Generalized Powers of Substitution with Pre-Function Operators
Laurent Poinsot
University Paris 13, Paris Sorbonne Cité, LIPN, CNRS, Villetaneuse, France Email: [email protected]
Received April 13, 2013; revised May 13, 2013; accepted May 20, 2013
Copyright © 2013 Laurent Poinsot. This is an open access article distributed under the Creative Commons Attribution License, which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.
ABSTRACT
An operator on formal power series of the form S S
, where is an invertible power series, and is a series of the form t
t2 is called a unipotent substitution with pre-function. Such operators, denoted by a pair
,
, form a group. The objective of this contribution is to show that it is possible to define a generalized powers for such operators, as for instance fractional powers
,
ab for every ab.
Keywords: Formal Power Series; Formal Substitution; Riordan Group; Generalized Powers; Sheffer Sequences;
Umbral Calculus
1. Substitution of Formal Power Series
In this contribution we let denote any field of characteristic zero. We recall some basic definitions from [1,2]. The algebra of formal power series in the variable t is denoted by
t . In what follows we sometimes use the notation S
t for S
t to mean that S is a formal power series of the variable t. We recall that any formal power series of the form tS for and S
t is invertible with respect to the usual product of series. Its inverse is denoted by 1 and has the form 1tV for some V
t . Inparticular, the set of all series of the form 1 tT forms a group under multiplication, called the group of unipotent series. For a series of the form t t 2T, we may define for any other series S
n0ntn an operation of substitution given by S
n0 n n. Aunipotent substitution is a series of the form t t2T. Such series form a group under the operation of substitution, called the group of unipotent substitutions (whenever 0, a series t t 2T is invertible under substitution, and the totality of such series forms a group under the operation of substitution called the group of substutions, and it is clear that the group of unipotent substitutions is a sub-group of this one). The
inverse of is then denoted by 1 and satisfies
1 t 1
. Finally, it is possible to define a semi-direct product of groups by considering pairs
,
where is a unipotent series, and is a unipotent substitution, and the operation
1, 1
2, 2
1
2 2, 1
2
. The identity element is (1, t). This group has been previously studied in [3-5], and is called the group of (unipotent) substitutions with pre-function. These substitutions with pre-function act on
t
as follows:
,
S S
for every series S. In [3] is associated a doubly-infinite matrix ,
M to each such operator which defines a matrix representation of the group of substitutions with pre- function, and it is proved that there exists a one- parameter sub-group M , . Therefore, it sa- tisfies M , M , M , for every , , and
,
M is the usual -th power of M , whenever
is an integer. It amounts that for every , M , is the matrix representation of a substitution with pre- function say
,
so that M , M ,
. The authors of [3] then define
,
,
. Actually in [3] no formal proof is given for the existence of such generalized powers for matrices or unipotent substitu-tions with pre-function.
In this contribution, we provide a combinatorial proof for the existence of these generalized powers for unipo- tent substitutions with pre-function, and we show that this even forms a one-parameter sub-group. To achieve this objective we use some ingredients well-known in combinatorics such as delta operators, Sheffer sequences and umbral composition which are briefly presented in what follows (Sections 2, 3, 4 and 5). The Section 6 con- tains the proof of our result.
2. Differential and Delta Operators, and Their Associated Polynomial Sequences
By operator we mean a linear endomorphism of the
-vector space of polynomials
x (in one indeter- minate x ). The composition of operators is denoted by a simple juxtaposition. If p
x , then we sometimes write p
x to mean that p is a polynomial in the va- riable x .Let
pn n0
x be a sequence of polynomials.It is called a polynomial sequence if deg
pn n for every n0 (in particular, p0). It is clear that a polynomial sequence is thus a basis for
x .An operator D is called a differential operator (see [6]) if
1) D0 for every .
2) deg
Dp deg
p 1 for every non-constant poly- nomial p.For instance, the usual derivation of polynomials is a differential operator. Moreover, let , and let us define the shift-invariant operator E as the unique linear map such that E
xn
x
n for every0
n . Then, E1id is also a differential operator.
A polynomial sequence
pn n0 is said to be a normal family if1) p01.
2) pn
0 0 for every n0.Let D be a differential operator. A normal family
pn n0 is said to be a basic family for D if
1 1
n n
Dp n p
for every n0. It is proved in [6] that for any differen- tial operator admits is one and only one basic family, and, conversely, any normal family is the basic family of a unique differential operator. As an example, the normal family
xn n0 is the basic family of .Let L be an operator such that for every non-zero polynomial p
x , deg
Lp deg
p (in particu- lar, L
0 for every constant ). Such an op- erator is called a lowering operator (see [7]). For in- stance any differential operator is a lowering operator.Then given a lowering operator L, we may consider the algebra of formal power series
L of operators ofthe form
n0nLn where n for every n0. The series
n0nLn converges to an operator of
x in the topology of simple convergence (when has the discrete topology) since for every p
x ,there exists np such that for all nnp ,
0Ln p , so that we may define
0 0
.
np
n n
n n
n n
L p L p
According to [6], if D is a differential operator, then
D if, and only if, commutes with D, i.e., D D
. Moreover, if 0
n
n nD D
, then is also a differential operator if, and only if, 00 and 10.
Following [1], let us define a sequence of polynomials
0
x n n
by x 0 0
and
0
x 1 x
1 1 !
n
i i
n n
for every integer n. For , we denote by n
the value of the polynomial x n
for x. Let L be a lowering operator, and let Uid L
L be itsunipotent part. Then we may consider generalized power
0
n
U n L L
n
(in particular, this explains the notation E for the shift operator). We observe that for every integer k, Uk really coincides to the k-th powerfactors k
UU of U. Moreover, U U U for every , . We may also form
1
1 1
log log
n n
U id L n L L
n
in such a way that for every ,
exp log
U U
where for every
n0nLn
L with 0 0,
01exp !
n
n n
(it is a well-defined operator). This kind of generalized powers may be used to compute frac- tional power of the forma
Ub for every a, b (for instance,
1
nU Un). They satisfy the usual proper- ties of powers: U0id, U U U . The objective of this contribution is to provide a proof of the existence of such generalized powers for unipotent substitutions with pre-function.
Following [8], we may consider the following sub-set of differential operators, called delta operators. A poly- nomial sequence
pn n0 is said to be of binomial-type if for every n0,
=0
x y n x y x, y .
n k n k
k
p
p p An operator is a shift-invariant operator if for every , E E. Now, a delta operator D is a shift invariant operator such that xD . For in- stance, the usual derivation of polynomials is a delta operator. It can be proved that a delta operator is a dif- ferential operator. The basic family (uniquely) associated to a delta operator is called its basic set. Moreover, the basic set of a delta operator is of binomial-type, and to any polynomial sequence of binomial-type is uniquely associated a delta operator. If D is a delta operator, then there exists a unique -algebra isomorphism from
t
to the ring of shift-invariant operators
D that maps 0
!
n n n
S s t
n
to
0 !n n n
S D s D
n
. In [8]is proved that given a delta operator D, and a series
1 ntn
n
0 0
with 1 0, then
D is also a delta operator. Conversely, if is a shift-in- variant operator (so that
D ), then if it is a delta operator, the unique series0
t t
!
n
n n n
such that
D satisfies 0 0 and 1 0.3. Sheffer Sequences
In this section, we also briefly recall some definitions and results from [8].
Let
pn n0 be a sequence of polynomials in
x .We define the exponential generating function of
pn n0 as
0
; t t x t .
!
n
n n n
n
EGF p p
n
Let D be a delta operator and
pn n0 be its basic set. Let
t with 0 0 and 1 0 such that
D. Then from [8],
n n; t
ex 1 t.EGF p
A polynomial sequence
sn n0 is said to be a Sheffer sequence (also called a polynomial sequence of type zero in [9] or a poweroid in [10]) if there exists a delta opera- tor D such that1) s0,
2) Dsn1
n1
sn for every n.Following [9], a polynomial sequence
sn n0 is a Sheffer sequence if, and only if, there exists a pair
,
of formal power series in
t with in-vertible, and 0 0, 1 0, such that
n n; t
t ex t.EGF s
Remark 1. The basic set of a delta operator D is a Sheffer sequence.
Let D be a delta-operator with basic set
pn n0. Following [8], the following result holds.Proposition 1. A polynomial sequence
sn n0 is a Sheffer sequence if, and only if, there exists an invertible shift-invariant operator S such that sn S p1 n for each0
n . Moreover, let S be an invertible shift-invariant operator. Let
t be the unique formal power series such that
S. Then, is invertible, and
n n; t
1
1ex 1EGF s where
sn n is the Sheffer sequence defined by1
n n
s S p for each n0, and
t is theunique formal power series such that
D. Finally we also have the following characterization.Proposition 2. Let
sn n be a polynomial sequence. It is a Sheffer sequence if, and only if, there exists a delta operator D with basic set
pn n such that
0
x y n x y x, y .
n k n k
k
s n s p
k
4. Umbral Composition
This section is based on [11].
Let
pn n be a fixed polynomial sequence. Let us define an operator by
xn pn for each n0.Since
pn n is a basis of
x , this means that is a linear isomorphism of
x . When
pn n is thebasic set of a delta operator, then is referred to as an umbral operator, while if
pn n is a Sheffer sequence, then is said to be a Sheffer operator. An umbral op- erator maps basic sets to basic sets, while a Sheffer op- erator maps Sheffer sequences to Sheffer sequences.Let
pn n be a polynomial sequence. For every n,0 x x
n k k
n k n
p
p where p xk is the coefficient of xk in the polynomial p
x . Let
pn n and
qn n be two polynomial sequences. Their umbral com- position is defined as the polynomial sequence
rn n
pn n# qn n defined by0 n x
k
n n k
k
r p q
for each n0. By simple computations, it may be proved that rn xk
nk pn x q xk . The set of all polynomial sequences becomes a (non-commutative) monoid under # with
xn n as identity. We observethat if T is the operator defined by Txn qn for each 0
n , then
pn n# qn n Tpn n. More generally, we have
Tkxn
n
qn n
# k where
qn n
# k is the k-th power of
qn n for the umbral composition (it is equal to a sequence say
r k
n
n and we denote r k
nby qn# k ). Under umbral composition, the set of all Sheffer sequences is a (non-commutative) group, called the Sheffer group ([12]), and the set of all basic se- quences is a sub-group of the Sheffer group.
From [8] we have the following result that combines delta operators, basis sets, Sheffer sequences and umbral composition.
Theorem 1. Let Q and P be two delta operators with respective basic sets
qn n and
pn n. Let S and T be two invertible shift-invariant operators. Let
sn n and
tn n be the Sheffer sequences defined by1
n n
s S q and tn T1pn for each n. Let , be two invertible series such that S
, T
.Let , be two formal power series with 0 0 0,
1 0 1
such that Q
and P
. Then,
RT P is a shift-invariant opera- tor,
is a delta operator with basic sequence
vn n qn n# pn n. Finally, let
rn n be the Sheffer sequence given by
rn n sn n# tn n. Then, rn R v1 n for each n.It may be proved that if
sn n is the Sheffer sequence obtained from the delta operator D
with basic set
pn n and the invertible shift-invariant operator
S , i.e., sn S p1 n for each n, then the inverse
qn n of
pn n with respect to the umbral composition is the basic set of the delta operator 1
, the inverse
tn n of
sn n with respect to the umbral composition is the Sheffer sequence tn
1
qn.5. Unipotent Sequences
The basic set
pn n of a delta operator D is said to be unipotent if the unique series such that D
satisfies 11 (and, obviously, 00), i.e., is a unipotent substitution. A Sheffer sequence
sn n asso-ciated to a delta operator D
(with 00 ,1 0
) and an invertible shift-invariant operator
S (with invertible), i.e., snS p1 n for every n where
pn n is the basic set of D, is said to be unipotent if
pn n is unipotent, and if is unipo- tent, i.e., 01. It is also clear from the previous sec- tion (theorem 4) that the (umbral) inverse of a unipotent basic set is unipotent, and the (umbral) inverse of aSheffer sequence is also unipotent.
It is clear from theorem 4 that the group of basic sets under umbral composition is isomorphic to the group of substitutions. Moreover, the group of unipotent basic sets also is isomorphic to the group of unipotent substitutions.
Likewise, the group of (unipotent) Sheffer sequences is isomorphic to the group of (unipotent) substitutions with pre-function (see also [12]).
Lemma 1. Let
,
be a substitution with pre- function, and let
sn n, pn n
be the Sheffer sequence and the basic set associated to the delta operator
and the invertible shift-invariant operator
(thismeans that
pn n is the basic set of
, and
1n n
s p for each n). Then,
,
is a uni-potent substitution with pre-function if, and only if,
xn 1 xn
n n
p s for every n.
Proof. Let us first assume that
,
is a unipotent substitution with prefunction. We have p01 for every basic set, so that p0 1 1. Let n. We have
k 2 k k
. Then,
pn1
n1
pn is equivalent to
nk10 pn1 xk
n 1
nk=0 pn xk
.By identification of the coefficient of xn on both sides, we obtain
n1
pn1 xn1
n1
pn xn(since is assumed to be a unipotent substitution), and, by induction, pn1 xn1 1. Besides, we have
1n n
s p for each n. But
11
(because there is a ring isomorphism between
tand
), and 1 1 t , where
t .Then, by identification of the coefficient of xn, we have
xn xn 1
n n
s p for every n. Conversely, let us assume that
sn n, pn n
is the Sheffer sequence and the basic set associated to the delta operator
andthe invertible shift-invariant operator
withxn 1 xn
n n
p s for every n. By construction we have 1
n1
pn1 xn1
n1
pn xn so that 1 1. Likewise, 0 sn xn pn xn , so that 0 1. □6. Generalized Powers of Unipotent Substitutions with Pre-Function
The purpose of this section is to define
,
for any and any unipotent substitution with pre-function
,
, and to prove that it is also a unipotent substitu- tion with pre-function. Moreover we show that
,
is a one-parameter sub-group, i.e.,
,
,
,
for every , , and
,
0 1, t .Let
,
be a unipotent substitution with pre- function of
t . Let
pn n be the unipotent basic set of the (unipotent) delta operator
. Let
sn n be the unipotent Sheffer sequence associated to
and the (unipotent) invertible shift-invariant operator
. Let R be the umbral operator given by Rxn pn for all n, and let T be the Sheffer operator defined byxn n
T s for all n. It is easily checked that for every integer k, pn# k Rk
xn and sn# k Tk
xn . In par- ticular, for each n, T
xn sn xn
nk10 sn x xn k (by Lemma 5). Therefore, TidL, where1
xn nk 0 n x xn k
L
s for each n. The operator L is actually a lowering operator. Then according to section 2, it is possible to define T k 0 Lk
Lk
forevery . Moreover, we have T exp
log
T
.For each , let us define sn
T
xn forevery n. When k , we have sn
k
x # kk n
T sn . So that in this case,
sn
k
n is the unipotent Sheffer sequence associated to
,
k. This means that if
k, k
,
k, and
qn n is the uni- potent basic set of the (unipotent) delta operator k
, then sn# k k1
qn for each n. Similarly, let1
xn n xn nk 0 n x xk k
R p
p for every n. There- fore, RidN, where Nxn
nk10 pn x xk k is a lowering operator. Again for every , we define
0
exp log k k
R R N N
k
. For each, we define pn
Rxn for each n. In particular for k , pn
k pn# k , so that it is the basic set of the unipotent delta operator k
. Clearly,
1
n k n
s k p k for each n . Thus for every k, we have
0
0
x y x y
x y ,
n
n i n i
i n
k i k n i
i
p k n p k p k
i
n R R
i
(1)
0
0
x y x y
x y ,
n
n i n i
i n
k i k n i
i
s k n s k p k
i
n T R
i
(2)
Now, let z be a variable commuting with x and y , and let us define
0
0
z z
z i xn n ixn x, z
n i i
s L L
i i
and similarly,
0
0
z z
z i xn n ixn x, z
n i i
p N N
i i
,for each n. As polynomials in the variable z , their degrees are at most n. As polynomials in the variable
z, sn
z x y
, pn
z x y
,
0 z x z y
n
i n i
i
n p p
i
and
0 z x z y
n
i n i
i
n s p
i
have also a degree at most n. Because the equations (1) and (2) hold for every integer k, the polynomials (in the variable z )
z x y
n0
z x
z yn i i n i
p n p p
i
and
z x y
n0
z x
z yn i i n i
s n s p
i
are identically zero, and the above equations hold for every . Therefore,
pn
n is a polynomial sequence of binomial-type, and
sn
n is a Sheffer sequence for every . Moreover, for every , , we have
=0
=0
x x
x x
x
n n
n
n k k
n k n
n k
n k
k
p R R R
R p p R
p p
so that
pn
n
pn
n#
qn
n. Similarly,
sn
n
sn
n#
sn
n for every , . Moreover,
pn
0
n
R0
xn
n
xn n
T0
xn
n
qn
0
n. Therefore,
pn
n and
sn
nare one-parameter sub-groups. It follows that
pn
n
pn
n
# 1 and
sn
n
sn
n
# 1 (inverses under umbral operation).
We define
,
as the pair of formal power series
,
such that is the substitution that defines the delta operator
with basic sequence
pn
n, and is the invertible series such that
1
n n
s p
for each . Since
pn
n and
sn
n are unipotent sequences, it is clear that is unipotent, and is a unipotent substitution. It is also clear that whenever k , then
k, k
,
k. Let us check that
,
is a one-parameter sub- group of the group of unipotent substitutions with pre- function. This means that for every , ,
, , ,
,
First of all, by definition, is the unipotent sub- stitution associated to the basic set
pn
n
pn
n#
pn
n,and therefore
. In a similar way, the se- ries is uniquely associated to the Sheffer sequence
sn
n
sn
n#
sn
n and to the basic set
pn
n
pn
n#
pn
n. Again this means that
. Therefore, we obtain the ex- pected result. It is also clear that
0, 0
1, t . Remark 2. In particular, since is a field of characteristic zero, for every q, we may define fractional powers
,
q such as for instancen
,
for each integer n.
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