Contents

Introduction 5
Chapter 1. Logic, Proofs 6
1.1. Propositions 6
1.2. Predicates, Quantiers 11
1.3. Proofs 13
Chapter 2. Sets, Functions, Relations 19
2.1. Set Theory 19
2.2. Functions 27
2.3. Relations 32
Chapter 3. Algorithms, Integers 38
3.1. Algorithms 38
3.2. The Euclidean Algorithm 48
3.3. Modular Arithmetic, RSA Algorithm 52
Chapter 4. Induction, Recurences 59
4.1. Sequences and Strings 59
4.2. Mathematical Induction 62
4.3. Recurrence Relations 65
Chapter 5. Counting 69
5.1. Basic Principles 69
5.2. Combinatorics 71
5.3. Generalized Permutations and Combinations 73
5.4. Binomial Coecients 75
5.5. The Pigeonhole Principle 77
Chapter 6. Probability 78
6.1. Probability 78
Chapter 7. Graph Theory 82
7.1. Graphs 82
7.2. Representations of Graphs 88
7.3. Paths and Circuits 91
3
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CONTENTS 4
7.4. Planar Graphs 97
Chapter 8. Trees 100
8.1. Trees 100
8.2. Binary Trees 102
8.3. Decision Trees, Tree Isomorphisms 104
8.4. Tree Transversal 113
8.5. Spanning Trees 116
Chapter 9. Boolean Algebras 122
9.1. Combinatorial Circuits 122
9.2. Boolean Functions, Applications 127
Chapter 10. Automata, Grammars and Languages 133
10.1. Finite State Machines 133
10.2. Languages and Grammars 137
10.3. Language Recognition 144
Appendix A. 150
A.1. Ecient Computation of Powers Modulo m 150
A.2. Machines and Languages 152
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Introduction
These notes are intended to be a summary of the main ideas in
course CS 310: Mathematical Foundations of Computer Science. I
may keep working on this document as the course goes on, so these
notes will not be completely nished until the end of the quarter.
The textbook for this course is Keneth H. Rosen: Discrete Mathe-
matics and Its Applications, Fifth Edition, 2003, McGraw-Hill. With
few exceptions I will follow the notation in the book.
These notes contain some questions and exercises intended to
stimulate the reader who wants to play a somehow active role while
studying the subject. They are not homework nor need to be addressed
at all if the reader does not wish to. I will recommend exercises and
give homework assignments separately.
Finally, if you nd any typos or errors, or you have any suggestions,
please, do not hesitate to let me know.
Miguel A. Lerma
mlerma@math.northwestern.edu
Northwestern University
Spring 2005
http://www.math.northwestern.edu/~mlerma/courses/cs310-05s/
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CHAPTER 1
Logic, Proofs
1.1. Propositions
A proposition is a declarative sentence that is either true or false
(but not both). For instance, the following are propositions: Paris
is in France (true), London is in Denmark (false), 2 < 4 (true),
4 = 7 (false). However the following are not propositions: what
is your name? (this is a question), do your homework (this is a
command), this sentence is false (neither true nor false), x is an
even number (it depends on what x represents), Socrates (it is not
even a sentence). The truth or falsehood of a proposition is called its
truth value.
1.1.1. Connectives, Truth Tables. Connectives are used for
making compound propositions. The main ones are the following (p
and q represent given propositions):
Name Represented Meaning
Negation p not p
Conjunction p q p and q
Disjunction p q p or q (or both)
Exclusive Or p q either p or q, but not both
Implication p q if p then q
Biconditional p q p if and only if q
The truth value of a compound proposition depends only on the
value of its components. Writing F for false and T for true, we
can summarize the meaning of the connectives in the following way:
6
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1.1. PROPOSITIONS 7
p q p p q p q p q p q p q
T T F T T F T T
T F F F T T F F
F T T F T T T F
F F T F F F T T
Note that represents a non-exclusive or, i.e., p q is true when
any of p, q is true and also when both are true. On the other hand
represents an exclusive or, i.e., p q is true only when exactly one of
p and q is true.
1.1.2. Tautology, Contradiction, Contingency.
1. A proposition is said to be a tautology if its truth value is T
for any assignment of truth values to its components. Example:
The proposition p p is a tautology.
2. A proposition is said to be a contradiction if its truth value is F
for any assignment of truth values to its components. Example:
The proposition p p is a contradiction.
3. A proposition that is neither a tautology nor a contradiction is
called a contingency.
p p p p p p
T F T F
T F T F
F T T F
F T T F
6 6
tautology contradiction
1.1.3. Conditional Propositions. A proposition of the form if
p then q or p implies q, represented p q is called a conditional
proposition. For instance: if John is from Chicago then John is from
Illinois. The proposition p is called hypothesis or antecedent, and the
proposition q is the conclusion or consequent.
Note that p q is true always except when p is true and q is false.
So, the following sentences are true: if 2 < 4 then Paris is in France
(true true), if London is in Denmark then 2 < 4 (false true),
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1.1. PROPOSITIONS 8
if 4 = 7 then London is in Denmark (false false). However the
following one is false: if 2 < 4 then London is in Denmark (true
false).
In might seem strange that p q is considered true when p is
false, regardless of the truth value of q. This will become clearer when
we study predicates such as if x is a multiple of 4 then x is a multiple
of 2. That implication is obviously true, although for the particular
case x = 3 it becomes if 3 is a multiple of 4 then 3 is a multiple of 2.
The proposition p q, read p if and only if q, is called bicon-
ditional. It is true precisely when p and q have the same truth value,
i.e., they are both true or both false.
1.1.4. Logical Equivalence. Note that the compound proposi-
tions p q and p q have the same truth values:
p q p p q p q
T T F T T
T F F F F
F T T T T
F F T T T
When two compound propositions have the same truth values no
matter what truth value their constituent propositions have, they are
called logically equivalent. For instance p q and p q are logically
equivalent, and we write it:
p q p q
Note that that two propositions A and B are logically equivalent
precisely when A B is a tautology.
Example: De Morgans Laws for Logic. The following propositions
are logically equivalent:
(p q) p q
(p q) p q
We can check it by examining their truth tables:
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1.1. PROPOSITIONS 9
p q p q p q (p q) p q p q (p q) p q
T T F F T F F T F F
T F F T T F F F T T
F T T F T F F F T T
F F T T F T T F T T
Example: The following propositions are logically equivalent:
p q (p q) (q p)
Again, this can be checked with the truth tables:
p q p q q p (p q) (q p) p q
T T T T T T
T F F T F F
F T T F F F
F F T T T T
Exercise: Check the following logical equivalences:
(p q) p q
p q q p
(p q) p q
1.1.5. Converse, Contrapositive. The converse of a conditional
proposition p q is the proposition q p. As we have seen, the bi-
conditional proposition is equivalent to the conjunction of a conditional
proposition an its converse.
p q (p q) (q p)
So, for instance, saying that John is married if and only if he has a
spouse is the same as saying if John is married then he has a spouse
and if he has a spouse then he is married.
Note that the converse is not equivalent to the given conditional
proposition, for instance if John is from Chicago then John is from
Illinois is true, but the converse if John is from Illinois then John is
from Chicago may be false.
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1.1. PROPOSITIONS 10
The contrapositive of a conditional proposition p q is the propo-
sition q p. They are logically equivalent. For instance the con-
trapositive of if John is from Chicago then John is from Illinois is if
John is not from Illinois then John is not from Chicago.
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1.2. PREDICATES, QUANTIFIERS 11
1.2. Predicates, Quantiers
1.2.1. Predicates. A predicate or propositional function is a state-
ment containing variables. For instance x +2 = 7, X is American,
x < y, p is a prime number are predicates. The truth value of the
predicate depends on the value assigned to its variables. For instance if
we replace x with 1 in the predicate x+2 = 7 we obtain 1+2 = 7,
which is false, but if we replace it with 5 we get 5 + 2 = 7, which
is true. We represent a predicate by a letter followed by the variables
enclosed between parenthesis: P(x), Q(x, y), etc. An example for P(x)
is a value of x for which P(x) is true. A counterexample is a value of
x for which P(x) is false. So, 5 is an example for x + 2 = 7, while 1
is a counterexample.
Each variable in a predicate is assumed to belong to a universe (or
domain) of discourse, for instance in the predicate n is an odd integer
n represents an integer, so the universe of discourse of n is the set of
all integers. In X is American we may assume that X is a human
being, so in this case the universe of discourse is the set of all human
beings.
1
1.2.2. Quantiers. Given a predicate P(x), the statement for
some x, P(x) (or there is some x such that p(x)), represented
x P(x), has a denite truth value, so it is a proposition in the
usual sense. For instance if P(x) is x + 2 = 7 with the integers as
universe of discourse, then x P(x) is true, since there is indeed an
integer, namely 5, such that P(5) is a true statement. However, if
Q(x) is 2x = 7 and the universe of discourse is still the integers,
then x Q(x) is false. On the other hand, x Q(x) would be true if we
extend the universe of discourse to the rational numbers. The symbol
is called the existential quantier.
Analogously, the sentence for all x, P(x)also for any x, P(x),
for every x, P(x), for each x, P(x), represented x P(x), has
a denite truth value. For instance, if P(x) is x + 2 = 7 and the
1
Usually all variables occurring in predicates along a reasoning are supposed to
belong to the same universe of discourse, but in some situations (as in the so called
many-sorted logics) it is possible to use dierent kinds of variables to represent
dierent types of objects belonging to dierent universes of discourse. For instance
in the predicate is a string of length n the variable represents a string, while
n represents a natural number, so the universe of discourse of is the set of all
strings, while the universe of discourse of n is the set of natural numbers.
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1.2. PREDICATES, QUANTIFIERS 12
universe of discourse is the integers, then x P(x) is false. However if
Q(x) represents (x + 1)
2
= x
2
+ 2x + 1 then x Q(x) is true. The
symbol is called the universal quantier.
In predicates with more than one variable it is possible to use several
quantiers at the same time, for instance xyz P(x, y, z), meaning
for all x and all y there is some z such that P(x, y, z).
Note that in general the existential and universal quantiers cannot
be swapped, i.e., in general xy P(x, y) means something dierent
from yx P(x, y). For instance if x and y represent human beings and
P(x, y) represents x is a friend of y, then xy P(x, y) means that
everybody is a friend of someone, but yx P(x, y) means that there
is someone such that everybody is his or her friend.
A predicate can be partially quantied, e.g. xy P(x, y, z, t). The
variables quantied (x and y in the example) are called bound variables,
and the rest (z and t in the example) are called free variables. A
partially quantied predicate is still a predicate, but depending on
fewer variables.
1.2.3. Generalized De Morgan Laws for Logic. If x P(x) is
false then there is no value of x for which P(x) is true, or in other
words, P(x) is always false. Hence
x P(x) x P(x) .
On the other hand, if x P(x) is false then it is not true that for
every x, P(x) holds, hence for some x, P(x) must be false. Thus:
x P(x) x P(x) .
This two rules can be applied in successive steps to nd the negation
of a more complex quantied statement, for instance:
xy p(x, y) xy P(x, y) xy P(x, y) .
Exercise: Write formally the statement for every real number there
is a greater real number. Write the negation of that statement.
Answer: The statement is: xy (x < y) (the universe of discourse
is the real numbers). Its negation is: xy (x < y), i.e., xy (x ,< y).
(Note that among real numbers x ,< y is equivalent to x y, but
formally they are dierent predicates.)
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1.3. PROOFS 13
1.3. Proofs
1.3.1. Mathematical Systems, Proofs. A Mathematical Sys-
tem consists of:
1. Axioms: propositions that are assumed true.
2. Denitions: used to create new concepts from old ones.
3. Undened terms: corresponding to the primitive concepts of the
system (for instance in set theory the term set is undened).
A theorem is a proposition that can be proved to be true. An
argument that establishes the truth of a proposition is called a proof.
Example: Prove that if x > 2 and y > 3 then x +y > 5.
Answer: Assuming x > 2 and y > 3 and adding the inequalities
term by term we get: x +y > 2 + 3 = 5.
That is an example of direct proof. In a direct proof we assume the
hypothesis together with axioms and other theorems previously proved
and we derive the conclusion from them.
An indirect proof or proof by contrapositive consists of proving the
contrapositive of the desired implication, i.e., instead of proving p q
we prove q p.
Example: Prove that if x +y > 5 then x > 2 or y > 3.
Answer: We must prove that x + y > 5 (x > 2) (y > 3). An
indirect proof consists of proving ((x > 2) (y > 3)) (x +y > 5).
In fact: ((x > 2) (y > 3)) is the same as (x 2)(y 3), so adding
both inequalities we get x +y 5, which is the same as (x +y > 5).
Proof by Contradiction. In a proof by contradiction or (Reductio ad
Absurdum) we assume the hypotheses and the negation of the conclu-
sion, and try to derive a contradiction, i.e., a proposition of the form
r r.
Example: Prove by contradiction that if x+y > 5 then either x > 2
or y > 3.
Answer: We assume the hypothesis x +y > 5. From here we must
conclude that x > 2 or y > 3. Assume to the contrary that x > 2 or
y > 3 is false, so x 2 and y 3. Adding those inequalities we get
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1.3. PROOFS 14
x 2 + 3 = 5, which contradicts the hypothesis x +y > 5. From here
we conclude that the assumption x 2 and y 3 cannot be right,
so x > 2 or y > 3 must be true.
Remark: Sometimes it is dicult to distinguish between an indirect
proof and a proof by contradiction. In an indirect proof we prove an
implication of the form p q by proving the contrapositive q
p. In an proof by contradiction we prove an statement s (which
may or may not be an implication) by assuming s and deriving a
contradiction. In fact proofs by contradiction are more general than
indirect proofs.
Exercise: Prove by contradiction that

2 is not a rational number,

i.e., there are no integers a, b such that

2 = a/b.
Answer: Assume that

2 is rational, i.e.,

2 = a/b, where a and b

are integers and the fraction is written in least terms. Squaring both
sides we have 2 = a
2
/b
2
, hence 2 b
2
= a
2
. Since the left hand side is
even, then a
2
is even, but this implies that a itself is even, so a = 2 a

.
Hence: 2 b
2
= 4 a

2
, and simplifying: b
2
= 2 a

2
. This implies that b
2
is even, so b is even: b = 2b

. Consequently a/b = 2a

/2b

= a

/b

,
contradicting the hypothesis that a/b was in least terms.
1.3.2. Arguments, Rules of Inference. An argument is a se-
quence of propositions p
1
, p
2
, . . . , p
n
called hypotheses (or premises)
followed by a proposition q called conclusion. An argument is usually
written:
p
1
p
2
.
.
.
p
n
q
or
p
1
, p
2
, . . . , p
n
/ q
The argument is called valid if q is true whenever p
1
, p
2
, . . . , p
n
are
true; otherwise it is called invalid.
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1.3. PROOFS 15
Rules of inference are certain simple arguments known to be valid
and used to make a proof step by step. For instance the following
argument is called modus ponens or rule of detachment:
p q
p
q
In order to check whether it is valid we must examine the following
truth table:
p q p q p q
T T T T T
T F F T F
F T T F T
F F T F F
If we look now at the rows in which both p q and p are true (just
the rst row) we see that also q is true, so the argument is valid.
Other rules of inference are the following:
1. Modus Ponens or Rule of Detachment:
p q
p
q
2. Modus Tollens:
p q
q
p
3. Addition:
p
p q
4. Simplication:
p q
p
5. Conjunction:
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1.3. PROOFS 16
p
q
p q
6. Hypothetical Syllogism:
p q
q r
p r
7. Disjunctive Syllogism:
p q
p
q
8. Resolution:
p q
p r
q r
Arguments are usually written using three columns. Each row con-
tains a label, a statement and the reason that justies the introduction
of that statement in the argument. That justication can be one of the
following:
1. The statement is a premise.
2. The statement can be derived from statements occurring earlier
in the argument by using a rule of inference.
Example: Consider the following statements: I take the bus or
I walk. If I walk I get tired. I do not get tired. Therefore I take the
bus. We can formalize this by calling B = I take the bus, W =
I walk and T = I get tired. The premises are B W, W T and
T, and the conclusion is B. The argument can be described in the
following steps:
step statement reason
1) W T Premise
2) T Premise
3) W 1,2, Modus Tollens
4) B W Premise
5) B 4,3, Disjunctive Syllogism
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1.3. PROOFS 17
1.3.3. Rules of Inference for Quantied Statements. We
state the rules for predicates with one variable, but they can be gener-
alized to predicates with two or more variables.
1. Universal Instantiation. If x p(x) is true, then p(a) is true for
each specic element a in the universe of discourse; i.e.:
x p(x)
p(a)
For instance, from x(x+1 = 1+x) we can derive 7+1 = 1+7.
2. Existential Instantiation. If x p(x) is true, then p(a) is true for
some specic element a in the universe of discourse; i.e.:
x p(x)
p(a)
The dierence respect to the previous rule is the restriction in
the meaning of a, which now represents some (not any) element
of the universe of discourse. So, for instance, from x (x
2
= 2)
(the universe of discourse is the real numbers) we derive the
existence of some element, which we may represent

2, such
that (

2)
2
= 2.
3. Universal Generalization. If p(x) is proved to be true for a
generic element in the universe of discourse, then x p(x) is
true; i.e.:
p(x)
x p(x)
By generic we mean an element for which we do not make any
assumption other than its belonging to the universe of discourse.
So, for instance, we can prove x[(x + 1)
2
= x
2
+ 2x + 1] (say,
for real numbers) by assuming that x is a generic real number
and using algebra to prove (x + 1)
2
= x
2
+ 2x + 1.
4. Existential Generalization. If p(a) is true for some specic ele-
ment a in the universe of discourse, then x p(x) is true; i.e.:
p(a)
x p(x)
For instance: from 7 + 1 = 8 we can derive x (x + 1 = 8).
Example: Show that a counterexample can be used to disprove a
universal statement, i.e., if a is an element in the universe of discourse,
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1.3. PROOFS 18
then from p(a) we can derive x p(x). Answer: The argument is as
follows:
step statement reason
1) p(a) Premise
2) xp(x) Existential Generalization
3) x p(x) Negation of Universal Statement
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CHAPTER 2
Sets, Functions, Relations
2.1. Set Theory
2.1.1. Sets. A set is a collection of objects, called elements of the
set. A set can be represented by listing its elements between braces:
A = 1, 2, 3, 4, 5. The symbol is used to express that an element is
(or belongs to) a set, for instance 3 A. Its negation is represented by
,, e.g. 7 , A. If the set is nite, its number of elements is represented
[A[, e.g. if A = 1, 2, 3, 4, 5 then [A[ = 5.
Some important sets are the following:
1. N = 0, 1, 2, 3, = the set of natural numbers.
1
2. Z = , 3, 2, 1, 0, 1, 2, 3, = the set of integers.
3. Q = the set of rational numbers.
4. R = the set of real numbers.
5. C = the set of complex numbers.
Is S is one of those sets then we also use the following notations:
2
1. S
+
= set of positive elements in S, for instance
Z
+
= 1, 2, 3, = the set of positive integers.
2. S

= set of negative elements in S, for instance

Z

= 1, 2, 3, = the set of negative integers.

3. S

= set of elements in S excluding zero, for instance R

= the
set of non zero real numbers.
Set-builder notation. An alternative way to dene a set, called set-
builder notation, is by stating a property (predicate) P(x) veried by
exactly its elements, for instance A = x Z [ 1 x 5 = set of
1
Note that N includes zerofor some authors N = 1, 2, 3, , without zero.
2
When working with strings we will use a similar notation with a dierent
meaningbe careful not to confuse it.
19
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2.1. SET THEORY 20
integers x such that 1 x 5i.e.: A = 1, 2, 3, 4, 5. In general:
A = x U [ p(x), where U is the universe of discourse in which the
predicate P(x) must be interpreted, or A = x [ P(x) if the universe
of discourse for P(x) is implicitly understood. In set theory the term
universal set is often used in place of universe of discourse for a given
predicate.
3
Principle of Extension. Two sets are equal if and only if they have
the same elements, i.e.:
A = B x (x A x B) .
Subset. We say that A is a subset of set B, or A is contained in
B, and we represent it A B, if all elements of A are in B, e.g., if
A = a, b, c and B = a, b, c, d, e then A B.
A is a proper subset of B, represented A B, if A B but
A ,= B, i.e., there is some element in B which is not in A.
Empty Set. A set with no elements is called empty set (or null set,
or void set), and is represented by or .
Note that nothing prevents a set from possibly being an element of
another set (which is not the same as being a subset!). For instance
if A = 1, a, 3, t, 1, 2, 3 and B = 3, t, then obviously B is an
element of A, i.e., B A.
Power Set. The collection of all subsets of a set A is called the
power set of A, and is represented P(A). For instance, if A = 1, 2, 3,
then
P(A) = , 1, 2, 3, 1, 2, 1, 3, 2, 3, A .
Exercise: Prove by induction that if [A[ = n then [P(A)[ = 2
n
.
Multisets. Two ordinary sets are identical if they have the same
elements, so for instance, a, a, b and a, b are the same set because
they have exactly the same elements, namely a and b. However, in
some applications it might be useful to allow repeated elements in a
set. In that case we use multisets, which are mathematical entities
similar to sets, but with possibly repeated elements. So, as multisets,
a, a, b and a, b would be considered dierent, since in the rst one
the element a occurs twice and in the second one it occurs only once.
3
Properly speaking, the universe of discourse of set theory is the collection of
all sets (which is not a set).
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2.1. SET THEORY 21
2.1.2. Venn Diagrams. Venn diagrams are graphic representa-
tions of sets as enclosed areas in the plane. For instance, in gure 2.1,
the rectangle represents the universal set (the set of all elements con-
sidered in a given problem) and the shaded region represents a set A.
The other gures represent various set operations.
A
Figure 2.1. Venn Diagram.
B A
Figure 2.2. Intersection A B.
B A
Figure 2.3. Union A B.
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2.1. SET THEORY 22
A
Figure 2.4. Complement A.
B
A
Figure 2.5. Dierence A B.
B
A
Figure 2.6. Symmetric Dierence AB.
2.1.3. Set Operations.
1. Intersection: The common elements of two sets:
A B = x [ (x A) (x B) .
If A B = , the sets are said to be disjoint.
2. Union: The set of elements that belong to either of two sets:
A B = x [ (x A) (x B) .
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2.1. SET THEORY 23
3. Complement: The set of elements (in the universal set) that do
not belong to a given set:
A = x U [ x , A .
4. Dierence or Relative Complement: The set of elements that
belong to a set but not to another:
A B = x [ (x A) (x , B) = A B.
5. Symmetric Dierence: Given two sets, their symmetric dier-
ence is the set of elements that belong to either one or the other
set but not both.
AB = x [ (x A) (x B) .
It can be expressed also in the following way:
AB = A B A B = (A B) (B A) .
2.1.4. Counting with Venn Diagrams. A Venn diagram with
n sets intersecting in the most general way divides the plane into 2
n
regions. If we have information about the number of elements of some
portions of the diagram, then we can nd the number of elements in
each of the regions and use that information for obtaining the number
of elements in other portions of the plane.
Example: Let M, P and C be the sets of students taking Mathe-
matics courses, Physics courses and Computer Science courses respec-
tively in a university. Assume [M[ = 300, [P[ = 350, [C[ = 450,
[M P[ = 100, [M C[ = 150, [P C[ = 75, [M P C[ = 10. How
many students are taking exactly one of those courses? (g. 2.7)
10
185
235
65
140
C
60
90
M P
Figure 2.7. Counting with Venn diagrams.
We see that [(MP)(MPC)[ = 10010 = 90, [(MC)(M
P C)[ = 15010 = 140 and [(P C) (MP C)[ = 7510 = 65.
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2.1. SET THEORY 24
Then the region corresponding to students taking Mathematics courses
only has cardinality 300(90+10+140) = 60. Analogously we compute
the number of students taking Physics courses only (185) and taking
Computer Science courses only (235). The sum 60 + 185 + 235 = 480
is the number of students taking exactly one of those courses.
2.1.5. Properties of Sets. The set operations verify the follow-
ing properties:
1. Associative Laws:
A (B C) = (A B) C
A (B C) = (A B) C
2. Commutative Laws:
A B = B A
A B = B A
3. Distributive Laws:
A (B C) = (A B) (A C)
A (B C) = (A B) (A C)
4. Identity Laws:
A = A
A U = A
5. Complement Laws:
A A = U
A A =
6. Idempotent Laws:
A A = A
A A = A
7. Bound Laws:
A U = U
A =
8. Absorption Laws:
A (A B) = A
A (A B) = A
9. Involution Law:
A = A
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2.1. SET THEORY 25
10. 0/1 Laws:
= U
U =
11. DeMorgans Laws:
A B = A B
A B = A B
2.1.6. Generalized Union and Intersection. Given a collec-
tion of sets A
1
, A
2
, . . . , A
N
, their union is dened as the set of elements
that belong to at least one of the sets (here n represents an integer in
the range from 1 to N):
N
_
n=1
A
n
= A
1
A
2
A
N
= x [ n(x A
n
) .
Analogously, their intersection is the set of elements that belong to all
the sets simultaneously:
N

n=1
A
n
= A
1
A
2
A
N
= x [ n(x A
n
) .
These denitions can be applied to innite collections of sets as well.
For instance assume that S
n
= kn [ k = 2, 3, 4, . . . = set of multiples
of n greater than n. Then

_
n=2
S
n
= S
2
S
3
S
4
= 4, 6, 8, 9, 10, 12, 14, 15, . . .
= set of composite positive integers .
2.1.7. Partitions. A partition of a set X is a collection S of non
overlapping non empty subsets of X whose union is the whole X. For
instance a partition of X = 1, 2, 3, 4, 5, 6, 7, 8, 9, 10 could be
S = 1, 2, 4, 8, 3, 6, 5, 7, 9, 10 .
Given a partition S of a set X, every element of X belongs to exactly
one member of S.
Example: The division of the integers Z into even and odd numbers
is a partition: S = E, O, where E = 2n [ n Z, O = 2n +1 [ n
Z.
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2.1. SET THEORY 26
Example: The divisions of Z in negative integers, positive integers
and zero is a partition: S = Z
+
, Z

, 0.
2.1.8. Ordered Pairs, Cartesian Product. An ordinary pair
a, b is a set with two elements. In a set the order of the elements is
irrelevant, so a, b = b, a. If the order of the elements is relevant,
then we use a dierent object called ordered pair, represented (a, b).
Now (a, b) ,= (b, a) (unless a = b). In general (a, b) = (a

, b

) i a = a

and b = b

.
Given two sets A, B, their Cartesian product AB is the set of all
ordered pairs (a, b) such that a A and b B:
A B = (a, b) [ (a A) (b B) .
Analogously we can dene triples or 3-tuples (a, b, c), 4-tuples (a, b, c, d),
. . . , n-tuples (a
1
, a
2
, . . . , a
n
), and the corresponding 3-fold, 4-fold,. . . ,
n-fold Cartesian products:
A
1
A
2
A
n
=
(a
1
, a
2
, . . . , a
n
) [ (a
1
A
1
) (a
2
A
2
) (a
n
A
n
) .
If all the sets in a Cartesian product are the same, then we can use
an exponent: A
2
= A A, A
3
= A A A, etc. In general:
A
n
= A A
(n times)
A.
An example of Cartesian product is the real plane R
2
, where R is
the set of real numbers (R is sometimes called real line).
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2.2. FUNCTIONS 27
2.2. Functions
2.2.1. Correspondences. Suppose that to each element of a set
A we assign some elements of another set B. For instance, A = N,
B = Z, and to each element x N we assign all elements y Z such
that y
2
= x (g. 2.8).
1
8
9
10
0
2
3 4
5
6
1
1
2
2
3
0
3
Z N
7
Figure 2.8. Correspondence x

x.
This operation is called a correspondence.
2.2.2. Functions. A function or mapping f from a set A to a set
B, denoted f : A B, is a correspondence in which to each element
x of A corresponds exactly one element y = f(x) of B (g. 2.9).
A B
Figure 2.9. Function.
Sometimes we represent the function with a diagram like this:
f : A B
x y
or
A
f
B
x y
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2.2. FUNCTIONS 28
For instance, the following represents the function from Z to Z
dened by f(x) = 2x + 1:
f : Z Z
x 2x + 1
The element y = f(x) is called the image of x, and x is a preimage
of y. For instance, if f(x) = 2x + 1 then f(7) = 2 7 + 1 = 15. The
set A is the domain of f, and B is its codomain. If A

A, the image
of A

by f is f(A

) = f(x) [ x A

, i.e., the subset of B consisting

of all images of elements of A

. The subset f(A) of B consisting of

all images of elements of A is called the range of f. For instance, the
range of f(x) = 2x + 1 is the set of all integers of the form 2x + 1 for
some integer x, i.e., all odd numbers.
Example: Two useful functions from R to Z are the following:
1. The oor function:
x| = greatest integer less than or equal to x .
For instance: 2| = 2, 2.3| = 2, | = 3, 2.5| = 3.
2. The ceiling function:
x| = least integer greater than or equal to x .
For instance: 2| = 2, 2.3| = 3, | = 4, 2.5| = 2.
Example: The modulus operator is the function mod : ZZ
+
Z
dened:
x mod y = remainder when x is divided by y.
For instance 23 mod 7 = 2 because 23 = 37+2, 59 mod 9 = 5 because
59 = 6 9 + 5, etc.
Graph: The graph of a function f : A B is the subset of A B
dened by G(f) = (x, f(x)) [ x A (g. 2.10).
2.2.3. Types of Functions.
1. One-to-One or Injective: A function f : A B is called one-
to-one or injective if each element of B is the image of at most
one element of A (g. 2.11):
x, x

A, f(x) = f(x

) x = x

.
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2.2. FUNCTIONS 29
0
1
2
3
4
y
2 1 1 2
x
Figure 2.10. Graph of f(x) = x
2
.
For instance, f(x) = 2x from Z to Z is injective.
A B
Figure 2.11. One-to-one function.
2. Onto or Surjective: A function f : A B is called onto or
surjective if every element of B is the image of some element of
A (g. 2.12):
y B, x A such that y = f(x) .
For instance, f(x) = x
2
from R to R
+
0 is onto.
A B
Figure 2.12. Onto function.
3. One-To-One Correspondence or Bijective: A function f : A
B is said to be a one-to-one correspondence, or bijective, or a
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2.2. FUNCTIONS 30
bijection, if it is one-to-one and onto (g. 2.13). For instance,
f(x) = x + 3 from Z to Z is a bijection.
A B
Figure 2.13. Bijection.
2.2.4. Identity Function. Given a set A, the function 1
A
: A
A dened by 1
A
(x) = x for every x in A is called the identity function
for A.
2.2.5. Function Composition. Given two functions f : A B
and g : B C, the composite function of f and g is the function
g f : A C dened by (g f)(x) = g(f(x)) for every x in A:
A
x
f

gf

B
y=f(x)
g

C
z=g(y)=g(f(x))
For instance, if A = B = C = Z, f(x) = x + 1, g(x) = x
2
, then
(g f)(x) = f(x)
2
= (x +1)
2
. Also (f g)(x) = g(x) +1 = x
2
+1 (the
composition of functions is not commutative in general).
Some properties of function composition are the following:
1. If f : A B is a function from A to B, we have that f 1
A
=
1
B
f = f.
2. Function composition is associative, i.e., given three functions
A
f
B
g
C
h
D,
we have that h (g f) = (h g) f.
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2.2. FUNCTIONS 31
Function iteration. If f : A A is a function from A to A, then
it makes sense to compose it with itself: f
2
= f f. For instance, if
f : Z Z is f(x) = 2x + 1, then f
2
(x) = 2(2x + 1) + 1 = 4x + 3.
Analogously we can dene f
3
= f f f, and so on, f
n
= f
(n times)
. . . f.
2.2.6. Inverse Function. If f : A B is a bijective function, its
inverse is the function f
1
: B A such that f
1
(y) = x if and only
if f(x) = y.
For instance, if f : Z Z is dened by f(x) = x + 3, then its
inverse is f
1
(x) = x 3.
The arrow diagram of f
1
is the same as the arrow diagram of f
but with all arrows reversed.
A characteristic property of the inverse function is that f
1
f = 1
A
and f f
1
= 1
B
.
2.2.7. Operators. A function from AA to A is called a binary
operator on A. For instance the addition of integers is a binary oper-
ator + : Z Z Z. In the usual notation for functions the sum of
two integers x and y would be represented +(x, y). This is called prex
notation. The inx notation consists of writing the symbol of the bi-
nary operator between its arguments: x+y (this is the most common).
There is also a postx notation consisting of writing the symbol after
the arguments: x y +.
Another example of binary operator on Z is (x, y) x y.
A monary or unary operator on A is a function from A to A. For
instance the change of sign x x on Z is a unary operator on Z. An
example of unary operator on R

(non-zero real numbers) is x 1/x.

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2.3. RELATIONS 32
2.3. Relations
2.3.1. Relations. Assume that we have a set of men M and a set
of women W, some of whom are married. We want to express which
men in M are married to which women in W. One way to do that is by
listing the set of pairs (m, w) such that m is a man, w is a woman, and
m is married to w. So, the relation married to can be represented
by a subset of the Cartesian product M W. In general, a relation R
from a set A to a set B will be understood as a subset of the Cartesian
product A B, i.e., R A B. If an element a A is related to an
element b B, we often write a Rb instead of (a, b) R.
The set
a A [ a Rb for some b B
is called the domain of R. The set
b B [ a Rb for some a A
is called the range of R. For instance, in the relation married to
above, the domain is the set of married men, and the range is the set
of married women.
If A and B are the same set, then any subset of A A will be a
binary relation in A. For instance, assume A = 1, 2, 3, 4. Then the
binary relation less than in A will be:
<
A
= (x, y) A A [ x < y
= (1, 2), (1, 3), (1, 4), (2, 3), (2, 4), (3, 4) .
Notation: A set A with a binary relation R is sometimes represented
by the pair (A, R). So, for instance, (Z, ) means the set of integers
together with the relation of non-strict inequality.
2.3.2. Representations of Relations.
Arrow diagrams. Venn diagrams and arrows can be used for repre-
senting relations between given sets. As an example, gure 2.14 rep-
resents the relation from A = a, b, c, d to B = 1, 2, 3, 4 given by
R = (a, 1), (b, 1), (c, 2), (c, 3). In the diagram an arrow from x to y
means that x is related to y. This kind of graph is called directed graph
or digraph.
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2.3. RELATIONS 33
a
b
c
1
2
3
4
d
A
B
Figure 2.14. Relation.
Another example is given in diagram 2.15, which represents the
divisibility relation on the set 1, 2, 3, 4, 5, 6, 7, 8, 9.
1
2
3
4
5
6
7
8
9
Figure 2.15. Binary relation of divisibility.
Matrix of a Relation. Another way of representing a relation R
from A to B is with a matrix. Its rows are labeled with the elements
of A, and its columns are labeled with the elements of B. If a A
and b B then we write 1 in row a column b if a Rb, otherwise we
write 0. For instance the relation R = (a, 1), (b, 1), (c, 2), (c, 3) from
A = a, b, c, d to B = 1, 2, 3, 4 has the following matrix:
1 2 3 4
a
b
c
d
_
_
_
_
1 0 0 0
1 0 0 0
0 1 1 0
0 0 0 0
_
_
_
_
2.3.3. Inverse Relation. Given a relation R from A to B, the
inverse of R, denoted R
1
, is the relation from B to A dened as
b R
1
a a Rb .
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2.3. RELATIONS 34
For instance, if R is the relation being a son or daughter of, then
R
1
is the relation being a parent of.
2.3.4. Composition of Relations. Let A, B and C be three sets.
Given a relation R from A to B and a relation S from B to C, then
the composition S R of relations R and S is a relation from A to C
dened by:
a (S R) c there exists some b B such that a Rb and b S c .
For instance, if R is the relation to be the father of, and S is the
relation to be married to, then S R is the relation to be the father
in law of.
2.3.5. Properties of Binary Relations. A binary relation R on
A is called:
1. Reexive if for all x A, x Rx. For instance on Z the relation
equal to (=) is reexive.
2. Transitive if for all x, y, z A, x Ry and y Rz implies x Rz.
For instance equality (=) and inequality (<) on Z are transitive
relations.
3. Symmetric if for all x, y A, x Ry y Rx. For instance on Z,
equality (=) is symmetric, but strict inequality (<) is not.
4. Antisymmetric if for all x, y A, x Ry and y Rx implies x = y.
For instance, non-strict inequality () on Z is antisymmetric.
2.3.6. Partial Orders. A partial order, or simply, an order on a
set A is a binary relation on A with the following properties:
1. Reexive: for all x A, x x.
2. Antisymmetric: (x y) (y x) x = y.
3. Transitive: (x y) (y z) x z.
Examples:
1. The non-strict inequality () in Z.
2. Relation of divisibility on Z
+
: a[b t, b = at.
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2.3. RELATIONS 35
3. Set inclusion () on P(A) (the collection of subsets of a given
set A).
Exercise: prove that the aforementioned relations are in fact partial
orders. As an example we prove that integer divisibility is a partial
order:
1. Reexive: a = a 1 a[a.
2. Antisymmetric: a[b b = at for some t and b[a a = bt

for
some t

. Hence a = att

, which implies tt

= 1 t

= t
1
. The
only invertible positive integer is 1, so t = t

= 1 a = b.
3. Transitive: a[b and b[c implies b = at for some t and c = bt

for
some t

, hence c = att

, i.e., a[c.
Question: is the strict inequality (<) a partial order on Z?
Two elements a, b A are said to be comparable if either x y
or y x, otherwise they are said to be non comparable. The order
is called total or linear when every pair of elements x, y A are com-
parable. For instance (Z, ) is totally ordered, but (Z
+
, [), where [
represents integer divisibility, is not. A totally ordered subset of a par-
tially ordered set is called a chain; for instance the set 1, 2, 4, 8, 16, . . .
is a chain in (Z
+
, [).
2.3.7. Hasse diagrams. A Hasse diagram is a graphical represen-
tation of a partially ordered set in which each element is represented
by a dot (node or vertex of the diagram). Its immediate successors are
placed above the node and connected to it by straight line segments. As
an example, gure 2.16 represents the Hasse diagram for the relation
of divisibility on 1, 2, 3, 4, 5, 6, 7, 8, 9.
Question: How does the Hasse diagram look for a totally ordered
set?
2.3.8. Equivalence Relations. An equivalence relation on a set
A is a binary relation on A with the following properties:
1. Reexive: for all x A, x x.
2. Symmetric: x y y x.
3. Transitive: (x y) (y z) x z.
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2.3. RELATIONS 36
1
4
8
6
2
7
9
3
5
Figure 2.16. Hasse diagram for divisibility.
For instance, on Z, the equality (=) is an equivalence relation.
Another example, also on Z, is the following: x y (mod 2) (x is
congruent to y modulo 2) i xy is even. For instance, 6 2 (mod 2)
because 6 2 = 4 is even, but 7 , 4 (mod 2), because 7 4 = 3 is not
even. Congruence modulo 2 is in fact an equivalence relation:
1. Reexive: for every integer x, xx = 0 is indeed even, so x x
(mod 2).
2. Symmetric: if x y (mod 2) then x y = t is even, but
y x = t is also even, hence y x (mod 2).
3. Transitive: assume x y (mod 2) and y z (mod 2). Then
x y = t and y z = u are even. From here, x z = (x y) +
(y z) = t +u is also even, hence x z (mod 2).
2.3.9. Equivalence Classes, Quotient Set, Partitions. Given
an equivalence relation on a set A, and an element x A, the
set of elements of A related to x are called the equivalence class of
x, represented [x] = y A [ y x. Element x is said to be a
representative of class
[x]. The collection of equivalence classes, represented A/ = [x] [
x A, is called quotient set of A by .
Exercise: Find the equivalence classes on Z with the relation of
congruence modulo 2.
One of the main properties of an equivalence relation on a set A
is that the quotient set, i.e. the collection of equivalence classes, is
a partition of A. Recall that a partition of a set A is a collection of
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2.3. RELATIONS 37
non-empty subsets A
1
, A
2
, A
3
, . . . of A which are pairwise disjoint and
whose union equals A:
1. A
i
A
j
= for i ,= j,
2.

n
A
n
= A.
Example: in Z with the relation of congruence modulo 2 (call it

2
), there are two equivalence classes: the set E of even integers and
the set O of odd integers. The quotient set of Z by the relation
2

of congruence modulo 2 is Z/
2
= E, O. We see that it is in fact a
partition of Z, because E O = , and Z = E O.
Exercise: Let m be an integer greater than or equal to 2. On Z
we dene the relation x y (mod m) m[(y x) (i.e., m divides
exactly y x). Prove that it is an equivalence relation. What are the
equivalence classes? How many are there?
Exercise: On the Cartesian product Z Z

we dene the relation

(a, b) R(c, d) ad = bc. Prove that R is an equivalence relation.
Would it still be an equivalence relation if we extend it to Z Z?
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CHAPTER 3
Algorithms, Integers
3.1. Algorithms
Consider the following list of instructions to nd the maximum of
three numbers a, b, c:
1. Assign variable x the value of a.
2. If b > x then assign x the value of b.
3. If c > x then assign x the value of c.
4. Output the value of x.
After executing those steps the output will be the maximum of a, b, c.
In general an algorithm is a nite list of instructions with the fol-
lowing characteristics:
1. Precision. The steps are precisely stated.
2. Uniqueness. The result of executing each step is uniquely de-
termined by the inputs and the result of preceding steps.
3. Finiteness. The algorithm stops after nitely many instructions
have been executed.
4. Input. The algorithm receives input.
5. Output. The algorithm produces output.
6. Generality. The algorithm applies to a set of inputs.
Basically an algorithm is the idea behind a program. Conversely,
programs are implementations of algorithms.
3.1.1. Pseudocode. Pseudocode is a language similar to a pro-
gramming language used to represent algorithms. The main dierence
respect to actual programming languages is that pseudocode is not re-
quired to follow strict syntactic rules, since it is intended to be just
read by humans, not actually executed by a machine.
38
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3.1. ALGORITHMS 39
Usually pseudocode will look like this:
procedure ProcedureName(Input)
Instructions...
end ProcedureName
For instance the following is an algorithm to nd the maximum of
three numbers a, b, c:
1: procedure max(a,b,c)
2: x := a
3: if b>x then
4: x := b
5: if c>x then
6: x := c
7: return x
8: end max
Next we show a few common operations in pseudocode.
The following statement means assign variable x the value of vari-
able y:
x := y
The following code executes action if condition p is true:
if p then
action
The following code executes action1 if condition p is true, oth-
erwise it executes action2:
if p then
action1
else
action2
The following code executes action while condition p is true:
1: while p
2: action
The following is the structure of a for loop:
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3.1. ALGORITHMS 40
for var := init to limit
action
If an action contains more than one statement then we must enclose
them in a block:
begin
Instruction1
Instruction2
Instruction3
...
end
Comments are enclose between brackets:
This is a comment
The output of a procedure is returned with a return statement:
return output
Procedures that do not return anything are invoked with a call
statement:
call Procedure(arguments...)
As an example, the following procedure returns the largest number
in a sequence s
1
, s
2
, . . . s
n
represented as an array with n elements:
s[1], s[2],. . . , s[n]:
1: procedure largest element(s,n)
2: largest := s[1]
3: for k := 2 to n
4: if s[k] > largest then
5: largest := s[k]
6: return largest
7: end largest element
3.1.2. Recursiveness.
Recursive Denitions. A denition such that the object dened oc-
curs in the denition is called a recursive denition. For instance,
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3.1. ALGORITHMS 41
consider the Fibonacci sequence
0, 1, 1, 2, 3, 5, 8, 13, . . .
It can be dened as a sequence whose two rst terms are F
0
= 0,
F
1
= 1 and each subsequent term is the sum of the two previous ones:
F
n
= F
n1
+F
n2
(for n 2).
Other examples:
Factorial:
1. 0! = 1
2. n! = n (n 1)! (n 1)
Power:
1. a
0
= 1
2. a
n
= a
n1
a (n 1)
In all these examples we have:
1. A Basis, where the function is explicitly evaluated for one or
more values of its argument.
2. A Recursive Step, stating how to compute the function from its
previous values.
Recursive Procedures. A recursive procedure is a procedure that in-
vokes itself. Also a set of procedures is called recursive if they invoke
themselves in a circle, e.g., procedure p
1
invokes procedure p
2
, proce-
dure p
2
invokes procedure p
3
and procedure p
3
invokes procedure p
1
.
A recursive algorithm is an algorithm that contains recursive proce-
dures or recursive sets of procedures. Recursive algorithms have the
advantage that often they are easy to design and are closer to natural
mathematical denitions.
As an example we show two alternative algorithms for computing
the factorial of a natural number, the rst one iterative (non recursive),
the second one recursive.
1: procedure factorial iterative(n)
2: fact := 1
3: for k := 2 to n
4: fact := k * fact
5: return fact
6: end factorial iterative
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3.1. ALGORITHMS 42
1: procedure factorial recursive(n)
2: if n = 0 then
3: return 1
4: else
5: return n * factorial recursive(n-1)
6: end factorial recursive
While the iterative version computes n! = 1 2 . . . n directly, the
recursive version resembles more closely the formula n! = n (n 1)!
A recursive algorithm must contain at least a basic case without
recursive call (the case n = 0 in our example), and any legitimate
input should lead to a nite sequence of recursive calls ending up at
the basic case. In our example n is a legitimate input if it is a natural
number, i.e., an integer greater than or equal to 0. If n = 0 then
factorial recursive(0) returns 1 immediately without performing
any recursive call. If n > then the execution of
factorial recursive(n)
leads to a recursive call
factorial recursive(n-1)
which will perform a recursive call
factorial recursive(n-2)
and so on until eventually reaching the basic case
factorial recursive(0)
After reaching the basic case the procedure returns a value to the last
call, which returns a value to the previous call, and so on up to the
rst invocation of the procedure.
Another example is the following algorithm for computing the nth
element of the Fibonacci sequence:
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3.1. ALGORITHMS 43
1: procedure fibonacci(n)
2: if n=0 then
3: return 0
4: if n=1 then
5: return 1
6: return fibonacci(n-1) + fibonacci(n-2)
7: end fibonacci
In this example we have two basic cases, namely n = 0 and n = 1.
In this particular case the algorithm is inecient in the sense that
it performs more computations than actually needed. For instance a
call to fibonacci(5) contains two recursive calls, one to fibonacci(4)
and another one to fibonacci(3). Then fibonacci(4) performs a call
to fibonacci(3) and another call to fibonacci(2), so at this point we
see that fibonacci(3) is being called twice, once inside fibonacci(5)
and again in fibonacci(4). Hence sometimes the price to pay for a
simpler algorithmic structure is a loss of eciency.
However careful design may yield ecient recursive algorithms. An
example is merge sort, and algorithm intended to sort a list of ele-
ments. First lets look at a simple non recursive sorting algorithm
called bubble sort. The idea is to go several times through the list
swapping adjacent elements if necessary. It applies to a list of numbers
s
i
, s
i+1
, . . . , s
j
represented as an array s[i], s[i+1],..., s[j]:
1: procedure bubble sort(s,i,j)
2: for p:=1 to j-i
3: for q:=i to j-p
4: if s[q] > s[q+1] then
5: swap(s[q],s[q+1])
6: end bubble sort
We can see that bubble sort requires n(n1)/2 comparisons and
possible swapping operations.
On the other hand, the idea of merge sort is to split the list into
two approximately equal parts, sort them separately and then merge
them into a single list:
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3.1. ALGORITHMS 44
1: procedure merge sort(s,i,j)
2: if i=j then
3: return
4: m := floor((i+j)/2)
5: call merge sort(s,i,m)
6: call merge sort(s,m+1,j)
7: call merge(s,i,m,j,c)
8: for k:=i to j
9: s[k] := c[k]
10: end merge sort
The procedure merge(s,i,m,j,c) merges the two increasing sequences
s
i
, s
i+1
, . . . , s
m
and s
m+1
, s
m+2
, . . . , s
j
into a single increasing sequence
c
i
, c
i+1
, . . . , c
j
. This algorithm is more ecient than bubble sort be-
cause it requires only about nlog
2
n operations (we will make this more
precise soon).
The strategy of dividing a task into several smaller tasks is called
divide and conquer.
3.1.3. Complexity. In general the complexity of an algorithm is
the amount of time and space (memory use) required to execute it.
Here we deal with time complexity only.
Since the actual time required to execute an algorithm depends on
the details of the program implementing the algorithm and the speed
and other characteristics of the machine executing it, it is in general
impossible to make an estimation in actual physical time, however it
is possible to measure the length of the computation in other ways,
say by the number of operations performed. For instance the following
loop performs the statement x := x + 1 exactly n times,
1: for i := 1 to n
2: x := x + 1
The following double loop performs it n
2
times:
1: for i := 1 to n
2: for j := 1 to n
3: x := x + 1
The following one performs it 1 + 2 + 3 + +n = n(n + 1)/2 times:
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3.1. ALGORITHMS 45
1: for i := 1 to n
2: for j := 1 to i
3: x := x + 1
Since the time that takes to execute an algorithm usually depends
on the input, its complexity must be expressed as a function of the
input, or more generally as a function of the size of the input. Since
the execution time may be dierent for inputs of the same size, we
dene the following kinds of times:
1. Best-case time: minimum time needed to execute the algorithm
among all inputs of a given size n.
2. Wost-case time: maximum time needed to execute the algo-
rithm among all inputs of a given size n.
3. Average-case time: average time needed to execute the algo-
rithm among all inputs of a given size n.
For instance, assume that we have a list of n objects one of which is
colored red and the others are colored blue, and we want to nd the one
that is colored red by examining the objects one by one. We measure
time by the number of objects examined. In this problem the minimum
time needed to nd the red object would be 1 (in the lucky event that
the rst object examined turned out to be the red one). The maximum
time would be n (if the red object turns out to be the last one). The
average time is the average of all possible times: 1, 2, 3, . . . , n, which is
(1+2+3+ +n)/n = (n+1)/2. So in this example the best-case time
is 1, the worst-case time is n and the average-case time is (n + 1)/2.
Often the exact time is too hard to compute or we are interested
just in how it grows compared to the size of the input. For instance
and algorithm that requires exactly 7n
2
+3n+10 steps to be executed
on an input of size n is said to be or order n
2
, represented (n
2
). This
justies the following notations:
Big Oh Notation. A function f(n) is said to be of order at most
g(n), written f(n) = O(g(n)), if there is a constant C
1
such that
[f(n)[ C
1
[g(n)[
for all but nitely many positive integers n.
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3.1. ALGORITHMS 46
Omega Notation. A function f(n) is said to be of order at least
g(n), written f(n) = (g(n)), if there is a constant C
2
such that
[f(n)[ C
2
[g(n)[
for all but nitely many positive integers n.
Theta Notation. A function f(n) is said to be of order g(n), written
f(n) = (g(n)), if f(n) = O(g(n)) and f(n) = (g(n)).
Remark: All logarithmic functions are of the same order: log
a
n =
(log
b
n) for any a, b > 1, because log
a
n = log
b
n/ log
b
a, so they always
dier in a multiplicative constant. As a consequence, if the execution
time of an algorithm is of order a logarithmic function, we can just say
that its time is logarithmic, we do not need to specify the base of
the logarithm.
The following are several common growth functions:
Order Name
(1) Constant
(log log n) Log log
(log n) Logarithmic
(nlog n) n log n
(n) Linear
(n
2
) Quadratic
(n
3
) Cubic
(n
k
) Polynomial
(a
n
) Exponential
Lets see now how we nd the complexity of algorithms like bubble sort
and merge sort.
Since bubble sort is just a double loop its complexity is easy to
nd; the inner loop is executed
(n 1) + (n 2) + + 1 = n(n 1)/2
times, so it requires n(n 1)/2 comparisons and possible swap opera-
tions. Hence its execution time is (n
2
).
The estimation of the complexity of merge sort is more involved.
First, the number of operations required by the merge procedure is
(n). Next, if we call T(n) (the order of) the number of operations
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3.1. ALGORITHMS 47
required by merge sort working on a list of size n, we see that roughly:
T(n) = 2T(n/2) +n.
Replacing n with n/2 we have T(n/2) = 2T(n/4) +n/2, hence
T(n) = 2T(n/2) +n = 2(2T(n/4) +n/2) +n = 4T(n/4) + 2n.
Repeating k times we get:
T(n) = 2
k
T(n/2
k
) +kn.
So for k = log
2
n we have
T(n) = nT(1) +nlog
2
n = (nlog n) .
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3.2. THE EUCLIDEAN ALGORITHM 48
3.2. The Euclidean Algorithm
3.2.1. The Division Algorithm. The following result is known
as The Division Algorithm:
1
If a, b Z, b > 0, then there exist unique
q, r Z such that a = qb + r, 0 r < b. Here q is called quotient of
the integer division of a by b, and r is called remainder.
3.2.2. Divisibility. Given two integers a, b, b ,= 0, we say that b
divides a, written b[a, if there is some integer q such that a = bq:
b[a q, a = bq .
We also say that b divides or is a divisor of a, or that a is a multiple
of b.
3.2.3. Prime Numbers. A prime number is an integer p 2
whose only positive divisors are 1 and p. Any integer n 2 that is not
prime is called composite. A non-trivial divisor of n 2 is a divisor d
of n such that 1 < d < n, so n 2 is composite i it has non-trivial
divisors. Warning: 1 is not considered either prime or composite.
Some results about prime numbers:
1. For all n 2 there is some prime p such that p[n.
2. (Euclid) There are innitely many prime numbers.
3. If p[ab then p[a or p[b. More generally, if p[a
1
a
2
. . . a
n
then p[a
k
for some k = 1, 2, . . . , n.
3.2.4. The Fundamental Theorem of Arithmetic. Every in-
teger n 2 can be written as a product of primes uniquely, up to the
order of the primes.
It is customary to write the factorization in the following way:
n = p
s
1
1
p
s
2
2
. . . p
s
k
k
,
where all the exponents are positive and the primes are written so that
p
1
< p
2
< < p
k
. For instance:
13104 = 2
4
3
2
7 13 .
1
The result is not really an algorithm, it is just a mathematical theorem.
There are, however, algorithms that allow us to compute the quotient and the
remainder in an integer division.
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3.2. THE EUCLIDEAN ALGORITHM 49
3.2.5. Greatest Common Divisor. A positive integer d is called
a common divisor of the integers a and b, if d divides a and b. The
greatest possible such d is called the greatest common divisor of a and b,
denoted gcd(a, b). If gcd(a, b) = 1 then a, b are called relatively prime.
Example: The set of positive divisors of 12 and 30 is 1, 2, 3, 6.
The greatest common divisor of 12 and 30 is gcd(12, 30) = 6.
A few properties of divisors are the following. Let m, n, d be
integers. Then:
1. If d[m and d[n then d[(m+n).
2. If d[m and d[n then d[(mn).
3. If d[m then d[mn.
Another important result is the following: Given integers a, b, c, the
equation
ax +by = c
has integer solutions if and only if gcd(a, b) divides c. That is an
example of a Diophantine equation. In general a Diophantine equation
is an equation whose solutions must be integers.
Example: We have gcd(12, 30) = 6, and in fact we can write 6 =
1 302 12. The solution is not unique, for instance 6 = 3 307 12.
3.2.6. Finding the gcd by Prime Factorization. We have that
gcd(a, b) = product of the primes that occur in the prime factorizations
of both a and b, raised to their lowest exponent. For instance 1440 =
2
5
3
2
5, 1512 = 2
3
3
3
7, hence gcd(1440, 1512) = 2
3
3
2
= 72.
Factoring numbers is not always a simple task, so nding the gcd
by prime factorization might not be a most convenient way to do it,
but there are other ways.
3.2.7. The Euclidean Algorithm. Now we examine an alter-
native method to compute the gcd of two given positive integers a, b.
The method provides at the same time a solution to the Diophantine
equation:
ax +by = gcd(a, b) .
It is based on the following fact: given two integers a 0 and
b > 0, and r = a mod b, then gcd(a, b) = gcd(b, r). Proof: Divide a by
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3.2. THE EUCLIDEAN ALGORITHM 50
b obtaining a quotient q and a remainder r, then
a = bq +r , 0 r < b .
If d is a common divisor of a and b then it must be a divisor of r = abq.
Conversely, if d is a common divisor of b and r then it must divide
a = bq + r. So the set of common divisors of a and b and the set of
common divisors of b and r are equal, and the greatest common divisor
will be the same.
The Euclidean algorithm is a follows. First we divide a by b, obtain-
ing a quotient q and a remainder r. Then we divide b by r, obtaining
a new quotient q

and a remainder r

. Next we divide r by r

, which
gives a quotient q

and another remainder r

. We continue dividing
each remainder by the next one until obtaining a zero remainder, and
which point we stop. The last non-zero remainder is the gcd.
Example: Assume that we wish to compute gcd(500, 222). Then we
arrange the computations in the following way:
500 = 2 222 + 56 r = 56
222 = 3 56 + 54 r

= 54
56 = 1 54 + 2 r

= 2
54 = 27 2 + 0 r

= 0
The last nonzero remainder is r

= 2, hence gcd(500, 222) = 2. Fur-

thermore, if we want to express 2 as a linear combination of 500 and
222, we can do it by working backward:
2 = 56 1 54 = 56 1 (222 3 56) = 4 56 1 222
= 4 (500 2 222) 1 222 = 4 500 9 222 .
The algorithm to compute the gcd can be written as follows:
1: procedure gcd(a,b)
2: if a<b then make a the largest
3: swap(a,b)
4: while b ,= 0
5: begin
6: r := a mod b
7: a := b
8: b := r
9: end
10: return a
11: end gcd
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3.2. THE EUCLIDEAN ALGORITHM 51
The next one is a recursive version of the Euclidean algorithm:
1: procedure gcd recurs(a,b)
2: if b=0 then
3: return a
4: else
5: return gcd recurs(b,a mod b)
6: end gcd recurs
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3.3. MODULAR ARITHMETIC, RSA ALGORITHM 52
3.3. Modular Arithmetic, RSA Algorithm
3.3.1. Congruences Modulo m. Given an integer m 2, we
say that a is congruent to b modulo m, written a b (mod m), if
m[(a b). Note that the following conditions are equivalent
1. a b (mod m).
2. a = b +km for some integer k.
3. a and b have the same remainder when divided by m.
The relation of congruence modulo m is an equivalence relation. It
partitions Z into m equivalence classes of the form
[x] = [x]
m
= x +km [ k Z .
For instance, for m = 5, each one of the following rows is an equivalence
class:
. . . 10 5 0 5 10 15 20 . . .
. . . 9 4 1 6 11 16 21 . . .
. . . 8 3 2 7 12 17 22 . . .
. . . 7 2 3 8 13 18 23 . . .
. . . 6 1 4 9 14 19 24 . . .
Each equivalence class has exactly a representative r such that 0 r <
m, namely the common remainder of all elements in that class when di-
vided by m. Hence an equivalence class may be denoted [r] or x+mZ,
where 0 r < m. Often we will omit the brackets, so that the equiva-
lence class [r] will be represented just r. The set of equivalence classes
(i.e., the quotient set of Z by the relation of congruence modulo m) is
denoted Z
m
= 0, 1, 2, . . . , m1. For instance, Z
5
= 0, 1, 2, 3, 4.
Remark: When writing r as a notation for the class of r we may
stress the fact that r represents the class of r rather than the integer r
by including (mod p) at some point. For instance 8 = 3 (mod p).
Note that in a b (mod m), a and b represent integers, while in
a = b (mod m) they represent elements of Z
m
.
Reduction Modulo m: Once a set of representatives has been chosen
for the elements of Z
m
, we will call r reduced modulo m, written
r mod m, the chosen representative for the class of r. For instance,
if we choose the representatives for the elements of Z
5
in the interval
from 0 to 4 (Z
5
= 0, 1, 2, 3, 4), then 9 mod 5 = 4. Another possibility
is to choose the representatives in the interval from 2 to 2 (Z
5
=
2, 1, 0, 1, 2), so that 9 mod 5 = 1
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3.3. MODULAR ARITHMETIC, RSA ALGORITHM 53
In Z
m
it is possible to dene an addition and a multiplication in
the following way:
[x] + [y] = [x +y] ; [x] [y] = [x y] .
As an example, tables 3.3.1 and 3.3.2 show the addition and multi-
plication tables for Z
5
and Z
6
respectively.
+ 0 1 2 3 4
0 0 1 2 3 4
1 1 2 3 4 0
2 2 3 4 0 1
3 3 4 0 1 2
4 4 0 1 2 3
0 1 2 3 4
0 0 0 0 0 0
1 0 1 2 3 4
2 0 2 4 1 3
3 0 3 1 4 2
4 0 4 3 2 1
Table 3.3.1. Operational tables for Z
5
+ 0 1 2 3 4 5
0 0 1 2 3 4 5
1 1 2 3 4 5 0
2 2 3 4 5 0 1
3 3 4 5 0 1 2
4 4 5 0 1 2 3
5 5 0 1 2 3 4
0 1 2 3 4 5
0 0 0 0 0 0 0
1 0 1 2 3 4 5
2 0 2 4 0 2 4
3 0 3 0 3 0 3
4 0 4 2 0 4 2
5 0 5 4 3 2 1
Table 3.3.2. Operational tables for Z
6
A dierence between this two tables is that in Z
5
every non-zero
element has a multiplicative inverse, i.e., for every x Z
5
such that
x ,= 0 there is an x
1
such that x x
1
= x
1
x = 1; e.g. 2
1
= 4
(mod 5). However in Z
6
that is not true, some non-zero elements like
2 have no multiplicative inverse. Furthermore the elements without
multiplicative inverse verify that they can be multiply by some other
non-zero element giving a product equal zero, e.g. 2 3 = 0 (mod 6).
These elements are called divisors of zero. Of course with this denition
zero itself is a divisor of zero. Divisors of zero dierent from zero are
called proper divisors of zero. For instance in Z
6
2 is a proper divisor
of zero. In Z
5
there are no proper divisors of zero.
In general:
1. The elements of Z
m
can be classied into two classes:
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3.3. MODULAR ARITHMETIC, RSA ALGORITHM 54
(a) Units: elements with multiplicative inverse.
(b) Divisors of zero: elements that multiplied by some other
non-zero element give product zero.
2. An element [a] Z
m
is a unit (has a multiplicative inverse) if
and only if gcd(a, m) = 1.
3. All non-zero elements of Z
m
are units if and only if m is a prime
number.
The set of units in Z
m
is denoted Z

m
. For instance:
Z

2
= 1
Z

3
= 1, 2
Z

4
= 1, 3
Z

5
= 1, 2, 3, 4
Z

6
= 1, 5
Z

7
= 1, 2, 3, 4, 5, 6
Z

8
= 1, 3, 5, 7
Z

9
= 1, 2, 4, 5, 7, 8
Given an element [a] in Z

m
, its inverse can be computed by using
the Euclidean algorithm to nd gcd(a, m), since that algorithm also
provides a solution to the equation ax +my = gcd(a, m) = 1, which is
equivalent to ax 1 (mod m).
Example: Find the multiplicative inverse of 17 in Z

64
. Answer: We
use the Euclidean algorithm:
64 = 3 17 + 13 r = 13
17 = 1 13 + 4 r = 4
13 = 3 4 + 1 r = 1
4 = 4 1 + 0 r = 0
Now we compute backward:
1 = 13 3 4 = 13 3 (17 1 13) = 4 13 3 17
= 4 (64 3 17) 3 17 = 4 64 15 17 .
Hence (15) 17 1 (mod 64), but 15 49 (mod 64), so the in-
verse of 17 in (Z

64
, ) is 49. We will denote this by writing 17
1
= 49
(mod 64), or 17
1
mod 64 = 49.
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3.3. MODULAR ARITHMETIC, RSA ALGORITHM 55
3.3.2. Eulers Phi Function. The number of units in Z
m
is equal
to the number of positive integers not greater than and relatively
prime to m, i.e., the number of integers a such that 1 a m and
gcd(a, m) = 1. That number is given by the so called Eulers phi
function:
(m) = number of positive integers not greater than m
and relatively prime to m.
For instance, the positive integers not greater than and relatively prime
to 15 are: 1, 2, 4, 7, 8, 11, 13, 14, hence (15) = 8.
We have the following results:
1. If p is a prime number and s 1, then (p
s
) = p
s
p
s1
=
p
s
(1 1/p). In particular (p) = p 1.
2. If m
1
, m
2
are two relatively prime positive integers, then (m
1
m
2
) =
(m
1
) (m
2
).
1
3. If m = p
s
1
1
p
s
2
2
. . . p
s
k
k
, where the p
k
are prime and the s
k
are
positive, then
(m) = m(1 1/p
1
) (1 1/p
2
) . . . (1 1/p
k
) .
For instance
(15) = (3 5) = (3) (5) = (3 1) (5 1) = 2 4 = 8 .
3.3.3. Eulers Theorem. If a and m are two relatively prime
positive integers, m 2, then
a
(m)
1 (mod m) .
The particular case in which m is a prime number p, Eulers theorem
is called Fermats Little Theorem:
a
p1
1 (mod p) .
For instance, if a = 2 and p = 7, then we have, in fact, 2
71
= 2
6
=
64 = 1 + 9 7 1 (mod 7).
A consequence of Eulers Theorem is the following. If gcd(a, m) = 1
then
x y (mod (m)) a
x
a
y
(mod m) .
1
A function f(x) of positive integers such that gcd(a, b) = 1 f(ab) =
f(a)f(b) is called multiplicative.
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3.3. MODULAR ARITHMETIC, RSA ALGORITHM 56
Consequently, the following function is well dened:
Z

m
Z
(m)
Z

m
([a]
m
, [x]
(m)
) [a
x
]
m
Hence, we can compute powers modulo m in the following way:
a
n
= a
n mod (m)
(mod m) ,
if gcd(a, m) = 1. For instance:
3
9734888
mod 100 = 3
9734888 mod (100)
mod 100
= 3
9734888 mod 40
mod 100 = 3
8
mod 100 = 6561 mod 100 = 61 .
An even more ecient way to compute powers modulo m is given
in Appendix A, paragraph A.1.
3.3.4. Application to Cryptography: RSA Algorithm. The
RSA algorithm is an encryption scheme designed in 1977 by Ronald
Rivest, Adi Shamir and Leonard Adleman. It allows encrypting a mes-
sage with a key (the encryption key) and decrypting it with a dierent
key (the decryption key). The encryption key is public and can be
given to everybody. The decryption key is private and is known only
by the recipient of the encrypted message.
The RSA algorithm is based on the following facts. Given two
prime numbers p and q, and a positive number m relatively prime to p
and q, Eulers theorem tells us that:
m
(pq)
= m
(p1)(q1)
= 1 (mod pq) .
Assume now that we have two integers e and d such that e d = 1
(mod (pq)). Then we have that
(m
e
)
d
= m
ed
= m (mod pq) .
So, given m
e
we can recover m modulo pq by raising to the dth power.
The RSA algorithm consists of the following:
1. Generate two large primes p and q. Find their product n = pq.
2. Find two numbers e and d (in the range from 2 to (n)) such
that e d = 1 (mod (n)). This requires some trial and error.
First e is chosen at random, and the Euclidean algorithm is
used to nd gcd(e, m), solving at the same time the equation
ex +my = gcd(e, m). If gcd(e, m) = 1 then the value obtained
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3.3. MODULAR ARITHMETIC, RSA ALGORITHM 57
for x is d. Otherwise, e is no relatively prime to (n) and we
must try a dierent value for e.
3. The public encryption key will be the pair (n, e). The private
decryption key will be the pair (n, d). The encryption key is
given to everybody, while the decryption key is kept secret by
the future recipient of the message.
4. The message to be encrypted is divided into small pieces, and
each piece is encoded numerically as a positive integer m smaller
than n.
5. The number m
e
is reduced modulo n; m

= m
e
mod n.
6. The recipient computes m

= m

d
mod n, with 0 m

< n.
It remains to prove that m

= m. If m is relatively prime to p and

q, then from Eulers theorem we get that m

= m (mod n), and since

both are in the range from 0 to n 1 they must be equal. The case in
which p or q divides m is left as an exercise.
3.3.5. The Chinese Remainder Theorem. Let m
1
, m
2
, . . . , m
k
be pairwise relatively prime integers greater than or equal to 2. The
following system of congruences
_

_
x r
1
(mod m
1
)
x r
2
(mod m
2
)
. . .
x r
k
(mod m
k
)
has a unique solution modulo M = m
1
m
2
. . . m
k
.
We can nd a solution to that system in the following way. Let
M
i
= M/m
i
, and s
i
= the inverse of M
i
in Z
m
i
. Then
x = M
1
s
1
r
1
+M
2
s
2
r
2
+ +M
k
s
k
r
k
is a solution to the system.
Example: A group of objects can be arranged in 3 rows leaving 2
left, in 5 rows leaving 4 left, and in 7 rows leaving 6 left. How many
objects are there? Answer: We must solve the following system of
congruences:
_
_
_
x 2 (mod 3)
x 4 (mod 5)
x 6 (mod 7)
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3.3. MODULAR ARITHMETIC, RSA ALGORITHM 58
We have: M = 3 5 7 = 105, M
1
= 105/3 = 35 2 (mod 3),
M
2
= 105/5 = 21 1 (mod 5), M
3
= 105/7 = 15 1 (mod 7); s
1
=
inverse of 2 in Z
3
= 2, s
2
= inverse of 1 in Z
5
= 1, s
3
= inverse
of 1 in Z
7
= 1. Hence the solution is
x = 35 2 2 + 21 1 4 + 15 1 6 = 314 104 (mod 105) .
Hence, any group of 104 + 105 k objects is a possible solution to the
problem.
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CHAPTER 4
Induction, Recurences
4.1. Sequences and Strings
4.1.1. Sequences. A sequence is an (usually innite) ordered list
of elements. Examples:
1. The sequence of positive integers:
1, 2, 3, 4, . . . , n, . . .
2. The sequence of positive even integers:
2, 4, 6, 8, . . . , 2n, . . .
3. The sequence of powers of 2:
1, 2, 4, 8, 16, . . . , n
2
, . . .
4. The sequence of Fibonacci numbers (each one is the sum of the
two previous ones):
0, 1, 1, 2, 3, 5, 8, 13, . . .
5. The reciprocals of the positive integers:
1,
1
2
,
1
3
,
1
4
, ,
1
n
,
In general the elements of a sequence are represented with an in-
dexed letter, say s
1
, s
2
, s
3
, . . . , s
n
, . . . . The sequence itself can be de-
ned by giving a rule, e.g.: s
n
= 2n + 1 is the sequence:
3, 5, 7, 9, . . .
Here we are assuming that the rst element is s
1
, but we can start at
any value of the index that we want, for instance if we declare s
0
to be
the rst term, the previous sequence would become:
1, 3, 5, 7, 9, . . .
The sequence is symbolically represented s
n
or s
n

n=1
.
59
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4.1. SEQUENCES AND STRINGS 60
If s
n
s
n+1
for every n the sequence is called increasing. If s
n

s
n+1
then it is called decreasing. For instance s
n
= 2n+1 is increasing:
3, 5, 7, 9, . . . , while s
n
= 1/n is decreasing: 1,
1
2
,
1
3
,
1
4
, .
If we remove elements from a sequence we obtain a subsequence.
E.g., if we remove all odd numbers from the sequence of positive inte-
gers:
1, 2, 3, 4, 5 . . . ,
we get the subsequence consisting of the even positive integers:
2, 4, 6, 8, . . .
4.1.2. Sum (Sigma) and Product Notation. In order to ab-
breviate sums and products the following notations are used:
1. Sum (or sigma) notation:
n

i=m
a
i
= a
m
+a
m+1
+a
m+2
+ +a
n
2. Product notation:
n

i=m
a
i
= a
m
a
m+1
a
m+2
a
n
For instance: assume a
n
= 2n + 1, then
6

n=3
a
n
= a
3
+a
4
+a
5
+a
6
= 7 + 9 + 11 + 13 = 40 .
6

n=3
a
n
= a
3
a
4
a
5
a
6
= 7 9 11 13 = 9009 .
4.1.3. Strings. Given a set X, a string over X is a nite ordered
list of elements of X.
Example: If X is the set X = a, b, c, then the following are ex-
amples of strings over X: aba, aaaa, bba, etc.
Repetitions can be specied with a superscripts, for instance: a
2
b
3
ac
2
a
3
=
aabbbaccaaa, (ab)
3
= ababab, etc.
The length of a string is its number of elements, e.g., [abaccbab[ = 8,
[a
2
b
7
a
3
c
6
[ = 18.
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4.1. SEQUENCES AND STRINGS 61
The string with no elements is called null string, represented . Its
length is, of course, zero: [[ = 0.
The set of all strings over X is represented X

. The set of no
null strings over X (i.e., all strings over X except the null string) is
represented X
+
.
Given two strings and over X, the string consisting of followed
by is called the concatenation of and . For instance if = abac
and = baaab then = abacbaaab.
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4.2. MATHEMATICAL INDUCTION 62
4.2. Mathematical Induction
Many properties of positive integers can be proved by mathematical
induction.
4.2.1. Principle of Mathematical Induction. Let P be a prop-
erty of positive integers such that:
1. Basis Step: P(1) is true, and
2. Inductive Step: if P(n) is true, then P(n + 1) is true.
Then P(n) is true for all positive integers.
Remark: The premise P(n) in the inductive step is called Induction
Hypothesis.
The validity of the Principle of Mathematical Induction is obvious.
The basis step states that P(1) is true. Then the inductive step implies
that P(2) is also true. By the inductive step again we see that P(3)
is true, and so on. Consequently the property is true for all positive
integers.
Remark: In the basis step we may replace 1 with some other integer
m. Then the conclusion is that the property is true for every integer n
greater than or equal to m.
Example: Prove that the sum of the n rst odd positive integers is
n
2
, i.e., 1 + 3 + 5 + + (2n 1) = n
2
.
Answer: Let S(n) = 1 + 3 + 5 + + (2n 1). We want to prove
by induction that for every positive integer n, S(n) = n
2
.
1. Basis Step: If n = 1 we have S(1) = 1 = 1
2
, so the property is
true for 1.
2. Inductive Step: Assume (Induction Hypothesis) that the prop-
erty is true for some positive integer n, i.e.: S(n) = n
2
. We must
prove that it is also true for n +1, i.e., S(n +1) = (n +1)
2
. In
fact:
S(n + 1) = 1 + 3 + 5 + + (2n + 1) = S(n) + 2n + 1 .
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4.2. MATHEMATICAL INDUCTION 63
But by induction hypothesis, S(n) = n
2
, hence:
S(n + 1) = n
2
+ 2n + 1 = (n + 1)
2
.
This completes the induction, and shows that the property is true for
all positive integers.
Example: Prove that 2n + 1 2
n
for n 3.
Answer: This is an example in which the property is not true for
all positive integers but only for integers greater than or equal to 3.
1. Basis Step: If n = 3 we have 2n + 1 = 2 3 + 1 = 7 and
2
n
= 2
3
= 8, so the property is true in this case.
2. Inductive Step: Assume (Induction Hypothesis) that the prop-
erty is true for some positive integer n, i.e.: 2n + 1 2
n
. We
must prove that it is also true for n+1, i.e., 2(n+1)+1 2
n+1
.
By the induction hypothesis we know that 2n 2
n
, and we also
have that 3 2
n
if n 3, hence
2(n + 1) + 1 = 2n + 3 2
n
+ 2
n
= 2
n+1
.
This completes the induction, and shows that the property is true for
all n 3.
Exercise: Prove the following identities by induction:
1 + 2 + 3 + +n =
n(n + 1)
2
.
1
2
+ 2
2
+ 3
2
+ +n
2
=
n(n + 1) (2n + 1)
6
.
1
3
+ 2
3
+ 3
3
+ +n
3
= (1 + 2 + 3 + +n)
2
.
4.2.2. Strong Form of Mathematical Induction. Let P be a
property of positive integers such that:
1. Basis Step: P(1) is true, and
2. Inductive Step: if P(k) is true for all 1 k n then P(n + 1)
is true.
Then P(n) is true for all positive integers.
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4.2. MATHEMATICAL INDUCTION 64
Example: Prove that every integer n 2 is prime or a product of
primes. Answer:
1. Basis Step: 2 is a prime number, so the property holds for
n = 2.
2. Inductive Step: Assume that if 2 k n, then k is a prime
number or a product of primes. Now, either n + 1 is a prime
number or it is not. If it is a prime number then it veries the
property. If it is not a prime number, then it can be written as
the product of two positive integers, n + 1 = k
1
k
2
, such that
1 < k
1
, k
2
< n + 1. By induction hypothesis each of k
1
and
k
2
must be a prime or a product of primes, hence n + 1 is a
product of primes.
This completes the proof.
4.2.3. The Well-Ordering Principle. Every nonempty set of
positive integers has a smallest element.
Example: Prove that

2 is irrational (i.e.,

2 cannot be written as
a quotient of two positive integers) using the well-ordering principle.
Answer: Assume that

2 is rational, i.e.,

2 = a/b, where a and

b are integers. Note that since

2 > 1 then a > b. Now we have

2 = a
2
/b
2
, hence 2 b
2
= a
2
. Since the left hand side is even, then
a
2
is even, but this implies that a itself is even, so a = 2 a

. Hence:
2 b
2
= 4 a

2
, and simplifying: b
2
= 2 a

2
. From here we see that

2 =
b/a

. Hence starting with a fractional representation of

2 = a/b
we end up with another fractional representation

2 = b/a

with a
smaller numerator b < a. Repeating the same argument with the
fraction b/a

we get another fraction with an even smaller numerator,

and so on. So the set of possible numerators of a fraction representing

2 cannot have a smallest element, contradicting the well-ordering

principle. Consequently, our assumption that

2 is rational has to be
false.
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4.3. RECURRENCE RELATIONS 65
4.3. Recurrence Relations
Here we look at recursive denitions under a dierent point of view.
Rather than denitions they will be considered as equations that we
must solve. The point is that a recursive denition is actually a def-
inition when there is one and only one object satisfying it, i.e., when
the equations involved in that denition have a unique solution. Also,
the solution to those equations may provide a closed-form (explicit)
formula for the object dened.
The recursive step in a recursive denition is also called a recurrence
relation. We will focus on kth-order linear recurrence relations, which
are of the form
C
0
x
n
+C
1
x
n1
+C
2
x
n2
+ +C
k
x
nk
= b
n
,
where C
0
,= 0. If b
n
= 0 the recurrence relation is called homogeneous.
Otherwise it is called non-homogeneous.
The basis of the recursive denition is also called initial conditions
of the recurrence. So, for instance, in the recursive denition of the
Fibonacci sequence, the recurrence is
F
n
= F
n1
+F
n2
or
F
n
F
n1
F
n2
= 0 ,
and the initial conditions are
F
0
= 0, F
1
= 1 .
One way to solve some recurrence relations is by iteration, i.e., by
using the recurrence repeatedly until obtaining a explicit close-form
formula. For instance consider the following recurrence relation:
x
n
= r x
n1
(n > 0) ; x
0
= A.
By using the recurrence repeatedly we get:
x
n
= r x
n1
= r
2
x
n2
= r
3
x
n3
= = r
n
x
0
= Ar
n
,
hence the solution is x
n
= Ar
n
.
In the following we assume that the coecients C
0
, C
1
, . . . , C
k
are
constant.
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4.3. RECURRENCE RELATIONS 66
4.3.1. First Order Recurrence Relations. The homogeneous
case can be written in the following way:
x
n
= r x
n1
(n > 0) ; x
0
= A.
Its general solution is
x
n
= Ar
n
,
which is a geometric sequence with ratio r.
The non-homogeneous case can be written in the following way:
x
n
= r x
n1
+c
n
(n > 0) ; x
0
= A.
Using the summation notation, its solution can be expressed like this:
x
n
= Ar
n
+
n

k=1
c
k
r
nk
.
We examine two particular cases. The rst one is
x
n
= r x
n1
+c (n > 0); x
0
= A.
where c is a constant. The solution is
x
n
= Ar
n
+c
n

k=1
r
nk
= Ar
n
+c
r
n
1
r 1
if r ,= 1 ,
and
x
n
= A +c n if r = 1 .
Example: Assume that a country with currently 100 million people
has a population growth rate (birth rate minus death rate) of 1% per
year, and it also receives 100 thousand immigrants per year (which
are quickly assimilated and reproduce at the same rate as the native
population). Find its population in 10 years from now. (Assume that
all the immigrants arrive in a single batch at the end of the year.)
Answer: If we call x
n
= population in year n from now, we have:
x
n
= 1.01 x
n1
+ 100, 000 (n > 0); x
0
= 100, 000, 000 .
This is the equation above with r = 1.01, c = 100, 000 and A =
100, 000, 00, hence:
x
n
= 100, 000, 000 1.01
n
+ 100, 000
1.01
n
1
1.01 1
= 100, 000, 000 1.01
n
+ 1000 (1.01
n
1) .
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4.3. RECURRENCE RELATIONS 67
So:
x
10
= 110, 462, 317 .
The second particular case is for r = 1 and c
n
= c + d n, where c
and d are constant (so c
n
is an arithmetic sequence):
x
n
= x
n1
+c +d n (n > 0) ; x
0
= A.
The solution is now
x
n
= A +
n

k=1
(c +d k) = A +c n +
d n(n + 1)
2
.
4.3.2. Second Order Recurrence Relations. Now we look at
the recurrence relation
C
0
x
n
+C
1
x
n1
+C
2
x
n2
= 0 .
First we will look for solutions of the form x
n
= c r
n
. By plugging in
the equation we get:
C
0
c r
n
+C
1
c r
n1
+C
2
c r
n2
= 0 ,
hence r must be a solution of the following equation, called the char-
acteristic equation of the recurrence:
C
0
r
2
+C
1
r +C
2
= 0 .
Let r
1
, r
2
be the two (in general complex) roots of the above equation.
They are called characteristic roots. We distinguish three cases:
1. Distinct Real Roots. In this case the general solution of the
recurrence relation is
x
n
= c
1
r
n
1
+c
2
r
n
2
,
where c
1
, c
2
are arbitrary constants.
2. Double Real Root. If r
1
= r
2
= r, the general solution of the
recurrence relation is
x
n
= c
1
r
n
+c
2
nr
n
,
where c
1
, c
2
are arbitrary constants.
3. Complex Roots. In this case the solution could be expressed
in the same way as in the case of distinct real roots, but in
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4.3. RECURRENCE RELATIONS 68
order to avoid the use of complex numbers we write r
1
= r e
i
,
r
2
= r e
i
, k
1
= c
1
+c
2
, k
2
= (c
1
c
2
) i, which yields:
1
x
n
= k
1
r
n
cos n +k
2
r
n
sin n.
Example: Find a closed-form formula for the Fibonacci sequence
dened by:
F
n+1
= F
n
+F
n1
(n > 0) ; F
0
= 0, F
1
= 1 .
Answer: The recurrence relation can be written
F
n
F
n1
F
n2
= 0 .
The characteristic equation is
r
2
r 1 = 0 .
Its roots are:
2
r
1
= =
1 +

5
2
; r
2
=
1
=
1

5
2
.
They are distinct real roots, so the general solution for the recurrence
is:
F
n
= c
1

n
+c
2
(
1
)
n
.
Using the initial conditions we get the value of the constants:
_
(n = 0) c
1
+c
2
= 0
(n = 1) c
1
+c
2
(
1
) = 1

_
c
1
= 1/

5
c
2
= 1/

5
Hence:
F
n
=
1

5
_

n
()
n
_
.
1
Remainder: e
i
= cos + i sin.
2
=
1+

5
2
is the Golden Ratio.
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CHAPTER 5
Counting
5.1. Basic Principles
5.1.1. The Rule of Sum. If a task can be performed in m ways,
while another task can be performed in n ways, and the two tasks
cannot be performed simultaneously, then performing either task can
be accomplished in m+n ways.
Set theoretical version of the rule of sum: If A and B are disjoint
sets (A B = ) then
[A B[ = [A[ +[B[ .
More generally, if the sets A
1
, A
2
, . . . , A
n
are pairwise disjoint, then:
[A
1
A
2
A
n
[ = [A
1
[ +[A
2
[ + +[A
n
[ .
For instance, if a class has 30 male students and 25 female students,
then the class has 30 + 25 = 45 students.
5.1.2. The Rule of Product. If a task can be performed in m
ways and another independent task can be performed in n ways, then
the combination of both tasks can be performed in mn ways.
Set theoretical version of the rule of product: Let A B be the
Cartesian product of sets A and B. Then:
[A B[ = [A[ [B[ .
More generally:
[A
1
A
2
A
n
[ = [A
1
[ [A
2
[ [A
n
[ .
For instance, assume that a license plate contains two letters fol-
lowed by three digits. How many dierent license plates can be printed?
Answer: each letter can be printed in 26 ways, and each digit can be
printed in 10 ways, so 26 26 10 10 10 = 676000 dierent plates can
be printed.
69
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5.1. BASIC PRINCIPLES 70
Exercise: Given a set A with m elements and a set B with n ele-
ments, nd the number of functions from A to B.
5.1.3. The Inclusion-Exclusion Principle. The inclusion-exclusion
principle generalizes the rule of sum to non-disjoint sets.
In general, for arbitrary (but nite) sets A, B:
[A B[ = [A[ +[B[ [A B[ .
Example: Assume that in a university with 1000 students, 200 stu-
dents are taking a course in mathematics, 300 are taking a course in
physics, and 50 students are taking both. How many students are
taking at least one of those courses?
Answer: If U = total set of students in the university, M = set
of students taking Mathematics, P = set of students taking Physics,
then:
[M P[ = [M[ +[P[ [M P[ = 300 + 200 50 = 450
students are taking Mathematics or Physics.
For three sets the following formula applies:
[A B C[ =
[A[ +[B[ +[C[ [A B[ [A C[ [B C[ +[A B C[ ,
and for an arbitrary union of sets:
[A
1
A
2
A
n
[ = s
1
s
2
+s
3
s
4
+ s
n
,
where s
k
= sum of the cardinalities of all possible k-fold intersections
of the given sets.
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5.2. COMBINATORICS 71
5.2. Combinatorics
5.2.1. Permutations. Assume that we have n objects. Any ar-
rangement of any k of these objects in a given order is called a per-
mutation of size k. If k = n then we call it just a permutation of the
n objects. For instance, the permutations of the letters a, b, c are the
following: abc, acb, bac, bca, cab, cba. The permutations of size 2 of
the letters a, b, c, d are: ab, ac, ad, ba, bc, bd, ca, cb, cd, da, db, dc.
Note that the order is important. Given two permutations, they
are considered equal if they have the same elements arranged in the
same order.
We nd the number P(n, k) of permutations of size k of n given
objects in the following way: The rst object in an arrangement can
be chosen in n ways, the second one in n 1 ways, the third one in
n 2 ways, and so on, hence:
P(n, k) = n (n 1)
(k factors)
(n k + 1) =
n!
(n k)!
,
where n! = 1 2 3
(n factors)
n is called n factorial .
The number P(n, k) of permutations of n objects is
P(n, n) = n! .
By convention 0! = 1.
For instance, there are 3! = 6 permutations of the 3 letters a, b, c.
The number of permutations of size 2 of the 4 letters a, b, c, d is P(4, 2) =
4 3 = 12.
Exercise: Given a set A with m elements and a set B with n ele-
ments, nd the number of one-to-one functions from A to B.
5.2.2. Combinations. Assume that we have a set A with n ob-
jects. Any subset of A of size r is called a combination of n ele-
ments taken r at a time. For instance, the combinations of the letters
a, b, c, d, e taken 3 at a time are: abc, abd, abe, acd, ace, ade, bcd, bce,
bde, cde, where two combinations are considered identical if they have
the same elements regardless of their order.
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5.2. COMBINATORICS 72
The number of subsets of size r in a set A with n elements is:
C(n, r) =
n!
r! (n r)!
.
The symbol
_
n
r
_
(read n choose r) is often used instead of C(n, r).
One way to derive the formula for C(n, r) is the following. Let A
be a set with n objects. In order to generate all possible permutations
of size r of the elements of A we 1) take all possible subsets of size
r in the set A, and 2) permute the k elements in each subset in all
possible ways. Task 1) can be performed in C(n, r) ways, and task
2) can be performed in P(r, r) ways. By the product rule we have
P(n, r) = C(n, r) P(r, r), hence
C(n, r) =
P(n, r)
P(r, r)
=
n!
r! (n r)!
.
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5.3. GENERALIZED PERMUTATIONS AND COMBINATIONS 73
5.3. Generalized Permutations and Combinations
5.3.1. Permutations with Repeated Elements. Assume that
we have an alphabet with k letters and we want to write all possible
words containing n
1
times the rst letter of the alphabet, n
2
times the
second letter,. . . , n
k
times the kth letter. How many words can we
write? We call this number P(n; n
1
, n
2
, . . . , n
k
), where n = n
1
+ n
2
+
+n
k
.
Example: With 3 as and 2 bs we can write the following 5-letter
words: aaabb, aabab, abaab, baaab, aabba, ababa, baaba, abbaa, babaa,
bbaaa.
We may solve this problem in the following way, as illustrated with
the example above. Let us distinguish the dierent copies of a letter
with subscripts: a
1
a
2
a
3
b
1
b
2
. Next, generate each permutation of this
ve elements by choosing 1) the position of each kind of letter, then 2)
the subscripts to place on the 3 as, then 3) these subscripts to place on
the 2 bs. Task 1) can be performed in P(5; 3, 2) ways, task 2) can be
performed in 3! ways, task 3) can be performed in 2!. By the product
rule we have 5! = P(5; 3, 2) 3! 2!, hence P(5; 3, 2) = 5!/3! 2!.
In general the formula is:
P(n; n
1
, n
2
, . . . , n
k
) =
n!
n
1
! n
2
! . . . n
k
!
.
5.3.2. Combinations with Repetition. Assume that we have a
set A with n elements. Any selection of r objects from A, where each
object can be selected more than once, is called a combination of n
objects taken r at a time with repetition. For instance, the combinations
of the letters a, b, c, d taken 3 at a time with repetition are: aaa, aab,
aac, aad, abb, abc, abd, acc, acd, add, bbb, bbc, bbd, bcc, bcd, bdd, ccc, ccd,
cdd, ddd. Two combinations with repetition are considered identical
if they have the same elements repeated the same number of times,
regardless of their order.
Note that the following are equivalent:
1. The number of combinations of n objects taken r at a time with
repetition.
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5.3. GENERALIZED PERMUTATIONS AND COMBINATIONS 74
2. The number of ways r identical objects can be distributed among
n distinct containers.
3. The number of nonnegative integer solutions of the equation:
x
1
+x
2
+ +x
n
= r .
Example: Assume that we have 3 dierent (empty) milk containers
and 7 quarts of milk that we can measure with a one quart measuring
cup. In how many ways can we distribute the milk among the three
containers? We solve the problem in the following way. Let x
1
, x
2
, x
3
be
the quarts of milk to put in containers number 1, 2 and 3 respectively.
The number of possible distributions of milk equals the number of non
negative integer solutions for the equation x
1
+ x
2
+ x
3
= 7. Instead
of using numbers for writing the solutions, we will use strokes, so for
instance we represent the solution x
1
= 2, x
2
= 1, x
3
= 4, or 2 + 1 + 4,
like this: [[ +[ +[[[[. Now, each possible solution is an arrangement of 7
strokes and 2 plus signs, so the number of arrangements is P(9; 7, 2) =
9!/7! 2! =
_
9
7
_
.
The general solution is:
P(n +r 1; r, n 1) =
(n +r 1)!
r! (n 1)!
=
_
n +r 1
r
_
.
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5.4. BINOMIAL COEFFICIENTS 75
5.4. Binomial Coecients
5.4.1. Binomial Theorem. The following identities can be easily
checked:
(x +y)
0
= 1
(x +y)
1
= x +y
(x +y)
2
= x
2
+ 2 xy +y
2
(x +y)
3
= x
3
+ 3 x
2
y + 3 xy
2
+y
3
They can be generalized by the following formula, called the Binomial
Theorem:
(x +y)
n
=
n

k=0
_
n
k
_
x
nk
y
k
=
_
n
0
_
x
n
+
_
n
1
_
x
n1
y +
_
n
2
_
x
n2
y
2
+
+
_
n
n 1
_
xy
n1
+
_
n
n
_
y
n
.
We can nd this formula by writing
(x +y)
n
= (x +y) (x +y)
(n factors)
(x +y) ,
expanding, and grouping terms of the form x
a
y
b
. Since there are n
factors of the form (x + y), we have a + b = n, hence the terms must
be of the form x
nk
y
k
. The coecient of x
nk
y
k
will be equal to the
number of ways in which we can select the y from any k of the factors
(and the x from the remaining n k factors), which is C(n, k) =
_
n
k
_
.
The expression
_
n
k
_
is often called binomial coecient.
Exercise: Prove
n

k=0
_
n
k
_
= 2
n
and
n

k=0
(1)
k
_
n
k
_
= 0 .
Hint: Apply the binomial theorem to (1 + 1)
2
and (1 1)
2
.
5.4.2. Properties of Binomial Coecients. The binomial co-
ecients have the following properties:
1.
_
n
k
_
=
_
n
n k
_
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5.4. BINOMIAL COEFFICIENTS 76
2.
_
n + 1
k + 1
_
=
_
n
k
_
+
_
n
k + 1
_
The rst property follows easily from
_
n
k
_
=
n!
k!(n k)!
.
The second property can be proved by choosing a distinguished
element a in a set A of n + 1 elements. The set A has
_
n+1
k+1
_
subsets
of size k + 1. Those subsets can be partitioned into two classes: that
of the subsets containing a, and that of the subsets not containing a.
The number of subsets containing a equals the number of subsets of
A a of size k, i.e.,
_
n
k
_
. The number of subsets not containing a is
the number of subsets of A a of size k + 1, i.e.,
_
n
k+1
_
. Using the
sum principle we nd that in fact
_
n+1
k+1
_
=
_
n
k
_
+
_
n
k+1
_
.
5.4.3. Pascals Triangle. The properties shown in the previous
section allow us to compute binomial coecients in a simple way. Look
at the following triangular arrangement of binomial coecients:
_
0
0
_
_
1
0
_ _
1
1
_
_
2
0
_ _
2
1
_ _
2
2
_
_
3
0
_ _
3
1
_ _
3
2
_ _
3
3
_
_
4
0
_ _
4
1
_ _
4
2
_ _
4
3
_ _
4
4
_
We notice that each binomial coecient on this arrangement must
be the sum of the two closest binomial coecients on the line above it.
This together with
_
n
0
_
=
_
n
n
_
= 1, allows us to compute very quickly
the values of the binomial coecients on the arrangement:
1
1 1
1 2 1
1 3 3 1
1 4 6 4 1
This arrangement of binomial coecients is called Pascals Trian-
gle.
1
1
Although it was already known by the Chinese in the XIV century.
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5.5. THE PIGEONHOLE PRINCIPLE 77
5.5. The Pigeonhole Principle
5.5.1. The Pigeonhole Principle. The pigeonhole principle is
used for proving that a certain situation must actually occur. It says
the following: If n pigeonholes are occupied by m pigeons and m > n,
then at least one pigeonhole is occupied by more than one pigeon.
1
Example: In any given set of 13 people at least two of them have
their birthday during the same month.
Example: Let S be a set of eleven 2-digit numbers. Prove that
S must have two elements whose digits have the same dierence (for
instance in S = 10, 14, 19, 22, 26, 28, 49, 53, 70, 90, 93, the digits of
the numbers 28 and 93 have the same dierence: 8 2 = 6, 9 3 =
6.) Answer: The digits of a two-digit number can have 10 possible
dierences (from 0 to 9). So, in a list of 11 numbers there must be two
with the same dierence.
Example: Assume that we choose three dierent digits from 1 to
9 and write all permutations of those digits. Prove that among the
3-digit numbers written that way there are two whose dierence is a
multiple of 500. Answer: There are 9 8 7 = 504 permutations of
three digits. On the other hand if we divide the 504 numbers by 500
we can get only 500 possible remainders, so at least two numbers give
the same remainder, and their dierence must be a multiple of 500.
Exercise: Prove that if we select n + 1 numbers from the set S =
1, 2, 3, . . . , 2n, among the numbers selected there are two such that
one is a multiple of the other one.
1
The Pigeonhole Principle (Schubfachprinzip) was rst used by Dirichlet in
Number Theory. The term pigeonhole actually refers to one of those old-fashioned
writing desks with thin vertical wooden partitions in which to le letters.
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CHAPTER 6
Probability
6.1. Probability
6.1.1. Introduction. Assume that we perform an experiment such
as tossing a coin or rolling a die. The set of possible outcomes is called
the sample space of the experiment. An event is a subset of the sample
space. For instance, if we toss a coin three times, the sample space is
S = HHH, HHT, HTH, HTT, THH, THT, TTH, TTT .
The event at least two heads in a row would be the subset
E = HHH, HHT, THH .
If all possible outcomes of an experiment have the same likelihood of
occurrence, then the probability of an event A S is given by Laplaces
rule:
P(E) =
[E[
[S[
.
For instance, the probability of getting at least two heads in a row in
the above experiment is 3/8.
6.1.2. Probability Function. In general the likelihood of dier-
ent outcomes of an experiment may not be the same. In that case
the probability of each possible outcome x is a function P(x). This
function veries:
0 P(x) 1 for all x S
and

xS
P(x) = 1 .
The probability of an event E S will be
P(E) =

xE
P(x)
78
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6.1. PROBABILITY 79
Example: Assume that a die is loaded so that the probability of
obtaining n point is proportional to n. Find the probability of getting
an odd number when rolling that die.
Answer: First we must nd the probability function P(n) (n =
1, 2, . . . , 6). We are told that P(n) is proportional to n, hence P(n) =
kn. Since P(S) = 1 we have P(1)+P(2)+ P(6) = 1, i.e., k1+k2+
+k 6 = 21k = 1, so k = 1/21 and P(n) = n/21. Next we want to
nd the probability of E = 2, 4, 6, i.e. P(E) = P(2) +P(4) +P(6) =
2
21
+
4
21
+
6
21
=
12
21
.
6.1.3. Properties of probability. Let P be a probability func-
tion on a sample space S. Then:
1. For every event E S,
0 P(E) 1 .
2. P() = 0, P(S) = 1.
3. For every event E S, if E = is the complement of E (not
E) then
P(E) = 1 P(E) .
4. If E
1
, E
2
S are two events, then
P(E
1
E
2
) = P(E
1
) +P(E
2
) P(E
1
E
2
) .
In particular, if E
1
E
2
= (E
1
and E
2
are mutually exclusive,
i.e., they cannot happen at the same time) then
P(E
1
E
2
) = P(E
1
) +P(E
2
) .
Example: Find the probability of getting a sum dierent from 10 or
12 after rolling two dice. Answer: We can get 10 in 3 dierent ways:
4+6, 5+5, 6+4, so P(10) = 3/36. Similarly we get that P(12) = 1/36.
Since they are mutually exclusive events, the probability of getting 10
or 12 is P(10) +P(12) = 3/36+1/36 = 4/36 = 1/9. So the probability
of not getting 10 or 12 is 1 1/9 = 8/9.
6.1.4. Conditional Probability. The conditional probability of
an event E given F, represented P(E [ F), is the probability of E
assuming that F has occurred. It is like restricting the sample space
to F. Its value is
P(E [ F) =
P(E F)
P(F)
.
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6.1. PROBABILITY 80
Example: Find the probability of obtaining a sum of 10 after rolling
two fair dice. Find the probability of that event if we know that at least
one of the dice shows 5 points.
Answer: We call E = obtaining sum 10 and F = at least one of
the dice shows 5 points. The number of possible outcomes is 6 6 =
36. The event obtaining a sum 10 is E = (4, 6), (5, 5), (6, 4), so
[E[ = 3. Hence the probability is P(E) = [E[/[S[ = 3/36 = 1/12.
Now, if we know that at least one of the dice shows 5 points then the
sample space shrinks to
F = (1, 5), (2, 5), (3, 5), (4, 5), (5, 5), (6, 5), (5, 1), (5, 2), (5, 3), (5, 4), (5, 6) ,
so [F[ = 11, and the ways to obtain a sum 10 are E F = (5, 5),
[E F[ = 1, so the probability is P(E [ F) = P(E F)/P(F) = 1/11.
6.1.5. Independent Events. Two events E and F are said to be
independent if the probability of one of them does not depend on the
other, e.g.:
P(E [ F) = P(E) .
In this circumstances:
P(E F) = P(E) P(F) .
Note that if E is independent of F then also F is independent of E,
e.g., P(F [ E) = P(F).
Example: Assume that the probability that a shooter hits a target
is p = 0.7, and that hitting the target in dierent shots are independent
events. Find:
1. The probability that the shooter does not hit the target in one
shot.
2. The probability that the shooter does not hit the target three
times in a row.
3. The probability that the shooter hits the target at least once
after shooting three times.
Answer:
1. P(not hitting the target in one shot) = 1 0.7 = 0.3.
2. P(not hitting the target three times in a row) = 0.3
3
= 0.027.
3. P(hitting the target at least once in three shots) = 10.027 =
0.973.
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6.1. PROBABILITY 81
6.1.6. Bayes Theorem. Suppose that a sample space S is parti-
tioned into n classes C
1
, C
2
, . . . , C
n
which are pairwise mutually exclu-
sive and whose union lls the whole sample space. Then for any event
F we have
P(F) =
n

i=1
P(F [ C
i
) P(C
i
)
and
P(C
j
[ F) =
P(F [ C
j
) P(C
j
)
P(F)
.
Example: In a country with 100 million people 100 thousand of
them have disease X. A test designed to detect the disease has a 99%
probability of detecting it when administered to a person who has it,
but it also has a 5% probability of giving a false positive when given to
a person who does not have it. A person is given the test and it comes
out positive. What is the probability that that person has the disease?
Answer: The classes are C
1
= has the disease and C
2
= does
not have the disease, and the event is F = the test gives a positive.
We have: [S[ = 100, 000, 000, [C
1
[ = 100, 000, [C
2
[ = 99, 900, 000,
hence P(C
1
) = [C
1
[/[S[ = 0.001, P(C
2
) = [C
2
[/[S[ = 0.999. Also
P(F [ C
1
) = 0.99, P(F [ C
2
) = 0.05. Hence:
P(F) = P(F [ C
1
) P(C
1
) +P(F [ C
2
) P(C
2
)
= 0.99 0.001 + 0.05 0.999 = 0.05094 ,
and by Bayes theorem:
P(C
1
[ F) =
P(F [ C
1
) P(C
1
)
P(F)
=
0.99 0.001
0.05094
= 0.019434628 2%.
(So the test is really of little use when given to a random person
however it might be useful in combination with other tests or other
evidence that the person might have the disease.)
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CHAPTER 7
Graph Theory
7.1. Graphs
7.1.1. Graphs. Consider the following examples:
1. A road map, consisting of a number of towns connected with
roads.
2. The representation of a binary relation dened on a given set.
The relation of a given element x to another element y is rep-
resented with an arrow connecting x to y.
The former is an example of (undirected) graph. The latter is an
example of a directed graph or digraph.
a
b
c
d
Figure 7.1. Undirected Graph.
In general a graph G consists of two things:
1. The vertex set V , whose elements are called vertices, nodes or
points.
2. The edge set E or set of edges connecting pairs of vertices. If
the edges are directed then they are also called directed edges
or arcs. Each edge e E is associated with a pair of vertices.
82
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7.1. GRAPHS 83
a
b
c
d
Figure 7.2. Directed Graph.
A graph is sometimes represented by the pair (V, E) (we assume V
and E nite).
If the graph is undirected and there is a unique edge e connecting x
and y we may write e = x, y, so E can be regarded as set of unordered
pairs. In this context we may also write e = (x, y), understanding that
here (x, y) is not an ordered pair, but the name of an edge.
If the graph is directed and there is a unique edge e pointing from
x to y, then we may write e = (x, y), so E may be regarded as a set
of ordered pairs. If e = (x, y), the vertex x is called origin, source or
initial point of the edge e, and y is called the terminus, terminating
vertex or terminal point.
b
c
d
a
Figure 7.3. Graph with parallel edges.
Two vertices connected by an edge are called adjacent. They are
also the endpoints of the edge, and the edge is said to be incident to
each of its endpoints. If the graph is directed, an edge pointing from
vertex x to vertex y is said to be incident from x and incident to y. An
edge connecting a vertex to itself is called a loop. Two edges connecting
the same pair of points (and pointing in the same direction if the graph
is directed) are called parallel or multiple.
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7.1. GRAPHS 84
A graph with neither loops nor multiple edges is called a simple
graph. If a graph has multiple edges but no loops then it is called a
multigraph. If it has loops (and possible also multiple edges) then it is
called a pseudograph.
The following table summarizes the graph terminology
Table 7.1.1. Graph Terminology
Type Edges Multiple Edges Allowed? Loops Allowed?
Simple graph indirected no no
Multigraph indirected yes no
Pseudograph indirected yes yes
Directed graph directed no yes
Directed multigraph directed yes yes
The degree of a vertex v, represented deg(v), is the number of edges
that contain it (loops are counted twice). A vertex of degree zero (not
connected to any other vertex) is called isolated. A vertex of degree 1
is called pendant.
The Handshaking Theorem. Let G = (V, E) be an undirected graph
with e edges. Then
2e =

vV
deg (v) .
(This applies even if multiple edges and loops are present.)
In a graph with directed edges, the in-degree of a vertex v, denoted
deg

(v), is the number of edges with v as their terminal vertex. The

out-degree of a vertex v, denoted deg
+
(v), is the number of edges with
v as their initial vertex. (Note that a loop at a vertex contributes 1 to
both the in-degree and the out-degree of this vertex.)
Number of vertices of odd degree. An undirected graph has an even
number of vertices of odd degree. Proof: Let V
e
and V
o
respectively
the set of vertices of even degree and the set of vertices of odd degree
in an undirected graph G = (V, E). Then
2e =

vV
deg (v) =

vVe
deg (v) +

vVo
deg (v) .
Since deg(v) is even for v V
e
, the rst sum in the right hand side of
the equality is even. The total sum must be 2e, which is even, so the
second sum must be even too. But its terms are all odd, so there must
be an even number of them.
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7.1. GRAPHS 85
Sum of degrees in an directed graph. Let G = (V, E) be a directed
graph. Then

vV
deg

(v) =

vV
deg
+
(v) = [E[ .
A weighted graph is a graph whose edges have been labeled with
numbers. The length of a path in a weighted graph is the sum of the
weights of the edges in the path.
a
b
d
c
6
3
4
6
7
Figure 7.4. Weighted Graph.
7.1.2. Special Graphs. Here we examine a few special graphs.
The n-cube: A graph with with 2
n
vertices labeled 0, 1, . . . , 2
n
1
so that two of them are connected with an edge if their binary repre-
sentation diers in exactly one bit.
000
001
010 011
100
101
110 111
Figure 7.5. 3-cube.
Complete Graph: a simple undirected graph G such that every pair
of distinct vertices in G are connected by an edge. The complete graph
of n vertices is represented K
n
(g. 7.6). A complete directed graph is
a simple directed graph G = (V, E) such that every pair of distinct
vertices in G are connected by exactly one edgeso, for each pair of
distinct vertices, either (x, y) or (y, x) (but not both) is in E.
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7.1. GRAPHS 86
a
b
c d
e
Figure 7.6. Complete graph K
5
.
Bipartite Graph: a graph G = (V, E) in which V can be partitioned
into two subsets V
1
and V
2
so that each edge in G connects some vertex
in V
1
to some vertex in V
2
. A bipartite simple graph is called complete
if each vertex in V
1
is connected to each vertex in V
2
. If [V
1
[ = m and
[V
2
[ = n, the corresponding complete bipartite graph is represented
K
m,n
(g. 7.7).
A graph is bipartite i its vertices can be colored with two colors
so that every edge connects vertices of dierent color.
Question: Is the n-cube bipartite. Hint: color in red all vertices
whose binary representation has an even number of 1s, color in blue
the ones with an odd number of 1s.
b
p
q
r
s
a
c
Figure 7.7. Complete bipartite graph K
3,4
.
Regular Graph: a simple graph whose vertices have all the same
degree. For instance, the n-cube is regular.
7.1.3. Subgraph. Given a graph G = (V, E), a subgraph G

=
(V

, E

) of G is another graph such that V

V and E

E. If
V

= V then G

is called a spanning subgraph of G.

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7.1. GRAPHS 87
Given a subset of vertices U V , the subgraph of G induced by
U, denoted U), is the graph whose vertex set is U, and its edge set
contains all edges from G connecting vertices in U.
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7.2. REPRESENTATIONS OF GRAPHS 88
7.2. Representations of Graphs
7.2.1. Adjacency matrix. The adjacency matrix of a graph is a
matrix with rows and columns labeled by the vertices and such that
its entry in row i, column j, i ,= j, is the number of edges incident on i
and j. For instance the following is the adjacency matrix of the graph
of gure 7.8:
1
a b c d
a
b
c
d
_
_
_
_
0 1 0 1
1 0 2 0
0 2 0 0
1 0 0 1
_
_
_
_
b
a
d
c
e1
e2
e3
e5
e4
Figure 7.8
One of the uses of the adjacency matrix A of a simple graph G is
to compute the number of paths between two vertices, namely entry
(i, j) of A
n
is the number of paths of length n from i to j.
7.2.2. Incidence matrix. The incidence matrix of a graph G is a
matrix with rows labeled by vertices and columns labeled by edges, so
that entry for row v column e is 1 if e is incident on v, and 0 otherwise.
As an example, the following is the incidence matrix of graph of gure
7.8:
1
For some authors if i = j then the entry is twice the number of loops incident
on i; so in the example of gure 7.8 entry (d, d) would be 2 instead of 1.
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7.2. REPRESENTATIONS OF GRAPHS 89
e
1
e
2
e
3
e
4
e
5
a
b
c
d
_
_
_
_
1 0 0 1 0
1 1 1 0 0
0 1 1 0 0
0 0 0 1 1
_
_
_
_
7.2.3. Graph Isomorphism. Two graphs G
1
= (V
1
, E
1
), G
2
=
(V
2
, E
2
), are called isomorphic if there is a bijection f : V
1
V
2
and a
bijection g : E
1
E
2
such that an edge e is adjacent to vertices v and
w if and only if g(e) is adjacent to f(v) and f(w) (g. 7.9).
a1
b1
c1
d1
e1
a2 b2
c2
d2
e2
Figure 7.9. Two isomorphic graphs.
Two graphs are isomorphic if and only if for some ordering of their
vertices their adjacency matrices are equal.
An invariant is a property such that if a graph has it then all graphs
isomorphic to it also have it. Examples of invariants are their number
of vertices, their number of edges, has a vertex of degree k, has a
simple cycle of length l, etc. It is possible to prove that two graphs are
not isomorphic by showing an invariant property that one has and the
other one does not have. For instance the graphs in gure 7.10 cannot
be isomorphic because one has a vertex of degree 2 and the other one
doesnt.
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7.2. REPRESENTATIONS OF GRAPHS 90
a
b
c
e
f
3
4
5 1
2
Figure 7.10. Non isomorphic graphs.
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7.3. PATHS AND CIRCUITS 91
7.3. Paths and Circuits
7.3.1. Paths. A path from v
0
to v
n
of length n is a sequence of
n+1 vertices (v
k
) and n edges (e
k
) of the formv
0
, e
1
, v
1
, e
2
, v
2
, . . . , e
n
, v
n
,
where each edge e
k
connects v
k1
with v
k
(and points from v
k1
to v
k
if the edge is directed). The path may be specied by giving only the
sequence of edges e
1
, . . . , e
n
. If there are no multiple edges we can
specify the path by giving only the vertices: v
0
, v
1
, . . . , v
n
. The path
is a circuit (or cycle) if it begins and ends at the same vertex, i.e.,
v
0
= v
n
, and has lenght greater than zero. A path or circuit is simple
if it does not contain the same edge twice.
7.3.2. Connected Graphs. A graph Gis called connected if there
is a path between any two distinct vertices of G. Otherwise the graph
is called disconnected. A directed graph is connected if its associated
undirected graph (obtained by ignoring the directions of the edges) is
connected. A directed graph is strongly connected if for every pair of
distict points u, v, there is a path from u to v and there is a path
from v to u. A connected component of G is any connected subgraph
G

= (V

, E

) of G = (V, E) such that there is not edge (in G) from a

vertex in V to a vertex in V V

. Given a vertex in G, the component

of G containing v is the subgraph G

of G consisting of all edges and

vertices of g contained in some path beginning at v.
7.3.3. The Seven Bridges of K onigsberg. This is a classical
problem that started the discipline today called graph theory.
During the eighteenth century the city of Konigsberg (in East Prus-
sia)
1
was divided into four sections, including the island of Kneiphop,
by the Pregel river. Seven bridges connected the regions, as shown in
gure 7.11. It was said that residents spent their Sunday walks trying
to nd a way to walk about the city so as to cross each bridge exactly
once and then return to the starting point. The rst person to solve
the problem (in the negative) was the Swiss mathematician Leonhard
Euler in 1736. He represented the sections of the city and the seven
bridges by the graph of gure 7.12, and proved that it is impossible to
nd a path in it that transverses every edge of the graph exactly once.
In the next section we study why this is so.
1
The city is currently called Kaliningrad and is part of the Russian republic.
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7.3. PATHS AND CIRCUITS 92
Figure 7.11. The Seven Bridges of Konigsberg.
Figure 7.12. Graph for the Seven Bridges of Konigsberg.
7.3.4. Euler paths and circuits. Let G = (V, E) be a graph
with no isolated vertices. An Euler path in G is a simple path that
transverses every edge of the graph exactly once. Analogously, an
Euler circuit in G is a simple circuit that transverses every edge of the
graph exactly once.
Existence of Euler Paths and Circuits. The graphs that have an
Euler path can be characterized by looking at the degree of their ver-
tices. Recall that the degree of a vertex v, represented deg(v), is the
number of edges that contain v (loops are counted twice). An even
vertex is a vertex with even degree; an odd vertex is a vertex with odd
degree. The sum of the degrees of all vertices in a graph equals twice
its number of edges, so it is an even number. As a consequence, the
number of odd vertices in a graph is always even.
Let G be a connected multigraph. Then G contains an Euler circuit
if and only if G its vertices have even degree. Also, G contains an Euler
path from vertex a to vertex b (,= a) if and only if a and b have odd
degree, and all its other vertices have even degree.
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7.3. PATHS AND CIRCUITS 93
7.3.5. Hamilton Circuits. A Hamilton circuit in a graph G is
a circuit that contains each vertex of G once (except for the starting
and ending vertex, which occurs twice). A Hamilton path in G is a
path (not a circuit) that contains each vertex of G once. Note that by
deleting an edge in a Hamilton circuit we get a Hamilton path, so if a
graph has a Hamilton circuit, then it also has a Hamilton path. The
converse is not true, i.e., a graph may have a Hamilton path but not
a Hamilton circuit. Exercise: Find a graph with a Hamilton path but
no Hamilton circuit.
c
d
e
f
g
h
b
a
i
j
k
l
m
n
o
p
q
r
s t
Figure 7.13. Hamiltons puzzle.
In general it is not easy to determine if a given graph has a Hamilton
path or circuit, although often it is possible to argue that a graph has no
Hamilton circuit. For instance if G = (V, E) is a bipartite graph with
vertex partition V
1
, V
2
(so that each edge in G connects some vertex
in V
1
to some vertex in V
2
), then G cannot have a Hamilton circuit if
[V
1
[ ,= [V
2
[, because any path must contain alternatively vertices from
V
1
and V
2
, so any circuit in G must have the same number of vertices
from each of both sets.
Edge removal argument. Another kind of argument consists of re-
moving edges trying to make the degree of every vertex equal two. For
instance in the graph of gure 7.14 we cannot remove any edge because
that would make the degree of b, e or d less than 2, so it is impossi-
ble to reduce the degree of a and c. Consequently that graph has no
Hamilton circuit.
Diracs Theorem. If G is a simple graph with n vertices with n 3
such that the degree of every vertex in G is at least n/2, then G has a
Hamilton circuit.
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7.3. PATHS AND CIRCUITS 94
b
c
d
a
e
Figure 7.14. Graph without Hamilton circuit.
Ores Theorem. If G is a simple graph with n vertices with n 3
such that deg(u) +deg(v) n for every pair of nonadjacent vertices u
and v in G, then G has a Hamilton circuit.
The Traveling Salesperson Problem. Given a weighted graph, the
traveling salesperson problem (TSP) consists of nding a Hamilton cir-
cuit of minimum length in this graph. The name comes from a classical
problem in which a salesperson must visit a number of cities and go
back home traveling the minimum distance possible. One way to solve
the problem consists of searching all possible Hamilton circuits and
computing their length, but this is very inecient. Unfortunately no
ecient algorithm is known for solving this problem (and chances are
that none exists).
Remark: (Digression on P/NP problems.) Given a weighted graph
with n vertices the problem of determining whether it contains a Hamil-
ton circuit of length not greater than a given L is known to be NP-
complete. This means the following. First it is a decision problem, i.e.,
a problem whose solution is yes or no. A decision problem is said
to be polynomial, or belong to the class P, if it can be solved with an
algorithm of complexity O(n
k
) for some integer k. It is said to be non-
deterministic polynomial, or belong to the class NP, if in all cases when
the answer is yes this can be determined with a non-deterministic
algorithm of complexity O(n
k
). A non-deterministic algorithm is an
algorithm that works with an extra hint, for instance in the TSP, if
G has a Hamilton circuit of length not greater than L the hint could
consist of a Hamilton circuit with length not greater than Lso the
task of the algorithm would be just to check that in fact that length
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7.3. PATHS AND CIRCUITS 95
is not greater than L.
2
Currently it is not known whether the class
NP is strictly larger than the class P, although it is strongly suspected
that it is. The class NP contains a subclass called NP-complete con-
taining the hardest problems of the class, so that their complexity
must be higher than polynomial unless P=NP. The TSP is one of these
problems.
Gray Codes. A Gray code is a sequence s
1
, s
2
, . . . , s
2
n of n-binary
strings verifying the following conditions:
1. Every n-binary string appears somewhere in the sequence.
2. Two consecutive strings s
i
and s
i+1
dier exactly in one bit.
3. s
2
n and s
1
dier in exactly one bit.
For instance: 000, 001, 011, 010, 110, 111, 101, 100,
The problem of nding a gray code is equivalent to nding a Hamil-
ton circuit in the n-cube.
7.3.6. Dijkstras Shortest-Path Algorithm. This is an algo-
rithm to nd the shortest path from a vertex a to another vertex z in
a connected weighted graph. Edge (i, j) has weight w(i, j) > 0, and
vertex x is labeled L(x) (minimum distance from a if known, otherwise
). The output is L(z) = length of a minimum path from a to z.
1: procedure dijkstra(w,a,z,L)
2: L(a) := 0
3: for all vertices x ,= a
4: L(x) :=
5: T := set of all vertices
6: T is the set of all vertices whose shortest
7: distance from a has not been found yet
8: while z in T
9: begin
10: choose v in T with minimum L(v)
11: T := T - v
12: for each x in T adjacent to v
13: L(x) := minL(x),L(v)+w(v,x)
2
Informally, P problems are easy to solve, and NP problems are problems
whose answer is easy to check. In a sense the P=NP problem consist of de-
termining whether every problem whose solution is easy to check is also easy to
solve.
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7.3. PATHS AND CIRCUITS 96
14: end
15: return L(z)
16: end dijkstra
For instance consider the graph in gure 7.15.
a
b c
z
d
e
f
2
1
3
2
3 1
2
4
4
Figure 7.15. Shortest path from a to z.
The algorithm would label the vertices in the following way in each
iteration (the boxed vertices are the ones removed from T):
iteration a b c d e f z
0 0
1 0 2 3 4
2 0 2 3 3 4
3 0 2 3 3 4 6
4 0 2 3 3 4 4
5 0 2 3 3 4 6 4
6 0 2 3 3 4 6 4
At this point the algorithm returns the value 4.
Complexity of Dijkstras algorithm. For an n-vertex, simple, con-
nected weighted graph, Dijkstras algorithm has a worst-case run time
of (n
2
).
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7.4. PLANAR GRAPHS 97
7.4. Planar Graphs
7.4.1. Planar Graphs. A graph G is planar if it can be drawn
in the plane with its edges intersecting at their vertices only. One such
drawing is called an embedding of the graph in the plane.
A particular planar representation of a planar graph is called a map.
A map divides the plane into a number of regions or faces (one of them
innite).
7.4.2. Graph Homeomorphism. If a graph G has a vertex v of
degree 2 and edges (v, v
1
), (v, v
2
) with v
1
,= v
2
, we say that the edges
(v, v
1
) and (v, v
2
) are in series. Deleting such vertex v and replacing
(v, v
1
) and (v, v
2
) with (v
1
, v
2
) is called a series reduction. For instance,
in the third graph of gure 7.16, the edges (h, b) and (h, d) are in series.
By removing vertex h we get the rst graph in the left.
The opposite of a series reduction is an elementary subdivision It
consists of replacing an edge (u, v) with two edges (u, w) and (w, v),
where w is a new vertex.
Two graphs are said to be homeomorphic if they are isomorphic or
can be reduced to isomorphic graphs by a sequence of series reductions
(g. 7.16). Equivalently, two graphs are homeomorphic if they can be
obtained from the same graph by a sequence of elementary subdivisions.
d
e
a
b d
e
f
c
d
e a
b
a
b
h
c c
Figure 7.16. Three homeomorphic graphs.
Note that if a graph G is planar, then all graphs homeomorphic to
G are also planar.
7.4.3. Some Results About Planar Graphs.
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7.4. PLANAR GRAPHS 98
1. Eulers Formula: Let G = (V, E) be a connected planar graph,
and let v = [V [, e = [E[, and r = number of regions in which
some given embedding of G divides the plane. Then:
v e +r = 2 .
Note that this implies that all plane embeddings of a given
graph dene the same number of regions.
2. Let G = (V, E) be a simple connected planar graph with v
vertices, e 3 edges and r regions. Then 3r 2e and e
3v 6.
3. The graph K
5
is non-planar. Proof: in K
5
we have v = 5 and
e = 10, hence 3v 6 = 9 < e = 10, which contradicts the
previous result.
4. The graph K
3,3
is non-planar. Proof: in K
3,3
we have v = 6 and
e = 9. If K
3,3
were planar, from Eulers formula we would have
f = 5. On the other hand, each region is bounded by at least
four edges, so 4f 2e, i.e., 20 18, which is a contradiction.
5. Kuratowskis Theorem: A graph is non-planar if and only if it
contains a subgraph that is homeomorphic to either K
5
or K
3,3
.
7.4.4. Dual Graph of a Map. A map is dened by some planar
graph G = (V, E) embedded in the plane. Assume that the map divides
the plane into a set of regions R = r
1
, r
2
, . . . , r
k
. For each region r
i
,
select a point p
i
in the interior of r
i
. The dual graph of that map is the
graph G
d
= (V
d
, E
d
), where V
d
= p
1
, p
2
, . . . , p
k
, and for each edge in
E separating the regions r
i
and r
j
, there is an edge in E
d
connecting p
i
and p
j
. Warning: Note that a dierent embedding of the same graph
G may give dierent (and non-isomorphic) dual graphs. Exercise: Find
the duals of the maps shown in gure 7.9, and prove that they are not
isomorphic.
7.4.5. Graph Coloring. Consider the problem of coloring a map
M in such a way that no adjacent regions (sharing a border) have the
same color. This is equivalent to coloring the vertices of the dual graph
of M in such a way that no adjacent vertices have the same color.
In general, a coloring of a graph is an assignment of a color to
each vertex of the graph. The coloring is called proper if there are
no adjacent vertices with the same color. If a graph can be properly
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7.4. PLANAR GRAPHS 99
a
b
d
c
e

Figure 7.17. Dual graph of a map.
colored with n colors we say that it is n-colorable. The minimum
number of colors needed to properly color a given graph G = (V, E) is
called the chromatic number of G, and is represented (G). Obviously
(G) [V [.
7.4.6. Some Results About Graph Coloring.
1. (K
n
) = n.
2. Let G be a simple graph. The following statements are equiva-
lent:
(a) (G) = 2.
(b) G is bipartite.
(c) Every circuit in G has even length
3. Five Color Theorem (Kempe, Heawood) (not hard to prove):
Every simple, planar graph is 5-colorable.
4. Four Color Theorem (Appel and Haken, 1976), proved with
an intricate computer analysis of congurations: Every simple,
planar graph is 4-colorable.
Exercise: Find a planar graph G such that (G) = 4.
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CHAPTER 8
Trees
8.1. Trees
8.1.1. Terminology. A tree is a connected undirected graph with
no simple circuits.
A rooted tree is a tree in which a particular vertex is designated as
the root and every edge is directed away from the root.
We draw rooted trees with the root at the top. The arrows indicat-
ing the directions of the edges can be omitted.
r
a
b
c
d
e f
g
h
i
j
k
l m n o p
Figure 8.1. A rooted tree.
The level of a vertex v is the length of the simple path from the root
to v. The height of a rooted tree is the maximum level of its vertices.
Let T be a tree with root v
0
. Suppose that x, y and z are vertices
in T and that (v
0
, v
1
, . . . , v
n
) is a simple path in T. Then:
1. v
n1
is the parent of v
n
.
2. v
0
, v
1
, . . . , v
n1
are ancestors of v
n
.
3. v
n
is a child of v
n1
.
4. If x is an ancestor of y, y is a descendant of x.
5. If x and y are children of z, x and y are siblings.
6. If x has no children, it is called a terminal vertex or leaf.
100
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8.1. TREES 101
7. If x is not a terminal vertex, it is an internal or branch vertex.
8. The subtree of T rooted at x is the graph (V, E), where V is x
together with its descendants and E = edges of simple paths
from x to some vertex in E.
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8.2. BINARY TREES 102
8.2. Binary Trees
8.2.1. Binary Trees. A binary tree is a rooted tree in which each
vertex has at most two children, designated as left child and right child.
If a vertex has one child, that child is designated as either a left child
or a right child, but not both. A full binary tree is a binary tree in
which each vertex has exactly two children or none. The following are
a few results about binary trees:
1. If T is a full binary tree with i internal vertices, then T has i+1
terminal vertices and 2i + 1 total vertices.
2. If a binary tree of height h has t terminal vertices, then t 2
h
.
More generally we can dene a m-ary tree as a rooted tree in which
every internal vertex has no more than m children. The tree is called
a full m-ary tree if every internal vertex has exactly m children. An
ordered rooted tree is a rooted tree where the children of each internal
vertex are ordered. A binary tree is just a particular case of m-ary
ordered tree (with m = 2).
8.2.2. Binary Search Trees. Assume S is a set in which elements
(which we will call data) are ordered; e.g., the elements of S can be
numbers in their natural order, or strings of alphabetic characters in
lexicographic order. A binary search tree associated to S is a binary
tree T in which data from S are associate with the vertices of T so
that, for each vertex v in T, each data item in the left subtree of v is
less than the data item in v, and each data item in the right subtree of
v is greater than the data item in v.
Example: Figure 8.2 contains a binary search tree for the set S =
1, 2, 3, 4, 5, 6, 7, 8, 9, 10. In order to nd a element we start at the root
and compare it to the data in the current vertex (initially the root).
If the element is greater we continue through the right child, if it is
smaller we continue through the left child, if it is equal we have found
it. If we reach a terminal vertex without founding the element, then
that element is not present in S.
8.2.3. Making a Binary Search Tree. We can store data in a
binary search tree by randomly choosing data from S and placing it in
the tree in the following way: The rst data chosen will be the root of
the tree. Then for each subsequent data item, starting at the root we
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8.2. BINARY TREES 103
5
2
1
3 7
6
9
10
8 4
Figure 8.2. Binary Search Tree.
compare it to the data in the current vertex v. If the new data item is
greater than the data in the current vertex then we move to the right
child, if it is less we move to the left child. If there is no such child
then we create one and put the new data in it. For instance, the tree in
gure 8.3 has been made from the following list of words choosing them
in the order they occur: IN A PLACE OF LA MANCHA WHOSE
NAME I DO NOT WANT TO REMEMBER.
A
I
DO
WHOSE
PLACE
OF
IN
LA
REMEMBER
TO
WANT
MANCHA
NAME
NOT
Figure 8.3. Another binary Search Tree.
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8.3. DECISION TREES, TREE ISOMORPHISMS 104
8.3. Decision Trees, Tree Isomorphisms
8.3.1. Decision Trees. A decision tree is a tree in which each
vertex represents a question and each descending edge from that vertex
represents a possible answer to that question.
Example: The Five-Coins Puzzle. In this puzzle we have ve coins
C
1
, C
2
, C
3
, C
4
, C
5
that are identical in appearance, but one is either
heavier or lighter that the others. The problem is to identify the bad
coin and determine whether it is lighter or heavier using only a pan
balance and comparing the weights of two piles of coins. The problem
can be solved in the following way. First we compare the weights of
C
1
and C
2
. If C
1
is heavier than C
2
then we know that either C
1
is
the bad coin and is heavier, or C
2
is the bad coin and it is lighter.
Then by comparing say C
1
with any of the other coins, say C
5
, we can
determine whether the bad coin is C
1
and is heavier (if C
1
it is heavier
than C
5
) or it is C
2
and is lighter (if C
1
has the same weight as C
5
). If
C
1
is lighter than C
2
we proceed as before with heavier and lighter
reversed. If C
1
and C
2
have the same weight we can try comparing C
3
and C
4
in a similar manner. If their weights are the same then we know
that the bad coin is C
5
, and we can determine whether it is heavier or
lighter by comparing it to say C
1
. The corresponding decision tree is
the following:
C1:C5
C1:C2
C3:C4 C1:C5
C3:C5
C1:C5
C3:C5
C1,H
C2,L
C4,H C3,L
C2,H C1,L
C5,H C5,L C4,L C3,H
left
right
balanced
balanced
balanced right
left right
right
balanced
right
left
balanced
left
left
balanced
Figure 8.4. Decision tree for the 5 coins puzzle.
In each vertex C
i
: C
j
means that we compare coins C
i
and C
j
by
placing C
i
on the left pan and C
j
on the right pan of the balance, and
each edge is labeled depending on what side of the balance is heavier.
The terminal vertices are labeled with the bad coin and whether it is
heavier (H) or lighter (L). The decision tree is optimal in the sense
that in the worst case it uses three weighings, and there is no way to
solve the problem with less than thatwith two weighings we can get
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8.3. DECISION TREES, TREE ISOMORPHISMS 105
at most nine possible outcomes, which are insucient to distinguish
among ten combinations of 5 possible bad coins and the bad coin being
heavier or lighter.
8.3.2. Complexity of Sorting. Sorting algorithms work by com-
paring elements and rearranging them as needed. For instance we can
sort three elements a
1
, a
2
, a
3
with the decision tree shown in gure 8.5
a1<a2?
a1<a3?
a2<a3? a1<a3?
a1,a2,a3
a1,a3,a2 a3,a1,a2
a2,a3,a1 a3,a2,a1
a2,a1,a3 a2<a3?
YES
YES
YES NO
NO YES NO YES
NO
NO
.
Figure 8.5. Sorting three elements.
Since there are 3! = 6 possible arrangements of 3 elements, we need
a decision tree with at least 6 possible outcomes or terminal vertices.
Recall that in a binary tree of height h with t terminal vertices the
following inequality holds: t 2
h
. Hence in our case 6 < 2
h
, which
implies h 3, so the algorithm represented by the decision tree in
gure 8.5 is optimal in the sense that it uses the minimum possible
number of comparisons in the worst-case.
More generally in order to sort n elements we need a decision tree
with n! outcomes, so its height h(n) will verify n! 2
h(n)
. Since
log
2
(n!) = (nlog
2
n),
1
we have h(n) = (nlog
2
n). So the worse
case complexity of a sorting algorithm is (nlog
2
n). Since the merge-
sort algorithm uses precisely (nlog
2
n) comparisons, we know that it
is optimal.
8.3.3. Isomorphisms of Trees. Assume that T
1
is a tree with
vertex set V
1
and T
2
is another tree with vertex set V
2
. If they are
rooted trees then we call their roots r
1
and r
2
respectively. We will
study three dierent kinds of tree-isomorphisms between T
1
and T
2
.
1
According to Stirlings formula, n! n
n
e
n

2n, so taking logarithms

log
2
n! nlog
2
n nlog
2
e +
1
2
log
2
(2n) = (nlog
2
n).
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8.3. DECISION TREES, TREE ISOMORPHISMS 106
1. Usual graph-isomorphism between trees: T
1
and T
2
are isomor-
phic if there is a bijection f : V
1
V
2
that preserves adjacency,
i.e., f(v) is adjacent to f(w) if and only if v is adjacent to w.
2. Rooted-tree-isomorphism: T
1
and T
2
are isomorphic if there is
a bijection f : V
1
V
2
that preserves adjacency and the root
vertex, i.e.:
(a) f(v) is adjacent to f(w) if and only if v is adjacent to w.
(b) f(r
1
) = r
2
.
3. Binary-tree-isomorphism: Two binary trees T
1
and T
2
are iso-
morphic if there is a bijection f : V
1
V
2
that preserves adja-
cency, and the root vertex, and left/right children, i.e.:
(a) f(v) is adjacent to f(w) if and only if v is adjacent to w.
(b) f(r
1
) = r
2
.
(c) f(v) is a left child of f(w) if and only if v is a left child of
w.
(d) f(v) is a right child of f(w) if and only if v is a right child
of w.
Example: Figure 8.6 shows three trees which are graph-isomorphic.
On the other hand as rooted trees T
2
and T
3
are isomorphic, but they
are not isomorphic to T
1
because the root of T
1
has degree 3, while the
roots of T
2
and T
3
have degree 2. Finally T
2
and T
3
are not isomorphic
as binary trees because the left child of the root in T
2
is a terminal
vertex while the left child of the root of T
3
has two children.
T1 T2 T3
Figure 8.6. Trees with dierent kinds of isomorphisms.
Exercise: Find all non-isomorphic 3-vertex free trees, 3-vertex rooted
trees and 3-vertex binary trees. Answer: Figure 8.7 shows all 5 non-
isomorphic 3-vertex binary trees. As rooted trees T
2
T
5
are isomorphic,
but T
1
is not isomorphic to the others, so there are 2 non-isomorphic
3-vertex rooted trees represented for instance by T
1
and T
2
. All of them
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8.3. DECISION TREES, TREE ISOMORPHISMS 107
are isomorphic as free trees, so there is only 1 non-isomorphic 3-vertex
free tree.
T1 T3 T2 T4 T5
Figure 8.7. Non-isomorphic binary trees.
8.3.4. Human Codes. Usually characters are represented in a
computer with x length bit strings. Human codes provide an alter-
native representation with variable length bit strings, so that shorter
strings are used for the most frequently used characters. As an example
assume that we have an alphabet with four symbols: A = a, b, c, d.
Two bits are enough for representing them, for instance a = 11, b = 10,
c = 01, d = 00 would be one such representation. With this encoding
n-character words will have 2n bits. However assume that they do not
appear with the same frequency, instead some are more frequent that
others, say a appears with a frequency of 50%, b 30%, c 15% and d
5%. Then the following enconding would be more ecient than the x
length encoding: a = 1, b = 01, c = 001, d = 000. Now in average an
n-character word will have 0.5n as, 0.3n bs, 0.15n cs and 0.05n ds,
hence its length will be 0.5n1+0.3n2+0.15n3+0.05n3 = 1.7n, which
is shorter than 2n. In general the length per character of a given en-
coding with characters a
1
, a
2
, . . . , a
n
whose frequencies are f
1
, f
2
, . . . , f
n
is
1
F
n

k=1
f
k
l(a
k
) ,
where l(a
k
) = length of a
k
and F =

n
k=1
f
k
. The problem now is,
given an alphabet and the frequencies of its characters, nd an optimal
encoding that provides minimum average length for words.
Fix length and Human codes can be represented by trees like in
gure 8.8. The code of each symbol consists of the sequence of labels of
the edges in the path from the root to the leaf with the desired symbol.
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8.3. DECISION TREES, TREE ISOMORPHISMS 108
a
b d
0
1 0
1 0
1
a
b
c d
1 0
1 0
1 0
Huffman code Fix length code
c
Figure 8.8. Fix length code and Human code.
8.3.5. Constructing an Optimal Human Code. An optimal
Human code is a Human code in which the average length of the
symbols is minimum. In general an optimal Human code can be made
as follows. First we list the frequencies of all the codes and represent
the symbols as vertices (which at the end will be leaves of a tree).
Then we replace the two smallest frequencies f
1
and f
2
with their sum
f
1
+ f
2
, and join the corresponding two symbols to a common vertex
above them by two edges, one labeled 0 and the other one labeled 1.
Than common vertex plays the role of a new symbol with a frequency
equal to f
1
+f
2
. Then we repeat the same operation with the resulting
shorter list of frequencies until the list is reduced to one element and
the graph obtained becomes a tree.
Example: Find the optimal Human code for the following table of
symbols:
character frequency
a 2
b 3
c 7
d 8
e 12
Answer: : The successive reductions of the list of frequencies are as
follows:
2, 3
..
5
, 7, 8, 12 5, 7
..
12
, 8, 12 12, 8, 12
Here we have a choice, we can choose to add the rst 12 and 8, or
8 and the second 12. Lets choose the former:
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8.3. DECISION TREES, TREE ISOMORPHISMS 109
12, 8
..
20
, 12 20, 12
. .
32
32
The tree obtained is the following:
a b
d
e
1
1
1
1 0
0
0
0
2
3
7
8
12
5
12
20
32
c
Figure 8.9. Optimal Human code 1.
The resulting code is as follows:
character code
a 1111
b 1110
c 110
d 10
e 0
The other choice yields the following:
12, 8, 12
..
20
20, 12
. .
32
32
a
b
c d
e
1 0
1
1
0
0
1
32
12 20
5
7 8
12
2
3
0
Figure 8.10. Optimal Human code 2.
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8.3. DECISION TREES, TREE ISOMORPHISMS 110
character code
a 111
b 110
c 10
d 01
e 00
8.3.6. Game Trees. Trees are used in the analysis of some games.
As an example we study the following game using a tree: Initially
there are two piles with 3 coins and 1 coin respectively. Taking turns
two players remove any number of coins from one of the piles. The
player that removes the last coin loses. The following tree represents
all possible sequences of choices. Each node shows the number of coins
in each pile, and each edge represents a possible move (choice) from
one of the players. The rst player is represented with a box and the
second player is represented with an circle.
1
0
0
1
0
0
0
0
0
0
1
1
0
1
0
1
2
0
0
0
1
0
0
0
0
0
1
0
0
1
0
0
0
0
1
1
2
1
1
0
0
0
0
0
1
0
0
0
0
0
2
0
3
0
3
1
1 1 1
0 0 0
1
1
0
1
0 0
1
1
1
1
0
1
0 0
0 1
0
1
0
0
1
1
Figure 8.11. Tree of a game.
The analysis of the game starts by labeling each terminal vertex
with 1 if it represents a victory for the rst player and 0 if it
represents a victory for the second player. This numbers represent
the value of each position of the game, so that the rst player is
interested in making it maximum and the second player wants to
make it minimum. Then we continue labeling the rest of the vertices
in the following way. After all the children of a given vertex have
been labeled, we label the vertex depending on whether it is a rst
player position (box) or a second player position (circle). First
player positions are labeled with the maximum value of the labels of
its children, second player positions are labeled with the minimum
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8.3. DECISION TREES, TREE ISOMORPHISMS 111
value of the labels of its children. This process is called the minimax
procedure. Every vertex labeled 1 will represent a position in which
the rst player has advantage and can win if he/she works without
making mistakes; on the other hand, vertices labeled 0 represent
positions for which the second player has advantage. Now the strategy
is for the rst player to select at each position a children with maximum
value, while the second player will be interested in selecting children
with minimum value. If the starting position has been labeled 1 that
means that the rst player has a winning strategy, otherwise the second
player has advantage. For instance in the present game the rst player
has advantage at the initial position, and only one favorable movement
at that point:
_
3
1
_

_
0
1
_
, i.e., he/she must remove all 3 coins from
the rst pile. If for any reason the rst player makes a mistake and
removes say one coin from the rst pile, going to position
_
2
1
_
, then the
second player has one favorable move to vertex
_
0
1
_
, which is the one
with minimum value.
Alpha-beta pruning. In some games the game tree is so complicated
that it cannot be fully analyzed, so it is built up to a given depth only.
The vertices reached at that depth are not terminal, but they can
be evaluated using heuristic methods (for instance in chess usually
losing a knight is a better choice than losing the queen, so a position
with one queen and no knights will have a higher value than one with
no queen and one knight). Even so the evaluation and labeling of the
vertices can be time consuming, but we can bypass the evaluation of
many vertices using the technique of alpha-beta pruning. The idea is
to skip a vertex as soon as it becomes obvious that its value will not
aect the value of its parent. In order to do that with a rst player
(boxed) vertex v, we assign it an alpha value equal to the maximum
value of its children evaluated so far. Assume that we are evaluating
one of its children w, which will be a second player (circled) position. If
at any point a children of w gets a value less than or equal to the alpha
value of v then it will become obvious that the value of w is going to
be less than the current alpha value of v, so it will not aect the value
of v and we can stop the process of evaluation of w (prone the subtree
at w). That is called an alpha cuto. Similarly, at a second player
(circled) vertex v, we assign a beta value equal to the minimum value
of its children evaluated so far, and practice a beta cuto when one of
its grandchildren gets a value greater than or equal to the current beta
value of v, i.e., we prone the subtree at w, where w is the parent of
that grandchildren.
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8.3. DECISION TREES, TREE ISOMORPHISMS 112
4
4 3
5 6 3 4 5 1 ?
v
w
(4)
1
7
Figure 8.12. Alpha cuto.
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8.4. TREE TRANSVERSAL 113
8.4. Tree Transversal
8.4.1. Transversal Algorithms. In order to motivate this sub-
ject, we introduce the concept of Polish notation. Given a (not nec-
essarily commutative) binary operation , it is customary to represent
the result of applying the operation to two elements a, b by placing the
operation symbol in the middle:
a b .
This is called inx notation. The Polish notation consists of placing
the symbol to the left:
a b .
The reverse Polish notation consists of placing the symbol to the right:
a b .
The advantage of Polish notation is that it allows us to write ex-
pressions without need for parenthesis. For instance, the expression
a(b+c) in Polish notation would be a+b c, while ab+c is +a b c.
Also, Polish notation is easier to evaluate in a computer.
In order to evaluate an expression in Polish notation, we scan the
expression from right to left, placing the elements in a stack.
1
Each
time we nd an operator, we replace the two top symbols of the stack
by the result of applying the operator to those elements. For instance,
the expression +2 3 4 (which in inx notation is (2 +3) 4) would
be evaluated like this:
expression stack
+ 2 3 4
+ 2 3 4
+ 2 3 4
+ 2 3 4
5 4
20
An algebraic expression can be represented by a binary rooted tree
obtained recursively in the following way. The tree for a constant or
variable a has a as its only vertex. If the algebraic expression S is of
1
A stack or last-in rst-out (LIFO) system, is a linear list of elements in which
insertions and deletions take place only at one end, called top of the list. A queue
or rst-in rst-out (FIFO) system, is a linear list of elements in which deletions
take place only at one end, called front of the list, and insertions take place only
at the other end, called rear of the list.
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8.4. TREE TRANSVERSAL 114
the form S
L
S
R
, where S
L
and S
R
are subexpressions with trees T
L
and T
R
respectively, and is an operator, then the tree T for S consists
of as root, and the subtrees T
L
and T
R
(g. 8.13).
o
T
L
T
R
Figure 8.13. Tree of S
1
S
2
.
For instance, consider the following algebraic expression:
a +b c +d e (f +h) ,
where + denotes addition, denotes multiplication and denotes ex-
ponentiation. The binary tree for this expression is given in gure 8.14.
+
*
+
d e
f h
*
b c
+
a
Figure 8.14. Tree for a +b c +d e (f +h).
Given the binary tree of an algebraic expression, its Polish, reverse
Polish and inx representation are dierent ways of ordering the ver-
tices of the tree, namely in preorder, postorder and inorder respectively.
The following are recursive denitions of several orderings of the
vertices of a rooted tree T = (V, E) with root r. If T has only one
vertex r, then r by itself constitutes the preorder, postorder and inorder
transversal of T. Otherwise, let T
1
, . . . , T
k
the subtrees of T from left
to right (g. 8.15). Then:
1. Preorder Transversal : Pre(T) = r, Pre(T
1
), . . . , Pre(T
k
).
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8.4. TREE TRANSVERSAL 115
r
T1 T2
...
Tk
Figure 8.15. Ordering of trees.
2. Postorder Transversal : Post(T) = Post(T
1
), . . . , Post(T
k
), r.
3. Inorder Transversal. If T is a binary tree with root r, left sub-
tree T
L
and right subtree T
R
, then: In(T) = In(T
L
), r, In(T
R
).
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8.5. SPANNING TREES 116
8.5. Spanning Trees
8.5.1. Spanning Trees. A tree T is a spanning tree of a graph G
if T is a subgraph of G that contains all the vertices of G. For instance
the graph of gure 8.16 has a spanning tree represented by the thicker
edges.
b
c
d
e
f
g
h
a
i
Figure 8.16. Spanning tree.
Every connected graph has a spanning tree which can be obtained
by removing edges until the resulting graph becomes acyclic. In prac-
tice, however, removing edges is not ecient because nding cycles is
time consuming.
Next, we give two algorithms to nd the spanning tree T of a loop-
free connected undirected graph G = (V, E). We assume that the
vertices of G are given in a certain order v
1
, v
2
, . . . , v
n
. The resulting
spanning tree will be T = (V

, E

).
8.5.2. Breadth-First Search Algorithm. The idea is to start
with vertex v
1
as root, add the vertices that are adjacent to v
1
, then the
ones that are adjacent to the latter and have not been visited yet, and
so on. This algorithm uses a queue (initially empty) to store vertices
of the graph. In consists of the following:
1. Add v
1
to T, insert it in the queue and mark it as visited.
2. If the queue is empty, then we are done. Otherwise let v be the
vertex in the front of the queue.
3. For each vertex v

of G that has not been visited yet and is

adjacent to v (there might be none) taken in order of increasing
subscripts, add vertex v

and edge (v, v

) to T, insert v

in the
queue and mark it as visited.
4. Delete v from the queue.
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8.5. SPANNING TREES 117
5. Go to step 2.
A pseudocode version of the algorithm is as follows:
1: procedure bfs(V,E)
2: S := (v1) ordered list of vertices of a fix level
3: V := v1 v1 is the root of the spanning tree
4: E := no edges in the spanning tree yet
5: while true
6: begin
7: for each x in S, in order,
8: for each y in V - V
9: if (x,y) is an edge then
10: add edge (x,y) to E and vertex y to V
11: if no edges were added then
12: return T
13: S := children of S
14: end
15: end bfs
Figure 8.17 shows the spanning tree obtained using the breadth-rst
search algorithm on the graph with its vertices ordered lexicographi-
cally: a, b, c, d, e, f, g, h, i.
a
b
c
d
e
f
g
h
i
Figure 8.17. Breadth-First Search.
8.5.3. Depth-First Search Algorithm. The idea of this algo-
rithm is to make a path as long as possible, and then go back (back-
track) to add branches also as long as possible.
This algorithm uses a stack (initially empty) to store vertices of the
graph. In consists of the following:
1. Add v
1
to T, insert it in the stack and mark it as visited.
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8.5. SPANNING TREES 118
2. If the stack is empty, then we are done. Otherwise let v be the
vertex on the top of the stack.
3. If there is no vertex v

that is adjacent to v and has not been

visited yet, then delete v and go to step 2 (backtrack). Oth-
erwise, let v

be the rst non-visited vertex that is adjacent to

v.
4. Add vertex v

and edge (v, v

) to T, insert v

in the stack and

mark it as visited.
5. Go to step 2.
An alternative recursive denition is as follows. We dene recur-
sively a process P applied to a given vertex v in the following way:
1. Add vertex v to T and mark it as visited.
2. If there is no vertex v

that is adjacent to v and has not been

visited yet, then return. Otherwise, let v

be the rst non-visited

vertex that is adjacent to v.
3. Add the edge (v, v

) to T.
4. Apply P to v

.
5. Go to step 2 (backtrack).
The Depth-First Search Algorithm consists of applying the process just
dened to v
1
.
A pseudocode version of the algorithm is as follows:
1: procedure dfs(V,E)
2: V := v1 v1 is the root of the spanning tree
3: E := no edges in the spanning tree yet
4: w := v1
5: while true
6: begin
7: while there is an edge (w,v) that when added
8: to T does not create a cycle in T
9: begin
10: Choose first v such that (w,v)
11: does not create a cycle in T
12: add (w,v) to E
13: add v to V
14: w := v
15: end
16: if w = v1 then
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8.5. SPANNING TREES 119
17: return T
18: w := parent of w in T backtrack
19: end
20: end
Figure 8.18 shows the spanning tree obtained using the breadth-rst
search algorithm on the graph with its vertices ordered lexicographi-
cally: a, b, c, d, e, f, g, h, i.
a
b
c
d
e
f
g
h
i
Figure 8.18. Depth-First Search.
8.5.4. Minimal Spanning Trees. Given a connected weighted
tree G, its minimal spanning tree is a spanning tree of G such that the
sum of the weights of its edges is minimum. For instance for the graph
of gure 8.19, the spanning tree shown is the one of minimum weight.
a b
c d
e f
4
1
5
2
6
3
2
6
Figure 8.19. Minimum Spanning Tree.
Prims Algorithm. An algorithm to nd a minimal spanning tree is
Prims Algorithm. It starts with a single vertex and at each iteration
adds to the current tree a minimum weight edge that does not complete
a cycle.
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8.5. SPANNING TREES 120
The following is a pseudocode version of Prims algorithm. If (x, y)
is an edge in G = (V, E) then w(x, y) is its weight, otherwise w(x, y) =
. The starting vertex is s.
1: procedure prim(V,w,s)
2: V := s vertex set starts with s
3: E = edge set initially empty
4: for i := 1 to n-1 put n edges in spanning tree
5: begin
6: find x in V and y in V - V with minimum w(x,y)
7: add y to V
8: add (x,y) to E
9: end
10: return E
11: end prim
Prims algorithm is an example of a greedy algorithm. A greedy
algorithm is an algorithm that optimized the choice at each iteration
without regard to previous choices (doing the best locally). Prims
algorithm makes a minimum spanning tree, but in general a greedy
algorithm does not always nds an optimal solution to a given problem.
For instance in gure 8.20 a greedy algorithm to nd the shortest path
from a to z, working by adding the shortest available edge to the most
recently added vertex, would return acz, which is not the shortest path.
a
b
c
z
1
2
4
100
101
Figure 8.20
Kruskals Algorithm. Another algorithm to nd a minimal span-
ning tree in a connected weighted tree G = (V, E) is Kruskals Algo-
rithm. It starts with all n vertices of G and no edges. At each iteration
we add an edge having minimum weight that does not complete a cycle.
We stop after adding n 1 edges.
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8.5. SPANNING TREES 121
1: procedure kruskal(E,w,n)
2: V := V
3: E :=
4: while |E| < n-1
5: begin
6: among all edges not completing a cycle in T
7: choose e of minimum weight and add it to E
8: end
9: T = (V,E)
10: return T
11: end kruskal
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CHAPTER 9
Boolean Algebras
9.1. Combinatorial Circuits
9.1.1. Introduction. At their lowest level digital computers han-
dle only binary signals, represented with the symbols 0 and 1. The
most elementary circuits that combine those signals are called gates.
Figure 9.1 shows three gates: OR, AND and NOT.
x1
x2
x1
x2
x x
x1
x2
x2
OR GATE
NOT GATE
AND GATE
x1 +
Figure 9.1. Gates.
Their outputs can be expressed as a function of their inputs by the
following logic tables:
x
1
x
2
x
1
+x
2
1 1 1
1 0 1
0 1 1
0 0 0
OR GATE
122
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9.1. COMBINATORIAL CIRCUITS 123
x
1
x
2
x
1
x
2
1 1 1
1 0 0
0 1 0
0 0 0
AND GATE
x x
1 0
0 1
NOT GATE
These are examples of combinatorial circuits. A combinatorial cir-
cuit is a circuit whose output is uniquely dened by its inputs. They
do not have memory, previous inputs do not aect their outputs. Some
combinations of gates can be used to make more complicated combi-
natorial circuits. For instance gure 9.2 is combinatorial circuit with
the logic table shown below, representing the values of the Boolean
expression y = (x
1
+x
2
) x
3
.
x1
x2
y
x3
Figure 9.2. A combinatorial circuit.
x
1
x
2
x
3
y = (x
1
+x
2
) x
3
1 1 1 0
1 1 0 1
1 0 1 0
1 0 0 1
0 1 1 0
0 1 0 1
0 0 1 1
0 0 0 1
However the circuit in gure 9.3 is not a combinatorial circuit. If
x
1
= 1 and x
2
= 0 then y can be 0 or 1. Assume that at a given time
y = 0. If we input a signal x
2
= 1, the output becomes y = 1, and
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9.1. COMBINATORIAL CIRCUITS 124
stays so even after x
2
goes back to its original value 0. That way we
can store a bit. We can delete it by switching input x
1
to 0.
x2
x1
y
Figure 9.3. Not a combinatorial circuit.
9.1.2. Properties of Combinatorial Circuits. Here Z
2
= 0, 1
represents the set of signals handled by combinatorial circuits, and the
operations performed on those signals by AND, OR and NOT gates are
represented by the symbols , + and respectively. Then their prop-
erties are the following (a, b, c are elements of Z
2
, i.e., each represents
either 0 or 1):
1. Associative
(a +b) +c = a + (b +c)
(a b) c = a (b c)
2. Commutative
a +b = b +a
a b = b a
3. Distributive
a (b +c) = (a b) + (a c)
a + (b c) = (a +b) (a +c)
4. Identity
a + 0 = a
a 1 = a
5. Complement
a +a = 1
a a = 0
A system satisfying those properties is called a Boolean algebra.
Two Boolean expressions are dened to be equal is they have the
same values for all possible assignments of values to their literals. Ex-
ample: x +y = x y, as shown in the following table:
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9.1. COMBINATORIAL CIRCUITS 125
x y x +y x y
1 1 0 0
1 0 0 0
0 1 0 0
0 0 1 1
9.1.3. Abstract Boolean Algebras. Here we deal with general
Boolean algebras; combinatorial circuits are an example, but there are
others.
A Boolean algebra B = (S, , , , 0, 1) is a set S containing two
distinguished elements 0 and 1, two binary operators and on S,
and a unary operator on S, satisfying the following properties (x, y,
z are elements of S):
1. Associative
(x y) z = x (y z)
(x y) z = x (y z)
2. Commutative
x y = y x
x y = y x
3. Distributive
x (y z) = (x y) (x z)
x (y z) = (x y) (x z)
4. Identity
x 0 = x
x 1 = x
5. Complement
x x = 1
x x = 0
Example: (Z
2
, +, , , 0, 1) is a Boolean algebra.
Example: If U is a universal set and P(U)= the power set of S (col-
lection of subsets of S) then (P(U), , , , , U). is a Boolean algebra.
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9.1. COMBINATORIAL CIRCUITS 126
9.1.4. Other Properties of Boolean Algebras. The properties
mentioned above dene a Boolean algebra, but Boolean algebras also
have other properties:
1. Idempotent
x x = x
x x = x
2. Bound
x 1 = 1
x 0 = 0
3. Absorption
x xy = x
x (x y) = x
4. Involution
x = x
5. 0 and 1
0 = 1
1 = 0
6. De Morgans
x y = x y
x y = x y
For instance the rst idempotent law can be proved like this: x =
x 0 = x x x = (x x) (x x) = (x x) 1 = x x.
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9.2. BOOLEAN FUNCTIONS, APPLICATIONS 127
9.2. Boolean Functions, Applications
9.2.1. Introduction. A Boolean function is a function from Z
n
2
to Z
2
. For instance, consider the exclusive-or function, dened by the
following table:
x
1
x
2
x
1
x
2
1 1 0
1 0 1
0 1 1
0 0 0
The exclusive-or function can interpreted as a function Z
2
2
Z
2
that assigns (1, 1) 0, (1, 0) 1, (0, 1) 1, (0, 0) 0. It can also
be written as a Boolean expression in the following way:
x
1
x
2
= (x
1
x
2
) + (x
1
x
2
)
Every Boolean function can be written as a Boolean expression as
we are going to see next.
9.2.2. Disjunctive Normal Form. We start with a denition.
A minterm in the symbols x
1
, x
2
, . . . , x
n
is a Boolean expression of the
form y
1
y
2
y
n
, where each y
i
is either x
i
or x
i
.
Given any Boolean function f : Z
n
2
Z
2
that is not identically
zero, it can be represented
f(x
1
, . . . , x
n
) = m
1
+m
2
+ +m
k
,
where m
1
, m
2
, . . . , m
k
are all the minterms m
i
= y
1
y
2
y
n
such that
f(a
1
, a
2
, . . . , a
n
) = 1, where y
j
= x
j
if a
j
= 1 and y
j
= x
j
if a
j
= 0.
That representation is called disjunctive normal form of the Boolean
function f.
Example: We have seen that the exclusive-or can be represented
x
1
x
2
= (x
1
x
2
) + (x
1
x
2
). This provides a way to implement the
exclusive-or with a combinatorial circuit as shown in gure 9.4.
9.2.3. Conjunctive Normal Form. A maxterm in the symbols
x
1
, x
2
, . . . , x
n
is a Boolean expression of the form y
1
+ y
2
+ + y
n
,
where each y
i
is either x
i
or x
i
.
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9.2. BOOLEAN FUNCTIONS, APPLICATIONS 128
x1
x2
x2 x1
Figure 9.4. Exclusive-Or.
Given any Boolean function f : Z
n
2
Z
2
that is not identically
one, it can be represented
f(x
1
, . . . , x
n
) = M
1
M
2
M
k
,
where M
1
, M
2
, . . . , M
k
are all the maxterms M
i
= y
1
+ y
2
+ + y
n
such that f(a
1
, a
2
, . . . , a
n
) = 0, where y
j
= x
j
if a
j
= 0 and y
j
= x
j
if
a
j
= 1. That representation is called conjunctive normal form of the
Boolean function f.
Example: The conjunctive normal form of the exclusive-or is
x
1
x
2
= (x
1
+x
2
) (x
1
+x
2
) .
9.2.4. Functionally Complete Sets of Gates. We have seen
how to design combinatorial circuits using AND, OR and NOT gates.
Here we will see how to do the same with other kinds of gates. In the
following gates will be considered as functions from Z
n
2
into Z
2
intended
to serve as building blocks of arbitrary boolean functions.
A set of gates g
1
, g
2
, . . . , g
k
is said to be functionally complete
if for any integer n and any function f : Z
n
2
Z
2
it is possible to
construct a combinatorial circuit that computes f using only the gates
g
1
, g
2
, . . . , g
k
. Example: The result about the existence of a disjunctive
normal form for any Boolean function proves that the set of gates
AND, OR, NOT is functionally complete. Next we show other sets
of gates that are also functionally complete.
1. The set of gates AND, NOT is functionally complete. Proof:
Since we already know that AND, OR, NOT is functionally
complete, all we need to do is to show that we can compute
x +y using only AND and NOT gates. In fact:
x +y = x y ,
hence the combinatorial circuit of gure 9.5 computes x +y.
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9.2. BOOLEAN FUNCTIONS, APPLICATIONS 129
x1 x2
x2
x1
+
Figure 9.5. OR with AND and NOT.
2. The set of gates OR, NOT is functionally complete. The
proof is similar:
x y = x +y ,
hence the combinatorial circuit of gure 9.6 computes x+y.
x1
x1 x2
x2
Figure 9.6. AND with OR and NOT.
3. The gate NAND, denoted and dened as
x
1
x
2
=
_
0 if x
1
= 1 and x
2
= 1
1 otherwise,
is functionally complete.
x1
x1 x2
x2
Figure 9.7. NAND gate.
Proof: Note that x y = x y. Hence x = x x = x x, so
the NOT gate can be implemented with a NAND gate. Also the
OR gate can be implemented with NAND gates: x+y = x y =
(x x) (y y). Since the set OR, NOT is functionally
complete and each of its elements can be implemented with
NAND gates, the NAND gate is functionally complete.
9.2.5. Minimization of Combinatorial Circuits. Here we ad-
dress the problems of nding a combinatorial circuit that computes a
given Boolean function with the minimum number of gates. The idea
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9.2. BOOLEAN FUNCTIONS, APPLICATIONS 130
x y
x
x
x
y
Figure 9.8. NOT and OR functions implemented with
NAND gates.
is to simplify the corresponding Boolean expression by using algebraic
properties such as (E a) + (E a) = E and E + (E a) = E, where
E is any Boolean expression. For simplicity in the following we will
represent a b as ab, so for instance the expressions above will look like
this: Ea +Ea = E and E +Ea = E.
Example: Let F(x, y, z) the Boolean function dened by the follow-
ing table:
x y z f(x,y,z)
1 1 1 1
1 1 0 1
1 0 1 0
1 0 0 1
0 1 1 0
0 1 0 0
0 0 1 0
0 0 0 0
Its disjunctive normal form is f(x, y, z) = xyz + xyz + xyz. This
function can be implemented with the combinatorial circuit of gure
9.9.
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9.2. BOOLEAN FUNCTIONS, APPLICATIONS 131
z
y
x
.
f(x,y,z)
Figure 9.9. A circuit that computes f(x, y, z) = xyz +
xyz +xyz.
But we can do better if we simplify the expression in the following
way:
f(x, y, z) =
xy
..
xyz +xyz +xyz
= xy +xyz
= x(y +yz)
= x(y +y)(y +z)
= x(y +z) ,
which corresponds to the circuit of gure 9.10.
f(x,y,z)
. y
x
z
Figure 9.10. A simpler circuit that computes
f(x, y, z) = xyz +xyz +xyz.
9.2.6. Multi-Output Combinatorial Circuits. Example: Half-
Adder. A half-adder is a combinatorial circuit with two inputs x and
y and two outputs s and c, where s represents the sum of x and y and
c is the carry bit. Its table is as follows:
x y s c
1 1 0 1
1 0 1 0
0 1 1 0
0 0 0 0
So the sum is s = x y (exclusive-or) and the carry bit is c = x y.
Figure 9.11 shows a half-adder circuit.
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9.2. BOOLEAN FUNCTIONS, APPLICATIONS 132
y
s
c
x
Figure 9.11. Half-adder circuit.
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CHAPTER 10
Automata, Grammars and Languages
10.1. Finite State Machines
10.1.1. Finite-State Machines. Combinatorial circuits have no
memory or internal states, their output depends only on the current
values of their inputs. Finite state machines on the other hand have
internal states, so their output may depend not only on its current
inputs but also on the past history of those inputs.
A nite-state machine consists of the following:
1. A nite set of states S.
2. A nite set of input symbols I.
3. A nite set of output symbols O.
4. A next-state or transition function f : S I S.
5. An output function g : S I O.
6. An initial state S.
We represent the machine M = (S, I, O, f, g, )
Example: We describe a nite state machine with two input symbols
I = a, b and two output symbols O = 0, 1 that accepts any string
from I

and outputs as many 1s as as there are at the beginning of the

string, then it outputs only 0s. The internal states are S =
0
,
1
,
where
0
is the initial statewe interpret it as not having seeing any
b yet; then the machine will switch to
1
as soon as the rst b
arrives. The next-state and output functions are as follows:
f g
I a b a b
S

0

0

1
1 0

1

1

1
0 0
133
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10.1. FINITE STATE MACHINES 134
This nite-state machine also can be represented with the following
transition diagram:
start
GFED @ABC

0
a/1

b/0
GFED @ABC

1
a/0

b/0

The vertices of the diagram are the states. If in state an input

i causes the machine to output o and go to state

then we draw an
arrow from to

labeled i/o or i, o.
Example: The following example is similar to the previous one but
the machine outputs 1 only after a change of input symbol, otherwise
it outputs 0:
start
GFED @ABC

0
a/0
. |
|
|
|
|
|
|
|
|
b/0

B
B
B
B
B
B
B
B
B
GFED @ABC

1
a/0

b/1

GFED @ABC

2
b/0

a/1

Example: A Serial-Adder. A serial adder accepts two bits and out-

puts its sum. So the input set is I = 00, 01, 10, 11. The output
set is O = 0, 1. The set of states is S = NC, C, which stands
for no carry and carry respectively. The transition diagram is the
following:
start
ONML HIJK
NC
00/0

01/1

10/1

11/0

GFED @ABC
C
01/0
10/0
.
11/1

00/1

10.1.2. Finite-State Automata. A nite-state automaton is sim-

ilar to a nite-state machine but with no output, and with a set of states
called accepting or nal states. More specically, nite-state automa-
ton consists of:
1. A nite set of states S.
2. A nite set of input symbols I.
3. A next-state or transition function f : S I S.
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10.1. FINITE STATE MACHINES 135
4. An initial state S.
5. A subset F S of accepting or nal states.
We represent the automaton A = (S, I, f, , F). We say that an au-
tomaton accepts or recognizes a given string of input symbols if that
strings takes the automaton from the start state to a nal state.
Example: The following transition diagrams represent an automa-
ton accepting any string of as and bs ending with an a. The rst
diagram uses the same scheme as with nite-state machines, with 1
representing accept or recognize, and 0 representing not ac-
cept:
start
GFED @ABC

0
b/0
a/1

GFED @ABC

1
b/0

a/1

The second kind of diagram omits the outputs and represents the
accepting states with double circles:
start
GFED @ABC

0
b

GFED @ABC ?>=< 89:;

1
b

Two nite-state automata that accept exactly the same set of strings
are said to be equivalent. For instance the following automaton also
accepts precisely strings of as abd bs that end with an a, so it is
equivalent to the automaton shown above:
start
GFED @ABC

0
b

GFED @ABC ?>=< 89:;

1
b

a
GFED @ABC ?>=< 89:;

2
b

Example: The following automaton accepts strings of as and bs

with exactly an even number of as:
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10.1. FINITE STATE MACHINES 136
start
GFED @ABC ?>=< 89:;
E
b

GFED @ABC
O
a

Example: The following automaton accepts strings starting with

one a followed by any number of bs:
start
GFED @ABC

0
a

GFED @ABC ?>=< 89:;

1
a

GFED @ABC

2
a

Example: The following automaton accepts strings ending with aba:

start
GFED @ABC

0
a

GFED @ABC

1
b

b
GFED @ABC

2
a

b
.
GFED @ABC ?>=< 89:;

3
b

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10.2. LANGUAGES AND GRAMMARS 137
10.2. Languages and Grammars
10.2.1. Formal Languages. Consider algebraic expressions writ-
ten with the symbols A = x, y, z, +, , (, ). The following are some
of them: x + y y, y + (x y + y) x, (x + y) x + z, etc.
There are however some strings of symbols that are not legitimate al-
gebraic expressions, because they have some sort of syntax error, e.g.:
(x + y, z + +y x, x(y) + z, etc. So syntactically correct al-
gebraic expressions are a subset of the whole set A

of possible strings
over A.
In general, given a nite set A (the alphabet), a (formal) language
over A is a subset of A

(set of strings of A).

Although in principle any subset of A

is a formal language, we are

interested only in languages with certain structure. For instance: let
A = a, b. The set of strings over A with an even number of as is a
language over A.
10.2.2. Grammars. A way to determine the structure of a lan-
guage is with a grammar. In order to dene a grammar we need two
kinds of symbols: non-terminal, used to represent given subsets of the
language, and terminal, the nal symbols that occur in the strings
of the language. For instance in the example about algebraic expres-
sions mentioned above, the nal symbols are the elements of the set
A = x, y, z, +, , (, ). The non-terminal symbols can be chosen to
represent a complete algebraic expression (E), or terms (T) consisting
of product of factors (F). Then we can say that an algebraic expression
E consists of a single term
E T,
or the sum of an algebraic expression and a term
E E +T.
A term may consists of a factor or a product of a term and a factor
T F
T T F
A factor may consists of an algebraic expression between parenthesis
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10.2. LANGUAGES AND GRAMMARS 138
F (E),
or an isolated terminal symbol
F x,
F y,
F z.
Those expressions are called productions, and tell us how we can
generate syntactically correct algebraic expressions by replacing suc-
cessively the symbols on the left by the expressions on the right. For
instance the algebraic expression y +(xy +y) x can be generated
like this:
E E+T T +T F +T y +T y +T F y +F F
y+(E)F y+(E+T)F y+(T+T)F y+(TF+T)F
y +(F F +T) F y +(x T +T) F y +(x F +T) F
y + (x y +T) F y + (x y +F) T y + (x y +y) F
y + (x y +y) x .
In general a phrase-structure grammar (or simply, grammar) G
consists of
1. A nite set V of symbols called vocabulary or alphabet.
2. A subset T V of terminal symbols. The elements of N =
V T are called nonterminal symbols or nonterminals.
3. A start symbol N.
4. A nite subset P of (V

)V

called the set of productions.

We write G = (V, T, , P).
A production (A, B) P is written:
A B.
The right hand side of a production can be any combination of
terminal and nonterminal symbols. The left hand side must contain at
least one nonterminal symbol.
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10.2. LANGUAGES AND GRAMMARS 139
If is a production and xy V

, we say that xy is directly

derivable from xy, and we write
xy xy .
If we have
1

2

n
(n 0), we say that
n
is derivable
from
1
, and we write
1

n
(by convention also
1

1
.)
Given a grammar G, the language L(G) associated to this grammar
is the subset of T

consisting of all strings derivable from .

10.2.3. Backus Normal Form. The Backus Normal Form or
BNF is an alternative way to represent productions. The production
S T is written S ::= T. Productions of the form S ::= T
1
, S ::= T
2
,
. . . , S ::= T
n
, can be combined as
S ::= T
1
[ T
2
[ [ T
n
.
So, for instance, the grammar of algebraic expressions dened above
can be written in BNF as follows:
E ::= T [ E +T
T ::= F [ T F
F ::= (E) [ x [ y [ z
10.2.4. Combining Grammars. Let G
1
= (V
1
, T
1
,
1
, P
1
) and
G
2
= (V
2
, T
2
,
2
, P
2
) be two grammars, where N
1
= V
1
T
1
and N
2
=
V
2
T
2
are disjoint (rename nonterminal symbols if necessary). Let
L
1
= L(G
1
) and L
2
= L(G
2
) be the languages associated respectively
to G
1
and G
2
. Also assume that is a new symbol not in V
1
V
2
.
Then
1. Union Rule: the language union of L
1
and L
1
L
1
L
2
= [ L
1
or L
1

starts with the two productions

1
,
2
.
2. Product Rule: the language product of L
1
and L
2
L
1
L
2
= [ L
1
, L
1

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10.2. LANGUAGES AND GRAMMARS 140
where = string concatenation of and , starts with the
production

1

2
.
3. Closure Rule: the language closure of L
1
L

1
= L
0
1
L
1
1
L
2
1
. . .
were L
0
1
= and L
n
1
=
1

2
. . .
n
[
k
L
1
, k = 1, 2, . . . , n
(n = 1, 2, . . . ), starts with the two productions

1
, .
10.2.5. Types of Grammars (Chomskys Classication). Let
G be a grammar and let denote the null string.
0. G is a phrase-structure (or type 0) grammar if every production
is of the form:
,
where V

, V

.
1. G is a context-sensitive (or type 1) grammar if every production
is of the form:
A
(i.e.: we may replace A with in the context of and ), where
, V

, A N, V

.
2. G is a context-free (or type 2) grammar if every production is
of the form:
A ,
where A N, V

.
3. G is a regular (or type 3) grammar if every production is of the
form:
A a or A aB or A ,
where A, B N, a T.
A language L is context-sensitive (respectively context-free, regu-
lar) if there is a context-sensitive (respectively context-free, regular)
grammar G such that L = L(G).
The following examples show that these grammars dene dierent
kinds of languages.
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10.2. LANGUAGES AND GRAMMARS 141
Example: The following language is type 3 (regular):
L = a
n
b
m
[ n = 1, 2, 3 . . . ; m = 1, 2, 3, . . . .
A type 3 grammar for that language is the following: T = a, b,
N = , S, with start symbol , and productions:
a , aS , S bS , S b .
Example: The following language is type 2 (context-free) but not
type 3:
L = a
n
b
n
[ n = 1, 2, 3, . . . .
A type 2 grammar for that language is the following:
T = a, b, N = , with start symbol , and productions
ab , ab .
Example: The following language is type 1 (context-sensitive) but
not type 2:
L = a
n
b
n
c
n
[ n = 1, 2, 3, . . . .
A type 1 grammar for that language is the following:
T = a, b, c, N = , A, C, with start symbol , and productions
abc , aAbc ,
A abC , A aAbC ,
Cb bC , Cc cc .
There are also type 0 languages that are not type 1, but they are
harder to describe.
10.2.6. Equivalent Grammars. Two grammars G and G

are
equivalent if L(G) = L(G

).
Example: The grammar of algebraic expressions dened at the be-
ginning of the section is equivalent to the following one:
Terminal symbols = x, y, z, +, , (, ), nonterminal symbols = E, T, F, L,
with start symbol E, and productions
E T, E E +T,
T F, T T F
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10.2. LANGUAGES AND GRAMMARS 142
F (E), F L,
L x, L y, L z.
10.2.7. Context-Free Interactive Lindenmayer Grammar.
A context-free interactive Lindenmayer grammar is similar to a usual
context-free grammar with the dierence that it allows productions of
the form A B where A N T (in a context free grammar A must
be nonterminal). Its rules for deriving strings also are dierent. In a
context-free interactive Lindenmayer grammar, to derive string from
string , all symbols in must be replaced simultaneously.
Example: The von Koch Snowake. The von Koch Snowake is a
fractal curve obtained by start with a line segment and then at each
stage transforming all segments of the gure into a four segment polyg-
onal line, as shown below. The von Koch Snowake fractal is the limit
of the sequence of curves dened by that process.
Figure 10.1. Von Koch Snowake, stages 13.
Figure 10.2. Von Koch Snowake, stages 45
A way to represent an intermediate stage of the making of the
fractal is by representing it as a sequence of movements of three kinds:
d= draw a straight line (of a x length) in the current direction, r=
turn right by 60

, l= turn left by 60

. For instance we start with a

single horizontal line d, which we then transform into the polygonal
dldrrdld, then each segment is transformed into a polygonal according
to the rule d dldrrdld, so we get
dldrrdldldldrrdldrrdldrrdldldldrrdld
If we represent by D a segment that may no be nal yet, then the
sequences of commands used to build any intermediate stage of the
curve can be dened with the following grammar:
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10.2. LANGUAGES AND GRAMMARS 143
N = D, T = d, r, l, with start symbol D, and productions:
D DlDrrDlD, D d , r r , l l .
Example: The Peano curve. The Peano curve is a space lling curve,
i.e., a function f : [0, 1] [0, 1]
2
such that the range of f is the whole
square [0, 1]
2
, dened as the limit of the sequence of curves shown in
the gures below.
Figure 10.3. Peano curve, stages 14.
Each element of that sequence of curves can be described as a se-
quence of 90

arcs drawn either anticlockwise (l) or clockwise (r).

The corresponding grammar is as follows:
T = l, r, N = C, L, R, with and start symbol C, and productions
C LLLL,
L RLLLR, R RLR,
L l , R r , l l , r r .
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10.3. LANGUAGE RECOGNITION 144
10.3. Language Recognition
10.3.1. Regular Languages. Recall that a regular language is
the language associated to a regular grammar, i.e., a grammar G =
(V, T, , P) in which every production is of the form:
A a or A aB or A ,
where A, B N = V T, a T.
Regular languages over an alphabet T have the following properties
(recall that = empty string, = concatenation of and ,
n
=
concatenated with itself n times):
1. , , and a are regular languages for all a T.
2. If L
1
and L
2
are regular languages over T the following lan-
guages also are regular:
L
1
L
2
= [ L
1
or L
2

L
1
L
2
= [ L
1
, L
2

1
=
1
. . .
n
[
k
L
1
, n N ,
T

L
1
= T

[ / L
1
,
L
1
L
2
= [ L
1
and L
2
.
We justify the above claims about L
1
L
2
, L
1
L
2
and L

1
as follows.
We already know how to combine two grammars (see 10.2.4) L
1
and
L
2
to obtain L
1
L
2
, L
1
L
2
and L

1
, the only problem is that the rules
given in section 10.2.4 do no have the form of a regular grammar, so we
need to modify them slightly (we use the same notation as in section
10.2.4):
1. Union Rule: Instead of adding
1
and
2
, add all
productions of the form RHS, where RHS is the right
hand side of some production (
1
RHS) P
1
or (
2

RHS) P
2
.
2. Product Rule: Instead of adding
1

2
, use
1
as start
symbol and replace each production (A a) P
1
with A
a
2
and (A ) P
1
with A
2
.
3. Closure Rule: Instead of adding
1
and , use

1
as start symbol, add
1
, and replace each production
(A a) P
1
with A a
1
and (A ) P
1
with A
1
.
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10.3. LANGUAGE RECOGNITION 145
10.3.2. Regular Expressions. Regular languages can be charac-
terized as languages dened by regular expressions. Given an alphabet
T, a regular expression over T is dened recursively as follows:
1. , , and a are regular expressions for all a T.
2. If R and S are regular expressions over T the following expres-
sions are also regular: (R), R +S, R S, R

.
In order to use fewer parentheses we assign those operations the fol-
lowing hierarchy (from do rst to do last): , , +. We may omit the
dot: = .
Next we dene recursively the language associated to a given regular
expression:
L() = ,
L() = ,
L(a) = a for each a T,
L(R +S) = L(R) L(S) ,
L(R S) = L(R)L(S) (language product),
L(R

) = L(R)

(language closure).
So, for instance, the expression a

bb

represents all strings of the

form a
n
b
m
with n 0, m > 0, a

(b +c) is the set of strings consisting

of any number of as followed by a b or a c, a(a + b)

b is the set of
strings over a, b than start with a and end with b, etc.
Another way of characterizing regular languages is as sets of strings
recognized by nite-state automata, as we will see next. But rst we
need a generalization of the concept of nite-state automaton.
10.3.3. Nondeterministic Finite-State Automata. A nonde-
terministic nite-state automaton is a generalization of a nite-state
automaton so that at each state there might be several possible choices
for the next state instead of just one. Formally a nondeterministic
nite-state automaton consists of
1. A nite set of states S.
2. A nite set of input symbols I.
3. A next-state or transition function f : S I P(S).
4. An initial state S.
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10.3. LANGUAGE RECOGNITION 146
5. A subset F of S of accepting or nal states.
We represent the automaton A = (S, I, f, , F). We say that a nonde-
terministic nite-state automaton accepts or recognizes a given string
of input symbols if in its transition diagram there is a path from the
starting state to a nal state with its edges labeled by the symbols of
the given string. A path (which we can express as a sequence of states)
whose edges are labeled with the symbols of a string is said to represent
the given string.
Example: Consider the nondeterministic nite-state automaton de-
ned by the following transition diagram:
start
GFED @ABC

a
GFED @ABC
C
b

b
GFED @ABC ?>=< 89:;
F
This automaton recognizes precisely the strings of the form b
n
ab
m
,
n 0, m > 0. For instance the string bbabb is represented by the path
(, , , C, C, F). Since that path ends in a nal state, the string is
recognized by the automaton.
Next we will see that there is a precise relation between regular
grammars and nondeterministic nite-state automata.
Regular grammar associated to a nondeterministic nite-state au-
tomaton. Let A be a non-deterministic nite-state automaton given as
a transition diagram. Let be the initial state. Let T be the set of
inputs symbols, let N be the set of states, and V = N T. Let P be
the set of productions
S xS

if there is an edge labeled x from S to S

and
S
if S is a nal state. Let G be the regular grammar
G = (V, T, , P) .
Then the set of strings recognized by A is precisely L(G).
Example: For the nondeterministic automaton dened above the
corresponding grammar will be:
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10.3. LANGUAGE RECOGNITION 147
T = a, b, N = , C, F, with productions
b , aC , C bC , C bF , F .
The string bbabb can be produced like this:
b bb bbaC bbabC bbabbF bbabb .
Nondeterministic nite-state automaton associated to a given regu-
lar grammar. Let G = (V, T, , P) be a regular grammar. Let
I = T.
S = N F, where N = V T, and F / V .
f(S, x) = S

[ S xS

P F [ S x P.
F = F S [ S P .
Then the nondeterministic nite-state automaton A = (S, I, f, , F)
recognizes precisely the strings in L(G).
10.3.4. Relationships Between Regular Languages and Au-
tomata. In the previous section we saw that regular languages co-
incide with the languages recognized by nondeterministic nite-state
automata. Here we will see that the term nondeterministic can be
dropped, so that regular languages are precisely those recognized by
(deterministic) nite-state automata. The idea is to show that given
any nondeterministic nite-state automata it is possible to construct
an equivalent deterministic nite-state automata recognizing exactly
the same set of strings. The main result is the following:
Let A = (S, I, f, , F) be a nondeterministic nite-state automaton.
Then Ais equivalent to the nite-state automaton A

= (S

, I

, f

, F

),
where
1. S

= P(S).
2. I

= I.
3.

= .
4. F

= X S [ X F ,= .
5. f

(X, x) =
_
SX
f(S, x) , f

(, x) = .
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10.3. LANGUAGE RECOGNITION 148
Example: Find a (deterministic) nite-state automaton A

equiva-
lent to the following nondeterministic nite-state automaton A:
start
GFED @ABC

a
GFED @ABC
C
b

b
GFED @ABC ?>=< 89:;
F
Answer: The set of input symbols is the same as that of the given
automaton: I

= I = a, b. The set of states is the set of subsets of

S = , C, F, i.e.:
S

= , , C, F, , C, , F, C, F, , C, F .
The starting state is . The nal states of A

are the elements of S

containing some nal state of A:

F

= F, , F, C, F, , C, F .
Then for each element X of S

we draw an edge labeled x from X

to
_
SX
f(S, x) (and from to ):
start

GF ED
@A BC
a

GF ED
@A BC C
a

6
6
6
6
6
6
6
6
6
6
6
6
6
6
6
6
6
6
6
GF ED
@A BC
?> =<
89 :; , C, F
a

GF ED
@A BC
?> =<
89 :; , F
a

x
x
x
x
x
x
x
x
b

GFED
@ABC

b
.
GF ED
@A BC , C
a
I
I
I
I
I
I
I
I
I
b

GF ED
@A BC
?> =<
89 :; F
a

GF ED
@A BC
?> =<
89 :; C, F
a
I
I
I
I
I
I
I
I
I
I
I
b

We notice that some states are unreachable from the starting state.
After removing the unreachable states we get the following simplied
version of the nite-state automaton:
start

GF ED
@A BC
a

GF ED
@A BC C
a

GF ED
@A BC
?> =<
89 :; C, F
a

GFED
@ABC

b
_
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10.3. LANGUAGE RECOGNITION 149
So, once proved that every nondeterministic nite-state automaton
is equivalent to some deterministic nite-state automaton, we obtain
the main result of this section: A language L is regular if and only
if there exists a nite-state automaton that recognizes precisely the
strings in L.
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APPENDIX A
A.1. Ecient Computation of Powers Modulo m
We illustrate an ecient method of computing powers modulo m
with an example. Assume that we want to compute 3
547
mod 10.
First write 547 in base 2: 1000100011, hence 547 = 2
9
+ 2
5
+ 2 + 1 =
((2
4
+1) 2
4
+1) 2+1, so: 3
547
= ((3
2
4
3)
2
4
3)
2
3. Next we compute the
expression beginning with the inner parenthesis, and reducing modulo
10 at each step: 3
2
= 9 (mod 10), 3
2
2
= 9
2
= 81 = 1 (mod 10),
3
2
3
= 1
2
= 1 (mod 10), 3
2
4
= 1
2
= 1 (mod 10), 3
2
4
3 = 1 3 = 3
(mod 10), etc. At the end we nd 3
547
= 7 (mod 10).
The algorithm in pseudocode would be like this:
1: procedure pow mod(a,x,m) computes a^x mod m
2: p := 1
3: bx := binary array(x) x as a binary array
4: t := a mod m
5: for k := 1 to length(bx)
6: begin
7: p := (p * p) mod m
8: if bx[k] = 1 then
if k-th binary digit of x is 1
9: p := (p * t) mod m
10: end
11: return p
12: end pow mod
150
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A.1. EFFICIENT COMPUTATION OF POWERS MODULO M 151
The following is a program in C implementing the algorithm:
int pow(int a, int x, int m) {
int p = 1;
int y = (1 << (8 * size of(int) - 2));
a %= m;
while (!(y & x)) y >>= 1;
while (y) {
p *= p;
p %= m;
if (x & y) {
p *= a;
p %= m;
}
y >>= 1;
}
return p;
}
The following is an alternative algorithm equivalent to running
through the binary representation of the exponent from right to left
instead of left to right:
1: procedure pow mod(a,x,m) computes a^x mod m
2: p := 1
3: t := a mod m
4: while x > 0
5: begin
6: if x is odd then
7: p := (p * t) mod m
8: t := (t * t) mod m
9: x := floor(x/2)
10: end
11: return p
12: end pow mod
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A.2. MACHINES AND LANGUAGES 152
A.2. Machines and Languages
A.2.1. Turing Machines. A Turing machine is a theoretical de-
vice intended to dene rigorously the concept of algorithm. It consists
of
1. An innite tape made of a sequence of cells. Each cell may be
empty or may contain a symbol from a given alphabet.
2. A control unit containing a nite set of instructions.
3. A tape head able to read and write (or delete) symbols from the
tape.
Tape head
Tape
control
unit
Figure A.1. Turing Machine.
Each machine instruction contains the following ve parts:
1. The current machine state.
2. A tape symbol read from the current tape cell.
3. A tape symbol to write into the current tape cell.
4. A direction for the tape head to move: L = move one cell to
the left, R = move one cell to the right, S = stay in the
current cell.
5. The next machine state.
Turing machines are generalizations of nite-state automata. A
nite-state automaton is just a Turing machine whose tape head moves
always from left to right and never writes to the tape. The input of
the nite-state automaton is presented as symbols written in the tape.
In general we make the following assumptions:
1. An input is represented on the tape by placing the letters of
the strings in contiguous tape cells. All other cells contain the
blank symbol, which we may denote .
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A.2. MACHINES AND LANGUAGES 153
2. The tape is initially positioned at the leftmost cell of the input
string unless specied otherwise.
3. There is one starting state.
4. There is one halt state, which we denote by Halt.
The execution of a Turing machine stops when it enters the Halt state
or when it enters a state for which there is no valid move. The output
of the Turing machine is the contents of the tape when the machine
stops.
We say that an input string is accepted by a Turing machine if
the machine enters the Halt state. Otherwise the string is rejected.
This can happen in two ways: by entering a state other than the Halt
state from which there is no move, or by running forever (for instance
executing an innite loop).
If a Turing machine has at least two instructions with the same state
and input letter, then the machine is nondeterministic. Otherwise it is
deterministic.
Finite-State Automata. A nite-state automata can be interpreted
as a Turing machine whose tape head moves only from left to right and
never writes to the tape.
Pushdown Automata. A pushdown automaton is nite-state au-
tomaton with a stack, i.e., a storage structure in which symbols can be
put and extracted from it by two operations: push (place on the top of
the stack) and pop (take from the top of the stack)consequently the
last symbol put into the stack is the rst symbol taken out. Addition-
ally there is a third operation, nop, that leaves the stack intact. The
next state function takes into account not only the current state and
the symbol read from the input, but also the symbol at the top of the
stack. After reading the next input symbol and the symbol at the top
of the stack, the automaton executes a stack operation and goes to the
next state. Initially there is a single symbol in the stack.
Linearly Bounded Automata. A linearly bounded automaton is a
Turing machine whose tape is limited to the size of its input string
plus two boundary cells that may not be changed.
Computable Functions. Consider a Turing machine T working on
symbols from an alphabet of only one symbol A = [ (stroke). Let
f : N N the function dened so that f(n) = m means that if the
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A.2. MACHINES AND LANGUAGES 154
initial input of T consists of a string of n + 1 strokes, the output of T
is a string of m+ 1 strokes. We say that f is computed by the Turing
machine T. A computable function is a function computed by some
Turing machine. A computable function f(n) halts for a given value
of its argument n if T with input n + 1 strokes halts. A computable
function f is total if f(n) halts for every n.
An eective enumeration of a set is a listing of its elements by an
algorithm.
A.2.2. Hierarchy of Languages. Here we mention a hierarchy
of languages that includes (and extends) Chomskys classication, in
increasing order of inclusion.
1. Regular languages. They are recognized by nite-state automata.
Example: a
m
b
n
[ m, n = 1, 2, 3 . . . .
2. Deterministic context-free languages, recognized by determinis-
tic pushdown automata. Example: a
n
b
n
[ n = 1, 2, 3 . . . .
3. Context-free languages, recognized by nondeterministic push-
down automata. Example: palindromes over a, b.
4. Context-sensitive languages, languages without recognized by
linearly bounded automata. Example: a
n
b
n
c
n
[ n = 1, 2, 3 . . .
5. Unrestricted or phrase-structure grammars, recognized by Tur-
ing machines.
6. Recursively enumerable languages. A language is recursively
enumerable if there is a Turing machine that outputs all the
strings of the language. Example: a
n
[ f
n
(n) halts, where
f
0
, f
1
, f
2
, . . . is an eective enumeration of all computable func-
tions.
7. Nongramatical languages, languages that are not denable by
any grammar and cannot be recognized by Turing machines.
Example: a
n
[ f
n
is total.
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