Orthogonal polynomials and Smith normal form
Alexander R. Miller, Dennis Stanton

TL;DR
This paper proves and generalizes Smith normal form evaluations for various Hankel, Toeplitz, and Gram matrices related to q-analog combinatorial numbers using orthogonal polynomials and matrix analysis.
Contribution
It introduces new proofs and generalizations of Smith normal forms for matrices associated with q-analog sequences, expanding the understanding of their algebraic structure.
Findings
Proved Smith normal form evaluations for Hankel matrices of q-Catalan numbers.
Generalized results to other matrices like Toeplitz and Gram matrices.
Provided new algebraic insights into q-analog combinatorial sequences.
Abstract
Smith normal form evaluations found by Bessenrodt and Stanley for some Hankel matrices of q-Catalan numbers are proven in two ways. One argument generalizes the Bessenrodt-Stanley results for the Smith normal form of a certain multivariate matrix that refines one studied by Berlekamp, Carlitz, Roselle, and Scoville. The second argument, which uses orthogonal polynomials, generalizes to a number of other Hankel matrices, Toeplitz matrices, and Gram matrices. It gives new results for q-Catalan numbers, q-Motzkin numbers, q-Schr\"oder numbers, q-Stirling numbers, q-matching numbers, q-factorials, q-double factorials, as well as generating functions for permutations with eight statistics.
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Taxonomy
TopicsAdvanced Combinatorial Mathematics · Mathematical functions and polynomials · Advanced Mathematical Identities
Orthogonal polynomials and Smith normal form
Alexander R. Miller
Centre Émile Borel, Institut Henri Poincaré, Paris, France
and
Dennis Stanton
School of Mathematics, University of Minnesota, Minneapolis, MN 55455, United States
(Date: March 31, 2017)
Abstract.
Smith normal form evaluations found by Bessenrodt and Stanley for some Hankel matrices of -Catalan numbers are proven in two ways. One argument generalizes the Bessenrodt–Stanley results for the Smith normal form of a certain multivariate matrix that refines one studied by Berlekamp, Carlitz, Roselle, and Scoville. The second argument, which uses orthogonal polynomials, generalizes to a number of other Hankel matrices, Toeplitz matrices, and Gram matrices. It gives new results for -Catalan numbers, -Motzkin numbers, -Schröder numbers, -Stirling numbers, -matching numbers, -factorials, -double factorials, as well as generating functions for permutations with eight statistics.
A. R. Miller was supported in part by the Fondation Sciences Mathématiques de Paris.
1. Introduction
In [3] Bessenrodt and Stanley gave a Smith normal form evaluation for a certain matrix that generalizes one studied by Berlekamp [1, 2], and Carlitz, Roselle, and Scoville [4]. They specialized this result to give a Smith normal form result on Hankel matrices of -Catalan numbers. These evaluations use induction and elementary row and column operations. In §5 we give a short direct combinatorial argument which generalizes the results in [3]. But the main purpose of the present paper is to put the Hankel results into the combinatorial framework of orthogonal polynomials. This combinatorial theory developed over the last 30 years immediately implies Bessenrodt and Stanley’s two Hankel evaluations as well as many new ones, see §4.
The main new results in this paper are
- (1)
Theorem 1 for the Smith normal form of Hankel matrices of moments of orthogonal polynomials, 2. (2)
Theorem 5 for the Smith normal form of Toeplitz matrices of moments of biorthogonal polynomials, 3. (3)
Theorem 6 for the Smith normal form of a rank matrix of a lattice.
2. Definitions
Let be an -by- matrix with entries in a commutative ring .
2.1.
We say that has Smith normal form (or SNF for short) over if
- (a)
for some and , 2. (b)
is a diagonal () matrix in the sense that for , 3. (c)
is a multiple of whenever .
Most of the time will be a unique factorization domain such as so that the SNF of is unique up to units if it exists [19, Prop. 8.1]. Existence is guaranteed for or any other principal ideal domain, but not for other types of unique factorization domains. For example if , then a diagonal matrix of the form () admits a Smith normal form if and only if the ’s are chosen from a set of two consecutive integers [19, Prop. 8.9].
2.2.
If is square-shaped with Smith normal form , then equals up to a unit factor in . For example if , then . Call a special Smith normal form (SSNF) of over if in addition to (a)–(c) it holds that
- (a*′*)
for some and .
Proposition 1**.**
* has SSNF over has SNF over . If has SSNF , then*
[TABLE]
Proof.
If has Smith normal form and satisfy (a), then scaling the first row of by gives SSNF of . The other implications are clear. ∎
2.3.
A number of well-studied determinant evaluations in combinatorics can be sharpened into interesting Smith normal form evaluations over the rings and . But there seems to be no generic explanation why certain matrices admit a Smith normal form. Each one uses a different trick. Bessenrodt and Stanley gave two recent examples (Corollary 1 below). They refine
[TABLE]
by first replacing the Catalan numbers with the -Catalan numbers below in (8), and then giving Smith normal form evaluations over for the Hankel matrices and . The determinants of these two -Hankel matrices are not new. They are well known in the combinatorial study of orthogonal polynomials and Theorem 1 tells us that Bessenrodt and Stanley’s Smith normal form evaluations are completely elucidated by the combinatorics of orthogonal polynomials as well.
3. SNF of Hankel matrices of moments of
orthogonal polynomials
Take two sequences and in the commutative ring . Define in by the classical three-term recurrence relation
[TABLE]
The ’s are orthogonal in that whenever for some unique linear functional with . The moments are called the moments of and they are described by Motzkin paths.
3.1.
A Motzkin path of length is a map such that for defined by . Put
[TABLE]
over and such that and . Denote by the linear functional whose -th moment is the weighted generating function
[TABLE]
over all Motzkin paths of length such that . Then a sign-reversing involution [24] tells us that
[TABLE]
The moments of are therefore the moments of .
3.2.
Our main theorem is the observation that the Hankel matrix has Smith normal form over .
Theorem 1**.**
* has SSNF over .*
Proof.
Write for the coefficient of in . Let . Then by (5)
[TABLE]
Since is a polynomial over which is monic of degree , is a matrix over which is lower triangular with 1’s on the diagonal. In other words is a lower unitriangular matrix over . ∎
3.2.1.
For example if and , then by (4) the -th moment equals the number of length- Dyck paths (Motzkin paths where ). Hence
[TABLE]
where is the -th Catalan number given by , . In this case and Theorem 1 says that the Hankel matrix has special Smith normal form over so that .
3.2.2.
We know of only two previous results about the Smith normal form of a Hankel matrix of -Catalan numbers over a polynomial ring. They are the two mentioned above that Bessenrodt–Stanley found [3, pp. 81–82] for the -Catalan numbers
[TABLE]
We record them here in parts (a) and (b) of Corollary 1. They are elucidated in §4.8 by Theorem 1 applied to the natural -analogue of our first example from §3.2.1.
Corollary 1**.**
- (a)
The matrix has SSNF over . 2. (b)
The matrix has SSNF over .
4. Examples
Theorem 1 also gives new results for -Catalan numbers, -Motzkin numbers, -Stirling numbers, -Matching numbers, -factorials, -double factorials, as well as more striking generating functions such as Simion and Stanton’s octabasic Laguerre moments which count permutations according to eight different statistics. There are many interesting moment sequences and this is just a sampling.
4.1. -Catalan
If and , then counts length- Dyck paths according to area between the path and the zig-zag one of height (Fig. 1) so that
[TABLE]
Corollary 2**.**
* has SSNF over .∎*
In §4.8 below we use a general result (Theorem 2) to read off the two Bessenrodt–Stanley results directly from this first and most basic example of ours.
4.2. -Motzkin
The -Motzkin number given by is the -th moment when and .
Corollary 3**.**
* has SSNF over .∎*
4.3. -Stirling
The Charlier polynomials have moments where is the Stirling number of the second kind which counts partitions of into blocks. Médicis–Stanton–White [18] defined -Charlier polynomials
[TABLE]
and showed that the moments are the -analogues given by -Stirling numbers
[TABLE]
[TABLE]
where . The combinatorial interpretation of these moments in terms of set partitions uses the number of blocks, , and another statistic . If is the set of all set partitions of ,
[TABLE]
Corollary 4**.**
* has SSNF over .∎*
4.4.
Kim–Stanton–Zeng [12] defined another sequence of -Charlier polynomials
[TABLE]
They showed that the moments are the generating functions given by
[TABLE]
Here is the number of crossings in the diagram that has written out along a horizontal line and an upper arc for each pair such that is the next largest element in the block containing . See Figure 2.
Corollary 5**.**
* has SSNF over .∎*
4.5. -Matchings
Ismail–Stanton–Viennot [9] tell us that the polynomials given by
[TABLE]
have moments the matching polynomials given by
[TABLE]
The first sum is over all matchings of (partitions of into blocks of size at most 2) and is the number of pairs such that .
Corollary 6**.**
* has SSNF over .∎*
4.6. -Perfect matchings
(Ismail–Stanton–Viennot [9]) Replacing by in the last example gives the discrete -Hermite polynomials
[TABLE]
whose moments count perfect matchings by crossings and nestings:
[TABLE]
where the sum is over all perfect matchings of (all blocks of size ).
Corollary 7**.**
* has SSNF over .∎*
4.7. Odd–Even trick
In general if the ’s are all [math], then the polynomials are alternately even and odd so that there exist polynomials and that satisfy
[TABLE]
The odd-even trick is the following observation. The polynomials and are themselves orthogonal polynomials and their moments are related to the moments of the original polynomials in a simple way.
Proposition 2** ([5, p. 40]).**
If , then and
- (i)
* is the -th moment of the sequence defined by*
[TABLE] 2. (ii)
* is times the -th moment of the sequence defined by*
[TABLE]
for . These polynomials and are the unique ones that satisfy (20).
Corollary 8**.**
If and are the -th moments of the polynomials , defined by (20), then over the ring
- (i)
the matrix has SSNF , 2. (ii)
the matrix has SSNF .
Corollary 8 and Proposition 2 together refine the determinant identity (cf. [5, Ex. 8.8])
[TABLE]
which holds for . This is the next result.
Theorem 2**.**
Put so that . If , then over
- (i)
the matrix has SSNF , 2. (ii)
the matrix has SSNF , 3. (iii)
the matrix has SSNF .
Proof.
(i) restates Theorem 1. (ii) restates Corollary 8(i) by Proposition 2(i). For (iii) take Corollary 8(ii) which implies that the matrix has SSNF and then use Proposition 2(ii) to rewrite as . ∎
4.8. -Catalan
Theorem 2 applies to our first and most basic example in §4.1 and gives the Bessenrodt–Stanley result in Corollary 1. In the case of the -Chebyshev polynomials from §4.1 where
[TABLE]
Proposition 2 says that is the moment sequence for
[TABLE]
and is the moment sequence for
[TABLE]
4.9. -Double factorials
Theorem 2 also applies to the -Hermite example in §4.6 and gives Corollary 9 below. In this case Proposition 2 tells us that the -double factorials are the moments of the polynomials where and .
Corollary 9**.**
* has SSNF over .∎*
4.10. -Factorials
Kasraoui–Stanton–Zeng [11] defined -Laguerre polynomials
[TABLE]
and showed that counts permutations with respect to the number of weak excedances and crossings:
[TABLE]
The number of weak excedances of is defined by
[TABLE]
and the number of crossings of is defined by
[TABLE]
This may be explained by the following diagram, see Figure 3. With through arranged in that order on a horizontal line, view graphically by taking each and drawing an arc above the line if and below the line if . Then is the number of arcs above the line plus the number of isolated points, and is the number of proper crossings plus the number of points at which two different upper arcs meet.
Corollary 10**.**
* has SSNF over . ∎*
4.11.
Simion and Stanton’s octabasic Laguerre polynomials with 8 independent ’s are defined in terms of the 3-term recurrence relation (2) by setting
[TABLE]
The moments are generating functions for permutations counted according to eight different statistics which specialize to many other combinatorial sets and related statistics [21]. In particular Simion–Stanton [20] gave specializations whose moments are basically . If we swap the and in their second specialization [20, Eq. 3.3], then we get the polynomials where is exactly :
[TABLE]
Corollary 11**.**
* has SSNF over . ∎*
5. Bessenrodt–Stanley: general results
Fix a Young diagram . View it in the top left part of a square-tiled fourth quadrant. Write for the square in the -th row and -th column of the tiling. Let be the length of the diagonal of , meaning and . Write
[TABLE]
Associate to each square an indeterminate and denote by the generating function for the skew shapes so that
[TABLE]
Theorem 3**.**
* where*
- (i)
* is the upper triangular matrix such that is the generating function for skew shapes of when ,* 2. (ii)
* is the diagonal matrix where ,* 3. (iii)
* is the lower triangular matrix such that is the generating function for skew shapes of when ,*
so that in particular and are lower and upper unitriangular.
Proof.
Write as illustrated by Figure 4. ∎
Corollary 12** ([3, Thm. 1]).**
There are upper and lower unitriangular and over such that
[TABLE]
In particular, the matrix has SSNF over .
Proof.
Theorem 3 implies (33) for and . But the inverse of an upper (resp. lower) unitriangular matrix is again upper (resp. lower) unitriangular. For the SSNF, let , , and let be the permutation matrix such that . If , then put so that and . ∎
Bessenrodt–Stanley’s two -Catalan results (Corollary 1 above) are the two cases of Corollary 12 where and .
Remark 1**.**
Bessenrodt–Stanley gave two more theorems in [3]. Their second theorem is essentially an inclusion-exclusion lemma used to recursively construct the and in Corollary 12. But the nature of the factorization implies and so we can give their and directly thanks to unitriangularity. The third theorem extends the first to some rectangular matrices [3, Thm. 3]. That theorem can be obtained by specializing to [math] some variables in the first theorem applied to a suitable shape. The specialization leads to a more general statement (Corollary 13 below). Our direct method works in this case also.
Let be a square in the border strip that runs from the end of the first column of to the end of the first row of , shown as the shaded region in Figure 5.
Let be the rectangle shape with lower right square . Let be the generating function for the skew shapes . Write
[TABLE]
Put and define
[TABLE]
Theorem 3 is a special case of the following result. It is the case where is square-shaped of size .
Theorem 4**.**
* where*
- (i)
* is the upper unitriangular matrix given by*
[TABLE] 2. (ii)
* is the matrix given by*
[TABLE] 3. (iii)
* is the lower unitriangular matrix given by*
[TABLE]
Proof.
Write as in the proof of Theorem 3. ∎
Corollary 13**.**
* has SSNF over (the matrix with as given and [math]’s elsewhere.)∎*
Proof.
Corollary 12 handles . Assume . Let be as in Theorem 4. Then for some that is a permutation matrix with last row possibly scaled by so that . The proof of Theorem 4 provides such that and
[TABLE]
Consider the block matrix . Then and
[TABLE]
The case follows by transposing matrices. ∎
6. More Gram matrices
In this section we give two analogues of Theorem 1: one for biorthogonal polynomials (Theorem 5), and the other for finite lattices (Theorem 6).
6.1. Biorthogonal version of Theorem 1.
There is a version of Theorem 1 for Toeplitz matrices. In an integer polynomial ring take two sequences and subject to and define by
[TABLE]
Let be the unique linear functional on determined by and
[TABLE]
Then
[TABLE]
for and
[TABLE]
so that is a monic polynomial of degree over .
Kamioka [10] gave a combinatorial approach to these Laurent biorthogonal polynomials and the moments of are in terms of Schröder paths. These are the lattice paths from the origin to the -axis that stay at or above the -axis with steps chosen from the following types:
[TABLE]
Put for defined above. Then the -th positive moment ) is the weighted generating function
[TABLE]
over Schröder paths ending at with first step horizontal (); see Figure 7.
Theorem 5**.**
* has SSNF over .*
Proof.
Write for the coefficient of in , and write for the coefficient of in . Let and . Then by (40)
[TABLE]
Since the polynomials and are monic of degree over , the matrices and are lower unitriangular over . ∎
Theorem 5 gives an interesting Schröder analogue of Corollary 1. Let be the number of Schröder paths ending at so that in terms of Catalan numbers then equals . Put and consider the Hankel-like matrix
[TABLE]
Corollary 14**.**
The matrix in (46) has SSNF over .
Proof.
Put and to get from (43)–(44) that
[TABLE]
and then apply Theorem 5. ∎
6.2. Other Gram matrices
The Hankel matrix in Theorem 1 can be viewed as the Gram matrix where is the set of generating functions of Favard paths of height with pairing . There is an analogous statement for the Toeplitz matrix in Theorem 5. Here are three more examples using Gram matrices.
6.2.1. First example
Let be a finite ranked lattice with an arbitrary fixed ordering . Take a function and put . Define
[TABLE]
Write
[TABLE]
Let be the Möbius function given by . Then the function satisfies .
Proposition 3**.**
- (a)
* and .* 2. (b)
If the ordering is chosen so that whenever (resp. ), then is upper (resp. lower) unitriangular.
Proof.
. The rest is clear, since is conjugate (by a suitable permutation matrix) to an upper unitriangular matrix. ∎
Corollary 15** (Lindström [17]).**
.∎
Corollary 16**.**
If is a permutation such that is a multiple of whenever , then the matrix has SSNF over .∎
The next theorem is a direct consequence of Proposition 3 and Corollary 16 for and . In this case is the characteristic polynomial of the interval .
Theorem 6**.**
Let be a finite ranked lattice with an ordering . Let . Then the following hold.
- (a)
. 2. (b)
Suppose that depends only on the rank of . Define , , and for (). If is a multiple of whenever , then the matrix has SSNF over . ∎
Take for example the lattice of set partitions of . Here in if and only if each block in is a subset of some block in . In particular, the bottom element of is the partition with blocks. The top element is the partition with only block. Denote by the number of blocks in so that .
Corollary 17**.**
Over the matrix has SSNF
[TABLE]
where is the Stirling number of the second kind given by
[TABLE]
Proof.
There are exactly elements in such that . For each one . Hence by Theorem 6(b) with the matrix has SSNF . Scaling by gives the result. ∎
6.2.2. Second example
Let be a noncrossing partition of . Associate to the permutation that has one cycle for each block . The partition corresponds to the long cycle . The dual partition corresponds to . Define
[TABLE]
and
[TABLE]
Dahab [7] expressed the determinant of in terms of Beraha factors . Define polynomials by the three-term recurrence relation
[TABLE]
[TABLE]
Then () is the unique irreducible factor of over that is a factor of no previous (). More explicitly, () is the minimal polynomial of , and is given by
[TABLE]
Dahab proved that [7, Thm. 1.8.1]
[TABLE]
and [7, Thm. 2.5.2]
[TABLE]
where
[TABLE]
We conjecture the following refinement of Dahab’s determinantal evaluations.
Conjecture 1**.**
has SSNF over , where
[TABLE]
and
[TABLE]
In particular:
- (a)
has SSNF over , where
[TABLE] 2. (b)
has SSNF over , where
[TABLE]
6.2.3. Third example
Take the noncrossing perfect matchings on and put where is the number of connected components in the graph on whose multiset of edges is . This is Lickorish’s form [16] and the determinant of the Gram matrix has been studied [8, 13, 16], see [14]. But a straightforward calculation shows that
[TABLE]
(for some compatible ordering of the matchings and the non-crossing partitions). Therefore Conjecture 1 implies the following conjecture for .
Conjecture 2**.**
has SSNF over where is the number of Dyck paths of length and height , and
[TABLE]
7. Remarks
There are new and interesting results for other types of matrices as well. Some recent examples are found in [22, 23]; they again refine some well-known determinantal evaluations. But many determinantal evaluations (e.g. [14, 15]) have not been considered. Here for example is a new result we found for the Vandermonde matrix.
Theorem 7**.**
Let
[TABLE]
Then over the matrix has SSNF
[TABLE]
In particular:
- (a)
Over the Vandermonde matrix \big{(}(1+a[j]_{q})^{i}\big{)}_{0\leq i,j\leq n} has SSNF
[TABLE] 2. (b)
Over the Vandermonde matrix \big{(}[j+1]_{q}^{i}\big{)}_{0\leq i,j\leq n} has SSNF
[TABLE]
Theorem 7 is a special case of the following generalization of Theorem 1.
Theorem 8**.**
Maintain the notation of §3 so that is the linear functional for the polynomials defined by the three-term recurrence relation
[TABLE]
Let be monic polynomials over such that and have degree for . Then the matrix
[TABLE]
has SSNF
[TABLE]
over .∎
Theorem 1 is the special case of Theorem 8 where for all . Theorem 7 is the case where the polynomials are the -Charlier polynomials from §4.3 and
[TABLE]
where .
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