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Undergraduate Topics in Computer Science

Michael Oberguggenberger
Alexander Ostermann

Analysis for
Computer
Scientists
Foundations, Methods, and
Algorithms
Second Edition
Undergraduate Topics in Computer
Science

Series editor
Ian Mackie

Advisory Board
Samson Abramsky, University of Oxford, Oxford, UK
Chris Hankin, Imperial College London, London, UK
Mike Hinchey, University of Limerick, Limerick, Ireland
Dexter C. Kozen, Cornell University, Ithaca, USA
Andrew Pitts, University of Cambridge, Cambridge, UK
Hanne Riis Nielson, Technical University of Denmark, Kongens Lyngby, Denmark
Steven S. Skiena, Stony Brook University, Stony Brook, USA
Iain Stewart, University of Durham, Durham, UK
Undergraduate Topics in Computer Science (UTiCS) delivers high-quality
instructional content for undergraduates studying in all areas of computing and
information science. From core foundational and theoretical material to final-year
topics and applications, UTiCS books take a fresh, concise, and modern approach
and are ideal for self-study or for a one- or two-semester course. The texts are all
authored by established experts in their fields, reviewed by an international advisory
board, and contain numerous examples and problems. Many include fully worked
solutions.

More information about this series at http://www.springer.com/series/7592

Michael Oberguggenberger
Alexander Ostermann

Analysis for Computer

Scientists
Foundations, Methods, and Algorithms
Second Edition

Translated in collaboration with Elisabeth Bradley

123
Michael Oberguggenberger Alexander Ostermann
University of Innsbruck University of Innsbruck
Innsbruck Innsbruck
Austria Austria

ISSN 1863-7310 ISSN 2197-1781 (electronic)

Undergraduate Topics in Computer Science
ISBN 978-3-319-91154-0 ISBN 978-3-319-91155-7 (eBook)
https://doi.org/10.1007/978-3-319-91155-7

Library of Congress Control Number: 2018941530

1st edition: © Springer-Verlag London Limited 2011

2nd edition: © Springer Nature Switzerland AG 2018
This work is subject to copyright. All rights are reserved by the Publisher, whether the whole or part
of the material is concerned, specifically the rights of translation, reprinting, reuse of illustrations,
recitation, broadcasting, reproduction on microfilms or in any other physical way, and transmission
or information storage and retrieval, electronic adaptation, computer software, or by similar or dissimilar
methodology now known or hereafter developed.
The use of general descriptive names, registered names, trademarks, service marks, etc. in this
publication does not imply, even in the absence of a specific statement, that such names are exempt from
the relevant protective laws and regulations and therefore free for general use.
The publisher, the authors and the editors are safe to assume that the advice and information in this
book are believed to be true and accurate at the date of publication. Neither the publisher nor the
authors or the editors give a warranty, express or implied, with respect to the material contained herein or
for any errors or omissions that may have been made. The publisher remains neutral with regard to
jurisdictional claims in published maps and institutional affiliations.

This Springer imprint is published by the registered company Springer Nature Switzerland AG
The registered company address is: Gewerbestrasse 11, 6330 Cham, Switzerland
Preface to the Second Edition

We are happy that Springer Verlag asked us to prepare the second edition of our
textbook Analysis for Computer Scientists. We are still convinced that the algo-
rithmic approach developed in the first edition is an appropriate concept for pre-
senting the subject of analysis. Accordingly, there was no need to make larger
changes.
However, we took the opportunity to add and update some material. In partic-
ular, we added hyperbolic functions and gave some more details on curves and
surfaces in space. Two new sections have been added: One on second-order dif-
ferential equations and one on the pendulum equation. Moreover, the exercise
sections have been extended considerably. Statistical data have been updated where
appropriate.
Due to the essential importance of the MATLAB programs for our concept, we
have decided to provide these programs additionally in Python for the users’
convenience.
We thank the editors of Springer, especially Simon Rees and Wayne Wheeler,
for their support during the preparation of the second edition.

Innsbruck, Austria Michael Oberguggenberger

March 2018 Alexander Ostermann

v
Preface to the First Edition

Mathematics and mathematical modelling are of central importance in computer

science. For this reason the teaching concepts of mathematics in computer science
have to be constantly reconsidered, and the choice of material and the motivation
have to be adapted. This applies in particular to mathematical analysis, whose
significance has to be conveyed in an environment where thinking in discrete
structures is predominant. On the one hand, an analysis course in computer science
has to cover the essential basic knowledge. On the other hand, it has to convey the
importance of mathematical analysis in applications, especially those which will be
encountered by computer scientists in their professional life.
We see a need to renew the didactic principles of mathematics teaching in
computer science, and to restructure the teaching according to contemporary
requirements. We try to give an answer with this textbook which we have devel-
oped based on the following concepts:
1. algorithmic approach;
2. concise presentation;
3. integrating mathematical software as an important component;
4. emphasis on modelling and applications of analysis.
The book is positioned in the triangle between mathematics, computer science and
applications. In this field, algorithmic thinking is of high importance. The algo-
rithmic approach chosen by us encompasses:
a. development of concepts of analysis from an algorithmic point of view;
b. illustrations and explanations using MATLAB and maple programs as well as Java
applets;
c. computer experiments and programming exercises as motivation for actively
acquiring the subject matter;
d. mathematical theory combined with basic concepts and methods of numerical
analysis.
Concise presentation means for us that we have deliberately reduced the subject
matter to the essential ideas. For example, we do not discuss the general conver-
gence theory of power series; however, we do outline Taylor expansion with an
estimate of the remainder term. (Taylor expansion is included in the book as it is an

vii
viii Preface to the First Edition

indispensable tool for modelling and numerical analysis.) For the sake of read-
ability, proofs are only detailed in the main text if they introduce essential ideas and
contribute to the understanding of the concepts. To continue with the example
above, the integral representation of the remainder term of the Taylor expansion is
derived by integration by parts. In contrast, Lagrange’s form of the remainder term,
which requires the mean value theorem of integration, is only mentioned. Never-
theless we have put effort into ensuring a self-contained presentation. We assign a
high value to geometric intuition, which is reflected in a large number of
illustrations.
Due to the terse presentation it was possible to cover the whole spectrum from
foundations to interesting applications of analysis (again selected from the view-
point of computer science), such as fractals, L-systems, curves and surfaces, linear
regression, differential equations and dynamical systems. These topics give suffi-
cient opportunity to enter various aspects of mathematical modelling.
The present book is a translation of the original German version that appeared in
2005 (with the second edition in 2009). We have kept the structure of the German
text, but took the opportunity to improve the presentation at various places.
The contents of the book are as follows. Chapters 1–8, 10–12 and 14–17 are
devoted to the basic concepts of analysis, and Chapters 9, 13 and 18–21 are ded-
icated to important applications and more advanced topics. The Appendices A and
B collect some tools from vector and matrix algebra, and Appendix C supplies
further details which were deliberately omitted in the main text. The employed
software, which is an integral part of our concept, is summarised in Appendix D.
Each chapter is preceded by a brief introduction for orientation. The text is enriched
by computer experiments which should encourage the reader to actively acquire the
subject matter. Finally, every chapter has exercises, half of which are to be solved
with the help of computer programs. The book can be used from the first semester
on as the main textbook for a course, as a complementary text or for self-study.
We thank Elisabeth Bradley for her help in the translation of the text. Further, we
thank the editors of Springer, especially Simon Rees and Wayne Wheeler, for their
support and advice during the preparation of the English text.

Innsbruck, Austria Michael Oberguggenberger

January 2011 Alexander Ostermann
Contents

1 Numbers. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.1 The Real Numbers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.2 Order Relation and Arithmetic on R . . . . . . . . . . . . . . . . . . . . . . 5
1.3 Machine Numbers. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
1.4 Rounding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
1.5 Exercises. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
2 Real-Valued Functions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
2.1 Basic Notions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
2.2 Some Elementary Functions . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
2.3 Exercises. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
3 Trigonometry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
3.1 Trigonometric Functions at the Triangle . . . . . . . . . . . . . . . . . . . 27
3.2 Extension of the Trigonometric Functions to R . . . . . . . . . . . . . 31
3.3 Cyclometric Functions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
3.4 Exercises. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
4 Complex Numbers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
4.1 The Notion of Complex Numbers. . . . . . . . . . . . . . . . . . . . . . . . 39
4.2 The Complex Exponential Function . . . . . . . . . . . . . . . . . . . . . . 42
4.3 Mapping Properties of Complex Functions . . . . . . . . . . . . . . . . . 44
4.4 Exercises. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
5 Sequences and Series . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49
5.1 The Notion of an Infinite Sequence . . . . . . . . . . . . . . . . . . . . . . 49
5.2 The Completeness of the Set of Real Numbers . . . . . . . . . . . . . 55
5.3 Infinite Series . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58
5.4 Supplement: Accumulation Points of Sequences . . . . . . . . . . . . . 62
5.5 Exercises. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65
6 Limits and Continuity of Functions . . . . . . . . . . . . . . . . . . . . . . . . . . 69
6.1 The Notion of Continuity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69
6.2 Trigonometric Limits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74

ix
x Contents

6.3 Zeros of Continuous Functions . . . . . . . . . . . . . . . . . . . . . . . . . . 75

6.4 Exercises. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78
7 The Derivative of a Function . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81
7.1 Motivation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81
7.2 The Derivative . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83
7.3 Interpretations of the Derivative . . . . . . . . . . . . . . . . . . . . . . . . . 87
7.4 Differentiation Rules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90
7.5 Numerical Differentiation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 96
7.6 Exercises. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101
8 Applications of the Derivative . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105
8.1 Curve Sketching . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105
8.2 Newton’s Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110
8.3 Regression Line Through the Origin . . . . . . . . . . . . . . . . . . . . . . 115
8.4 Exercises. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 118
9 Fractals and L-systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123
9.1 Fractals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 124
9.2 Mandelbrot Sets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 130
9.3 Julia Sets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 131
9.4 Newton’s Method in C . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 132
9.5 L-systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 134
9.6 Exercises. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 138
10 Antiderivatives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 139
10.1 Indefinite Integrals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 139
10.2 Integration Formulas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 142
10.3 Exercises. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 146
11 Definite Integrals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 149
11.1 The Riemann Integral . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 149
11.2 Fundamental Theorems of Calculus . . . . . . . . . . . . . . . . . . . . . . 155
11.3 Applications of the Definite Integral . . . . . . . . . . . . . . . . . . . . . . 158
11.4 Exercises. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 161
12 Taylor Series . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 165
12.1 Taylor’s Formula . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 165
12.2 Taylor’s Theorem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 169
12.3 Applications of Taylor’s Formula . . . . . . . . . . . . . . . . . . . . . . . . 170
12.4 Exercises. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 173
13 Numerical Integration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 175
13.1 Quadrature Formulas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 175
13.2 Accuracy and Efficiency . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 180
13.3 Exercises. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 182
Contents xi

14 Curves . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 185
14.1 Parametrised Curves in the Plane . . . . . . . . . . . . . . . . . . . . . . . . 185
14.2 Arc Length and Curvature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 193
14.3 Plane Curves in Polar Coordinates . . . . . . . . . . . . . . . . . . . . . . . 200
14.4 Parametrised Space Curves . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 202
14.5 Exercises. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 204
15 Scalar-Valued Functions of Two Variables . . . . . . . . . . . . . . . . . . . . 209
15.1 Graph and Partial Mappings . . . . . . . . . . . . . . . . . . . . . . . . . . . . 209
15.2 Continuity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 211
15.3 Partial Derivatives. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 212
15.4 The Fréchet Derivative . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 216
15.5 Directional Derivative and Gradient . . . . . . . . . . . . . . . . . . . . . . 221
15.6 The Taylor Formula in Two Variables . . . . . . . . . . . . . . . . . . . . 223
15.7 Local Maxima and Minima. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 224
15.8 Exercises. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 228
16 Vector-Valued Functions of Two Variables . . . . . . . . . . . . . . . . . . . . 231
16.1 Vector Fields and the Jacobian . . . . . . . . . . . . . . . . . . . . . . . . . . 231
16.2 Newton’s Method in Two Variables . . . . . . . . . . . . . . . . . . . . . . 233
16.3 Parametric Surfaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 236
16.4 Exercises. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 238
17 Integration of Functions of Two Variables . . . . . . . . . . . . . . . . . . . . 241
17.1 Double Integrals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 241
17.2 Applications of the Double Integral . . . . . . . . . . . . . . . . . . . . . . 247
17.3 The Transformation Formula . . . . . . . . . . . . . . . . . . . . . . . . . . . 249
17.4 Exercises. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 253
18 Linear Regression . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 255
18.1 Simple Linear Regression . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 255
18.2 Rudiments of the Analysis of Variance . . . . . . . . . . . . . . . . . . . 261
18.3 Multiple Linear Regression . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 265
18.4 Model Fitting and Variable Selection . . . . . . . . . . . . . . . . . . . . . 267
18.5 Exercises. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 271
19 Differential Equations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 275
19.1 Initial Value Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 275
19.2 First-Order Linear Differential Equations . . . . . . . . . . . . . . . . . . 278
19.3 Existence and Uniqueness of the Solution . . . . . . . . . . . . . . . . . 283
19.4 Method of Power Series . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 286
19.5 Qualitative Theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 288
19.6 Second-Order Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 290
19.7 Exercises. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 294
xii Contents

20 Systems of Differential Equations . . . . . . . . . . . . . . . . . . . . . . . . . . . . 297

20.1 Systems of Linear Differential Equations . . . . . . . . . . . . . . . . . . 297
20.2 Systems of Nonlinear Differential Equations . . . . . . . . . . . . . . . . 308
20.3 The Pendulum Equation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 312
20.4 Exercises. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 317
21 Numerical Solution of Differential Equations . . . . . . . . . . . . . . . . . . 321
21.1 The Explicit Euler Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 321
21.2 Stability and Stiff Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . 324
21.3 Systems of Differential Equations . . . . . . . . . . . . . . . . . . . . . . . . 327
21.4 Exercises. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 328
Appendix A: Vector Algebra . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 331
Appendix B: Matrices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 343
Appendix C: Further Results on Continuity . . . . . . . . . . . . . . . . . . . . . . . 353
Appendix D: Description of the Supplementary Software . . . . . . . . . . . . 365
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 367
Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 369
Numbers
1

The commonly known rational numbers (fractions) are not sufficient for a rigor-
ous foundation of mathematical analysis. The historical development shows that for
issues concerning analysis, the rational numbers have to be extended to the real num-
bers. For clarity we introduce the real numbers as decimal numbers with an infinite
number of decimal places. We illustrate exemplarily how the rules of calculation and
the order relation extend from the rational to the real numbers in a natural way.
A further section is dedicated to floating point numbers, which are implemented
in most programming languages as approximations to the real numbers. In particular,
we will discuss optimal rounding and in connection with this the relative machine
accuracy.

1.1 The Real Numbers

In this book we assume the following number systems as known:

N = {1, 2, 3, 4, . . .} the set of natural numbers;

N0 = N ∪ {0} the set of natural numbers including zero;
Z = {. . . , −3, −2, −1, 0, 1, 2, 3, . . .} the set of integers;
k 
Q = n ; k ∈ Z and n ∈ N the set of rational numbers.

Two rational numbers nk and m are equal if and only if km = n. Further an integer
k ∈ Z can be identified with the fraction k1 ∈ Q. Consequently, the inclusions N ⊂
Z ⊂ Q are true.

© Springer Nature Switzerland AG 2018 1

M. Oberguggenberger and A. Ostermann, Analysis for Computer Scientists,
Undergraduate Topics in Computer Science,
https://doi.org/10.1007/978-3-319-91155-7_1
2 1 Numbers

Let M and N be arbitrary sets. A mapping from M to N is a rule which assigns to

each element in M exactly one element in N .1 A mapping is called bijective, if for
each element n ∈ N there exists exactly one element in M which is assigned to n.

Definition 1.1 Two sets M and N have the same cardinality if there exists a bijective
mapping between these sets. A set M is called countably infinite if it has the same
cardinality as N.

The sets N, Z and Q have the same cardinality and in this sense are equally large.
All three sets have an infinite number of elements which can be enumerated. Each
enumeration represents a bijective mapping to N. The countability of Z can be seen
from the representation Z = {0, 1, −1, 2, −2, 3, −3, . . .}. To prove the countability
of Q, Cantor’s2 diagonal method is being used:
1
1 → 2
1
3
1 → 4
1 ...
  
1
2
2
2
3
2
4
2 ...
↓  
1
3
2
3
3
3
4
3 ...

1
4
2
4
3
4
4
4 ...
.. .. .. ..
. . . .

The enumeration is carried out in direction of the arrows, where each rational number
is only counted at its first appearance. In this way the countability of all positive
rational number (and therefore all rational numbers) is proven.
To visualise the rational numbers we use a line, which can be pictured as an
infinitely long ruler, on which an arbitrary point is labelled as zero. The integers are
marked equidistantly starting from zero. Likewise each rational number is allocated
a specific place on the real line according to its size, see Fig. 1.1.
However, the real line also contains points which do not correspond to rational
numbers. (We say that Q is not complete.) For instance, the length of the diagonal d
in the unit square (see Fig. 1.2) can be measured
√ with a ruler. Yet, the Pythagoreans
already knew that d 2 = 2, but that d = 2 is not a rational number.

−2 −1 − 12 0 1
3
1
2 1 a 2

Fig. 1.1 The real line

1 We will rarely use the term mapping in such generality. The special case of real-valued functions,
which is important for us, will be discussed thoroughly in Chap. 2.
2 G. Cantor, 1845–1918.
1.1 The Real Numbers 3

Fig. 1.2 Diagonal in the unit

√
square 2
1

√
Proposition 1.2 2∈
/ Q.
√
Proof
√ This statement is proven indirectly. Assume√ that 2 were rational. Then
2 can be represented as a reduced fraction 2 = nk ∈ Q. Squaring this equa-
tion gives k 2 = 2n 2 and thus k 2 would be an even number. This is only possible if
k itself is an even number, so k = 2l. If we substitute this into the above we obtain
4l 2 = 2n 2 which simplifies to 2l 2 = n 2 . Consequently n would also be even which
is in contradiction to the initial assumption that the fraction nk was reduced. 
√
As it is generally known, 2 is the unique positive root of the polynomial x 2 − 2.
The naive supposition that all non-rational numbers are roots of polynomials with
integer coefficients turns out to be incorrect. There are other non-rational numbers
(so-called transcendental numbers) which cannot be represented in this way. For
example, the ratio of a circle’s circumference to its diameter

π = 3.141592653589793... ∈
/Q

is transcendental, but can be represented on the real line as half the circumference
of the circle with radius 1 (e.g. through unwinding).
In the following we will take up a pragmatic point of view and construct the
missing numbers as decimals.

Definition 1.3 A finite decimal number x with l decimal places has the form

x = ± d0 .d1 d2 d3 . . . dl

with d0 ∈ N0 and the single digits di ∈ {0, 1, . . . , 9}, 1 ≤ i ≤ l, with dl = 0.

Proposition 1.4 (Representing rational numbers as decimals) Each rational num-

ber can be written as a finite or periodic decimal.

Proof Let q ∈ Q and consequently q = nk with k ∈ Z and n ∈ N. One obtains the

representation of q as a decimal by successive division with remainder. Since the
remainder r ∈ N always fulfils the condition 0 ≤ r < n, the remainder will be zero
or periodic after a maximum of n iterations. 

Example 1.5 Let us take q = − 57 ∈ Q as an example. Successive division with re-

mainder shows that q = −0.71428571428571... with remainders 5, 1, 3, 2, 6, 4, 5,
1, 3, 2, 6, 4, 5, 1, 3, . . . The period of this decimal is six.
4 1 Numbers

Each nonzero decimal with a finite number of decimal places can be written as a
periodic decimal (with an infinite number of decimal places). To this end one dimin-
ishes the last nonzero digit by one and then fills the remaining infinitely many decimal
places with the digit 9. For example, the fraction − 50 17
= −0.34 = −0.3399999...
becomes periodic after the third decimal place. In this way Q can be considered as
the set of all decimals which turn periodic from a certain number of decimal places
onwards.

Definition 1.6 The set of real numbers R consists of all decimals of the form

± d0 .d1 d2 d3 ...

with d0 ∈ N0 and digits di ∈ {0, ..., 9}, i.e. decimals with an infinite number of
decimal places. The set R \ Q is called the set of irrational numbers.

Obviously Q ⊂ R. According to what was mentioned so far the numbers

√
0.1010010001000010... and 2

are irrational. There are much more irrational than rational numbers, as is shown by
the following proposition.

Proposition 1.7 The set R is not countable and has therefore higher cardinality
than Q.

Proof This statement is proven indirectly. Assume the real numbers between 0 and
1 to be countable and tabulate them:

1 0. d11 d12 d13 d14 ...

2 0. d21 d22 d23 d24 ...
3 0. d31 d32 d33 d34 ...
4 0. d41 d42 d43 d44 ...
. ...
. ...

With the help of this list, we define


1 if dii = 2,
di =
2 else.

Then x = 0.d1 d2 d3 d4 ... is not included in the above list which is a contradiction to
the initial assumption of countability. 
1.1 The Real Numbers 5

30

1;24,51,10
5
42;25,3

Fig. 1.3 Babylonian cuneiform inscription YBC 7289 (Yale Babylonian Collection, with authori-
sation) from 1900 before our time with a translation of the inscription
√ according to [1]. It represents
a square with side length 30 and diagonals 42; 25, 35. The ratio is 2 ≈ 1; 24, 51, 10

However, although R contains considerably more numbers than Q, every real

number can be approximated by rational numbers to any degree of accuracy, e.g.
π to nine digits
314159265
π≈ ∈ Q.
100000000
Good
√ approximations to the real numbers are sufficient for practical applications.
For 2, already the Babylonians were aware of such approximations:

√ 24 51 10
2 ≈ 1; 24, 51, 10 = 1 + + 2 + 3 = 1.41421296... ,
60 60 60
see Fig. 1.3. The somewhat unfamiliar notation is due to the fact that the Babylonians
worked in the sexagesimal system with base 60.

1.2 Order Relation and Arithmetic on R

In the following we write real numbers (uniquely) as decimals with an infinite number
of decimal places, for example, we write 0.2999... instead of 0.3.

Definition 1.8 (Order relation) Let a = a0 .a1 a2 ... and b = b0 .b1 b2 ... be non-
negative real numbers in decimal form, i.e. a0 , b0 ∈ N0 .

(a) One says that a is less than or equal to b (and writes a ≤ b), if a = b or if there
is an index j ∈ N0 such that a j < b j and ai = bi for i = 0, . . . , j − 1.
(b) Furthermore one stipulates that always −a ≤ b and sets −a ≤ −b whenever
b ≤ a.

This definition extends the known orders of N and Q to R. The interpretation of

the order relation ≤ on the real line is as follows: a ≤ b holds true, if a is to the left
of b on the real line, or a = b.
6 1 Numbers

The relation ≤ obviously has the following properties. For all a, b, c ∈ R it holds
that

a ≤ a (reflexivity),
a ≤ b and b ≤ c ⇒ a ≤ c (transitivity),
a ≤ b and b ≤ a ⇒ a = b (antisymmetry).

In case of a ≤ b and a = b one writes a < b and calls a less than b. Furthermore
one defines a ≥ b, if b ≤ a (in words: a greater than or equal to b), and a > b, if
b < a (in words: a greater than b).
Addition and multiplication can be carried over from Q to R in a similar way.
Graphically one uses the fact that each real number corresponds to a segment on
the real line. One thus defines the addition of real numbers as the addition of the
respective segments.
A rigorous and at the same time algorithmic definition of the addition starts from
the observation that real numbers can be approximated by rational numbers to any
degree of accuracy. Let a = a0 .a1 a2 ... and b = b0 .b1 b2 ... be two non-negative real
numbers. By cutting them off after k decimal places we obtain two rational approxi-
mations a (k) = a0 .a1 a2 ...ak ≈ a and b(k) = b0 .b1 b2 ...bk ≈ b. Then a (k) + b(k) is a
monotonically increasing sequence of approximations to the yet to be defined num-
ber a + b. This allows one to define a + b as supremum of these approximations.
To justify this approach rigorously we refer to Chap. 5. The multiplication of real
numbers is defined in the same way. It turns out that the real numbers with addition
and multiplication (R, +, ·) are a field. Therefore the usual rules of calculation apply,
e.g., the distributive law
(a + b)c = ac + bc.
The following proposition recapitulates some of the important rules for ≤. The
statements can easily be verified with the help of the real line.

Proposition 1.9 For all a, b, c ∈ R the following holds:

a≤b ⇒ a + c ≤ b + c,
a ≤ b and c ≥ 0 ⇒ ac ≤ bc,
a ≤ b and c ≤ 0 ⇒ ac ≥ bc.

Note that a < b does not imply a 2 < b2 . For example −2 < 1, but nonetheless
4 > 1. However, for a, b ≥ 0 it always holds that a < b ⇔ a 2 < b2 .

Definition 1.10 (Intervals) The following subsets of R are called intervals:

[a, b] = {x ∈R; a ≤x ≤ b} closed interval;

(a, b] = {x ∈R; a <x ≤ b} left half-open interval;
[a, b) = {x ∈R; a ≤x < b} right half-open interval;
(a, b) = {x ∈R; a <x < b} open interval.
1.2 Order Relation and Arithmetic on R 7

a b c d e f

Fig. 1.4 The intervals (a, b), [c, d] and (e, f ] on the real line

Intervals can be visualised on the real line, as illustrated in Fig. 1.4.

It proves to be useful to introduce the symbols −∞ (minus infinity) and ∞
(infinity), by means of the property

∀a ∈ R : −∞ < a < ∞.

One may then define, e.g., the improper intervals

[a, ∞) = {x ∈ R ; x ≥ a}
(−∞, b) = {x ∈ R ; x < b}

and furthermore (−∞, ∞) = R. Note that −∞ and ∞ are only symbols and not
real numbers.

Definition 1.11 The absolute value of a real number a is defined as


a, if a ≥ 0,
|a| =
−a, if a < 0.

As an application of the properties of the order relation given in Proposition 1.9

we exemplarily solve some inequalities.

Example 1.12 Find all x ∈ R satisfying −3x − 2 ≤ 5 < −3x + 4. In this example
we have the following two inequalities

−3x − 2 ≤ 5 and 5 < −3x + 4.

The first inequality can be rearranged to

7
−3x ≤ 7 ⇔ x ≥− .
3
This is the first constraint for x. The second inequality states

1
3x < −1 ⇔ x <−
3
and poses a second constraint for x. The solution to the original problem must fulfil
both constraints. Therefore the solution set is
   
7 1 7 1
S = x ∈ R; − ≤ x < − = − ,− .
3 3 3 3
8 1 Numbers

Example 1.13 Find all x ∈ R satisfying x 2 − 2x ≥ 3. By completing the square the

inequality is rewritten as

(x − 1)2 = x 2 − 2x + 1 ≥ 4.

Taking the square root we obtain two possibilities

x −1≥2 or x − 1 ≤ −2.

The combination of those gives the solution set

S = {x ∈ R ; x ≥ 3 or x ≤ −1} = (−∞, −1] ∪ [3, ∞).

1.3 Machine Numbers

The real numbers can be realised only partially on a computer. In exact arithmetic,
√ for example in maple, real numbers are treated as symbolic expressions, e.g.
like
2 = RootOf(_Zˆ2-2). With the help of the command evalf they can be
evaluated, exact to many decimal places.
The floating point numbers that are usually employed in programming languages
as substitutes for the real numbers have a fixed relative accuracy, e.g. double precision
with 52 bit mantissa. The arithmetic rules of R are not valid for these machine
numbers, e.g.
1 + 10−20 = 1
in double precision. Floating point numbers are standardised by the Institute of
Electrical and Electronics Engineers IEEE 754-1985 and by the International Elec-
trotechnical Commission IEC 559:1989. In the following we give a short outline of
these machine numbers. Further information can be found in [20].
One distinguishes between single and double format. The single format (single
precision) requires 32-bit storage space

V e M
1 8 23

The double format (double precision) requires 64-bit storage space

V e M
1 11 52

Here, V ∈ {0, 1} denotes the sign, emin ≤ e ≤ emax is the exponent (a signed integer)
and M is the mantissa of length p

M = d1 2−1 + d2 2−2 + . . . + d p 2− p ∼
= d1 d2 . . . d p , d j ∈ {0, 1}.
1.3 Machine Numbers 9

0 2emin −1 2emin 2emin +1

Fig. 1.5 Floating point numbers on the real line

This representation corresponds to the following number x:


p
x = (−1) 2 V e
d j 2− j .
j=1

Normalised floating point numbers in base 2 always have d1 = 1. Therefore, one

does not need to store d1 and obtains for the mantissa

single precision p = 24;

double precision p = 53.

To simplify matters we will only describe the key features of floating point numbers.
For the subtleties of the IEEE-IEC standard, we refer to [20].
In our representation the following range applies for the exponents:

emin emax
single precision −125 128
double precision −1021 1024

With M = Mmax and e = emax one obtains the largest floating point number

xmax = 1 − 2− p 2emax ,

whereas M = Mmin and e = emin gives the smallest positive (normalised) floating
point number
xmin = 2emin −1 .
The floating point numbers are not evenly distributed on the real line, but their relative
density is nearly constant, see Fig. 1.5.
In the IEEE standard the following approximate values apply:
xmin xmax
single precision 1.18 · 10−38 3.40 · 1038
double precision 2.23 · 10−308 1.80 · 10308

Furthermore, there are special symbols like

±INF ... ±∞
NaN ... not a number, e.g. for zero divided by zero.

In general, one can continue calculating with these symbols without program termi-
nation.
10 1 Numbers

1.4 Rounding

Let x = a · 2e ∈ R with 1/2 ≤ a < 1 and xmin ≤ x ≤ xmax . Furthermore, let

u, v be two adjacent machine numbers with u ≤ x ≤ v. Then

u= 0 e b1 . . . b p

and

v=u+ 0 e 00 . . . 01 = u + 0 e − ( p − 1) 10 . . . 00

Thus v − u = 2e− p and the inequality

1
|rd(x) − x| ≤ (v − u) = 2e− p−1
2
holds for the optimal rounding rd(x) of x. With this estimate one can determine the
relative error of the rounding. Due to a1 ≤ 2 it holds that

|rd(x) − x| 2e− p−1

≤ ≤ 2 · 2− p−1 = 2− p .
x a · 2e
The same calculation is valid for negative x (by using the absolute value).

Definition 1.14 The number eps = 2− p is called relative machine accuracy.

The following proposition is an important application of this concept.

Proposition 1.15 Let x ∈ R with xmin ≤ |x| ≤ xmax . Then there exists ε ∈ R with

rd(x) = x(1 + ε) and |ε| ≤ eps.

Proof We define
rd(x) − x
ε= .
x
According to the calculation above, we have |ε| ≤ eps. 

Experiment 1.16 (Experimental determination of eps) Let z be the smallest pos-

itive machine number for which 1 + z > 1.

1= 0 1 100 . . . 00 , z= 0 1 000 . . . 01 = 2 · 2− p .

Thus z = 2 eps. The number z can be determined experimentally and therefore eps
as well. (Note that the number z is called eps in MATLAB.)
1.4 Rounding 11

In IEC/IEEE standard the following applies:

single precision : eps = 2−24 ≈ 5.96 · 10−8 ,

double precision : eps = 2−53 ≈ 1.11 · 10−16 .

In double precision arithmetic an accuracy of approximately 16 places is available.

1.5 Exercises
√
1. Show that 3 is irrational.
2. Prove the triangle inequality

|a + b| ≤ |a| + |b|

for all a, b ∈ R.
Hint. Distinguish the cases where a and b have either the same or different signs.
3. Sketch the following subsets of the real line:

A = {x : |x| ≤ 1}, B = {x : |x − 1| ≤ 2}, C = {x : |x| ≥ 3}.

More generally, sketch the set Ur (a) = {x : |x − a| < r } (for a ∈ R, r > 0).
Convince yourself that Ur (a) is the set of points of distance less than r to the
point a.
4. Solve the following inequalities by hand as well as with maple (using solve).
State the solution set in interval notation.
1
(a) 4x 2 ≤ 8x + 1, (b) > 3 + x,
3−x
1+x
(c) 2 − x 2 ≥ x 2, (d) > 1,
1−x
(e) x 2 < 6 + x, (f) |x| − x ≥ 1,
(g) |1 − x 2 | ≤ 2x + 2, (h) 4x 2 − 13x + 4 < 1.

5. Determine the solution set of the inequality

20
8(x − 2) ≥ + 3(x − 7).
x +1

6. Sketch the regions in the (x, y)-plane which are given by

(a) x = y; (b) y < x; (c) y > x; (d) y > |x|; (e) |y| > |x|.

Hint. Consult Sects. A.1 and A.6 for basic plane geometry.
12 1 Numbers

7. Compute the binary representation of the floating point number x = 0.1 in single
precision IEEE arithmetic.
8. Experimentally determine the relative machine accuracy eps.
Hint. Write a computer program in your programming language of choice which
calculates the smallest machine number z such that 1 + z > 1.
Real-Valued Functions
2

The notion of a function is the mathematical way of formalising the idea that one
or more independent quantities are assigned to one or more dependent quantities.
Functions in general and their investigation are at the core of analysis. They help to
model dependencies of variable quantities, from simple planar graphs, curves and
surfaces in space to solutions of differential equations or the algorithmic construction
of fractals. One the one hand, this chapter serves to introduce the basic concepts. On
the other hand, the most important examples of real-valued, elementary functions
are discussed in an informal way. These include the power functions, the exponential
functions and their inverses. Trigonometric functions will be discussed in Chap. 3,
complex-valued functions in Chap. 4.

2.1 Basic Notions

The simplest case of a real-valued function is a double-row list of numbers, consisting

of values from an independent quantity x and corresponding values of a dependent
quantity y.

Experiment 2.1 Study the mapping y = x 2 with the help of MATLAB. First choose
the region D in which the x-values should vary, for instance D = {x ∈ R : −1 ≤
x ≤ 1}. The command
x = −1 : 0.01 : 1;
produces a list of x-values, the row vector

x = [x1 , x2 , . . . , xn ] = [−1.00, −0.99, −0.98, . . . , 0.99, 1.00].

© Springer Nature Switzerland AG 2018 13

M. Oberguggenberger and A. Ostermann, Analysis for Computer Scientists,
Undergraduate Topics in Computer Science,
https://doi.org/10.1007/978-3-319-91155-7_2
14 2 Real-Valued Functions

Using
y = x.ˆ2;
a row vector of the same length of corresponding y-values is generated. Finally
plot(x,y) plots the points (x1 , y1 ), . . . , (xn , yn ) in the coordinate plane and con-
nects them with line segments. The result can be seen in Fig. 2.1.

In the general mathematical framework we do not just want to assign finite lists
of values. In many areas of mathematics functions defined on arbitrary sets are
needed. For the general set-theoretic notion of a function we refer to the literature,
e.g. [3, Chap. 0.2]. This section is dedicated to real-valued functions, which are
central in analysis.

Definition 2.2 A real-valued function f with domain D and range R is a rule which
assigns to every x ∈ D a real number y ∈ R.

In general, D is an arbitrary set. In this section, 1

however, it will be a subset of R. For the expres-
sion function we also use the word mapping synony- 0.5
mously. A function is denoted by

f : D → R : x → y = f (x). 0
−1 0 1
The graph of the function f is the set Fig. 2.1 A function

Γ ( f ) = {(x, y) ∈ D × R ; y = f (x)}.

In the case of D ⊂ R the graph can also be represented as a subset of the coordinate
plane. The set of the actually assumed values is called image of f or proper range:

f (D) = { f (x) ; x ∈ D}.

Example 2.3 A part of the graph of the quadratic function f : R → R, f (x) = x 2

is shown in Fig. 2.2. If one chooses the domain to be D = R, then the image is the
interval f (D) = [0, ∞).

An important tool is the concept of inverse functions, whether to solve equations

or to find new types of functions. If and in which domain a given function has an
inverse depends on two main properties, the injectivity and the surjectivity, which
we investigate on their own at first.

Definition 2.4 (a) A function f : D → R is called injective or one-to-one, if differ-

ent arguments always have different function values:

x1 = x2 ⇒ f (x1 ) = f (x2 ).
2.1 Basic Notions 15

1.5
y
1

0.5 (x, x2 )
Γ (f )
0
D=R x
−0.5
−1 0 1

Fig. 2.2 Quadratic function

(b) A function f : D → B ⊂ R is called surjective or onto from D to B, if each

y ∈ B appears as a function value:

∀y ∈ B ∃x ∈ D : y = f (x).

(c) A function f : D → B is called bijective, if it is injective and surjective.

Figures 2.3 and 2.4 illustrate these notions.

Surjectivity can always be enforced by reducing the range B; for example,
f : D → f (D) is always surjective. Likewise, injectivity can be obtained by restrict-
ing the domain to a subdomain.
If f : D → B is bijective, then for every y ∈ B there exists exactly one x ∈ D
with y = f (x). The mapping y → x then defines the inverse of the mapping x → y.

Definition 2.5 If the function

f : D → B : y = f (x),

is bijective, then the assignment

f −1 : B → D : x = f −1 (y),

1.5
y = x2 y = x3
1.5 1

1 0.5

0.5 0
x
−0.5
0
x −1 injective
−0.5 not injective
−1.5
−1 0 1 −1 0 1

Fig. 2.3 Injectivity

16 2 Real-Valued Functions

1.5
y=x 4 y = 2x3 − x
1.5 1

1 0.5

0
0.5 x
x −0.5
0
−1 surjective
−0.5 not surjective on B = R
−1.5
−1 0 1 −1 0 1

Fig. 2.4 Surjectivity

Fig. 2.5 Bijectivity and y

inverse function
y = f (x) = x2

√
x = f −1 (y) = y
x

which maps each y ∈ B to the unique x ∈ D with y = f (x) is called the inverse
function of the function f .

Example 2.6 The quadratic function f (x) = x 2 is bijective from D = [0, ∞) to

B = [0, ∞). In these intervals (x ≥ 0, y ≥ 0) one has
√
y = x2 ⇔ x= y.
√
Here y denotes the positive square root. Thus the inverse of the quadratic function
√
on the above intervals is given by f −1 (y) = y ; see Fig. 2.5.

Once one has found the inverse function f −1 , it is usually written with variables
y = f −1 (x). This corresponds to flipping the graph of y = f (x) about the diagonal
y = x, as is shown in Fig. 2.6.

Experiment 2.7 The term inverse function is clearly illustrated by the MATLAB plot
command. The graph of the inverse function can easily be plotted by interchanging
the variables, which exactly corresponds to flipping the lists y ↔ x. For example,
2.1 Basic Notions 17

Fig. 2.6 Inverse function y

and reflection in the diagonal
y = f −1 (x)

y = f (x)

the graphs in Fig. 2.6 are obtained by

x = 0:0.01:1;
y = x.ˆ2;
plot(x,y)
hold on
plot(y,x)

How the formatting, the dashed diagonal and the labelling are obtained can be learned
from the M-file mat02_1.m.

2.2 Some Elementary Functions

The elementary functions are the powers and roots, exponential functions and loga-
rithms, trigonometric functions and their inverse functions, as well as all functions
which are obtained by combining these. We are going to discuss the most important
basic types which have historically proven to be of importance for applications. The
trigonometric functions will be dealt with in Chap. 3.

Linear functions (straight lines). A linear function R → R assigns each x-value a

fixed multiple as y-value, i.e.,
y = kx.
Here
increase in height Δy
k= =
increase in length Δx
is the slope of the graph, which is a straight line through the origin. The connection
between the slope and the angle between the straight line and x-axis is discussed in
Sect. 3.1. Adding an intercept d ∈ R translates the straight line d units in y-direction
(Fig. 2.7). The equation is then
y = kx + d.
Exploring the Variety of Random
Documents with Different Content
 PLATE V.
THE OLD FARM
INN, BOURNVILLE.

While it was the first aim of the founder to provide dwellings for the
factory worker which should have adequate accommodation and large
gardens, it was not intended that at Bournville provision should be
made alone for the poorer working class. It might be pointed out that
one of the most prominent ideals in the scheme of the Garden Suburb
Trust, already referred to, is “that all classes may live in kindly
neighbourliness,” and the amalgamation of the factory-worker and the
brain-worker in the same district is catered for as being expressly
desirable. At Bournville there has always been a demand for houses
both on the part of the skilled artisan and others, and this demand
has been provided for from the first. Rents in the village range from
4s. 6d. a week, rates not included, to 12s. a week; and there are also
a few houses of a still larger class at higher rentals. Nor are the
houses let to Messrs. Cadbury’s own workpeople exclusively, as the
following figures will show—figures based on a private census taken
during 1901, and here quoted from a booklet issued by the Village
Trust:—
Proportion of Householders working in—
Bournville per
41·2 cent.
Villages within a mile of Bournville 18·6 „
Birmingham 40·2 „
Occupations of Householders—
Employed at indoor work in per
factories 50·7 cent.
Clerks and travellers 13·3 „
Mechanics, carpenters, bricklayers,
and various occupations not
admitting of exact classification 36·0 „
The village is four miles from Birmingham, and is easily accessible
by cycle, rail, or electric car. The last come within easy distance of the
village, workmen’s fares being 2d. return.
Under the founder’s first scheme the land was let upon leases of
999 years, subject to a ground rent varying from ½d. to 1d. per yard
(600 square yards at ½d. and 1d. = £1 5s. and £2 10s. respectively).
Arrangements were made to find capital on mortgages granted at the
rate of Three per cent. to those who paid less than half the cost of the
house and Two and a-half per cent. to those who paid more. Although
a stipulation was made that no one person should be allowed to build
more than four houses, it was found necessary to revise the
arrangement in order to prevent speculation. In 1900, therefore, the
estate was handed over to a Trust on behalf of the nation, the whole
income to be directed to solving the housing problem. The houses
now built are let to tenants at moderate weekly rentals, which include
the annual ground rent, equal to about 1d. per yard (according to its
value), and which should yield Four per cent. net. The revenue of
house and ground rents is employed, after provision has been made
for the maintenance and repair of present property, in the
development of the village itself, and in the laying out and
development of other villages elsewhere, the Trust being empowered
under the deed of foundation to acquire land in any part of Great
Britain. Subsequently to the formation of the Trust, additional land
adjacent to Bournville has been added to the founder’s gift, and
included in the village, which now extends over 458 acres. Already
upwards of 100 acres of land have been laid out for building. There
are now about 450 houses in the hands of the Trust, which number,
added to the 143 sold under the first scheme, makes a total of nearly
600. With the income of the Trust, building is being steadily
proceeded with, and there is a continual demand for houses.

PLATE VI.
SYCAMORE ROAD,
BOURNVILLE.
 PLATE VII.
THE SCHOOLS,
BOURNVILLE
SEE PAGE 13.
 PLATE VIII.
CARVED STONE PANELS
FOR SCHOOLS.

The Trustees have power to make arrangements with railways and

other companies for cheap means of transit. They may lease,
underlet, or sell land, or develop it and prepare it for building, give
land, or erect buildings for places of worship, hospitals, schools,
technical institutes, libraries, gymnasiums, laundries, baths, &c.
Occupying a central position in the village are already the Bournville
Meeting House (see Plates x. and xi.), the Ruskin Hall, an institute
founded in 1903, and including library, reading-room, lecture hall,
class rooms (see Plate ix.), and the schools described later. Ample
open spaces have been reserved in various parts of the village. These
include the Village Green; The Triangle (a plot of land with lawn,
flower beds, and shrubbery, intersected by public paths—see Plate
ii.); Camp Wood (an undulating woodland, thick with old forest-trees);
children’s playgrounds and lawns, with swings, bars, &c.; allotment
gardens; youths’ and girls’ gardens (consisting of a number of small
plots rented and cultivated by boys and girls, in connection with which
gardening classes are held), &c. A large area of land, through which
flows the Bourn stream, has also been reserved for laying out as a
public park. Adjacent to the Estate, though not part of it, are two
extensive and well-wooded recreation grounds belonging to Messrs.
Cadbury, which are put at the disposal of their men and women
employees; those for the former including open-air swimming baths,
which may be used during stipulated hours by the tenants of the
Estate houses. These recreation grounds separate the works buildings
from the village itself, and in the event of the factory ceasing to exist,
the Trust deed provides that they be handed over to the District
Council for use as a public park. Nearly all the old trees and woodland
on the Estate have been preserved, and new trees planted in many
parts.
The schools (see Plate vii.) are the gift to the village of Mr. and Mrs.
George Cadbury. They accommodate 540 children (270 boys and 270
girls), and are constructed on the central-hall plan. There are six
class-rooms for fifty children each, and six for forty each, and the
dimensions of the large hall are 84 ft. by 32 ft. The land falls from
North to South, and advantage has been taken of the basement
afforded to provide for accommodation for classes in cookery, laundry,
manual instruction, and various branches of handicraft. The buildings
stand in grounds two and a-half acres in extent, adjoining which is the
Park, the children thus having access in all to about ten acres. The
tower rises to a height of about 60 ft., and has been utilised for a
library, laboratory, &c. An extensive view of the surrounding country is
obtained from the top, and a map, incised in stone, with compass and
locating apparatus, is provided for instructing the children in local
geography. Everything is being done in the designing of details—
carved and painted panels, &c.—to make the building itself a
permanent means of educating the children; the subjects chosen
include historical scenes, truthfully depicted as regards dress,
customs, architecture, &c., while in the bosses and voussoirs are
represented English flowers and foliage, conventionally treated. The
carving is executed by Mr. Benjamin Creswick, of Birmingham.
In the designing of the building every effort has been made to
embody the latest improvements and the result of the most broad-
minded and enlightened study of education.
Gardens are provided for the instruction of the children in
gardening, vegetable growing, &c.
The low death-rate at Bournville during 1904 of 6·9 per thousand,
compared with 19 per thousand in Birmingham, is some indication of
the healthiness of the village. The figures are taken from the report of
the district medical officer of health.

PLATE IX.
RUSKIN HALL,
BOURNVILLE.
 PLATE X.
MEETING HOUSE,
BOURNVILLE.
 PLATE XI.
MEETING HOUSE,
BOURNVILLE.

It is not proposed to deal here with the economics of model village

or garden city schemes generally. Though the movement is still very
young, it is already advancing from the problematical stage. Its
progress is being watched with the keenest interest by many who
realise that of all courses the most impracticable in the long run is
that which allows the slum-suburb to spring up unchecked.
If it be asked, with regard to the problem of the housing of the
people, what is Bournville’s contribution towards its solution, it would
be stating its claims at the lowest to say that it stands as an example
of what the village of the future may be, a village of healthy homes
amid pleasant surroundings, where fresh air is abundant and beauty
present, and where are secured to its people by an administration co-
operative in nature numerous benefits which under present conditions
are denied them elsewhere.
COTTAGES AT £135, with Notes on

the Economic Building of Small

Cottages.

PLATES XII AND XIII.

COTTAGES IN BLOCKS OF EIGHT, AT £135.
 FRONT ELEVATION
GROUND PLAN BEDROOM PLAN
PLATE XII.
COTTAGES IN BLOCKS OF EIGHT.
SEE PAGE 16.

Plate xii gives the plan, with elevation, of a block of eight cottages,
the accommodation of which is the least, and the dimensions the
lowest, that should be provided for homes with one living room.
The accommodation is as follows:—
Ground Floor.
Living Room, 12 ft. 4 in. × 13 ft. Kitchen, 8 ft. × 12 ft. 6 ins. (with “Cabinet”
Bath, and boiler with patent steam exhaust). Larder under stairs.
Bedroom Floor.
First Bedroom, 9 ft. 2 ins. × 13 ft., and recess. Second Bedroom, 8 ft. 4 ins. ×
11 ft. 2 ins. Third Bedroom, 7 ft. 6 ins. × 8 ft.
Total cost, £135 per cottage.
Laying out of garden, £7 10s. extra.
 Cubical contents, 64,800 ft. at 4d. per foot cube = £1,080 per
block, or £135 per cottage.
There has been considerable discussion of late with regard to the
building of cheap cottages suitable for labourers and the poorer
artisans, both in the country and elsewhere. Experiments have been
made in which the building materials employed have been other than
brick, the object being a reduction in cost. The bye-laws which do not
at present sanction the erection of cottages in some of these
materials will, it is hoped, before long be altered. Meanwhile, what is
wanted in most districts is the cheap dwelling in brick.

PLATE XIII.
BLOCK OF EIGHT COTTAGES.
SEE PAGE 16.

The example here given is of a similar plan to one from which a

number of cottages in blocks of four have been erected at Bournville.
Owing to a decision on the part of the Village Trust not to build in
blocks of more than four, the plans here given have never been
carried out at Bournville, but in view of the danger there is of under-
estimating the cost of such cottages, and the importance of avoiding
inaccuracies, estimates have been obtained for their erection under
similar conditions. Economy of construction has been the main object
in the design, without sacrificing that pleasant environment, privacy
and homeliness of appearance which are, as already indicated,
essential to the cottage home.
The cost of erecting in blocks of four only is necessarily increased,
and the lowest estimate for those at Bournville is £160 per cottage,
the particular estimate being, however, for a block of four on “made
up” ground, necessitating deep footings, the cottages including the
sunk bath, which is more costly than the “Cabinet” patent.
The plan might be simplified, if desired, by omitting the division wall
between the living room and scullery, thus making one large room.
The boiler, sink, and bath might then be planned in a small recess
which could be screened off by a curtain when not in use.
Simplicity and Regularity of Planning.—The roof runs uninterruptedly
from end to end, by which unnecessary roof complications are
avoided; the chimneys have been grouped together to diminish
trimming and flashing, always costly items, and have been brought to
the highest point in the roof to prevent smoky flues, consequent upon
down draughts; and the building throughout is of a very inexpensive
character. Further, the eaves run uninterruptedly, for the windows are
not allowed to complicate the spouting and roofing by breaking
through the roof, the wall-plate nevertheless being kept at a fairly low
level. In all cottages of this class, compactness and regularity should
be always aimed at in planning, and the wall lines—set out at right
angles—should be as long and unbroken as possible.
Arrangement of Outbuildings.—The w.c.’s, here isolated, are in the
Bournville blocks of four planned under the main roof, which
arrangement is for many reasons preferable. As many as possible of
the outbuildings should, in the case of small cottages, be arranged
under the main roof. Often, where the outbuildings of these rows of
cottages are extensive, one or more of the houses suffers through the
projecting eaves of the other, and there is a narrow outlook upon a
cramped yard. The better view of the garden obtained from the back
rooms by the avoidance of this is an important consideration. The
kitchen, in small property, is as much used as the living room, and the
value of the restful glimpse of green to the housewife should not be
ignored. (The isolation of the w.c. in the example under notice does
not obstruct the light.) In the case of a corner site it is preferable to
close in the yard at the back of the house, so that the week’s wash
may not be exposed to the public view. It may be advanced, however,
that such a domestic display is not really unsightly, but gives a
pleasant human interest to the surroundings. Such an opinion,
nevertheless, will probably not find general acceptance.
Heights of Rooms.—The height of the building will also be reduced to
the lowest limit. The heights of 8 ft. 3 ins. for the ground floor, and 8
ft. for the chamber floor, are quite adequate for the average cottage,
so long as sufficient ventilation is provided. There is some difficulty in
getting the artisan to recognise this, for a lofty and often draughty
and cold room seems to have an unaccountable attraction for him. As,
however, floor space is the essential, the reduction of heights is in
every way a legitimate means of economising the brickwork;
moreover, the scale of the building is at the same time rendered more
pleasing. With the height reduced, it will be necessary to introduce
the casement window, as the sash kind requires a loftier elevation.
This, however, will be no detriment, as the former is more agreeable
and appropriate to the cottage home.
Extra Bedroom Accommodation.—If in any of the smaller types of
cottages dealt with it is thought desirable to provide a fourth
bedroom, or if larger bedrooms are required, an attic might be
provided by slightly lifting the roof (where this is necessary), and the
first floor might then be divided into two rooms or not, according to
the requirements. Staircases, however, are expensive, and it is well for
the sake of economy to provide bedrooms on the first floor. Where
roof space is available this may be used for lumber, when the trap by
which it is reached should be placed in the least important bedroom.
The ceiling, however, should be slightly strengthened, and the bearing
should not be too great.
 Ornament.—The sound principle that beauty should be based on
utility is often violated, even in the building of small cottages and
villas, in order to gratify a vulgar taste for shoddy and meaningless
display. Although the architect may not be entirely to blame for
submitting to this preference, it is none the less certain that if he avail
himself of such opportunities as occur to introduce a purer taste, the
public will in time respond, while such efforts on his part will be
always heartily approved by his fellow architects. The difficulty of
inducing builders to stock ornament that is really good is merely one
of demand. The public taste may after all be found to be more
amenable than is commonly represented. A readiness on the part of
the Bournville tenants to catch the spirit of homely simplicity
suggested in the design of the houses has shown itself in the manner
in which they furnish their homes, as, for instance, in their use of
suitable curtains for the casement windows.
If it be decided that a row of cottages should have ornament, this
should not be too small or crowded, and should be introduced in the
right place—in the case of tight cottages, say in the third and the
sixth, the unadorned ones serving as a foil. An excess of ornament
should be avoided, especially if the aim is economy, and what there is
should be broad and simple, for such, happily, is increasingly in favour
in preference to the incongruous and florid stock carving of the jerry
builder, which, bad as it is, must yet cost something. If money is to be
spent, let preference be given first of all to the quality of the material
used, and then to the extra elaboration of such material, such as
rough-cast, parquetry, colour decoration, etc.
While the appearance of the elevation of the blocks of eight
cottages here given is improved by the introduction over the doors of
hoods with wrought-iron stays, the erection of two large posts with a
horizontal cross-piece as a support for honeysuckle or climbing rose is
not only cheaper, but is in the circumstances a more suitable way of
adorning what is of necessity a plain elevation. The steps before the
doorway should then be cut short, without returns, to enable the plant
to be set as near as possible to the posts. The two steps are a
necessity in order to secure good ventilation beneath the floors,
where boarded floors are used.
The True Test of Economy.—Many jerry-built houses are the work of
the speculating builder, who immediately on their completion sells
them to one who buys to sell again. He secures himself, but with such
inferior property someone must in the end suffer considerable loss. To
say that a house has been built on economic lines because the cost of
erection has been the lowest possible is to mislead, for the true test of
economy is that which will take into account the cost of repairs at the
end of ten years, and its then value. In designing cottages for an
estate or garden city, the architect will therefore realise the
importance of building dwellings that shall be lasting. He will perceive
that to take the low cost of the jerry-built house as a standard will
only lead him ultimately into endless trouble and expense. He will not,
to save a trifling initial cost, incur a heavier one later on, for in this
case the ownership of the house does not change, and maintenance is
not a thing that can be shirked.
Foundations.—He will therefore see that there is a bed of concrete
over the whole site, that his floors are well ventilated by allowing a
good space between the under-side of ground floor joists and ground
work, that the damp course is effectual, and also that plenty of air-
bricks are inserted to ensure through ventilation, thus providing
against the growth of dry-rot and all the expense it entails.
As the tenants of the cottages will doubtless be amateur gardeners
who will probably add manure to the soil each year, the damp course
is likely to get covered over; it is therefore essential that this should
be at least six inches above the ground when the cottages are built.
Stock Articles.—Economy may always be exercised by using what
are worthy stock articles of building, and in the case of a model
village, where large orders will be given, the architect should make it
his business to introduce new lines—moulds, doors, grates, mantels,
etc.—the quality of which is first well proved. Stock sizes of building
materials should be selected, and the planning should be adapted to
them to avoid waste. For instance, joists should always be of such
sizes as will prevent waste in the cutting of timbers. Joists are stocked
in a definite number of foot lengths. Rooms of 12 ft. 4 ins. width, with
4 ins. bearing allowed at each end, will require joists of 13 ft. lengths,
in which case there is no waste; on the other hand, rooms with 12 ft.
6 ins. width, with the same bearing, will require 14 ft. joist lengths, in
which case 10 ins. in timber and the labour in cutting will be wasted,
which the extra 2 ins. gained does not warrant; 12 ft. 4 ins., 13 ft. 4
ins., 14 ft. 4 ins., and so on, are therefore preferable dimensions.
Again, if the size of the joists be 9 ins. × 3 ins., 27 ins. cube is
obtained, which is not stronger than 11 ins. × 2 ins., giving 22 ins.
cube. If the latter be chosen, therefore, 5 ins. cube are saved. True,
the house will be raised in height, but not sufficiently to appreciably
increase the cost. This is only one instance of how selection of
material may be profitably studied.
General.—In the example given the staircase runs between the
houses, and gives them a good wide frontage, bringing the outer
houses nearer to the extremity of the land, and enabling a more
convenient division of the gardens. It will be noticed that the bath in
these small cottages is the “Cabinet” patent, which is strongly
recommended on account of its being easily shut up and stowed away
(see page 51). The interior fittings are of the simplest and most
inexpensive kind, such a thing as the ingle nook, however pleasing
and comfortable, being reserved for a better class of cottage. Ample
cupboard room, nevertheless, is provided, and it should be noted that
such conveniences as cloak rails, cup-rails and hooks, picture rails,
etc., are fixed in all the cottages dealt with. Small gas cookers or grills
should be included in all cottages, whether large or small. White’s
patent steam exhaust should also be fitted in all cottages.
 THE LAYING OUT OF GARDENS.
The garden, a feature of such importance in
the model village, or garden city, should have no
less care and attention in the planning than the
house itself. The accompanying plan is one
frequently adopted at Bournville where the
aspect is suitable. The arrangement is modified
in the case of the smallest cottages by the
reduction or omission of turf. The bedding, with
the various trees and shrubs supplied, is
indicated on the plan.
With the large garden-space allotted, the paths
should be broad and, generally speaking,
planned in straight lines, the width being not less
than 3 ft.—even 4 ft. not being too wide. At
Bournville they are made of 6 ins. of ashes and 3
ins. of gravel. Where there is turf the path should
run at one extremity of the garden plot, giving
the full width remaining for as spacious a lawn as
possible. At the bottom of the lawn it might be
GARDEN PLAN. turned to the left or right, as the case may be, as
far as the centre, and carried down through the
kitchen garden so that the fruit trees and vegetables may be easily
accessible on either hand. With a south aspect, however, it is
advisable to still continue the path down one side, the shadow of the
adjacent hedge thus being cast not on the beds but on the path
itself. It should be borne in mind that in laying out the beds all peas
and beans, raspberry canes, etc., are best planted north and south
in order that the whole length of the rows may get the sun. The
tendency is for amateur gardeners to favour winding paths, by which
space is lost, besides the arrangement being inconvenient. The
curved line is rarely in harmony with the setting of the cottage, and
curves, if introduced, should be gained rather in the planting of trees
or flowers, curves in colour being more pleasing.
The number of trees, etc., provided in each of the Bournville
gardens is:—eight apple and pear trees, assorted according to the
nature of the soil, which, in addition to bearing fruit, form a
desirable screen between houses which are back to back; twelve
gooseberry bushes, one Victoria plum, six creepers for the house,
including Gloire de Dijon and William Allen Richardson roses,
wistaria, honeysuckle, clematis, ivy in a number of varieties,
Ampelopsis veitchii, white and yellow jasmine, etc., according to the
aspect, as well as one or two forest trees, so placed as to frame the
building. Hedges of thorn divide the houses, and form road
boundaries. The choice of trees and creepers is determined not only
by the suitability of soil or aspect, but also by the general effect
gained.
 BLOCKS, PAIRS, AND SINGLE
COTTAGES.

PLATES XIV. AND XV.

BLOCK OF FOUR COTTAGES.
 FRONT ELEVATION
GROUND PLAN
BEDROOM PLAN
PLATE XIV.
BLOCK OF FOUR COTTAGES.
SEE PAGE 25.

In the ascending scale we now come to a block of four, containing

houses of two classes. The cost of each is approximately the same,
and the advantages are about equal. The outside houses have a side
entrance with lobby and outer porch, thereby making the front room
quite private, while in the inside ones the front door opens into the
room, which has, however, the advantage of being more spacious.
Use of the Ingle Nook in Small Cottages.—The introduction of an ingle
nook in this latter secures to it a greater degree of comfort, and
privacy from the road is also gained by the extension of the screen.
Complete privacy may be secured by attaching a rod from the screen
to the outside wall and dropping a curtain. The ingle is lighted by
borrowed light from the half-glass door, the light passing through the
glazed wooden screen. In this case the ingle nook may be said to be
the natural outcome of the plan. The staircase in these inside houses
is at the side of the ingle, and affords space beneath for a cupboard,
which is reached from the kitchen. The staircase in the outside houses
is approached near the window of the living room, and admits of
space in like manner for a larder, which is entered from the lobby.
Ventilation.—It will be seen that the larder, in the case of the two
middle houses, is arranged within the house, between the coals and
the living room. Larders, wherever possible, should have an outside
window, but in this case ventilation is very easily obtained in the
following manner:—An inlet of a 9-in. pipe enters the larder on the
floor level from air bricks in the front wall, while in the coals at the
back a concrete division is inserted at a height of 5 ft. 6 ins. or 5 ft. 9
ins. (the ground floor of the house from floor to ceiling being in this
instance 8 ft. 6 ins.). Through a fanlight above the outside door of
coals not only is light obtained, but, by means of a cord and pulley
worked from the larder, through ventilation also, while there is no
danger of the invasion of coal dust.
In both houses there is little space wasted. In the outside ones the
living rooms are entered immediately from the lobby, and the
bedrooms immediately from a small landing, while there is a useful
closet over the stairs, entered from the front bedroom.
The projection in this block gives variety to the street, and is the
natural outcome of the requirements of the houses. The type is self-
contained, and privacy is secured to the householders by the
introduction of the side entrance to the outside houses, and by the
arrangement of the doorways to the middle ones at the remote ends.
Materials.—Brindled bricks, hand-made tiles, and casement windows
of wood are here used, and the brickwork of the kitchen is pointed for
whitewashing, with a 4-ft. dado of paint. In these smaller cottages it
is advisable to employ papers for interior wall decoration in preference
to colour-wash, the latter being very soon soiled where there are
children. Picture rails should be used in all cottages, if only to save the
plaster.
 Accommodation.—The accommodation of the respective houses is as
follows:—
Ground Floor.
Outside Houses. Inside Houses.
Living Room 12 ft. 4 ins. × 13 ft. 15 ft. × 16 ft. 4 ins.
Kitchen 10 ft. 6 ins. × 11 ft. 11 ft. × 11 ft. 3 ins.
Tools, w.c., and Coals.
Bedroom Floor.
First Bedroom 12 ft. 4 ins. × 13 ft. 13 ft. 3 ins. × 15 ft.
Second Bedroom 8 ft. × 11 ft. 6 ft. 3 ins. × 14 ft. 2 ins.
Third Bedroom 7 ft. 6 ins. × 7 ft. 10 ins. 7 ft. 9 ins. × 8 ft. 4 ins.
Linen Closet.

PLATE XV.
BLOCK OF FOUR COTTAGES.
SEE PAGE 25.

Total cost, including all extras and builder’s profit, £872 per block,
or £218 per cottage. Laying out of gardens, £10 per cottage.
 Cubical contents, 48,295 ft. at 4⅓d. per foot cube, £872, or £218
per cottage.*

FRONT ELEVATION BLOCK OF THREE COTTAGES.

The elevation shown in the accompanying illustration is of a block of

three cottages, the two outside ones of which are similar to those
shown on the foregoing plan. This is an example of how the same
plan may be repeated with varied effect, or where there is not
sufficient land for four.
*NOTE.—As most of the examples given have been built by the
Bournville Village Trust, it should be noted that the figures stated
include in all cases an addition to the net cost of 3¾% as builder’s
profit.
Where there is any marked difference in the price per foot cube
not accounted for by more complicated planning, or by the better
quality of materials, this is due, not only to the fluctuation of
building prices during the last few years, but also to the variation in
the cost of building at different periods of the year.
The extras include fencing, garden gates, etc.
PLATES XVI. AND XVII.
PAIR OF COTTAGES.

FRONT ELEVATION
GROUND PLAN
BEDROOM PLAN
PLATE XVI.
PAIR OF COTTAGES.
SEE PAGE 28.

Variation of Former Plan.—The plan shown in Plate xvi. and illustrated

in Plate xvii., is of a pair similar to the outside cottages of Plate xiv.
This again shows how it is possible to play on the same plan in the
building of a village, and so gain the desirable variety of elevation.
The roof is hipped and covered with pantiles. A bay window is
introduced in both the storeys, with rough-cast between. A rainwater
cistern to store all roof water is placed over the coals, which projects
from the main block. A greater privacy is obtained by this slight
projection, without interfering with the light at the back. The
chimneys are grouped together in the centre, there being only one
stack to both the houses, which is carried to the highest point of the
roof.

PLATE XVII.
PAIR OF COTTAGES.
SEE PAGE 28.

Total cost of cottages built to this plan, including all extras, £230
per cottage.
Laying out of gardens, £10 per cottage.
Cubical contents, 22,000 ft. at 5d. per foot cube, £460, or £230 per
cottage.
PLATE XVIII.
PAIR OF COTTAGES.

FRONT ELEVATION
GROUND PLAN
BEDROOM PLAN
PLATE XVIII.
PAIR OF COTTAGES.
SEE PAGE 28.

The plan and elevation shown on this plate are of an alternative

arrangement to the last. The houses have an entrance at the front
and an extended larder, owing to the staircases ascending from the
lobby. The fireplaces are arranged in the corners of the rooms.
PLATE XIX.
 PLATE XIX.
SEE PAGE 28.

The view here given shows three pairs of cottages built to the plan
shown on Plate xvi., and illustrates how a variety of elevation may be
gained by adding bays, dormers, etc., and by using differing materials.
D E S C R I P T I O N O F P LAT E X X .
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