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discrete mathematics
with applications
FiFth editiON
SUSANNA S. EPP
DePaul University
Australia ● Brazil ● Mexico ● Singapore ● United Kingdom ● United States
94193_fm_ptg01.indd 1 13/11/18 6:40 pm

Cover Photo: The stones are discrete objects placed one on top of another like a chain of careful reasoning. A person who
decides to build such a tower aspires to the heights and enjoys playing with a challenging problem. Choosing the stones takes
both a scientific and an aesthetic sense. Getting them to balance requires patient effort and careful thought. And the tower
that results is beautiful. A perfect metaphor for discrete mathematics!
Discrete Mathematics with Applications, © 2020, 2011, 2004 Cengage Learning, Inc.
Fifth Edition
Susanna S. Epp Unless otherwise noted, all content is © Cengage.
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To my husband, Helmut, and my children,
Amanda, Catherine, and Caroline
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ConTenTS
ChApTER 1 Speaking Mathematically 1

1.1 Variables 1
Using Variables in Mathematical Discourse; Introduction to Universal, Existential,
and Conditional Statements
1.2 The Language of Sets 6

The Set-Roster and Set-Builder Notations; Subsets; Cartesian Products; Strings
1.3 The Language of Relations and Functions 15

Definition of a Relation from One Set to Another; Arrow Diagram of a Relation;
Definition of Function; Function Machines; Equality of Functions
1.4 The Language of Graphs 24

Definition and Representation of Graphs and Directed Graphs; Degree of a Vertex;
Examples of Graphs Including a Graph Coloring Application
ChApTER 2 The Logic of Compound Statements 37

2.1 Logical Form and Logical Equivalence 37
Statements; Compound Statements; Truth Values; Evaluating the Truth of More General
Compound Statements; Logical Equivalence; Tautologies and Contradictions; Summary
of Logical Equivalences
2.2 Conditional Statements 53

Logical Equivalences Involving S; Representation of If-Then As Or; The Negation of
a Conditional Statement; The Contrapositive of a Conditional Statement; The Converse
and Inverse of a Conditional Statement; Only If and the Biconditional; Necessary and
Sufficient Conditions; Remarks
2.3 Valid and Invalid Arguments 66

Modus Ponens and Modus Tollens; Additional Valid Argument Forms: Rules of
Inference; Fallacies; Contradictions and Valid Arguments; Summary of Rules of Inference
2.4 Application: Digital Logic Circuits 79

Black Boxes and Gates; The Input/Output Table for a Circuit; The Boolean Expression
Corresponding to a Circuit; The Circuit Corresponding to a Boolean Expression; Finding
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vi ConTenTs
a Circuit That Corresponds to a Given Input/Output Table; Simplifying Combinational

Circuits; NAND and NOR Gates
2.5 Application: Number Systems and Circuits for Addition 93

Binary Representation of Numbers; Binary Addition and Subtraction; Circuits for
Computer Addition; Two’s Complements and the Computer Representation of Negative
Integers; 8-Bit Representation of a Number; Computer Addition with Negative Integers;
Hexadecimal Notation
ChAPTER 3 the Logic of Quantified statements 108

3.1 Predicates and Quantified Statements I I08
The Universal Quantifier: 5; The Existential Quantifier: E; Formal versus Informal
Language; Universal Conditional Statements; Equivalent Forms of Universal and
Existential Statements; Bound Variables and Scope; Implicit Quantification; Tarski’s
World
3.2 Predicates and Quantified Statements II 122

Negations of Quantified Statements; Negations of Universal Conditional Statements;
The Relation among 5, E, `, and ~; Vacuous Truth of Universal Statements; Variants of
Universal Conditional Statements; Necessary and Sufficient Conditions, Only If
3.3 Statements with Multiple Quantifiers 131

Translating from Informal to Formal Language; Ambiguous Language; Negations of
Multiply-Quantified Statements; Order of Quantifiers; Formal Logical Notation; Prolog
3.4 Arguments with Quantified Statements 146

Universal Modus Ponens; Use of Universal Modus Ponens in a Proof; Universal Modus
Tollens; Proving Validity of Arguments with Quantified Statements; Using Diagrams to
Test for Validity; Creating Additional Forms of Argument; Remark on the Converse and
Inverse Errors
ChAPTER 4 elementary Number theory and methods

of Proof 160
4.1 Direct Proof and Counterexample I: Introduction 161
Definitions; Proving Existential Statements; Disproving Universal Statements by
Counterexample; Proving Universal Statements; Generalizing from the Generic
Particular; Method of Direct Proof; Existential Instantiation; Getting Proofs Started;
Examples
4.2 Direct Proof and Counterexample II: Writing Advice 173

Writing Proofs of Universal Statements; Common Mistakes; Examples; Showing That an
Existential Statement Is False; Conjecture, Proof, and Disproof
4.3 Direct Proof and Counterexample III: Rational Numbers 183

More on Generalizing from the Generic Particular; Proving Properties of Rational
Numbers; Deriving New Mathematics from Old
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ConTenTs vii
4.4 Direct Proof and Counterexample IV: Divisibility 190

Proving Properties of Divisibility; Counterexamples and Divisibility; The Unique
Factorization of Integers Theorem
4.5 Direct Proof and Counterexample V: Division into Cases and the
Quotient-Remainder Theorem 200
Discussion of the Quotient-Remainder Theorem and Examples; div and mod; Alternative
Representations of Integers and Applications to Number Theory; Absolute Value and the
Triangle Inequality
4.6 Direct Proof and Counterexample VI: Floor and Ceiling 211
Definition and Basic Properties; The Floor of ny2
4.7 Indirect Argument: Contradiction and Contraposition 218

Proof by Contradiction; Argument by Contraposition; Relation between Proof by
Contradiction and Proof by Contraposition; Proof as a Problem-Solving Tool
4.8 Indirect Argument: Two Famous Theorems 228

The Irrationality of Ï2; Are There Infinitely Many Prime Numbers?; When to Use
Indirect Proof; Open Questions in Number Theory
4.9 Application: The handshake Theorem 235

The Total Degree of a Graph; The Handshake Theorem and Consequences; Applications;
Simple Graphs; Complete Graphs; Bipartite Graphs
4.10 Application: Algorithms 244

An Algorithmic Language; A Notation for Algorithms; Trace Tables; The Division
Algorithm; The Euclidean Algorithm
ChAPTER 5 sequences, mathematical induction,

and recursion 258
5.1 Sequences 258
Explicit Formulas for Sequences; Summation Notation; Product Notation; Properties
of Summations and Products; Change of Variable; Factorial and n Choose r Notation;
Sequences in Computer Programming; Application: Algorithm to Convert from Base 10
to Base 2 Using Repeated Division by 2
5.2 Mathematical Induction I: Proving Formulas 275

Principle of Mathematical Induction; Sum of the First n Integers; Proving an Equality;
Deducing Additional Formulas; Sum of a Geometric Sequence
5.3 Mathematical Induction II: Applications 289

Comparison of Mathematical Induction and Inductive Reasoning; Proving Divisibility
Properties; Proving Inequalities; Trominoes and Other Applications
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viii ConTenTs
5.4 Strong Mathematical Induction and the Well-Ordering

Principle for the Integers 301
Strong Mathematical Induction; The Well-Ordering Principle for the Integers; Binary
Representation of Integers and Other Applications
5.5 Application: Correctness of Algorithms 314

Assertions; Loop Invariants; Correctness of the Division Algorithm; Correctness of the
Euclidean Theorem
5.6 Defining Sequences Recursively 325

Examples of Recursively Defined Sequences; Recursive Definitions of Sum and Product
5.7 Solving Recurrence Relations by Iteration 340

The Method of Iteration; Using Formulas to Simplify Solutions Obtained by Iteration;
Checking the Correctness of a Formula by Mathematical Induction; Discovering That an
Explicit Formula Is Incorrect
5.8 Second-Order Linear homogeneous Recurrence Relations

with Constant Coefficients 352
Derivation of a Technique for Solving These Relations; The Distinct-Roots Case; The
Single-Root Case
5.9 General Recursive Definitions and Structural Induction 364

Recursively Defined Sets; Recursive Definitions for Boolean Expressions, Strings, and
Parenthesis Structures; Using Structural Induction to Prove Properties about Recursively
Defined Sets; Recursive Functions
ChAPTER 6 set theory 377

6.1 Set Theory: Definitions and the Element Method of Proof 377
Subsets: Introduction to Proof and Disproof for Sets; Set Equality; Venn Diagrams;
Operations on Sets; The Empty Set; Partitions of Sets; Power Sets; An Algorithm to
Check Whether One Set Is a Subset of Another (Optional)
6.2 Properties of Sets 391

Set Identities; Proving Subset Relations and Set Equality; Proving That a Set Is the
Empty Set
6.3 Disproofs and Algebraic Proofs 407

Disproving an Alleged Set Property; Problem-Solving Strategy; The Number of Subsets
of a Set; “Algebraic” Proofs of Set Identities
6.4 Boolean Algebras, Russell’s Paradox, and the halting Problem 414
Boolean Algebras: Definition and Properties; Russell’s Paradox; The Halting Problem
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ConTenTs ix
ChAPTER 7 Properties of Functions 425

7.1 Functions Defined on General Sets 425
Dynamic Function Terminology; Equality of Functions; Additional Examples of
Functions; Boolean Functions; Checking Whether a Function Is Well Defined; Functions
Acting on Sets
7.2 One-to-One, Onto, and Inverse Functions 439

One-to-One Functions; One-to-One Functions on Infinite Sets; Application: Hash
Functions and Cryptographic Hash Functions; Onto Functions; Onto Functions on
Infinite Sets; Relations between Exponential and Logarithmic Functions; One-to-One
Correspondences; Inverse Functions
7.3 Composition of Functions 461

Definition and Examples; Composition of One-to-One Functions; Composition of Onto
Functions
7.4 Cardinality with Applications to Computability 473

Definition of Cardinal Equivalence; Countable Sets; The Search for Larger Infinities: The
Cantor Diagonalization Process; Application: Cardinality and Computability
ChAPTER 8 Properties of relations 487

8.1 Relations on Sets 487
Additional Examples of Relations; The Inverse of a Relation; Directed Graph of a
Relation; N-ary Relations and Relational Databases
8.2 Reflexivity, Symmetry, and Transitivity 495

Reflexive, Symmetric, and Transitive Properties; Properties of Relations on Infinite Sets;
The Transitive Closure of a Relation
8.3 Equivalence Relations 505

The Relation Induced by a Partition; Definition of an Equivalence Relation; Equivalence
Classes of an Equivalence Relation
8.4 Modular Arithmetic with Applications to Cryptography 524

Properties of Congruence Modulo n; Modular Arithmetic; Extending the Euclidean
Algorithm; Finding an Inverse Modulo n; RSA Cryptography; Euclid’s Lemma; Fermat’s
Little Theorem; Why Does the RSA Cipher Work?; Message Authentication; Additional
Remarks on Number Theory and Cryptography
8.5 Partial Order Relations 546

Antisymmetry; Partial Order Relations; Lexicographic Order; Hasse Diagrams; Partially
and Totally Ordered Sets; Topological Sorting; An Application; PERT and CPM
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x ConTenTs
ChAPTER 9 counting and Probability 564

9.1 Introduction to Probability 564
Definition of Sample Space and Event; Probability in the Equally Likely Case; Counting
the Elements of Lists, Sublists, and One-Dimensional Arrays
9.2 Possibility Trees and the Multiplication Rule 573

Possibility Trees; The Multiplication Rule; When the Multiplication Rule Is Difficult or
Impossible to Apply; Permutations; Permutations of Selected Elements
9.3 Counting Elements of Disjoint Sets: The Addition Rule 589

The Addition Rule; The Difference Rule; The Inclusion/Exclusion Rule
9.4 The Pigeonhole Principle 604

Statement and Discussion of the Principle; Applications; Decimal Expansions of
Fractions; Generalized Pigeonhole Principle; Proof of the Pigeonhole Principle
9.5 Counting Subsets of a Set: Combinations 617

r-Combinations; Ordered and Unordered Selections; Relation between Permutations
and Combinations; Permutation of a Set with Repeated Elements; Some Advice about
Counting; The Number of Partitions of a Set into r Subsets
9.6 r-Combinations with Repetition Allowed 634

Multisets and How to Count Them; Which Formula to Use?
9.7 Pascal’s Formula and the Binomial Theorem 642

Combinatorial Formulas; Pascal’s Triangle; Algebraic and Combinatorial Proofs of
Pascal’s Formula; The Binomial Theorem and Algebraic and Combinatorial Proofs for It;
Applications
9.8 Probability Axioms and Expected Value 655

Probability Axioms; Deriving Additional Probability Formulas; Expected Value
9.9 Conditional Probability, Bayes’ Formula, and Independent Events 662

Conditional Probability; Bayes’ Theorem; Independent Events
ChAPTER 10 theory of Graphs and trees 677

10.1 Trails, Paths, and Circuits 677
Definitions; Connectedness; Euler Circuits; Hamiltonian Circuits
10.2 Matrix Representations of Graphs 698

Matrices; Matrices and Directed Graphs; Matrices and Undirected Graphs; Matrices and
Connected Components; Matrix Multiplication; Counting Walks of Length N
10.3 Isomorphisms of Graphs 713

Definition of Graph Isomorphism and Examples; Isomorphic Invariants; Graph
Isomorphism for Simple Graphs
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ConTenTs xi
10.4 Trees: Examples and Basic Properties 720

Definition and Examples of Trees; Characterizing Trees
10.5 Rooted Trees 732

Definition and Examples of Rooted Trees; Binary Trees and Their Properties; Binary
Search Trees
10.6 Spanning Trees and a Shortest Path Algorithm 742

Definition of a Spanning Tree; Minimum Spanning Trees; Kruskal’s Algorithm; Prim’s
Algorithm; Dijkstra’s Shortest Path Algorithm
ChAPTER 11 analysis of algorithm efficiency 760

11.1 Real-Valued Functions of a Real Variable and Their Graphs 760
Graph of a Function; Power Functions; The Floor Function; Graphing Functions Defined
on Sets of Integers; Graph of a Multiple of a Function; Increasing and Decreasing
Functions
11.2 Big-O, Big-Omega, and Big-Theta Notations 769

Definition and General Properties of O-, V-, and Q-Notations; Orders of Power
Functions; Orders of Polynomial Functions; A Caution about O-Notation; Theorems
about Order Notation
11.3 Application: Analysis of Algorithm Efficiency I 787

Measuring the Efficiency of an Algorithm; Computing Orders of Simple Algorithms;
The Sequential Search Algorithm; The Insertion Sort Algorithm; Time Efficiency of an
Algorithm
11.4 Exponential and Logarithmic Functions: Graphs and Orders 800

Graphs of Exponential and Logarithmic Functions; Application: Number of Bits Needed
to Represent an Integer in Binary Notation; Application: Using Logarithms to Solve
Recurrence Relations; Exponential and Logarithmic Orders
11.5 Application: Analysis of Algorithm Efficiency II 813

Binary Search; Divide-and-Conquer Algorithms; The Efficiency of the Binary Search
Algorithm; Merge Sort; Tractable and Intractable Problems; A Final Remark on
Algorithm Efficiency
ChAPTER 12 regular expressions and Finite-state automata 828

12.1 Formal Languages and Regular Expressions 829
Definitions and Examples of Formal Languages and Regular Expressions; The Language
Defined by a Regular Expression; Practical Uses of Regular Expressions
12.2 Finite-State Automata 841

Definition of a Finite-State Automaton; The Language Accepted by an Automaton; The
Eventual-State Function; Designing a Finite-State Automaton; Simulating a Finite-State
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xii ConTenTs
Automaton Using Software; Finite-State Automata and Regular Expressions; Regular

Languages
12.3 Simplifying Finite-State Automata 858

*-Equivalence of States; k-Equivalence of States; Finding the *-Equivalence Classes; The
Quotient Automaton; Constructing the Quotient Automaton; Equivalent Automata
APPENDIx A Properties of the real Numbers a-1
APPENDIx B solutions and hints to selected exercises a-4
Index I-1
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PreFace
My purpose in writing this book was to provide a clear, accessible treatment of discrete
mathematics for students majoring or minoring in computer science, mathematics, math-
ematics education, and engineering. The goal of the book is to lay the mathematical foun-
dation for computer science courses such as data structures, algorithms, relational database
theory, automata theory and formal languages, compiler design, and cryptography, and for
mathematics courses such as linear and abstract algebra, combinatorics, probability, logic
and set theory, and number theory. By combining discussion of theory and practice, I have
tried to show that mathematics has engaging and important applications as well as being
interesting and beautiful in its own right.
A good background in algebra is the only prerequisite; the course may be taken by stu-
dents either before or after a course in calculus. Previous editions of the book have been
used successfully by students at hundreds of institutions in North and South America,
Europe, the Middle East, Asia, and Australia.
Recent curricular recommendations from the Institute for Electrical and Electronic
Engineers Computer Society (IEEE-CS) and the Association for Computing Machinery
(ACM) include discrete mathematics as the largest portion of “core knowledge” for com-
puter science students and state that students should take at least a one-semester course in
the subject as part of their first-year studies, with a two-semester course preferred when
possible. This book includes the topics recommended by those organizations and can be
used effectively for either a one-semester or a two-semester course.
At one time, most of the topics in discrete mathematics were taught only to upper-level
undergraduates. Discovering how to present these topics in ways that can be understood by
first- and second-year students was the major and most interesting challenge of writing this
book. The presentation was developed over a long period of experimentation during which
my students were in many ways my teachers. Their questions, comments, and written work
showed me what concepts and techniques caused them difficulty, and their reaction to my
exposition showed me what worked to build their understanding and to encourage their
interest. Many of the changes in this edition have resulted from continuing interaction with
students.
Themes of a Discrete Mathematics Course

Discrete mathematics describes processes that consist of a sequence of individual steps.
This contrasts with calculus, which describes processes that change in a continuous fash-
ion. Whereas the ideas of calculus were fundamental to the science and technology of the
industrial revolution, the ideas of discrete mathematics underlie the science and technol-
ogy of the computer age. The main themes of a first course in discrete mathematics are
logic and proof, induction and recursion, discrete structures, combinatorics and discrete
probability, algorithms and their analysis, and applications and modeling.
xiii
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xiv PrefACe
Logic and Proof Probably the most important goal of a first course in discrete mathemat-
ics is to help students develop the ability to think abstractly. This means learning to use
logically valid forms of argument and avoid common logical errors, appreciating what it
means to reason from definitions, knowing how to use both direct and indirect arguments
to derive new results from those already known to be true, and being able to work with
symbolic representations as if they were concrete objects.
induction and recursion An exciting development of recent years has been the increased
appreciation for the power and beauty of “recursive thinking.” To think recursively means
to address a problem by assuming that similar problems of a smaller nature have already
been solved and figuring out how to put those solutions together to solve the larger prob-
lem. Such thinking is widely used in the analysis of algorithms, where recurrence relations
that result from recursive thinking often give rise to formulas that are verified by math-
ematical induction.
discrete structures Discrete mathematical structures are the abstract structures that de-
scribe, categorize, and reveal the underlying relationships among discrete mathematical
objects. Those studied in this book are the sets of integers and rational numbers, general
sets, Boolean algebras, functions, relations, graphs and trees, formal languages and regular
expressions, and finite-state automata.
combinatorics and discrete Probability Combinatorics is the mathematics of count-

ing and arranging objects, and probability is the study of laws concerning the measure-
ment of random or chance events. Discrete probability focuses on situations involving
discrete sets of objects, such as finding the likelihood of obtaining a certain number of
heads when an unbiased coin is tossed a certain number of times. Skill in using combina-
torics and probability is needed in almost every discipline where mathematics is applied,
from economics to biology, to computer science, to chemistry and physics, to business
management.
algorithms and their analysis The word algorithm was largely unknown in the middle
of the twentieth century, yet now it is one of the first words encountered in the study of
computer science. To solve a problem on a computer, it is necessary to find an algorithm, or
step-by-step sequence of instructions, for the computer to follow. Designing an algorithm
requires an understanding of the mathematics underlying the problem to be solved. Deter-
mining whether or not an algorithm is correct requires a sophisticated use of mathematical
induction. Calculating the amount of time or memory space the algorithm will need in
order to compare it to other algorithms that produce the same output requires knowledge
of combinatorics, recurrence relations, functions, and O-, V-, and Q-notations.
applications and modeling Mathematical topics are best understood when they are seen
in a variety of contexts and used to solve problems in a broad range of applied situations.
One of the profound lessons of mathematics is that the same mathematical model can be
used to solve problems in situations that appear superficially to be totally dissimilar. A goal
of this book is to show students the extraordinary practical utility of some very abstract
mathematical ideas.
Special Features of This Book

mathematical reasoning The feature that most distinguishes this book from other dis-
crete mathematics texts is that it teaches—explicitly but in a way that is accessible to
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PrefACe xv
first- and second-year college and university students—the unspoken logic and reason-
ing that underlie mathematical thought. For many years I taught an intensively interactive
transition-to-abstract-mathematics course to mathematics and computer science majors.
This experience showed me that while it is possible to teach the majority of students to
understand and construct straightforward mathematical arguments, the obstacles to doing
so cannot be passed over lightly. To be successful, a text for such a course must address
students’ difficulties with logic and language directly and at some length. It must also
include enough concrete examples and exercises to enable students to develop the mental
models needed to conceptualize more abstract problems. The treatment of logic and proof
in this book blends common sense and rigor in a way that explains the essentials, yet avoids
overloading students with formal detail.
spiral approach to concept development A number of concepts in this book appear in

increasingly more sophisticated forms in successive chapters to help students develop the
ability to deal effectively with increasing levels of abstraction. For example, by the time
students encounter the relatively advanced mathematics of Fermat’s little theorem in Sec-
tion 8.4, they have been introduced to the logic of mathematical discourse in Chapters 1,
2, and 3, learned the basic methods of proof and the concepts of mod and div in Chapter
4, explored mod and div as functions in Chapter 7, and become familiar with equivalence
relations in Sections 8.2 and 8.3. This approach builds in useful review and develops math-
ematical maturity in natural stages.
support for the student Students at colleges and universities inevitably have to learn a
great deal on their own. Though it is often frustrating, learning to learn through self-study
is a crucial step toward eventual success in a professional career. This book has a number
of features to facilitate students’ transition to independent learning.
Worked Examples
The book contains over 500 worked examples, which are written using a problem-
solution format and are keyed in type and in difficulty to the exercises. Many solutions
for the proof problems are developed in two stages: first a discussion of how one might
come to think of the proof or disproof and then a summary of the solution, which is
enclosed in a box. This format allows students to read the problem and skip imme-
diately to the summary, if they wish, only going back to the discussion if they have
trouble understanding the summary. The format also saves time for students who are
rereading the text in preparation for an examination.
Marginal Notes and Test Yourself Questions
Notes about issues of particular importance and cautionary comments to help students
avoid common mistakes are included in the margins throughout the book. Questions
designed to focus attention on the main ideas of each section are located between the
text and the exercises. For convenience, the questions use a fill-in-the-blank format,
and the answers are found immediately after the exercises.
Exercises
The book contains almost 2600 exercises. The sets at the end of each section have
been designed so that students with widely varying backgrounds and ability levels will
find some exercises they can be sure to do successfully and also some exercises that
will challenge them.
Solutions for Exercises
To provide adequate feedback for students between class sessions, Appendix B con-
tains at least one, and often several, complete solutions for every type of exercise
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xvi PrefACe
in the book. A blue exercise number indicates that there is a solution in Appendix
B; the letter H is added for a solution that is less than complete. When two or more
exercises use the same solution strategy, there is a full solution for the first and ei-
ther another full solution or a partial solution for later ones. Exercises with several
parts often have an answer and/or hint for one or more of the parts to help students
determine whether they are on track so that they can make adjustments if needed.
Students are strongly urged not to consult solutions until they have tried their best
to answer questions on their own. Once they have done so, however, comparing their
answers with those given can lead to significantly improved understanding. There are
also plenty of exercises without solutions to help students learn to grapple with math-
ematical problems in a realistic environment.
Reference Features
Many students have written me to say that the book helped them succeed in their ad-
vanced courses. One even wrote that he had used one edition so extensively that it had
fallen apart, and he actually went out and bought a copy of the next edition, which he
was continuing to use in a master’s program. Figures and tables are included where
doing so would help readers to a better understanding. In most, a second color is used
to highlight meaning. My rationale for screening statements of definitions and theo-
rems, for putting titles on exercises, and for giving the meanings of symbols and a list
of reference formulas in the endpapers is to make it easier for students to use this book
for review in a current course and as a reference in later ones.
support for the instructor I have received a great deal of valuable feedback from in-
structors who have used previous editions of this book. Many aspects of the book have
been improved through their suggestions. In addition to the following items, there is ad-
ditional instructor support on the book’s website, described later in the preface.
Exercises
The large variety of exercises at all levels of difficulty allows instructors great free-
dom to tailor a course to the abilities of their students. Exercises with solutions in
the back of the book have numbers in blue, and those whose solutions are given
in a separate Student Solutions Manual and Study Guide have numbers that are a
multiple of three. There are exercises of every type in the book that have no answer
in either location so that instructors can assign whatever mixture they prefer of
exercises with and without answers. The ample number of exercises of all kinds
gives instructors a significant choice of problems to use for review assignments and
exams. Instructors are invited to use the many exercises stated as questions rather
than in “prove that” form to stimulate class discussion on the role of proof and coun-
terexample in problem solving.
Flexible Sections
Most sections are divided into subsections so that an instructor can choose to cover
certain subsections only and either omit the rest or leave them for students to study on
their own. The division into subsections also makes it easier for instructors to break
up sections if they wish to spend more than one day on them.
Presentation of Proof Methods
It is inevitable that most of the proofs and disproofs in this book will seem easy to
instructors. Many students, however, find them difficult. In showing students how
to discover and construct proofs and disproofs, I have tried to describe the kinds of
approaches that mathematicians use when confronting challenging problems in their
own research.
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PrefACe xvii
Complete Instructor Solutions

Complete instructor solutions to all exercises are available to anyone teaching a course
from this book. They are available through the Instructor’s Companion Website.
Highlights of the Fifth Edition

The changes made for this edition are based on suggestions from colleagues and other
long-time users of previous editions, on continuing interactions with my students, and on
developments within the evolving fields of computer science and mathematics.
Reorganization
●● In response to instructor requests to move the introduction of certain topics ear-
lier in the book, Section 1.2 now includes a definition and examples of strings.
In addition, a new Section 1.4 contains definitions and examples of graphs and
includes an introduction to graph coloring and the four-color theorem.
●● The handshake theorem and its applications have been moved from Chapter 10 to
Section 4.9. This gives students an early experience of using direct and indirect
proof in a novel setting and was made possible because the elements of graph
theory are now introduced in Chapter 1.
Improved Pedagogy
●● The exposition has been reexamined throughout and carefully revised as needed.
●● Exercises have been added for topics where students seemed to need addi-
tional practice, and they have been modified, as needed, to address student
difficulties.
●● Additional hints and full answers have been incorporated into Appendix B to
give students more help for difficult topics.

●● The introductory material in Chapter 4 was made more accessible by being di-
vided into two sections. The first introduces basic concepts about proof and dis-
proof in the context of elementary number theory, and the second adds examples
and advice for writing proofs.
Logic and Applications
●● Discussion was added about the role of bound variables and scope in mathemati-
cal writing and computer programming.

●● The section on two’s complements was significantly simplified.
●● Language for expressing universal quantifiers was revised to provide a clearer
basis for the idea of the generic particular in mathematical proof.

●● The material on Boolean algebras was expanded.
Proof and Applications

●● A greater variety of examples and exercises for number theory and set theory
proofs is now included.

●● The directions for writing proofs and the discussion of common mistakes have
been revised and expanded in response to interaction with students.

●● Discussion of historical background and recent mathematical results has been
augmented.
●● Material was added on using cryptographic hash functions to secure the trans-
mission of digital data and on using cryptography to authenticate the sender of a

transmitted message.
Induction and Recursion
●● The sections on ordinary and strong mathematical induction were reorganized
and expanded to increase the emphasis on applications.
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xviii PrefACe
●● In the section on recursive definitions, the format used for proofs by structural
induction was revised to parallel the format used for proofs by ordinary and
strong mathematical induction. The set of examples and exercises illustrating
recursive definitions and structural induction was significantly increased. The
recursive definition for the set of strings over a finite set and for the length of a
string were revised, and structural induction proofs for fundamental string prop-
erties are now included.
Graph Theory and the Analysis of Algorithm Efficiency
●● Instructors who wish to give their students an early experience of graph theory
can now do so by combining the introduction to graphs in Chapter 1 with the

handshake theorem in Chapter 4.
●● There is a new subsection on binary search trees in Chapter 10.
●● The discussion of O-, V-, and Q-notations was significantly simplified.
●● Many exercises on algorithm efficiency were added or revised to make the con-
cepts more accessible.
Student Resources
The Student Companion Website for this book includes:
●● A general orientation for each chapter
●● Review materials for each chapter
●● Proof tips
●● A link to the author’s personal website, which contains errata information and links
for interactive animations, tutorials, and other discrete mathematics resources on the
Internet
Instructor’s Resources
login.cengage.com
The Instructor’s Companion Website for this book contains:
●● Suggestions for how to approach the material of each chapter
●● The Complete Instructor’s Solutions Manual
●● Ideas for projects and writing assignments
●● Review materials to share with students
●● Lecture Note PowerPoint slides
●● Images from the book
●● A test bank of questions for exams and quizzes
●● Migration guide from 4th to 5th edition
Additional resources for the book are available at http://condor.depaul.edu/sepp.
WebAssign
www.webassign.com
WebAssign from Cengage Discrete Mathematics with Applications, Fifth Edition, is an
online homework system, which instructors can choose to pair with the book. For stu-
dents, it offers tutorial help in solving exercises, including review of relevant material,
short instructional videos, and instant feedback on how they are doing. For instructors, it
offers the ability to create customized homework sets, most of which are graded automati-
cally and produce results directly into an online grade roster. Real-time access to their
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PrefACe xix
students’ performance makes it possible for instructors to adjust the presentation of mate-
rial on an ongoing basis.
Student Solutions Manual and Study Guide

(ISBN: 978-0-357-03520-7)
In writing this book, I hoped that the exposition in the text, the worked examples, and the
exercise solutions would provide all that a student would need to successfully master the
material of the course. I continue to believe that any student who understands the solutions
for all the exercises with complete solutions in Appendix B will have achieved an excellent
command of the subject. Nonetheless, in response to requests for supplementary materials,
I developed the Student Solutions Manual and Study Guide, available separately from the
book, which contains complete solutions for all the exercises whose numbers are a multiple
of 3. The guide also includes alternative explanations for some of the concepts and review
questions for each chapter.
Organization
This book may be used effectively for a one- or two-semester course. Chapters contain
core sections, sections covering optional mathematical material, and sections covering
optional applications. Instructors have the flexibility to choose whatever mixture will
best serve the needs of their students. The following table shows a division of the sections
into categories.
Sections Containing Optional Sections Containing Optional

Chapter Core Sections Mathematical Material Computer Science Applications
1 1.1–1.3 1.4 1.4
2 2.1–2.3 2.5 2.4, 2.5
3 3.1–3.4 3.3 3.3
4 4.1–4.5, 4.7 4.6, 4.8, 4.9 4.10
5 5.1, 5.2, 5.6, 5.7 5.3, 5.4, 5.8 5.1, 5.5, 5.9
6 6.1 6.2–6.4 6.1, 6.4
7 7.1, 7.2 7.3, 7.4 7.1, 7.2, 7.4
8 8.1–8.3 8.4, 8.5 8.4, 8.5
9 9.1–9.4 9.5–9.9 9.3
10 10.1, 10.4 10.2, 10.3, 10.5 10.1, 10.4–10.6
11 11.1, 11.2 11.4 11.3, 11.5
12 12.1, 12.2 12.3 12.1–12.3
The following tree diagram shows, approximately, how the chapters of this book depend
on each other. Chapters on different branches of the tree are sufficiently independent that
instructors need to make at most minor adjustments if they skip chapters, or sections of
chapters, but follow paths along branches of the tree.
In most cases, covering only the core sections of the chapters is adequate preparation
for moving down the tree.
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xx PrefACe
34
5 6
10 12* 7 8 9
11
Acknowledgments
I owe a debt of gratitude to many people at DePaul University for their support and en-
couragement throughout the years I worked on editions of this book. A number of my col-
leagues used early versions and previous editions and provided many excellent suggestions
for improvement. For this, I am thankful to Louis Aquila, J. Marshall Ash, Allan Berele,
Jeffrey Bergen, William Chin, Barbara Cortzen, Constantine Georgakis, Sigrun Goes,
Jerry Goldman, Lawrence Gluck, Leonid Krop, Carolyn Narasimhan, Walter Pranger,
Eric Rieders, Ayse Sahin, Yuen-Fat Wong, and, most especially, Jeanne LaDuke. The
thousands of students to whom I have taught discrete mathematics have had a profound
influence on the presentation of the material in the book. By sharing their thoughts and
thought processes with me, they taught me how to teach them better. I am very grateful for
their help. I owe the DePaul University administration, especially deans, Charles Suchar,
Michael Mezey, and Richard Meister, a special word of thanks for considering the writing
of this book a worthwhile scholarly endeavor.
My thanks go to the reviewers for their valuable suggestions for this edition of the
book: Naser Al-Hasan, Newberry College; Linda Fosnaugh, Midwestern State Univer-
sity; Robert Gessel, University of Akron; Juan Henriquez, University of New Orleans;
Amy Hlavacek, Saginaw Valley State University; Kevin Lillis, Saint Ambrose University;
Ramón Mata-Toledo, James Madison University; Bin Shao, University of San Francisco;
Charles Qiao Zhang, Texas Christian University; and Cathleen Zucco-Teveloff, Rowan
University. For their help with previous editions of the book, I am grateful to David Addis,
Texas Christian University; Rachel Esselstein, California State University-Monterrey Bay;
William Marion, Valparaiso University; Michael McClendon, University of Central Okla-
homa; Steven Miller, Brown University; Itshak Borosh, Texas A & M University; Douglas
M. Campbell, Brigham Young University; David G. Cantor, University of California at Los
Angeles; C. Patrick Collier, University of Wisconsin-Oshkosh; Kevan H. Croteau, Francis
Marion University; Irinel Drogan, University of Texas at Arlington; Pablo Echeverria,
Camden County College; Henry A. Etlinger, Rochester Institute of Technology; Melvin
J. Friske, Wisconsin Lutheran College; William Gasarch, University of Maryland; Ladnor
Section 8.3 is needed for Section 12.3 but not for Sections 12.1 and 12.2.
*
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PrefACe xxi
Geissinger, University of North Carolina; Jerrold R. Griggs, University of South Carolina;

Nancy Baxter Hastings, Dickinson College; Lillian Hupert, Loyola University Chicago;
Joseph Kolibal, University of Southern Mississippi; Benny Lo, International Technologi-
cal University; George Luger, University of New Mexico; Leonard T. Malinowski, Finger
Lakes Community College; John F. Morrison, Towson State Unviersity; Paul Pederson,
University of Denver; George Peck, Arizona State University; Roxy Peck, California Poly-
technic State University, San Luis Obispo; Dix Pettey, University of Missouri; Anthony
Ralston, State University of New York at Buffalo; Norman Richert, University of Houston-
Clear Lake; John Roberts, University of Louisville; and George Schultz, St. Petersburg
Junior College, Clearwater. Special thanks are due John Carroll, San Diego State Univer-
sity; Dr. Joseph S. Fulda; and Porter G. Webster, University of Southern Mississippi; Peter
Williams, California State University at San Bernardino; and Jay Zimmerman, Towson
University for their unusual thoroughness and their encouragement.
I have also benefitted greatly from the suggestions of the many instructors who have
generously offered me their ideas for improvement based on their experiences with pre-
vious editions of the book, especially Jonathan Goldstine, Pennsylvania State University;
David Hecker, St. Joseph’s University; Edward Huff, Northern Virginia Community
College; Robert Messer, Albion College; Sophie Quigley, Ryerson University; Piotr
Rudnicki, University of Alberta; Anwar Shiek, Dine College; Norton Starr, Amherst
College; Eng Wee, National University of Singapore; Doug Hogan, University of Illinois
at Chicago; James Vanderhyde, Benedictine University; Ali Shaqlaih, University of North
Texas at Dallas; Sam Needham, Diablo Valley College; Mohamed Aboutabl and Ramon
A. Mata-Toledo, James Madison University; Larry Russ, Stevens Institute of Technology;
Tomas Klos, Delft University; Margaret McQuain, Virginia Polytechnic Institute and State
University; J. William Cupp, Indiana Wesleyan University; Jeffrey Mank, Framingham
State University; Or Meir, University of Haifa; Audrey Julia Walegwa Mbogho, Pwani
University, Kenya; Nariman Ammar, Birzeit University; Joshua T. Guerin, University
of Tennessee at Martin; Jici Huang, Montana State University; Jerry Shi, University of
Connecticut; Phuc Duong, Ton Duc Thang University, Vietnam; Abdul Rehman Abid, Iqra
University, Pakistan; Yogesh More, SUNY Old Westbury; Mark Kaplan, Towson State
University; Eric Neufeld, University of Saskatchewan; and Jeremy Tucker, Montana State
University. Production of the third edition received valuable assistance from Christopher
Novak, University of Michigan, Dearborn, and Ian Crewe, Ascension Collegiate School.
For the third and fourth editions I am grateful for the many excellent suggestions for
improvement made by Tom Jenkyns, Brock University, and for the fifth edition I am
indebted to Roger Lipsett for his knowledgeable and careful attention to detail. I am also
extremely grateful for the many appreciative messages I have received from students who
have used previous editions of the book. They have inspired me to continue to find ever
better ways to meet their needs in this edition, and I thank them for making the effort to
contact me.
I owe many thanks to the Cengage staff, especially my editors, Laura Gallus, Mona
Zeftel, Lynh Pham, and Spencer Arritt, for their thoughtful advice and reassuringly
calm direction of the production process, and my previous editors, Dan Seibert, Stacy
Green, Robert Pirtle, Barbara Holland, and Heather Bennett, for their encouragement
and enthusiasm.
The older I get the more I realize the profound debt I owe my own mathematics teach-
ers for shaping the way I perceive the subject. My first thanks must go to my husband,
Helmut Epp, who, on a high school date (!), introduced me to the power and beauty of the
field axioms and the view that mathematics is a subject with ideas as well as formulas and
techniques. In my formal education, I am most grateful to Daniel Zelinsky and Ky Fan at
Northwestern University and Izaak Wirszup, I. N. Herstein, and Irving Kaplansky at the
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xxii PrefACe
University of Chicago, all of whom, in their own ways, helped lead me to appreciate the
elegance, rigor, and excitement of mathematics.
To my family, I owe thanks beyond measure. I am grateful to my mother, whose keen
interest in the workings of the human intellect started me many years ago on the track that
led ultimately to this book, and to my father, whose devotion to the written word has been
a constant source of inspiration. I thank my children and grandchildren for their affection
and cheerful acceptance of the demands this book has placed on my life. And, most of all,
I am grateful to my husband, who for many years has encouraged me with his faith in the
value of this project and supported me with his love and his wise advice.
Susanna Epp
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Chapter 1 SPEAKING
MATHEMATICALLY
Therefore O students study mathematics and do not build

without foundations. —Leonardo da Vinci (1452–1519)
The aim of this book is to introduce you to a mathematical way of thinking that can serve
you in a wide variety of situations. Often when you start work on a mathematical prob-
lem, you may have only a vague sense of how to proceed. You may begin by looking at
examples, drawing pictures, playing around with notation, rereading the problem to focus
on more of its details, and so forth. The closer you get to a solution, however, the more
your thinking has to crystallize. And the more you need to understand, the more you need
language that expresses mathematical ideas clearly, precisely, and unambiguously.
This chapter will introduce you to some of the special language that is a foundation
for much mathematical thought, the language of variables, sets, relations, and functions.
Think of the chapter like the exercises you would do before an important sporting event.
Its goal is to warm up your mental muscles so that you can do your best.
1.1 Variables
A variable is sometimes thought of as a mathematical “John Doe” because you can use it
as a placeholder when you want to talk about something but either (1) you imagine that it
has one or more values but you don’t know what they are, or (2) you want whatever you
say about it to be equally true for all elements in a given set, and so you don’t want to be
restricted to considering only a particular, concrete value for it. To illustrate the first use,
consider asking
Is there a number with the following property: doubling it and adding 3
gives the same result as squaring it?
In this sentence you can introduce a variable to replace the potentially ambiguous
word “it”:
Is there a number x with the property that 2x 1 3 5 x2?
The advantage of using a variable is that it allows you to give a temporary name to what
you are seeking so that you can perform concrete computations with it to help discover its
possible values. To emphasize the role of the variable as a placeholder, you might write the
following:
Is there a number n with the property that 2? n 1 3 5 n 2?
The emptiness of the box can help you imagine filling it in with a variety of different val-
ues, some of which might make the two sides equal and others of which might not.
1
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2 CHAPTEr 1 SPEAKING MATHEMATICALLY
In this sense, a variable in a computer program is similar to a mathematical variable

because it creates a location in computer memory (either actual or virtual) into which
values can be placed.
To illustrate the second use of variables, consider the statement
No matter what number might be chosen, if it is greater than 2, then its
square is greater than 4.
In this case introducing a variable to give a temporary name to the (arbitrary) number you
might choose enables you to maintain the generality of the statement, and replacing all in-
stances of the word “it” by the name of the variable ensures that possible ambiguity is avoided:
No matter what number n might be chosen, if n is greater than 2, then
n2 is greater than 4.
Example 1.1.1 Writing Sentences Using Variables

Use variables to rewrite the following sentences more formally.
a. Are there numbers with the property that the sum of their squares equals the square of
their sum?
b. Given any real number, its square is nonnegative.
Solution
Note In part (a) the a. Are there numbers a and b with the property that a2 1 b2 5 (a 1 b)2?
answer is yes. For Or: Are there numbers a and b such that a2 1 b2 5 (a 1 b)2?
instance, a 5 1 and b 5 0 Or: Do there exist any numbers a and b such that a2 1 b2 5 (a 1 b)2?
would work. Can you
think of other numbers b. Given any real number r, r 2 is nonnegative.
that would also work? Or: For any real number r, r2 $ 0.
Or: For every real number r, r2 $ 0. ■
Some Important Kinds of Mathematical Statements

Three of the most important kinds of sentences in mathematics are universal statements,
conditional statements, and existential statements:
A universal statement says that a certain property is true for all elements in a set.
(For example: All positive numbers are greater than zero.)
A conditional statement says that if one thing is true then some other thing also
has to be true. (For example: If 378 is divisible by 18, then 378 is divisible by 6.)
Given a property that may or may not be true, an existential statement says that
there is at least one thing for which the property is true. (For example: There is a
prime number that is even.)
In later sections we will define each kind of statement carefully and discuss all of them
in detail. The aim here is for you to realize that combinations of these statements can be
expressed in a variety of different ways. One way uses ordinary, everyday language and
another expresses the statement using one or more variables. The exercises are designed to
help you start becoming comfortable in translating from one way to another.
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1.1 VArIAbLES 3
Universal Conditional Statements

Universal statements contain some variation of the words “for every” and conditional
statements contain versions of the words “if-then.” A universal conditional statement is
a statement that is both universal and conditional. Here is an example:
For every animal a, if a is a dog, then a is a mammal.
One of the most important facts about universal conditional statements is that they can be
rewritten in ways that make them appear to be purely universal or purely conditional. For
example, the previous statement can be rewritten in a way that makes its conditional nature
explicit but its universal nature implicit:
If a is a dog, then a is a mammal.
Or: If an animal is a dog, then the animal is a mammal.
The statement can also be expressed so as to make its universal nature explicit and its
conditional nature implicit:
For every dog a, a is a mammal.
Or: All dogs are mammals.
The crucial point is that the ability to translate among various ways of expressing univer-
sal conditional statements is enormously useful for doing mathematics and many parts of
computer science.
Example 1.1.2 rewriting a Universal Conditional Statement

Fill in the blanks to rewrite the following statement:
For every real number x, if x is nonzero then x2 is positive.
a. If a real number is nonzero, then its square .

Note If you introduce x b. For every nonzero real number x, .
in the first part of the sen-
c. If x , then .
tence, be sure to include it
in the second part of the d. The square of any nonzero real number is .
sentence.
e. All nonzero real numbers have .
Solution
a. is positive
b. x2 is positive
c. is a nonzero real number; x2 is positive
d. positive
e. positive squares (or: squares that are positive) ■
Universal Existential Statements

A universal existential statement is a statement that is universal because its first part says
Note For a number b to that a certain property is true for all objects of a given type, and it is existential because its
be an additive inverse for second part asserts the existence of something. For example:
a number a means that
a 1 b 5 0. Every real number has an additive inverse.
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In this statement the property “has an additive inverse” applies universally to all real num-
bers. “Has an additive inverse” asserts the existence of something—an additive inverse—
for each real number. However, the nature of the additive inverse depends on the real
number; different real numbers have different additive inverses. Knowing that an additive
inverse is a real number, you can rewrite this statement in several ways, some less formal
and some more formal:*
All real numbers have additive inverses.
Or: For every real number r, there is an additive inverse for r.
Or: For every real number r, there is a real number s such that s is an
additive inverse for r.
Introducing names for the variables simplifies references in further discussion. For in-
stance, after the third version of the statement you might go on to write: When r is positive,
s is negative, when r is negative, s is positive, and when r is zero, s is also zero.
One of the most important reasons for using variables in mathematics is that it gives you
the ability to refer to quantities unambiguously throughout a lengthy mathematical argu-
ment, while not restricting you to consider only specific values for them.
Example 1.1.3 rewriting a Universal Existential Statement

Fill in the blanks to rewrite the following statement: Every pot has a lid.
a. All pots .
b. For every pot P, there is .
c. For every pot P, there is a lid L such that .
Solution
a. have lids
b. a lid for P
c. L is a lid for P ■
Existential Universal Statements

An existential universal statement is a statement that is existential because its first part
asserts that a certain object exists and is universal because its second part says that the
object satisfies a certain property for all things of a certain kind. For example:
There is a positive integer that is less than or equal to every positive integer.
This statement is true because the number one is a positive integer, and it satisfies the
property of being less than or equal to every positive integer. We can rewrite the statement
in several ways, some less formal and some more formal:
Some positive integer is less than or equal to every positive integer.
Or: There is a positive integer m that is less than or equal to every
positive integer.
Or: There is a positive integer m such that every positive integer is
greater than or equal to m.
Or: There is a positive integer m with the property that for every
positive integer n, m # n.
*A conditional could be used to help express this statement, but we postpone the additional complexity to a
later chapter.
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1.1 VArIAbLES 5
Example 1.1.4 rewriting an Existential Universal Statement

Fill in the blanks to rewrite the following statement in three different ways:
There is a person in my class who is at least as old as every person in
my class.
a. Some is at least as old as .
b. There is a person p in my class such that p is .
c. There is a person p in my class with the property that for every person q in my class,
p is .
Solution
a. person in my class; every person in my class
b. at least as old as every person in my class
c. at least as old as q ■
Some of the most important mathematical concepts, such as the definition of limit of a
sequence, can only be defined using phrases that are universal, existential, and conditional,
and they require the use of all three phrases “for every,” “there is,” and “if-then.” For
example, if a1, a2, a3, Á is a sequence of real numbers, saying that
the limit of an as n approaches infinity is L
means that
for every positive real number «, there is an integer N such that
for every integer n, if n . N then 2« , an 2 L , «.
TEST YoUrSELf
answers to test Yourself questions are located at the end of each section.
1. A universal statement asserts that a certain property 3. Given a property that may or may not be true,
is for . an existential statement asserts that for
which the property is true.
2. A conditional statement asserts that if one
thing then some other thing .
ExErCISE SET 1.1

Appendix B contains either full or partial solutions to all exercises with blue numbers. When the solution is not complete,
the exercise number has an “H” next to it. A “*” next to an exercise number signals that the exercise is more challenging
than usual. Be careful not to get into the habit of turning to the solutions too quickly. Make every effort to work exercises
on your own before checking your answers. See the Preface for additional sources of assistance and further study.
In each of 1–6, fill in the blanks using a variable or variables a. Is there an integer n such that n has ?
to rewrite the given statement. b. Does there exist such that if n is divided
by 5 the remainder is 2 and if ?
1. Is there a real number whose square is 21?
a. Is there a real number x such that ? Note: There are integers with this property. Can you
b. Does there exist such that x2 5 21? think of one?
2. Is there an integer that has a remainder of 2 when 3. Given any two distinct real numbers, there is a
it is divided by 5 and a remainder of 3 when it is real number in between them.
divided by 6?
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a. Given any two distinct real numbers a and b, c. If an object is a square, then it .
there is a real number c such that c is . d. If J , then J .
b. For any two , such that c is e. For every square J, .
between a and b.
9. For every equation E, if E is quadratic then E has
4. Given any real number, there is a real number that at most two real solutions.
is greater. a. All quadratic equations .
a. Given any real number r, there is s such b. Every quadratic equation .
that s is . c. If an equation is quadratic, then it .
b. For any , such that s . r. d. If E , then E .
e. For every quadratic equation E, .
5. The reciprocal of any positive real number is positive.
a. Given any positive real number r, the reciprocal 10. Every nonzero real number has a reciprocal.
of . a. All nonzero real numbers .
b. For any real number r, if r is , then . b. For every nonzero real number r, there is
c. If a real number r , then . for r.
c. For every nonzero real number r, there is a real
6. The cube root of any negative real number is
number s such that .
negative.
a. Given any negative real number s, the cube 11. Every positive number has a positive square root.
root of . a. All positive numbers .
b. For any real number s, if s is , then . b. For every positive number e, there is for e.
c. If a real number s , then . c. For every positive number e, there is a positive
number r such that .
7. Rewrite the following statements less formally,
without using variables. Determine, as best as you 12. There is a real number whose product with every
can, whether the statements are true or false. number leaves the number unchanged.
a. There are real numbers u and v with the prop- a. Some has the property that its .
erty that u 1 v , u 2 v. b. There is a real number r such that the product
b. There is a real number x such that x2 , x. of r .
c. For every positive integer n, n2 $ n. c. There is a real number r with the property that
d. For all real numbers a and b, u a 1 bu # u au 1 u bu. for every real number s, .
In each of 8–13, fill in the blanks to rewrite the given 13. There is a real number whose product with every
statement. real number equals zero.
8. For every object J, if J is a square then J has four a. Some has the property that its .
sides. b. There is a real number a such that the product
a. All squares . of a .
b. Every square . c. There is a real number a with the property that
for every real number b, .
ANSWErS for TEST YoUrSELf

1. true; all elements of a set 2. is true; also has to be true 3. there is at least one thing
1.2 The Language of Sets

Á when we attempt to express in mathematical symbols a condition proposed in
words. First, we must understand thoroughly the condition. Second, we must be
familiar with the forms of mathematical expression. — George Polyá (1887–1985)
Use of the word set as a formal mathematical term was introduced in 1879 by Georg
Cantor (1845–1918). For most mathematical purposes we can think of a set intuitively, as
94193_ch01_ptg01.indd 6 12/11/18 3:40 pm

1.2 THE LANGuAGE of SETS 7
Cantor did, simply as a collection of elements. For instance, if C is the set of all countries
that are currently in the United Nations, then the United States is an element of C, and if I
is the set of all integers from 1 to 100, then the number 57 is an element of I.
Set-roster Notation
If S is a set, the notation x [ S means that x is an element of S. The notation x S
means that x is not an element of S. A set may be specified using the set-roster
notation by writing all of its elements between braces. For example, {1, 2, 3} denotes
the set whose elements are 1, 2, and 3. A variation of the notation is sometimes used
to describe a very large set, as when we write {1, 2, 3, Á , 100} to refer to the set of
all integers from 1 to 100. A similar notation can also describe an infinite set, as when
we write {1, 2, 3, Á } to refer to the set of all positive integers. (The symbol Á is
called an ellipsis and is read “and so forth.”)
The axiom of extension says that a set is completely determined by what its elements
are—not the order in which they might be listed or the fact that some elements might be
listed more than once.
Example 1.2.1 Using the Set-roster Notation

a. Let A 5 {1, 2, 3}, B 5 {3, 1, 2}, and C 5 {1, 1, 2, 3, 3, 3}. What are the elements of
A, B, and C? How are A, B, and C related?
b. Is {0} 5 0?
c. How many elements are in the set {1, {1}}?
d. For each nonnegative integer n, let Un 5 {n, 2n}. Find U1, U2, and U0.
Solution
a. A, B, and C have exactly the same three elements: 1, 2, and 3. Therefore, A, B, and C
are simply different ways to represent the same set.
b. {0} Þ 0 because {0} is a set with one element, namely 0, whereas 0 is just the symbol
that represents the number zero.
c. The set {1, {1}} has two elements: 1 and the set whose only element is 1.
d. U1 5 {1, 21}, U2 5 {2, 22}, U0 5 {0, 20} 5 {0, 0} 5 {0}. ■
Certain sets of numbers are so frequently referred to that they are given special sym-
bolic names. These are summarized in the following table.
Symbol Set
Note The Z is the first
letter of the German word R the set of all real numbers
for integers, Zahlen. It Z the set of all integers
stands for the set of all
Q the set of all rational numbers, or quotients of integers
integers and should not
be used as a shorthand for
the word integer. Addition of a superscript 1 or 2 or the letters nonneg indicates that only the positive or
When the Symbols R, negative or nonnegative elements of the set, respectively, are to be included. Thus R1
Q, and Z are handwrit- denotes the set of positive real numbers, and Z nonneg refers to the set of nonnegative
ten, they appear as R, Q, integers: 0, 1, 2, 3, 4, and so forth. Some authors refer to the set of nonnegative integers
and Z . as the set of natural numbers and denote it as N. Other authors call only the positive
94193_ch01_ptg01.indd 7 12/11/18 3:40 pm

integers natural numbers. To prevent confusion, we simply avoid using the phrase natural
numbers in this book.
The set of real numbers is usually pictured as the set of all points on a line, as shown
below. The number 0 corresponds to a middle point, called the origin. A unit of distance is
marked off, and each point to the right of the origin corresponds to a positive real number
found by computing its distance from the origin. Each point to the left of the origin cor-
responds to a negative real number, which is denoted by computing its distance from the
origin and putting a minus sign in front of the resulting number. The set of real numbers is
therefore divided into three parts: the set of positive real numbers, the set of negative real
numbers, and the number 0. Note that 0 is neither positive nor negative. Labels are given
for a few real numbers corresponding to points on the line shown below.
–3 –2 –1 0 1 2 3
–5 –Î3 –0.8 1 Î2 2.6 13

2 3 4
The real number line is called continuous because it is imagined to have no holes. The
set of integers corresponds to a collection of points located at fixed intervals along the real
number line. Thus every integer is a real number, and because the integers are all sepa-
rated from each other, the set of integers is called discrete. The name discrete mathematics
comes from the distinction between continuous and discrete mathematical objects.
Another way to specify a set uses what is called the set-builder notation.
Note We read the left- Set-Builder Notation

hand brace as “the set of
all” and the vertical line Let S denote a set and let P(x) be a property that elements of S may or may not satisfy.
as “such that.” In all oth- We may define a new set to be the set of all elements x in S such that P(x) is true.
er mathematical contexts, We denote this set as follows:
however, we do not use
a vertical line to denote {x [ S u P (x)}
the words “such that”; we Q a
the set of all such that
abbreviate “such that” as
“s. t.” or “s. th.” or “·]·.”
Occasionally we will write {x u P (x)} without being specific about where the element x
comes from. It turns out that unrestricted use of this notation can lead to genuine contradic-
tions in set theory. We will discuss one of these in Section 6.4 and will be careful to use this
notation purely as a convenience in cases where the set S could be specified if necessary.
Example 1.2.2 Using the Set-Builder Notation

Given that R denotes the set of all real numbers, Z the set of all integers, and Z1 the set of
all positive integers, describe each of the following sets.
a. {x [ R u 22 , x , 5}
b. {x [ Z u 22 , x , 5}
c. {x [ Z1 u 22 , x , 5}
Solution
a. {x [ R u 22 , x , 5} is the open interval of real numbers (strictly) between 22 and
5. It is pictured as follows:
–3 –2 –1 0 1 2 3 4 5 6 7 8
94193_ch01_ptg01.indd 8 12/11/18 3:40 pm

b. {x [ Z u 22 , x , 5} is the set of all integers (strictly) between 22 and 5. It is equal

to the set {21, 0, 1, 2, 3, 4}.
c. Since all the integers in Z1 are positive, {x [ Z1 u 22 , x , 5} 5 {1, 2, 3, 4}. ■
Subsets
A basic relation between sets is that of subset.
Definition
If A and B are sets, then A is called a subset of B, written A B, if, and only if, every
element of A is also an element of B.
Symbolically:
A # B means that for every element x, if x [ A then x [ B.
The phrases A is contained in B and B contains A are alternative ways of saying that
A is a subset of B.
It follows from the definition of subset that for a set A not to be a subset of a set B means
that there is at least one element of A that is not an element of B. Symbolically:
A Ü B means that there is at least one element x such that x [ A and x Ó B.
Definition
Let A and B be sets. A is a proper subset of B if, and only if, every element of A is
in B but there is at least one element of B that is not in A.
Example 1.2.3 Subsets

Let A 5 Z1, B 5 {n [ Z u 0 # n # 100}, and C 5 {100, 200, 300, 400, 500}. Evaluate
the truth and falsity of each of the following statements.
a. B # A
b. C is a proper subset of A
c. C and B have at least one element in common
d. C # B
e. C # C
Solution
a. False. Zero is not a positive integer. Thus zero is in B but zero is not in A, and so B Ü A.
b. True. Each element in C is a positive integer and, hence, is in A, but there are elements
in A that are not in C. For instance, 1 is in A and not in C.
c. True. For example, 100 is in both C and B.
d. False. For example, 200 is in C but not in B.
e. True. Every element in C is in C. In general, the definition of subset implies that all
sets are subsets of themselves. ■
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Example 1.2.4 Distinction between and

Which of the following are true statements?
a. 2 [ {1, 2, 3} b. {2} [ {1, 2, 3} c. 2 # {1, 2, 3}
d. {2} # {1, 2, 3} e. {2} # {{1}, {2}} f. {2} [ {{1}, {2}}
Solution Only (a), (d), and (f) are true.
For (b) to be true, the set {1, 2, 3} would have to contain the element {2}. But the only
elements of {1, 2, 3} are 1, 2, and 3, and 2 is not equal to {2}. Hence (b) is false.
For (c) to be true, the number 2 would have to be a set and every element in the set 2
would have to be an element of {1, 2, 3}. This is not the case, so (c) is false.
For (e) to be true, every element in the set containing only the number 2 would have to
be an element of the set whose elements are {1} and {2}. But 2 is not equal to either {1} or
{2}, and so (e) is false. ■
Cartesian Products
With the introduction of Georg Cantor’s set theory in the late nineteenth century, it
began to seem possible to put mathematics on a firm logical foundation by developing
all of its various branches from set theory and logic alone. A major stumbling block was
how to use sets to define an ordered pair because the definition of a set is unaffected
by the order in which its elements are listed. For example, {a, b} and {b, a} represent
the same set, whereas in an ordered pair we want to be able to indicate which element
ArchivePL/Alamy Stock Photo
comes first.
In 1914 crucial breakthroughs were made by Norbert Wiener (1894–1964), a young
American who had recently received his Ph.D. from Harvard, and the German mathemati-
cian Felix Hausdorff (1868–1942). Both gave definitions showing that an ordered pair can
be defined as a certain type of set, but both definitions were somewhat awkward. Finally,
Kazimierz Kuratowski
in 1921, the Polish mathematician Kazimierz Kuratowski (1896–1980) published the fol-
(1896–1980) lowing definition, which has since become standard. It says that an ordered pair is a set of
the form
{{a}, {a, b}}.
This set has elements, {a} and {a, b}. If a Þ b, then the two sets are distinct and a is in both
sets whereas b is not. This allows us to distinguish between a and b and say that a is the
first element of the ordered pair and b is the second element of the pair. If a 5 b, then we
can simply say that a is both the first and the second element of the pair. In this case the set
that defines the ordered pair becomes {{a}, {a, a}}, which equals {{a}}.
However, it was only long after ordered pairs had been used extensively in mathematics
that mathematicians realized that it was possible to define them entirely in terms of sets,
and, in any case, the set notation would be cumbersome to use on a regular basis. The usual
notation for ordered pairs refers to {{a}, {a, b}} more simply as (a, b).
Notation
Given elements a and b, the symbol (a, b) denotes the ordered pair consisting of
a and b together with the specification that a is the first element of the pair and b
is the second element. Two ordered pairs (a, b) and (c, d) are equal if, and only if,
a 5 c and b 5 d. Symbolically:
(a, b) 5 (c, d) means that a 5 c and b 5 d.
94193_ch01_ptg01.indd 10 12/11/18 3:40 pm

Example 1.2.5 ordered Pairs

a. Is (1, 2) 5 (2, 1)?
5 1
b. Is _3, 10+ 5 _Ï9, 2+?
c. What is the first element of (1, 1)?
Solution
a. No. By definition of equality of ordered pairs,
(1, 2) 5 (2, 1) if, and only if, 1 5 2 and 2 5 1.
But 1 Þ 2, and so the ordered pairs are not equal.
b. Yes. By definition of equality of ordered pairs,
S D S D
3,
5
10
5 Ï9,
1
2
if, and only if, 3 5 Ï9 and
5 1
5 .
10 2
Because these equations are both true, the ordered pairs are equal.
c. In the ordered pair (1, 1), the first and the second elements are both 1. ■
The notation for an ordered n-tuple generalizes the notation for an ordered pair to a set
with any finite number of elements. It also takes both order and multiplicity into account.
Definition
Let n be a positive integer and let x1, x2, Á , xn be (not necessarily distinct) ele-
ments. The ordered n-tuple, (x1, x2 , . . . , xn), consists of x1, x2, Á , xn together with
the ordering: first x1, then x2, and so forth up to xn. An ordered 2-tuple is called an
ordered pair, and an ordered 3-tuple is called an ordered triple.
Two ordered n-tuples (x1, x2, Á , xn) and (y1, y2, Á , yn) are equal if, and only
if, x1 5 y1, x2 5 y2, Á , and xn 5 yn.
Symbolically:
(x1, x2, Á , xn) 5 (y1, y2, Á , yn) 3 x1 5 y1, x2 5 y2, Á , xn 5 yn.
Example 1.2.6 ordered n-tuples

a. Is (1, 2, 3, 4) 5 (1, 2, 4, 3)?
1 3
b. Is _3, (22)2, 2+ 5 _Ï9, 4, 6+?
Solution
a. No. By definition of equality of ordered 4-tuples,
(1, 2, 3, 4) 5 (1, 2, 4, 3) 3 1 5 1, 2 5 2, 3 5 4, and 4 5 3
But 3 Þ 4, and so the ordered 4-tuples are not equal.
b. Yes. By definition of equality of ordered triples,
S 3, (22)2,
1
2 D S
5 Ï9, 4,
3
6 D 3 3 5 Ï9 and (22)2 5 4 and
1 3
5 .
2 6
Because these equations are all true, the two ordered triples are equal. ■
94193_ch01_ptg01.indd 11 12/11/18 3:40 pm

Definition
Given sets A1, A2, Á , An, the Cartesian product of A1, A2, Á , An, denoted
A1 3 A2 3 Á 3 An, is the set of all ordered n-tuples (a1, a2, Á , an) where a1 [ A1,
a2 [ A2, Á , an [ An.
Symbolically:
A1 3 A2 3 Á 3 An 5 {(a1, a2, Á , an) u a1 [ A1, a2 [ A2, Á , an [ An}.
In particular,
A1 3 A2 5 {(a1, a2) u a1 [ A1 and a2 [ A2}
is the Cartesian product of A1 and A2.
Example 1.2.7 Cartesian Products

Let A 5 {x, y}, B 5 {1, 2, 3}, and C 5 {a, b}.
a. Find A 3 B.
b. Find B 3 A.
c. Find A 3 A.
d. How many elements are in A 3 B, B 3 A, and A 3 A?
e. Find (A 3 B) 3 C
f. Find A 3 B 3 C
g. Let R denote the set of all real numbers. Describe R 3 R.
Solution
a. A 3 B 5 {(x, 1), (y, 1), (x, 2), (y, 2), (x, 3), (y, 3)}
b. B 3 A 5 {(1, x), (1, y), (2, x), (2, y), (3, x), (3, y)}
c. A 3 A 5 {(x, x), (x, y), (y, x), (y, y)}
Note This is why it d. A 3 B has 6 elements. Note that this is the number of elements in A times the number
makes sense to call a of elements in B. B 3 A has 6 elements, the number of elements in B times the num-
Cartesian product a ber of elements in A. A 3 A has 4 elements, the number of elements in A times the
product! number of elements in A.
e. The Cartesian product of A and B is a set, so it may be used as one of the sets making
up another Cartesian product. This is the case for (A 3 B) 3 C.
(A 3 B) 3 C 5 {(u, v)uu [ A 3 B and v [ C} by definition of Cartesian product
5 {((x, 1), a), ((x, 2), a), ((x, 3), a), ((y, 1), a),
((y, 2), a), ((y, 3), a), ((x, 1), b), ((x, 2), b), ((x, 3), b),
((y, 1), b), ((y, 2), b), ((y, 3), b)}
f. The Cartesian product A 3 B 3 C is superficially similar to but is not quite the same
mathematical object as (A 3 B) 3 C. (A 3 B) 3 C is a set of ordered pairs of which
one element is itself an ordered pair, whereas A 3 B 3 C is a set of ordered triples. By
definition of Cartesian product,
94193_ch01_ptg01.indd 12 12/11/18 3:40 pm

A 3 B 3 C 5 {(u, v, w) u u [ A, v [ B, and w [ Cj
5 {(x, 1, a), (x, 2, a), (x, 3, a), (y, 1, a), (y, 2, a), (y, 3, a), (x, 1, b),
(x, 2, b), (x, 3, b), (y, 1, b), (y, 2, b), (y, 3, b)}.
g. R 3 R is the set of all ordered pairs (x, y) where both x and y are real numbers. If
horizontal and vertical axes are drawn on a plane and a unit length is marked off, then
each ordered pair in R 3 R corresponds to a unique point in the plane, with the first
and second elements of the pair indicating, respectively, the horizontal and vertical
positions of the point. The term Cartesian plane is often used to refer to a plane with
this coordinate system, as illustrated in Figure 1.2.1.
y
3
(–3, 2)
2
1 (2, 1)
–4 –3 –2 –1 1 2 3 4 x
–1
(–2, –2) –2 (1, –2)
–3
fIGUrE 1.2.1 A Cartesian Plane ■
Another notation, which is important in both mathematics and computer science, denotes
objects called strings.*
Definition
Let n be a positive integer. Given a finite set A, a string of length n over A is an or-
dered n-tuple of elements of A written without parentheses or commas. The elements
of A are called the characters of the string. The null string over A is defined to be
the “string” with no characters. It is often denoted l and is said to have length 0. If
A 5 {0, 1}, then a string over A is called a bit string.
Example 1.2.8 Strings

Let A 5 {a, b}. List all the strings of length 3 over A with at least two characters that are
the same.
Solution
aab, aba, baa, aaa, bba, bab, abb, bbb
In computer programming it is important to distinguish among different kinds of data
structures and to respect the notations that are used for them. Similarly in mathematics, it
is important to distinguish among, say, {a, b, c}, {{a, b}, c}, (a, b, c), (a, (b, c)), abc, and so
forth, because these are all significantly different objects. ■
*A more formal definition of string, using recursion, is given in Section 5.9.
94193_ch01_ptg01.indd 13 12/11/18 3:40 pm

TEST YoUrSELf
1. When the elements of a set are given using the 6. For a set A to be a subset of a set B means that
set-roster notation, the order in which they are .
listed .
7. Given sets A and B, the Cartesian product A 3 B
2. The symbol R denotes . is .
3. The symbol Z denotes . 8. Given sets A, B, and C, the Cartesian product
A 3 B 3 C is .
4. The symbol Q denotes .
9. A string of length n over a set S is an ordered n-tuple
5. The notation {x k P(x)} is read .
of elements of S, written without or .
ExErCISE SET 1.2

1. Which of the following sets are equal? c. U 5 {r [ Z u 2 # r # 22}
d. V 5 {s [ Z u s . 2 or s , 3}
A 5 {a, b, c, d} B 5 {d, e, a, c}
e. W 5 {t [ Z u 1 , t , 23}
C 5 {d, b, a, c} D 5 {a, a, d, e, c, e} f. X 5 {u [ Z u u # 4 or u $ 1}
2. Write in words how to read each of the following 8. Let A 5 {c, d, f, g}, B 5 {f, j}, and C 5 {d, g}.
out loud. Answer each of the following questions. Give
a. {x [ R1 u 0 , x , 1} reasons for your answers.
b. {x [ R u x # 0 or x $ 1}
a. Is B # A?
c. {n [ Z u n is a factor of 6}
b. Is C # A?
d. {n [ Z1 u n is a factor of 6}
c. Is C # C?
3. a. Is 4 5 {4}? d. Is C a proper subset of A?
b. How many elements are in the set {3, 4, 3, 5}?
c. How many elements are in the set {1, {1}, {1, {1}}}? 9. a. Is 3 [ {1, 2, 3}?
b. Is 1 # {1}?
4. a. Is 2 [ {2}?
c. Is {2} [ {1, 2}?
b. How many elements are in the set {2, 2, 2, 2}?
d. Is {3} [ {1, {2}, {3}}?
c. How many elements are in the set {0, {0}}?
e. Is 1 [ {1}?
d. Is {0} [ {{0}, {1}}?
f. Is {2} # {1, {2}, {3}}?
e. Is 0 [ {{0}, {1}}?
g. Is {1} # {1, 2}?
H 5. Which of the following sets are equal? h. Is 1 [ {{1}, 2}?
A 5 {0, 1, 2} i. Is {1} # {1, {2}}?
B 5 {x [ R u 21 # x , 3} j. Is {1} # {1}?
C 5 {x [ R u 21 , x , 3} 10. a. Is ((22)2, 222) 5 (222, (22)2)?
D 5 {x [ Z u 21 , x , 3} b. Is (5, 25) 5 (25, 5)?
c. Is (8 2 9,Ï3
21) 5 (21, 21)?
E 5 {x [ Z1 u 21 , x , 3} 22 3
d. Is _ 24, (22)3+ 5 _ 6, 28+?
H 6. For each integer n, let Tn 5 {n, n2}. How many
11. Let A 5 {w, x, y, z} and B 5 {a, b}. Use the set-
elements are in each of T2, T23, T1, and T0? Justify
your answers. roster notation to write each of the following sets, and
indicate the number of elements that are in each set.
7. Use the set-roster notation to indicate the elements a. A 3 B
in each of the following sets. b. B 3 A
a. S 5 {n [ Z u n 5 (21)k, for some integer k}. c. A 3 A
b. T 5 {m [ Z u m 5 1 1(21)i, for some integer i}. d. B 3 B
94193_ch01_ptg01.indd 14 12/11/18 3:40 pm

1.3 THE LANGuAGE of rELATIoNS ANd fuNCTIoNS 15
12. Let S 5 {2, 4, 6} and T 5 {1, 3, 5}. Use the set- 14. Let R 5 {a}, S 5 {x, y}, and T 5 {p, q, r}. Find
roster notation to write each of the following sets, and each of the following sets.
indicate the number of elements that are in each set. a. R 3 (S 3 T)
a. S 3 T b. (R 3 S) 3 T
b. T 3 S c. R 3 S 3 T
c. S 3 S
15. Let S 5 {0, 1}. List all the strings of length 4 over
d. T 3 T
S that contain three or more 0’s.
13. Let A 5 {1, 2, 3}, B 5 {u}, and C 5 {m, n}. Find
16. Let T 5 {x, y}. List all the strings of length 5 over
each of the following sets.
T that have exactly one y.
a. A 3 (B 3 C)
b. (A 3 B) 3 C
c. A 3 B 3 C
ANSWErS for TEST YoUrSELf

1. does not matter 2. the set of all real numbers 3. the set in B 7. the set of all ordered pairs (a, b) where a is in A and
of all integers 4. the set of all rational numbers 5. the set b is in B 8. the set of ordered triples of the form (a, b, c)
of all x such that P(x) 6. every element in A is an element where a [ A, b [ B, and c [ C 9. parentheses; commas
1.3 The Language of relations and functions

Mathematics is a language. —Josiah Willard Gibbs (1839–1903)
There are many kinds of relationships in the world. For instance, we say that two people
are related by blood if they share a common ancestor and that they are related by marriage
if one shares a common ancestor with the spouse of the other. We also speak of the rela-
tionship between student and teacher, between people who work for the same employer,
and between people who share a common ethnic background.
Similarly, the objects of mathematics may be related in various ways. A set A may
be said to be related to a set B if A is a subset of B, or if A is not a subset of B, or if A
and B have at least one element in common. A number x may be said to be related to a
number y if x , y, or if x is a factor of y, or if x2 1 y2 5 1. Two identifiers in a computer
program may be said to be related if they have the same first eight characters, or if the
same memory location is used to store their values when the program is executed. And
the list could go on!
Let A 5 {0, 1, 2} and B 5 {1, 2, 3} and let us say that an element x in A is related to an
element y in B if, and only if, x is less than y. Let us use the notation x R y as a shorthand
for the sentence “x is related to y.” Then
0R1 since 0 , 1,
0R2 since 0 , 2,
0R3 since 0 , 3,
1R2 since 1 , 2,
1R3 since 1 , 3, and
2R3 since 2 , 3.
94193_ch01_ptg01.indd 15 12/11/18 3:40 pm

On the other hand, if the notation x R y represents the sentence “x is not related to y,” then
1 R 1 since 1 ñ 1,
2 R 1 since 2 ñ 1, and
2 R 2 since 2 ñ 2.
Recall that the Cartesian product of A and B, A 3 B, consists of all ordered pairs whose
first element is in A and whose second element is in B:
A 3 B 5 {(x, y) u x [ A and y [ B}.
In this case,
A 3 B 5 h(0, 1), (0, 2), (0, 3), (1, 1), (1, 2), (1, 3), (2, 1), (2, 2), (2, 3)j.
The elements of some ordered pairs in A 3 B are related, whereas the elements of other
ordered pairs are not. Consider the set of all ordered pairs in A 3 B whose elements are
related
h(0, 1), (0, 2), (0, 3), (1, 2), (1, 3), (2, 3)j.
Observe that knowing which ordered pairs lie in this set is equivalent to knowing which
elements are related to which. The relation itself can therefore be thought of as the totality of
ordered pairs whose elements are related by the given condition. The formal mathematical
definition of relation, based on this idea, was introduced by the American mathematician
and logician C. S. Peirce in the nineteenth century.
Definition
Let A and B be sets. A relation R from A to B is a subset of A 3 B. Given an ordered
pair (x, y) in A 3 B, x is related to y by R, written x R y, if, and only if, (x, y) is in R.
The set A is called the domain of R and the set B is called its co-domain.
The notation for a relation R may be written symbolically as follows:
x R y means that (x, y) [ R.
The notation x R y means that x is not related to y by R:
x R y means that (x, y) Ó R.
Example 1.3.1 A relation as a Subset

Let A 5 {1, 2} and B 5 {1, 2, 3} and define a relation R from A to B as follows: Given any
(x, y) [ A 3 B,
x2y
(x, y) [ R means that is an integer.
2
a. State explicitly which ordered pairs are in A 3 B and which are in R.

b. Is 1 R 3? Is 2 R 3? Is 2 R 2?
c. What are the domain and co-domain of R?
Solution
a. A 3 B 5 {(1, 1), (1, 2), (1, 3), (2, 1), (2, 2), (2, 3)}. To determine explicitly the compo-
sition of R, examine each ordered pair in A 3 B to see whether its elements satisfy the
defining condition for R.
94193_ch01_ptg01.indd 16 12/11/18 3:40 pm

121 0
(1, 1) [ R because 2 5 2 5 0, which is an integer.
122 21
(1, 2) Ó R because 2 5 2 , which is not an integer.
123 22
221 1
(2, 1) Ó R because 2 5 2, which is not an integer.
222 0
223 21
(2, 3) Ó R because 2 5 2 , which is not an integer.
Thus
R 5 {(1, 1), (1, 3), (2, 2)}
b. Yes, 1 R 3 because (1, 3) [ R.

No, 2 R 3 because (2, 3) Ó R.
Yes, 2 R 2 because (2, 2) [ R.
c. The domain of R is {1, 2} and the co-domain is {1, 2, 3}. ■
Example 1.3.2 The Circle relation

Define a relation C from R to R as follows: For any (x, y) [ R 3 R,
(x, y) [ C means that x2 1 y2 5 1.
1 Ï3
a. Is (1, 0) [ C? Is (0, 0) [ C? Is _22, 2+ [ C? Is 22 C 0? Is 0 C (21)? Is 1 C 1?
b. What are the domain and co-domain of C?
c. Draw a graph for C by plotting the points of C in the Cartesian plane.
Solution
a. Yes, (1, 0) [ C because 12 1 02 5 1.
No, (0, 0) Ó C because 02 1 02 5 0 Þ 1.
1 1 Ï3 1 3
Yes, _22, Ï32+ [ C because _22+2 1 _ 2 +2 5 4 1 4 5 1.
No, 22 C 0 because (22)2 1 02 5 4 Þ 1.
Yes, 0 C (21) because 02 1 (21)2 5 1.
No, 1 C 1 because 12 1 12 5 2 Þ 1.
b. The domain and co-domain of C are both R, the set of all real numbers.
c. y
x2 + y2 = 1
–1 1 x
94193_ch01_ptg01.indd 17 12/11/18 3:40 pm

Arrow Diagram of a Relation

Suppose R is a relation from a set A to a set B. The arrow diagram for R is obtained as
follows:
1. Represent the elements of A as points in one region and the elements of B as points in
another region.
2. For each x in A and y in B, draw an arrow from x to y if, and only if, x is related to y by
R. Symbolically:
Draw an arrow from x to y
if, and only if, xRy
if, and only if, (x, y) [ R.
Example 1.3.3 Arrow Diagrams of relations

Let A 5 {1, 2, 3} and B 5 {1, 2, 3} and define relations S and T from A to B as follows:
For every (x, y) [ A 3 B,
(x, y) [ S means that x,y S is a “less than” relation.

T 5 {(2, 1), (2, 5)}.
Draw arrow diagrams for S and T.
Solution
S T
1 1 1 1
2 3 2 3
3 5 3 5
These example relations illustrate that it is possible to have several arrows coming out
of the same element of A pointing in different directions. Also, it is quite possible to have
an element of A that does not have an arrow coming out of it. ■
Functions
In Section 1.2 we showed that ordered pairs can be defined in terms of sets and we defined
Cartesian products in terms of ordered pairs. In this section we introduced relations as subsets
of Cartesian products. Thus we can now define functions in a way that depends only on the
concept of set. Although this definition is not obviously related to the way we usually work
with functions in mathematics, it is satisfying from a theoretical point of view, and computer
scientists like it because it is particularly well suited for operating with functions on a computer.
Definition
A function F from a set A to a set B is a relation with domain A and co-domain B
that satisfies the following two properties:
1. For every element x in A, there is an element y in B such that (x, y) [ F.
2. For all elements x in A and y and z in B,
if (x, y) [ F and (x, z) [ F, then y 5 z.
94193_ch01_ptg01.indd 18 12/11/18 3:40 pm

Properties (1) and (2) can be stated less formally as follows: A relation F from A to B is
a function if, and only if:
1. Every element of A is the first element of an ordered pair of F.
2. No two distinct ordered pairs in F have the same first element.
In most mathematical situations we think of a function as sending elements from one
set, the domain, to elements of another set, the co-domain. Because of the definition of
function, each element in the domain corresponds to one and only one element of the
co-domain.
More precisely, if F is a function from a set A to a set B, then given any element x in A,
property (1) from the function definition guarantees that there is at least one element of B
that is related to x by F and property (2) guarantees that there is at most one such element.
This makes it possible to give the element that corresponds to x a special name.
function Notation
If A and B are sets and F is a function from A to B, then given any element x in A, the
unique element in B that is related to x by F is denoted F(x), which is read “F of x.”
Example 1.3.4 functions and relations on finite Sets

Let A 5 {2, 4, 6} and B 5 {1, 3, 5}. Which of the relations R, S, and T defined below are
functions from A to B?
a. R 5 {(2, 5), (4, 1), (4, 3), (6, 5)}
b. For every (x, y) [ A 3 B, (x, y) [ S means that y 5 x 11.
c. T is defined by the arrow diagram
A B
2 1
4 3
6 5
Solution
a. R is not a function because it does not satisfy property (2). The ordered pairs (4, 1)
and (4, 3) have the same first element but different second elements. You can see this
graphically if you draw the arrow diagram for R. There are two arrows coming out of
4: One points to 1 and the other points to 3.
A B
R
2 1
4 3
6 5
b. S is not a function because it does not satisfy property (1). It is not true that every
element of A is the first element of an ordered pair in S. For example, 6 [ A but there
is no y in B such that y 5 6 11 5 7. You can also see this graphically by drawing the
arrow diagram for S.
94193_ch01_ptg01.indd 19 12/11/18 3:40 pm

20 Chapter 1 SPEAKING MATHEMATICALLY
A B
S
2 1
Note In part (c), 4 3
T(4) 5 T(6). This illustrates
the fact that although no 6 5
element of the domain of a
function can be related to
more than one element of c. T is a function: Each element in {2, 4, 6} is related to some element in {1, 3, 5}, and no
the co-domain, several ele- element in {2, 4, 6} is related to more than one element in {1, 3, 5}. When these proper-
ments in the domain can be ties are stated in terms of the arrow diagram, they become (1) there is an arrow coming
related to the same element out of each element of the domain, and (2) no element of the domain has more than one
in the co-domain. arrow coming out of it. So you can write T(2) 5 5, T(4) 5 1, and T(6) 5 1. ■
example 1.3.5 Functions and relations on Sets of Strings

Let A 5 {a, b} and let S be the set of all strings over A.
a. Define a relation L from S to Z nonneg as follows: For every string s in S and for every
nonnegative integer n,
(s, n) [ L means that the length of s is n.
Observe that L is a function because every string in S has one and only one length.
Find L(abaaba) and L(bbb).
b. Define a relation C from S to S as follows: For all strings s and t in S,
(s, t) [ C means that t 5 as,

where as is the string obtained by appending a on the left of the characters in s. (C is
called concatenation by a on the left.) Observe that C is a function because every
string in S consists entirely of a’s and b’s and adding an additional a on the left creates
a new strong that also consists of a’s and b’s and thus is also in S. Find C(abaaba) and
C(bbb).
Solution
a. L(abaaba) 5 6 and L(bbb) 5 3
b. C(abaaba) 5 aabaaba and C(bbb) 5 abbb ■
Function Machines
Another useful way to think of a function is as a machine. Suppose f is a function from X to
Y and an input x of X is given. Imagine f to be a machine that processes x in a certain way
to produce the output f(x). This is illustrated in Figure 1.3.1.
x
Input
function machine
f (x) Output
Figure 1.3.1
94193_ch01_ptg01.indd 20 13/11/18 7:06 pm

Example 1.3.6 functions Defined by formulas

The squaring function f from R to R is defined by the formula f(x) 5 x2 for every real
number x. This means that no matter what real number input is substituted for x, the output
of f will be the square of that number. This idea can be represented by writing f (n) 5 n 2.
In other words, f sends each real number x to x2, or, symbolically, f: x S x2. Note that the
variable x is a dummy variable; any other symbol could replace it, as long as the replace-
ment is made everywhere the x appears.
The successor function g from Z to Z is defined by the formula g(n) 5 n 11. Thus, no mat-
ter what integer is substituted for n, the output of g will be that number plus 1: g(n) 5 n11. In
other words, g sends each integer n to n 11, or, symbolically, g: n S n 1 1.
An example of a constant function is the function h from Q to Z defined by the for-
mula h(r) 5 2 for all rational numbers r. This function sends each rational number r to 2.
In other words, no matter what the input, the output is always 2: h(n) 5 2 or h: r S 2.
The functions f, g, and h are represented by the function machines in Figure 1.3.2.
x n r
squaring successor constant

function function function
f (x) = x 2 g(n) = n + 1 h(r) = 2

(a) (b) (c)
fIGUrE 1.3.2 ■
A function is an entity in its own right. It can be thought of as a certain relationship

between sets or as an input/output machine that operates according to a certain rule. This
is the reason why a function is generally denoted by a single symbol or string of symbols,
such as f, G, of log, or sin.
A relation is a subset of a Cartesian product and a function is a special kind of relation.
Specifically, if f and g are functions from a set A to a set B, then
f 5 {(x, y) [ A 3 B u y 5 f (x)} and g 5 {(x, y) [ A 3 B u y 5 g(x)}.
It follows that
f equals g, written f 5 g, if, and only if, f(x) 5 g(x) for all x in A.
Example 1.3.7 Equality of functions

Define functions f and g from R to R by the following formulas:
f(x) 5 u x u for every x [ R.
g(x) 5 Ïx 2
for every x [ R.
Does f 5 g?
Solution
Yes. Because the absolute value of any real number equals the square root of its square,
u x u 5 Ïx2 for all x [ R. Hence f 5 g. ■
94193_ch01_ptg01.indd 21 12/11/18 3:41 pm

TEST YoUrSELf
1. Given sets A and B, a relation from A to B is . b. for all elements x in A and y and z in B, if
then .
2. A function F from A to B is a relation from A to B
that satisfies the following two properties: 3. If F is a function from A to B and x is an element
a. for every element x of A, there is . of A, then F(x) is .
ExErCISE SET 1.3

1. Let A 5 {2, 3, 4} and B 5 {6, 8, 10} and define c. Write the domain and co-domain of V.
a relation R from A to B as follows: For every d. Draw an arrow diagram for V.
(x, y) [ A 3 B,
5. Define a relation S from R to R as follows:
y
(x, y) [ R means that is an integer. For every (x, y) [ R 3 R,
x
(x, y) [ S means that x $ y.
a. Is 4 R 6? Is 4 R 8? Is (3, 8) [ R? Is (2, 10) [ R?
b. Write R as a set of ordered pairs. a. Is (2, 1) [ S? Is (2, 2) [ S? Is 2 S 3?
c. Write the domain and co-domain of R. Is (21) S (22)?
d. Draw an arrow diagram for R. b. Draw the graph of S in the Cartesian plane.
2. Let C 5 D 5 {23, 22, 21, 1, 2, 3} and define 6. Define a relation R from R to R as follows:
a relation S from C to D as follows: For every For every (x, y) [ R 3 R,
(x, y) [ C 3 D,
1 1 (x, y) [ R means that y 5 x2.
(x, y) [ S means that x2y is an integer.
a. Is (2, 4) [ R? Is (4, 2) [ R? Is (23) R 9?
a. Is 2 S 2? Is 21 S 21? Is (3, 3) [ S? Is 9 R (23)?
Is (3, 23) [ S? b. Draw the graph of R in the Cartesian plane.
b. Write S as a set of ordered pairs. 7. Let A 5 {4, 5, 6} and B 5 {5, 6, 7} and define
c. Write the domain and co-domain of S. relations R, S, and T from A to B as follows:
d. Draw an arrow diagram for S. For every (x, y) [ A 3 B:
3. Let E 5 {1, 2, 3} and F 5 {22, 21, 0} and define (x, y) [ R means that x $ y.
a relation T from E to F as follows: For every (x, y) [ S means that
x2y
2 is an integer.
(x, y) [ E 3 F,
x2y T 5 h(4, 7), (6, 5), (6, 7)j.
(x, y) [ T means that 3 is an integer.
a. Draw arrow diagrams for R, S, and T.
a. Is 3 T 0? Is 1 T (21)? Is (2, 21) [ T? b. Indicate whether any of the relations R, S, and
Is (3, 22) [ T? T are functions.
b. Write T as a set of ordered pairs.
8. Let A 5 {2, 4} and B 5 {1, 3, 5} and define rela-
c. Write the domain and co-domain of T.
tions U, V, and W from A to B as follows:
d. Draw an arrow diagram for T.
For every (x, y) [ A 3 B:
4. Let G 5 {22, 0, 2} and H 5 {4, 6, 8} and define a
relation V from G to H as follows: For every (x, y) [ U means that y 2 x . 2.
x
(x, y) [ G 3 H, (x, y) [ V means that y 2 1 5 2.
x2y W 5 h(2, 5), (4, 1), (2, 3)j.
(x, y) [ V means that 4 is an integer.
a. Draw arrow diagrams for U, V, and W.
a. Is 2 V 6? Is (22) V (8)? Is (0, 6) [ V?
b. Indicate whether any of the relations U, V, and
Is (2, 4) [ V? W are functions.
b. Write V as a set of ordered pairs.
94193_ch01_ptg01.indd 22 12/11/18 3:41 pm

Another random document with
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Die Folge ist, daß der Geist der Gotik in der chinesischen Kunst
nicht monumental auftritt, sondern mehr im ästhetischen Spiel. Er
gibt sich eigentlich nur in den Einzelkünsten zu erkennen, in der
Malerei, der Plastik, dem Kunstgewerbe: er ist im Baudetail, nicht im
Ganzen der Baukunst. Man versteht am besten, wie die Mischung
zustande gekommen ist, wenn man sich das europäische Rokoko,
dessen gotische Freiheit auf dem Boden einer klassizistischen
Baukunst herangewachsen ist, im Raum und in der Zeit vervielfältigt
und gesteigert denkt. Auch die geistige Disposition ist hier und dort
verwandt. Das religiöse Gefühl des Ostasiaten scheint letzten Endes
auf einer dunkeln Dämonologie zu beruhen, auf dem Glauben an
Naturgottheiten und auf Ahnenkult. Die philosophische Mystik des
Buddhismus konnte Einfluß gewinnen, weil die Seele des Chinesen
dafür bereit war. Auch in seinem Gemüt wohnt das geheime Grauen,
auch seine Religiosität hat den Leidenszug und ist eben darum
aggressiv und heftig. Zugleich aber ist der Chinese von einer feinen
natürlichen Klugheit, die ihm Mäßigung und Überlegenheit gibt; er ist
auch ein kultivierter Verstandesmensch, ein philosophischer Moralist
und als solcher ein Skeptiker von Natur. Neben Buddha, ja über
Buddha gar stellt er Laotse und Konfutse, die beiden großen
Nationalweisen. Auch deren Weisheitssprüche haben für ihn die
Kraft religiöser Grundsätze. Der Chinese ist ein Weisheitsfreund, der
in der Phantasie mit Naturdämonen verkehrt. Wie die Detailform an
das Rokoko erinnert, so hat die geistige Verfassung eine gewisse
Ähnlichkeit mit der der Enzyklopädisten des achtzehnten
Jahrhunderts. Dieser geistreiche, philosophische Intellektualismus
hat dem religiösen Sinn der Chinesen das Revolutionäre, das
Fanatische genommen, er hat das religiöse Gefühl temperiert; und
damit ist auch die Gebärde der Kunst, die Form, anmutig geworden,
alles urweltlich Heftige hat sich in nationale Eigenwilligkeit
verwandelt, das Elementare ist kokett geworden, der Drang zum
Unbedingten ist spielerisch, das Groteske kostbar, das Hieratische
graziös und die Fülle raffiniert geworden. Das Gotische wird von
einem ganzen großen Volke Jahrtausende hindurch als eine Art von
Zopfstil erlebt. Die gotische Form tritt nicht in Bauwerken oder groß
modelliert auf, sondern mehr ziseliert, geschnitzt, gezeichnet und
gemalt. Eine Fülle von Phantastik, Romantik, Naturalismus,
Abstraktion ist in dem Formgekräusel der Ornamentik; aber es
überschreiten diese Eigenschaften niemals doch die Grenzen des
Ornaments. Die ganze Zierkunst steht gewissermaßen im Zeichen
des Drachens; aber sie scheint auch immer eingeschlossen wie von
einem festen Rahmen. In der Malerei geht das Naturgefühl auf das
Charakteristische; doch rundet sich dieses immer in der
geistreichsten Weise den dekorativen Wirkungen zu. Aufs äußerste
wird die künstlerische Handschrift gepflegt. Die Malerei wird zu
einem virtuosen Exerzitium mit dem Pinsel, jeder Pinselstrich hat
struktive Bedeutung. Dargestellt wird von der Malerei immer nur der
Augenblick; doch untersteht diese Augenblickskunst einer strengen
Konvention, die so wenig schwankt, daß das Neuere dem Ältesten
noch durchaus verwandt ist. Alles in der chinesischen, im weiteren
Sinne in der ostasiatischen Malerei wird beherrscht vom Willen zu
jener Stimmung, die das Objekt vernichtet, um es neu zu schaffen.
Die Bilder sind wie „Gedichte ohne Worte“. Alles: Mensch, Tier,
Pflanze und Landschaft, ist für die Augennähe dargestellt, ist auf
mittlere und kleine Formate gebracht, und doch ist die Form nie
kleinlich, die Skulpturen sind wie Hieroglyphen, das Götzenhafte
selbst gibt sich blumenhaft still. Der gotische Geist drückt sich in
dieser Kunst vorwiegend lyrisch aus, er offenbart sich in Arabesken,
die wie das Spiel einer vom ewigen Geheimnis lebenden Weisheit
sind. Wir sehen ein Volk, das es verstanden hat und noch versteht,
seine gotischen, seine barbarischen Instinkte mit Raffinement zu
genießen, das es versteht, seine Leiden ästhetisch auszukosten.
Nach außen hat sich dieses Volk mit einer Mauer umgeben, und
nach innen hat es sich wirksam vor der Selbstverzehrung gehütet.
* *
*
Wenn wir uns der Kunst in Europa zuwenden, so fällt es auf, daß
vor allem das Tempo ein anderes ist. In Asien sind tausend Jahre oft
wie ein Tag gewesen; dort sind von alters her große Völker über
weite Landstrecken verteilt, es haben nicht, wie in Europa,
unaufhörlich Wanderungen, Beeinflussungen und Durchdringungen
stattgefunden. Darum haben sich dort die Stilformen mehr konstant
erhalten. Dafür fehlt aber auch die Steigerung, die ehrgeizige
Veredlung. Wenn man alle Form, die der Geist der Gotik
hervorbringt, als die Form des Leidens anspricht, so ist zu beachten,
daß der Europäer anders leidet als der Asiat. Der Europäer ist ein
Mensch der Aktivität, darum leidet er heftiger, aber auch kürzer;
seine Ungeduld drängt die Leiden dramatisch zusammen, in seinen
Leiden ist Sehnsucht nach Glück, es ist ein Kampf voller Affekt und
Leidenschaft. Der asiatische Mensch leidet mehr passiv, mehr in der
Form einer geduldigen Schwermut, einer etwas trägen Melancholie.
Sein Leiden setzt sich um in Fatalismus. Darum fügt sich auch seine
Kunstform so unbedingt einer die Jahrhunderte, ja die Jahrtausende
beherrschenden Konvention. In den asiatischen Künsten tritt die
Kunstform des Leidens, die ihrer Natur nach eigentlich spontan ist,
immer mehr oder weniger erstarrt auf; sie hat viele Züge des
Monomanischen und ist ethnographisch bedingt. Der Zustand des
Leidens ist chronisch, im Gegensatz zur europäischen Kunst, wo der
Geist der Gotik sich mehr akut äußert. Damit hängt es dann auch
zusammen, daß in der asiatischen Kunst die Formen des gotischen
und des griechischen Geistes fest miteinander verbunden
erscheinen, wogegen in Europa ein dauernder Kampf stattfindet und
immer wieder neue Versuche gemacht werden, die beiden
Formenwelten fest gegeneinander abzugrenzen.
Ganz gelungen ist diese grundsätzliche Trennung freilich keinem
europäischen Stil. „Leid will Freud, Freud will Leid!“ Ein reines Glück,
ein reines Leiden gibt es nicht; darum gibt es auch kaum einmal
irgendwo die ganz reine Form. Man kann selbst in der Kunst der
alten Griechen, also recht eigentlich im Gebiete des griechischen
Geistes, eine heimliche Gotik konstatieren. Und zwar findet man
manches von der gotischen „Stimmung“ nicht nur in den dorischen
Ordnungen, nicht nur in den archaischen Werken, die noch auf
ägyptische Einflüsse weisen, sondern es bricht die Form des
Affektes selbst in einigen Werken der klassischen Reife hervor.
Manche Formführung der Vasenmalereien oder der Tanagrafiguren
ist kaum noch griechisch, im Sinne, wie das Wort hier gebraucht
wird, zu nennen. Die Gewalt der Form in den Gewändern der
sitzenden und liegenden weiblichen Gestalten im Ostgiebel des
Parthenon ist fast schon als ein erhabenes Barock anzusprechen,
also auch als eine Form aus dem gotischen Empfindungskreis. Die
„weise Mäßigung“ war nicht dauernd durchzuführen, das
Temperament einzelner Künstler suchte immer wieder die Grenzen
zu überschreiten. Überall, wo die Form in der Kunst der Griechen
beängstigend groß oder heftig wird, äußert sich der Geist der Gotik.
Aber es geschieht wider Willen, weil der eingeborene Trieb zuweilen
stärker ist als die Absicht. Grundsätzlich hat der Grieche die Hälfte
der menschlichen Empfindung seiner bildenden Kunst ferngehalten.
Er hat, wie Pandora, die Übel des Daseins in eine Büchse
verschlossen, um die Freuden desto reiner zu genießen. Daß es im
wesentlichen gelungen ist, macht ihn zum Helden der
Kunstgeschichte; während es aber gelang, konnte er nicht
verhindern, daß auf geheimnisvolle Weise zuweilen auch die
Formen des Leidens aus der Spitze des Werkzeuges unversehens
hervorsprangen.
* *
*
Das römische Reich hat die griechische Form in jeder Weise
übernommen; doch hat sich daneben immer auch mehr oder
weniger eine eingeborene barbarische Leidenschaftlichkeit, ein
kühner Wirklichkeitssinn und eine aggressive Unbedingtheit des
Willens erhalten. Am Anfang und am Ende der römischen Kunst hat
sich auch der gotische Geist mit einer gewissen nachdrücklichen
Gewalt durchgesetzt. Die etruskische Kunst ist ganz erfüllt von einer
geheimen Gotik, so viel Anteil auch die griechische Kolonialform
äußerlich daran hat. Selbst die Künstler aus Griechenland, die im
etruskischen Italien die Grabkammern ausgemalt und die
Grabfiguren modelliert haben, sind dem Einfluß einer düsteren,
schweren Hadesfurcht, einer fast ägyptischen Abstraktionskraft und
wilden Unmittelbarkeit der Anschauung unterlegen. Das Lapidare
der etruskischen Form hat zuweilen etwas Erschreckendes. Die
Form ist bis zum Bersten angefüllt mit individuellem Leben, ein
roher, aber erhabener Weltschmerz ist darin enthalten, sie illustriert
das Gefühl von Menschen, denen das Leben unheimlich war, und
legt mit visionärer Sicherheit in die Abbilder der Wirklichkeit etwas
Monumentales. Man begegnet Einzelformen, die man fast
gleichlautend später im Romanischen und Gotischen wiederfindet.
Etwas Antigriechisches, etwas Nordisches ist in der etruskischen
Kunstform: eine werdende Nation spricht in Urlauten.
Dann kam das Reich der Römer. Die Kunst der Griechen wurde
übernommen, ihre Werke wurden als Beute im schnell erstarkenden
Rom aufgehäuft, eklektizistisch genutzt, unendlich vervielfältigt und
dem Etruskischen verbunden. Da aber die Kunstform der Griechen
bis zur Vollkommenheit bereits ausgebildet war, so hat in Rom nicht
eigentlich eine Fortentwicklung auf derselben Linie stattfinden
können. Das wahrhaft Eigentümliche des römischen Geistes ist erst
wieder in der Kaiserzeit hervorgetreten, als das Bewußtsein der
Macht und ein riesenhaftes Selbstgefühl die Römer vom
griechischen Genie, von der griechischen Kultur unabhängiger
werden ließen, als der Millionenstadt Bauaufgaben größten Stils
gestellt wurden. Je mehr sich die römische Baukunst in ihrer
Spätzeit dem Nutzbau, dem Kolossalbau zugewandt hat, desto mehr
sind auch die ursprünglichen etruskischen Instinkte wieder erwacht.
Diese Einsicht wird dem Heutigen erleichtert, weil im Laufe von zwei
Jahrtausenden die äußere Haut griechischer Kunstformen von den
Bauwerken der römischen Kaiserzeit abgeblättert ist und nur noch
die gewaltigen Baukerne stehengeblieben sind. Was ich in meinem
„Tagebuch einer italienischen Reise“[3] das Amerikanische der
römischen Baukunst genannt habe, das bis zum Symbolischen
gesteigerte groß Profane, das zweckhafte Monumentale in den
Brückenbauten, Basiliken, Thermen, Stadtmauern, Aquädukten und
Gräberbauten, im Pantheon und Kolosseum — das ist eine
Manifestation des gotischen Geistes, weil es die Äußerung eines
heftigen Willens ist. Diese Bauten der Spätzeit sind weit entfernt von
der Mäßigung und Harmonie der griechischen Architektur. Man
erblickt eine unerhörte Fähigkeit des Mauerns und Wölbens, mit
ingenieurhafter Leichtigkeit werden Riesenspannungen bewältigt. In
diesem kriegerischen Willensvolk muß damals eine Unruhe gewesen
sein, wie sie dem Tode vorhergeht. Denn wie aus zehrender Unrast
heraus sind diese prahlenden Babelgedanken der Baukunst
entstanden. Niemals vorher ist in Rom so stark das Soziale gefühlt
worden, wie damals, als in der Großstadtbevölkerung die Idee des
Christentums wie ein Sauerteig zu arbeiten begann. Selbst das von
den Cäsaren Geschaffene hat eine stark demokratische Note.
Nachdem Rom jahrhundertelang fremde Kunstwerte
zusammengerafft hatte, hat es am Ende einen Großstadtstil
geschaffen, voll riesenhafter Sachlichkeit und voll von Zügen des
gotischen Geistes.
Dieser Geist spiegelt sich auch in dem großzügigen Naturalismus
der Bildnisskulptur, in vielen barock aufgelösten Formen der
Wandmalereien und in dem Zug zum Illusionistischen, zum
Stimmungshaften, der die plastischen Dekorationen mehr und mehr
beherrscht. Überall bricht am Ende einer Epoche, die nach außen
ganz dem griechischen Geist gehört hat, die charakteristisch-
groteske Form hervor, und an ein Ende knüpft sich bedeutungsvoll
ein Anfang.
* *
*
Denn jetzt trat das Christentum stilbildend hervor, und damit
wurde recht eigentlich die gotische Kunstform in Europa anerkannt.
Formal freilich wirkte die römische Tradition und alles
Griechische noch lange fort, denn die Form wandelt sich langsamer
als die Gesinnung, das Feste langsamer als das Flüchtige, wie die
Luft sich schneller erwärmt als das Wasser. Die Gewöhnung des
Auges und der Hand können durch einen anders gerichteten Willen
nicht so bald und nicht vollständig aufgehoben werden. Aber ein
vollständiger Stilwandel mußte doch eintreten, weil die fortwirkende
römische Form nun einer andern Tendenz dienen mußte, weil die
alte Sprache benutzt wurde, Gedanken auszusprechen, die vorher
nicht einmal gedacht worden waren. War vorher viel Gotisches
heimlich schon in der herrschenden griechischen Form gewesen, so
war das Verhältnis nun so, daß Griechisches offensichtlich in der
gotischen Stilform erhalten blieb. Wenn man in Kunstgeschichten
liest, den Künstlern der frühchristlichen Epoche seien die technische
Sicherheit und der strenge Kunstsinn der Römer verlorengegangen,
der neue Primitivismus sei auf einen Mangel am Können
zurückzuführen, so ist das ein Irrtum. Die Völker haben, wie die
Individuen, stets die Begabung ihrer Interessen, das heißt, sie
können immer, was sie wollen — was sie wollen müssen; und sie
vermögen das außerhalb ihres Interessenkreises Liegende um so
weniger zu vollbringen, je bestimmter der Wille sich äußert.
Zwitterhaft ist die frühchristliche Kunstform nicht aus Mangel an
Können, sondern weil ein außerordentlich starkes neues
Lebensgefühl sich der antiken Sprache bedienen mußte. Das
Griechische und Gotische haben in den Jahrhunderten der
christlichen Kunst mächtig miteinander gerungen, zwei
Weltanschauungen haben einen Kampf um die Form ausgetragen.
In diesem Kampf mußte der Geist der Gotik siegen, weil das
Schwergewicht der Kunst verlegt war: es wurde verlegt von außen
nach innen, vom sinnlich Objektiven in das Erlebnis der Seele. Man
kann es so ausdrücken: früher war der Mensch in der Welt gewesen,
als ein Teil davon, jetzt war die ganze Welt nur noch im Menschen,
sie galt nur noch, insofern sie gedacht, empfunden und sittlich
gewertet wurde. Das mußte zu einer Umwertung der Form führen.
Die Form mußte abstrakt und ausdrucksvoll werden, sie mußte zur
Hieroglyphe einer religiösen Mystik werden und sich zugleich, wenn
sie sich nicht im Unbestimmten verlieren sollte, gründlich
naturalisieren. Sie mußte zeichnerisch bestimmt werden, weil sie die
Idee umschreiben sollte, und sie mußte zugleich stimmungshaft
sein, um transzendentale Vorstellungen verwirklichen zu können. Sie
mußte weltfern, menschenfern sein und doch auch wieder
unmittelbar nahe am Leben. Ein neuer Darstellungsstoff kam in die
Kunst: die religiöse Legende. Diese Aufgabe war mit der
griechischen Form nicht zu lösen. Die Form sollte nun die
Eigenschaft haben zu erzählen, etwas Zeitliches sollte in ideale
Raumwerte verwandelt werden. Wie die griechische Form den
Zustand dargestellt hatte, so sollte die gotische nun den inneren
Vorgang darstellen. Aus diesen Gesichtspunkten wurde die römische
Stilform von der frühchristlichen Kunst verwandelt. Da lag es nun
aber nahe — um so mehr als der Sitz der christlichen Macht in
Byzanz den äußeren Anlaß gab —, auch orientalische Einflüsse an
der Stilbildung teilnehmen zu lassen. Denn die orientalische Form
hat, wie gezeigt worden ist, von Natur Züge gotischer Art; ihr ist
jener Leidenszug eigen, dessen Monumentalisierung die Kunst der
frühen Christen so leidenschaftlich erstrebte. Zum dritten endlich traf
der Wille zu einem neuen Stil, nachdem er im Orient befruchtet
worden war, im Norden und Westen Europas überall auf die
ursprüngliche Ornamentik kaum schon zivilisierter Völker, auf die
abstrakten, ersten Kunstäußerungen der germanischen und
keltischen Rassen, auf jene merkwürdige Drachenromantik und
Liniensymbolik, die ihrem ganzen Wesen nach gotischer Art sind.
Und auch dieses verleibte die frühchristliche Kunst sich ein.
In welcher Weise die Elemente gemischt und zur Einheit
gezwungen worden sind, erkennt man vor den Miniaturmalereien
und Mosaiken der ersten zehn christlichen Jahrhunderte am besten.
Der Ursprung der Miniatur läßt sich zurückverfolgen bis in die
hellenische Kolonialstadt Alexandria, bis zu Einflüssen aus der
ägyptischen Kunst; er liegt weiterhin in den Mönchsklöstern des
Südostens — womit der Mönch zum erstenmal als Künstler in der
Geschichte auftritt —, und es führt der Weg dieser Kunst dann durch
Europa bis an die westlichsten Grenzen. Es klingt die Stimmung der
späten römischen Malereien aus, es tritt die hieratische Strenge und
die Unendlichkeit des orientalischen Formempfindens hervor, und es
mischen sich die Charaktere einer fetischhaften germanisch-
keltischen Ornamentik hinein. Und Ähnliches gilt von den Mosaiken,
die wie vergrößerte Miniaturen wirken, während den Miniaturen
wieder die Monumentalität der Mosaiken zuweilen innewohnt. Es
spricht für die Größe und Reinheit des bildenden Willens, daß weder
hier noch dort eine Spur von illustrativer Banalität vorhanden ist,
trotzdem es sich um die Darstellung epischer Stoffe handelt. Nicht
nur die Technik hat die Mosaiken davor bewahrt, unmonumental zu
werden, sondern die auf höchste symbolische Gestaltung gerichtete
Gesinnung der Künstler und der Gemeinde. Das Mosaik an der
gewölbten Decke und an der kaum gegliederten Wand wirkt
raumbildend in all seiner Legendenromantik; es ist architektonisch
und hat nichts vom Tafelbild. Die Formen, die Gestalten treten
hervor, als hätte der Raum selbst sie hervorgebracht, als hätte er
sich in ihnen gleichnishaft zusammengezogen. Die Farben ahmen in
keiner Weise die Natur nach; auch sie haben eine architektonische
Funktion zu erfüllen, sie wölben den Raum höher, dehnen ihn ins
Ungewisse und machen aus jeder Apsis ein kostbar schimmerndes
Allerheiligstes. Doch sind die Gestalten auch wieder weit mehr als
nur architektonisch: sie sind Träger tiefsinniger Menschlichkeit. Sie
stehen wie in sich erstarrt nur da, sind einer uniformierenden
Konvention nur unterworfen, weil das heimliche Seelenleben sonst
leicht alle Form sprengen könnte, weil ein heftiger Ausdruckswille
sich vernichten würde, wenn er sich nicht selbst in Fesseln schlüge.
Die strenge Form ist ein Selbstschutz. In der Starrheit gärt ein Wille,
der begierig war, eine ganze Welt nach seinem Bilde neu zu
gestalten. Der Allgemeinbegriff Gotik zieht sich hier zusammen in
seine Urzelle: er weist auf das Volk der Goten, dessen Bildungskraft
sich an der römischen Kunst entzündete und sich von den letzten
Griechen belehren ließ.
Auch in den Bauwerken erkennt man den neuen Willensimpuls,
so unscheinbar, puristisch und sektenhaft sie sich in den ersten
christlichen Jahrhunderten auch gegeben haben. Auf antiken Resten
oft fußend, von römischen und orientalischen Überlieferungen lange
noch abhängig, kam immer stärker doch der Wille zur Wölbung, das
heißt, der Wille zur Höhe, zum Ausdruck, wurde immer deutlicher
der Trieb erkennbar, die Achsenwirkung so zu übersteigern, daß der
Blick zwischen Säulen und Pfeilern wie durch einen Korridor zu
einem mystischen Zielpunkt gewaltsam hingerissen wurde. Das
konnte um so unbedingter in dem Maße geschehen, wie die neue
Religion nun Angelegenheit des Staates wurde und wie die Kirche,
der Ritus als Grundrißbildner auftraten. Schüchtern wagt sich dann
auch der Turm hervor, der im Kunstgebiet des gotischen Geistes
eine so wichtige Rolle spielt. Überall zeigt sich der Wille, den
Betrachter aus dem glücklichen Gleichmaß des Gefühls
aufzuschrecken und ihn gewaltsam in Bewegung zu setzen. Die
Empfindung wird in die Höhe hinaufgeführt oder mit fast schmerzhaft
starkem Rhythmus vorwärtsgeschnellt, sie wird mystisch betäubt
oder hart an die Grenzen des Daseins erinnert. Je langsamer und
gemessener scheinbar die Gebärde der Form ist, um so mehr ist sie
geladen mit Bewegung, Unruhe und Sehnsucht.
* *
*
Dieser frühchristliche Stil ist recht eigentlich eine Kunst der
Gemeinde, eine Kundgebung des Laiengenies. Er hätte sich von den
fremden und den antiken Einflüssen sicher ganz frei gemacht, wenn
es schon in seiner Macht gelegen hätte. Daß diese Selbstbefreiung
vom griechischen Kunstgeist aber auch in den folgenden
Jahrhunderten, in jener Epoche, die man die des romanischen Stils
nennt, nicht gelungen ist, daß auch dann noch neben der
erstarkenden Gotik der Sinn für griechisches Gleichmaß immer
einhergegangen ist, daß der Drang zum Vertikalen immer wieder
ausgeglichen worden ist von der Horizontaltendenz und daß der
romanische Stil in seinen repräsentativsten Bauten zu einem
imposanten Kompromiß geworden ist: dafür sind andere Gründe
entscheidend gewesen. Auch geistig sind am sogenannten
Romanischen zwei Kräfte beteiligt. Die religiöse Bewegung drang in
immer fernere Länder, immer größere Volkskomplexe wurden davon
ergriffen, der Erlösungsdrang einer ganzen Menschheit nahm bald
teil an der neuen Lebensidee. Dadurch wurde das gotische
Empfinden außerordentlich gestärkt und ins Monumentale
hinaufgetrieben; die Kunst repräsentierte mehr und mehr mit dem
Religiösen und Symbolischen auch eine Machtidee, der
Kollektivwille war begierig, sich selber Denkmale großer Art zu
schaffen. Zugleich aber büßte das schön erregte Laiengefühl in dem
Maße, wie es staatlich organisiert wurde und wie große Völker daran
teilnahmen, etwas ein, das man die soziale Unschuld nennen
könnte. Je weiter das neue Christenreich sich ausdehnte, desto
mehr bedurfte es der Organisation, brauchte es einen regierenden
Klerus, ein geistiges Oberhaupt und Exekutivbeamte. Jede
Herrschaft aber hat die Tendenz, weltlich zu werden. Und jede
weltliche Gesinnung wird irgendwie die griechische Form in der
Kunst bevorzugen. Auf die Herrschgewalt des Klerus, der sich seine
Baumeister und Bildhauer selbst in den Klöstern erzog, wie er sie
haben wollte, auf die hierarchische Organisation des
tausendjährigen Christentums ist denn auch jene griechische
Formenwelt zurückzuführen, wovon das Gotische im romanischen
Stil überall durchdrungen wird — am meisten im Kirchenbau, am
wenigsten im profanen Burgenbau. Sehr deutlich kann man freilich
den romanischen Stil nach Ländern unterscheiden und hier mehr ein
Vorwiegen des gotischen, dort mehr des griechischen Geistes
konstatieren; dennoch ist dieser Stil eine allgemein christlich
klerikale Kunst und im wesentlichen übernational. Er geht dem
engeren Staatsgefühl, dem Nationalbewußtsein vorher. Es ist der Stil
eines neuen Glaubens und darum im Ursprung ganz volkhaft; die
Ausführung aber lag in den Händen mönchischer Künstler, die der
Ordensdisziplin unterstanden, die als Träger der Bildung und Kultur
nach Rom blicken mußten und von Kloster zu Kloster, von Land zu
Land wanderten, die nationalen Sonderbedingungen wohl
berücksichtigend, aber auch nur soweit es sich eben tun ließ. Die
Ausführung des riesenhaften gotischen Baugedankens ging aus von
einer Geistlichkeit, die sich in der Kirche von der Gemeinde mehr
und mehr absonderte. Diese ängstliche Sorge für die Rangordnung,
die der christlichen Idee letzten Endes widerspricht, brach auch
künstlerisch den unbedingten Willen. Es wurden zum Beispiel in der
Kirche dem durch die Raumgasse des Mittelschiffs auf den Altar
stürmisch zueilenden Blick künstlich Schranken und Hemmungen in
den Weg gestellt; es wurde mit der Basilika zuerst ein Säulen- und
Pfeilersaal geschaffen, in dessen Tiefe das Allerheiligste glüht, und
dann wurde der Gemeinde verboten sich zu nähern. Dieser
Widerspruch, der naturgemäß im Grundriß sowohl wie im Aufriß der
heiligen Gebäude formalen Ausdruck finden mußte, ist bezeichnend
für den romanischen Stil überhaupt. Niemals sind in Europa der
Geist der Gotik und des Griechentums mächtiger und kampflustiger
aneinandergeraten, niemals ist ein Kompromiß größeren Sinnes
geschlossen worden. Es ist noch heute ergreifend, dem Wettstreit
zuzusehen von leidenschaftlichem Höhenwillen und besonnener
Horizontalordnung, von modellierendem und zeichnendem
Formgefühl. Die Baukörper sind klar und groß gegliedert, immer läßt
sich vom Äußeren der Grundriß deutlich ablesen, und alle Teile
fügen sich in tektonischer Ordnung zusammen; dann brechen aus
der Masse aber auch steil und wuchtig die Türme hervor, als hätte
sich das Temperament nicht länger zügeln lassen. Auf der einen
Seite sieht man strebende und lagernde Teile sich ausgleichen,
ruhige Flächen sich ausbreiten, alles Ornamentwerk sich bündig
einordnen und die Motivationspunkte der Konstruktion beleben; man
sieht überall die Merkmale eines gebundenen Raumsystems, sieht
mit Hilfe von festen Säulen- und Pfeilerordnungen ideale
Raumeinheiten wiederkehren und die Symmetrie sich durchsetzen.
Auf der andern Seite gibt es nicht ein einziges Bauwerk, worauf man
weisen und sagen könnte: dieses ist der romanische Typus; die
Bauweise schwankt fortgesetzt, der Wille ist ewig im Fluß, mit stetig
sich erneuernder Kühnheit wird der Raum hoch und höher gewölbt,
wird die Masse mehr und mehr aufgelockert, werden die
Ornamentformen immer mehr zu Arabesken des Ausdrucks. Eines
beschränkt immer das andere. Ganz unbedingt tritt der Geist des
Gotischen nur in der Zweckarchitektur, in den festungsähnlichen
Anlagen der Zeit zutage. Schmucklos, dräuend steigen die Mauern,
Türme, Bastionen und Torbauten empor, wie Symbole der
Wehrhaftigkeit. Von diesen düster großartigen Bauwerken erhalten
zuweilen ganze Landschaften den Charakter. Die Form hat etwas
Gebirgeartiges.
Selten ist ein Kompromiß so fruchtbar geworden wie in der
romanischen Kunst. Die beiden Urkräfte der Kunst drängen
gewaltsam gegeneinander, und da keine nachgeben will, sieht es
aus, wie wenn zwei Ringer, die in Wahrheit beide ihr Letztes
hergeben, unbeweglich in einer schönen Gruppe dastehen.
* *
*
In dem Stil, der von der Kunstgeschichte im engeren Sinn als
Gotik bezeichnet wird, ist die Form des heftigen Willens dann ganz
eindeutig hervorgetreten. Dieser Stil ist formal eine Reinkultur, er ist
eine der wenigen absoluten Formschöpfungen der Geschichte, er
hat primären Charakter, ist die Tat einer Zeit und einer Rasse, in
denen das Genie des Leidens aufs höchste schöpferisch geworden,
die Tat einer Phantasietätigkeit, die fort und fort von heiliger Unruhe
gespeist worden ist. In der Epoche, die ungefähr das dreizehnte,
vierzehnte und zum Teil auch das fünfzehnte Jahrhundert noch
umfaßt, ist die Welt vom Menschen neu entdeckt worden, das Leben
ist vom Temperament, von einer rastlosen Sehnsucht, von
Erkenntniskraft und Freiheitsgefühl, von einem elementaren
Wachstumstrieb in neuer Weise gesehen worden; mit neuer
Heftigkeit ist der uralte Kampf der Seele mit den Wirklichkeiten
ausgekämpft worden. Der gotische Stil ist ein formaler Niederschlag
jener Lebensgesinnung, die später in den Historien vom Doktor
Faust zum Ausdruck gekommen ist, ein Niederschlag jenes Willens,
der jedem Individuum die ganze Verantwortung für das Leben
aufbürdet, der jeden einzelnen schonungslos mit der Gottheit ringen
läßt und ihn selbständig einen Weg zu suchen zwingt durch die
Irrsale des Daseins. Hinter dem gotischen Stil steht eine Gesinnung,
die man als einen schöpferischen Protestantismus bezeichnen kann.
Die Schöpfer dieser Kunstform hatten den Sinn der Urchristen —
und zugleich waren sie Opfer einer scharfen Skepsis. Sie konnten in
einem Atem anbeten und lästern, glauben und zweifeln; sie standen
erregt zwischen Gott und Teufel da, zwischen Mystik und
Rationalismus, zwischen Grauen und Überlegenheit. Die Menschen
erwachten in jener Zeit zu sich selbst. Nicht zur Objektivität; das
geschah erst in der Renaissancezeit, als die Menschen sich
intellektuell vom All zu scheiden begannen, als sie Distanz zu den
Dingen und zu sich selber nahmen. Aber zum Gefühl ihres Lebens,
ihrer Selbstverantwortung, ihrer Macht und diktatorischen Befugnis
erwachten die Menschen. Sie wurden in einer erhabenen Weise
neugierig; sie begannen zu fragen. Das machte sie alle im Geiste
schon zu Protestanten, lange schon vor dem Ereignis, das die
Geschichte als Reformation bezeichnet. Nicht zu kritischen,
purifizierenden, sondern zu schöpferischen Protestanten. Das
Laiengenie erwachte, der Volkswille trat als Bauherr und Bildner auf.
Der Stil, der Gotik heißt, ist recht eigentlich ein Volksstil, er ist
demokratisch, er hat den Rhythmus eines erregten Kollektivwillens
und die Linie des Freiheitsdranges. Denn der Freiheitsdrang hatte
noch nicht zersetzend gewirkt, er hatte die Masse nicht
auseinandergesprengt, sondern zusammengeschweißt, weil er nicht
aus der Reflexion, sondern aus dem Gefühl kam.
Die Rasse, die die neue Formenwelt geschaffen hat, wohnte in
den nördlichen Ländern Europas. Sie kehrte eben aus den
Kreuzzügen mit freierem Blick, reichen Erfahrungen und gefestigtem
Willen zum Eigenen zurück, erfüllt vom Eifer jungen Erkennens, von
der Freude am Wissen, am Denken, am Können; sie litt
gewissermaßen unter der Fülle aufgespeicherter Kraft und sehnte
sich nach Entladung. Da sich das Leben jetzt in den Städten zu
zentralisieren begann, da die Begabungen miteinander in engste
Berührung kamen, mußte der Schöpfungsakt mit explosiver
Heftigkeit vor sich gehen. Wie ein Wunder entstand, sich
emportürmend über die aufschäumenden Volksmengen, eine reich
gegliederte, von nie gesehenen Reizen verklärte Baukunst. Hatte
der herrschsüchtig denkende Priestersinn die ruhige Größe der
romanischen Bauten gefördert, so schuf sich das seiner Tüchtigkeit,
seiner Selbstbefreiung freuende Laientum den phantastisch reichen
Gedanken der Gotik. Dieser Gedanke ist germanischen, ist im
engeren Sinne fränkischen Ursprungs. Niemals hätte der der
griechischen Ordnung hingegebene Geist der Romanen eine solche
Überfülle der Bildnerlust gewagt, nie hätte er das Spitzbogenprinzip
ersinnen und so phantasievoll exakt anwenden können, nie hätte er
diese mystisch tiefen Gewölbegrotten des Raums, diese Wälder von
Pfeilern, dieses üppige Geranke von kletterndem Ornament, nie
hätte er die Willkür in der Ordnung und die Ordnung im scheinbar
Regellosen gewagt. Die Gotik ist in allen ihren Formen ungriechisch.
Der Pfeiler steht der Säule als ein Kunstgebilde anderer Art
gegenüber, die glatt abschließende Decke hat keine Beziehung zur
spitz strebenden Wölbung, die griechische Proportion hat in jeder
Weise andere Wirkungsgesetze als die gotische. Alle
Arbeitsbedingungen sind anders. Der Stein wurde entmaterialisiert,
die Schwere wurde scheinbar aufgehoben, die Wand wurde
vernichtet, die Raumgrenze ungewiß gemacht, und alles zielte auf
eine Stimmungssynthese. Die schwierigsten Probleme sind mit einer
Leichtigkeit gelöst, als sei es ein Nichts. Die Bildhauer und Maler
sahen sich Legendenmotiven gegenüber, die für einen im Geiste des
Griechentums erzogenen Künstler überhaupt nicht zu lösen sind, die
ihn widernatürlich und unsinnlich anmuten müssen; eben aus den
Schwierigkeiten haben die Gotiker aber ein neues Stilgefühl, einen
neuen Formencharakter von schlagender Ausdruckskraft abgeleitet.
Dem Künstler war keine Idee zu unsinnlich, kein Motiv zu grotesk
oder zu naturalistisch, keine Konstruktion zu kühn, keine Masse zu
ungeheuer, kein Affekt zu stark, keine Fülle zu groß: alles bewältigte
er, brachte er organisch zusammen, so daß die Formenwelt aus
Gottes Hand hervorgegangen zu sein scheint. Die Formen sind des
höchsten Pathos fähig, der Wucht, der Gewalt eines fast
schmerzhaften Rhythmus; aber sie bergen auch einen
frühlingshaften Reichtum, das Zarte, das Zierliche und Kokette. Sie
beginnen romanisch ernst und endigen mit barockem Überschwang.
Die Linie kann ägyptisch starr sein, doch auch geistreich beweglich
und übermütig wie die chinesische Linie oder wie das Rokoko. Alles
einzelne wird beherrscht von der Vertikaltendenz und ist zugleich
voller Rastlosigkeit. Die Formen streben, steigen, klettern, wachsen
und züngeln nach oben. Oder sie verschlingen sich, fliehen in sich
selbst zurück und kreisen in unablässiger Bewegung. Niemals ruht
die Form aus, alles an ihr ist Leben und Affekt. Dieselbe
Temperamentslinie umschreibt menschliche Figuren,
Fensterwölbungen, Kreuzblumen und Turmsilhouetten, das Große
und Kleine untersteht demselben Formgesetz. Die ganze Natur, das
ganze Leben ist in diesem Transzendentalgedanken, der Gotik heißt:
das Erhabene und Groteske, das Häßliche und Schöne, das
Geschaute und Gedachte, Natur und Unnatur, das Wirkliche und
Phantastische, Menschen, Tiere und alle Pflanzen der Umwelt,
Teufelsbestien, Madonnen und Blumen. Eines lebt durch das
andere; die Architektur ist Skulptur, und die Skulptur ist ganz
architektonisch. Die Gotik kennt nur das Gesamtkunstwerk; sie ist
eine Mutterkunst und eben darum eine Volkskunst im höchsten
Sinne.
Die Bewegung war so mächtig, daß sie auch nicht gleich
aufzuhalten war, als die Renaissancegesinnung heraufkam, als die
einige Kunst in Künsten auseinanderfiel, die Persönlichkeit mehr
isoliert hervortrat und als, infolge einer halb wissenschaftlichen
Objektivität, die griechische Formenwelt wieder bevorzugt wurde.
Die Gotik wirkte fort, durch die ihr innewohnende Schwungkraft. Die
Ausdruckslust zuckte den nordischen Künstlern lange noch im
Handgelenk, auch als sie sich bereits der italienisierten Formen
bedienten. Diese italienischen Formen wurden unversehens
umgebildet, sie wurden gotisiert und gerieten dabei nicht selten ins
Pittoreske und Manierierte. Vor allem aber wirkte der gotische Drang
fort in einzelnen bedeutenden Persönlichkeiten, in nordischen
Naturen, die Gotiker im Temperament waren, die sich nun aber in
eine halb griechische Formenwelt versetzt sahen. In einem Maler
wie Dürer ist das Gotische mit dem Griechischen eine höchst
merkwürdige Verbindung eingegangen; ein Künstler wie Grünewald
steht wie in der Mitte da zwischen Gotik und Barock; und in den
Niederlanden erweisen sich Naturen wie van der Goes oder
Brueghel als schöpferische Gotiker trotz ihrer Renaissance. Das
fünfzehnte und sechzehnte Jahrhundert sind reich an
Auseinandersetzungen zwischen den beiden Formenwelten. Durch
den gegebenen Dualismus sieht sich das Genie gezwungen, eine
persönliche Synthese zu finden. Dabei tauchen in Fülle
wunderschöne Einzelprobleme auf, die alle in ihrer Weise der
Erkenntnis vom Wesen des gotischen Geistes etwas hinzufügen.
* *
*
Die Geschichte der Renaissance, wie sie sich vor allem in Italien
abgespielt hat, ist im ganzen eine glänzende Manifestation des
griechischen Geistes. Nicht, weil die Formen der antiken Kunst
aufgenommen und neu bearbeitet worden sind, sondern weil der
Italiener der Renaissance dem alten Griechen menschlich verwandt
war, weil er ähnlich wie dieser empfand, dachte und wollte. Es ist
bezeichnend, daß der Ablauf der italienischen Renaissancekunst
ganz ähnlich gewesen ist wie der der alten griechischen Kunst, daß
man für jeden repräsentativen italienischen Künstler fast ein
Gegenbild in der griechischen Kunst nennen kann. Dennoch hat
auch jetzt wieder der Geist der Gotik Einfluß gewonnen und, ebenso
wie in Griechenland, vor allem zu Beginn und am Abschluß der
Epoche. In der Mitte wird das Gotische nur noch als
Persönlichkeitsäußerungen in einzelnen Werken sichtbar.
Abgeleitet sind die Formen der jungen italienischen Kunst vom
frühchristlichen Stil. Das will also sagen: von einem Stil, der der
geistigen Stimmung nach durchaus gotisch war, im rein Formalen
aber vielfach auf römische Überlieferungen zurückging. Was in den
Bildern der Sienesen oder Giottos und seiner Schule gotisch wirkt,
ist ebenfalls mehr die Gesinnung als die konkrete Form. Die gotische
Stimmung kommt zustande, weil bestimmte Akzente der Form
betont und andere Akzente unterdrückt erscheinen. In Wahrheit ist
schon in den Werken der Frühitaliener viel von dem
Renaissancegeist, der im folgenden Jahrhundert zur Herrschaft
gelangen sollte; es kündigt sich schon die Freude an der singenden
und klingenden Linie an, die Lust an der objektiven
Naturanschauung, an einer schönen Weltlichkeit und an der
architektonischen Rhythmisierung aller Teile. Aber dieser Instinkt
scheint noch streng beherrscht von religiöser Disziplin, von einer
welt- und menschenfernen Inbrunst, von einem Befehl des
Gewissens, die leidende Kreatur darzustellen. Seltsam mischen sich
das schwere Pathos des christlichen Weltschmerzes und der bel
canto heidnischer Lebensfreude. Die Gestalten stehen noch da als
Träger tragischer Schicksale, aber sie wandeln sich auch mehr und
mehr um zu schönen Körpern, die nichts wollen als nur da sein. Das
sich auflösende Urchristentum kämpft mit dem immer mächtiger
heraufkommenden Staatskatholizismus. Nordisch Germanisches
und südlich Romanisches erscheinen eng verbunden; in der Kunst
spiegelt sich die politische Situation der Zeit ab. An den
Palazzobauten hat die zweckhafte Monumentalität des nordischen
Burgenbaues ebensoviel Anteil wie eine neu erwachende Lust an
heiterer griechischer Ordnung, sie halten die Mitte zwischen
charakteristisch symbolischen und szenarisch repräsentativen
Wirkungen. Die Plastik verkörpert noch Ideen und seelische Impulse,
aber sie möchte auch schon das Leben an sich darstellen. Die
Künste sind schon innerhalb eines neuen Griechischen, aber sie
sind noch von strenger dorischer Gesinnung erfüllt. Und das
Dorische ist eine Form des Gotischen.
Mit ganz anderem Charakter tritt das Gotische am Ende der
Renaissancebewegung wieder hervor, nachdem es sich zwei
Jahrhunderte lang nur in einigen Werken grüblerischer oder heftiger
Persönlichkeiten in seltsamen Verkleidungen hervorgewagt hatte. Es
tritt hervor, ohne die bis dahin gültige griechische Formensprache
preiszugeben, es äußerte sich, indem es die Renaissanceformen
verändert, übersteigert und mit Unruhe erfüllt: es tritt hervor als
Barock. Dieser Stil ist lange Zeit als eine „Entartung“ der
Renaissance angesprochen worden, in Wahrheit ist er aber etwas
Neues, er stellt eine seltsame Renaissance der Gotik dar auf den
Grundlagen griechischer Formen. Der Vorgang war so, daß ein
neuer geistiger Impuls in die europäische Menschheit kam, eine
neue Erregung. Das Barock ist nur zum Teil eine Alterserscheinung,
ist es nur insofern, als die Unruhe des Zweifels, der Skepsis und der
Hoffnungslosigkeit darin zum Ausdruck kommt; zugleich manifestiert
sich im Barock aber auch der Wille eines neuen Zeitalters, einer sich
intellektuell und sozial verjüngenden Weltanschauung. Aus dieser
Begegnung von Müdigkeit und Frische, von Griechischem und
Gotischem ist einer der merkwürdigsten Mischstile entstanden, die
die Kunstgeschichte kennt. Im Barock tritt wieder, wie in der Gotik,
nur weniger rein und naiv, weniger allgemeingültig, ein
schöpferischer Protestantengeist hervor. Michelangelo, der diesem
Stil entscheidende Geburtshelferdienste geleistet hat und in dem der
Kampf des gotischen mit dem griechischen Menschen in tragischer
Weise fast verkörpert erscheint, war ein geistiger Aufrührer, ein
Rebell, er war ganz und gar Unruhe. Und nicht anders empfanden
die Künstler, die nach ihm kamen, im Süden und Norden. Daß in der
Folge die Jesuiten vor allem das Barock in den von ihnen gebauten
Kirchen reich entwickelt haben, spricht nicht gegen den gotischen
Zug im Barock. Die Jesuiten, als Führer der Gegenreformation,
lenkten in ihrer Weise die Religion wieder der Mystik, der Tiefe, der
Empfindung zu, sie erstrebten wieder Einfluß auf die desorientierte
Seele. Sie waren im Geistigen kühn und unbedingt, kühner in
manchem Gedanken als die Nachfolger Luthers und anderer
Reformatoren. Sie gaben die Kirche der Gemeinde zurück und
ließen das Langhaus wieder aufleben, den gotischen
Basilikagedanken. Nicht zufällig gewannen die Klöster, wie im
Mittelalter, wieder Einfluß auf die Kunstgesinnung. Die Kunst sollte
wieder einer überweltlichen Idee dienen. Freilich haben die Jesuiten
die neue Form oft in theatralischer Weise ausgestaltet, haben sie
veräußerlicht, gehäuft und haben ebensosehr die Betäubung wie die
Ergriffenheit des Laien angestrebt. Aber sie haben den neuen Stil
trotzdem mächtig gefördert und geholfen, wieder ein
Gesamtkunstwerk zu schaffen, in dem jedes Teilchen Bezug zu
einem romantisch großen Ganzen hat. Man darf das, was hier
Protestantengesinnung genannt wird, nicht gleichsetzen mit dem,
was die Kirchengeschichte so nennt. Die Träger jenes
Protestantismus, der hier gemeint ist, sind nicht nur die von den
Gemeinden bestellten Pastoren der evangelischen Kirche im
siebzehnten und achtzehnten Jahrhundert gewesen, sondern es
waren auch die Jesuiten und alle anderen Orden, die der
Verweltlichung der Religion entgegenarbeiteten. Vor allem aber
waren es die Gelehrten, die Dichter wie Klopstock, Wieland, Lessing,
Herder, Goethe und Schiller, Philosophen wie Kant und Leibniz,
Musiker wie Bach und Beethoven. Um nur von Deutschen zu reden.
Dieses sind die wahren, nicht kanonisierten Heiligen der
protestantischen Kirche. Und diese alle waren ihren Instinkten, ihren
Schöpfungskräften nach Barockmenschen. Trotzdem einige von
ihnen theoretisch den griechischen Geist verherrlicht haben. Sie alle,
die Freidenker und die Jesuiten, waren in verwandter Weise neue
Gotiker, weil sie sich begegneten in einer neuen Art von Scholastik.
Sie alle waren Vertreter eines neuen Willens, einer neuen
intellektuellen Romantik, Vertreter einer neuen Sehnsucht. Und
dasselbe gilt von den bildenden Künstlern. Rembrandt ist ganz ein
Barockkünstler, das heißt also ein Gotiker, so gut wie Shakespeare
es als Dichter war. Eine heimliche Gotik ist in den großen
Bildniswerken des Franz Hals, wie sie in anderer Form in dem
barocken Formenrausch des Rubens ist. Es ist schon bezeichnend,
daß das Barock sich nicht in Italien am reichsten entfaltet hat,
trotzdem Michelangelo sein Ahnherr ist und Maler wie Tintoretto und
dessen spanischer Geistesverwandter Greco dem neuen Stil sein
gotisches Geheimnis mit herrlicher Gewaltsamkeit entrissen haben,
sondern daß die nordischen Länder recht eigentlich der Boden für
das klassische Barock geworden sind. Dem Italiener war dieser Stil,
der auf neue Verinnerlichung abzielte, trotzdem er so heroisch und
brünstig auch die laute Wirkung suchte, nicht dauernd notwendig,
wohl aber den germanischen und den mit germanischem Wesen
gemischten Völkern. Dem nordischen Temperament war dieser
leidensselige, phantasievolle Stil einer spekulativen
Selbstberauschung, war dieser Drang zur Fülle, war diese
Selbstverschwendung, dieser romantische Formalismus notwendig.
Zwei Bedingungen kamen zusammen und steigerten sich: ein neues
Freiheitsgefühl und eine erhöhte Genußfähigkeit, bürgerliche
Tüchtigkeit und höfische Repräsentation. Die reinste, wenn auch
nicht stärkste Form des Barock, das Rokoko, ist keineswegs nur der
Stil einer Hofgesellschaft; es ist im Kern ganz bürgerlich, ganz vom
gotischen Instinkt erfüllt. Jede Form stammt vom bürgerlichen Talent.
Man könnte das Rokoko den Stil der Enzyklopädisten nennen, jener
klugen Atheisten, Pantheisten, Aufklärer und Vorläufer der großen
Revolution, die der Zeit ein neues geistiges Gepräge gegeben haben
— trotzdem vom Rokoko zugleich auch der Puder, der Reifrock und
Galanteriedegen nicht fortzudenken ist. Aus dieser doppelten
Tendenz, einer geistigen und einer gesellschaftlichen, erklärt sich die
Bravour, die Routine, die Virtuosität des Rokoko und des Barock
überhaupt; es ergibt sich daraus das Gekünstelte im Ursprünglichen,
das Gewagte und Maßlose neben dem Eleganten und
Schmeichelnden, das Kokette in der Abstraktion der Form. Johann
Sebastian Bach ist ebenso gotisch, ebenso barock, wie Johann
Daniel Pöppelmann, der Erbauer des Dresdener Zwingers. Wo
immer man auf barocke Architekturen blickt, erkennt man, wie unter
den Einzelformen italienischer Art ein gotischer Wille atmet. Der
Vertikaldrang läßt sich von den horizontalen Gesimsführungen nicht
aufhalten, alles endigt wieder irgendwie in Turmgedanken. Nicht
ohne Ursache ist die Treppe eines der liebsten Motive der
Architekten dieser Zeit. Trotz der tektonisch gedachten Einzelteile ist
das Ganze mit mächtigem Pathos wie aus der Masse heraus
modelliert; und trotz der Renaissancetraditionen streben die Achsen
der Grundrisse mit einer Macht auf ihr Ziel zu, daß der Betrachter
gewaltsam fortgerissen wird und daß die Achse eines Gebäudes
zuweilen zur Orientierungslinie eines ganzen Gebäudekomplexes
wird. Das Gotische im Barock ist der Größen- und
Ausdehnungsdrang nach der Höhe und Tiefe, ist die Lust an der
ekstatischen Wirkung, ist die Freude am Vielfältigen, am reich
Dissonierenden und der Trieb zur Synthese, zum Gesamtkunstwerk,
ist die Übersteigerung des Rhythmus, die Verwischung der
Raumgrenzen, wozu Architektur, Plastik und Malerei gleichermaßen
helfen müssen; gotisch ist die mit Kuppeln, Hallen und
Wandelgängen arbeitende, von Prachtwirkungen träumende
Bauphantasie, ist die ganz auf Stimmung, auf Lichtwirkungen und
Entmaterialisierung bedachte Baugesinnung. Der Raum wird
ungewiß, über das Sein siegt der Schein, die Entfernungen sind
nicht mehr zu messen, die Luft selbst wird zum Element der
Architektur. Gotisch ist endlich der mächtige, wildbrandende
Wellenschlag der Form, ist die nach Stimmung lüsterne Abstraktion
darin und der Kampf, den sie dem Auge darbietet.
Zur höchsten Stilreinheit hat das Barock es freilich nicht
gebracht. Diese Formenwelt war künstlich aus zwei Teilen

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ChApTER 1 Speaking Mathematically 1

1.2 The Language of Sets 6

1.3 The Language of Relations and Functions 15

1.4 The Language of Graphs 24

ChApTER 2 The Logic of Compound Statements 37

2.2 Conditional Statements 53

2.3 Valid and Invalid Arguments 66

2.4 Application: Digital Logic Circuits 79

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a Circuit That Corresponds to a Given Input/Output Table; Simplifying Combinational

2.5 Application: Number Systems and Circuits for Addition 93

ChAPTER 3 the Logic of Quantified statements 108

3.2 Predicates and Quantified Statements II 122

3.3 Statements with Multiple Quantifiers 131

3.4 Arguments with Quantified Statements 146

ChAPTER 4 elementary Number theory and methods

4.2 Direct Proof and Counterexample II: Writing Advice 173

4.3 Direct Proof and Counterexample III: Rational Numbers 183

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4.4 Direct Proof and Counterexample IV: Divisibility 190

4.7 Indirect Argument: Contradiction and Contraposition 218

4.8 Indirect Argument: Two Famous Theorems 228

4.9 Application: The handshake Theorem 235

4.10 Application: Algorithms 244

ChAPTER 5 sequences, mathematical induction,

5.2 Mathematical Induction I: Proving Formulas 275

5.3 Mathematical Induction II: Applications 289

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5.4 Strong Mathematical Induction and the Well-Ordering

5.5 Application: Correctness of Algorithms 314

5.6 Defining Sequences Recursively 325

5.7 Solving Recurrence Relations by Iteration 340

5.8 Second-Order Linear homogeneous Recurrence Relations

5.9 General Recursive Definitions and Structural Induction 364

ChAPTER 6 set theory 377

6.2 Properties of Sets 391

6.3 Disproofs and Algebraic Proofs 407

94193_fm_ptg01.indd 8 12/11/18 6:53 pm

ChAPTER 7 Properties of Functions 425

7.2 One-to-One, Onto, and Inverse Functions 439

7.3 Composition of Functions 461

7.4 Cardinality with Applications to Computability 473

ChAPTER 8 Properties of relations 487

8.2 Reflexivity, Symmetry, and Transitivity 495