Advanced Counting

Techniques
Chapter 8

With Question/Answer
Animations

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Chapter Summary
Applications of Recurrence Relations
Solving Linear Recurrence Relations
Homogeneous Recurrence Relations
Nonhomogeneous Recurrence Relations
Divide-and-Conquer Algorithms and
Recurrence Relations
Generating Functions
Inclusion-Exclusion
Applications of Inclusion-Exclusion
 Applications of
Recurrence Relations
Section 8.1
Section Summary
Applications of Recurrence Relations
Fibonacci Numbers
The Tower of Hanoi
Counting Problems
Algorithms and Recurrence Relations (not
currently included in overheads)
Recurrence Relations
(recalling definitions from Chapter 2)
Definition: A recurrence relation for the sequence
{an} is an equation that expresses an in terms of
one or more of the previous terms of the
sequence, namely, a0, a1, …, an-1, for all integers n
with n ≥ n0, where n0 is a nonnegative integer.
A sequence is called a solution of a recurrence
relation if its terms satisfy the recurrence
relation.
The initial conditions for a sequence specify the
terms that precede the first term where the
recurrence relation takes effect.
Rabbits and the Fiobonacci Numbers
Example: A young pair of rabbits (one of each

does not breed until they are 2 months old. After

gender) is placed on an island. A pair of rabbits

they are 2 months old, each pair of rabbits

produces another pair each month. Find a
recurrence relation for the number of pairs of
rabbits on the island after n months, assuming
that rabbits never die.

This is the original problem considered by

Leonardo Pisano (Fibonacci) in the thirteenth
century.
Rabbits and the Fiobonacci Numbers
(cont.)

Modeling the Population Growth of Rabbits on an

Island
Rabbits and the Fibonacci Numbers (cont.)
Solution: Let fn be the the number of pairs of rabbits after n months.
 There are is f1 = 1 pairs of rabbits on the island at the end of the
first month.
 We also have f2 = 1 because the pair does not breed during the first
month.
 To find the number of pairs on the island after n months, add the
number on the island after the previous month, fn-1, and the
number of newborn pairs, which equals fn-2, because each newborn
pair comes from a pair at least two months old.

fn = fn-1 + fn-2 for n ≥ 3 with the initial conditions f1 = 1 and f2

Consequently the sequence {fn } satisfies the recurrence relation

= 1.
The number of pairs of rabbits on the island after n months is given by
the nth Fibonacci number.
The Tower of Hanoi
mathematician Édouard Lucas invented a puzzle
In the late nineteenth century, the French

consisting of three pegs on a board with disks of

different sizes. Initially all of the disks are on the
first peg in order of size, with the largest on the
bottom.
Rules: You are allowed to move the disks
one at a time from one peg to another as
long as a larger disk is never placed on a
smaller.
Goal: Using allowable moves, end up with
all the disks on the second peg in order of
size with largest on the bottom.
The Tower of Hanoi (continued)

The Initial Position in the Tower of Hanoi

Puzzle
The Tower of Hanoi (continued)
Solution: Let {Hn} denote the number of moves needed to solve the Tower of Hanoi

n disks on peg 1. We can transfer the top n −1 disks, following the rules of the puzzle,
Puzzle with n disks. Set up a recurrence relation for the sequence {Hn}. Begin with

to peg 3 using Hn−1 moves.

First, we use 1 move to transfer the largest disk to the second peg. Then we
transfer the n −1 disks from peg 3 to peg 2 using Hn−1 additional moves. This can not

Hn = 2Hn−1 + 1.
be done in fewer steps. Hence,

The initial condition is H1= 1 since a single disk can be transferred from peg 1 to peg
2 in one move.
The Tower of Hanoi (continued)
 We can use an iterative approach to solve this recurrence relation by repeatedly
expressing Hn in terms of the previous terms of the sequence.
Hn = 2Hn−1 + 1
= 2(2Hn−2 + 1) + 1 = 22 Hn−2 +2 + 1
= 22(2Hn−3 + 1) + 2 + 1 = 23 Hn−3 +22 + 2 + 1
⋮
= 2n-1H1 + 2n−2 + 2n−3 + …. + 2 + 1
= 2n−1 + 2n−2 + 2n−3 + …. + 2 + 1 because H1= 1
= 2n − 1 using the formula for the sum of the terms of a geometric series
 There was a myth created with the puzzle. Monks in a tower in Hanoi are
transferring 64 gold disks from one peg to another following the rules of the
puzzle. They move one disk each day. When the puzzle is finished, the world will

 Using this formula for the 64 gold disks of the myth,

end.

264 −1 = 18,446, 744,073, 709,551,615

 Reve’s puzzle (proposed in 1907 by Henry Dudeney) is similar but has 4 pegs.
days are needed to solve the puzzle, which is more than 500 billion years.

moves needed to solve this puzzle. (see Exercises 38-45)

There is a well-known unsettled conjecture for the the minimum number of
Counting Bit Strings
Example 3: Find a recurrence relation and give initial conditions for the number of bit strings of
length n without two consecutive 0s. How many such bit strings are there of length five?
Solution: Let an denote the number of bit strings of length n without two consecutive 0s. To

two consecutive 0s is the number of bit strings ending with a 0 plus the number of such bit strings
obtain a recurrence relation for {an } note that the number of bit strings of length n that do not have

ending with a 1.

Now assume that n ≥ 3.

The bit strings of length n ending with 1 without two consecutive 0s are the bit strings of length n −1
with no two consecutive 0s with a 1 at the end. Hence, there are an−1 such bit strings.


 The bit strings of length n ending with 0 without two consecutive 0s are the bit strings of length n −2
with no two consecutive 0s with 10 at the end. Hence, there are an−2 such bit strings.
We conclude that an = an−1 + an−2 for n ≥ 3.
Bit Strings (continued)
The initial conditions are:
 a1 = 2, since both the bit strings 0 and 1 do not have consecutive 0s.
 a2 = 3, since the bit strings 01, 10, and 11 do not have consecutive 0s, while 00 does.

To obtain a5 , we use the recurrence relation three times to find that:

 a3 = a2 + a1 = 3 + 2 = 5
 a4 = a3 + a2 = 5+ 3 = 8
 a5 = a4 + a3 = 8+ 5 = 13

the Fibonacci sequence. Since a1 = f3 and a2 = f4 , we

Note that {an } satisfies the same recurrence relation as

conclude that an = fn+2 .

Counting the Ways to Parenthesize a
Product
Example: Find a recurrence relation for Cn , the number of ways to parenthesize the product of
n + 1 numbers, x0 ∙ x1 ∙ x2 ∙ ⋯ ∙ xn, to specify the order of multiplication.
For example, C3 = 5, since all the possible ways to parenthesize 4 numbers are

((x0 ∙ x1 )∙ x2 )∙ x3 , (x0 ∙ (x1 ∙ x2 ))∙ x3 , (x0 ∙ x1 )∙ (x2 ∙ x3 ), x0 ∙ (( x1 ∙ x2 ) ∙ x3 ), x0 ∙ ( x1 ∙ ( x2 ∙ x3 ))

Solution: Note that however parentheses are inserted in x0 ∙ x1 ∙ x2 ∙ ⋯ ∙ xn, one “∙” operator remains outside all
parentheses. This final operator appears between two of the n + 1 numbers, say xk and xk+1. Since there are Ck
ways to insert parentheses in the product x0 ∙ x1 ∙ x2 ∙ ⋯ ∙ xk and Cn−k−1 ways to insert parentheses in the
product xk+1 ∙ xk+2 ∙ ⋯ ∙ xn, we have

The initial conditions are C0 = 1 and C1 = 1.

The sequence {Cn } is the sequence of Catalan

Numbers. This recurrence relation can be

see Exercise 41 in Section 8.4.

solved using the method of generating functions;
Solving Linear Recurrence
Relations
Section 8.2
Section Summary
Linear Homogeneous Recurrence Relations
Solving Linear Homogeneous Recurrence
Relations with Constant Coefficients.
Solving Linear Nonhomogeneous Recurrence
Relations with Constant Coefficients.
Linear Homogeneous Recurrence Relations
Definition: A linear homogeneous recurrence
relation of degree k with constant coefficients is a
recurrence relation of the form an = c1an−1 + c2an−2
+ ….. + ck an−k , where c1, c2, ….,ck are
real numbers, and ck ≠ 0
• it is linear because the right-hand side is a sum of the previous terms of the
sequence each multiplied by a function of n.
• it is homogeneous because no terms occur that are not multiples of the ajs.
Each coefficient is a constant.
• the degree is k because an is expressed in terms of the previous k terms of
the sequence.

By strong induction, a sequence satisfying such a recurrence relation is

uniquely determined by the recurrence relation and the k initial conditions a0
= C1, a0 = C1 ,… , ak−1 = Ck−1.
Examples of Linear Homogeneous
Recurrence Relations
Pn = (1.11)Pn-1 linear homogeneous
recurrence relation of degree one
 fn = fn-1 + fn-2 linear homogeneous
recurrence relation of degree two
 not linear
Hn = 2Hn−1 + 1 not homogeneous
Bn = nBn−1 coefficients are not constants
Solving Linear Homogeneous Recurrence
Relations
 The basic approach is to look for solutions of the form
an = rn, where r is a constant.

an = c1an−1 + c2an−2 + ⋯ + ck an−k if and only if

 Note that an = rn is a solution to the recurrence relation

rn = c1rn−1 + c2rn−2 + ⋯ + ck rn−k .

rk − c1rk−1 − c2rk−2 − ⋯ − ck−1r − ck = 0

 Algebraic manipulation yields the characteristic equation:

 The sequence {an} with an = rn is a solution if and only if r is a

solution to the characteristic equation.
 The solutions to the characteristic equation are called the
characteristic roots of the recurrence relation. The roots are used
to give an explicit formula for all the solutions of the recurrence
relation.
Solving Linear Homogeneous Recurrence
Relations of Degree Two
Theorem 1: Let c1 and c2 be real numbers.
Suppose that r2 – c1r – c2 = 0 has two distinct
roots r1 and r2. Then the sequence {an} is a
solution to the recurrence relation an =
c1an−1 + c2an−2 if and only if

for n = 0,1,2,… , where α1 and α2 are

constants.
Using Theorem 1
Example: What is the solution to the recurrence relation

an = an−1 + 2an−2 with a0 = 2 and a1 = 7?

Solution: The characteristic equation is r2 − r − 2 = 0.

Its roots are r = 2 and r = −1 . Therefore, {an} is a solution to the recurrence relation if

only if an = α12n + α2(−1)n, for some constants α1 and α2.

and

To find the constants α1 and α2, note that

a0 = 2 = α1 + α2 and a1 = 7 = α12 + α2(−1).

Solving these equations, we find that α1 = 3 and α2 = −1.

Hence, the solution is the sequence {an} with an = 3∙2n − (−1)n.

An Explicit Formula for the Fibonacci Numbers
We can use Theorem 1 to find an explicit formula for
the Fibonacci numbers. The sequence of Fibonacci
numbers satisfies the recurrence relation fn = fn−1
+ fn−2 with the initial conditions: f0 = 0 and f1 = 1.

r2 – r – 1 = 0 are
Solution: The roots of the characteristic equation
Fibonacci Numbers (continued)
Therefore by Theorem 1

for some constants α1 and α2.

Using the initial conditions f0 = 0 and f1 =
1 , we have
.

Solving, we obtain .
Hence,
The Solution when there is a Repeated Root
Theorem 2: Let c1 and c2 be real numbers
with c2 ≠ 0. Suppose that r2 – c1r – c2 = 0 has
one repeated root r0. Then the sequence {an}
is a solution to the recurrence relation an =
c1an−1 + c2an−2 if and only if

for n = 0,1,2,… , where α1 and α2 are

constants.
Using Theorem 2
an = 6an−1 − 9an−2 with a0 = 1 and a1 = 6?
Example: What is the solution to the recurrence relation

Solution: The characteristic equation is r2 − 6r + 9 = 0.

The only root is r = 3. Therefore, {an} is a solution to the recurrence relation if

an = α13n + α2n(3)n
and only if

where α1 and α2 are constants.

To find the constants α1 and α2, note that

a 0 = 1 = α1 and a1 = 6 = α1 ∙ 3 + α2 ∙3.

Solving, we find that α1 = 1 and α2 = 1 .

an = 3n + n3n .
Hence,
Solving Linear Homogeneous Recurrence
Relations of Arbitrary Degree
This theorem can be used to solve linear homogeneous
recurrence relations with constant coefficients of any degree
when the characteristic equation has distinct roots.

Theorem 3: Let c1, c2 ,…, ck be real numbers. Suppose that the

rk – c1rk−1 –⋯ – ck = 0
characteristic equation

has k distinct roots r1, r2, …, rk. Then a sequence {an} is a

solution of the recurrence relation
an = c1an−1 + c2an−2 + ….. + ck an−k
if and only if

for n = 0, 1, 2, …, where α1, α2,…, αk are constants.

The General Case with Repeated Roots Allowed
Theorem 4: Let c1, c2 ,…, ck be real numbers. Suppose that the

rk – c1rk−1 –⋯ – ck = 0
characteristic equation

has t distinct roots r1, r2, …, rt with multiplicities m1, m2, …, mt, respectively
so that mi ≥ 1 for i = 0, 1, 2, …,t and m1 + m2 + … + mt = k. Then a sequence
{an} is a solution of the recurrence relation
an = c1an−1 + c2an−2 + ….. + ck an−k
if and only if

for n = 0, 1, 2, …, where αi,j are constants for 1≤ i ≤ t and 0≤ j ≤

mi−1.
Linear Nonhomogeneous Recurrence
Relations with Constant Coefficients
Definition: A linear nonhomogeneous
recurrence relation with constant coefficients is a
recurrence relation of the form:
an = c1an−1 + c2an−2 + ….. + ck an−k + F(n) ,
where c1, c2, ….,ck are real numbers, and F(n) is a
function not identically zero depending only on n.
The recurrence relation
an = c1an−1 + c2an−2 + ….. + ck an−k ,
is called the associated homogeneous recurrence
relation.
Linear Nonhomogeneous Recurrence
Relations with Constant Coefficients (cont.)
The following are linear nonhomogeneous recurrence

an = a n− 1 + 2 n ,
relations with constant coefficients:

an = an−1 + an−2 + n2 + n + 1,
an = 3an−1 + n3n ,
an = an−1 + an−2 + an−3 + n!
where the following are the associated linear homogeneous
recurrence relations, respectively:
an = a n− 1 ,
an = an−1 + an−2,
an = 3an−1 ,
an = a n− 1 + a n− 2 + a n− 3
Solving Linear Nonhomogeneous Recurrence Relations
with Constant Coefficients
Theorem 5: If {an(p)} is a particular solution
of the nonhomogeneous linear recurrence

an = c1an−1 + c2an−2 + ⋯ + ck an−k + F(n) ,

relation with constant coefficients

then every solution is of the form {an(p) +

an(h)}, where {an(h)} is a solution of the

an = c1an−1 + c2an−2 + ⋯ + ck an−k .

associated homogeneous recurrence relation
Solving Linear Nonhomogeneous Recurrence Relations
with Constant Coefficients (continued)
Example: Find all solutions of the recurrence relation an = 3an−1 + 2n.
What is the solution with a1 = 3?

Solution: The associated linear homogeneous equation is an = 3an−1.

Its solutions are an(h) = α3n, where α is a constant.

Because F(n)= 2n is a polynomial in n of degree one, to find a particular solution we might try a
linear function in n, say pn = cn + d, where c and d are constants. Suppose that pn = cn + d is such a

Then an = 3an−1 + 2n becomes cn + d = 3(c(n− 1) + d)+ 2n.

solution.

Simplifying yields (2 + 2c)n + (2d − 3c) = 0. It follows that cn + d is a solution if and only if
2 + 2c = 0 and 2d − 3c = 0. Therefore, cn + d is a solution if and only if c = − 1 and d = − 3/2.
Consequently, an(p) = −n − 3/2 is a particular solution.

By Theorem 5, all solutions are of the form an = an(p) + an(h) = −n − 3/2 + α3n, where α is a constant.

To find the solution with a1 = 3, let n = 1 in the above formula for the general solution.
Then 3 = −1 − 3/2 + 3 α, and α = 11/6. Hence, the solution is an = −n − 3/2 + (11/6)3n.
Divide-and-Conquer Algorithms
and Recurrence Relations
Section 8.3
Section Summary
Divide-and-Conquer Algorithms and
Recurrence Relations
Examples
Binary Search
Merge Sort
Fast Multiplication of Integers
Master Theorem
Closest Pair of Points (not covered yet in
these slides)
Divide-and-Conquer Algorithmic Paradigm
Definition: A divide-and-conquer algorithm works by
first dividing a problem into one or more instances of
the same problem of smaller size and then conquering
the problem using the solutions of the smaller
problems to find a solution of the original problem.
Examples:
Binary search, covered in Chapters 3 and 5: It works by
comparing the element to be located to the middle element.


The original list is then split into two lists and the search
continues recursively in the appropriate sublist.
Merge sort, covered in Chapter 5: A list is split into two
approximately equal sized sublists, each recursively sorted by


merge sort. Sorting is done by successively merging pairs of

lists.
Divide-and-Conquer Recurrence Relations
Suppose that a recursive algorithm divides a
problem of size n into a subproblems.
Assume each subproblem is of size n/b.
Suppose g(n) extra operations are needed in the
conquer step.
Then f(n) represents the number of operations to
solve a problem of size n satisisfies the following
recurrence relation:
f(n) = af(n/b) + g(n)
This is called a divide-and-conquer recurrence
relation.
Example: Binary Search
Binary search reduces the search for an element in a
sequence of size n to the search in a sequence of size n/2.
Two comparisons are needed to implement this
reduction;
 one to decide whether to search the upper or lower half of
the sequence and
 the other to determine if the sequence has elements.

+ 2 of size n, then
Hence, if f(n) is the number of comparisons required to
search for an f(n)
element in a sequence
= f(n/2)

when n is even.
Example: Merge Sort
The merge sort algorithm splits a list of n
(assuming n is even) items to be sorted into two
lists with n/2 items. It uses fewer than n
comparisons to merge the two sorted lists.
Hence, the number of comparisons required to
sort a sequence of size n, is no more than than

M(n) = 2M(n/2) + n.
M(n) where
Example: Fast Multiplication of Integers
 An algorithm for the fast multiplication of two 2n-bit integers (assuming n is even) first splits
each of the 2n-bit integers into two blocks, each of n bits.
 Suppose that a and b are integers with binary expansions of length 2n. Let
a = (a2n−1a2n−2 … a1a0)2 and b = (b2n−1b2n−2 … b1b0)2 .
 Let a = 2nA1 + A0, b = 2nB1 + B0 , where
A1 = (a2n−1 … an+1an)2 , A0 = (an−1 … a1a0)2 ,
B1 = (b2n−1 … bn+1bn)2 , B0 = (bn−1 … b1b0)2.
 The algorithm is based on the fact that ab can be rewritten as:
ab = (22n + 2n)A1B1 +2n (A1−A0)(B0 − B1) +(2n + 1)A0B0.
 This identity shows that the multiplication of two 2n-bit integers can be carried out using three
multiplications of n-bit integers, together with additions, subtractions, and shifts.
 Hence, if f(n) is the total number of operations needed to multiply two n-bit integers, then

f(2n) = 3f(n) + Cn

where Cn represents the total number of bit operations; the additions, subtractions and shifts
that are a constant multiple of n-bit operations.
Estimating the Size of Divide-and-Conquer
Functions
Theorem 1: Let f be an increasing function that
satisfies the recurrence relation

whenever n is divisible by b, where a≥ 1, b is

f(n) = af(n/b) + cnd

an integer greater than 1, and c is a positive

real number. Then

Furthermore, when n = bk and a ≠1, where k is

a positive integer,

where C1 = f(1) + c/(a−1) and C1 = −c/(a−1).

Complexity of Binary Search
Binary Search Example: Give a big-O
estimate for the number of comparisons used
by a binary search.

used by binary search is f(n) = f(n/2) + 2 where

Solution: Since the number of comparisons

n is even, by Theorem 1, it follows that f(n) is

O(log n).
Estimating the Size of Divide-and-conquer
Functions (continued)
Theorem 2. Master Theorem: Let f be an
increasing function that satisfies the
recurrence relation
f(n) = af(n/b) + cnd

integer greater than 1, and c and d are real

whenever n = bk, where k is a positive

numbers with c positive and d nonnegative.

Then
Complexity of Merge Sort
Merge Sort Example: Give a big-O estimate
for the number of comparisons used by merge
sort.
Solution: Since the number of comparisons

is less than M(n) where M(n) = 2M(n/2) + n, by

used by merge sort to sort a list of n elements

the master theorem M(n) is O(n log n).

Complexity of Fast Integer Multiplication
Algorithm
Integer Multiplication Example: Give a big-O estimate for the
number of bit operations used needed to multiply two n-bit integers

Solution: We have shown that f(n) = 3f(n/2) + Cn, when n is

using the fast multiplication algorithm.

even, where f(n) is the number of bit operations needed to

a = 3, b = 2, c = C, and d = 0 (so that we have the case

multiply two n-bit integers. Hence by the master theorem with

where a > bd), it follows that f(n) is O(nlog 3).

Note that log 3 ≈ 1.6. Therefore the fast multiplication algorithm is

uses O(n2) bit operations.

a substantial improvement over the conventional algorithm that
Generating Functions
Section 8.4
Section Summary
Generating Functions
Counting Problems and Generating Functions
Useful Generating Functions
Solving Recurrence Relations Using
Generating Functions (not yet covered in the
slides)
Proving Identities Using Generating
Functions (not yet covered in the slides)
Generating Functions
Definition: The generating function for the sequence
a0, a1,…, ak, … of real numbers is the infinite series

Examples:
The sequence {ak} with ak = 3 has the generating

The sequence {ak} with ak = k + 1 has the generating

function

The sequence {ak} with ak = 2k has the generating

function has the generating function

function has the generating function

Generating Functions for Finite Sequences
Generating functions for finite sequences of
real numbers can be defined by extending a
finite sequence a0,a1, … , an into an infinite
sequence by setting an+1 = 0, an+2 = 0,
and so on.
The generating function G(x) of this infinite
sequence {an} is a polynomial of degree n
because no terms of the form ajxj with j > n
occur, that is,

G(x) = a0 + a1x + ⋯ + an xn.

Generating Functions for Finite Sequences
(continued)

for the sequence 1,1,1,1,1,1?

Example: What is the generating function

1,1,1,1,1,1 is
Solution: The generating function of

1 + x + x2 + x3 + x4 + x5.
By Theorem 1 of Section 2.4, we have
(x6 − 1)/(x −1) = 1 + x + x2 + x3 + x4 + x5
when x ≠ 1.
Consequently G(x) = (x6 − 1)/(x −1) is the
generating function of the sequence.
Useful Generating Functions
Counting Problems and Generating
Functions
e1 + e2 + e3 = 17,
Example: Find the number of solutions of

where e1, e2, and e3 are nonnegative integers with

2 ≤ e1≤ 5, 3 ≤ e2 ≤ 6, and 4 ≤ e3 ≤ 7.
Solution: The number of solutions is the coefficient of x17 in the
expansion of
(x2 + x3 + x4 + x5) (x3 + x4 + x5 + x6) (x4 + x5 + x6 + x7).
This follows because a term equal to is obtained in the product

xe , and a term in the third sum xe , where e1 + e2 + e3 = 17.

1
by picking a term in the first sum xe , a term in the second sum
2 3

There are three solutions since the coefficient of x17 in the

product is 3.
Counting Problems and Generating
Functions (continued)
Example: Use generating functions to find the number of k-
combinations of a set with n elements, i.e., C(n,k).
Solution: Each of the n elements in the set contributes the term (1 + x)
to the generating function

Hence f(x) = (1 + x)n where f(x) is the generating function for {ak},
where ak represents the number of k-combinations of a set with n
elements.
By the binomial theorem, we have

where

Hence,
Inclusion-Exclusion
Section 8.5
Section Summary
The Principle of Inclusion-Exclusion
Examples
Principle of Inclusion-Exclusion
In Section 2.2, we developed the following
formula for the number of elements in the
union of two finite sets:

We will generalize this formula to finite sets

of any size.
Two Finite Sets
Example: In a discrete mathematics class every student is
a major in computer science or mathematics or both. The

(possibly along with mathematics) is 25; the number of

number of students having computer science as a major

with computer science) is 13; and the number of students

students having mathematics as a major (possibly along

majoring in both computer science and mathematics is 8.

Solution: |A∪B| = |A| + |B| −|A∩B|

How many students are in the class?

= 25 + 13 −8 = 30
Three Finite Sets
Three Finite Sets Continued
Example: A total of 1232 students have taken a course in Spanish, 879
have taken a course in French, and 114 have taken a course in Russian.
Further, 103 have taken courses in both Spanish and French, 23 have
taken courses in both Spanish and Russian, and 14 have taken courses
in both French and Russian. If 2092 students have taken a course in at

a course in all 3 languages.

least one of Spanish French and Russian, how many students have taken

Solution: Let S be the set of students who have taken a course in

Spanish, F the set of students who have taken a course in French, and R

|S| = 1232, |F| = 879, |R| = 114, |S∩F| = 103, |S∩R| = 23, |F∩R| = 14,
the set of students who have taken a course in Russian. Then, we have

and |S∪F∪R| = 23.

Using the equation
|S∪F∪R| = |S|+ |F|+ |R| − |S∩F| − |S∩R| − |F∩R| + |S∩F∩R|,
we obtain 2092 = 1232 + 879 + 114 −103 −23 −14 + |S∩F∩R|.
Solving for |S∩F∩R| yields 7.
Illustration of Three Finite Set Example
The Principle of Inclusion-Exclusion
Theorem 1. The Principle of Inclusion-
Exclusion: Let A1, A2, …, An be finite sets.
Then:
The Principle of Inclusion-Exclusion
(continued)
Proof: An element in the union is counted
exactly once in the right-hand side of the
equation. Consider an element a that is a

1≤ r ≤ n.
member of r of the sets A1,…., An where


It is counted C(r,1) times by Σ|A | i


It is counted C(r,2) times by Σ|A ⋂A |
i j
In general, it is counted C(r,m) times by the
summation of m of the sets Ai.
The Principle of Inclusion-Exclusion (cont)

C(r,1) − C(r,2) + C(r,3) − ⋯ + (−1)r+1 C(r,r)

Thus the element is counted exactly

By Corollary 2 of Section 6.4, we have

times by the right hand side of the equation.

C(r,0) − C(r,1) + C(r,2) − ⋯ + (−1)r C(r,r)

= 0.

1 = C(r,0) = C(r,1) − C(r,2) + ⋯ + (−1)r+1

Hence,

C(r,r).
Applications of Inclusion-
Exclusion
Section 8.6
Section Summary
Counting Onto-Functions
Derangements
The Number of Onto Functions
Example: How many onto functions are there from a set with six elements to a set with three
elements?
Solution: Suppose that the elements in the codomain are b1, b2, and b3. Let P1, P2, and P3 be
the properties that b1, b2, and b3 are not in the range of the function, respectively. The function is
onto if none of the properties P1, P2, and P3 hold.

By the inclusion-exclusion principle the number of onto functions from a set with six elements to
a set with three elements is

N − [N(P1) + N(P2) + N(P3)] +

[N(P1P2) + N(P1P3) + N(P2P3)] − N(P1P2P3)

 Here the total number of functions from a set with six elements to one with three elements is N = 36.
 The number of functions that do not have in the range is N(P1) = 26. Similarly, N(P2) = N(31) = 26 .
 Note that N(P1P2) = N(P1P3) = N(P2P3) = 1 and N(P1P2P3)= 0.

Hence, the number of onto functions from a set with six elements to a set with three elements is:

36 − 3∙ 26 + 3 = 729 − 192 + 3 = 540

The Number of Onto Functions (continued)
Theorem 1: Let m and n be positive integers
with m ≥ n. Then there are

onto functions from a set with m elements to

a set with n elements.

Proof follows from the principle of inclusion-

exclusion (see Exercise 27).
Derangements
Definition: A derangement is a permutation
of objects that leaves no object in the original
position.

Example: The permutation of 21453 is a

derangement of 12345 because no number is
left in its original position. But 21543 is not a
derangement of 12345, because 4 is in its
original position.
Derangements (continued)
Theorem 2: The number of derangements of
a set with n elements is

Proof follows from the principle of inclusion-exclusion (see

text).
Derangements (continued)
The Hatcheck Problem: A new employee checks the
hats of n people at restaurant, forgetting to put claim
check numbers on the hats. When customers return for
their hats, the checker gives them back hats chosen at
random from the remaining hats. What is the probability
that no one receives the correct hat.
Solution: The answer is the number of ways the hats can
be arranged so that there is no hat in its original position
divided by n!, the number of permutations of n hats.
Remark: It can be
shown that the
probability of a

approaches 1/e as n
derangement

grows without
bound.