorics and
Section 12.1 of Discrete Mathematics.
2.5.1
Stirling numbers of the first kind

(x)k = x(x 1)(x 2) (x k + 1),
x falling k, is a polynomial of degree k in the variable x and can be also written as

(x)k = s(k, k) xk + s(k, k 1) xk1 + + s(k, 0),
with integers s(k, n).
The s(k, n) are called the Stirling numbers of the first kind.
Let us work out a few:
(x)0 = 1, (x)1 = x so
s(1, 1) = 1,
s(1, 0) = 0.
(x)2 = x(x 1) = x2 x, so
s(2, 2) = 1,
s(2, 1) = 1,
s(2, 0) = 0.
(x)3 = (x 2)(x2 x) = x3 3x2 + 2x, so

s(3, 3) = 1,
s(3, 2) = 3,
s(3, 1) = 2,
s(3, 0) = 0.
31
(x)4 = (x 3)(x3 3x2 + 2x) = x4 6x3 + 11x2 6x, so

s(4, 3) = 6,
s(4, 4) = 1,
2.5.2
s(4, 1) = 6,
s(4, 2) = 11,
s(4, 0) = 0.
Stirling numbers of the second kind
S(k, n) is defined to be the number of partitions of a k-set into n parts, and these
numbers are called the Stirling numbers of the second kind. We show how they relate to
the Stirling numbers of the first kind, something also presented in Section 5.3 of
Combinatorics..
Because (x)k , (x)k1 , . . . , (x)0 = 1 form a basis of the vector space of all polynomials
with real coefficients of degree k or less (just as the xk , xk1 , . . . , 1 do the same), we
can write
k
X
k
x =
R(k, j)(x)j
j=0
for some real numbers R(k, j). By substitution, x =
k
X
R(k, j)(x)j can be expanded to
j=0
x =
k
X
R(k, j)
j=0
j
X
s(j, m)xm .
m=0
With R(k, j) = s(k, j) = 0 if j > k the matrices defined by the R(k, j) and the s(k 0 , j 0 )
are inverses of each other, meaning that
k
1, k = m,
X
R(k, j)s(j, m) =
0, k 6= m.
j=0
Lemma 2.12 The R(k, j) satisfy

R(0, 0) = 1,
R(k, k) = 1,
R(k, j) = R(k, 0) = 0
for all j > k 1, and

R(k, j) = jR(k 1, j) + R(k 1, j 1)
for all 1 j k.
Proof
R(0, 0) = 1, R(1, 1) = 1 and R(1, 0) = 0 come from 1 = (x)0 and x = (x)1 .
Consider the equation xk = xxk1 . Substituting on both sides we have
k
X
R(k, j)(x)j =
j=0
k1
X
j=0
x R(k 1, j)(x)j .
The x(x)j can be re-written as

(x)j (x j) + j(x)j = (x)j+1 + j(x)j .
32
So the above equation can be re-written again as

k
X
R(k, j)(x)j =
j=0
k1
X
R(k 1, j)(x)j+1 + j
k1
X
k
X
R(k 1, j 1)(x)j + j
k1
X
j=0
j=1
j=0
j=0
R(k 1, j)(x)j
R(k 1, j)(x)j .
Since the (x)j form a basis of the polynomial vector space, if we fix any value for j the
coefficients should be equal.
Choosing j = k, we get R(k, k) = R(k 1, k 1), and by induction we have R(k, k) = 1
for all k.
Choosing j = 0, we get R(k, 0) = jR(k 1, 0), and again by induction we have
R(k, 0) = 0 for all k.
Choosing 0 < j < k we get R(k, j) = R(k 1, j 1) + j R(k 1, j).
The following lemma is Theorem 12.1 of Discrete Mathematics.
Lemma 2.13 The Stirling numbers of the second kind, S(k, n), satisfy
S(0, 0) = 1,
S(k, k) = 1,
S(k, n) = S(k, 0) = 0
for all n > k 1, and

S(k, n) = nS(k 1, n) + S(k 1, n 1)
for all 1 n k.
Proof
A partition of {1, 2, . . . k} into n parts induces a partition of {1, 2, . . . , k 1}, into
either n or n 1 parts. If k is alone in the partition, then we get a partition of k 1
objects into n 1 parts. If k was not alone then we get a partition of k 1 objects into
n parts with n choices for where to put the last object k. See Figure 2.11.
2
k
n
Figure 2.11: k is not alone.
Corollary 2.14 The R(k, n) are the same as the S(k, n).
33
Proof
The two collections of numbers obey the same initial conditions and the same
recurrence relations.
2.5.3
Number of permutations
Now we show how the Stirling numbers of the first kind relate to the number of
permutations. This is worked out in Section 5.3 of Combinatorics, in particular in
Proposition 5.3.3. Recall the definition of n rising k, n(k) = n (n + 1) (n + k 1).
Lemma 2.15 The s(k, n) satisfy s(k, 0) = 0, s(k, k) = 1 and
s(k + 1, n) = s(k, n 1) ks(k, n)
for all k 1.
Proof
The first identities are trivial. For the last equation by definition (x)k+1 = (x)k (x k)
holds, yielding
s(k + 1, k + 1)xk+1 + + s(k + 1, n)xn + + s(k + 1, 0)

= (x k) s(k, k)xk + s(k, n)xn + s(k, n 1)xn1 + + s(k, 0) .
Looking at the nth power of this polynomial we get
s(k + 1, n) = s(k, n 1) ks(k, n).
Define the number c(k, n) to be the number of permutations of {1, 2, . . . , k} with

exactly n cycles. Define c(0, 0) to be 1.
Lemma 2.16 The c(k, n) satisfy c(0, 0) = 1, c(k, 0) = 0 for all k 1, and
c(k, n) = (k 1)c(k 1, n) + c(k 1, n 1).
Proof
For k = 1 we have c(1, 1) = c(0, 0) = 1. For k 2 consider the permutation on
{1, 2, . . . , k 1} induced by removing from a permutation on {1, 2, . . . , k} the last
element k in the following way: if i goes to k and k goes to j then with the induced
permutation i goes to j. Either the last element k is alone in a cycle of , or it was in a
cycle of with others.
If k is in a cycle alone, we generate a permutation of {1, 2, . . . , k 1} with n 1 cycles.
If k is in a cycle with others we generate a permutation of {1, 2, . . . , k 1} with n

cycles.
For any permutation of {1, 2, . . . , k 1} with n cycles we want to consider how many
permutations of {1, 2, . . . , k} with n cycles will generate . k could be inserted in any
of the cycles of . For each cycle putting k back in the front of the cycle or at the back
34
of the cycle results in the same cycle. Otherwise different cycles are obtained from
inserting k into different positions, and therefore the number of different cycles created
from a given cycle is equal to the number of elements in that cycle. Therefore, there are
k 1 such different permutations from the k 1 different positions to insert k that
would generate the given permutation .
But there are also permutations of {1, 2, . . . , k} into n cycles where k is alone, and they
generate the permutations of {1, 2, . . . , k 1} into n 1 cycles. See Figure 2.12. Putting
together the two possibilities gives the result.
n parts
Figure 2.12: k is not alone.
Lemma 2.17 c(k, n) = (1)k+n s(k, n) and

k
X
n=0
c(k, n)xn = x(x + 1) (x + k 1) = x(k) .
k
Proof
X
(k)
Define b(k, n) by x =
b(k, n)xn .
n=0
As x(0) = 1 and x divides x(k) for all k 1 it follows that b(0, 0) = 1, b(k, 0) = 0 for all
k 1.
x(k) = (x + k 1)x(k1) means

(x + k 1) + b(k 1, n)xn + b(k 1, n 1)xn1 + = + b(k, n)xn +
so looking at the nth power of the polynomial we get
b(k, n) = b(k 1, n 1) + (k 1)b(k 1, n).

With the b(k, n) and the c(k, n) defined by the same initial conditions and recursive
relations they must be equal.
35
Next replace x by x for

k
X
n=0
c(k, n)(x)n = x(1 x) (k 1 x)

= (1)k x(x 1) (x k + 1)
= (1)k (x)n
k
= (1)
k
X
s(k, n)xn .
n=0
This implies that c(k, n) = (1)k+n s(k, n).

Example 2.6 We calculate S(5, n) and s(5, n) for 0 n 5 using two methods:
the previous method and then using (x)k .
Recall from Examples 2.3 and 2.4 we had
S(5, 1) = 1,
S(5, 2) = 15,
S(5, 3) = 25.
Furthermore S(5, 5) = 1 and using the formula

S(5, 4)4! = 45 4 35 + 6 25 4 15
= 1024 972 + 192 4
= 240
we get S(5, 4) = 10.
The number of permutations of a 5-set with n cycles was calculated to be:
n=1
one type
24
n=2
two types
50
n=3
two types
35
n=4
one type
10
n=5
one type
1.
This means
s(5, 1) = 24,
s(5, 2) = 50,
s(5, 3) = 35,
s(5, 4) = 10,
s(5, 5) = 1.
Now find the Stirling number s(5, n) and S(5, n) using (x)k :
(x)4 = (x 3)(x3 3x2 + 2x) = x4 6x3 + 11x2 6x
(x)5 = (x 4)(x4 6x3 + 11x2 6x) = x5 10x4 + 35x3 50x2 + 24x.
36
With the Stirling numbers of the first kind put into a matrix, we need only find the
inverse of this matrix to discover the Stirling numbers of the second kind:
1 0 0 0 0 0
1 0 0 0 0 0
1 0
0
0
0 0
0
0
0 0 0 1 0 0 0 0 0 1 0 0 0 0
0 1
0 1 1
0 1 1 0 0 0 0 0 1 0 0 0
0
0
0
0 2 3 1
0 0
0 1 3 1 0 0 0 0 0 1 0 0
0 6 11 6 1 0 0 1 7 6 1 0 0 0 0 0 1 0
0 1 15 25 10 1
0 0 0 0 0 1
0 24 50 35 10 1
But we could have found the Stirling numbers of the second kind also by using the
above recursive formula S(k, n) = nS(k 1, n) + S(k 1, n 1) for all 1 n k.

Exercise 2.15
Without determining the types corresponding to partitions of a set of size 7, calculate
s(7, n) and S(7, n) for all 0 n 7. Then determine all the types for partitions of a set
of size 7 and for each type determine the number of corresponding partitions and
permutations. Show that these answers correspond to the above values for s(7, n) and
S(7, n).
Exercise 2.16
Show that:
S(n, 1) = 1
S(n, 2) = 2n1 1, and

n
S(n, n 1) =
.
2
Exercise 2.17

n
.
Show that |s(n, 1)| = (n 1)! and |s(n, n 1)| =
2
Exercise 2.18
For each type of a partition of a 7-set into 4 or fewer parts determine how many
functions from a 7-set to a 4-set correspond to this type. Let two functions from a 7-set
to a 4-set be equivalent if they differ by a permutation of the 7-set. For each type
determine how many equivalence classes (of functions from the 7-set to the 4-set)
correspond to this type. Because equivalence is determined by a permutation of the
domain rather than the range, the answers will be very different from those obtained in
the previous exercise.
37
Learning outcomes
At the end of this chapter and the relevant reading, you should be able to:
count the functions from a k-set to an n-set according to various restrictions and
equivalence relations
apply the inclusion-exclusion formula in various ways
count partitions and permutations according to their types
interpret a Ferrers diagram
calculate explicitly the Stirling numbers of the first and second kinds for small k
and n in various ways.
Solutions to exercises
Solutions to section 2.2 exercises
Solution to exercise 2.1
The throw of six identical dice yields six unordered choices of six different values. Six
objects
are divided by five dividers (for the six possible values), for a total of
11
= 462 results.
5
Concerning the rolling of two dice:
To roll a sum of 2, there is only 1 + 1.
To roll a sum of 4, there are 1 + 3 and 2 + 2.
To roll a sum of 6, there are 1 + 5, 2 + 4 and 3 + 3.
To roll a sum of 10, there are 4 + 6 and 5 + 5.
In total, there are 12 ways. But there are 21 ways to roll the dice, and yet the
probability of getting an even number is the same as getting an odd number. The
reason for this mismatch is simple: for each i {1, 2, 3, 4, 5, 6} the probability to roll
1
1
i + i is 36
while the probability to roll i + j for j 6= i is 18
.
To roll a sum of 9, there are 3 + 6, and 4 + 5.
38
2.5. Solutions to exercises

In total, there are seven ways, exactly one third of the twenty-one.

Any choice of a non-empty subset of the coloured balls can be augmented by the right
number of black balls. So there are 24 ways to choose these balls, the number of subsets
of a 4-set.
Consider nk = ((n 1) + 1)k and using the binomial expansion we get
k
n =
k
X
k
j=0
j kj
(n 1) 1
k
X
k
=
(n 1)j .
j
j=0
Now prove that nk is the number of functions from a k-set to an n-set using induction
on n rather than on k. If |n| = 1 then there is exactly one function and the formula is
true. Let x be any fixed element of the n-set and for every such function
f let
x(f ) be
k
the number of elements of the k-set that reach x. With j fixed there are
(n 1)j
j
different functions
f such that x(f ) = k j, the (n 1)j by the induction hypothesis

k
and the
being the number of choices for k j elements to be mapped to x.
j
k
X
k
Therefore by induction hypothesis there are
(n 1)j different functions from a
j
j=0
k-set to an n-set, and we have shown that this is equal to nk .
Order the possibilities of choosing a subset of size n from a set of size s + n in the
following way.
0: The first object is not chosen
1: The first object is chosen, but not the second
2: The first and second objects are chosen, but not the third, etc.
n: The first n objects are chosen.
This exhausts all the possibilities for choosing
an n-set

from an (s + n)-set. To any
s+ni1
possibilities.
category i above there will be exactly
ni

There are 1,000 squares and 100 cubes. If a positive integer is both a square and a cube
then by unique factorisation into primes it must be a sixth power. With 10 numbers
that are sixth powers there is a total of 1000 + 100 10 = 1090.
39
The number of surjective functions is 46 4 36 + 6 26 4 =

1560.
If permutations of
5
the 6-set result in an equivalent selection then the answer is
= 10.
3
This is the number of partitions of a 6-set into four or fewer parts. We need the
summation S(6, 4) + S(6, 3) + S(6, 2) + S(6, 1). Probably the easiest way is to use the
formula on each.
1 6
(4 4 36 + 6 26 4) = 65
24
1
S(6, 3) = (36 3 26 + 3) = 90
6
1
S(6, 2) = (26 2) = 31
2
S(6, 4) =
S(6, 1) = 1
for a total of 187.
Try
the functions from a 9 set to a 4 set. The number of equivalence
relations is

12
8
= 220 but the number of those that are surjective is
= 56. The total number
9
5
of functions is 49 = 262, 144 and the number of surjective functions is
49 4 39 + 6 29 4 = 186, 480. Considering the functions from an n3 -set to an n2 -set
one can show that the proportion of surjective functions approaches 1 as n tends to
infinity while the proportion of surjective equivalence classes tends to 0.

52
(a) The answer is
.
4
(b) First
choose one of 4 suits, and then choose the numbers in the suit for a total of

13
4
.
4

13
(c) First choose which numbers are received twice. This is a total of
. For each
2

2
4
13 4
number there are
choices for which cards. The total number is
.
2
2
2
(d) The answer is independent of the hand of the first player. There are 48(12) ways to
distribute the remaining 12 cards one at a time, the first four to the next player,
the next four to the next player, and the last four to the third player. And then for
each player divide by 4! for the different orders that these four cards were received.
48(12)
48!
The answer is
. Equivalently we could write the multinomial
.
3
(4!)
(4!)3 36!
40
(e) Because Player One has one card from each suit, the 48 cards left have 12 cards in
each suit. There are three possibilities for the suits represented, one suit for which
all three players gets cards of this suit, two suits such that two players get cards
from one of the two and one player from the other, three different suits given to the
three other players. For the first case there are exactly four possibilities, as the
three players must exhaust all 12 cards of this suit. For the second case there are
4 3 3 possibilities, the first choice being the suit corresponding to two players and
the second choice being the suit given to only one player and the third choice being
which player does not share a suit with any other. For the third case there are
12!
4 3 2 possibilities. For the first case there will be
ways for the numbers of
(4!)3
this suit to be distributed to the three players. For the second case there will be
12!
ways to determine the numbers to the two players with the same suit and
(4!)3

3
12
12
ways for the third player. For the third case there will be
ways to
4
4
determine the numbers given to the three players. The final answer is

3
12!
12
12! 12
4
+433
+432
.
3
3
4
(4!)
(4!) 4
(f) The number of ways for some particular subset of i other players to have four cards
(48 4i)!
of the same number is [12]i
. So by inclusion-exclusion the answer is
(4!)3i 36!
3 12
44!
40!
3 12 11
+ 12 11 10.
2
(4!) 36!
4!36!

First distribute the 6 coloured balls to the five people. In any way we do this such that
nobody gets more than 3 balls we can complete this distribution with the black balls to
the desired results. There are 56 ways to map the 6 coloured balls to five people. We
must subtract the number of ways that give some players four or more coloured balls.
Since only one player at most can receive four or more coloured balls, with
inclusion-exclusion the calculations are simple. First we fix the person getting the 4 or
more balls and then look at the i = 4, 5, 6 size subset of coloured balls given to this

6
X
i 6
person:
(1)
56i . Multiply this by the number of people (who could get four
i
i=4
coloured balls) and subtract the result from 56 for

6 6i
5 5
(1)
5 .
i
i=4
6
6
X
41

(a) If the first employee gets 10k pounds, then there are 11 k different ways to
n
X
(n + 1)n
distribute the rest. With
the answer is 66, which can also be
k=
2
k=1

12
found through the number of unordered selections with repetition,
.
2
(b) If every employee must get at least 10 pounds the answer is the same for
distributing 70 to the three employees, namely 36.
(c) The easiest way is to subtract the number where two get the same quantity. Let us
suppose the quantity is 10k pounds. Since 3 does not divide 10, the calculation is
not too difficult. There are 3 choices for the two people who will receive the same
quantity, and these quantities range from 0 to 50 pounds. Therefore the number of
ways two receive the same quantity is 6 3 = 18, and the answer is 66 18 = 48
ways.
(d) Parts (a) and (c) are best answered together. (Part (b) is essentially the same as
Part (a).) Whenever two get the same quantity, there are three ways to permute
the positions. Whenever all three get different quantities, there are six ways to
permute the positions. (There are no ways for all three to get the same quantity.)
+ 48
= 6 + 8 = 14. It is also easy to list them all,
Therefore the answer is 18
3
6
starting with (100, 0, 0), (90, 10, 0), (80, 20, 0), (80, 10, 10), etc., and therefore
determine directly the answer to all questions.
Self-conjugacy in the Ferrers diagram means that the first row and the first column
have the same size. Assume this size is l1 . By peeling off the first row and column
together, one removes 2l1 1 points, an odd number. One continues in this way, always
peeling off odd numbers, because the ith row and the ith column are of the same size.
Assuming that l2 is the size of both the second row and column, after peeling off the
first row and column what is left of the second row and column together is 2l2 3.
Continuing in this way results in a sequence of strictly decreasing odd numbers. By
placing this sequence of odd numbers into the rows of a new Ferrers diagram, one gets a
partition with odd and distinct sizes. And likewise reversing the process from a Ferrers
diagram with odd and distinct sizes results in a self-conjugate Ferrers diagram.
If in a Ferrers diagram with n + r points and r rows one peels off the first column one is
left with a Ferrers diagram of n points into r parts or less. Likewise one could add a
column of r points to a Ferrers diagram of n points into r parts or less. The processes
are inverses of each other.
42

Without reference to the types, there are at least three ways to calculate the Stirling
numbers of the second kind, through the formula for the number of surjective functions,
by the recursive formula S(k, n) = S(k 1, n 1) + nS(k 1, n), or by finding the
inverse of the matrix defined by the Stirling numbers of the first kind. Let us do the
third method first (and not do the first method).
(x)2 = (x 1)x
= x2 x,
(x)3 = (x 2)(x2 x)
= x3 3x2 + 2x,
(x)4 = (x 3)(x3 3x2 + 2x)
= x4 6x3 + 11x2 6x,
(x)5 = (x 4)(x4 6x3 + 11x2 6x)
= x5 10x4 + 35x3 50x2 + 24x,
(x)6 = (x 5)(x5 10x4 + 35x3 50x2 + 24x)
= x6 15x5 + 85x4 225x3 + 274x2 120x,
(x)7 = (x 6)(x6 15x5 + 85x4 225x3 + 274x2 120x)
= x7 21x6 + 175x5 735x4 + 1624x3 1764x2 + 720x,
and we have
s(7, 0) = 0,
s(7, 1) = 720,
s(7, 4) = 735,
s(7, 2) = 1764,
s(7, 5) = 175,
s(7, 6) = 21,
s(7, 3) = 1624,
s(7, 7) = 1.
The inverse of the matrix formed by these numbers is then:
1
0
0
0
0
0
0
0
1
0
0
0
0
0
0 1
1
0
0
0
0
2
3
1
0
0
0
0
0 6
11
6
1
0
0
0 24
50
35
10
1
0
0 120 274 225 85 15 1

0 720 1764 1624 735 175 21
1
0
1 0 0
0
0
0
0
0 1 0
0
0
0
0
0
0 1 1
0
0
0
0
0
0
1
0
0
0
0 1 3
=
0 1 7
0
6
1
0
0
0
1
0
0 1 15 25 10
0 1 31 90 65 15 1
0
1
0 1 63 301 350 140 21
43
0
.
0
0
1
Therefore
S(7, 0) = 0,
S(7, 1) = 1,
S(7, 4) = 350,
S(7, 2) = 63,
S(7, 5) = 140,
S(7, 3) = 301,
S(7, 6) = 21,
S(7, 7) = 1.
We could also follow the formula

S(n, k) = S(n 1, k 1) + kS(n 1, k)
to create the triangle
1
1 1
1 3 1
1 6 7 1
1 10 25 15 1
1 15 65 90 31 1
1 21 140 350 301 63 1
The types are
[7],
[6 1]
[5 12 ]
[5 2]
[3 22 ]
[4 2 1]
[4 13 ]
[4 3]
[3 2 12 ]
[3 14 ]
[32 1]
[23 1]
[22 13 ]
[2 15 ]
[17 ].
Counting the possible number of partitions and permutations for each type, we see that:
[7] has only 1 partition and 6! = 720 permutations.
[6 1] has 7 partitions and 7 5! = 840 permutations.

7
[5 2] has
= 21 partitions and 21 4! = 504 permutations.
2

7
[4 3] has
= 35 partitions and 35 3! 2 = 420 permutations.
3

7
[5 12 ] has
5
44
7!
4! 2
[4 2 1] has
[3 22 ] has
[32 1] has
7!
= 70 partitions and 70 22 = 280 permutations.
2 (3!)2
[4 13 ] has
7!
4! 3!
[3 2 12 ] has
[23 1] has
[3 14 ] has
[22 13 ] has
[2 15 ] has
7!
3! 23
7!
3! 2! 2!
7!
= 105 partitions and 105 permutations.
3! 23
7!
3! 4!
7!
3!
23
7!
2 5!
[17 ] has only 1 partition and 1 permutation.

Thus:
S(7, 1) has 1 partition and |s(7, 1)| has 720 permutations.

S(7, 2) has 7 + 21 + 35 = 63 partitions and |s(7, 2)| has 840 + 504 + 420 = 1764
permutations.
S(7, 3) has 21 + 105 + 105 + 70 = 301 partitions and |s(7, 3)| has
504 + 630 + 210 + 280 = 1624 permutations.
S(7, 4) has 35 + 210 + 105 = 350 partitions and |s(7, 4)| has 210 + 420 + 105 = 735
permutations.
S(7, 5) has 35 + 105 = 140 partitions and |s(7, 5)| has 70 + 105 = 175 permutations.
S(7, 6) has 21 partitions and |s(7, 6)| has 21 permutations.
S(7, 7) has 1 partition and |s(7, 7)| has 1 permutation.
The number of partitions of an n-set into one part will be 1, regardless of the value of n.
If the set {1, . . . , n} is divided into two parts then one must decide which subset of
{2, . . . n} will be grouped with the element 1. It is acceptable that 1 is alone but not all
of {2, . . . n} can be grouped with 1 (since that would be a partition into one part). So
the answer is the total number of subsets of {2, . . . n} minus one, or 2n1 1.
45
If {1, . . . , n} is partitioned into n 1 parts, then one part is of size two and all the
others are
of
size one. The number of ways of doing this is the number of subsets of size
n
two, or
.
2
The number of permutations of {1, . . . n} with only one cycle is the number of ways to
write down 1 first followed by any permutation of the {2, . . . , n}, or (n 1)!.
Because any partition into parts

all of size no more than two uniquely determines a
n
permutation, the answer is
, the same as the number of partitions into n 1 parts.
2
Consider all the types corresponding to partitions of a set of size 7 into four or fewer
parts.
[7] has 4 functions and also 4 equivalence classes.
[6 1] has 7 4 3 = 84 functions and 4 3 = 12 equivalence classes.

7
[5 2] has
4 3 = 252 functions and 4 3 = 12 equivalence classes.
2

7
[4 3] has
4 3 = 420 functions and 4 3 = 12 equivalence classes.
3

7
2
[5 1 ] has
4 3 2 = 504 functions and 4 3 = 12 equivalence classes.
5

7
3
[4 2 1] has
4
3 2 = 2, 520 functions and 4 3 2 = 24 equivalence
4
2
classes.

7
4
2
[3 2 ] has
4
3 = 2, 520 functions and 4 3 = 12 equivalence classes.
3
2

6
[32 1] has 7 4 3
= 1, 680 functions and 4 3 = 12 equivalence classes.
3

7
3
[4 1 ] has
4 3 2 = 840 functions and 4 equivalence classes.
4

7
4
2
[3 2 1 ] has
4
3 2 = 5, 040 functions and 4 3 = 12 equivalence classes.
3
2

6
4
3
[2 1] has 7 4
= 2, 520 functions and 4 equivalence classes.

2
2
The numberof
functions adds up to 47 = 16, 384 and the number of equivalence classes
10
adds up to
= 120.
3
46
Chapter 3
Generating functions
3
RR
Essential reading
Biggs, Norman. Discrete Mathematics. Chapter 25.

Cameron, Peter J. Combinatorics. Chapter 4.
Further reading
3.1
Stanley, Richard. Enumerative Combinatorics I.
Introduction
In this chapter we look at a new way to count, using generating functions. Some, but
not all, problems of counting are easier to understand using generating functions. When
they are useful, generating functions connect the problems of counting to algebraic and
calculus methods. In later chapters we expand on the algebraic approach to counting.
Generating functions are introduced at the start of the fourth chapter of Combinatorics
and in their algebraic context at the start of Chapter 25 of Discrete Mathematics.
3.2
3.2.1
The basic theory

What is a generating function?
Consider the polynomial

(x + 1)n = an xn + an1 xn1 + + a1 x + a0 .

n
We know that ai =
, the number of i subsets of an n-set.
i
Consider the polynomial x falling k, or
(x)k = x(x 1) (x k + 1) = ak xk + ak1 xk1 + + a0 .
The ai are the Stirling numbers of the first kind s(k, k), s(k, k 1), ... , s(k, 0), with
ai = s(k, i).
Polynomials have finitely many non-zero coefficients. Consider instead the expression
1 + 2x + 3x2 + 4x3 + 5x4 + .
47
3. Generating functions
We could say that it is
ai x i
i=0
with ai = 1 + i for every i = 0, 1, 2, . . . .
The expression 1 + 2x + 3x2 + is called the generating function for the series
ai = i + 1 for all i 0.
Definition 3.1 If am , am+1 , . . . is an infinite sequence with m some integer (positive,
X
zero, or negative) then the expression
ai xi is the generating function for the
i=m
sequence am , am+1 , . . . .
We demonstrate the basic techniques of generating functions on the problem of

counting the number of ways to make change with coins and the Fibonacci numbers.
Then we explain these methods with some theory.
3.2.2
Making change
For every n 0 let an be the number of ways to have one and two pence coins that add
up to n pence (where all the one pence coins are identical and all the two pence coins
are identical).
First, for every n there is only one way to add up to n pence with only one pence coins,
namely by giving n coins. This is represented by the power series 1 + x + x2 + x3 + .
For every positive k the coefficient ak is 1.
Next we do the same with two pence coins. For every n either n is odd and there is no
way or n is even and there is exactly one way to get n with two pence coins. This is
represented by the power series 1 + x2 + x4 + x6 + .
So far this has not been interesting. Now we want to use both one pence and two pence
coins. This is represented by the power series
(1 + x + x2 + )(1 + x2 + x4 + ).
Why? Look at the coefficient for xn . It represents all the ways to combine k two pence
coins with n 2k pennies, taking 2k exponents from the left side and n 2k exponents
from the right side.
Now add the five pence coins for the expression
(1 + x + x2 + )(1 + x2 + x4 + )(1 + x5 + x10 + ).
Power series can be manipulated. One can view them as functions on x, but one can
also view them as formal objects. This is discussed in Section 4.2 of Combinatorics and
Section 25.1 of Discrete Mathematics. For example, the power series 1 + x + x2 +
1
. For some real values of x this identity holds, namely for
can be represented as
1x
1 < x < 1 (and can be proven using the formula for the geometric series). Though for
other values it clearly does not hold (because the series would not be convergent), for
48
3.2. The basic theory
our purposes the equality always holds. The reason is that the multiplication of the two
power series (1 x) and (1 + x + x2 + ) results in cancellation to zero in every
coordinate except for the first one, meaning that (1 x)(1 + x + x2 + ) = 1.
A solution to the coin problem: Let f1 be the power series
1
= 1 + x + x2 + .
1x
f1
Let f2 be the power series f1 (1 + x + x + ). We can express this also as f2 =
1 x2
2
and again as f1 = (1 x )f2 . If b0 , b1 , . . . are the coefficients of f2 , we get
2
f1 =
x =
i=0
X
i=0
bi (x x
i+2
)=
X
i=0
bi x
bj2 xj
j=2
which gives the recursive formula 1 = bi bi2 , or bi = 1 + bi2 . Knowing the initial
values for f1 , we can write down a table of the values for bi . By definition of f2 , b0 must
be 1. This makes sense, since the first value for bi to be greater than one must take
place at b2 = 2, and this fits the recurrence relation bi = 1 + bi2 .
Next we add the possibility of using five pence coins. Let f5 be the power series
f2 (1 + x5 + x10 + ), with f5 = c0 + c1 x1 + . As before,
1
= 1 + x5 + x10 + ,
1 x5
X
X
i
5
and f2 = f5 (1 x ) (with c0 = 1). This gives
bi x =
ci (xi xi+5 ).
f2
1 x5
i=0
i=0
Fix any j and look at the jth power of x. If j < 5 we get cj = bj . If j 5 we get
cj cj5 = bj , or cj = bj + cj5 . With this relation we can complete the table.
f5 =
ai
bi
ci
Continuing in this way we can determine the answers for all types of coins and all
quantities of money.
3.2.3
The Fibonacci numbers
The Fibonacci numbers are defined by a0 = 1, a1 = 1, and for all n 2

an = an2 + an1 . See Figure 3.1. The following analysis of the Fibonacci numbers is
contained in Section 4.1 of Combinatorics.
Letting f (x) = a0 + a1 x + a2 x2 + be the generating function for the Fibonacci
numbers, we have
x2 f (x) + xf (x) = f (x) a1 x a0 + a0 x = f (x) 1
49
Figure 3.1: The Fibonacci numbers.
1
. The roots of 1 x x2
2
1
and 1+2 5 . Using partial fractions, the equality
(due to a0 = a1 = 1). Solving for f (x) we get f (x) =

are
51
2
a
2x
1
51
can be re-written as
a+
b
2x
1+
1+ 5
5+5
a=
,
10

5 51
2
With 1+2
namely
2b
51
= 0 we get
2a 5 = 1 + 5,
5 5
b=
.
10
= 1 we have a closed expression for the Fibonacci sequence a0 , a1 , . . . ,
ak =
1
1 x x2
2ax
2xb
+b
= 1.
1+ 5
51
Using a + b = 1 and plugging this into 1+2a5

a
5 1 = (1 a) 1 + 5
for
5+5
10
!k
1+ 5
5
k 5
+ (1)
2
10
51
2
!k
Notice that | 51
| is less than one, so that taking it to higher powers will result in a
2
number increasingly close to zero. We obtain the curious fact that the first part
50
5+5
10
k
1+ 5
2
gets closer and closer to integers, indeed the integers of the Fibonacci
series. This is an interesting topic in its own right, but we will not cover it in this course.
3.2.4
A way to find the generating function
The following method is one way to determine the generating function. It is also
presented in Sections 25.4 and 25.5 of Discrete Mathematics. Suppose that the relation
calls for
an = bk ank + + b1 an1
for all n greater than or equal to some k. Line up the polynomials in the following way:
f (x)
= a0
b1 xf (x)
=
..
.
bk xk f (x)
a1 x
b 1 a0 x
ak x k
b1 ak1 xk
b k a0 x k
Notice that the rule implies that the columns for xk add up to zero, and the same holds
for the xj columns for all j greater than or equal to k. This means that after summing
up all the rows we are left with
(1 b1 x bk xk )f (x)
= a0 + a1 x + + ak1 xk1 b1 a0 x b1 ak2 xk1 bk1 a0 xk1 .
We can now solve for f (x) by dividing by 1 b1 x bk xk .
For example, to do this with the Fibonacci sequence, let f (x) = a0 + a1 x + be its
generating function. We line up the appropriate polynomials:
f (x)
= a0
+ a1 x
xf (x)
x2 f (x)
+ a2 x 2
+ a3 x 3
a0 x
a1 x 2
a2 x 3
a0 x 2
a1 x3
The rule for n 2 means that this can be re-written as

(1 x x2 )f (x) = a0 + a1 x a0 x.
With a0 = a1 = 1 this can be expressed simply as (1 x x2 )f (x) = 1 or
1
. Notice however that if we started with the initial conditions of
f (x) =
1 x x2
2x
a0 = 2 and a1 = 1 we would get (1 x x2 )f (x) = 2 x or f (x) =
. The
1 x x2
initial conditions can be very important, as we will see later when we investigate
whether the sequence a0 , a1 , . . . converges to positive infinity or negative infinity.
51
3.2.5
Algebraic manipulations
The following algebraic manipulations of generating functions are presented in Sections

25.1 and 25.2 of Discrete Mathematics and Section 4.2 of Combinatorics.
With any integer k , positive, negative, or zero, a sequence ak xk + ak+1 xk+1 + is

called a Laurent series. Usually we are interested in the Laurent series that start with
non-negative k, otherwise known as power series. One can add and subtract any pair of
Laurent series, each position separately. By starting at the lowest power and following
inductively, always adding together only finitely many terms, one can multiply together
two Laurent series. For example, if the two series start with x4 + 2x6 + and
2x1 + 3x + we know that the product of the two series will look like 2x3 + 7x5 +
(from the information given we do not know the rest of the coefficients).
With the same kind of approach, given any Laurent series f = ai xi + ai+1 xi+1 + that
1
is not zero, with ai 6= 0, we can find its multiplicative inverse . We start with the
f
1
leading coefficient bi = . We multiply bi xi with f to get
ai
1 + bi ai+1 x1 + bi ai+2 x2 + .
We look for the appropriate coefficient bi+1 for xi+1 so that the x1 coefficient
disappears. The right choice for bi+1 satisfies
bi+1 ai + bi ai+1 = 0.
Since ai is not zero there is a unique solution for bi+1 . Proceeding in this way we can
find the Laurent series
1
= bi xi + bi+1 xi+1 +
f
1
such that when multiplied with f the result is 1. Another way to express
is
f (x)
f (x)
f 1 (x). Next, we can perceive the expression
as f (x)g 1 (x), the product of two
g(x)
Laurent series.
To illustrate this, let f (x) = 1 x + 2x2 3x3 + 4x4 . We see that
(1 + x)(1 x + 2x2 3x3 + 4x4 . . . ) = 1 + x2 x3 + x4 + . . . .
This suggests that the next polynomial to try is (1 + x x2 ), and indeed we get
(1 + x x2 )(1 x + 2x2 3x3 + 4x4 ) = 1 x4 + ,
with the next approximation 1 + x x2 + x4 .
1
An explicit method for finding is called long division and can be performed with
f
polynomials in the same way as it is done with integers. We return to this method later.
Another algebraic method that is very useful for analysing generating functions is that
of partial fractions, also presented in Section 25.2 of Discrete Mathematics. Given the
52
f (x)
where the degree of f (x) is strictly less than the degree of g(x) and
g(x)
f (x)
g(x) can be factored into g1n1 (x) glnl (x) we can re-write
as a sum of terms of the
g(x)
r
form k
where r is a number and k is no greater than nj . The same method is used
gj (x)
to help integrate such functions. For example, suppose we have the generating function
expression
x2 2x 1
.
1 x x2 + x3
First notice that 1 x x2 + x3 is equal to (1 x)2 (1 + x). So we can re-write:
c
x2 2x 1
a
b
+
.
=
+
2
3
2
1xx +x
(1 x)
1x 1+x
Multiplying through by 1 x x2 + x3 we get
x2 2x 1 = a(1 + x) + b(1 + x)(1 x) + c(1 x)2 .
We could collect like powers of x and solve for three linear equations in three unknowns.
But the easier way is through the cover-up rule. Choose three distinct values for x that
make the calculations easy. Two of these choices are obvious, x = 1 and x = 1. From
x = 1 we get 1 2 1 = 2a, or a = 1. From x = 1 we get 1 + 2 1 = 4c, or c = 12 .
For a third choice x = 0 is possible, and with a and c already solved we get
1 = 1 + b + 21 or b = 21 . Therefore
1
1
1
x2 2x 1
=
+
.
2
3
2
1xx +x
(1 x)
2(1 x) 2(1 + x)
Why does the cover-up rule work? With the above example, we have to solve for
x2 2x 1 = a(1 + x) + b(1 + x)(1 x) + c(1 x)2 ,
or in other words we had two polynomials of degree 2 which had to be equal. To
uniquely determine a polynomial f (x) of degree n or less it suffices to know its values
for n + 1 distinct values of x. Let us assume that there is a second polynomial g of
degree n or less that agrees with f on these n + 1 distinct values of x. That would mean
that f g, a polynomial of degree n or less, has n + 1 distinct roots. This is possible
only if f g = 0, meaning f = g. The formal argument for why a polynomial of degree
n cannot have more than n distinct roots is presented in a later chapter.
3.2.6
Calculus manipulations
Taking derivatives of generating functions and its applications are presented in Section
4.2 of Combinatorics and in Exercise 25.7 of Discrete Mathematics.
One can take the derivative of any Laurent series, using the rule that the derivative of
xn is nxn1 , also when n is negative. Many of the other rules of calculus apply. We
1
demonstrate by taking the derivative of
= 1 + x + x2 + .
1x
53
The derivative of the left side is
1
and on the right side it is
(1 x)2
1 + 2x + 3x2 + 4x3 + .
We continue this process. The derivative of xn is nxn1 for all n = 1, 2, 3, . . . ,

meaning that the derivative of (1 x)n is n(1 x)n1 . Taking the derivatives of both
sides (the second time) we get
2
= 2 + 3 2x + 4 3x2 + 5 4x3 + ,
(1 x)3
which is better formulated as

1
3
4 2
5 3
=1+
x+
x +
x + .
3
(1 x)
2
2
2
Differentiating both sides of the expression for
2
we get
(1 x)3
6
= 3 2 + 4 3 2x + 5 4 3x2 +
(1 x)4
which we can rewrite as

1
4
5 2
=1+
x+
x + .
4
3
3
(1 x)
The following is Theorem 25.3 of Discrete Mathematics.

1
Lemma 3.1 Assume that
= a0 + a1 x + a2 x2 + . Then the coefficients ak
n
(1
x)

k+n1
are equal to
.
k
Proof (1)
We proceed by induction. If n = 1 then all these coefficients
should be 1, since

k+11
1
. And indeed
is equal to 1.
1 + x + x2 + =
1x
k
Assume the formula is true for n 1 for any given n 2. Write
(1 x)n+1
and
1
= a0 + a1 x + a2 x 2 +
(1 x)n1
1
= b0 + b1 x + b2 x 2 + .
(1 x)n
We take the derivative of both sides of the equation (1 x)n+1 to get

n1
= a1 + 2a2 x + 3a3 x2 + .
(1 x)n
Bringing in the bi coordinates,
(n 1)b0 + (n 1)b1 x + = a1 + 2a2 x + ,
54
or (n 1)bi = (i + 1)ai+1 for all i 0.
With the induction assumption, we have

(n 1) + (i + 1) 1
(n 1)bi = (i + 1)
.
i+1
Solving for bi we get
(i + 1)(i + n 1)!
bi =
=
(i + 1)!(n 2)!(n 1)

n+i1
.
i
Proof (2)
Notice that the coefficient for xk of the power series (1 + x + x2 + )n is the number of
ways to select with repetition
n positions for k unordered objects, which we knew
n1+k
already to be
.
k
1
Return to generating functions a0 + a1 x + of the form
, which have a
n
(1

x)

n1+k
n1+k
solution of ak =
. For any fixed n 1 re-write
as
k
k
1
(k + 1)(n1) , a polynomial in k of degree n 1. Let us look at the polynomials
(n 1)!
1
(x + 1)(n1) .
(n 1)!
n=1:
n=2:
1
(x + 1)(0) = 1
0!
1
(x + 1)(1) = x + 1
1!
n=3:
1
1
x2 + 3x + 2
(x + 1)(2) = (x + 2)(x + 1) =
2!
2
2
n=4:
1
x3 + 6x2 + 11x + 6
1
(x + 1)(3) = (x + 3)(x + 2)(x + 1) =
.
3!
6
6
These polynomials form a basis of the space of polynomials in x. Therefore any

polynomial can be written as a linear combination of them. In this way we can find the
generating functions for any sequences defined by an = nk for any positive
integerk,
n1+k
since we know from Lemma 3.1 that the generating function for bn =
is
k
1
= b0 + b1 x + .
(1 x)k
Assume that c is any non-zero complex number and make
y = cx. We
the substitution

n1+k n
1
get that the generating function a0 + a1 x + for an =
c is
.
k
(1 cx)k
For the same reason as above we can find the algebraic expression for the generating
function a0 + a1 x + for any sequence defined by an = nk cn .
55
3.2.7
How to find the explicit solution
Putting together what we have learned so far, we discover a method for going from a
generating function to the explicit formula for its coefficients. There is, however, a
problem with this method, discussed later, which may make it impractical in many
situations.
f (x)
such that the degree of f (x) is less than the
First, put it in the form of h(x) +
g(x)
degree of g(x) and g(0) is equal to 1.
Second, express g(x) as a product of irreducible Q
factors. Using complex numbers, any
polynomial can be factored down completely toP k (x ri )mk where the rk are the roots
of the polynomial (with multiplicities mk ) and k mk is the degree of the polynomial.
For example, x2 + 1 is irreducible over the real numbers, but with complex numbers
x2 + 1 = (x + i)(x i), where i is the square root of 1. This is the hardest part of the
technique, since finding exact expressions for these roots may be impossible. However, if
approximate valuesare sufficient,
mk then this method works. Given that g(0) = 1 we can
Y
x
, where rk are the roots.
express g(x) as
1
r
k
k

mk
Q
x
Third, with g(x) factored and expressed as k 1
, one applies the methods of
rk
partial fractions and solves for the unique (complex) numbers bk,j which satisfy
m
k
f (x) X X
bk,j
=

j .
g(x)
x
k j=1
1
rk
Fourth, one uses Lemma 3.1 to express the pth power coefficient of f (x)/g(x) as
p

mk
XX
1
p+j1
bk,j
.
rk
p
k j=1
Fifth, combine with the polynomial h(x) (determining the initial values of the sequence)
for the complete answer.
A second approach to giving change
First, let us stick to giving change in only one and two pence coins, since otherwise the
explicit approach could be difficult. We want to know the coefficients of the power series
1
. Since 1 x2 = (1 x)(1 + x) this should be expressed as
(1 x)(1 x2 )
1
. Using partial fractions write this as
(1 x)2 (1 + x)
a
b
c
1
+
+
=
.
2
1 x (1 x)
1+x
(1 x)2 (1 + x)
Re-write it as
(1 x)(1 + x)a + (1 + x)b + (1 x)2 c = 1
56
and again as
(c a)x2 + (b 2c)x + a + b + c = 1.
We use the cover-up rule with x = 0, 1, 1:
2b = 1
4c = 1
a + b + c = 1.
The solution is a = 41 , b = 21 , and c = 14 . (The cover-up rule will be explained later.)

The power series for
1
1
and
are not difficult. We are already familiar with
1x
1+x
1
= 1 + x + x2 + ,
1x
while
1
= 1 x + x2 x3 + x 4 .
1+x
1
1
Therefore the sum of
and
is easy to express. At even positions we get
4(1 x)
4(1 + x)
1
1
and at odd positions we get 0. The
is more difficult to understand.
2
2(1 x)2
1
1
is
. Therefore we get
The derivative of the function
1x
(1 x)2
1
= 1 + 2x + 3x2 + 4x3 +
2
(1 x)
Now we can say explicitly how many ways one can give n pence in change using only
one or two pence coins. For any n we add half of n + 1 to the previous result (adding
the two easier power series) to get
if n is odd, in
n+1
ways
2
n+2
ways.
2
This corresponds exactly to our previous table. Needless to say, making the same
explicit calculation for coins in one, two, and five pence would be significantly more
difficult using this method. For all k 2 some of the roots of the polynomials
1 + x + + xk are non-real complex numbers (the roots of unity). Using tables is an
easier method when there are coins of higher value. However we extend this approach to
coins to the value of one and four (though a four pence coin does not exist).
if n is even, in
Giving change in one and four pence coins

Given that there exists a four pence coin, we work through the explicit solution using
complex numbers. We take advantage of the fact that i and i are also fourth roots of
one. Notice from the solution that working this out for five pence coins would be
considerably more difficult, though it would not be too difficult to extend this method
to one, two, and four pence coins.
57
The generating function is
1
1
.
1 x 1 x4
The roots of x4 1 are 1, 1, i, and i (with i and i the complex numbers such that
i2 = 1). The generating function can be re-written as
1
1
1
1
.
2
(1 x) 1 + x 1 ix 1 + ix
Breaking down into partial fractions with variables a, b, c, d, e to solve we get the
generating function equal to
b
c
d
e
a
+
+
+
+
.
1 + ix 1 ix 1 + x 1 x (1 x)2
The equation can be re-written again as
1 = (1 x)2 (1 ix)(1 + x)a + (1 x)2 (1 + ix)(1 + x)b
+ (1 + x2 )(1 x)2 c + (1 + x2 )(1 x)(1 + x)d + (1 + x2 )(1 + x)e.
Using the cover-up rule with x = i, i, 1, 1, 0:
x=1:
x = 1 :
x=i:
x = i :
x=0:
4e = 1
8c = 1
4(1 i)a = 1
4(i + 1)b = 1
a+b+c+d+e=1
This solves to yield

a=
1 1
+ i,
8 8
b=
1 1
i,
8 8
1
c= ,
8
3
d= ,
8
1
e= .
4
The formula for the kth coordinate of the generating function is therefore

1 1
1 1
1
3 1
k
i i +
+ i (i)k + (1)k + + (k + 1).
8 8
8 8
8
8 4
Let us check a few values.
1 1
1 3 1
1 1
+ i+ i+ + + =1
8 8
8 8
8 8 4
1
1 1
1 1 3 1
= i+ i+ + + =1
8
8 8
8 8 8 2
1 1
1 1
1 3 3
= i + i+ + + =1
8 8
8 8
8 8 4
1
1 1
1 1 3
= i i + +1=1
8
8 8
8 8 8
1 1 3 5
= + + + =2
4 8 8 4
a0 =
a1
a2
a3
a4
58
3.3. Recurrence relations

Exercise 3.1
Find the generating function for the sequence an = 2n n2 . Hint: Look at the solutions
to

1
n
2
the generating functions
and the fact that n can be written in terms of
,
(1 2x)k
2
n and 1.
Exercise 3.2
An eccentric professor climbs stairs by taking either two stairs or one stair in one stride.
Find a formula for bn , the number of ways in which he can climb n stairs (and the three
solutions 1 + 2 + 2, 2 + 1 + 2 and 2 + 2 + 1 are all distinct).
Exercise 3.3
Find the explicit solution for the coefficients of the generating function
complex numbers. Hint: Use that x3 1 = (x 1)(x2 + x + 1).
1
using
1 + x + x2
Exercise 3.4
What is the generating function for the number of ways to distribute k pence to three
people (distinguishable) in one, two, and five pence coins so that the first person never
gets a one-pence (penny) coin, the second person never gets a two-pence coin, and the
third person never gets a five-pence coin?
3.3
3.3.1
Recurrence relations
What is a recurrence relation?
Recurrence relations are introduced with generating functions at the start of Chapter 4
of Combinatorics in the following way: A recurrence relation expresses the value of a
function f at the natural number n in terms of its values at smaller natural numbers.
Let N = {0, 1, 2, . . . }, the natural numbers, be the non-negative integers and Z be all
integers. Sometimes a definition of a recurrence relation is given as follows.
A recurrence relation of degree k is defined by a function p : N Zk Z and an initial
sequence of integers a0 , a1 , a2 , . . . , ak1 such that for all n k the number an is equal to
p(n, an1 , . . . , ank ).
The problem with this definition is that it describes any function on the natural number
if there is no restriction on the properties of the function p. But usually some form of
restriction on p is implicit in this definition.
A linear recurrence of degree k is defined by a function p such that for all n k
p(n, x1 , . . . , xk ) = q(n) + b1 xn1 + + bk xnk
for some function q and constants b1 , b2 , . . . , bk .
It is homogeneous if the function q is the zero function.
59
The homogeneous linear recurrence relations have a special structure that we will study
in some depth. And their definition as stated above is not ambiguous.
Just as recurrence relations define generating functions, so one can move in the opposite
direction.
Example 3.1 Let
1 + 7x
1 + x 6x2
and now determine the recursive relation for which f (x) is the generating function.
Then determine the explicit formula for ai as well as the initial values a0 and a1 .
f (x) =
Due to the polynomial in the denominator and our previous analysis of how to go
from the recurrence relation to the generating function, we have for n 2
an = an1 + 6an2 . The initial conditions are a0 = 1 and a1 = 6 (seen from the
initial process of long division). With 1 + x 6x2 = (1 2x)(1 + 3x) we can write
b
a
1 + 7x
+
=
1 + x 6x2
1 2x 1 + 3x
or (1 + 3x)a + (1 2x)b = 1 + 7x. With the cover-up rule, letting x =
and with x = 1
we get b = 4
. This solves to an = 95 2n 45 (3)n .
3
5
1
2
we get a =
9
5
Checking this on n = 2, 3, 4, 5 by the recursive formula we get a2 = 0, a3 = 36,

a4 = 36, and a5 = 7 36 = 252 = 45 243 + 95 32.
3.3.2
Equivalences
Putting together everything we have learned so far, we can characterise homogeneous

linear recurrence relationships in terms of their generating functions.
Define a generating function to be rational if it can be expressed as a fraction of one
polynomial over another. This follows the definition of a rational number being an
integer divided by a non-zero integer.
Lemma 3.2 A rational generating function defines a homogeneous linear recurrence
relation. Furthermore if a recurrence relation is linear and the function q(n) has a
rational generating function then the generating function of the recurrence relation is
also rational.
Proof
Assume that f (x) is the generating function for the sequence a0 , a1 , . . . . Assume that
g(x)
with h(x) = ck xk + + c0 a polynomial of degree k and
f (x) =
h(x)
g(x) = bl xl + + b0 a polynomial of degree l. Re-write as h(x)f (x) = g(x). Let i be the
first number such that ci is not zero.
(ck xk + + ci xi )(a0 + a1 x + ) = bl xl + + b0 .
Assuming j > max{l, k} and looking at the (j + i)th coefficient we have
aj ci + aj1 ci+1 + + ajk+i ck = 0.
60
With ci not equal to zero, divide by ci and solve for aj for

aj =
ci+1
ck
aj1 ajk+i .
ci
ci
For the second part, let g(x) = q(k)xk + q(k + 1)xk+1 + be the generating function
for the function q. Look at the function
h(x) := f (x)(1 b1 x b2 x2 bk xk ) g(x),
where the b1 , b2 , . . . , bk define the recurrence relation. For all j k the xj coefficient is
aj b1 aj1 bk ajk q(j), which is zero by assumption. Therefore h(x) is a
polynomial of degree at most k 1. We can re-write f (x) as
h(x) + g(x)
.
1 b1 x b2 x 2 bk x k
Theorem 3.3 The following are equivalent about an infinite sequence a0 , a1 , . . . :
(i) The sequence is determined by a homogeneous linear recurrence relation.
2
(ii) The
expression a0 + a1 x + a2 x + is arational generating function
f
for some polynomials f, g with g 6= 0 .
g
(iii) There is a positive integer t such that for all k t

ak =
mp
n X
X
p=1 j=0
bp,j (
1 k j
) k
rp
for some fixed n, m1 , . . . mn , complex numbers b1,1 , . . . , b1,m1 , b2,1 , . . . , bn,mn and
complex numbers r1 , . . . , rn .
If so then the r1 , . . . , rn are the roots of g(x) such that the generating function reduces
f (x)
for polynomials f (x), g(x).
to
g(x)
Proof
The equivalency of (i) and (ii) is Lemma 3.2 . (ii) implies (iii) is the result of our
explicit solution for the
series. (iii)
implies (ii) results from the fact that
1
n
1
+
k
[k + 1]n1 =
, the explicit solutions an for the generating function
(n 1)!
k
P
1
n
, for n = 1, 2, . . . form a basis of the polynomials in k, as
n=0 an y =
(1 y)k
described above.
Notice that y = rx can be substituted to incorporate the powers of 1r and that shifts of
index can be rewritten without the shift, such as an = (n 1)2 re-written as
an = n2 2n + 1 or an = cn+1 as an = c cn . (i) implies (iii) of the above is also
Theorem 25.5.2 of Discrete Mathematics.
61
3.3.3
Tables and long division
Theoretically we know how to write down closed-form formulae for the recurrence
relations defined by all rational generating functions. But in reality finding the complex
roots of the appropriate polynomial may be too difficult, if not impossible. Given that
only partial factorisation of the polynomial in the denominator is possible, sometimes a
table of solutions is all that one can hope for.
As with the tables created for giving change in different types of coins, we can construct
sequences of solutions in tables, where the last sequence is the recurrence relation
desired. The general approach is the following. Start with a rational generating function
h(x) +
f (x)
g1 (x)g2 (x) gm (x)
where for all i gi (0) = 1 and the gi cannot be factored further and the degree of f is less
than the sums of the degrees of the gi .
f (x)
For every i = 1, 2, . . . m define the generating function ji to be
, so that
g1 (x) gi (x)
g1 (x)j1 (x) = f (x) and gi (x)ji (x) = ji1 (x).
Let
gi (x) = 1 + bi,1 x + bi,2 x2 + bi,pi xpi ,
f (x) = f0 + f1 x + + fl xl ,
jr (x) = ar,0 + ar,1 x + ar,2 x2 + .
For the first line of the table write down the finite sequence
f0
f1
...
fl
For any given k look at the coefficient for xk in the expression g1 (x)j1 (x) = f (x)
(1 + b1,1 x + b1,2 x2 + b1,p1 xp1 )(a1,0 + a1,1 x + a1,2 x2 + ) = f0 + f1 x + + fl xl .
We get a1,0 = f0 and
a1,k = fk b1,1 a1,k1 b1,k a1,0 ,
with fk = 0 if k > l.
The sequence for j1 can be written down according to this rule, below the sequence
f0 , . . . , f l .
f0 f1 . . . fl
a1,0 a1,1 . . . a1,l . . .
Assuming that this has been done for j1 , j2 , . . . , jr1 , we create the sequence
ar,0 , ar,1 , . . . corresponding to the generating function jr . With gr (x)jr (x) = jr1 (x) we
do the same trick:
(1 + br,1 x + br,2 x2 + br,pr xpr )(ar,0 + ar,1 x + ar,2 x2 + ) = ar1,0 + ar1,1 x +
62
implying
ar,k = ar1,k br,1 ar,k1 brk ar,0 ,
and these quantities are written down below ar1,0 , ar1,1 , . . . :
f0
f1
...
fl
a1,0
..
.
a1,1
..
.
...
a1,l
..
.
...
ar1,0 ar1,1 . . . ar1,l . . .

ar,0
ar,1
...
ar,l
...
The process continues until the sequence for am,0 , am,1 , . . . is written down.
At the end bring back the polynomial h(x). It changes only some initial conditions.
Example 3.2 Assume that in a country, prior to the year 2000, there were coins of
one, two, five, and ten cents. In the year 2000 two new two cent coins were
introduced that looked different from the old two cent coin. We calculate the number
of ways to give change to the value of k = 1, 2, . . . , 15 where the number of two cent
coins of each of the three types matters, meaning that there are three ways of giving
7 cents using only a five cent coin and a two cent coin.
First we determine the generating function a0 + + ak xk + for giving change to
the value of k. It is
1
1
1
1
.
2
3
5
1 x (1 x ) (1 x ) (1 x10 )
The problem with determining an explicit formula for the numbers ai is that we
have as roots of this polynomial the complex
numbers
are the tenth roots of

that
2n
2n
unity, namely the complex numbers cos
+ sin
i for n = 0, 1, . . . , 9,
10
10
some of which have multiplicity more than one in this polynomial. Calculating the
coefficients for the partial fraction solution would involve a lot of algebraic work,
much more than our above solution for giving change in one and four cent coins.
Therefore we choose instead to find these numbers through the use of tables.
Let:
i be the coefficients for
1
1x
1
(1 x)(1 x2 )3
1
(1 x)(1 x2 )3 (1 x5 )
1
(1 x)(1
x2 )3 (1
x5 )(1 x10 )
63
Start with the first line for the i :

1
and then continue with the rule i = i + 3i2 3i4 + i6 to get the influence of
the two cent coins:
1
10
10
20
20
35
35
56
56
84
84
120
120
And then i = i + i5 :
1
10
11
21
24
39
45
67
77
108
123
165
187
24
39
45
68
78
112
127
175
198
And lastly the rule i = i + i10 :

1
10
11
21
We conclude that there are 198 different ways to give change with values adding up
to 15.
Another method of going from a generating function to its corresponding sequence of
numbers is the old method known as long division. Long division on polynomials is
demonstrated in Section 25.1 of Discrete Mathematics. Given a generating function in
the form of f (x)/g(x), one can simply divide f (x) by g(x) using some simple rules. The
advantage to long division is that it does not require any factorisation of the polynomial
and in general can be performed without any additional preparation. Its drawback is
that one could quickly get bogged down in the complexity of the remainders that result
from long division.
1
, one divides 1 by
With the Fibonacci numbers, whose generating function is
1 x x2
1 x x2 .
The first step would give 1 with the remainder
1 (1 x x2 ) = x + x2 .
In the second step one adds x for 1 + x with the remainder
x + x2 (x x2 x3 ) = 2x2 + x3 .
1xx
64
1
1
1
x
x
x
x2
x2
x2
2x2
x3
+ x3
In the third step one adds 2x2 for 1 + x + 2x2 and the remainder
2x2 + x3 (2x2 2x3 2x4 ) = 3x3 + 2x4 .
In the fourth step one adds 3x3 for 1 + x + 2x2 + 3x3 with the remainder
3x3 + 2x4 (3x3 3x4 3x5 ) = 5x4 + 3x5 .
The next step yields a 5x . One recognises the pattern of the Fibonacci sequence in the
process of this long division.
3.3.4
Composite linear recurrence relations
The relationship between many homogeneous linear recurrence relations and their
generating functions can be well disguised. For example, for every n we may define l
different types of objects such that the number an of objects we want to know is the
sum of the numbers of the different types. The relations could be expressed entirely in
terms of these different types, so that the relation between the an and the previous
an1 , an2 , . . . is obscured. How could we discover the formula that makes it a
homogeneous linear recurrence relation? Formally we have for all n k
bjn
n X
l
X
pji bjni
i=1 j=1
for some variables
pji
and initial values b10 , . . . , bl0 , . . . , b1k1 , . . . , blk1 .
Often cleverness suffices to discover the general pattern without the complexity of a
composite formulation. For example, if an stands for the number of ways to climb n
stairs with strides of length 1, 2, or 3 one should recognise that an = an1 + an2 + an3
(from the last step being of size one, two, or three) without defining an additional three
sequences bn , cn , and dn , representing the ways to end in strides of length 1, 2, and 3
respectively.
It is good to know, however, that failing some clever solution to the problem that there
is a general method of linear algebra that will work.
Example 3.3 To demonstrate this method, we define a0 = 1, b0 = 0, c0 = 0, and
for all i 1 by
ai = ci1 + bi1 + ai1 ,
bi = ai1 ci1 ,
ci = ai1 bi1 ,
and we want to know ai for all i 0.
Let f , g, and h be the generating functions for the ai , bi , and ci . We have

f = 1 + xg + xh + xf,
g = xf xh,
h = xf xg.
65
We can treat f , g, and h as variables, place these relations in a matrix, and solve
using the techniques of linear algebra:

x1 x x
f
1

x 1 x g = 0
x x 1
h
0
which reduces to
x 2 + x 1 0 x x2
f
x
1
x g = 0
0
x+1
1
0
x
and
and solves to
x

f
1 3x2

0 1
1
g =
x+1
1 0
0
x
0 0
f=
1+x
,
1 3x2
g=h=
x
.
1 3x2
Now solve for an with

1
3x
1+
3x
1+x
1 3x2
thus
(1 +
3x)u + (1 3x)v = 1 + x.
Using the cover-up rule with x =
3
3
,
3
3
we get u =
3+3
6
and v =
3 3
6
for
3+3 k 3 3 k
( 3) +
( 3)
ak =
6
6
This corresponds to the answers obtained directly: a0 = 1, b0 = c0 = 0,
a1 = b1 = c1 = 1, a2 = 3, b2 = c2 = 0, a3 = 3.
3.3.5
Initial conditions
Two recurrence relations, both ruled by the same formula an = b1 an1 + + bk ank for
all n k, can act very differently. To illustrate this, we look at simple recurrence
relations defined by integers such that the initial conditions can determine whether the
66
series goes to positive infinity or negative infinity.

Example 3.4 Define a recurrence relation by
n = 3n1 2n2 n,
0 = 1,
for all n 2, with 1 a variable.
Try first 1 = 1:
0 = 1,
1 = 1,
2 = 3 2 2 = 1,
3 = 3 2 3 = 8,
and so on downward.
Next try 1 = 3:
0 = 1,
1 = 3,
2 = 9 2 2 = 5,
3 = 15 6 3 = 6,
4 = 18 10 4 = 4,
5 = 12 12 5 = 5.
Next try 1 = 4:
0 = 1,
1 = 4,
2 = 12 2 2 = 8,
3 = 24 8 3 = 13.
Will this continue going up, or fall back like the others?
Let f (x) be the generating function for 0 , 1 , . . . .
1
x
2
With
equal
to
1
+
2x
+
3x
+
it
follows
that
is the generating
(1 x)2
(1 x)2
function for the recurrence relation n = n. We assume that 1 = 4
f (x)
3xf (x)
+2x2 f (x) =
x
+
=
(1 x)2
+ 2 x2
3 x3
3x
12x2
32 x3
2x2
8x3
2x2
3x3
+ .
4x
67
Now sum up for

(1 3x + 2x2 )f (x) +
x
= 1 + 4x 3x + x = 1 + 2x.
(1 x)2
Solve for f (x):
Re-write 1 + 2x
x
as
(1 x)2
1 x 3x2 + 2x3
(1 + 2x)(1 2x + x2 ) x
=
.
(1 x)2
(1 x)2
Next factor: 1 3x + 2x2 = (1 x)(1 2x) for

1 x 3x2 + 2x3
f (x) =
.
(1 x)3 (1 2x)
With partial fractions:
a
b
c
d
1 x 3x2 + 2x3
+
+
+
=
(1 x)3 (1 x)2 1 x 1 2x
(1 x)3 (1 2x)
(1 2x)a + (1 2x)(1 x)b + (1 2x)(1 x)2 c + (1 x)3 d = 1 x 3x2 + 2x3 .
Before going further, notice the meaning of the terms. The d term corresponds to
1
, involving powers of 2, while everything else involves powers of 1. Therefore if
1 2x
d is positive then positive infinity is approached in the limit and if d is negative then
negative infinity is approached in the limit.
Using the cover-up rule with x = 1/2, 1, 0, 1 we get
1
:
2
d
1 3 2
=1 + =0
8
2 4 8
or
d = 0,
x=1:
a = 1 1 3 + 2 = 1
or
a = 1,
or
b + c = 0,
or
6b + 12c = 6.
x=
x=0:
x = 1 :
a+b+c+d=1
3a + 6b + 12c + 8d = 1 + 1 3 2 = 3
This solves to a = 1, b = 1, c = 1, d = 0. Therefore we have to look at the next

1
, to determine if the sequence goes to positive
critical term, the multiple of
(1 x)3
or negative infinity. With the solution a = 1 we know that it goes to positive infinity.
The explicit formula for the n is
n =
68
(n + 1)(n + 2)
(n + 1)(n + 2)
+n+11=
+ n.
2
2
Check how it continues, as we have already calculated 2 = 8 and 3 = 13. On the

left side is the explicit formula, on the right side the numbers are from the
recurrence relation:
56
+ 4 = 19 = 3 13 2 8 4
2
67
5 =
+ 5 = 26 = 3 19 2 13 5.
2
4 =
What if 1 = 3 or 1 = 5? The main equation is

(1 3x + 2x2 )f (x) +
x
= 1 + 1 x 3x + x.
(1 x)2
If 1 = 3 the right side is 1 + x.

If 1 = 5 the right side is 1 + 3x.
For 1 = 3 we get the explicit solution
n =
(n + 1)(n + 2)
+ n + 1 2n ,
2
and for 1 = 5 we get the explicit solution

n =
(n + 1)(n + 2)
+ n 1 + 2n .
2
Example 3.5 Let the recurrence relation be defined by a0 = 1 and for n 2

n = 3n1 2n2 5n.
For what values of 1 will the limit of the sequence be positive infinity?
f (x)
3xf (x)
+2x2 f (x)
x
+5
(1 x)2
=
=
1 x
3x
5x
Sum up for
(1 3x + 2x2 )f (x) +
and
2 x2
31 x2
3 x3
32 x3
2x2
21 x3
10x2
15x3
5x
= 1 + 1 x + 2x
(1 x)2
1 + 1 x 5x 3x2 21 x2 + 2x3 + 1 x3
.
(1 x)3 (1 2x)
Putting into partial fractions:
f (x) =
b
c
d
1 + 1 x 5x 3x2 21 x2 + 2x3 + 1 x3
a
+
+
+
=
(1 x)3 (1 x)2 1 x 1 2x
(1 x)3 (1 2x)
69
and
(1 2x)a + (1 2x)(1 x)b + (1 2x)(1 x)2 c + (1 x)3 d
= 1 + 1 x 5x 3x2 21 x2 + 2x3 + 1 x3 .
With d corresponding to the powers of 2, we must solve for d = 0. Using the

cover-up rule with x = 1/2 we get
1
1 3 1 1 1 5
d=1+

+ +
8
2
4
2
4
8
2
which solves to d = 1 16. We conclude that if 1 > 16 then the limit of the
sequence will be positive infinity and if 1 < 16 then the limit of the sequence will
be negative infinity. It remains to see what happens when 1 = 16 (and d = 0).
Cover-up further with x = 1, x = 0, and x = 1:
x=1:
x=0:
x = 1 :
a = 1 + 16 5 3 32 + 2 + 16
a+b+c+d=1
3a + 6b + 12c + 8d = 1 16 + 5 3 32 2 16
or
a = 5,
or
b + c = 4,
or
6b + 12c = 78.
This solves to b = 5 and c = 9.
The explicit formula, which will have positive infinity as its limit, becomes
an =
5(n + 1)(n + 2)
+ 5(n + 1) 9.
2
This can be checked. On the left side is the quantity from the formula, on the right
side that from the recurrence relation starting with 0 = 1 and 1 = 16:
2 = 30 + 15 9 = 48 2 10 = 36,
3 = 50 + 20 9 = 108 32 15 = 61,
4 = 75 + 25 9 = 183 72 20 = 91.

Exercise 3.5
Assume that
a0 + a1 x + a2 x 2 + =
1
1
.
1 x 1 x3
For all i 1, ai will be the number of ways of giving change in one and three pence
coins. Using long division, determine the values ai from i = 0 to i = 10.
70
3.4. Non-linear recurrence relations
Exercise 3.6
Let qn be the number of ways to write an n sequence of the letters a and b such that a
is never repeated three times consecutively (meaning that baabbabbbbabaab . . . is
allowed). Find the generating function for qn . (Hint: break down the possibilities to
three cases: those that end in b, those that end in one a, and those that end in two as.)
Exercise 3.7
The language of ALEBEMA has words consisting of the letters A, B, E, L , and M.
Every word must start with the letter A and alternate between the consonants and the
vowel letters A or E. The sequences A, AB, ALA, ABE and ABEL are words but BA,
ABLEB, EBA and AAL are not words. Let an denote the number of words of length n.
(a) Show that a1 = 1, a2 = 3, and an = 6an2 for all n 3.
(b) Write down the generating function for an , and the closed formula for the number
an as a function of n.
Next year the government of ALEBEMA will reform the language, permitting all
existing words but allowing for some new words. All words must still begin with the
letter A. Two consonants in succession are still not permitted and AA, EA, or EE in a
word is still not permitted; however AE in a word is permitted. AELEBAEMA and
ABAE are now words but ABEAL, AMAA and ALEE are still not words.
(c) Show that the recursive relation for the number bn of words of length n is b1 = 1,
b2 = 4, b3 = 9, and bn = 6bn2 + 3bn3 for all n 4.
Exercise 3.8
Consider the linear recurrences defined by a0 = 1 and an = 3an1 2an2 n2 . Find the
first positive integer for the initial value a1 such that the limit of the sequence is
positive infinity.
Exercise 3.9
The following problem is a little difficult. Let there be k planes in Euclidean space R3
such that any three distinct planes intersect at a point and any four distinct planes have
an empty intersection. Three planes will cut R3 into eight regions. Find the rational
generating function for how many regions (of both finite and infinite area) of R3 are
created by the cuts of k such planes and write down the explicit formula. Hint: Calculate
these numbers first for R1 and R2 with respect to points and lines, respectively.
3.4
Non-linear recurrence relations
Recurrence relations that do not conform to Theorem 3.3 do not have rational
generating functions and are not homogeneous linear. For non-linear recurrence relations
there is no cook book to solve them. Solving them is an art. We look at one example
that demonstrates the power of taking the derivative. This example is also worked out
in Section 4.5 of Combinatorics. See also Sections 26.3 to 26.7 of Discrete Mathematics.
71
3.4.1
The Catalan numbers
a0 = 0, a1 = 1, for n 2
an = a1 an1 + a2 an2 + + an1 a1 .
Let f (x) = a0 + a1 x + a2 x2 + and look at the generating function f (x)2 . For any
k 2 its kth power coefficient is
ak a0 + an1 a1 + ak2 a2 + + a1 ak1 + a0 ak
and by a0 = 0 this is equal to ak . It holds that
(f (x))2 f (x) = a20 + 2a1 a0 x a0 a1 x = x.
Add
1
4
to both sides for

1
(f (x)) f (x) + =
4
2
For now let us assume

2
1
1
f (x)
= x.
2
4
1
f (x) =
2
1 4x
2
as a0 = 0 means that f (0) = 0.

By Taylors expansion (as the function is not too wild)
f (x) = f (0) + [Df ](0) + +
1 k
[D f ](0) +
k!
and [Dk f ](0) is equal to k! ak . So we need only find the derivatives of the function f (x).
1
[Df ](x) = (1 4x) 2
[D2 f ](x) = 2(1 4x) 2

5
[D3 f ](x) = 4 3(1 4x) 2

7
[D4 f ](x) = 8 3 5(1 4x) 2

[Dk f ](x) = 2
[Dk f ](0) = 2
2k1
(2k 3)!
(1 4x) 2
(k 2)!
(2k 3)!
(k 2)!
ak = 2
(2k 3)!
k!(k 2)!
This can be re-written, multiplying top and bottom by (k 1) for

(2k 2)!
1 2k 2
ak =
=
.
k!(k 1)!
k k1
This is too clean an expression not to represent something. If ak is the number of ways
one can write the sum of x1 + x2 + x3 + + xk in parentheses, we have a3 = 2 (from
72
the two possibilities (x1 + x2 ) + x3 and x1 + (x2 + x3 ). If there are k variables the first
cut can be made in k 1 places. If it is made in the jth place (meaning j variables to
the left, k j to the right) then the number of ways is aj akj , given that we let both a1
and a2 be 1. See Figure 3.2.
n j objects
j objects
(
n objects
Figure 3.2: A cut of n objects into j objects and n j objects.
The corresponding recurrence relation goes by the name of the Catalan numbers.
3.4.2
Partitions of an integer
Consider the number of ways that positive integers can add up to the number n (the
number of types corresponding to n). What is the generating function for this number?
This is presented as Theorem 13.1.1 of Combinatorics and also Sections 26.3 and 26.4 of
First, a certain number of blocks of size 1 is used. This is represented by
1 + x + x2 .
Second, a certain number of blocks of size 2 is used. This is represented by
1 + x2 + x4 + .
Third, a certain number of blocks of size 3 is used. This is represented by
1 + x3 + x6 + .
If we are interested only in the number of types using blocks of size one, two, and three
the generating function would be
1
1
1
(1 + x + )(1 + x2 + )(1 + x3 + ) =
2
1 x 1 x 1 x3
as the coefficient for xn would be the number of ways of choosing quantities of blocks of
size one, two, and three to add up to n.
Since there is no limit on the size of the blocks used, the generating function would be
1
1
1
.
2
1 x 1 x 1 x3
This generating function is an infinite product; is it well defined? We need to know that
for every choice for k the coefficient for xk is well defined. Assuming that n is greater
than k, the generating function takes the form
(1 + x + )(1 + x2 + ) (1 + xk + ) (1 + xn + ) .
73
We see that the further multiplications by 1 + xn + by all n greater than k have no

influence on the xk coefficient. Therefore for every choice of k the coefficient for xk is
the result of finitely many combinations and hence is well defined.
Being an infinite product, this generating function is not rational. However, given any
1
fixed n we can choose to ignore the terms
for k > n. Therefore fixing any large n
1 xk
we have a rational generating function for the number of ways to partition the integer k
into parts of size less than or equal to n.
However, with this large n fixed, finding an explicit formula through partial fractions
would be very difficult, due to the fact that the generating function up to n can be
rewritten as
1
1
1
1
.
2
n
1+x 1+x+x
1 + x + + x (1 x)n
The roots of the polynomial 1 + x + x2 + + xm are the complex numbers other than
1 whose (m + 1)th power is the number one.
On the other hand, we can calculate these numbers through the use of tables. One can
do so in exactly the same way one calculates the number of ways to give change, with
the idea that there are coins of all values. And one can do the same when there is no
limit to the size of the parts. There are efficient ways to create a table to reveal these
numbers. For a presentation of an efficient method using tables see Sections 26.5 and
26.6 of Discrete Mathematics.
What sequence of numbers is represented by the generating function
1
1
1
?
3
2
3
(1 x) (1 x ) (1 x3 )3
Assume that any positive integer can be coloured red, blue, or yellow. This is the
generating function for the number of ways to add up to k when the colours of the
numbers also matter.
Which sequence is represented by
1
1
1
?
(1 x)n (1 x2 )n (1 x5 )n
This represents the number of ways to give k pence to n distinguishable people in coins
of one, two, and five pence. The two questions are equivalent in the following way. If we
colour the coins with n different colours each colour could correspond to a different
person and the colouring of a coin is a determination of which person receives it.
3.4.3
A theorem of Euler
The following theorem demonstrates the power of algebraic manipulations. It is

presented in Section 26.4 of Discrete Mathematics.
Theorem 3.4 (Euler) The number of partitions of n into parts of distinct size is equal
to the number of partitions of n into odd parts.
Proof
For unequal parts the generating function is
f (x) := (1 + x)(1 + x2 ) .
74
For odd parts it is

g(x) :=
1
1
1
.
3
1 x 1 x 1 x5
But g(x) could also be written as

=
(1 x2 )(1 x4 )
(1 x)(1 x2 )(1 x3 ) .
The polynomial 1 x2n can be re-written as (1 xn )(1 + xn ). Therefore g(x) can be

re-written again as
=
(1 x)(1 + x)(1 x2 )(1 + x2 )(1 x3 )(1 + x3 )

(1 x)(1 x2 )(1 x3 )
= (1 + x)(1 + x2 )(1 + x3 )
= f (x).
Previously we showed using Ferrers diagrams that the number of partitions of n into
distinct sizes is equal to the number of partitions of n where no size is skipped from 1 to
the maximal size. Now we have equality between three collections of partitions which
seem to have no apparent relation to each other. Let us check this with partitions of 8.
We mark partitions of distinct size with , partitions with only odd sizes with , and
partitions without skipped sizes with .
[8]
[7 1]
[6 2]
[5 3]
[6 12 ]
[5 2 1]
[5 13 ]
[42 ]
[4 3 1]
[4 22 ]
[4 2 12 ]
[4 14 ]
[32 2]
[32 12 ]
[3 22 1]
75
[3 2 13 ]
[3 15 ]
[24 ]
[23 12 ]
[2 16 ]
[22 14 ]
[18 ]

Exercise 3.10
Write down the generating functions for the number of partitions of an integer n such
that
(a) all parts are odd
(b) all parts are of unequal size
(c) the largest part is of size m
(d) one and only one part is of size one
(e) the size of every part is not a power of 2.
Exercise 3.11
1
Explain why both the sequences ai = i! and bi = do not have rational generating
i!

i
functions while the sequence ci =
does have a rational generating function for any
m
fixed m.
Exercise 3.12
Define a sequence of numbers a0 , a1 , . . . by a0 = 0, a1 = 1, and for n 2
an = (a1 an1 + a2 an2 + + an1 a1 ) + 1.
Write down the values of ak for k = 1, 2, 3, 4, 5, 6. What is its generating function? Take
the first and second derivatives of the generating function and show that their
evaluations at zero correspond to the values for a1 and a2 . Hint: Similar to the solution
to the Catalan numbers, we see that
ak = 1 + ak a0 + ak1 a1 + ak2 a2 + + a1 ak1 + a0 ak
for k = 2, 3, . . . . Recall that
all i = 0, 1, . . . .
76
1
is the generating function for the sequence ai = 1 for
1x
3.4. Learning outcomes
Learning outcomes
At the end of this chapter and the relevant reading, you should be able to:
write down the generating function for the number of ways to make change and
calculate these values
obtain the generating function from a homogeneous linear recurrence relation
know how to multiply, divide and differentiate Laurent series
break down complicated expressions into partial fractions
find the explicit formula for a generating function, given that the appropriate
polynomial is easy to factor
identify homogeneous linear recurrence relations
solve explicitly for homogeneous linear recurrence relations using tables
perform long division on polynomials
convert composite linear recurrence relations into a single recurrence relation
determine the initial conditions that make a sequence go to positive or negative
infinity.
Solutions to exercises
2x(2x + 1)
.
The answer is
(1 2x)3
1
corresponds to the polynomial
(1 y)2
function ai = i + 1. Therefore ai = i corresponds to the generating function
Consider first ai = i: The generating function
1
1
y
=
.
2
(1 y)
1y
(1 y)2
1
Then solve for ai = i2 . The generating function
corresponds to the polynomial
(1 y)3
(i + 2)(i + 1)
1
function ai =
. Multiply by 2 for 2
corresponding to i2 + 3i + 2.
2
(1 y)3
With the above results for i and 1 we get i2 corresponding to
2
3
1
+
.
(1 y)3 (1 y)2 1 y
1
y(1 + y)
for
. Now substitute y = 2x.
Put everything on top of
(1 y)3
(1 y)3
y
There is another way: take the derivative of
= y + 2y 2 + 3y 3 on both sides and
(1 y)2
then multiply the result by y. Lastly substitute y = 2x.
77
a1 is equal to 1 and a2 = 2 (in two strides or in one double stride). For n 3 either the
professor reaches the n 1th stair or he does not. In the former case he takes the last
stair in a single stride and in the latter case he takes the last two stairs in a double
stride. Therefore an = an1 + an2 for n 3 and with a0 = 1 we have the Fibonnaci
sequence.
First factor the polynomial 1 + x + x2 (or finds its roots). Then complete the square:

x2
3x2
x 2 3x2
1+x+
=
1+
=
4
4
2
4
3i
3i
x
x or
1+ =
2
2
2
!
!
1
+
3
i
1
3
i
1 + x + x2 = 1 +
x
1+
x .
2
2
Notice that ( 1+ 2 3 i )( 1 2 3 i ) = 13i

= 1. These two complex number are the roots of
4
unity corresponding to 120 and 240 degrees around the circle (as 1 + x + x2 is a factor
of 1 x3 ).
We can write
1+
1+ 3 i
x
2
Thus
a+
3i
1+
1 3 i
x
2
ax + b +
1+
1
.
1 + x + x2
3i
bx = 1.
2
Collecting the coefficients for the powers

of x we havea linear system with two variables
3 3 i
and two equations. It solves to a = 6 and b = 3+ 6 3 i for the explicit formula
!n
!n
3 3 i 1+ 3 i
3
+
3
i
3
i
1
an =
(1)n +
.
6
2
6
2
We can check by following the rule an = an1 an2 or doing long division on
1
. Notice that there are only finitely many numbers for an . Because the roots
1 + x + x2
of 1 + x + + xk are distinct roots of unity, this will hold for all rules of the form
an = an1 ank for all n k.
The number of ways to distribute k pence in coins of value v to n people has the
generating function
1
.
(1 xv )n
But here we have restrictions. The first coin gets distributed to only two people, so with
1
only the first coin the answer is
. Adding the second and third coins, and also
(1 x)2
78
considering that each of these coins can be distributed to only two people, we get
1
1
1
.
2
2
2
(1 x) (1 x ) (1 x5 )2

We can start with (1 x)(1 x3 ) = 1 x x3 + x4 and divide 1 by 1 x x3 + x4 or we
1
can start with
= 1 + x + x2 + and then divide by 1 x3 . Let us do the latter.
1x
The first number to be placed on top is 1. After subtracting 1 x3 we are left with the
remainder x + x2 + 2x3 + x4 + .
The next step gives 1 + x on the top with the remainder x2 + 2x3 + 2x4 + x5 + .
Next comes 1 + x + x2 on top with the remainder 2x3 + 2x4 + 2x5 + x6 + .
Not surprisingly, we get the first coefficient other than 1 at the third power, exactly the
level where there is more than one way to give change. 1 + x + x2 + 2x3 is on the top
with the remainder 2x4 + 2x5 + 3x6 + x7 + .
Next comes
1 + x + x2 + 2x3 + 2x4
on the top with the remainder 2x5 + 3x6 + 3x7 + x8 + .
With 5 less than twice 3 we continue with the coefficient 2 for

1 + x + x2 + 2x3 + 2x4 + 2x5
on the top and the remainder 3x6 + 3x7 + 3x8 + x9 + .
Not surprisingly, with 6 we get more possibilities for giving change than just two. On
the top is
1 + x + x2 + 2x3 + 2x4 + 2x5 + 3x6
with the remainder 3x7 + 3x8 + 4x9 + x10 + .
The next step gives
1 + x + x2 + 2x3 + 2x4 + 2x5 + 3x6 + 3x7

on the top and the remainder 3x8 + 4x9 + 4x10 + x11 + .
With 8 less than three times 3, the next step gives
1 + x + x2 + 2x3 + 2x4 + 2x5 + 3x6 + 3x7 + 3x8

on top and the remainder 4x9 + 4x10 + 4x11 + x12 + .
The ninth step has
1 + x + x2 + 2x3 + 2x4 + 2x5 + 3x6 + 3x7 + 3x8 + 4x9
79
on top and a remainder of 4x10 + 4x11 + 5x12 + x13 + .
And the final step gives
1 + x + x2 + 2x3 + 2x4 + 2x5 + 3x6 + 3x7 + 3x8 + 4x9 + 4x10
on top with a remainder of 4x11 + 5x12 + 5x13 + x14 + .

Let f be the generating function for the number of ways that end in one a, g for the
number of ways that end in two as, and h for the number of ways that end in b, with
the nth power coefficients standing for the numbers of ways using n letters. We get
f = x + xh,
g = xf,
h = x + xf + xg + xh.
Solving through linear algebra we get

1
0
x
x

x 1
0 0
x x 1 x
x
0
0
and so the answer is

f +g+h=
1 0
x
x
0 1
x2 x2
0 x 1 x x2
x2 + x
0
x
x
1
x2
x2
2
3
3
2
0 1xx x
x +x +x
1 x x2 x3
1 0 0
x2
0 1 0
1 x x2 x3
0 0 1 x3 + x2 + x
1 x x2 x3
x
x2
x3 + x2 + x
+
+
1 x x2 x 3 1 x x2 x3 1 x x2 x3
x3 + 2x2 + 2x
=
.
1 x x2 x 3
By doing long division we can discover a0 , a1 and a2 (a0 = 0, a1 = 2, a2 = 4, a3 = 7,

a4 = 13), and then we follow the rule an = an1 + an2 + an3 for larger n. But this rule
could have been discovered with some cleverness and without linear algebra, using the
fact that b is always present in one of the last three places.
80

(a) Since all words must start with A it follows that a1 = 1. As A must be followed by
one of three consonants it is also clear that a2 = 3. Whether n is odd or even there
will be three possibilities for a consonant at the previous even position, either at
n 1 or n 2, and two possibilities for a vowel at the other previous position. In
either case an = 6an2 .
(b) Let f be the generating function. With f (x) = 1 + x + 6x2 + and
6x2 f (x) = 6x2 by the property an = 6an2 for all n 3 we have
f (x) 6x2 f (x) = 1 + x
As 1 6x2 factors into (1
f (x) =
6x)(1 + 6x) we can write
f (x) =
Thus
(1 +
1+x
.
1 6x2
1+x
a
b
+
.
=
2
1 6x
1 6x 1 + 6x
6x)a + (1
6x)b = 1 + x
By the cover-up rule for x = 66 and x = 66 we get 2a = 1 + 66 and 2b = 1

This gives the explicit formula
!
!
n
n
6
6
1
1
6 +
+
6 .
an =
2
12
2
12
6
.
6
(c) Let f be the generating function for the number of words ending in A, g the
generating function for the number of words ending in E, and h the generating
function for the number of words ending in a consonant. Being careful about the
initial conditions we could write the relations as f = xh 1, g = xf + xh + 1, and
h = 3xf + 3xg + 1. With f, g, h corresponding to the three columns, we need to
solve the following linear equations in Laurent series (in x):

1 0
x
1

x 1 x 1
3x 3x 1
1
and by reductions we get
1 0
x
1
0 1 x2 + x x 1
0 3x 3x2 1
3x 1
1 0
x
1
0 1
x 1 .
x2 + x
0
0 3x3 + 6x2 1
3x2 1
81
With 1 6x2 3x3 in the denominator of all the generating functions this is
enough to see the basic relation an = 6an2 + 3an3 for sufficiently large n and, of
course, the initial values are easy to calculate. One could also continue the process
of solving the linear equations to get
h=
1 3x2
,
1 6x2 3x3
g=
1 5x2
,
1 6x2 3x3
f=
1 + x + 6x2
1 6x2 3x3
and the complete generating function:

1 + x 2x2
.
1 6x2 3x3
The linear recurrence relation is a0 = 0, a1 = 1, a2 = 4, a3 = 9, and for n 4

an = 6an2 + 3an3 (which can be discovered by knowing only the denominator
1 6x2 3x3 and a little logic to calculate an up to n = 3). Also, as in the previous
exercise, the relation an = 6an1 + 3an2 can be discovered with some cleverness
and without linear algebra from the fact that there is alternation between vowel
combinations and consonants.
x(x + 1)
is the generating function for an = n2 , which we have discovered already.
(1 x)3
Let f (x) = 1 + a1 x + be the generating function in question. We can write

f (x)
3xf (x)
+2x2 f (x)
x(1 + x)
(1 x)3
a2 x 2
3x
3a1 x2
2x2
4x2
a1 x
We therefore get
(1 3x + 2x2 )f (x) +
x(1 + x)
= 1 + a1 x 2x.
(1 x)3
Factor 1 3x + 2x2 = (1 2x)(1 x) and put together for

1 6x + a1 x + 8x2 3a1 x2 7x3 + 3a1 x3 + 2x4 a1 x4
f (x) =
(1 2x)(1 x)4
=
b
c
d
e
g
+
+
+
+
2
3
1 2x 1 x (1 x)
(1 x)
(1 x)4
and
1 6x + a1 x + 8x2 3a1 x2 7x3 + 3a1 x3 + 2x4 a1 x4
= (1 x)4 b + (1 x)3 (1 2x)c + (1 x)2 (1 2x)d + (1 2x)(1 x)e + (1 2x)g.
82
Now solve for b = 0 with the cover up rule using x = 21 for the answer a1 = 12 (obtained
by multiplying everything by 16 and simplifying). In the event that b = 0 and a1 = 12,
it is the value of g that matters. Plug in x = 1 and a1 = 12 for g = 2. Hence if a1 is 12
or more then the sequence goes to positive infinity and if a1 is less than 12 then to
negative infinity.
Consider first the generating function f = a0 + a1 x + where ak is the number of

regions of R generated by k points. Given the intersection properties, it follows that
ak = k + 1, which is true even for the case of k = 0. This yields
f=
1
.
(1 x)2
Next consider the generating function g = b0 + b1 x + where bk is the number of

regions of R2 generated by k lines (assuming by induction that these numbers are
independent of the lines chosen, so long as the intersection properties hold). Consider
the regions B1 , . . . , Bbk1 of R2 generated by k 1 lines. The kth line will cut through
some of these regions and not cut through others. The number of regions created by k
lines will be bk1 plus the number of the Bi cut into two by the new kth line. Look at
the intersections of the B1 , . . . , Bbk1 with the kth line. They are regions of the kth line
created by k 1 points on this line (intersections of the k 1 first lines with the kth
line). This is the number ak1 = k. We conclude that b0 = 1 and bk = bk1 + ak1 for all
k 1, or g = xg + xf + 1. This solves to
(1 x)g = 1 +
1 x + x2
x
=
(1 x)2
(1 x)2
g=
1 x + x2
.
(1 x)3
Lastly consider the generating function h = c0 + c1 x + where ck is the number of

regions of R3 generated by k planes (again well defined by an induction assumption).
Consider the regions C1 , . . . , Cck1 generated by k 1 planes. We perform the same
argument, that the number of regions with k planes is the sum of the number ck1 with
k 1 planes plus the number of the regions C1 , . . . , Cck1 cut into two by the kth plane,
and then relate this to the answer for the lower dimensions. We get c0 = 1 and
ck = ck1 + bk1 for all k 1, or h = xh + xg + 1. This solves to
(1 x)h = x
1 2x + 2x2
1 x + x2
+
1
=
(1 x)3
(1 x)3
h=
1 2x + 2x2
.
(1 x)4
Solving with partial fractions yields

a
b
c
d
1 2x + 2x2
+
+
+
=
1 x (1 x)2 (1 x)3 (1 x)4
(1 x)4
or
a(1 x)3 + b(1 x)2 + c(1 x) + d = 1 2x + 2x2 .
83
Using the cover-up rule for x = 1, 0, 2, 1 we get

d = 1,
a + b + c + d = 1,
a + b c + d = 5,
b a c = 4,
which solves to a = 0, b = 2, c = 2, and d = 1. This gives the formula

k+3
k+2
k+1
ck =
2
+2
.
3
2
1
We get
c0 = 1 2 + 2 = 1,
c1 = 4 6 + 4 = 2,
c3 = 20 20 + 8 = 8,
c4 = 35 30 + 10 = 15,
c5 = 56 42 + 12 = 26.

(a)
1
(1 x) (1 x3 )
(b) (1 + x)(1 + x2 )
(c)
1
(1 x) (1 x2 ) (1 xm )
(d) x
(e)
1
(1 x2 ) (1 x3 )
(1
x3 )
(1
x5 )
1
.
(1 x6 ) (1 x7 ) (1 x9 )

If the sequence ak had a rational generating function then by Theorem 3.3 the ak would
mp
n X
X
1
be equal to some
bp,j ( )k k j , which means that there would be a positive real
rp
p=1 j=0
number r and a positive integer m such that |ak | rk for all k m. But this is not
1
possible with the sequence ak = k!. Likewise if ak =
had a rational generating
k!
84
function then also by Theorem 3.3 there would be a positive real number r and a
positive integer m such that |ak | rk for
all
k m, something also impossible.
i
However, for a fixed m the expression
as a function of i is a polynomial in i,
m
hence by Theorem 3.3 it has a rational generating function.
The first values are a0 = 0, a1 = 1, a2 = 2, a3 = 5, a4 = 15, a5 = 51, and a6 = 188. Let f
be the generating function. According to the recurrence relation, for every n 2 the
1
nth coefficient of f 2 plus one is equal to the nth coefficient of f . Recalling that is
x
1
2
2
equal to 1 + x + x + , this allows us to write f f + equal to a polynomial of
x
1
degree no more than 1. Since f starts out with 0 + x we know that f 2 f + must be
x
5
1
1
2
. This
equal to x + 1 + x = 1. Completing the square gives f f + =
4
4 1x
r
r
1
5
1
1
5
1
solves to f (x) = +
or f (x) =
. Since we are given that

2
4 1x
2
4 1x
f (0) must be equal to 0:
r
1
1
5
f (x) =
2
4 1x
must be the generating function. The first derivative is
1
2(1 x)2
1
5
4 1x
12
and the second derivative is

12

23
1
1
1
5
5
1
2
+ (1 x)
.
(1 x)3 4 1 x
4
4 1x
The first derivative evaluated at 0 is 1 and the second derivative evaluated at 0 is 4.
The first must be divided by 1! = 1 to get a1 = 1 and the second must be divided by 2!
to get a2 = 2.
85
86

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Discrete mathematics and algebra

University of London International Programmes

Relationship to previous mathematics courses . . . . . . . . . . .

Online study resources . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Making use of the Online Library . . . . . . . . . . . . . . . . . .

Functions with restrictions and equivalence relations

Exercises for section 2.2 . . . . . . . . . . . . . . . . . . . . . . . . . . .

Exercises for section 2.3 . . . . . . . . . . . . . . . . . . . . . . . . . . .

Partitions and permutations . . . . . . . . . . . . . . . . . . . . . . . . .

Partition and cycle types . . . . . . . . . . . . . . . . . . . . . . .

Exercises for section 2.4 . . . . . . . . . . . . . . . . . . . . . . . . . . .

The Stirling numbers . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Stirling numbers of the first kind . . . . . . . . . . . . . . . . . .

Stirling numbers of the second kind . . . . . . . . . . . . . . . . .

Exercises for section 2.5 . . . . . . . . . . . . . . . . . . . . . . . . . . .

Solutions to section 2.2 exercises . . . . . . . . . . . . . . . . . . . . . . .

Solutions to section 2.3 exercises . . . . . . . . . . . . . . . . . . . . . . .

Solutions to section 2.4 exercises . . . . . . . . . . . . . . . . . . . . . . .

Solutions to section 2.5 exercises . . . . . . . . . . . . . . . . . . . . . . .

The basic theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

What is a generating function? . . . . . . . . . . . . . . . . . . .

The Fibonacci numbers . . . . . . . . . . . . . . . . . . . . . . . .

A way to find the generating function . . . . . . . . . . . . . . . .

How to find the explicit solution . . . . . . . . . . . . . . . . . . .

Exercises for section 3.2 . . . . . . . . . . . . . . . . . . . . . . . . . . .

What is a recurrence relation? . . . . . . . . . . . . . . . . . . . .

Tables and long division . . . . . . . . . . . . . . . . . . . . . . .

Composite linear recurrence relations . . . . . . . . . . . . . . . .

Exercises for section 3.3 . . . . . . . . . . . . . . . . . . . . . . . . . . .

Non-linear recurrence relations . . . . . . . . . . . . . . . . . . . . . . . .

The Catalan numbers . . . . . . . . . . . . . . . . . . . . . . . . .

Exercises for section 3.4 . . . . . . . . . . . . . . . . . . . . . . . . . . .

Solutions to section 3.2 exercises . . . . . . . . . . . . . . . . . . . . . . .

Solutions to section 3.3 exercises . . . . . . . . . . . . . . . . . . . . . . .

Solutions to section 3.4 exercises . . . . . . . . . . . . . . . . . . . . . . .

Basic definition and examples . . . . . . . . . . . . . . . . . . . .

Adjacency, distance, and connectivity . . . . . . . . . . . . . . . .

Exercises for section 4.1 . . . . . . . . . . . . . . . . . . . . . . . . . . .

Walks and cycles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Exercises for section 4.2 . . . . . . . . . . . . . . . . . . . . . . . . . . .

Trees and forests . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Numbers of edges, vertices, and components . . . . . . . . . . . .

Spanning trees and forests . . . . . . . . . . . . . . . . . . . . . .

Exercises for section 4.3 . . . . . . . . . . . . . . . . . . . . . . . . . . .

Chromatic number and polynomial . . . . . . . . . . . . . . . . .

Exercises for section 4.4 . . . . . . . . . . . . . . . . . . . . . . . . . . .

Exercises for section 4.5 . . . . . . . . . . . . . . . . . . . . . . . . . . .

Directed graphs and flows . . . . . . . . . . . . . . . . . . . . . . . . . .

Exercises for section 4.6 . . . . . . . . . . . . . . . . . . . . . . . . . . .

Solutions to section 4.1 exercises . . . . . . . . . . . . . . . . . . . . . . .

Solutions to section 4.2 exercises . . . . . . . . . . . . . . . . . . . . . . .

Solutions to section 4.3 exercises . . . . . . . . . . . . . . . . . . . . . . .

Solutions to section 4.4 exercises . . . . . . . . . . . . . . . . . . . . . . .

Solutions to section 4.5 exercises . . . . . . . . . . . . . . . . . . . . . . .

Solutions to section 4.6 exercises . . . . . . . . . . . . . . . . . . . . . . .

Exercises for section 5.1 . . . . . . . . . . . . . . . . . . . . . . . . . . .

Exercises for section 5.2 . . . . . . . . . . . . . . . . . . . . . . . . . . .

Exercises for section 5.3 . . . . . . . . . . . . . . . . . . . . . . . . . . .

Orbits and stabilisers . . . . . . . . . . . . . . . . . . . . . . . . .

Exercises for section 5.4 . . . . . . . . . . . . . . . . . . . . . . . . . . .

Examples of Burnsides lemma . . . . . . . . . . . . . . . . . . . .

Automorphisms and conjugacy . . . . . . . . . . . . . . . . . . .

Exercises for section 5.5 . . . . . . . . . . . . . . . . . . . . . . . . . . .

Solutions to section 5.1 exercises . . . . . . . . . . . . . . . . . . . . . . .