CS 70 Discrete Mathematics and Probability Theory Spring 2016 Rao and Walrand Note 3 1 Mathematical Induction
CS 70 Discrete Mathematics and Probability Theory Spring 2016 Rao and Walrand Note 3 1 Mathematical Induction
CS 70 Discrete Mathematics and Probability Theory Spring 2016 Rao and Walrand Note 3 1 Mathematical Induction
1 Mathematical Induction
Introduction. In this note, we introduce the proof technique of mathematical induction. Induction is a
powerful tool which is used to establish that a statement holds for all natural numbers. Of course, there are
infinitely many natural numbers — induction provides a way to reason about them by finite means.
Let us demonstrate the intuition behind induction with an example. Suppose we wish to prove the statement:
For all natural numbers n, 0 + 1 + 2 + 3 + · · · + n = n(n+1)
2 . More formally, using the universal quantifier
from Note 1, we can write this as:
n
n(n + 1)
∀n ∈ N, ∑ i = . (1)
i=0 2
How would you prove this? Well, you could begin by checking that it holds for n = 0, 1, 2, and so forth. But
there are an infinite number of values of n for which it needs to be checked! Moreover, checking just the
first few values of n does not suffice to conclude the statement holds for all n ∈ N, as the following example
demonstrates:
Sanity check! Consider the statement: ∀n ∈ N, n2 − n + 41 is a prime number. Check that it holds for the
first few natural numbers. (In fact, you could check all the way up to n = 40 and not find a counterexample!)
Now check the case of n = 41.
In mathematical induction, we circumvent this problem by making an interesting observation: Suppose the
statement holds for some value n = k, i.e. ∑ki=0 i = k(k+1)
2 . (This is called the induction hypothesis.) Then:
!
k
k(k + 1) (k + 1)(k + 2)
∑ i + (k + 1) = 2 + (k + 1) = 2
, (2)
i=0
i.e. the claim must also hold for n = k + 1! In other words, if the statement holds for some k, then it must
also hold for k + 1. Let us call the argument above the inductive step. The inductive step is a very powerful
tool: If we can show the statement holds for k, then the inductive step allows us to conclude that it also holds
for k + 1; but now that k + 1 holds, the inductive step implies that k + 2 must hold; in fact, we can repeat this
argument indefinitely for all n ≥ k! So is that it? Have we proven Equation (1)? Almost!
The problem is that in order to apply the inductive step, we first have to establish that Equation (1) holds for
some initial value of k. Since our aim is to prove the statement for all natural numbers, the obvious choice
is k = 0. We call this choice of k the base case. Then, if the base case holds, the axiom of mathematical
induction says that the inductive step allows us to conclude that the Equation 1 indeed holds for all n ∈ N.
where the second equality follows from the Induction Hypothesis. By the principle of mathematical induc-
tion, the claim follows.
Sanity check! How exactly did the Induction Hypothesis help us show the second equality in Equation (3)?
(Hint: We used it to replace ∑ki=0 i with something useful.)
Recap. What have we learned so far? Letting P(n) denote the statement ∑ni=0 i = n(n+1) 2 , our goal was to
prove that ∀n ∈ N, P(n). The principle of induction asserts that to prove this requires three simple steps:
Let us visualize how these three steps fit together using dominoes. Let statement P(n) be represented by
a sequence of dominoes, numbered from 0, 1, 2, ..., n, such that P(0) corresponds to the 0th domino, P(1)
corresponds to the 1st domino, and so on. The dominoes are lined up so that if the kth domino is knocked
over, then it in turn knocks over the k + 1st . Knocking over the kth domino corresponds to proving P(k) is
true. And the induction step corresponds to the placement of the dominoes to ensure that if the kth domino
falls, in turn it knocks over the k + 1st domino. The base case (n = 0) knocks over the 0th domino, setting
off a chain reaction that knocks down all the dominoes!
Finally, a word about choosing an appropriate base case — in this example, we chose k = 0, but in general,
the choice of base case will naturally depend on the claim you wish to prove.
Sanity check! How would you write the definition of a|b formally using quantifiers? (Answer: ∀a, b ∈ Z,
a|b iff ∃ q ∈ Z such that b = aq.)
Proof. We proceed by induction over n. Let P(n) denote the statement ∀n ∈ N, n3 − n is divisible by 3.
Base case (n = 0): P(0) asserts that 3|(03 − 0) or 3|0, which is true since any non-zero integer divides 0.
Inductive Hypothesis: Assume for n = k ≥ 0 that P(k) is true. That is, 3|(k3 − k), or ∃q ∈ Z, k3 − k = 3q.
Inductive Step: We show that P(k + 1) is true, i.e. that 3|((k + 1)3 − (k + 1)). To show this, we expand the
number ((k + 1)3 − (k + 1)) as follows:
(k + 1)3 − (k + 1) = k3 + 3k2 + 3k + 1 − (k + 1)
= (k3 − k) + 3k2 + 3k
= 3q + 3(k2 + k) for some q ∈ Z (Induction Hypothesis)
= 3(q + k2 + k).
Sanity check! How exactly did the Induction Hypothesis help us show the third equality above?
We conclude that 3|((k + 1)3 − (k + 1)). Thus, by the principle of induction, ∀n ∈ N, 3|(n3 − n).
Two Color Theorem. We now consider a more advanced proof by induction for a simplified version of the
famous four color theorem. The four color theorem states that any map can be colored with four colors such
that any two adjacent countries (which share a border, but not just a point) have different colors. The four
color theorem is very difficult to prove, and several bogus proofs were claimed since the problem was first
posed in 1852. In fact, it was not until 1976 that a computer-assisted proof of the theorem was finally given
Appel and Haken. (For an interesting history of the problem and state-of-the-art proof, which is nonetheless
still very challenging, see www.math.gatech.edu/~thomas/FC/fourcolor.html).
In this note, we consider a simpler version of the theorem in which our “map” is given by a rectangle which
is divided into regions by drawing lines, such that each line divides the rectangle into two regions. Can we
color such a map using no more than two colors (say, red and blue) such that no two bordering regions have
the same color? To illustrate, here is an example of a two-colored map:
B
R
Theorem 3.3. Let P(n) denote the statement “Any map with n lines is two-colorable”. Then, it holds that
∀n ∈ N P(n).
Base Case (n = 0): Clearly P(0) holds, since if we have n = 0 lines, then we can color the entire map using
a single color.
Inductive Step: We prove P(k + 1). Specifically, we are given a map with k + 1 lines and wish to show
that it can be two-colored. Let’s see what happens if we remove a line. With only k lines on the map, the
Induction Hypothesis says we can two-color the map. Let us make the following observation: Given a valid
coloring, if we swap red ↔ blue, we still have a two-coloring. With this in mind, let us place back the line
we removed, and leave colors on one side of the line unchanged. On the other side of the line, swap red
↔ blue. This is illustrated by Figure 1. We claim that this is a valid two-coloring for the map with k +1 lines.
R R
B B
R R
B B
R B
R
Figure 1: (Left) The map with the (k +1)st line removed. (Right) The map with the (k +1)st line represented
by dashed line.
Why does this work? Consider two regions separated by a shared border. Then, one of two cases must
hold: Case 1 is when the shared border is the line that was removed and replaced, i.e. line k + 1. But
by construction, we flipped the colors on one side of this line so that any two regions separated by it have
distinct colors. Case 2 is when the shared border is one of the original k lines; here, the Induction Hypothesis
guarantees that two regions separated by this border have different colors. Thus, in both cases, the regions
separated by the shared border have distinct colors, as required.
Base Case (n = 1): The first odd number is 1, which is a perfect square.
Inductive Hypothesis: Assume that the sum of the first k odd numbers is a perfect square, say m2 .
Inductive Step: The (k + 1)st odd number is 2k + 1. Thus, by the induction hypothesis, the sum of the first
k + 1 odd numbers is m2 + 2k + 1. But now we are stuck. Why should m2 + 2k + 1 be a perfect square?
It seems our Induction Hypothesis is too “weak”; it does not give us enough structure to say anything
meaningful about the (k + 1) case.
So let’s take a step back for a moment, and do a preliminary check to ensure our claim isn’t obviously false:
Let’s compute the values of the first few cases. Perhaps in the process, we can also uncover some hidden
structure we have not yet identified.
• n = 1 : 1 = 12 is a perfect square.
• n = 2 : 1 + 3 = 4 = 22 is a perfect square.
• n = 3 : 1 + 3 + 5 = 9 = 32 is a perfect square.
• n = 4 : 1 + 3 + 5 + 7 = 16 = 42 is a perfect square.
It looks like we have good news and even better news: The good news is that we have not yet found a
counterexample to our claim. The even better news is that there is a surprising pattern emerging — the
sum of the first n odd numbers is not just a perfect square, but is equal precisely to n2 ! Motivated by this
discovery, let’s try something counterintuitive: Let us try to show the following stronger claim.
Theorem 3.4. For all n ≥ 1, the sum of the first n odd numbers is n2 .
Inductive Hypothesis: Assume that the sum of the first k odd numbers is k2 .
Inductive Step: The (k + 1)-st odd number is 2k + 1. Applying the Induction Hypothesis, the sum of the first
k + 1 odd numbers is k2 + (2k + 1) = (k + 1)2 . Thus, by the principle of induction the theorem holds.
So let’s get this straight — we couldn’t prove our original statement, so instead we hypothesized a stronger
one and managed to prove that. Why on Earth did this work? The reason is that our original claim did not
capture the true structure of the underlying fact we were trying to prove — it was too vague. As a result,
our Induction Hypothesis wasn’t strong enough to prove our desired result. In contrast, although our second
claim is a priori stronger, it also has more structure to it; this, in turn, makes our Induction Hypothesis
stronger — we can use the fact that not only is the sum of the first k odd numbers a perfect square, but that it
in fact equals k2 . This additional structure is exactly what we needed to complete the proof. In summary, we
have demonstrated an example in which, although a claim was true, the precise formulation of the Induction
Hypothesis made the difference between a failing and successful proof.
Example. Let us now try a second example; this time, we’ll let you do some of the work! Suppose we
wish to prove the claim: ∀n ≥ 1, ∑ni=1 i12 ≤ 2.
Now let’s again do the unthinkable — let’s prove the following stronger statement, i.e. let’s strengthen our
induction hypothesis.
n
1 1
Theorem 3.5. For all n ≥ 1, ∑ i2 ≤ 2 − n .
i=1
Exercise. Show that Equation (4) holds. (Hint: Multiply both sides of the inequality by (k + 1).)
Is there a difference between the power of strong and weak induction, i.e. can strong induction prove
statements which weak induction cannot? No! Intuitively, this can be seen by returning to our domino
analogy from Section 1. In this picture, weak induction says that if the kth domino falls, so does the (k + 1)st
one, whereas strong induction says that if dominos 1 through k fall, then so does the (k + 1)st one. But these
Let’s try a simple example1 of strong induction. As a bonus, this is our first induction proof requiring
multiple base cases.
Theorem 3.6. For every natural number n ≥ 12, it holds that n = 4x + 5y for some x, y ∈ N.
Inductive Hypothesis: Assume that the claim holds for all 12 ≤ n ≤ k for k ≥ 15.
Inductive Step: We prove the claim for n = k + 1 ≥ 16. Specifically, note that (k + 1) − 4 ≥ 12; thus, the
Induction Hypothesis implies that (k + 1) − 4 = 4x0 + 5y0 for some x0 , y0 ∈ N. Setting x = x0 + 1 and y = y0
completes the proof.
Sanity check! Why would the proof above fail if we used weak induction instead of strong induction?
Let’s try a second, more advanced, example. For this, recall that a number n ≥ 2 is prime if 1 and n are its
only divisors.
Theorem 3.7. Every natural number n > 1 can be written as a product of primes.
Proof. We proceed by induction on n. Let P(n) be the proposition that n can be written as a product of
primes. We will prove that P(n) is true for all n ≥ 2.
Base Case (n = 2): We start at n = 2. Clearly P(2) holds, since 2 is a prime number.
Inductive Step: Prove that n = k + 1 can be written as a product of primes. We have two cases: either
k + 1 is a prime number, or it is not. For the first case, if k + 1 is a prime number, then we are done. For
the second case, if k + 1 is not a prime number, then by definition k + 1 = xy for some x,y ∈ Z+ satisfying
1 < x, y < k + 1. By the Induction Hypothesis, x and y can each be written as a product of primes (since
x, y ≤ n). But this implies that k + 1 can also be written as a product of primes.
1 This problem also goes under the name of the Postage Stamp Problem, which states that every amount of postage over 12 cents
Finally, for those who wish to have a more formal understanding of why weak and strong induction are
equivalent, consider the following. Let Q(n) = P(0) ∧ P(1) ∧ · · · ∧ P(n). Then, strong induction on P is
equivalent to weak induction on Q.
Example 1: Fibonacci’s rabbits. In the 13th century lived a famous Italian mathematician known as
Fibonacci2 , who in 1202 considered the following rabbit-based puzzle: Starting with a pair of rabbits, how
many rabbits are there after a year, if each month each pair begets a new pair which from the second month
on becomes productive? This model of population growth can be modeled by recursively defining a function;
the resulting sequence of numbers is nowadays referred to as the Fibonacci numbers.
To recursively model our rabbit population, let F(n) denote the number of pairs of rabbits in month n. By
the rules above, our initial conditions are as follows: Clearly F(0) = 0. In month 1, a single pair of rabbits
is introduced, implying F(1) = 1. Finally, since it takes a month for new rabbits to become reproductive,
we also have F(2) = 1.
In month 3, the fun begins. For example, F(3) = 2, since the original pair breeds to produce a new pair. But
how about F(n) for a general value of n? It seems difficult to give an explicit formula for F(n). However,
we can define F(n) recursively as follows. In month n − 1, by definition we have F(n − 1) pairs. How many
of these pairs were productive? Well, only those that were already alive in the previous month, i.e. F(n − 2)
of them. Thus, we have F(n − 2) new pairs in the nth month in addition to our existing F(n − 1) pairs.
Hence, we have F(n) = F(n − 1) + F(n − 2). To summarize:
• F(0) = 0.
• F(1) = 1.
• For n ≥ 2, F(n) = F(n − 1) + F(n − 2).
Pretty neat, except you might wonder why we care about rabbit reproduction in the first place! It turns out
this simplified model of population growth illustrates a fundamental principle: Left unchecked, populations
grow exponentially over time. In fact, understanding the significance of this unchecked exponential popula-
tion growth was a key step that led Darwin to formulate his theory of evolution. To quote Darwin: “There is
no exception to the rule that every organic being increases at so high a rate, that if not destroyed, the earth
would soon be covered by the progeny of a single pair."
Now, we promised you programming in the title of this section, so here it is — a trivial recursive program
to evaluate F(n):
2 Fibonacci
was also known as Leonardo of Pisa. If you ever find yourself in Pisa, Italy, you can visit his grave; his remains are
buried at Campo Santo.
Exercise. How long does it take this program to compute F(n), i.e. how many calls to F(n) are needed?
The exercise above should convince you that this is a very inefficient way to compute the nth Fibonacci
number. Here is a much faster iterative algorithm to accomplish the same task (this should be a familiar
example of turning a tail-recursion into an iterative algorithm):
function F2 (n)
if n=0 then return 0
if n=1 then return 1
a = 1
b = 0
for k = 2 to n do
temp = a
a = a + b
b = temp
return a
Exercise. How long does this iterative algorithm take to compute F2 (n), i.e. how many iterations of its loop
are needed? Can you show by induction that this new function F2 (n) = F(n)?
Example 2: Binary search. We next use induction to analyze a recursive algorithm which even your
grandmother is likely familiar with — binary search! Let us discuss binary search in the context of finding
a word in the dictionary: To find word W , we open the dictionary to its middle page. If the letter of that
page comes after the first letter of W , we recurse on the first half of the dictionary; else, we recurse on the
last half of the dictionary. (For simplicity, we ignore the issue of dividing a dictionary with an odd number
of pages into two halves.) Once we’ve narrowed down the dictionary to a single page, we resort to a brute
force search to find W on that page. In pseudocode, we have:
Let us prove using induction that findWord() is correct, i.e. it returns the definition of W if W is in the
dictionary D. As a bonus, the proof requires us to use strong induction instead of simple induction!
Base Case (n = 1): If D has one page, line 6 searches via brute force for W . Thus, if W is present, it is found
and returned; else, we return “W not found”, as desired.
Inductive Hypothesis: Assume that findWord() is correct for all 1 ≤ n ≤ k. We prove it is correct for
n = k + 1.
Inductive Step: After Step 9, we know W 0 ; thus we can determine whether W must be in the first or second
half of D. In the first case, we recurse on the first half of D in line 11, and in the second case we recurse
on the second half of D in line 13. By the Induction Hypothesis, the recursive call correctly finds W in the
first or second half, or returns “W not found”. Since we return the recursive call’s answer, we conclude
that findWord() correctly finds W in D of size n = k + 1. By the principle of mathematical induction, the
findWord() is correct.
Sanity check! Why did we require strong induction in the proof above?
5 False proofs
It is very easy to prove false things if your proof is incorrect! Let’s illustrate with a famous example. In
the middle of the last century, a colloquial expression in common use was “that is a horse of a different
color", referring to something that is quite different from normal or common expectation. The reknowned
mathematician George Polya, who was also a great expositor of mathematics for the lay public, gave the
following proof to show that there is no horse of a different color!
Proof. We proceed by induction on the number of horses, n. Let P(n) denote the statement of the claim.
Base Case (n = 1): P(1) is certainly true, since if you have a set containing just one horse, all horses in the
set have the same color.
Inductive Step: Given a set of n + 1 horses {h1 , h2 , . . . , hn+1 }, we can exclude the last horse in the set and
apply the inductive hypothesis just to the first n horses {h1 , . . . , hn }, deducing that they all have the same
Clearly, it is not true that all horses are of the same color! So, where did we go wrong? Recall that in order
for the principle of mathematical induction to apply, the induction step must show the statement: ∀n ≥ 1,
P(n) =⇒ P(n + 1). We claim that in the proof above, this statement is false — in particular, there exists a
choice of n which yields a counterexample to this statement.
Exercise. For which value of n is it not true that P(n) =⇒ P(n + 1)? (Hint: Think about the key property in
the proof of having “middle” horses.)
6 Practice Problems
1. Prove for any natural number n that 12 + 22 + 32 + . . . + n2 = 61 n(n + 1)(2n + 1).
4. A common recursively defined function is the factorial, defined for a nonnegative number n as n! =
n(n − 1)(n − 2)...1, with base case 0! = 1. Let us reinforce our understanding of the connection
between recursion and induction by considering the following theorem involving factorials.
Theorem: ∀n ∈ N, n > 1 =⇒ n! < nn .
Prove this theorem using induction. (Hint: In the Inductive Step, write (n + 1)! = (n + 1) · n!, and use
the Induction Hypothesis.)
5. A celebrity at a party is someone whom everyone knows, yet who knows no one. Suppose that you
are at a party with n people. For any pair of people A and B at the party, you can ask A if they know B
and receive an honest answer. Give a recursive algorithm to determine whether there is a celebrity at
the party, and if so who, by asking at most 3n − 4 questions. (Note: for the purpose of this question
you are just visiting the party to ask questions. What you are trying to determine is whether the n
people actually attending the party include a celebrity).
Prove by induction that your algorithm always correctly identifies a celebrity iff there is one, and that
the number of questions is at most 3n − 4.