\documentclass[12pt,reqno]{article} \usepackage[usenames]{color} \usepackage{amssymb} \usepackage{graphicx} \usepackage{amscd} \usepackage[colorlinks=true, linkcolor=webgreen, filecolor=webbrown, citecolor=webgreen]{hyperref} \definecolor{webgreen}{rgb}{0,.5,0} \definecolor{webbrown}{rgb}{.6,0,0} \usepackage{color} \usepackage{fullpage} \usepackage{float} \usepackage{psfig} \usepackage{graphics,amsmath,amssymb} \usepackage{amsthm} \usepackage{amsfonts} \usepackage{latexsym} \usepackage{epsf} \usepackage{graphicx,amsthm,epsfig} \usepackage{epstopdf} \newtheorem{defn}{Definition} \newtheorem{thm}{Theorem} \newtheorem*{lem}{Lemma} \newcommand {\Z}{\mathbb{Z}} \newcommand {\I}{\mathcal{I}} \newcommand {\R}{\mathcal{R}} \newcommand {\pred}{\mbox{pred}} \newcommand {\suc}{\mbox{succ}} \setlength{\textwidth}{6.5in} \setlength{\oddsidemargin}{.1in} \setlength{\evensidemargin}{.1in} \setlength{\topmargin}{-.5in} \setlength{\textheight}{8.9in} \newcommand{\seqnum}[1]{\href{http://www.research.att.com/cgi-bin/access.cgi/as/~njas/sequences/eisA.cgi?Anum=#1}{\underline{#1}}} \begin{document} \begin{center} \epsfxsize=4in \leavevmode\epsffile{logo129.eps} \end{center} \begin{center} \vskip 1cm{\LARGE\bf Semiorders and Riordan Numbers } \vskip 1cm \large Barry Balof and Jacob Menashe\\ Department of Mathematics \\ Whitman College \\ Walla Walla, WA 99362\\ USA \\ \href{mailto:balofba@whitman.edu}{\tt balofba@whitman.edu}\\ \href{mailto:menashjv@whitman.edu}{\tt menashjv@whitman.edu} \\ \end{center} \vskip .2 in \begin{abstract} In this paper, we define a class of semiorders (or unit interval orders) that arose in the context of polyhedral combinatorics. In the first section of the paper, we will present a pure counting argument equating the number of these interesting (connected and irredundant) semiorders on $n+1$ elements with the $n$th Riordan number. In the second section, we will make explicit the relationship between the interesting semiorders and a special class of Motzkin paths, namely, those Motzkin paths without horizontal steps of height 0, which are known to be counted by the Riordan numbers. \end{abstract} \newtheorem{theorem}{Theorem} \newtheorem{corollary}[theorem]{Corollary} \newtheorem{lemma}[theorem]{Lemma} \newtheorem{proposition}[theorem]{Proposition} \newtheorem{conjecture}[theorem]{Conjecture} \section{Counting Interesting Semiorders} We begin with some basic definitions. \begin{defn} A partially ordered set $(X, \prec)$ is a {\em semiorder} if it satisfies the following two properties for any $a, b, c, d\in X$. \begin{itemize} \item If $a \prec b$ and $c\prec d$, $a \prec d$ or $c\prec b$. \item If $a \prec b \prec c$, then $d\prec c$ or $a \prec d$. \end{itemize} \end{defn} Semiorders are also known as {\em unit interval orders} in the literature. This name comes from the fact that each element $x\in X$ can be identified with an interval on the real line. All intervals are the same length, and two intervals intersect if and only if their corresponding elements are incomparable. If the intervals for $a$ and $b$ do not intersect, and the interval for $a$ lies to the left of the interval for $b$, then $a\prec b$. We may assume without loss of generality that the intervals in our representation have different endpoints. We define the predecessor ($\pred$) and successor ($\suc$) sets intuitively: $\pred(x)=\{a\in X \; | a \prec x\}$ and $\suc(x)=\{a\in X \; | x \prec a\}$. For a semiorder, the predecessor and successor sets are weakly ordered (for different elements $x$ and $y$, either $\pred(x)\subseteq \pred(y)$, $\pred(y)\subseteq \pred(x)$, or both, with the same criterion for successor sets). These impose two weak orderings on the set $X$, and their intersection is a weak order known as the {\em trace}. A semiorder is {\em interesting} if it satisfies the following two properties. \begin{itemize} \item ({\em Connectedness}) Each element is incomparable with its immediate predecessors in the trace. \item ({\em Irredundancy}) No two elements have both the same predecessor sets and the same successor sets. \end{itemize} We use $\I_n$ to denote the set of all interesting semiorders on $n$ elements. The criterion of connectedness guarantees that the semiorder is represented by a topologically connected set of distinct intervals on the real line. The criterion of irredundancy guarantees that the semiorder has a linear order as its trace (i.e., no two elements are incomparable in the trace). These criteria came about from the study of the polyhedral set of all representations of a semiorder. This polyhedron has one dimension for each element of the semiorder, save for the smallest element in the trace, and one dimension for the length of the intervals (which we denote the $r$-value). The connectedness criterion guarantees that the polyhedron is bounded along each hyperplane corresponding to a fixed $r$ value (that is, if the interval length is bounded, then so is any numeric representation of the semiorder). The irredundancy criterion guarantees that each dimension will take on a different set of values for the polyhedron (that is, no two elements may be represented by the same interval in any representation of the semiorder). Though the motivation comes from the study of this polyhedron, the remainder of the paper will focus on the properties of the semiorders and an exploration of the following theorem. \begin{thm} The number of interesting semiorders on $n+1$ elements is the $n$th Riordan number, $r_n$. That is, $|\I_n|=r_n$. \label{countbij} \end{thm} The Riordan numbers (1,0,1,1,3,6,15,36,91,...) are found at \cite{Slo} (A005043) and explored in depth by Bernhart in \cite{Ber}. This theorem is an order-theoretic analog of a graph-theoretic result of Hanlon \cite{Han}. We prove the result by showing that the number of interesting semiorders on $n+1$ elements, which we will denote $\rho_n$, satisfies the same recurrence relation as do the Riordan numbers, namely that $$c_{n}=\sum_{k=0}^n {n\choose k} \rho_k \qquad \textrm{with} \qquad \rho_0=1$$ where $c_n=\frac{1}{n+1}{2n\choose n}$ is the $n$th Catalan number (sequence [A000108]). The above recurrence for the Riordan numbers was proven in detail by Chen et. al. in \cite{Chen}. \begin{proof} We first check that the base case holds, namely that there is 1 interesting semiorder on 1 element ($\rho_0=1$), which is the only semiorder on one element. A semiorder on $n+1$ elements can be represented by an $n+1$ by $n+1$ 0-1 matrix, $A$, with the rows and columns labeled by the semiorder elements. The entry $A_{i,j}$ is 1 if element $i$ is above element $j$ in the semiorder, and 0 otherwise. If the labels on the rows and columns are in accordance with the trace, then the matrix will be in echelon form with each row beginning with a string of zeroes and ending with a (possibly empty) string of ones. The set of leading ones in each row will form a `staircase' pattern, as in Figure \ref{Fig:motzkin_example}. We can move along the steps to obtain a path from the upper right to the lower left corner of the matrix. Since this path never goes below the diagonal, we have as many semiorders on $n$ elements as we do lattice paths from $(0,0)$ to $(n+1,n+1)$ that don't go below the line $y=x$, the number of which is well known to be the $n+1$st Catalan number, $c_{n+1}$. If we restrict our attention to connected semiorders, the matrix has no non-zero entries in the sup-diagonal ($a_{i,i+1}$) or below. Hence, the lattice paths in question can be viewed as going from $(1,0)$ to $(n,n+1)$ without crossing the line $y=x+1$, which are just counted by the $n$th Catalan number, $c_n$. Suppose that there are $\rho_k$ interesting semiorders on $k+1$ elements, and take an arbitrary connected semiorder on $n+1$ elements. Either it is irredundant, or for some pairs of elements $x_i$ and $x_{i+1}$ which are adjacent in the trace, $x_i$ and $x_{i+1}$ have the same predecessor sets and successor sets. There are $n$ such adjacent pairs which might be `the same' in this way. For each pair that is the same, iteratively replace them with a single element. If there are $n-k$ such pairs the same, then what results is an interesting semiorder on $n+1-(n-k)=k+1$ elements. There are $\rho_k$ interesting semiorders on $k+1$ elements, and hence there are ${n \choose n-k}\rho_k={n \choose k}\rho_k$ orders on $n+1$ elements which reduce to an interesting semiorder on $k+1$ elements. Summing over all possible values of $k$ gives the desired recursion. Therefore $\rho_n=r_n$, the $n$th Riordan number. \end{proof} \section{Semiorder/Motzkin Path Bijection} It is known that the Riordan numbers count the number of Motzkin paths without horizontal steps of height zero. In the remainder of the paper, we make explicit a bijection between semiorders and these Motzkin paths. We begin with some more terminology about semiorders, and we follow definitions similar to those of Pirlot \cite{Pi} for two other relations on the elements of a semiorder, nose relations and hollow relations. \subsection{Definitions and Terminology} In terms of the matrix $A$, we have that $aNb$ if $A_{ab}=1$, and changing that 1 to a 0 leaves a staircase matrix pattern. We have that $cHd$ if $A_{cd}=0$, and changing that 0 to a 1 leaves a staircase matrix pattern. We make another definition in terms of predecessor and successor sets. \begin{defn} The relations $N$ and $H$ are defined as follows, with $x_j \prec_T x_i$ \begin{itemize} \item $x_i N x_j$ if $x_j \in \pred(x_i)$, $x_{j+1} \not\in \pred(x_i)$, and $x_{j}\not\in \pred(x_{i-1})$ \item $x_i H x_j$ if $x_j \not \in \textrm{pred}(x_i)$, $x_{j-1} \in \textrm{pred}(x_i)$, and $x_{j} \in \textrm{pred}(x_{i+1})$ {\footnote{The definition given here is the inverse of the relation defined in \cite{Pi}, but we use this for the ease in discussing the bijection in the remainder}} \end{itemize} \end{defn} As shown in \cite{Pi}, and in explicit detail in \cite{Pi2}, the semiorder can be reconstructed in its entirety by its nose and hollow relations. We also say that $x_i$ {\em noses} $x_j$ if $x_iNx_j$, and similarly, $x_i$ {\em hollows} $x_j$ if $x_iHx_j$. \begin{defn} A {\bf Motzkin path} of order $n>0$ is a walk from the point $(0,0)$ to the point $(n,0)$ along integer lattice points, none of which lie below the $x$-axis, consisting of three types of steps. \begin{itemize} \item {\bf Up-steps} from a point $(i, j)$ to $(i+1, j+1)$ \item {\bf Horizontal steps} from a point $(i,j)$ to a point $(i+1, j)$ \item {\bf Down-steps} from a point $(i,j)$ to a point $(i+1, j-1)$. \end{itemize} We denote by $P_i$ the point on the path with $x$-coordinate $i$ $(0\leq i \leq n)$ . \end{defn} Motzkin paths are a generalization of the classic Catalan paths. The Catalan paths are often viewed as going from (0,0) to $(k,k)$, and consisting of $k$ horizontal and $k$ vertical steps (that stay above the `baseline' $y=x$). By rotating 45$^\circ$ and using the described up-steps and down-steps, a Catalan path can be viewed as going from $(0,0)$ to $(2k, 0)$ (and staying above the `baseline' $y=0$). The primary difference between Catalan and Motzkin paths is that Motzkin paths allow for horizontal steps. As such, we can construct such paths from $(0,0)$ to $(n,0)$ for $n$ even or odd. We further narrow our focus to the set of paths that will correspond to our set of semiorders. \begin{defn} A {\em{\bf Riordan path}} of order $n$ is a Motzkin path of order $n$ in which no horizontal steps occur on the horizontal axis of the plane. We will denote the set of Riordan paths of order $n$ by $\mathcal{R}_n$. \end{defn} We will make an explicit bijection between these Riordan paths and the set of interesting semiorders. We begin by closely examining the Riordan paths. \begin{defn}\label{Def:pttype} Let $P_i$ represent the $i$th point in a Riordan path of order n, where $11$. The \bf reverse \it of $M$, denoted $M^r$, is the ordered set of points $Q_n,Q_{n-1},\ldots,Q_1$ with the following property: the steps of $M^r$ are defined by $(Q_{k-1},Q_k)=(P_{n-k+2},P_{n-k+1})$ and $(Q_{k},Q_{k+1})=(P_{n-k},P_{n-k+1})$. Equivalently, if $P_{n-k+1}$ is a positive (negative) soft peak or dip, then $Q_k$ is a negative (positive) soft peak or dip. Similarly, if $P_{n-k+1}$ is positive (negative) slope, then $Q_k$ is a negative (positive) slope. Finally, if $P_{n-k+1}$ is either a hard peak, a hard dip, or a level point, $Q_k$ is the same type of point. Note that this results in $M^r$ appearing graphically as the mirror image of $M$. We will furthermore let $I^r$ denote the \bf reverse \it of a semiorder $I$, which we will define as being equivalent to its dual; that is, $I^r=I^{\partial}$ for any $I\in\I_n$, as defined in \cite{daveypriestley}. \end{defn} \subsection{Construction of the Bijection} We will now define a mapping $F_n:\mathcal{I}_n\rightarrow \mathcal{R}_n$. Our bijection uses the nose and hollow relations on the elements of the semiorder to explicitly construct a Riordan path. We prove the bijectiveness of the mapping inductively, using our operations to construct larger semiorders from smaller ones. Let $I\in\mathcal{I}_n$, and let $x_i$ denote the $i$th element of $I$ where $12$. If $F_n:\mathcal{I}_n\rightarrow \mathcal{R}_n$ is onto, then $F_n$ is a bijection. \end{thm} \begin{figure}[htbp] \centering \epsfig{file=motzkin_example.eps, scale=.6} \caption{An example of an interesting semiorder $I$, given in matrix and interval representations, and its corresponding path.} \label{Fig:motzkin_example} \end{figure} \begin{defn} Let $x_i$ be the $i$th element in the trace of an interesting semiorder $I\in\I_n$. \begin{itemize} \item We say that $x_i$ \bf initiates \it a nose (hollow) if there exists an element $b\in I$ such that $x_iNb$ ($x_iHb$) and no element $a\in I$ such that $aNx_i$ ($aHx_i$). \item We say that $x_i$ \bf terminates \it a nose (hollow) if there exists an element $a\in I$ such that $aNx_i$ ($aHx_i$) and no element $b\in I$ such that $x_iNb$ ($x_iHb$). \item We say that $x_i$ \bf continues \it a nose (hollow) if there exist elements $a,b\in I$ such that $aNx_i$ ($aHx_i$) and $x_iNb$ ($x_iHb$). \end{itemize} \end{defn} Given that $I$ is an interesting semiorder, we see that there are {\em a priori} 16 types of elements in our semiorder (Each point may be the starting and/or ending point of a nose and/or a hollow, or not), yet we've claimed there are only nine types of elements. We now show that there are no other possible cases for the element $x_i$ given that $I$ is an interesting semiorder. The following theorem provides a set of restrictions on $x_i$ that follow from the properties of $I$. \begin{thm} Let $I$ be a semiorder of order $n$ and let $x_i$ be the $i$th element of $I$. If $I$ is interesting, then $x_i$ has the following properties: \begin{itemize} \item[(i)] If $x_i$ initiates a hollow, then $x_i$ does not terminate a nose. \item[(ii)] If $x_i$ terminates a hollow, then $x_i$ does not initiate a nose. \item[(iii)] $x_i$ shares a nose/hollow relationship with at least two distinct elements $a,b\in I$. \end{itemize} \end{thm} \begin{proof} Let $I\in\I_n$ and let $x_i$ be the $i$th element of $I$. \begin{itemize} \item[Case i:] Suppose $x_i$ initiates a hollow. Thus we have that no element hollows $x_i$, which implies that $\suc(x_i)=\suc(x_{i+1})$. Now suppose $x_i$ terminates a nose, implying that $x_i$ does not nose any element of $I$. Thus we have that $\pred(x_i)=\pred(x_{i+1})$. We have therefore shown that $x_i$ and $x_{i+1}$ are redundant elements, a contradiction. We conclude that $x_i$ does not terminate a nose. \item[Case ii:] Suppose $x_i$ terminates a hollow. Thus we have that $x_i$ hollows no element of $I$, which implies that $\pred(x_i)=\pred(x_{i-1})$. Now suppose $x_i$ initiates a nose, implying that no element of $I$ noses $x_i$. Thus we have that $\suc(x_i)=\suc(x_{i-1})$. Again, this shows redundancy between elements $x_i$ and $x_{i-1}$, contradicting the fact that $I$ is interesting. We conclude that $x_i$ does not initiate a nose. \item[Case iii:] This case follows directly from the arguments in the previous cases. \end{itemize} \end{proof} The following theorems will provide the necessary procedures for building interesting semiorders from those of smaller order based on the differences between their corresponding Riordan paths. Given two Riordan paths of orders $m$ and $n$, respectively, we may use the machinery provided in Theorem \ref{Thm:split} to ``glue" these two Riordan paths together at the ends, as well as construct the semiorder associated with our result. Theorem \ref{Thm:mirror} will allow us to take the mirror image of a Riordan path and find its associated semiorder, based on the semiorder of the original. Using Theorem \ref{Thm:mirror} in conjunction with the different cases of Theorem \ref{Thm:horiz} we will be able to take any Riordan path and add a horizontal step anywhere above the axis, and find the semiorder associated with our result. Finally, Theorem \ref{Thm:upsteps} will allow us to add an up-step and a down-step to the beginning and end of a Riordan path (respectively) and, again, generate the corresponding semiorder By generating semiorders from paths of smaller order, we will be able to prove inductively that $F_n$ is onto for all $n>2$. \begin{thm}\label{Thm:split} If two Riordan paths $M_m\in\R_m,M_n\in\R_n$ have preimages under $F_m$ and $F_n$, respectively, the Riordan path $M_m+M_n$ has a preimage under $F_{m+n-1}$. \end{thm} \begin{proof} Let $M_m$ and $M_n$ be the images of two interesting semiorders $I_m$, $I_n$ under $F_m$, $F_n$, respectively. We will now construct a semiorder $I\in\I_{m+n-1}$ and show that its image under $F_{m+n-1}$ is $M_m+M_n$ by constructing its incidence matrix, which we will denote $ A$. We will denote the incidence matrices of $I_m$ and $I_n$ as $B,C$, respectively. Let $x_m$ denote the last element in the trace of $I_m$ and let $y_1$ denote the first element in the trace of $I_n$. In adding our two Riordan paths together we are essentially combining the points $x_m$ and $y_1$ into one, with their corresponding element in $I$ being denoted $x$. Since $I_m$ and $I_n$ are interesting semiorders, let $\alpha Hx_m$ and $x_m N\beta$, where $\alpha$ is the $p$th element in the trace of $I_m$ and $\beta$ is the $q$th element in the trace of $I_n$. We have the entries of $ A$ as follows: $$ A_{i,j} = \left\{ \begin{array}{ll} B_{(i,j)}, &\mbox{ if } i
m,j\geq m;\\
0,&\mbox{ if } i>m,j